N-PX 1 riv-npx_063021.htm ANNUAL REPORT OF PROXY VOTING RECORD

 

 

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 1000

Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

 

 

Sareena Khwaja-Dixon

RiverNorth Opportunities Fund, Inc.

1290 Broadway, Suite 1000

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: July 31

 

 

Date of reporting period: July 1, 2020 – June 30, 2021

 

 

 
 

 

Item 1 – Proxy Voting Record.

 

    Vote Summary
    LEGG MASON        
  Security 18469Q108   Meeting Type   Special 
  Ticker Symbol CTR               Meeting Date   06-Jul-2020  
  ISIN US18469Q1085   Agenda   935194706 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.		 Management   Split   Split  
  2B.   To approve a New Subadvisory Agreement with:
ClearBridge Investments, LLC		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 33,696   0 04-Jun-2020 04-Jun-2020
    WESTERN ASSET GBL HIGH INC FD INC.        
  Security 95766B109   Meeting Type   Contested-Special 
  Ticker Symbol EHI               Meeting Date   06-Jul-2020  
  ISIN US95766B1098   Agenda   935196116 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.		 Management          
  2C.   To approve a New Subadvisory Agreement with: Western
Asset Management Company, LLC.		 Management          
  2D.   To approve a New Subadvisory Agreement with: Western
Asset Management Company Limited.		 Management          
  2F.   To approve a New Subadvisory Agreement with: Western
Asset Management Company Pte. Ltd.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 189,241   0    
    WESTERN ASSET GBL HIGH INC FD INC.        
  Security 95766B109   Meeting Type   Contested-Special 
  Ticker Symbol EHI               Meeting Date   06-Jul-2020  
  ISIN US95766B1098   Agenda   935196116 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.		 Management          
  2C.   To approve a New Subadvisory Agreement with: Western
Asset Management Company, LLC.		 Management          
  2D.   To approve a New Subadvisory Agreement with: Western
Asset Management Company Limited.		 Management          
  2F.   To approve a New Subadvisory Agreement with: Western
Asset Management Company Pte. Ltd.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 189,241   0 15-May-2020 15-May-2020
    WESTERN ASSET GBL HIGH INC FD INC.        
  Security 95766B109   Meeting Type   Contested-Special 
  Ticker Symbol EHI               Meeting Date   06-Jul-2020  
  ISIN US95766B1098   Agenda   935196128 - Opposition
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.		 Management          
  2C.   To approve a New Subadvisory Agreement with Western
Asset Management Company, LLC.		 Management          
  2D.   To approve a New Subadvisory Agreement with Western
Asset Management Company Limited.		 Management          
  2F.   To approve a New Subadvisory Agreement with Western
Asset Management Company Pte. Ltd.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 189,241   0    
    BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD        
  Security 10537L104   Meeting Type   Contested-Special 
  Ticker Symbol BWG               Meeting Date   06-Jul-2020  
  ISIN US10537L1044   Agenda   935196178 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a new management agreement with Legg
Mason Partners Fund Advisor, LLC		 Management          
  2A.   To approve a New Subadvisory Agreement with:
Brandywine Global Investment Management, LLC.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 355,242   0    
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 50,000   0    
    BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD        
  Security 10537L104   Meeting Type   Contested-Special 
  Ticker Symbol BWG               Meeting Date   06-Jul-2020  
  ISIN US10537L1044   Agenda   935196178 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a new management agreement with Legg
Mason Partners Fund Advisor, LLC		 Management          
  2A.   To approve a New Subadvisory Agreement with:
Brandywine Global Investment Management, LLC.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 50,000   0 15-May-2020 15-May-2020
    BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD        
  Security 10537L104   Meeting Type   Contested-Special 
  Ticker Symbol BWG               Meeting Date   06-Jul-2020  
  ISIN US10537L1044   Agenda   935196178 - Management
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a new management agreement with Legg
Mason Partners Fund Advisor, LLC		 Management          
  2A.   To approve a New Subadvisory Agreement with:
Brandywine Global Investment Management, LLC.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 355,242   0 15-May-2020 15-May-2020
    BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD        
  Security 10537L104   Meeting Type   Contested-Special 
  Ticker Symbol BWG               Meeting Date   06-Jul-2020  
  ISIN US10537L1044   Agenda   935196180 - Opposition
  Record Date 09-Mar-2020   Holding Recon Date   09-Mar-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    TO APPROVE A NEW INVESTMENT ADVISORY
AGREEMENT WITH LEGG MASON PARTNERS FUND
ADVISOR, LLC.		 Management          
  2.    TO AUTHORIZE THE PROXYHOLDERS TO DECLINE
TO ATTEND THE MEETING IF THEY BELIEVE THAT
PROPOSAL NO. 1 IS LESS LIKELY TO BE APPROVED
IF YOUR SHARES ARE NOT REPRESENTED AT THE
MEETING (BY MAKING IT MORE DIFFICULT FOR
MORE THAN 50% OF THE OUTSTANDING SHARES
TO BE PRESENT IN PERSON OR BY PROXY) THAN IF
THEY ARE REPRESENTED AT THE MEETING. FOR=
Authorize ; AGAINST = Do Not Authorize.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 355,242   0    
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 50,000   0    
    VOYA PRIME RATE TRUST        
  Security 92913A100   Meeting Type   Contested-Annual  
  Ticker Symbol PPR               Meeting Date   09-Jul-2020  
  ISIN US92913A1007   Agenda   935217869 - Management
  Record Date 24-Apr-2020   Holding Recon Date   24-Apr-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management          
  1 Colleen D. Baldwin          
  2 John V. Boyer          
  3 Patricia W. Chadwick          
  4 Martin J. Gavin          
  5 Joseph E. Obermeyer          
  6 Sheryl K. Pressler          
  7 Dina Santoro          
  8 Christopher P. Sullivan          
  2.    If properly presented at the Annual Meeting, to vote on a
shareholder's precatory proposal relating to a tender
offer.		 Shareholder          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 983,755   0    
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 290,000   0    
    VOYA PRIME RATE TRUST        
  Security 92913A100   Meeting Type   Contested-Annual  
  Ticker Symbol PPR               Meeting Date   09-Jul-2020  
  ISIN US92913A1007   Agenda   935217871 - Opposition
  Record Date 24-Apr-2020   Holding Recon Date   24-Apr-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     DIRECTOR Management          
  1 Aditya Bindal          
  2 Peter Borish          
  3 Karen Caldwell          
  4 Charles Clarvit          
  5 Ketu Desai          
  6 Kieran Goodwin          
  7 Andrew Kellerman          
  8 Neal Nellinger          
  2     Termination of the Management Agreement between the
Fund and Voya Investments, LLC, as amended and
restated on May 1, 2015 (the "Management Agreement"),
and all other advisory and management agreements
between the Fund and Voya Investments, LLC.		 Shareholder          
  3     To request that the Board consider authorizing a self-
tender offer for 40% of the outstanding shares of the
Fund at or close to net asset value.		 Shareholder          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 983,755   0 07-Jul-2020 07-Jul-2020  
    VOYA PRIME RATE TRUST        
  Security 92913A100   Meeting Type   Contested-Annual  
  Ticker Symbol PPR               Meeting Date   09-Jul-2020  
  ISIN US92913A1007   Agenda   935217871 - Opposition
  Record Date 24-Apr-2020   Holding Recon Date   24-Apr-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     DIRECTOR Management          
  1 Aditya Bindal          
  2 Peter Borish          
  3 Karen Caldwell          
  4 Charles Clarvit          
  5 Ketu Desai          
  6 Kieran Goodwin          
  7 Andrew Kellerman          
  8 Neal Nellinger          
  2     Termination of the Management Agreement between the
Fund and Voya Investments, LLC, as amended and
restated on May 1, 2015 (the "Management Agreement"),
and all other advisory and management agreements
between the Fund and Voya Investments, LLC.		 Shareholder          
  3     To request that the Board consider authorizing a self-
tender offer for 40% of the outstanding shares of the
Fund at or close to net asset value.		 Shareholder          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 290,000   0 07-Jul-2020 07-Jul-2020  
    VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD        
  Security 92912T100   Meeting Type   Annual  
  Ticker Symbol IGD               Meeting Date   09-Jul-2020  
  ISIN US92912T1007   Agenda   935223785 - Management
  Record Date 24-Apr-2020   Holding Recon Date   24-Apr-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Martin J. Gavin   Split   Split  
  2 Dina Santoro   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 294,817   0 08-Jul-2020 08-Jul-2020  
    VOYA RISK MANAGED NATURAL RESOURCES FD        
  Security 92913C106   Meeting Type   Annual  
  Ticker Symbol IRR               Meeting Date   09-Jul-2020  
  ISIN US92913C1062   Agenda   935223800 - Management
  Record Date 24-Apr-2020   Holding Recon Date   24-Apr-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Martin J. Gavin   Split   Split  
  2 Dina Santoro   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 282,870   0 08-Jul-2020 08-Jul-2020  
    CLOUGH GLOBAL OPPORTUNITIES FUND        
  Security 18914E106   Meeting Type   Annual  
  Ticker Symbol GLO               Meeting Date   09-Jul-2020  
  ISIN US18914E1064   Agenda   935228127 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  3.    DIRECTOR Management   Split   Split  
  1 Robert L. Butler   Split   Split  
  2 Karen DiGravio   Split   Split  
  3 Kevin McNally   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 222,360   0 08-Jul-2020 08-Jul-2020  
    CLOUGH GLOBAL OPPORTUNITIES FUND        
  Security 18914E106   Meeting Type   Annual  
  Ticker Symbol GLO               Meeting Date   09-Jul-2020  
  ISIN US18914E1064   Agenda   935228127 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  3.    DIRECTOR Management   Split   Split  
  1 Robert L. Butler   Split   Split  
  2 Karen DiGravio   Split   Split  
  3 Kevin McNally   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 78,498   0 08-Jul-2020 08-Jul-2020  
    CLOUGH GLOBAL EQUITY FUND        
  Security 18914C100   Meeting Type   Annual  
  Ticker Symbol GLQ               Meeting Date   09-Jul-2020  
  ISIN US18914C1009   Agenda   935228139 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  2.    DIRECTOR Management   Split   Split  
  1 Edmund J. Burke   Split   Split  
  2 Vincent W. Versaci   Split   Split  
  3 Clifford J. Weber   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 190,722   0 08-Jul-2020 08-Jul-2020  
    ALLIANZGI ARTIFICIAL        
  Security 01883M101   Meeting Type   Annual  
  Ticker Symbol AIO               Meeting Date   09-Jul-2020  
  ISIN US01883M1018   Agenda   935238673 - Opposition
  Record Date 14-May-2020   Holding Recon Date   14-May-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Trustee: Hans W. Kertess Management   Split   Split  
  1B.   Election of Trustee: William B. Ogden, IV Management   Split   Split  
  1C.   Election of Trustee: Alan Rappaport Management   Split   Split  
  1D.   Election of Trustee: Davey S. Scoon Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 36,740   0 08-Jul-2020 08-Jul-2020  
    ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST        
  Security 01883A107   Meeting Type   Annual  
  Ticker Symbol NFJ               Meeting Date   09-Jul-2020  
  ISIN US01883A1079   Agenda   935238685 - Opposition
  Record Date 14-May-2020   Holding Recon Date   14-May-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Trustee: Sarah E. Cogan Management   Split   Split  
  1B.   Election of Trustee: F. Ford Drummond Management   Split   Split  
  1C.   Election of Trustee: Alan Rappaport Management   Split   Split  
  1D.   Election of Trustee: Davey S. Scoon Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 250,465   0 08-Jul-2020 08-Jul-2020  
    ROYCE MICRO-CAP TRUST, INC.        
  Security 780915104   Meeting Type   Special 
  Ticker Symbol RMT               Meeting Date   14-Jul-2020  
  ISIN US7809151043   Agenda   935221541 - Management
  Record Date 01-May-2020   Holding Recon Date   01-May-2020  
  City / Country     / United
States		     Vote Deadline Date   13-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to consider and approve a new investment
advisory agreement, by and between Royce &
Associates, LP and Royce Micro-Cap Trust, Inc.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 233,042   0 13-Jul-2020 13-Jul-2020  
    NEXPOINT FUNDS        
  Security 65340G205   Meeting Type   Annual  
  Ticker Symbol NHF               Meeting Date   14-Jul-2020  
  ISIN US65340G2057   Agenda   935242836 - Management
  Record Date 19-Jun-2020   Holding Recon Date   19-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   13-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Dr. Bob Froehlich   Split   Split  
  2 Edward Constantino   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 216,785   0 13-Jul-2020 13-Jul-2020  
    EATON VANCE INSD. MUN BD FD        
  Security 27827X101   Meeting Type   Annual  
  Ticker Symbol EIM               Meeting Date   16-Jul-2020  
  ISIN US27827X1019   Agenda   935225006 - Management
  Record Date 05-May-2020   Holding Recon Date   05-May-2020  
  City / Country     / United
States		     Vote Deadline Date   15-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 George J. Gorman   Split   Split  
  2 Helen Frame Peters   Split   Split  
  3 Marcus L. Smith   Split   Split  
  4 Susan J. Sutherland   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 245,621   0 15-Jul-2020 15-Jul-2020  
    BLACKROCK DEBT STRATEGIES FD INC        
  Security 09255R202   Meeting Type   Annual  
  Ticker Symbol DSU               Meeting Date   27-Jul-2020  
  ISIN US09255R2022   Agenda   935237330 - Management
  Record Date 29-May-2020   Holding Recon Date   29-May-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Cynthia L. Egan   Split   Split  
  2 Michael J. Castellano   Split   Split  
  3 Catherine A. Lynch   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 525,772   0 24-Jul-2020 24-Jul-2020  
    BLACKROCK RESOURCES & COMMODITIES STRAT        
  Security 09257A108   Meeting Type   Annual  
  Ticker Symbol BCX               Meeting Date   27-Jul-2020  
  ISIN US09257A1088   Agenda   935237823 - Management
  Record Date 29-May-2020   Holding Recon Date   29-May-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Michael J. Castellano   Split   Split  
  2 R. Glenn Hubbard   Split   Split  
  3 John M. Perlowski   Split   Split  
  4 W. Carl Kester   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 456,408   0 24-Jul-2020 24-Jul-2020  
    BLACKROCK CALIFORNIA MUNICIPAL INCOME TR        
  Security 09248E102   Meeting Type   Annual  
  Ticker Symbol BFZ               Meeting Date   27-Jul-2020  
  ISIN US09248E1029   Agenda   935237835 - Management
  Record Date 29-May-2020   Holding Recon Date   29-May-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Michael J. Castellano   Split   Split  
  2 R. Glenn Hubbard   Split   Split  
  3 John M. Perlowski   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 24,540   0 24-Jul-2020 24-Jul-2020  
    BLACKROCK NY INSURED MUNICIPAL INCOME TR        
  Security 09249U105   Meeting Type   Annual  
  Ticker Symbol BSE               Meeting Date   27-Jul-2020  
  ISIN US09249U1051   Agenda   935237835 - Management
  Record Date 29-May-2020   Holding Recon Date   29-May-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Michael J. Castellano   Split   Split  
  2 R. Glenn Hubbard   Split   Split  
  3 John M. Perlowski   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 140,949   0 24-Jul-2020 24-Jul-2020  
    BLACKROCK MUNI NY INTER DURATION FD INC        
  Security 09255F109   Meeting Type   Annual  
  Ticker Symbol MNE               Meeting Date   27-Jul-2020  
  ISIN US09255F1093   Agenda   935238558 - Management
  Record Date 29-May-2020   Holding Recon Date   29-May-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Michael J. Castellano   Split   Split  
  2 Richard E. Cavanagh   Split   Split  
  3 Cynthia L. Egan   Split   Split  
  4 Robert Fairbairn   Split   Split  
  5 R. Glenn Hubbard   Split   Split  
  6 Catherine A. Lynch   Split   Split  
  7 John M. Perlowski   Split   Split  
  8 Karen P. Robards   Split   Split  
  9 Frank J. Fabozzi   Split   Split  
  10 W. Carl Kester   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 63,487   0 24-Jul-2020 24-Jul-2020  
    ANDINA ACQUISITION CORP. III        
  Security G04415108   Meeting Type   Special 
  Ticker Symbol ANDA              Meeting Date   29-Jul-2020  
  ISIN KYG044151085   Agenda   935247470 - Management
  Record Date 01-Jul-2020   Holding Recon Date   01-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   28-Jul-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    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 from July 31, 2020 to October 31, 2020 (or
December 31, 2020 if the Company has executed a
definitive agreement for a business combination by
October31, 2020).		 Management   For   For  
  2.    Adjourn the Special Meeting of shareholders 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
Proposal 1.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 29,708   0 10-Jul-2020 10-Jul-2020  
    NUVEEN AMT-FREE MUNICIPAL CREDIT INC FD        
  Security 67071L106   Meeting Type   Annual  
  Ticker Symbol NVG               Meeting Date   05-Aug-2020  
  ISIN US67071L1061   Agenda   935245541 - Management
  Record Date 08-Jun-2020   Holding Recon Date   08-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   04-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1C.   DIRECTOR Management   Split   Split  
  1 John K. Nelson   Split   Split  
  2 Terence J. Toth   Split   Split  
  3 Robert L. Young   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 68,583   0 04-Aug-2020 04-Aug-2020
    NUVEEN QUALITY MUNICIPAL INCOME FUND        
  Security 67066V101   Meeting Type   Annual  
  Ticker Symbol NAD               Meeting Date   05-Aug-2020  
  ISIN US67066V1017   Agenda   935245541 - Management
  Record Date 08-Jun-2020   Holding Recon Date   08-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   04-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1C.   DIRECTOR Management   Split   Split  
  1 John K. Nelson   Split   Split  
  2 Terence J. Toth   Split   Split  
  3 Robert L. Young   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 97,519   0 04-Aug-2020 04-Aug-2020
    NUVEEN NEW YORK MUNICIPAL VALUE FUND 2        
  Security 670706100   Meeting Type   Annual  
  Ticker Symbol NYV               Meeting Date   05-Aug-2020  
  ISIN US6707061007   Agenda   935245553 - Management
  Record Date 08-Jun-2020   Holding Recon Date   08-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   04-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1B.   DIRECTOR Management   Split   Split  
  1 John K. Nelson   Split   Split  
  2 Terence J. Toth   Split   Split  
  3 Robert L. Young   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 35,338   0 04-Aug-2020 04-Aug-2020
    INVESCO SENIOR INCOME TRUST        
  Security 46131H107   Meeting Type   Annual  
  Ticker Symbol VVR               Meeting Date   07-Aug-2020  
  ISIN US46131H1077   Agenda   935248319 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   06-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A    DIRECTOR Management   Split   Split  
  1 Beth Ann Brown   Split   Split  
  2 Anthony J. LaCava, Jr.   Split   Split  
  3 Joel W. Motley   Split   Split  
  4 Teresa M. Ressel   Split   Split  
  5 Christopher L. Wilson   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 380,575   0 06-Aug-2020 06-Aug-2020
    INVESCO DYNAMIC CREDIT OPP FUND        
  Security 46132R104   Meeting Type   Annual  
  Ticker Symbol VTA               Meeting Date   07-Aug-2020  
  ISIN US46132R1041   Agenda   935248319 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   06-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A    DIRECTOR Management   Split   Split  
  1 Beth Ann Brown   Split   Split  
  2 Anthony J. LaCava, Jr.   Split   Split  
  3 Joel W. Motley   Split   Split  
  4 Teresa M. Ressel   Split   Split  
  5 Christopher L. Wilson   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 109,176   0 06-Aug-2020 06-Aug-2020
    INVESCO        
  Security 46131F101   Meeting Type   Annual  
  Ticker Symbol VLT               Meeting Date   07-Aug-2020  
  ISIN US46131F1012   Agenda   935248333 - Management
  Record Date 11-May-2020   Holding Recon Date   11-May-2020  
  City / Country     / United
States		     Vote Deadline Date   06-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1C    DIRECTOR Management   Split   Split  
  1 David C. Arch   Split   Split  
  2 Beth Ann Brown   Split   Split  
  3 Anthony J. LaCava, Jr.   Split   Split  
  4 Joel W. Motley   Split   Split  
  5 Teresa M. Ressel   Split   Split  
  6 Christopher L. Wilson   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 120,789   0 06-Aug-2020 06-Aug-2020
    WELLS FARGO ADVANTAGE INCOME OPP FUND        
  Security 94987B105   Meeting Type   Annual  
  Ticker Symbol EAD               Meeting Date   10-Aug-2020  
  ISIN US94987B1052   Agenda   935246036 - Management
  Record Date 05-Jun-2020   Holding Recon Date   05-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   07-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Isaiah Harris, Jr.   Split   Split  
  2 David F. Larcker   Split   Split  
  3 Olivia S. Mitchell   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 113,293   0 07-Aug-2020 07-Aug-2020
    AGBA ACQUISITION LIMITED        
  Security G0120M133   Meeting Type   Annual  
  Ticker Symbol AGBAU             Meeting Date   18-Aug-2020  
  ISIN VGG0120M1335   Agenda   935256962 - Management
  Record Date 28-Jul-2020   Holding Recon Date   28-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   17-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management          
  1 Gordon Lee   For   For  
  2 Vera Tan   For   For  
  3 Eric Lam   For   For  
  4 Brian Chan   For   For  
  5 Thomas Ng   For   For  
  2.    RATIFICATION OF THE APPOINTMENT OF MARCUM
LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2020.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 30,883   0 05-Aug-2020 05-Aug-2020
    BLACKROCK NY MUNICIPAL BOND TRUS        
  Security 09249P106   Meeting Type   Special 
  Ticker Symbol BQH               Meeting Date   21-Aug-2020  
  ISIN US09249P1066   Agenda   935247987 - Management
  Record Date 22-Jun-2020   Holding Recon Date   22-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   20-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   The common shareholders and preferred shareholders of
BlackRock New York Municipal Bond Trust ("Target
Fund"), are being asked to vote as a single class to
approve an Agreement and Plan of Merger ("Merger
Agreement") pursuant to which the Target Fund will
merge with and into a Massachusetts limited liability
company and a wholly-owned subsidiary of BlackRock
New York Municipal Opportunities Fund ("Acquiring
Fund"), with shares of the Target Fund's common shares
being converted into newly issued Investor A shares of
the Acquiring Fund.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 83,582   0 20-Aug-2020 20-Aug-2020
    FAR POINT ACQUISITION CORPORATION        
  Security 30734W109   Meeting Type   Special 
  Ticker Symbol FPAC              Meeting Date   24-Aug-2020  
  ISIN US30734W1099   Agenda   935257546 - Management
  Record Date 24-Jul-2020   Holding Recon Date   24-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   21-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve and adopt Agreement and Plan of Merger,
dated as of January 16, 2020 ("Merger Agreement"), and
business combination contemplated by such agreement
("Business Combination"), by and among FPAC, SL
Globetrotter, L.P., a Cayman Islands exempted limited
partnership, Global Blue Group Holding AG, a stock
corporation incorporated under Swiss law, with its
registered office in Zürichstrasse 38, 8306 Brüttisellen,
Switzerland, Global Blue US Holdco LLC, a Delaware
limited liability company, Global Blue US Merger Sub Inc.		 Management   For   Against  
  2.    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
for any other reason in connection with, the approval of
one or more of the other proposals at the Special
Meeting.		 Management   For   Against  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 5,103   0 05-Aug-2020 05-Aug-2020
    HENNESSY CAPITAL ACQUISITION CORP. IV        
  Security 42589C104   Meeting Type   Special 
  Ticker Symbol HCAC              Meeting Date   27-Aug-2020  
  ISIN US42589C1045   Agenda   935260012 - Management
  Record Date 28-Jul-2020   Holding Recon Date   28-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   26-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment Proposal - Amend the Company's
amended and restated certificate of incorporation to
extend the date by which the Company has to
consummate a business combination from September 5,
2020 to December 31, 2020 or such earlier date as
determined by the board of directors.		 Management   For   For  
  2.    Adjournment Proposal - Adjourn 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 approval of the Extension Amendment Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 44,040   0 13-Aug-2020 13-Aug-2020
    NEXPOINT FUNDS        
  Security 65340G205   Meeting Type   Special 
  Ticker Symbol NHF               Meeting Date   28-Aug-2020  
  ISIN US65340G2057   Agenda   935250388 - Management
  Record Date 19-Jun-2020   Holding Recon Date   19-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   27-Aug-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve a change in the Fund's business from a
registered investment company that invests primarily in
debt and equity securities to a diversified REIT and to
amend the Fund's fundamental investment restrictions to
permit the Fund to engage in its new business (the
"Business Change Proposal").		 Management   Split   Split  
  2.    To approve the amendment and restatement of the
Fund's Agreement and Declaration of Trust (the
"Amendment Proposal").		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 216,785   0 27-Aug-2020 27-Aug-2020
    INSURANCE ACQUISITION CORP.        
  Security 457867109   Meeting Type   Special 
  Ticker Symbol INSU              Meeting Date   10-Sep-2020  
  ISIN US4578671095   Agenda   935263777 - Management
  Record Date 29-Jul-2020   Holding Recon Date   29-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   09-Sep-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment Proposal: Amend the Company's
amended and restated certificate of incorporation to
extend the date that the Company has to consummate a
business combination from September 22, 2020 to
November 3, 2020 or such earlier date as determined by
the board of directors.		 Management   For   For  
  2.    Adjournment Proposal: Adjourn 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 Proposal 1.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 6,376   0 21-Aug-2020 21-Aug-2020
    8I ENTERPRISES ACQUISITION CORP        
  Security G2956M104   Meeting Type   Special 
  Ticker Symbol JFK               Meeting Date   15-Sep-2020  
  ISIN VGG2956M1041   Agenda   935135360 - Management
  Record Date 20-Feb-2020   Holding Recon Date   20-Feb-2020  
  City / Country     / Singapore     Vote Deadline Date   14-Sep-2020  
  SEDOL(s)     Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  I     THE REINCORPORATION MERGER PROPOSAL: To
approve the Merger Agreement, by and among
Singapore NewCo, BVI NewCo and JFK, and the Plan of
Merger to be entered into between BVI NewCo and JFK,
whereby BVI NewCo will merge with and into JFK with
JFK being the surviving entity and a subsequent wholly-
owned subsidiary of Singapore NewCo.		 Management   For   For  
  II    THE SHARE EXCHANGE PROPOSAL: To approve the
Share Exchange Agreement, dated as of July 9, 2019, as
amended by the Amendment, dated October 8, 2019, by
and among JFK, the Sellers, the Representative,
Singapore NewCo and BVI NewCo, pursuant to which
JFK shall acquire all of the issued and outstanding
ordinary shares of Diginex owned by the Sellers in
exchange for the issuance to the Sellers of an aggregate
of 20,000,000 Singapore NewCo Ordinary Shares.		 Management   For   For  
  III   THE ADJOURNMENT PROPOSAL: To consider and
vote upon a proposal to adjourn the Meeting to a later
date or dates, if necessary, to permit further solicitation
and vote of proxies in the event that, based upon the
tabulated vote at the time of the Meeting, JFK would not
have been authorized to consummate the Business
Combination.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 23,872   0 02-Mar-2020 02-Mar-2020
    LF CAPITAL ACQUISTION CORP        
  Security 50200K108   Meeting Type   Special 
  Ticker Symbol LFAC              Meeting Date   17-Sep-2020  
  ISIN US50200K1088   Agenda   935267915 - Management
  Record Date 13-Aug-2020   Holding Recon Date   13-Aug-2020  
  City / Country     / United
States		     Vote Deadline Date   16-Sep-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment: Proposal to amend the
Company's Amended and Restated Certificate of
Incorporation, as previously amended, to extend the date
by which the Company must consummate a business
combination from September 22, 2020 to December 22,
2020.		 Management   For   For  
  2.    Adjournment of the Special Meeting Proposal 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 Meeting, there
are not sufficient votes to approve the foregoing proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 33,437   0 02-Sep-2020 02-Sep-2020
    ROYCE MICRO-CAP TRUST, INC.        
  Security 780915104   Meeting Type   Annual  
  Ticker Symbol RMT               Meeting Date   24-Sep-2020  
  ISIN US7809151043   Agenda   935263082 - Management
  Record Date 31-Jul-2020   Holding Recon Date   31-Jul-2020  
  City / Country     / United
States		     Vote Deadline Date   23-Sep-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Christopher D. Clark   Split   Split  
  2 Christopher C. Grisanti   Split   Split  
  3 Cecile B. Harper   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 236,020   0 23-Sep-2020 23-Sep-2020
    SCHULTZE SPECIAL PURPOSE ACQUISITION        
  Security 80821R109   Meeting Type   Special 
  Ticker Symbol SAMA              Meeting Date   30-Sep-2020  
  ISIN US80821R1095   Agenda   935270429 - Management
  Record Date 24-Aug-2020   Holding Recon Date   24-Aug-2020  
  City / Country     / United
States		     Vote Deadline Date   29-Sep-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Charter Amendment: To amend the Company's
amended and restated certificate of incorporation to
extend the date by which the Company has to
consummate a business combination for an additional
three months, from September 30, 2020 to December 31,
2020.		 Management   For   For  
  2.    The Adjournment Proposal: 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 the foregoing proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 30,224   0 16-Sep-2020 16-Sep-2020
    DELAWARE INVESTMENTS        
  Security 246060107   Meeting Type   Annual  
  Ticker Symbol DEX               Meeting Date   09-Oct-2020  
  ISIN US2460601071   Agenda   935251746 - Management
  Record Date 19-Jun-2020   Holding Recon Date   19-Jun-2020  
  City / Country     / United
States		     Vote Deadline Date   08-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Thomas L. Bennett   Split   Split  
  2 Jerome D. Abernathy   Split   Split  
  3 Ann D. Borowiec   Split   Split  
  4 Joseph W. Chow   Split   Split  
  5 John A. Fry   Split   Split  
  6 Lucinda S. Landreth   Split   Split  
  7 Shawn K. Lytle   Split   Split  
  8 F. A. Sevilla-Sacasa   Split   Split  
  9 Thomas K. Whitford   Split   Split  
  10 Christianna Wood   Split   Split  
  11 Janet L. Yeomans   Split   Split  
  2.    To approve sub-advisory agreements between Delaware
Management Company and each of Macquarie
Investment Management Austria Kapitalanlage AG and
Macquarie Investment Management Global Limited to
provide additional services to the Fund.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 128,831   0 17-Sep-2020 17-Sep-2020
    INSURANCE ACQUISITION CORP.        
  Security 457867109   Meeting Type   Special 
  Ticker Symbol INSU              Meeting Date   13-Oct-2020  
  ISIN US4578671095   Agenda   935279302 - Management
  Record Date 10-Sep-2020   Holding Recon Date   10-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   12-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     The Merger Proposal - To approve and adopt the
Agreement and Plan of Merger, dated as of June 29,
2020, by and among the Company, IAC Merger Sub
Corp., and Shift Technologies, Inc., as amended by the
First Amendment to the Agreement and Plan of Merger,
dated as of August 19, 2020 (the "Merger Agreement"),
and the transactions contemplated thereby (the
"Merger").		 Management   For   For  
  2     To approve an amendment to the Company's current
amended and restated certificate of incorporation to
increase the number of authorized shares of common
stock.		 Management   For   For  
  3     To approve the creation of an additional class of directors
so that there will be three classes of directors with
staggered terms of office, and make certain related
changes.		 Management   For   For  
  4     To approve an amendment to the Company's current
amended and restated certificate of incorporation to
provide that certain transactions are not "corporate
opportunities" and that each of Highland Capital Partners
9 Limited Partnership, Highland Capital Partners 9-B
Limited Partnership, and Highland Entrepreneurs' Fund 9
Limited Partnership and their respective affiliates are not
subject to the doctrine of corporate opportunity.		 Management   For   For  
  5     To approve an amendment to the Company's current
amended and restated certificate of incorporation to
provide for additional changes, principally including
changing the Company's corporate name from
"Insurance Acquisition Corp." to "Shift Technologies, Inc."
and removing provisions applicable only to special
purpose acquisition companies.		 Management   For   For  
  6     The Nasdaq Proposal - To approve (i) for purposes of
complying with Nasdaq Listing Rule 5635(a) and (b), the
issuance of more than 20% of the Company's issued and
outstanding common stock and the resulting change of
control in connection with the Merger, and (ii) for
purposes of complying with Nasdaq Listing Rule 5635(d),
the issuance of up to 19,800,000 shares of common
stock in connection with the PIPE Investment, upon the
completion of the Merger.		 Management   For   For  
  7     The Incentive Plan Proposal - To adopt the Shift
Technologies, Inc. 2020 Omnibus Equity Compensation
Plan, including the authorization of the initial share
reserve thereunder.		 Management   For   For  
  8A    To elect the director to serve on the board of directors of
the Company as Class I director until the earlier of the
effective time of the Merger and the consummation of the
business combination (the "Effective Time") and the 2022
annual meeting of stockholders, and until their respective
successors are duly elected and qualified or until their
earlier resignation, removal or death: Daniel G. Cohen		 Management   For   For  
  8B    To elect the director to serve on the board of directors of
the Company as Class I director until the earlier of the
effective time of the Merger and the consummation of the
business combination (the "Effective Time") and the 2022
annual meeting of stockholders, and until their respective
successors are duly elected and qualified or until their
earlier resignation, removal or death: John C. Chrystal		 Management   For   For  
  8C    To elect the director to serve on the board of directors of
the Company as Class I director until the earlier of the
effective time of the Merger and the consummation of the
business combination (the "Effective Time") and the 2022
annual meeting of stockholders, and until their respective
successors are duly elected and qualified or until their
earlier resignation, removal or death: Stephanie Gould
Rabin		 Management   For   For  
  9A    Election of Director: Kellyn Smith Kenny (Class I - 2021
annual meeting of stockholders)		 Management   For   For  
  9B    Election of Director: Victoria Mclnnis (Class I - 2021
annual meeting of stockholders)		 Management   For   For  
  9C    Election of Director: Jason Krikorian (Class II - 2022
annual meeting of stockholders)		 Management   For   For  
  9D    Election of Director: Emily Melton (Class II - 2022 annual
meeting of stockholders)		 Management   For   For  
  9E    Election of Director: Adam Nash (Class II - 2022 annual
meeting of stockholders)		 Management   For   For  
  9F    Election of Director: George Arison (Class III - 2023
annual meeting of stockholders)		 Management   For   For  
  9G    Election of Director: Manish Patel (Class III - 2023 annual
meeting of stockholders)		 Management   For   For  
  9H    Election of Director: Tobias Russell (Class III - 2023
annual meeting of stockholders)		 Management   For   For  
  10    The Adjournment Proposal - To approve the adjournment
of the special meeting 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 special meeting, there are not sufficient votes to
approve the Merger Proposal, the Charter Proposals, the
Nasdaq Proposal, the Incentive Plan Proposal, the
Existing Director Election Proposal and/or the Business
Combination Director Election Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 6,376   0 01-Oct-2020 01-Oct-2020  
    FINTECH ACQUISITION CORP. III        
  Security 31811A101   Meeting Type   Special 
  Ticker Symbol FTAC              Meeting Date   15-Oct-2020  
  ISIN US31811A1016   Agenda   935278247 - Management
  Record Date 04-Sep-2020   Holding Recon Date   04-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   14-Oct-2020  
  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 approve the business
combination and adopt the Agreement and Plan of
Merger, dated as of August 3, 2020, as it may be
amended (the "Merger Agreement"), by and among the
Company, GTCR-Ultra Holdings, LLC, GTCR-Ultra
Holdings II, LLC, FinTech III Merger Sub Corp., FinTech
Acquisition Corp. III Parent Corp., GTCR/Ulra Blocker,
Inc. and GTCR Fund XI/C LP.		 Management   For   For  
  2A    To change the Company's name to Paya Holdings Inc.
and remove certain provisions related to its status as a
special purpose acquisition company.		 Management   For   For  
  2B    To increase the amount of authorized shares and provide
for only one class of common stock.		 Management   For   For  
  2C    To prohibit stockholder action by written consent, subject
to GTCR's ownership percentage conditions at the time.		 Management   For   For  
  2D    To create three classes of directors and to extend each
director term to three years.		 Management   For   For  
  2E    To require the vote of at least two-thirds of the voting
power of the outstanding shares of capital stock, rather
than a simple majority, subject to GTCR's ownership
percentage at the time, to remove a director from office.		 Management   For   For  
  2F    To require the vote of at least two-thirds of the voting
power of the outstanding shares of capital stock, rather
than a simple majority, subject to GTCR's ownership
percentage at that time, to amend or repeal certain
provisions of the certificate of incorporation.		 Management   For   For  
  2G    To require the vote of at least two-thirds of the voting
power of the outstanding shares of capital stock, rather
than a simple majority, subject to GTCR's ownership
percentage at that time, to adopt, amend or repeal the
Company's bylaws.		 Management   For   For  
  3     The Incentive Plan Proposal - To consider and vote upon
a proposal to adopt the Parent Omnibus Equity
Compensation Plan.		 Management   For   For  
  4A    Election of Director: Mei-Mei Tuan Management   For   For  
  4B    Election of Director: Pawneet Abramowski Management   For   For  
  4C    Election of Director: Jan Hopkins Trachtman Management   For   For  
  5A    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Anna May Trala		 Management   For   For  
  5B    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Jim Bonetti		 Management   For   For  
  5C    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Stuart Yarbrough		 Management   For   For  
  5D    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination: KJ
McConnell		 Management   For   For  
  5E    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Jeff Hack		 Management   For   For  
  5F    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Christine Larsen		 Management   For   For  
  5G    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Aaron Cohen		 Management   For   For  
  5H    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Collin Roche		 Management   For   For  
  5I    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is a controlled company
upon the consummation of the Business Combination:
Mike Gordon		 Management   For   For  
  6A    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Anna May Trala		 Management   For   For  
  6B    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Stuart Yarbrough		 Management   For   For  
  6C    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: KJ McConnell		 Management   For   For  
  6D    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Jeff Hack		 Management   For   For  
  6E    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Christine Larsen		 Management   For   For  
  6F    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Aaron Cohen		 Management   For   For  
  6G    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Collin Roche		 Management   For   For  
  6H    To consider and vote upon a proposal to elect director,
effective as of and contingent upon the consummation of
the Business Combination, to serve on Parent's board of
directors in the event that Parent is not a controlled
company upon the consummation of the Business
Combination: Mike Gordon		 Management   For   For  
  7     The Adjournment Proposal - To consider and vote upon a
proposal to approve the adjournment of the special
meeting 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 special meeting, there
are not sufficient votes to approve one or more of the
other proposals submitted for stockholder approval at the
special meeting.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 35,478   0 29-Sep-2020 29-Sep-2020
    WESTERN ASSET GBL HIGH INC FD INC.        
  Security 95766B109   Meeting Type   Annual  
  Ticker Symbol EHI               Meeting Date   23-Oct-2020  
  ISIN US95766B1098   Agenda   935275001 - Management
  Record Date 01-Sep-2020   Holding Recon Date   01-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.1   Election of Class I Director to serve until the 2023 Annual
Meeting of Stockholders: Carol L. Colman		 Management   Split   Split  
  1.2   Election of Class I Director to serve until the 2023 Annual
Meeting of Stockholders: Daniel P. Cronin		 Management   Split   Split  
  1.3   Election of Class I Director to serve until the 2023 Annual
Meeting of Stockholders: Paolo M. Cucchi		 Management   Split   Split  
  2.    To ratify the selection of PricewaterhouseCoopers LLP as
the Fund's independent registered public accountants for
the fiscal year ending May 31, 2021.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 429,468   0 22-Oct-2020 22-Oct-2020  
    ARYA SCIENCES ACQUISITION CORP II        
  Security G31655114   Meeting Type   Special 
  Ticker Symbol ARYBU             Meeting Date   26-Oct-2020  
  ISIN KYG316551145   Agenda   935284339 - Management
  Record Date 04-Sep-2020   Holding Recon Date   04-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   23-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Business Combination Proposal - RESOLVED, as an
ordinary resolution, that ARYA's entry into the Business
Combination Agreement, dated as of July 29, 2020 (as
amended on October 2, 2020 by Amendment No.1 to
Business Combination Agreement, and as may be further
amended, supplemented or otherwise modified from time
to time, the "Business Combination Agreement").		 Management   For   For  
  2.    The Domestication Proposal - RESOLVED, as a special
resolution, that ARYA be transferred by way of
continuation to Delaware pursuant to Part XII of the
Companies Law (Revised) of the Cayman Islands and
Section 388 of the General Corporation Law of the State
of Delaware and, immediately upon being de- registered
in the Cayman Islands, ARYA be continued and
domesticated as a corporation under the laws of the
State of Delaware (the "Domestication").		 Management   For   For  
  3.    Governing Documents Proposal A - RESOLVED, as an
ordinary resolution, that the change in the authorized
share capital of ARYA.		 Management   For   For  
  4.    Governing Documents Proposal B - RESOLVED, as a
special resolution, that the authorization to the Board of
Directors of New Cerevel (the "New Cerevel Board") to
issue any or all shares of New Cerevel Preferred Stock in
one or more classes or series, with such terms and
conditions as may be expressly determined by the New
Cerevel Board and as may be permitted by the Delaware
General Corporation Law be approved.		 Management   For   For  
  5.    Governing Documents Proposal C - RESOLVED, as a
special resolution, that certain provisions of the certificate
of incorporation of New Cerevel are subject to the
Amended and Restated Registration and Shareholder
Rights Agreement (as defined in the proxy
statement/prospectus) be approved.		 Management   For   For  
  6.    Governing Documents Proposal D - RESOLVED, as a
special resolution, that the removal of the ability of New
Cerevel stockholders to take action by written consent in
lieu of a meeting be approved.		 Management   For   For  
  7.    Governing Documents Proposal E - RESOLVED, as a
special resolution, that the amendment and restatement
of the Existing Governing Documents be approved and
that all other changes necessary or, as mutually agreed
in good faith by ARYA and Cerevel.		 Management   For   For  
  8.    The Nasdaq Proposal - RESOLVED, as an ordinary
resolution, that for the purposes of complying with the
applicable provisions of Nasdaq Stock Exchange Listing
Rule 5635, the issuance of shares of New Cerevel
Common Stock be approved.		 Management   For   For  
  9.    The Incentive Award Plan Proposal - RESOLVED, as an
ordinary resolution, that the Cerevel Therapeutics
Holdings, Inc. 2020 Equity Incentive Plan, a copy of
which is attached to the proxy statement/prospectus as
Annex J, be adopted and approved.		 Management   For   For  
  10.   The Employee Stock Purchase Plan Proposal -
RESOLVED, as an ordinary resolution, that the Cerevel
Therapeutics Holdings, Inc. 2020 Employee Stock
Purchase Plan, a copy of which is attached to the proxy
statement/prospectus as Annex K, be adopted and
approved.		 Management   For   For  
  11.   The Adjournment Proposal - RESOLVED, as an ordinary
resolution, that the adjournment of the extraordinary
general meeting to a later date or dates.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 1,285   0 21-Oct-2020 21-Oct-2020  
    HEALTHCARE MERGER CORP.        
  Security 42227L102   Meeting Type   Special 
  Ticker Symbol HCCO              Meeting Date   30-Oct-2020  
  ISIN US42227L1026   Agenda   935286686 - Management
  Record Date 25-Sep-2020   Holding Recon Date   25-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   29-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To consider and vote upon a proposal to approve,
assuming the Charter Proposals and the NASDAQ
Proposal are approved and adopted, the Agreement and
Plan of Merger, dated as of July 29, 2020, by and among
Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre
Merger Sub I, Inc., a wholly owned subsidiary of HCMC
("First Merger Sub"), and Sabre Merger Sub II, LLC, a
wholly owned subsidiary of HCMC ("Second Merger
Sub"), pursuant to which First Merger Sub will merge with
and into SOC Telemed, with SOC Telemed being the
surviving corporation.		 Management   For   For  
  2.    Increase the total number of authorized shares of all
classes of capital stock from 111,000,000 shares to
505,000,000, which would consist of (i) 500,000,000
shares of Class A common stock and (ii) 5,000,000
shares of preferred stock.		 Management   For   For  
  3.    Require the affirmative vote of either a majority of the
board of directors then in office or the holders of two-
thirds of the voting power of the outstanding shares of
capital stock for the adoption, amendment, alteration or
repeal of the bylaws; provided that if two-thirds of the
board of directors then in office has approved such
adoption, amendment alteration or repeal of any
provisions of the bylaws, then only the affirmative vote of
the holders of at least a majority of the voting power of
the outstanding shares of capital stock.		 Management   For   For  
  4.    Require the affirmative vote of either a majority of the
board of directors or the holders of two-thirds of the
voting power of the outstanding shares of capital stock for
the adoption, amendment, alteration or repeal of certain
provisions of the charter; provided that if two-thirds of the
board of directors has approved such adoption,
amendment, alteration or repeal, then only the affirmative
vote of the holders of at least a majority of the voting
power of the outstanding shares of capital stock.		 Management   For   For  
  5.    Provide that certain transactions would not be considered
"competitive opportunities" and that each of Warburg
Pincus Private Equity XI, L.P., Warburg Pincus Private
Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP
XI Partners, L.P., Warburg Pincus Private Equity XI-C,
L.P. and WP XI Finance, LP and their respective
affiliates, directors, principals, officers, employees and
other representatives is not subject to the doctrine of
corporate opportunity and does not have any duty to
refrain from engaging directly or indirectly in an
investment		 Management   For   For  
  6.    Provide that, in addition to the indemnification provisions
in the existing charter, (i) HCMC shall be the indemnitor
of first resort,(ii) HCMC shall be required to advance the
full amount of expenses incurred by indemnitees and
shall be liable for the full amount of all claims to the
extent legally permitted (III) HCMC irrevocably waives,
relinquishes and releases such persons from any and all
claims against them for contribution, subrogation or any
other recovery of any kind in respect thereof		 Management   For   For  
  7.    Clarify that the exclusive jurisdiction of the Court of
Chancery of the State of Delaware shall not apply to suits
brought to enforce any duty or liability under the
Securities Act of 1933, as amended, or the Securities
Exchange Act of 1934, as amended ("Exchange Act"), or
any other claim for which the federal courts have
exclusive or concurrent jurisdiction. To the fullest extent
permitted by law, the federal district courts of the United
States of America shall be the sole and exclusive forum
for the resolution of claims arising under the Securities
Act.		 Management   For   For  
  8.    Authorize all other proposed changes, including, among
others, those (i) resulting from the Business Combination,
including changing the post-business combination
corporate name from "Healthcare Merger Corp." to "SOC
Telemed, Inc." and removing certain provisions relating to
HCMC's prior status as a blank check company and
HCMC Class B common stock that will no longer apply
upon the Closing, or (ii) that are administrative or
clarifying in nature, including the deletion of language
without substantive effect.		 Management   For   For  
  9A.   Election of Director: Bobbie Byrne Management   For   For  
  9B.   Election of Director: Thomas J. Carella Management   For   For  
  9C.   Election of Director: Joseph P. Greskoviak Management   For   For  
  9D.   Election of Director: John W. Kalix Management   For   For  
  9E.   Election of Director: Amr Kronfol Management   For   For  
  9F.   Election of Director: Anne M. McGeorge Management   For   For  
  9G.   Election of Director: Steven J. Shulman Management   For   For  
  10.   The Incentive Plan Proposal - To approve and adopt,
assuming the Business Combination Proposal, the
Charter Proposals and the NASDAQ Proposal are
approved and adopted, the Specialists on Call, Inc. 2020
Equity Incentive Plan (the "Incentive Plan") and material
terms thereunder. A copy of the Incentive Plan is
attached to the proxy statement/consent solicitation
statement/prospectus as Annex C.		 Management   For   For  
  11.   The Employee Stock Purchase Plan Proposal - To
approve and adopt, assuming the Business Combination
Proposal, the Charter Proposals and the NASDAQ
Proposal are approved and adopted, the Specialists on
Call, Inc. 2020 Employee Stock Purchase Plan (the
"Employee Stock Purchase Plan") and material terms
thereunder. A copy of the Employee Stock Purchase Plan
is attached to the proxy statement/consent solicitation
statement/prospectus as Annex D.		 Management   For   For  
  12.   To consider and vote upon a proposal to approve,
assuming the Business Combination Proposal and the
Charter Proposals are approved and adopted, for
purposes of complying with applicable provisions of
Nasdaq Listing Rule 5635, the issuance of more than
20% of HCMC's issued and outstanding common stock in
connection with the Business Combination and the PIPE
Investment (as defined in the proxy statement/consent
solicitation statement/prospectus), and the related
change in control.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 9,754   0 21-Oct-2020 21-Oct-2020  
    HEALTHCARE MERGER CORP.        
  Security 42227L201   Meeting Type   Special 
  Ticker Symbol HCCOU             Meeting Date   30-Oct-2020  
  ISIN US42227L2016   Agenda   935286686 - Management
  Record Date 25-Sep-2020   Holding Recon Date   25-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   29-Oct-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To consider and vote upon a proposal to approve,
assuming the Charter Proposals and the NASDAQ
Proposal are approved and adopted, the Agreement and
Plan of Merger, dated as of July 29, 2020, by and among
Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre
Merger Sub I, Inc., a wholly owned subsidiary of HCMC
("First Merger Sub"), and Sabre Merger Sub II, LLC, a
wholly owned subsidiary of HCMC ("Second Merger
Sub"), pursuant to which First Merger Sub will merge with
and into SOC Telemed, with SOC Telemed being the
surviving corporation.		 Management   For   For  
  2.    Increase the total number of authorized shares of all
classes of capital stock from 111,000,000 shares to
505,000,000, which would consist of (i) 500,000,000
shares of Class A common stock and (ii) 5,000,000
shares of preferred stock.		 Management   For   For  
  3.    Require the affirmative vote of either a majority of the
board of directors then in office or the holders of two-
thirds of the voting power of the outstanding shares of
capital stock for the adoption, amendment, alteration or
repeal of the bylaws; provided that if two-thirds of the
board of directors then in office has approved such
adoption, amendment alteration or repeal of any
provisions of the bylaws, then only the affirmative vote of
the holders of at least a majority of the voting power of
the outstanding shares of capital stock.		 Management   For   For  
  4.    Require the affirmative vote of either a majority of the
board of directors or the holders of two-thirds of the
voting power of the outstanding shares of capital stock for
the adoption, amendment, alteration or repeal of certain
provisions of the charter; provided that if two-thirds of the
board of directors has approved such adoption,
amendment, alteration or repeal, then only the affirmative
vote of the holders of at least a majority of the voting
power of the outstanding shares of capital stock.		 Management   For   For  
  5.    Provide that certain transactions would not be considered
"competitive opportunities" and that each of Warburg
Pincus Private Equity XI, L.P., Warburg Pincus Private
Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP
XI Partners, L.P., Warburg Pincus Private Equity XI-C,
L.P. and WP XI Finance, LP and their respective
affiliates, directors, principals, officers, employees and
other representatives is not subject to the doctrine of
corporate opportunity and does not have any duty to
refrain from engaging directly or indirectly in an
investment		 Management   For   For  
  6.    Provide that, in addition to the indemnification provisions
in the existing charter, (i) HCMC shall be the indemnitor
of first resort,(ii) HCMC shall be required to advance the
full amount of expenses incurred by indemnitees and
shall be liable for the full amount of all claims to the
extent legally permitted (III) HCMC irrevocably waives,
relinquishes and releases such persons from any and all
claims against them for contribution, subrogation or any
other recovery of any kind in respect thereof		 Management   For   For  
  7.    Clarify that the exclusive jurisdiction of the Court of
Chancery of the State of Delaware shall not apply to suits
brought to enforce any duty or liability under the
Securities Act of 1933, as amended, or the Securities
Exchange Act of 1934, as amended ("Exchange Act"), or
any other claim for which the federal courts have
exclusive or concurrent jurisdiction. To the fullest extent
permitted by law, the federal district courts of the United
States of America shall be the sole and exclusive forum
for the resolution of claims arising under the Securities
Act.		 Management   For   For  
  8.    Authorize all other proposed changes, including, among
others, those (i) resulting from the Business Combination,
including changing the post-business combination
corporate name from "Healthcare Merger Corp." to "SOC
Telemed, Inc." and removing certain provisions relating to
HCMC's prior status as a blank check company and
HCMC Class B common stock that will no longer apply
upon the Closing, or (ii) that are administrative or
clarifying in nature, including the deletion of language
without substantive effect.		 Management   For   For  
  9A.   Election of Director: Bobbie Byrne Management   For   For  
  9B.   Election of Director: Thomas J. Carella Management   For   For  
  9C.   Election of Director: Joseph P. Greskoviak Management   For   For  
  9D.   Election of Director: John W. Kalix Management   For   For  
  9E.   Election of Director: Amr Kronfol Management   For   For  
  9F.   Election of Director: Anne M. McGeorge Management   For   For  
  9G.   Election of Director: Steven J. Shulman Management   For   For  
  10.   The Incentive Plan Proposal - To approve and adopt,
assuming the Business Combination Proposal, the
Charter Proposals and the NASDAQ Proposal are
approved and adopted, the Specialists on Call, Inc. 2020
Equity Incentive Plan (the "Incentive Plan") and material
terms thereunder. A copy of the Incentive Plan is
attached to the proxy statement/consent solicitation
statement/prospectus as Annex C.		 Management   For   For  
  11.   The Employee Stock Purchase Plan Proposal - To
approve and adopt, assuming the Business Combination
Proposal, the Charter Proposals and the NASDAQ
Proposal are approved and adopted, the Specialists on
Call, Inc. 2020 Employee Stock Purchase Plan (the
"Employee Stock Purchase Plan") and material terms
thereunder. A copy of the Employee Stock Purchase Plan
is attached to the proxy statement/consent solicitation
statement/prospectus as Annex D.		 Management   For   For  
  12.   To consider and vote upon a proposal to approve,
assuming the Business Combination Proposal and the
Charter Proposals are approved and adopted, for
purposes of complying with applicable provisions of
Nasdaq Listing Rule 5635, the issuance of more than
20% of HCMC's issued and outstanding common stock in
connection with the Business Combination and the PIPE
Investment (as defined in the proxy statement/consent
solicitation statement/prospectus), and the related
change in control.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 1   0 21-Oct-2020 21-Oct-2020  
    MONOCLE ACQUISITION CORPORATION        
  Security 609754106   Meeting Type   Special 
  Ticker Symbol MNCL              Meeting Date   04-Nov-2020  
  ISIN US6097541063   Agenda   935287373 - Management
  Record Date 28-Sep-2020   Holding Recon Date   28-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   03-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Business Combination Proposal - to approve and
adopt the Amend and Restated Agreement and Plan of
Merger, dated as of September 8, 2020, by and among
Monocle, Monocle Holdings Inc., ("NewCo"), AerSale
Corp., a Delaware corporation ("AerSale"), Monocle
Merger Sub 1 Inc., a Delaware corporation and a wholly-
owned direct subsidiary of NewCo, Monocle Merger Sub
2 LLC and Leonard Green & Partners, L.P., a Delaware
limited partnership, solely in its capacity as the Holder
Representative, and approve the transactions
contemplated thereby.		 Management   For   For  
  2.    The Nasdaq Proposal - to approve, for proposes of
complying with applicable Nasdaq listing rules, the
issuance by NewCo, as successor to Monocle, of NewCo
Common Stock in the Business Combination in an
amount equal to 20% or more of the amount of Monocle's
issued and outstanding common stock immediately prior
to the issuance.		 Management   For   For  
  3.    The Incentive Plan Proposal - to approve the 2020 Equity
Incentive Plan, which is an incentive compensation plan
for directors, officers, employees, consultants, and
advisors of NewCo and its subsidiaries, including
AerSale.		 Management   For   For  
  4.    The Employee Purchase Plan Proposal - to approve the
2020 Employee Stock Purchase Plan, which is an
incentive compensation plan for employees of NewCo
and its subsidiaries, including AerSale.		 Management   For   For  
  5.    The Adjournment Proposal - to adjourn 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
or the Nasdaq Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 7,363   0 21-Oct-2020 21-Oct-2020  
    MONOCLE ACQUISITION CORPORATION        
  Security 609754106   Meeting Type   Special 
  Ticker Symbol MNCL              Meeting Date   06-Nov-2020  
  ISIN US6097541063   Agenda   935286725 - Management
  Record Date 28-Sep-2020   Holding Recon Date   28-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   05-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Charter Amendment: To amend the Company's
amended and restated certificate of incorporation to
extend the date by which the Company has to
consummate a business combination for an additional
three months, from November 11, 2020 to February 11,
2021.		 Management   For   For  
  2.    The Adjournment Proposal: 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 the foregoing proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 7,363   0 21-Oct-2020 21-Oct-2020  
    NETFIN ACQUISITION CORP.        
  Security G6455A107   Meeting Type   Special 
  Ticker Symbol NFIN              Meeting Date   10-Nov-2020  
  ISIN KYG6455A1076   Agenda   935292920 - Management
  Record Date 12-Oct-2020   Holding Recon Date   12-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   09-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Business Combination Proposal. To approve and
adopt, the business combination described in this proxy
statement/prospectus, including the Business
Combination Agreement, (as amended on August 28,
2020, the "Business Combination Agreement"), by and
among Netfin, Netfin Holdco ("Holdco"), Netfin Merger
Sub (the "Merger Sub"), Symphonia Strategic
Opportunities Limited ("SSOL"), IKON Strategic Holdings
Fund ("IKON", and together with SSOL, the "Sellers") and
MVR Netfin LLC, as the Netfin Representative.		 Management   For   For  
  2.    The Merger Proposal. To approve and adopt, as a
special resolution, the merger of Netfin with and into
Merger Sub, with Netfin surviving the merger as a wholly
owned subsidiary of Holdco. This proposal is referred to
as the "merger proposal" and, collectively with the
business combination proposal, the "condition precedent
proposals"		 Management   For   For  
  3a.   Charter Proposal A - (i) the name of the new public entity
will be "Triterras, Inc." as opposed to "Netfin Acquisition
Corp."		 Management   For   For  
  3b.   Charter Proposal B - Holdco will authorize an increased
share capital of 469,000,001 ordinary shares of a par
value of US$0.0001 each and 30,999,999 preference
shares of a par value of US$0.0001.		 Management   For   For  
  3c.   Charter Proposal C - the constitutional documents of
Holdco will not include the various provisions applicable
only to special purpose acquisition companies that the
Current 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  
  4.    The Adjournment Proposal. To approve, as an ordinary
resolution, the adjournment of the meeting to a later date
or dates to be determined by the chairman of the
meeting, if necessary, to permit further solicitation and
vote of proxies if, based upon the tabulated vote at the
time of the meeting that more time is necessary or
appropriate to approve one or more proposals of the
meeting.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 25,065   0 09-Nov-2020 09-Nov-2020
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Contested-Annual  
  Ticker Symbol EVF               Meeting Date   12-Nov-2020  
  ISIN US27826S1033   Agenda   935275037 - Opposition
  Record Date 01-Sep-2020   Holding Recon Date   01-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   11-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management          
  1 Stephen G. Flanagan          
  2 Frederic Gabriel          
  3 Christopher A. Klepps          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 73,833   0 11-Nov-2020 11-Nov-2020
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Contested-Annual  
  Ticker Symbol EVF               Meeting Date   12-Nov-2020  
  ISIN US27826S1033   Agenda   935276217 - Management
  Record Date 01-Sep-2020   Holding Recon Date   01-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   11-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   DIRECTOR Management          
  1 Thomas E. Faust Jr.          
  2 Cynthia E. Frost          
  3 Susan J. Sutherland          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 73,833   0    
    ORISUN ACQUISITION CORP.        
  Security 68632T109   Meeting Type   Special 
  Ticker Symbol ORSN              Meeting Date   16-Nov-2020  
  ISIN US68632T1097   Agenda   935295407 - Management
  Record Date 07-Oct-2020   Holding Recon Date   07-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   13-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the merger of Orisun with and into
Ucommune International Ltd, or PubCo, its wholly owned
Cayman Islands subsidiary, with PubCo surviving the
merger. The merger will change Orisun's place of
incorporation from Delaware to Cayman Islands. We refer
to the merger as the Reincorporation Merger. This
proposal is referred to as the "Reincorporation Merger
Proposal" or "Proposal No. 1".		 Management   For   For  
  2.    To approve the authorization for PubCo's board of
directors to complete the merger of Everstone
Inernational Ltd or Merger Sub into Ucommune Group
Holdings Limited, or Ucommune, resulting Ucommune
becoming a wholly owned subsidiary of PubCo. We refer
to the merger as the Acquisition Merger. This proposal is
referred to as the "Acquisition Merger Proposal" or
"Proposal No No. 2".		 Management   For   For  
  3.    To approve PubCo's 2020 Equity Incentive Plan. This
proposal is referred to as the "Incentive Plan Proposal" or
"Proposal 3".		 Management   For   For  
  4.    To approve the adjournment of the Special meeting in the
event Orisun does not receive the requisite stockholder
vote to approve the Business Combination. This proposal
is called the "Business Combination Adjournment
Proposal" or "Proposal 4".		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 36,130   0 09-Nov-2020 09-Nov-2020
    LEGACY ACQUISITION CORP.        
  Security 524643111   Meeting Type   Consent
  Ticker Symbol LGCWS             Meeting Date   25-Nov-2020  
  ISIN US5246431119   Agenda   935297122 - Management
  Record Date 30-Sep-2020   Holding Recon Date   30-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Nov-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve amendments to that certain Warrant
Agreement, dated as of November 16, 2017, between the
Company and Continental Stock Transfer & Trust
Company (the "Warrant Agreement").		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 29,059   0 12-Nov-2020 12-Nov-2020
    TUSCAN HOLDINGS CORP.        
  Security 90069K104   Meeting Type   Special 
  Ticker Symbol THCB              Meeting Date   03-Dec-2020  
  ISIN US90069K1043   Agenda   935302137 - Management
  Record Date 30-Oct-2020   Holding Recon Date   30-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   02-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment Proposal: Amend the Company's
amended and restated certificate of incorporation to
extend the date that the Company has to consummate a
business combination to April 30, 2021.		 Management   For   For  
  2.    Adjournment Proposal: Approve the adjournment of the
special meeting to a later date or dates, if the Company
determines that additional time is necessary to
consummate the Extension.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 43,548   0 19-Nov-2020 19-Nov-2020
    GIGCAPITAL2, INC.        
  Security 375036100   Meeting Type   Annual  
  Ticker Symbol GIX               Meeting Date   08-Dec-2020  
  ISIN US3750361004   Agenda   935294708 - Management
  Record Date 26-Oct-2020   Holding Recon Date   26-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   07-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Amend the Company's Amended and Restated
Certificate of Incorporation to extend the date by which
the Company must consummate a Business Combination
from December 10, 2020 to March 10, 2021.		 Management   For   For  
  2.    DIRECTOR Management          
  1 Dr. Avi S. Katz   For   For  
  2 Dr. Raluca Dinu   For   For  
  3 Neil Miotto   For   For  
  4 John Mikulsky   For   For  
  5 Gil Frostig   For   For  
  3.    Ratification of Appointment of BPM to serve as the
Company's Independent Registered Public Accounting
firm for the year ending December 31, 2020.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 23,193   0 09-Nov-2020 09-Nov-2020
    HAYMAKER ACQUISITION CORP. II        
  Security 42087L101   Meeting Type   Special 
  Ticker Symbol HYAC              Meeting Date   08-Dec-2020  
  ISIN US42087L1017   Agenda   935300208 - Management
  Record Date 04-Nov-2020   Holding Recon Date   04-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   07-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Business Combination Proposal - to approve and
adopt the Business Combination Agreement, dated as of
September 8, 2020 (as it may be amended from time to
time, the "Business Combination Agreement").		 Management   For   For  
  2.    The Lock-Up Agreement Proposal - to approve and ratify
the entry into the Registration Rights and Lock-Up
Agreement with the Sponsor, the directors and officers of
Haymaker, and the other parties thereto (the
"Registration Rights and Lock-Up Agreement").		 Management   For   For  
  3.    The Incentive Plan Proposal - to approve and adopt the
ARKO Corp. 2020 Incentive Compensation Plan
established to be effective after the closing of the
Business Combination.		 Management   For   For  
  4.    The Stockholder Adjournment Proposal - a proposal to
authorize the adjournment of the special meeting to a
later date or dates, if necessary, to permit further
solicitation and voting of proxies if, based on the
tabulated vote at the time of the special meeting, there
are not sufficient votes to approve the Business
Combination Proposal or Public Stockholders have
elected to redeem an amount of Haymaker Class A
Common Stock such that the minimum available cash
condition to the closing of the Business Combination
would not be satisfied.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 15,939   0 16-Nov-2020 16-Nov-2020
    TRINE ACQUISITION CORP.        
  Security 89628U108   Meeting Type   Special 
  Ticker Symbol TRNE              Meeting Date   08-Dec-2020  
  ISIN US89628U1088   Agenda   935301313 - Management
  Record Date 30-Oct-2020   Holding Recon Date   30-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   07-Dec-2020  
  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 approve the Agreement and Plan
of Merger, dated as of August 26, 2020 (as it may be
amended and/or restated from time to time, the "Merger
Agreement"), by and among Trine, Sparrow Merger Sub,
Inc. ("Merger Sub") and Desktop Metal, Inc. ("Desktop
Metal") and the transactions contemplated thereby,
pursuant to which Merger Sub will merge with and into
Desktop Metal with Desktop Metal surviving the merger
as a wholly owned subsidiary of Trine (the "Business
Combination").		 Management   For   For  
  2.    The Charter Amendment Proposal - To consider and vote
upon a proposal to adopt an amendment to Trine's
amended and restated certificate of incorporation
currently in effect in the form attached to the Merger
Agreement.		 Management   For   For  
  3.    The Charter Approval Proposal - To consider and vote
upon a proposal to adopt the Second Amended and
Restated Certificate of Incorporation (the "Proposed
Charter") in the form attached to the Proxy
Statement/Consent Solicitation Statement/Prospectus.		 Management   For   For  
  4A.   Required Vote to Amend the Charter Management   For   For  
  4B.   Required Vote to Amend the Bylaws Management   For   For  
  4C.   Director Removal Management   For   For  
  4D.   Removal of Blank Check Company Provisions Management   For   For  
  5A.   Election Director: Ric Fulop Management   For   For  
  5B.   Election Director: Dayna Grayson Management   For   For  
  5C.   Election Director: Leo Hindery, Jr. Management   For   For  
  5D.   Election Director: Wen Hsieh Management   For   For  
  5E.   Election Director: Jeff Immelt Management   For   For  
  5F.   Election Director: Byron Knight Management   For   For  
  5G.   Election Director: Stephen Nigro Management   For   For  
  5H.   Election Director: Steve Papa Management   For   For  
  5I.   Election Director: Andy Wheeler Management   For   For  
  5J.   Election Director: Bilal Zuberi Management   For   For  
  6.    The Merger Issuance Proposal - To consider and vote
upon a proposal to approve, for purposes of complying
with applicable listing rules of the New York Stock
Exchange (the "NYSE"), the issuance of shares of Class
A common stock pursuant to the Business Combination.		 Management   For   For  
  7.    The Subscription Agreements Proposal - To consider and
vote upon a proposal to approve, for purposes of
complying with applicable listing rules of the NYSE, the
issuance of shares of Class A common stock pursuant to
the Subscription Agreements.		 Management   For   For  
  8.    The Incentive Plan Proposal - To consider and vote upon
a proposal to approve and adopt the Desktop Metal, Inc.
2020 Incentive Award Plan.		 Management   For   For  
  9.    The Adjournment Proposal - To consider & vote upon a
proposal to approve adjournment of Special Meeting to a
later date or dates, if necessary, to permit further
solicitation & vote of proxies in event that there are
insufficient votes for, or otherwise in connection with,
approval of Business Combination Proposal, Charter
Amendment Proposal, Charter Approval Proposal,
Merger Issuance Proposal, Subscription Agreements
Proposal or Incentive Plan Proposal, or Trine determines
that one or more of closing conditions to Merger
Agreement is not satisfied or waived.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 30,246   0 16-Nov-2020 16-Nov-2020
    LF CAPITAL ACQUISTION CORP        
  Security 50200K116   Meeting Type   Special 
  Ticker Symbol LFACW             Meeting Date   14-Dec-2020  
  ISIN US50200K1161   Agenda   935311364 - Management
  Record Date 11-Nov-2020   Holding Recon Date   11-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   11-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to amend (the "Warrant Amendment") the
warrant agreement that governs all of the Company's
outstanding public warrants.		 Management   For   For  
  2.    Proposal to adjourn the Warrant Holders Meeting to a
later date or dates, if necessary, to permit further
solicitation and vote of proxies if it is determined by the
Company that more time is necessary or appropriate to
approve the Warrant Amendment Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 33,437   0 09-Dec-2020 09-Dec-2020
    ROYCE GLOBAL VALUE TRUST, INC.        
  Security 78081T104   Meeting Type   Contested-Special 
  Ticker Symbol RGT               Meeting Date   17-Dec-2020  
  ISIN US78081T1043   Agenda   935271964 - Management
  Record Date 08-Sep-2020   Holding Recon Date   08-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   16-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to consider and approve a new investment
advisory agreement, by and between Royce &
Associates, LP and Royce Global Value Trust, Inc.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 49,561   0 06-Oct-2020 06-Oct-2020  
    ROYCE GLOBAL VALUE TRUST, INC.        
  Security 78081T104   Meeting Type   Contested-Special 
  Ticker Symbol RGT               Meeting Date   17-Dec-2020  
  ISIN US78081T1043   Agenda   935271976 - Opposition
  Record Date 08-Sep-2020   Holding Recon Date   08-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   16-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to consider and approve a new investment
advisory agreement, by and between Royce &
Associates, LP and Royce Global Value Trust, Inc.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 49,561   0    
    SPECIAL OPPORTUNITIES FUND, INC        
  Security 84741T104   Meeting Type   Annual  
  Ticker Symbol SPE               Meeting Date   17-Dec-2020  
  ISIN US84741T1043   Agenda   935296055 - Management
  Record Date 20-Oct-2020   Holding Recon Date   20-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   16-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    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  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 67,965   0 16-Dec-2020 16-Dec-2020
    LONGEVITY ACQUISITION CORPORATION        
  Security G56372116   Meeting Type   Annual  
  Ticker Symbol LOACW             Meeting Date   18-Dec-2020  
  ISIN VGG563721163   Agenda   935314550 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / China     Vote Deadline Date   17-Dec-2020  
  SEDOL(s)     Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     DIRECTOR Management          
  1 Nicholas H. Adler   For   For  
  2 Jun Liu   For   For  
  2     To ratify the appointment of Marcum LLP as the
Company's independent registered public accounting firm
for the fiscal year ended February 29, 2020 and for the
interim periods ended May 31, 2020 and August 31,
2020.		 Management   For   For  
  3     To direct the chairman of the Meeting to adjourn the
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 Meeting, there are not
sufficient votes to approve any of the foregoing
proposals.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 24,043   0 09-Dec-2020 09-Dec-2020
    LONGEVITY ACQUISITION CORPORATION        
  Security G56372124   Meeting Type   Annual  
  Ticker Symbol LOACR             Meeting Date   18-Dec-2020  
  ISIN VGG563721247   Agenda   935314550 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / China     Vote Deadline Date   17-Dec-2020  
  SEDOL(s)     Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     DIRECTOR Management          
  1 Nicholas H. Adler   For   For  
  2 Jun Liu   For   For  
  2     To ratify the appointment of Marcum LLP as the
Company's independent registered public accounting firm
for the fiscal year ended February 29, 2020 and for the
interim periods ended May 31, 2020 and August 31,
2020.		 Management   For   For  
  3     To direct the chairman of the Meeting to adjourn the
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 Meeting, there are not
sufficient votes to approve any of the foregoing
proposals.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 24,043   0 09-Dec-2020 09-Dec-2020
    HENNESSY CAPITAL ACQUISITION CORP. IV        
  Security 42589C104   Meeting Type   Special 
  Ticker Symbol HCAC              Meeting Date   21-Dec-2020  
  ISIN US42589C1045   Agenda   935314625 - Management
  Record Date 27-Oct-2020   Holding Recon Date   27-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   18-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Business Combination Proposal - To approve and
adopt the Merger Agreement, dated as of August 17,
2020 (as may be amended from time to time, the "Merger
Agreement").		 Management   For   For  
  2.    To approve the amendment of the Company's Amended
and Restated Certificate of Incorporation (the "Existing
Charter"), which is reflected in the proposed Second
Amended and Restated Certificate of Incorporation of the
Company (the "Proposed Charter") to increase the
authorized shares of the Company's common stock to
500,000,000 shares and authorized shares of preferred
stock to 10,000,000. 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 require an affirmative vote of 66 2/3% of the
outstanding shares of Company common stock to alter,
amend, or repeal the proposed bylaws of the Company.
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 require an affirmative vote of 66 2/3% of the
outstanding shares of Company common stock to alter,
amend, or repeal Articles V, VI, VII and VIII of the
Proposed Charter. Each of the Charter Proposals is
conditioned on the approval of the Business Combination
Proposal.		 Management   For   For  
  5.    To approve and adopt the Proposed Charter that includes
the approval of Proposal 2, Proposal 3 and Proposal 4
and provides for certain additional changes, including
changing the Company's name from "Hennessy Capital
Acquisition Corp. IV" to "Canoo Inc.," which our board of
directors believes are necessary to adequately address
the needs of the Company immediately following the
consummation of the Business Combination and
approval of the Proposed Charter.		 Management   For   For  
  6.    DIRECTOR Management          
  1 Foster Chiang   For   For  
  2 Greg Ethridge   For   For  
  3 Thomas Dattilo   For   For  
  4 Rainer Schmueckle   For   For  
  5 Josette Sheeran   For   For  
  6 Tony Aquila   For   For  
  7.    Incentive Plan Proposal - To approve and adopt the
Canoo Inc. 2020 Equity Incentive Plan. The Incentive
Plan Proposal is conditioned on the approval of the
Business Combination Proposal and Proposal 2.		 Management   For   For  
  8.    Purchase Plan Proposal - To approve and adopt the
Canoo Inc. 2020 Employee Stock Purchase Plan. The
Purchase Plan Proposal is conditioned on the approval of
the Business Combination Proposal and Proposal 2.		 Management   For   For  
  9.    Nasdaq Proposal - To approve, for purposes of
complying with the applicable listing rules of the Nasdaq
Stock Market, the issuance of up to 190,000,000 shares
of the Company's Class A common stock to the Canoo
shareholders pursuant to the Merger Agreement and
32,325,000 shares of the Company's Class A common
stock to certain investors in the private placement of
securities pursuant to the terms of certain subscription
agreements entered into in connection with the Business
Combination.		 Management   For   For  
  10.   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,
the Purchase Plan Proposal or the Nasdaq Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 44,040   0 09-Dec-2020 09-Dec-2020
    PROPTECH AQUISITION CORPORATION        
  Security 74349F101   Meeting Type   Special 
  Ticker Symbol PTAC              Meeting Date   21-Dec-2020  
  ISIN US74349F1012   Agenda   935314815 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   18-Dec-2020  
  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 approve the Agreement and Plan
of Merger ("Merger Agreement").		 Management   For   For  
  2.    To increase the number of authorized shares of New
Porch (as defined in the accompanying Proxy
Statement/Consent Solicitation Statement/Prospectus)
common stock from 110,000,000 to 400,000,000 and the
number of authorized shares of New Porch preferred
stock from 1,000,000 to 10,000,000.		 Management   For   For  
  3.    To eliminate the Class B common stock classification and
provide for a single class of common stock.		 Management   For   For  
  4.    To provide that the number of authorized shares of any
class or classes of stock may be increased or decreased
by the affirmative vote of the holders of a majority of the
voting power of the stock of PTAC entitled to vote in the
election of directors, voting together as a single class.		 Management   For   For  
  5.    To provide that the number of directors of PTAC shall be
fixed from time to time in accordance with the Bylaws of
PTAC.		 Management   For   For  
  6.    To provide that amendments to PTAC's waiver of
corporate opportunities will be prospective only.		 Management   For   For  
  7.    To require the vote of 66.7% of the voting power of the
stock of PTAC entitled to vote in the election of directors,
voting together as a single class, to amend the provisions
of the Proposed Charter relating to the powers, number,
election, term, vacancies and removal of directors of
PTAC.		 Management   For   For  
  8.    Conditioned upon the approval of Proposals No. 2
through 7 above, a proposal to approve the Proposed
Charter, which includes the approval of all other changes
in the Proposed Charter in connection with replacing the
Existing Charter with the Proposed Charter, including
changing PTAC's name from "PropTech Acquisition
Corporation" to "Porch Group, Inc." as of the closing of
the Merger.		 Management   For   For  
  9.    DIRECTOR Management          
  1 Matt Ehrlichman   For   For  
  2 Joe Hanauer   For   For  
  3 Alan Pickerill   For   For  
  4 Asha Sharma   For   For  
  5 Chris Terrill   For   For  
  6 Javier Saade   For   For  
  7 Regi Vengalil   For   For  
  8 Thomas D. Hennessy   For   For  
  9 Margaret Whelan   For   For  
  10.   The Merger Issuance Proposal-To consider and vote
upon a proposal to approve: (i) the issuance of shares of
New Porch common stock; and (ii) the related change of
control of PTAC that will occur in connection with
consummation of the merger and the other transactions
contemplated by the merger agreement.		 Management   For   For  
  11.   The PIPE Issuance Proposal - To approve, the issuance
of shares of Class A Common Stock (such shares of
Class A Common Stock to be automatically converted
into New Porch common stock upon the consummation
of the merger).		 Management   For   For  
  12.   The Incentive Plan Proposal - To consider and vote upon
a proposal to approve and adopt the Incentive Plan (as
defined in the accompanying Proxy Statement/Consent
Solicitation Statement/Prospectus).		 Management   For   For  
  13.   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 not sufficient votes to approve the
above proposals.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 24,696   0 09-Dec-2020 09-Dec-2020
    AMPLITUDE HEALTHCARE ACQUISITION CORP        
  Security 03212A105   Meeting Type   Annual  
  Ticker Symbol AMHC              Meeting Date   22-Dec-2020  
  ISIN US03212A1051   Agenda   935315805 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   21-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Ratification of the selection of WithumSmith+Brown, PC
by the audit committee to serve as the Company's
independent registered public accounting firm for the year
ending December 31, 2020.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 47,778   0 15-Dec-2020 15-Dec-2020
    APEX TECHNOLOGY ACQUISITION CORPORATION        
  Security 03768F102   Meeting Type   Annual  
  Ticker Symbol APXT              Meeting Date   22-Dec-2020  
  ISIN US03768F1021   Agenda   935316922 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   21-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management          
  1 David Chao   For   For  
  2 Donna Wells   For   For  
  2.    Ratification of the selection by the audit committee of
WithumSmith+Brown, PC to serve as our independent
registered public accounting firm for the year ending
December 31, 2020.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 6,940   0 15-Dec-2020 15-Dec-2020
    MVC CAPITAL, INC.        
  Security 553829102   Meeting Type   Special 
  Ticker Symbol MVC               Meeting Date   23-Dec-2020  
  ISIN US5538291023   Agenda   935310627 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Adoption of the Agreement and Plan of Merger, dated as
of August 10, 2020 (the "Merger Agreement"), by and
among Barings BDC, Inc., a Maryland corporation,
Mustang Acquisition Sub, Inc., a Delaware corporation
and a direct wholly-owned subsidiary of Barings BDC,
Inc., MVC Capital, Inc. and Barings LLC, a Delaware
limited liability company and the external investment
adviser to Barings BDC, Inc., the Merger and the other
transactions contemplated by the Merger Agreement
(such proposal, the "Merger Proposal").		 Management   Split   Split  
  2.    Approval of the adjournment of the MVC Special Meeting,
if necessary or appropriate, to solicit additional proxies, in
the event that there are insufficient votes at the time of
the MVC Special Meeting to approve the Merger
Proposal.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 54,185   0 22-Dec-2020 22-Dec-2020
    BARINGS BDC, INC.        
  Security 06759L103   Meeting Type   Special 
  Ticker Symbol BBDC              Meeting Date   23-Dec-2020  
  ISIN US06759L1035   Agenda   935311314 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the issuance of shares of Barings BDC, Inc.
("Barings BDC") common stock, $0.001 par value per
share ("Barings BDC Common Stock"), pursuant to the
Agreement and Plan of Merger, dated as of August 10,
2020, by and among Barings BDC, Mustang Acquisition
Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger
Agreement").		 Management   Split   Split  
  2.    To approve the issuance of shares of Barings BDC
Common Stock pursuant to the Merger Agreement at a
price below its then- current net asset value per share, if
applicable.		 Management   Split   Split  
  3.    To approve an amended and restated investment
advisory agreement between Barings BDC and Barings
LLC.		 Management   Split   Split  
  4.    To approve the adjournment of the Barings BDC special
meeting, if necessary or appropriate, to solicit additional
proxies, in the event that there are insufficient votes at
the time of the Barings BDC special meeting to approve
Proposal 1, Proposal 2 or Proposal 3.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 709,935   0 22-Dec-2020 22-Dec-2020
    BARINGS BDC, INC.        
  Security 06759L103   Meeting Type   Special 
  Ticker Symbol BBDC              Meeting Date   23-Dec-2020  
  ISIN US06759L1035   Agenda   935311314 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the issuance of shares of Barings BDC, Inc.
("Barings BDC") common stock, $0.001 par value per
share ("Barings BDC Common Stock"), pursuant to the
Agreement and Plan of Merger, dated as of August 10,
2020, by and among Barings BDC, Mustang Acquisition
Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger
Agreement").		 Management   Split   Split  
  2.    To approve the issuance of shares of Barings BDC
Common Stock pursuant to the Merger Agreement at a
price below its then- current net asset value per share, if
applicable.		 Management   Split   Split  
  3.    To approve an amended and restated investment
advisory agreement between Barings BDC and Barings
LLC.		 Management   Split   Split  
  4.    To approve the adjournment of the Barings BDC special
meeting, if necessary or appropriate, to solicit additional
proxies, in the event that there are insufficient votes at
the time of the Barings BDC special meeting to approve
Proposal 1, Proposal 2 or Proposal 3.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 200,000   0 22-Dec-2020 22-Dec-2020
    LIVE OAK ACQUISITION CORP.        
  Security 53804F103   Meeting Type   Special 
  Ticker Symbol LOAK              Meeting Date   28-Dec-2020  
  ISIN US53804F1030   Agenda   935318697 - Management
  Record Date 07-Dec-2020   Holding Recon Date   07-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   24-Dec-2020  
  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 approve and adopt the merger
agreement, dated as of October 3, 2020 (as amended,
the "Merger Agreement"), by and among Live Oak, Green
Merger Corp., Meredian Holdings Group, Inc. (the
"Danimer"), Live Oak Sponsor Partners, LLC and John A.
Dowdy, Jr. and the transactions contemplated thereby
(the "Business Combination").		 Management   For   For  
  2A.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To change
Live Oak's name to "Danimer Scientific, Inc." The Charter
Amendment Proposal (including each sub-proposal) is
conditioned on the approval of the Business Combination
Proposal.		 Management   For   For  
  2B.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To revise
Live Oak's purpose. The Charter Amendment Proposal
(including each sub-proposal) is conditioned on the
approval of the Business Combination Proposal.		 Management   For   For  
  2C.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To increase
the authorized shares of Live Oak's Class A Common
Stock, par value $0.0001 per share to 200,000,000 and
Live Oak's preferred stock to 10,000,000.		 Management   For   For  
  2D.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To remove
the business combination requirements. The Charter
Amendment Proposal (including each sub-proposal) is
conditioned on the approval of the Business Combination
Proposal.		 Management   For   For  
  2E.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To revise
the choice of forum provisions. The Charter Amendment
Proposal (including each sub- proposal) is conditioned on
the approval of the Business Combination Proposal.		 Management   For   For  
  2F.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To add the
supermajority voting provisions. The Charter Amendment
Proposal (including each sub-proposal) is conditioned on
the approval of the Business Combination Proposal.		 Management   For   For  
  2G.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To remove
the provision renouncing the corporate opportunity
doctrine. The Charter Amendment Proposal (including
each sub-proposal) is conditioned on the approval of the
Business Combination Proposal.		 Management   For   For  
  2H.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To remove
the provisions providing for a classified board of directors.
The Charter Amendment Proposal (including each sub-
proposal) is conditioned on the approval of the Business
Combination Proposal.		 Management   For   For  
  2I.   The Charter Amendment Proposal - To consider and vote
upon a proposal to approve the material differences
between the proposed fourth amended and restated
certificate of incorporation of Live Oak that will be in
effect upon the closing of the Business Combination and
Live Oak's current certificate of incorporation: To approve
all other changes. The Charter Amendment Proposal
(including each sub-proposal) is conditioned on the
approval of the Business Combination Proposal.		 Management   For   For  
  3.    DIRECTOR Management          
  1 Stephen E. Croskrey   For   For  
  2 John P. Amboian   For   For  
  3 Richard J. Hendrix   For   For  
  4 Christy Basco   For   For  
  5 Philip Gregory Calhoun   For   For  
  6 Gregory Hunt   For   For  
  7 Dr. Isao Noda   For   For  
  8 Stuart Pratt   For   For  
  4.    The NYSE Proposal - To consider and vote upon a
proposal to approve, for purposes of complying with the
applicable provisions of Section 312.03 of the New York
Stock Exchange's ("NYSE") Listed Company Manual: (i)
the issuance of more than 20% of Live Oak's Class A
Common Stock in connection with the Business
Combination, including, without limitation, to the investors
in the PIPE; (ii) the issuance of shares of Live Oak's
Class A Common Stock to a Related Party in connection
with the Business Combination.		 Management   For   For  
  5.    The Equity Incentive Plan Proposal - To consider and
vote upon a proposal to approve and adopt the equity
incentive award plan established to be effective after the
Closing of the Business Combination. The Equity
Incentive Plan Proposal is conditioned on the approval of
the Business Combination Proposal.		 Management   For   For  
  6.    The Employee Stock Purchase Plan Proposal - To
consider and vote upon a proposal approve and adopt
the employee stock purchase plan established to be
effective after the Closing of the Business Combination.
The Employee Stock Purchase Plan Proposal is
conditioned on the approval of the Business Combination
Proposal.		 Management   For   For  
  7.    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, based upon the tabulated vote at the time of
the special meeting, there are not sufficient votes to
approve one or more proposals presented to
stockholders for vote.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 6,985   0 21-Dec-2020 21-Dec-2020
    GX ACQUISITION CORP.        
  Security 36251A107   Meeting Type   Annual  
  Ticker Symbol GXGX              Meeting Date   29-Dec-2020  
  ISIN US36251A1079   Agenda   935316910 - Management
  Record Date 27-Nov-2020   Holding Recon Date   27-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   28-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management          
  1 Paul S. Levy   For   For  
  2.    Ratification of the selection by the audit committee of
Marcum LLP to serve as our independent registered
public accounting firm for the year ending December 31,
2020.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 1,686   0 15-Dec-2020 15-Dec-2020
    THUNDER BRIDGE ACQUISITION II, LTD        
  Security G8857S116   Meeting Type   Annual  
  Ticker Symbol THBR              Meeting Date   30-Dec-2020  
  ISIN KYG8857S1167   Agenda   935316958 - Management
  Record Date 01-Dec-2020   Holding Recon Date   01-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   29-Dec-2020  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    RESOLVED, as an ordinary resolution, that the selection
by the audit committee of Grant Thornton LLP to serve as
our independent registered public accounting firm for the
year ending December 31, 2020 be approved, adopted,
confirmed and ratified in all respects.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 16,262   0 15-Dec-2020 15-Dec-2020
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Contested-Special 
  Ticker Symbol EVF               Meeting Date   12-Jan-2021  
  ISIN US27826S1033   Agenda   935306604 - Opposition
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   11-Jan-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to consider and approve a new investment
advisory agreement with Eaton Vance Management.		 Management          
  2.    To authorize the Proxyholders to decline to attend the
Special Meeting if they believe that Proposal No. 1 is less
likely to be approved if your shares are not represented
at the Special Meeting (by making it more difficult for
more than 50% of the outstanding shares to be present in
person or by proxy) than if they are represented at the
Special Meeting.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 117,501   0 08-Jan-2021 08-Jan-2021
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Contested-Special 
  Ticker Symbol EVF               Meeting Date   12-Jan-2021  
  ISIN US27826S1033   Agenda   935311895 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   11-Jan-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  4a.   Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 117,501   0    
    SC HEALTH CORPORATION        
  Security G78516203   Meeting Type   Special 
  Ticker Symbol SCPE              Meeting Date   12-Jan-2021  
  ISIN KYG785162036   Agenda   935320692 - Management
  Record Date 21-Dec-2020   Holding Recon Date   21-Dec-2020  
  City / Country     / China     Vote Deadline Date   11-Jan-2021  
  SEDOL(s)     Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Proposal - 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 from January 16, 2021 to April 16,
2021.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 5,788   0 04-Jan-2021 04-Jan-2021
    SILVER SPIKE ACQUISITION CORP.        
  Security G8136L106   Meeting Type   Special 
  Ticker Symbol SSPK              Meeting Date   13-Jan-2021  
  ISIN KYG8136L1068   Agenda   935320755 - Management
  Record Date 18-Dec-2020   Holding Recon Date   18-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   12-Jan-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   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 from February 12,
2021 to July 10, 2021.		 Management   For   For  
  3.    Adjournment Adjourn the Extraordinary General 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 Proposal 1.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 13,033   0 04-Jan-2021 04-Jan-2021
    NUVEEN NEW YORK MUNICIPAL VALUE FUND 2        
  Security 670706100   Meeting Type   Annual  
  Ticker Symbol NYV               Meeting Date   15-Jan-2021  
  ISIN US6707061007   Agenda   935289923 - Management
  Record Date 08-Sep-2020   Holding Recon Date   08-Sep-2020  
  City / Country     / United
States		     Vote Deadline Date   14-Jan-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve an Agreement and Plan of Reorganization
pursuant to which Nuveen New York Municipal Value
Fund 2 (the "Target Fund") would: (i) transfer
substantially all of its assets to Nuveen New York
Municipal Value Fund, Inc. (the "Acquiring Fund"); (ii)
distribute such newly issued shares of the Acquiring Fund
to the common shareholders of the Target Fund; and (iii)
liquidate, dissolve and terminate in accordance with
applicable law.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 35,338   0 04-Dec-2020 14-Jan-2021
    BLACKROCK NY INSURED MUNICIPAL INCOME TR        
  Security 09249U105   Meeting Type   Special 
  Ticker Symbol BSE               Meeting Date   21-Jan-2021  
  ISIN US09249U1051   Agenda   935296877 - Management
  Record Date 16-Oct-2020   Holding Recon Date   16-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   20-Jan-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   The common shareholders and holders of Variable Rate
Demand Preferred Shares ("VRDP Shares" and the
holders thereof, "VRDP Holders") of BlackRock New York
Municipal Income Quality Trust ("BSE") are being asked
to vote as a single class on a proposal to approve an
Agreement and Plan of Reorganization between BSE and
BlackRock New York Municipal Income Trust (the
"Acquiring Fund" and such Agreement and Plan of
Reorganization, the "BSE Reorganization Agreement")
and the transactions contemplated therein.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 145,688   0 14-Dec-2020 14-Dec-2020
    CC NEUBERGER PRINCIPAL HOLDINGS        
  Security G1992Y114   Meeting Type   Special 
  Ticker Symbol PCPL              Meeting Date   02-Feb-2021  
  ISIN KYG1992Y1145   Agenda   935326442 - Management
  Record Date 23-Dec-2020   Holding Recon Date   23-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   01-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Domestication Proposal - to consider and vote upon
a proposal by special resolution to change the corporate
structure and domicile of CCNB1 by way of continuation
from an exempted company incorporated under the laws
of the Cayman Islands to a corporation incorporated
under the laws of the State of Delaware (the
"Domestication"). The Domestication will be effected
simultaneously with the Business Combination (as
defined below) by CCNB1 filing a Certificate of Corporate
Domestication ...(due to space limits, see proxy
statement for full proposal).		 Management   For   For  
  2.    The Business Combination Proposal - to consider and
vote upon a proposal by ordinary resolution to approve
the Business Combination Agreement, dated as of
October 14, 2020 (as amended or supplemented from
time to time, the "Business Combination Agreement"), by
and among CCNB1, Sonar Merger Sub I, LLC, a
Delaware limited liability company ("Blocker Merger Sub
1"), Sonar Merger Sub II, LLC, a Delaware limited liability
company ("Blocker Merger Sub 2"), Sonar Merger Sub III,
LLC ...(due to space limits, see proxy statement for full
proposal).		 Management   For   For  
  3.    The Equity Incentive Plan Proposal - to consider and vote
upon the approval by ordinary resolution of the Equity
Incentive Plan. CCNB1 refers to this as the "Equity
Incentive Plan Proposal." A copy of the Equity Incentive
Plan is attached to an amendment to the accompanying
proxy statement/prospectus.		 Management   For   For  
  4.    The Charter Proposal - to consider and vote upon the
approval by special resolution of the amendment and
restatement of the Existing Organizational Documents
(as defined herein) in their entirety by the proposed new
certificate of incorporation (the "Certificate of
Incorporation") of the Company (a corporation
incorporated in the State of Delaware, assuming the
Domestication Proposal is approved and adopted, and
the filing with and acceptance by the Secretary of State of
Delaware ...(due to space limits, see proxy statement for
full proposal).		 Management   For   For  
  5A.   Organizational Documents Proposal 5a - an amendment
to change the authorized capital stock of CCNB1 from (i)
500,000,000 Class A ordinary shares, par value $0.0001
per share (the "Class A ordinary shares"), 50,000,000
Class B ordinary shares, par value $0.001 per share (the
"Class B ordinary shares"), and 1,000,000 preference
shares, par value $0.0001 per share, to (ii) 2,500,000,000
shares of Class A common stock, par value $0.0001 per
share, of the Company (the "Class A common stock")
...(due to space limits, see proxy statement for full
proposal).		 Management   For   For  
  5B.   Organizational Documents Proposal 5b - an amendment
to authorize the board of the directors of the Company
subsequent to the completion of the Business
Combination (the "Company Board") to make future
issuances of any or all shares of Preferred Stock in one
or more classes or series, with such terms and conditions
as may be expressly determined by the Company Board
and as may be permitted by the DGCL.		 Management   For   For  
  5C.   Organizational Documents Proposal 5c - an amendment
to provide that certain provisions of the Certificate of
Incorporation are subject to certain provisions of the
Investor Rights Agreement (as defined in the
accompanying proxy statement/prospectus).		 Management   For   For  
  5D.   Organizational Documents Proposal 5d - an amendment
to remove the ability of the Company's stockholders to
take action by written consent in lieu of a meeting unless
such action is recommended or approved by all directors
then in office.		 Management   For   For  
  5E.   Organizational Documents Proposal 5e - an amendment
to authorize the classification of the Company Board into
three classes of directors with staggered three-year terms
of office and make certain related changes.		 Management   For   For  
  5F.   Organizational Documents Proposal 5f - an amendment
to adopt Delaware as the exclusive forum for certain
stockholder litigation.		 Management   For   For  
  5G.   Organizational Documents Proposal 5g - certain other
changes in connection with the replacement of Existing
Organizational Documents with the Certificate of
Incorporation and Bylaws to be adopted as part of the
Domestication (copies of which are attached to the
accompanying proxy statement/ prospectus as Annex E
and Annex F, respectively), including (1) changing the
post-Business Combination corporate name from "CC
Neuberger Principal Holdings I" to "E2open Parent
Holdings, Inc.		 Management   For   For  
  6.    The NYSE Proposal - to consider and vote upon a
proposal by ordinary resolution to approve, for the
purposes of complying with the applicable provisions of
NYSE Listing Rule 312.03, the issuance of shares of
Class A common stock, and securities convertible into or
exchangeable for Class A common stock, in connection
with the Business Combination, the PIPE Investment, the
Backstop Agreement, and any Permitted Equity
Financing and shares of Class A common stock
underlying Restricted Sponsor Shares (the "NYSE
Proposal").		 Management   For   For  
  7.    The Adjournment Proposal - to consider and vote upon a
proposal by ordinary resolution to approve the
adjournment of the extraordinary general 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 the approval of one or more
proposals at the extraordinary general meeting (this
proposal is referred to herein as the "Adjournment
Proposal")		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 43,113   0 28-Jan-2021 28-Jan-2021
    AGBA ACQUISITION LIMITED        
  Security G0120M109   Meeting Type   Special 
  Ticker Symbol AGBA              Meeting Date   05-Feb-2021  
  ISIN VGG0120M1095   Agenda   935329082 - Management
  Record Date 12-Jan-2021   Holding Recon Date   12-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   04-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    APPROVAL OF AN AMENDMENT TO 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") THREE (3) TIMES FOR AN
ADDITIONAL THREE MONTHS EACH TIME FROM
FEBRUARY 16, 2021 TO NOVEMBER 16, 2021.		 Management   For   For  
  2.    APPROVAL OF AN AMENDMENT TO THE
COMPANY'S EXISTING INVESTMENT MANAGEMENT
TRUST AGREEMENT TO MAKE CHANGES
NECESSARY TO REFLECT THE EXTENSION.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 30,883   0 28-Jan-2021 28-Jan-2021
    EATON VANCE LIMITED DURATION INCOME FD        
  Security 27828H105   Meeting Type   Annual  
  Ticker Symbol EVV               Meeting Date   11-Feb-2021  
  ISIN US27828H1059   Agenda   935319473 - Management
  Record Date 30-Nov-2020   Holding Recon Date   30-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   10-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A)   DIRECTOR Management   Split   Split  
  1 Helen Frame Peters   Split   Split  
  2 Marcus L. Smith   Split   Split  
  3 Susan J. Sutherland   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 24,300   0 10-Feb-2021 10-Feb-2021
    EATON VANCE LIMITED DURATION INCOME FD        
  Security 27828H105   Meeting Type   Annual  
  Ticker Symbol EVV               Meeting Date   11-Feb-2021  
  ISIN US27828H1059   Agenda   935319473 - Management
  Record Date 30-Nov-2020   Holding Recon Date   30-Nov-2020  
  City / Country     / United
States		     Vote Deadline Date   10-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A)   DIRECTOR Management   Split   Split  
  1 Helen Frame Peters   Split   Split  
  2 Marcus L. Smith   Split   Split  
  3 Susan J. Sutherland   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 92,204   0 10-Feb-2021 10-Feb-2021
    EATON VANCE LIMITED DURATION INCOME FD        
  Security 27828H105   Meeting Type   Special 
  Ticker Symbol EVV               Meeting Date   23-Feb-2021  
  ISIN US27828H1059   Agenda   935312556 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 24,300   0 06-Jan-2021 06-Jan-2021
    EATON VANCE LIMITED DURATION INCOME FD        
  Security 27828H105   Meeting Type   Special 
  Ticker Symbol EVV               Meeting Date   23-Feb-2021  
  ISIN US27828H1059   Agenda   935312556 - Management
  Record Date 29-Oct-2020   Holding Recon Date   29-Oct-2020  
  City / Country     / United
States		     Vote Deadline Date   22-Feb-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 92,204   0 06-Jan-2021 06-Jan-2021
    OAKTREE SPECIALTY LENDING CORPORATION        
  Security 67401P108   Meeting Type   Annual  
  Ticker Symbol OCSL              Meeting Date   15-Mar-2021  
  ISIN US67401P1084   Agenda   935330946 - Management
  Record Date 19-Jan-2021   Holding Recon Date   19-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   12-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Director: Deborah Gero Management          
  1B.   Election of Director: Craig Jacobson Management          
  2.    To ratify the appointment of Ernst & Young LLP as the
Independent Registered Public Accounting Firm for the
Company for the fiscal year ending September 30, 2021.		 Management          
  3.    To approve the issuance of shares of common stock, par
value $0.01 per share, of the Company to be issued
pursuant to the Agreement and Plan of Merger, dated as
of October 28, 2020, among Oaktree Strategic Income
Corporation, a Delaware corporation ("OCSI"), the
Company, Lion Merger Sub, Inc., a Delaware corporation
and a direct wholly-owned subsidiary of the Company,
and, for the limited purposes set forth therein, Oaktree
Fund Advisors, LLC, a Delaware limited liability company
and investment adviser to each of the Company and
OCSI.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 1,056,560   0    
    OAKTREE STRATEGIC INCOME CORPORATION        
  Security 67402D104   Meeting Type   Special 
  Ticker Symbol OCSI              Meeting Date   15-Mar-2021  
  ISIN US67402D1046   Agenda   935331152 - Management
  Record Date 19-Jan-2021   Holding Recon Date   19-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   12-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To adopt the Agreement and Plan of Merger, dated as of
October 28, 2020 ("Merger Agreement"), among the
Company, Oaktree Specialty Lending Corporation,
("OCSL"), Lion Merger Sub, Inc., and a direct wholly-
owned subsidiary of OCSL ("Merger Sub"), and, for the
limited purposes set forth therein, Oaktree Fund
Advisors, LLC, and investment adviser to each of OCSL
and the Company, and approve the transactions
contemplated thereby, including the merger of Merger
Sub with and into the Company and, the merger of the
Company with and into OCSL.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 52,374   0    
    OWL ROCK CAPITAL CORPORATION        
  Security 69121K104   Meeting Type   Special 
  Ticker Symbol ORCC              Meeting Date   17-Mar-2021  
  ISIN US69121K1043   Agenda   935331037 - Management
  Record Date 15-Jan-2021   Holding Recon Date   15-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   16-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the Company's entry into an amended and
restated investment advisory agreement (the "New
Advisory Agreement") between the Company and Owl
Rock Capital Advisors LLC (the "Adviser"), pursuant to
which the Adviser will continue to provide investment
advisory and management services to the Company
following the change in control of the Adviser with no
changes to terms, as more fully described in the
accompanying proxy statement (the "New Advisory
Agreement Proposal").		 Management          
  2.    To approve the adjournment of the Special Meeting, if
necessary or appropriate, to solicit additional proxies if
there are insufficient votes at the time of the Special
Meeting to approve the New Advisory Agreement
Proposal (the "Adjournment Proposal").		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 198,556   0    
    EATON VANCE FLOATING-RATE INCOME PLUS        
  Security 278284104   Meeting Type   Contested-Special 
  Ticker Symbol EFF               Meeting Date   19-Mar-2021  
  ISIN US2782841041   Agenda   935335871 - Management
  Record Date 15-Jan-2021   Holding Recon Date   15-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   18-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Approval of a new investment advisory and administrative
agreement with Eaton Vance Management to continue to
serve as the Fund's investment adviser and
administrator.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 227,905   0    
    EATON VANCE FLOATING-RATE INCOME PLUS        
  Security 278284104   Meeting Type   Contested-Special 
  Ticker Symbol EFF               Meeting Date   19-Mar-2021  
  ISIN US2782841041   Agenda   935336328 - Opposition
  Record Date 15-Jan-2021   Holding Recon Date   15-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   18-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Proposal to consider and approve a new investment
advisory agreement with Eaton Vance Management.		 Management          
  2.    To authorize the Proxyholders to decline to attend the
Special Meeting if they believe that Proposal No. 1 is less
likely to be approved if your shares are not represented
at the Special Meeting (by making it more difficult for
more than 50% of the outstanding shares to be present in
person or by proxy) than if they are represented at the
Special Meeting.		 Management          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 227,905   0    
    REPLAY ACQUISITION CORP.        
  Security G75130107   Meeting Type   Special 
  Ticker Symbol RPLA              Meeting Date   25-Mar-2021  
  ISIN KYG751301071   Agenda   935336998 - Management
  Record Date 28-Jan-2021   Holding Recon Date   28-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   24-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   The Domestication: A proposal to be approved as a
special resolution to change Replay's jurisdiction of
incorporation from the Cayman Islands to the State of
Delaware by deregistering as an exempted company in
the Cayman Islands and continuing and domesticating as
a limited liability company formed under the laws of the
State of Delaware.		 Management   For   For  
  1B.   The Replay Limited Liability Company Agreement (the
"Replay LLCA"): A proposal to be approved as a special
resolution to approve and adopt the Replay LLCA to
govern Replay upon its Domestication.		 Management   For   For  
  1C.   The Business Combination: A proposal to approve the
transactions contemplated by the Transaction
Agreement, dated October 12, 2020 (the "Transaction
Agreement"), by and among Replay, Finance of America
Equity Capital LLC ("FoA"), Finance of America
Companies Inc. ("New Pubco"), RPLY Merger Sub LLC
("Replay Merger Sub"), RPLY BLKR Merger Sub LLC
("Blocker Merger Sub"), Blackstone Tactical
Opportunities Fund (Urban Feeder)  NQ L.P. ("Blocker"),
Blackstone Tactical Opportunities Associates ... (due to
space limits, see proxy statement for full proposal).		 Management   For   For  
  2A.   The Stock Issuance Proposals: Each issuance of
Ordinary Shares pursuant to each Replay PIPE
Agreement.		 Management   For   For  
  2B.   The Stock Issuance Proposals: Each issuance of shares
of Class A Common Stock pursuant to each New Pubco
PIPE Agreement.		 Management   For   For  
  2C.   The Stock Issuance Proposals: Each issuance of shares
of Class A Common Stock pursuant to the Transaction
Agreement.		 Management   For   For  
  2D.   The Stock Issuance Proposals: Each issuance of shares
of Class B Common Stock pursuant to the Transaction
Agreement.		 Management   For   For  
  2E.   The Stock Issuance Proposals: Each issuance of
Ordinary Shares pursuant to each Replay PIPE
Agreement entered into with an affiliate of Replay
Sponsor, LLC (the "Sponsor").		 Management   For   For  
  2F.   The Stock Issuance Proposals: Each issuance of shares
of Class A Common Stock to the Sellers, Blocker and
Blocker GP pursuant to the Transaction Agreement.		 Management   For   For  
  2G.   The Stock Issuance Proposals: Each issuance of Class B
Common Stock to the Sellers pursuant to the Transaction
Agreement.		 Management   For   For  
  3A.   Organizational Documents Proposal A: To approve the
provision in the Proposed Charter changing the
authorized share capital from $20,200 divided into
200,000,000 Ordinary Shares of a par value of $0.0001
each and 2,000,000 preferred shares of a par value of
$0.0001 each, to authorized capital stock of
6,601,000,000 shares, consisting of 6,000,000,000
shares of Class A Common Stock, $0.0001 par value per
share, 1,000,000 shares of Class B Common Stock,
$0.0001 par value per share, and 600,000,000 ... (due to
space limits, see proxy statement for full proposal).		 Management   For   For  
  3B.   Organizational Documents Proposal B: To approve the
provisions in the Proposed Charter, pursuant to which
only the board of directors, the chairman of the board of
directors or the chief executive officer, by or at their
direction, may call a special meeting of the stockholders
generally entitled to vote, or the board of directors or the
chairman of the board of directors must, by or at their
direction, call such a special meeting at the request of the
Principal Stockholders except during any time ...(due to
space limits, see proxy statement for full proposal).		 Management   For   For  
  3C.   Organizational Documents Proposal C: To approve all
other changes in connection with the replacement of the
Existing Organizational Documents of Replay with the
Proposed Organizational Documents of New Pubco,
including, among other things, (i) changing from a blank
check company seeking a business combination within a
certain period (as provided in the Existing Organizational
Documents), to a corporation having perpetual existence
(as provided in the Proposed Charter), ... (due to space
limits, see proxy statement for full proposal).		 Management   For   For  
  4.    The Incentive Plan Proposal: A proposal to approve the
adoption of the Finance of America Companies Inc. 2021
Omnibus Incentive Plan (the "Incentive Plan").		 Management   For   For  
  5.    The Extension Proposal: A proposal to be approved by
special resolution to approve an extension of the date by
which Replay must consummate a Business Combination
(as defined in the Existing Organizational Documents) to
October 8, 2021 (or, if elected by FoA prior to the date
the Registration Statement is declared effective under the
Securities Act of 1933, such other date designated by
FoA) to be effected by way of amendment and
restatement of the Existing Organizational Documents.		 Management   For   For  
  6.    The Adjournment Proposal: A proposal to approve 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 Cayman Proposals, the Stock Issuance
Proposals, the Organizational Documents Proposals, the
Incentive Plan Proposal and/or the Extension Proposal.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 21,524   0 04-Mar-2021 04-Mar-2021
    ABERDEEN FUNDS        
  Security 00301W105   Meeting Type   Annual  
  Ticker Symbol AEF               Meeting Date   01-Apr-2021  
  ISIN US00301W1053   Agenda   935340579 - Management
  Record Date 16-Feb-2021   Holding Recon Date   16-Feb-2021  
  City / Country     / United
States		     Vote Deadline Date   31-Mar-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.1   Election of Class I Director for three year term until 2024
Annual Meeting: Nancy Yao Maasbach		 Management   Split   Split  
  1.2   Election of Class I Director for three year term until 2024
Annual Meeting: Rahn Porter		 Management   Split   Split  
  2.1   To consider the continuation of the term of one Class III
Director under the Fund's Corporate Governance Policies
for a two-year term ending in 2023: Steven N. Rappaport		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 303,391   0 31-Mar-2021 31-Mar-2021
    KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC        
  Security 48661E108   Meeting Type   Annual  
  Ticker Symbol KMF               Meeting Date   08-Apr-2021  
  ISIN US48661E1082   Agenda   935347547 - Management
  Record Date 12-Feb-2021   Holding Recon Date   12-Feb-2021  
  City / Country     / United
States		     Vote Deadline Date   07-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   ELECTION OF DIRECTOR FOR A TERM OF THREE
YEARS: MICHAEL J. LEVITT		 Management   Split   Split  
  2.    THE RATIFICATION OF THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS KMF'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2021.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 343,242   0 07-Apr-2021 07-Apr-2021
    TUSCAN HOLDINGS CORP II        
  Security 90070A103   Meeting Type   Annual  
  Ticker Symbol THCA              Meeting Date   14-Apr-2021  
  ISIN US90070A1034   Agenda   935362551 - Management
  Record Date 16-Mar-2021   Holding Recon Date   16-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   13-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment Proposal: Amend the Company's
amended and restated certificate of incorporation to
extend the date that the Company has to consummate a
business combination to September 30, 2021.		 Management   For   For  
  2.    Early Termination Proposal: 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 Sila Calderón   For   For  
  2 Michael Auerbach   For   For  
  4.    Adjournment Proposal: Approve the adjournment of the
annual meeting to a later date or dates, if the Company
determines that additional time is necessary to effectuate
the Extension.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 92,638   0 26-Mar-2021 26-Mar-2021
    SC HEALTH CORPORATION        
  Security G78516203   Meeting Type   Special 
  Ticker Symbol SCPE              Meeting Date   14-Apr-2021  
  ISIN KYG785162036   Agenda   935364341 - Management
  Record Date 18-Mar-2021   Holding Recon Date   18-Mar-2021  
  City / Country     / China     Vote Deadline Date   13-Apr-2021  
  SEDOL(s)     Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Proposal: 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 from April 16, 2021 to August 16,
2021.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 5,788   0 26-Mar-2021 26-Mar-2021
    PGIM INVESTMENTS        
  Security 69346J106   Meeting Type   Annual  
  Ticker Symbol GHY               Meeting Date   16-Apr-2021  
  ISIN US69346J1060   Agenda   935329676 - Management
  Record Date 18-Dec-2020   Holding Recon Date   18-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   15-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Scott E. Benjamin   Split   Split  
  2 Linda W. Bynoe   Split   Split  
  3 Laurie Simon Hodrick   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 101,509   0 08-Mar-2021 15-Apr-2021
    PGIM INVESTMENTS        
  Security 69346J106   Meeting Type   Annual  
  Ticker Symbol GHY               Meeting Date   16-Apr-2021  
  ISIN US69346J1060   Agenda   935329676 - Management
  Record Date 18-Dec-2020   Holding Recon Date   18-Dec-2020  
  City / Country     / United
States		     Vote Deadline Date   15-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Scott E. Benjamin   Split   Split  
  2 Linda W. Bynoe   Split   Split  
  3 Laurie Simon Hodrick   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 222,874   0 08-Mar-2021 15-Apr-2021
    UNION ACQUISITION CORP. II        
  Security G9402Q100   Meeting Type   Special 
  Ticker Symbol LATN              Meeting Date   16-Apr-2021  
  ISIN KYG9402Q1001   Agenda   935356762 - Management
  Record Date 10-Mar-2021   Holding Recon Date   10-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   15-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment: A special resolution to amend the
Company's Amended and Restated Memorandum and
Articles of Association to extend the date by which the
Company must consummate a Business Combination
from April 22, 2021 to October 22, 2021.		 Management   For   For  
  2.    Adjournment: An ordinary resolution to adjourn the
Extraordinary General Meeting to a later date or dates, if
necessary, to permit further solicitation and vote of
proxies in the event there are insufficient votes for, or
otherwise in connection with, the approval of Proposal 1.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 5,982   0 12-Apr-2021 12-Apr-2021
    BARINGS CORPORATE INVESTORS        
  Security 06759X107   Meeting Type   Annual  
  Ticker Symbol MCI               Meeting Date   23-Apr-2021  
  ISIN US06759X1072   Agenda   935345365 - Management
  Record Date 22-Feb-2021   Holding Recon Date   22-Feb-2021  
  City / Country     / United
States		     Vote Deadline Date   22-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Edward P. Grace, III   Split   Split  
  2 Clifford M. Noreen   Split   Split  
  3 Eric J. Lloyd   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 86,115   0 22-Apr-2021 22-Apr-2021
    BARINGS PARTICIPATION INVESTORS        
  Security 06761A103   Meeting Type   Annual  
  Ticker Symbol MPV               Meeting Date   23-Apr-2021  
  ISIN US06761A1034   Agenda   935345377 - Management
  Record Date 22-Feb-2021   Holding Recon Date   22-Feb-2021  
  City / Country     / United
States		     Vote Deadline Date   22-Apr-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Edward P. Grace, III   Split   Split  
  2 Clifford M. Noreen   Split   Split  
  3 Eric J. Lloyd   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 122,461   0 22-Apr-2021 22-Apr-2021
    PERSHING SQUARE HOLDINGS LTD        
  Security G7016V101   Meeting Type   Annual General Meeting
  Ticker Symbol     Meeting Date   28-Apr-2021  
  ISIN GG00BPFJTF46   Agenda   713746812 - Management
  Record Date 16-Apr-2021   Holding Recon Date   16-Apr-2021  
  City / Country   ST
PETER
PORT		 / Guernsey     Vote Deadline Date   20-Apr-2021  
  SEDOL(s) BG0H5M9 - BPFJTF4 - BRJLBM1 -
BS7JCJ8 - BVG1TQ2		   Quick Code      
                                                                 
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1     ACCEPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS		 Management   For   For  
  2     TO RE-APPOINT ERNST & YOUNG LLP, WHO HAVE
INDICATED THEIR WILLINGNESS TO CONTINUE IN
OFFICE, AS AUDITOR OF THE COMPANY (THE
AUDITOR) FROM THE CONCLUSION OF THIS AGM
UNTIL THE CONCLUSION OF THE NEXT ANNUAL
GENERAL MEETING OF THE COMPANY		 Management   For   For  
  3     AUTHORISE BOARD TO FIX REMUNERATION OF
AUDITORS		 Management   For   For  
  4     RE-ELECT NICHOLAS BOTTA AS DIRECTOR Management   For   For  
  5     RE-ELECT ANNE FARLOW AS DIRECTOR Management   For   For  
  6     RE-ELECT BRONWYN CURTIS AS DIRECTOR Management   For   For  
  7     ELECT ANDREW HENTON AS DIRECTOR Management   For   For  
  8     ELECT TOPE LAWANI AS DIRECTOR Management   For   For  
  9     ELECT RUPERT MORLEY AS DIRECTOR Management   For   For  
  10    ELECT TRACY PALANDJIAN AS DIRECTOR Management   For   For  
  11    AUTHORISE MARKET PURCHASE OF PUBLIC
SHARES		 Management   For   For  
  12    AUTHORISE ISSUE OF EQUITY WITHOUT PRE-
EMPTIVE RIGHTS		 Management   For   For  
  CMMT  07 APR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF TEXT-OF
RESOLUTION 2. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT VOTE-AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU		 Non-Voting          
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  AL97 AL97   STATE
STREET BANK		 257,257   0 15-Apr-2021 15-Apr-2021
    SOURCE CAPITAL, INC.        
  Security 836144105   Meeting Type   Annual  
  Ticker Symbol SOR               Meeting Date   10-May-2021  
  ISIN US8361441053   Agenda   935391261 - Management
  Record Date 22-Mar-2021   Holding Recon Date   22-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   07-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Atwood   Split   Split  
  2 Brown   Split   Split  
  3 Lipson   Split   Split  
  4 Osborne   Split   Split  
  5 Pisano   Split   Split  
  6 Purcell   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 15,950   0 07-May-2021 07-May-2021
    SOURCE CAPITAL, INC.        
  Security 836144105   Meeting Type   Annual  
  Ticker Symbol SOR               Meeting Date   10-May-2021  
  ISIN US8361441053   Agenda   935391261 - Management
  Record Date 22-Mar-2021   Holding Recon Date   22-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   07-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Atwood   Split   Split  
  2 Brown   Split   Split  
  3 Lipson   Split   Split  
  4 Osborne   Split   Split  
  5 Pisano   Split   Split  
  6 Purcell   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 26,851   0 07-May-2021 07-May-2021
    GREENVISION ACQUISITION CORP.        
  Security 39678G103   Meeting Type   Annual  
  Ticker Symbol GRNV              Meeting Date   12-May-2021  
  ISIN US39678G1031   Agenda   935411734 - Management
  Record Date 14-Apr-2021   Holding Recon Date   14-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   11-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Extension Amendment: Amend the Company's amended
and restated certificate of incorporation to extend the
date by which the Company has to consummate a
business combination from May 21, 2021 to August 19,
2021.		 Management   For   For  
  2.    DIRECTOR Management          
  1 Zhigeng (David) Fu   For   For  
  2 Qi (Karl) Ye   For   For  
  3 He (Herbert) Yu   For   For  
  4 Jonathan Intrater   For   For  
  5 Lee Stern   For   For  
  3.    Adjournment of Meeting: Approve the adjournment of the
annual meeting under certain circumstances, if necessary
or advisable, to permit further solicitation of proxies in the
event there are not sufficient votes at the time of the
special meeting to approve the Extension Amendment.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 65,740   0 30-Apr-2021 30-Apr-2021
    EATON VANCE FLOATING-RATE INCOME PLUS        
  Security 278284104   Meeting Type   Annual  
  Ticker Symbol EFF               Meeting Date   14-May-2021  
  ISIN US2782841041   Agenda   935393099 - Management
  Record Date 01-Mar-2021   Holding Recon Date   01-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   13-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the liquidation and termination of the Fund
pursuant to the Plan of Liquidation and Termination
adopted by the Board of Trustees of the Fund.		 Management   Split   Split  
  2.    DIRECTOR Management   Split   Split  
  1 William H. Park   Split   Split  
  2 Keith Quinton   Split   Split  
  3 Susan J. Sutherland   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 227,905   0 13-May-2021 13-May-2021
    XAI OCTAGON FUNDS        
  Security 98400T205   Meeting Type   Annual  
  Ticker Symbol XFLTPR            Meeting Date   18-May-2021  
  ISIN US98400T2050   Agenda   935411316 - Management
  Record Date 06-Apr-2021   Holding Recon Date   06-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   17-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Class I Trustee of the Trust, to be elected by
common shares and preferred shares voting as a single
class, to serve until the 2024 annual meeting: Theodore
J. Brombach		 Management   Split   Split  
  1B.   Election of Class I Trustee of the Trust, to be elected by
preferred shares voting as a separate class, to serve until
the 2024 annual meeting: Danielle Cupps		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 33,699   0 17-May-2021 17-May-2021
    BARINGS BDC, INC.        
  Security 06759L103   Meeting Type   Annual  
  Ticker Symbol BBDC              Meeting Date   20-May-2021  
  ISIN US06759L1035   Agenda   935375104 - Management
  Record Date 12-Mar-2021   Holding Recon Date   12-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   19-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Class III Director to serve until the 2024
Annual Meeting: David Mihalick		 Management   Split   Split  
  1B.   Election of Class III Director to serve until the 2024
Annual Meeting: Thomas W. Okel		 Management   Split   Split  
  1C.   Election of Class III Director to serve until the 2024
Annual Meeting: Jill Olmstead		 Management   Split   Split  
  2.    To authorize the Company, with subsequent approval of
its Board of Directors, to issue and sell shares of its
common stock at a price below its then current net asset
value per share in one or more offerings, subject to
certain limitations (including, without limitation, that the
number of shares does not exceed 30% of its then
outstanding common stock immediately prior to each
such offering).		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 200,000   0 19-May-2021 19-May-2021
    BARINGS BDC, INC.        
  Security 06759L103   Meeting Type   Annual  
  Ticker Symbol BBDC              Meeting Date   20-May-2021  
  ISIN US06759L1035   Agenda   935375104 - Management
  Record Date 12-Mar-2021   Holding Recon Date   12-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   19-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Class III Director to serve until the 2024
Annual Meeting: David Mihalick		 Management   Split   Split  
  1B.   Election of Class III Director to serve until the 2024
Annual Meeting: Thomas W. Okel		 Management   Split   Split  
  1C.   Election of Class III Director to serve until the 2024
Annual Meeting: Jill Olmstead		 Management   Split   Split  
  2.    To authorize the Company, with subsequent approval of
its Board of Directors, to issue and sell shares of its
common stock at a price below its then current net asset
value per share in one or more offerings, subject to
certain limitations (including, without limitation, that the
number of shares does not exceed 30% of its then
outstanding common stock immediately prior to each
such offering).		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 164,349   0 19-May-2021 19-May-2021
    VOYA PRIME RATE TRUST        
  Security 92913A100   Meeting Type   Special 
  Ticker Symbol PPR               Meeting Date   21-May-2021  
  ISIN US92913A1007   Agenda   935418295 - Management
  Record Date 08-Mar-2021   Holding Recon Date   08-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   20-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the New Investment Management Agreement
between the Fund and Saba Capital Management, L.P. in
connection with the Adviser Transition as defined in the
Proxy Statement.		 Management   Split   Split  
  2.    To remove the Fund's fundamental investment restriction
relating to investing in warrants.		 Management   Split   Split  
  3.    To remove the Fund's fundamental investment restriction
relating to purchasing or selling equity securities,
engaging in short-selling and the use of certain option
arrangements.		 Management   Split   Split  
  4.    To remove the Fund's fundamental investment restriction
relating to investing in other investment companies.		 Management   Split   Split  
  5.    To approve changing the Fund's sub-classification under
the Investment Company Act of 1940 from "diversified" to
"non-diversified."		 Management   Split   Split  
  6.    To approve a change of the investment objective and to
make the investment objective non-fundamental.		 Management   Split   Split  
  7.    To approve the adjournment of the Special Meeting, if
necessary or appropriate, to solicit additional proxies.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 2,933,696   0 20-May-2021 20-May-2021
    VOYA PRIME RATE TRUST        
  Security 92913A100   Meeting Type   Special 
  Ticker Symbol PPR               Meeting Date   21-May-2021  
  ISIN US92913A1007   Agenda   935418295 - Management
  Record Date 08-Mar-2021   Holding Recon Date   08-Mar-2021  
  City / Country     / United
States		     Vote Deadline Date   20-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    To approve the New Investment Management Agreement
between the Fund and Saba Capital Management, L.P. in
connection with the Adviser Transition as defined in the
Proxy Statement.		 Management   Split   Split  
  2.    To remove the Fund's fundamental investment restriction
relating to investing in warrants.		 Management   Split   Split  
  3.    To remove the Fund's fundamental investment restriction
relating to purchasing or selling equity securities,
engaging in short-selling and the use of certain option
arrangements.		 Management   Split   Split  
  4.    To remove the Fund's fundamental investment restriction
relating to investing in other investment companies.		 Management   Split   Split  
  5.    To approve changing the Fund's sub-classification under
the Investment Company Act of 1940 from "diversified" to
"non-diversified."		 Management   Split   Split  
  6.    To approve a change of the investment objective and to
make the investment objective non-fundamental.		 Management   Split   Split  
  7.    To approve the adjournment of the Special Meeting, if
necessary or appropriate, to solicit additional proxies.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 219,229   0 20-May-2021 20-May-2021
    NUVEEN MARYLAND QUALITY MUNICIPAL INC FD        
  Security 67061Q107   Meeting Type   Annual  
  Ticker Symbol NMY               Meeting Date   25-May-2021  
  ISIN US67061Q1076   Agenda   935346141 - Management
  Record Date 29-Jan-2021   Holding Recon Date   29-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   24-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   DIRECTOR Management   Split   Split  
  1 Jack B. Evans   Split   Split  
  2 Matthew Thornton III   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 84,659   0 05-Apr-2021 05-Apr-2021
    NUVEEN GEORGIA QUALITY MUNICIPAL INC FD        
  Security 67072B107   Meeting Type   Annual  
  Ticker Symbol NKG               Meeting Date   25-May-2021  
  ISIN US67072B1070   Agenda   935346141 - Management
  Record Date 29-Jan-2021   Holding Recon Date   29-Jan-2021  
  City / Country     / United
States		     Vote Deadline Date   24-May-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   DIRECTOR Management   Split   Split  
  1 Jack B. Evans   Split   Split  
  2 Matthew Thornton III   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 45,917   0 05-Apr-2021 05-Apr-2021
    THUNDER BRIDGE ACQUISITION II, LTD        
  Security G8857S116   Meeting Type   Special 
  Ticker Symbol THBR              Meeting Date   09-Jun-2021  
  ISIN KYG8857S1167   Agenda   935439756 - Management
  Record Date 10-May-2021   Holding Recon Date   10-May-2021  
  City / Country     / United
States		     Vote Deadline Date   08-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1)    RESOLVED, as special resolution that Thunder Bridge
Acquisition II, Ltd. be de-registered in the Cayman
Islands pursuant to Article 47 of the Amended and
Restated Articles of Association of Thunder Bridge
Acquisition II, Ltd. and be registered by way of
continuation as a corporation in the State of Delaware
and conditional upon, and with effect from, the
registration of Thunder Bridge Acquisition II, Ltd. in the
State of Delaware as a corporation, governed by the
certificate of incorporation attached as Annex A.		 Management   For   For  
  2)    RESOLVED, as an ordinary resolution, that Thunder
Bridge II's entry into the Master Transactions Agreement
dated effective as of December 14, 2020 (as amended or
supplemented from time to time, the "MTA") by and
among Thunder Bridge II, Surviving Pubco, Merger Subs,
indie, the ADK Blocker Group, ADK Service Provider
Holdco and, solely in its capacity as the indie
Securityholder Representative thereunder, Donald
McClymont, the consummation of the transactions
contemplated by the MTA, including the issuance of the
merger consideration thereunder.		 Management   For   For  
  3)    RESOLVED, as an ordinary resolution, that the indie
Semiconductor, Inc. 2021 Omnibus Equity Incentive Plan
(a copy of the 2021 Equity Incentive Plan is attached to
the proxy statement/prospectus as Annex C) be adopted
and approved in all respects.		 Management   For   For  
  4)    DIRECTOR Management          
  1 Sonalee Parekh   For   For  
  2 Ichiro Aoki   For   For  
  3 Jeffrey Owens   For   For  
  4 William Woodward   For   For  
  5 Karl-Thomas Neumann   For   For  
  6 Diane Brink   For   For  
  7 Donald McClymont   For   For  
  8 Peter Kight   For   For  
  9 David Aldrich   For   For  
  5)    RESOLVED, as an ordinary resolution, that the issuance
of an aggregate of 90,000,000 Merger Consideration
shares, up to an aggregate of 10,000,000 Earn-Out
Shares, and 15,000,000 Class A ordinary shares in the
PIPE Financing be approved and adopted in all respects.		 Management   For   For  
  6A)   Advisory Charter Proposal A - to provide that the total
number of shares of all classes of capital stock which the
Company will have authority to issue is 300,000,000
shares, consisting of (i) 250,000,000 shares of Class A
common stock, par value $0.0001 per share, (ii)
40,000,000 shares of Class V common stock, no par
value, and (iii) 10,000,000 shares of preferred stock, par
value $0.0001 per share.		 Management   For   For  
  6B)   Advisory Charter Proposal B - to provide that special
meetings of stockholders of the Company may be called
only (i) by the chairman of the board of directors, (ii) by
the chief executive officer, or (iii) by the secretary acting
at the request of a majority of the total number of
directors that the Company would have if there were no
vacancies.		 Management   For   For  
  6C)   Advisory Charter Proposal C - to provide that any action
of the stockholders of the Company may be taken without
a meeting, without prior notice and without a vote, if a
consent in writing, setting forth the action so taken, is
signed by the holders of outstanding stock having not
less than the minimum number of votes that would be
necessary to authorize or take such action at a meeting
at which all shares entitled to vote thereon were present
and voted.		 Management   For   For  
  6D)   Advisory Charter Proposal D - to provide that the
Company's board of directors will be divided into three
classes designated as Class I, Class II and Class III.		 Management   For   For  
  6E)   Advisory Charter Proposal E - to provide that directors
may be elected by the stockholders only at an annual
meeting of stockholders by a plurality of the votes cast.		 Management   For   For  
  6F)   Advisory Charter Proposal F - to provide that any director
may be removed from office at any time, but only for
cause, by the affirmative vote of the holders of at least
662/3% of the voting power of the outstanding voting
capital stock of the Company, voting together as a single
class.		 Management   For   For  
  6G)   Advisory Charter Proposal G - to provide that the
affirmative vote of the holders of at least 662/3% of the
voting power of the outstanding voting capital stock of the
Company, voting together as a single class, will be
required to amend or repeal, or adopt any provision
inconsistent with, provisions relating to calling special
meetings of stockholders and stockholder action by
written consent.		 Management   For   For  
  6H)   Advisory Charter Proposal H - to provide that the Court of
Chancery of the State of Delaware or, if such court does
not have subject matter jurisdiction thereof, any federal
court located within the State of Delaware, shall be the
exclusive forum for certain actions and claims.		 Management   For   For  
  6I)   Advisory Charter Proposal I - to provide that the
Company will not be subject to provisions Section 203 of
the DGCL, which generally prohibits "interested
stockholders" (stockholders holding 15% or more of the
outstanding stock) from engaging in business
combinations with the Company for a period of time
unless certain conditions are met.		 Management   For   For  
  7)    RESOLVED, as an ordinary resolution, that the
adjournment of the Shareholders Meeting to a later date
or dates, if necessary to permit further solicitation and
vote of proxies if it is determined by Thunder Bridge II
that more time is necessary or appropriate to approve
one or more Shareholder Proposals at the Shareholders
Meeting be approved and adopted in all respects.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 11,284   0 21-May-2021 21-May-2021
    CHURCHILL CAP CORP II        
  Security 17143G106   Meeting Type   Special 
  Ticker Symbol CCX               Meeting Date   10-Jun-2021  
  ISIN US17143G1067   Agenda   935450089 - Management
  Record Date 28-Apr-2021   Holding Recon Date   28-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   09-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    The Merger Proposal - To consider and vote upon a
proposal to approve the Agreement and Plan of Merger,
dated as of October 12, 2020 (as it may be amended
and/or restated from time to time, the "Skillsoft Merger
Agreement"), by and among Churchill and Software
Luxembourg Holding S.A. ("Skillsoft"), and the
transactions contemplated thereby.		 Management   For   For  
  2.    The Merger Issuance Proposal - To consider and vote
upon a proposal to approve, for purposes of complying
with applicable listing rules of the New York Stock
Exchange (the "NYSE"), the issuance of shares of
Churchill Class A common stock and Churchill Class C
common stock pursuant to the Skillsoft Merger
Agreement.		 Management   For   For  
  3.    The Charter Amendment Proposal - To consider and vote
upon a proposal to adopt an amendment (the "Charter
Amendment") to Churchill's amended and restated
certificate of incorporation currently in effect (the "Existing
Charter") in the form attached to the Joint Proxy
Statement/Prospectus as Annex B.		 Management   For   For  
  4.    The Charter Approval Proposal - To consider and vote
upon a proposal to adopt the Second Amended and
Restated Certificate of Incorporation (the "Proposed
Charter") in the form attached to the Joint Proxy
StatementProspectus as Annex C.		 Management   For   For  
  5.    The Governance Proposal - To consider and act upon, on
a non- binding advisory basis, a separate proposal with
respect to certain governance provisions in the Proposed
Charter in order to give holders of Churchill common
stock the opportunity to present their separate views on
important corporate governance procedures.		 Management   For   For  
  6A.   Election of Director: Jeffrey R. Tarr Management   For   For  
  6B.   Election of Director: Helena B. Foulkes Management   For   For  
  6C.   Election of Director: Ronald W. Hovsepian Management   For   For  
  6D.   Election of Director: Michael Klein Management   For   For  
  6E.   Election of Director: Karen G. Mills Management   For   For  
  6F.   Election of Director: Lawrence H. Summers Management   For   For  
  6G.   Election of Director: Peter Schmitt Management   For   For  
  7.    The Prosus PIPE Issuance Proposal - To consider and
vote upon a proposal to approve, for purposes of
complying with the applicable listing rules of the NYSE,
the issuance of shares of Churchill Class A common
stock pursuant to the Prosus Subscription Agreement
(including the shares issuable (i) upon Prosus's exercise
of the Prosus Top-Up Right and (ii) upon Prosus's
exercise of the Prosus Warrants (each as defined in the
Joint Proxy Statement/Prospectus)).		 Management   For   For  
  8.    The SuRo PIPE Issuance Proposal - To consider and
vote upon a proposal to approve, for purposes of
complying with the applicable listing rules of the NYSE,
the issuance of shares of Class A common stock
pursuant to the SuRo Subscription Agreement (as
defined in the Joint Proxy Statement/Prospectus).		 Management   For   For  
  9.    The Incentive Plan Proposal - To consider and vote upon
a proposal to approve and adopt the Incentive Plan (as
defined in the Joint Proxy Statement/Prospectus).		 Management   For   For  
  10.   The Adjournment Proposal - To consider and vote upon a
proposal to approve the adjournment of the Churchill
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.		 Management   For   For  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 56,976   0 01-Jun-2021 01-Jun-2021
    NEXPOINT FUNDS        
  Security 65340G205   Meeting Type   Annual  
  Ticker Symbol NHF               Meeting Date   11-Jun-2021  
  ISIN US65340G2057   Agenda   935432459 - Management
  Record Date 19-Apr-2021   Holding Recon Date   19-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   10-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1A.   Election of Class III Trustee to serve for a three year term
expiring at the 2024 Annual Meeting: John Honis		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 117,930   0 10-Jun-2021 10-Jun-2021
    FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC        
  Security 26943B100   Meeting Type   Annual  
  Ticker Symbol FCRD              Meeting Date   17-Jun-2021  
  ISIN US26943B1008   Agenda   935422749 - Management
  Record Date 23-Apr-2021   Holding Recon Date   23-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   16-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Christopher J. Flynn   Split   Split  
  2 E.P. Giambastiani, Jr.   Split   Split  
  3 Nancy Hawthorne   Split   Split  
  4 James D. Kern   Split   Split  
  5 Deborah McAneny   Split   Split  
  6 Jane Musser Nelson   Split   Split  
  2.    To ratify the appointment of PricewaterhouseCoopers
LLP as the independent registered public accounting firm
for such Company for the fiscal year ending December
31, 2021.		 Management   Split   Split  
  3.    To approve an amendment to our Third Amended and
Restated Certificate of Incorporation ("Charter") to
remove the ability of the continuing directors to remove
any director for cause and allow stockholders to remove
directors, with or without cause, by the holders of a
majority of shares then entitled to vote.		 Management   Split   Split  
  4.    To approve the adjournment of the Annual Meeting, if
necessary or appropriate, to solicit additional proxies.		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 340,090   0 16-Jun-2021 16-Jun-2021
     MORGAN STANLEY EMERGING MKTS        
  Security 617477104   Meeting Type   Annual  
  Ticker Symbol EDD               Meeting Date   24-Jun-2021  
  ISIN US6174771047   Agenda   935436065 - Management
  Record Date 05-Apr-2021   Holding Recon Date   05-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   23-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 Patricia Maleski#   Split   Split  
  2 Nancy C. Everett*   Split   Split  
  3 Michael F. Klein*   Split   Split  
  4 W. Allen Reed*   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 302,031   0 23-Jun-2021 23-Jun-2021
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Special 
  Ticker Symbol EVF               Meeting Date   24-Jun-2021  
  ISIN US27826S1033   Agenda   935453770 - Management
  Record Date 14-May-2021   Holding Recon Date   14-May-2021  
  City / Country     / United
States		     Vote Deadline Date   23-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL98 RIVERNORTH
OPP FUND FBO
NFSLLC		 AL98 STATE
STREET BANK
& TRUST CO		 350,000   0 23-Jun-2021 23-Jun-2021
    EATON VANCE SENIOR INCOME TRUST        
  Security 27826S103   Meeting Type   Special 
  Ticker Symbol EVF               Meeting Date   24-Jun-2021  
  ISIN US27826S1033   Agenda   935453770 - Management
  Record Date 14-May-2021   Holding Recon Date   14-May-2021  
  City / Country     / United
States		     Vote Deadline Date   23-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser		 Management   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 785,930   0 23-Jun-2021 23-Jun-2021
    CALAMOS INVESTMENTS        
  Security 12812C106   Meeting Type   Annual  
  Ticker Symbol CPZ               Meeting Date   29-Jun-2021  
  ISIN US12812C1062   Agenda   935440608 - Management
  Record Date 30-Apr-2021   Holding Recon Date   30-Apr-2021  
  City / Country     / United
States		     Vote Deadline Date   28-Jun-2021  
  SEDOL(s)     Quick Code      
    Item Proposal       Proposed
by		   Vote   For/Against
Management		          
  1.    DIRECTOR Management   Split   Split  
  1 John E. Neal   Split   Split  
  2 Karen L. Stuckey   Split   Split  
                                                                 
    Account
Number		 Account Name Internal Account Custodian Ballot Shares   Unavailable
Shares		 Vote Date Date
Confirmed		  
  997AL97 RIVERNORTH
OPPORTUNITIE
S FUND		 997AL97 STATE
STREET BANK
& TRUST CO		 275,160   0 28-Jun-2021 28-Jun-2021

 

 

 

 
 

 

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/ Kathryn A. Burns
    Kathryn A. Burns
    President
     
  Date: August 4, 2021