UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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 811-22298
Starboard Investment Trust
(Exact name of registrant as specified in charter)
(Exact name of registrant as specified in charter)
116 South Franklin Street, Rocky Mount, North Carolina 27804
(Address of principal executive offices) (Zip code)
Paracorp Inc.
2140 South Dupont Hwy, Camden, DE 19934
(Name and address of agent for service)
2140 South Dupont Hwy, Camden, DE 19934
(Name and address of agent for service)
Registrant's telephone number, including area code: 252-972-9922
Date of fiscal year end: March 31
Date of reporting period: July 1, 2020 - June 30, 2021
PROXY VOTING RECORDS Matisse Discounted Closed-End Fund Strategy | |||||||||||||||||
ROYCE GLOBAL VALUE TRUST, INC. | |||||||||||||||||
Security | 78081T104 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | RGT | Meeting Date | 14-Jul-20 | ||||||||||||||
Record Date | 1-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | PROPOSAL TO CONSIDER AND APPROVE A NEW INVESTMENT ADVISORY AGREEMENT, BY AND BETWEEN ROYCE & ASSOCIATES, LP AND ROYCE GLOBAL VALUE TRUST, INC. | Management | For | For | |||||||||||||
ROYCE MICRO-CAP TRUST, INC. | |||||||||||||||||
Security | 780915104 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | RMT | Meeting Date | 14-Jul-20 | ||||||||||||||
Record Date | 1-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | PROPOSAL TO CONSIDER AND APPROVE A NEW INVESTMENT ADVISORY AGREEMENT, BY AND BETWEEN ROYCE & ASSOCIATES, LP AND ROYCE MICRO-CAP TRUST, INC. | Management | For | For | |||||||||||||
ROYCE VALUE TRUST, INC. | |||||||||||||||||
Security | 780910105 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | RVT | Meeting Date | 14-Jul-20 | ||||||||||||||
Record Date | 1-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | PROPOSAL TO CONSIDER AND APPROVE A NEW INVESTMENT ADVISORY AGREEMENT, BY AND BETWEEN ROYCE & ASSOCIATES, LP AND ROYCE VALUE TRUST, INC. | Management | For | For | |||||||||||||
VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD | |||||||||||||||||
Security | 92912T100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IGD | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 24-Apr-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | DIRECTOR | Management | |||||||||||||||
MARTIN J. GAVIN | For | For | |||||||||||||||
DINA SANTORO | For | For | |||||||||||||||
VOYA INFRA, INDUSTRIALS AND MATERIALS | |||||||||||||||||
Security | 92912X101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IDE | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 24-Apr-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | DIRECTOR | Management | |||||||||||||||
MARTIN J. GAVIN | For | For | |||||||||||||||
DINA SANTORO | For | for | |||||||||||||||
VOYA GBL ADVANTAGE AND PREMIUM OPP FD | |||||||||||||||||
Security | 92912R104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IGA | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 24-Apr-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | DIRECTOR | Management | |||||||||||||||
MARTIN J. GAVIN | For | For | |||||||||||||||
DINA SANTORO | For | For | |||||||||||||||
CLOUGH GLOBAL OPPORTUNITIES FD-COMMON | |||||||||||||||||
Security | 18914E106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GLO | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 11-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
3 | DIRECTOR | Management | |||||||||||||||
ROBERT L. BUTLER | For | For | |||||||||||||||
KAREN DIGRAVIO | For | For | |||||||||||||||
KEVIN MCNALLY | For | For | |||||||||||||||
CLOUGH GLOBAL EQUITY FUND-COMMON | |||||||||||||||||
Security | 18914C100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GLQ | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 11-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
2 | DIRECTOR | Management | |||||||||||||||
EDMUND J. BURKE | For | For | |||||||||||||||
VINCENT W. VERSACI | For | For | |||||||||||||||
CLIFFORD J. WEBER | For | For | |||||||||||||||
WEST ASSET INFLA-LINKED OPP & INC FUND | |||||||||||||||||
Security | 95766R104 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | WIW | Meeting Date | 14-Jul-20 | ||||||||||||||
Record Date | 22-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | TO APPROVE A NEW MANAGEMENT AGREEMENT WITH WESTERN ASSET MANAGEMENT COMPANY, LLC | Management | For | For | |||||||||||||
2A. | TO APPROVE A NEW SUBADVISORY AGREEMENT WITH: WESTERN ASSET MANAGEMENT COMPANY LIMITED | Management | For | For | |||||||||||||
2B. | TO APPROVE A NEW SUBADVISORY AGREEMENT WITH: WESTERN ASSET MANAGEMENT COMPANY LTD | Management | For | For | |||||||||||||
2C. | TO APPROVE A NEW SUBADVISORY AGREEMENT WITH: WESTERN ASSET MANAGEMENT COMPANY PTE. LTD. | Management | For | For | |||||||||||||
BR RESOURCES & COMMODITIES STRATEGY TR | |||||||||||||||||
Security | 09257A108 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | BCX | Meeting Date | 27-Jul-20 | ||||||||||||||
Record Date | 29-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | DIRECTOR | Management | |||||||||||||||
MICHAEL J. CASTELLANO | For | For | |||||||||||||||
R. GLENN HUBBARD | For | For | |||||||||||||||
JOHN M. PERLOWSKI | For | For | |||||||||||||||
W. CARL KESTER | For | For | |||||||||||||||
ALLIANZGI DIVERS INCOME & CONVER FD-COM | |||||||||||||||||
Security | 01883J108 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | ACV | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 14-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1A. | ELECTION OF TRUSTEE: F. FORD DRUMMOND | Management | For | For | |||||||||||||
1B. | ELECTION OF TRUSTEE: THOMAS J. FUCCILLO | Management | For | For | |||||||||||||
1C. | ELECTION OF TRUSTEE: JAMES S. MACLEOD | Management | For | For | |||||||||||||
ALLIANZGI AI & TECH OPPORTUNITIES FUND | |||||||||||||||||
Security | 01883M101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | AIO | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 14-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1A. | ELECTION OF TRUSTEE: HANS W. KERTESS | Management | For | For | |||||||||||||
1B. | ELECTION OF TRUSTEE: WILLIAM B. OGDEN, IV | Management | For | For | |||||||||||||
1C. | ELECTION OF TRUSTEE: ALAN RAPPAPORT | Management | For | For | |||||||||||||
1D. | ELECTION OF TRUSTEE: DAVEY S. SCOON | Management | For | For | |||||||||||||
ALLIANZGI CONVERTIBLE & INC II COMMON | |||||||||||||||||
Security | 018825109 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | NCZ | Meeting Date | 9-Jul-20 | ||||||||||||||
Record Date | 14-May-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1A. | ELECTION OF TRUSTEE: DEBORAH A. DECOTIS | Management | For | For | |||||||||||||
1B. | ELECTION OF TRUSTEE: DAVEY S. SCOON | Management | For | For | |||||||||||||
THIRD POINT OFFSHORE INVESTORS LTD | |||||||||||||||||
Security | G8846K109 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | TPOU LN | Meeting Date | 1-Jul-20 | ||||||||||||||
Record Date | 19-Jun-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | RECEIVE AND ADOPT ANNUAL REPORT AND FINANCIAL STATEMENTS FOR YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |||||||||||||
2 | RECEIVE AND ADOPT DIRECTORS REMUNERATION REPORT | Management | For | For | |||||||||||||
3 | RE-APPOINT ERNST & YOUNG LLP AS AUDITOR | Management | For | For | |||||||||||||
4 | AUTHORISE BOARD TO DETERMINE AUDITOR'S REMUNERATION. | Management | For | For | |||||||||||||
5 | RE-ELECT AS DIRECTOR STEVEN BATES | Management | For | For | |||||||||||||
6 | RE-ELECT AS DIRECTOR RUPERT DOREY | Management | For | For | |||||||||||||
7 | RE-ELECT AS DIRECTOR JOSH TARGOFF | Management | For | For | |||||||||||||
8 | RE-ELECT AS DIRECTOR CLAIRE WHITTET | Management | For | For | |||||||||||||
9 | ELECT HUW EVANS AS DIRECTOR | Management | For | For | |||||||||||||
10 | AUTHORISATION FOR COMPANY SHARE BUYBACKS | Management | For | For | |||||||||||||
11 | NEW ARTICLES OF INCORPORATION | Management | For | For | |||||||||||||
12 | NAME CHANGE TO "THIRD POINT INVESTORS LIMITED" | Management | For | For | |||||||||||||
13 | ANY OTHER BUSINESS | Management | For | For | |||||||||||||
NEXPOINT STRATEGIC OPPORTUNITIES FUND | |||||||||||||||||
Security | 65340G205 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | NHF | Meeting Date | 14-Jul-20 | ||||||||||||||
Record Date | 19-Jun-20 | ||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec | |||||||||||||
1 | DIRECTOR | Management | |||||||||||||||
DR. BOB FROEHLICH | Mirror Voted | For | |||||||||||||||
EDWARD CONSTANTINO | Mirror Voted | For | |||||||||||||||
NEXPOINT STRATEGIC OPPORTUNITIES FUND | |||||||||||||||||
Security | 65340G205 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | NHF | Meeting Date | 28-Aug-20 | ||||||||||||||
Record Date | 19-Jun-20 | ||||||||||||||||
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 | |||||||||||||
VERTICAL CAPITAL INCOME FUND | |||||||||||||||||
Security | 92535C104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol Record Date | VCIF 17-Jul-20 | Meeting Date | 28-Aug-20 | ||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To re-elect Mark J. Schlafly as a Trustee of the Fund. | Management | Split | Split | |||||||||||||
2. | To elect Jack L. Macdowell, Jr. as a Trustee of the Fund. | Management | Split | Split | |||||||||||||
INVESCO SENIOR INCOME TRUST | |||||||||||||||||
Security | 46131H107 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol Record Date | VVR 11-May-20 | Meeting Date | 7-Aug-20 | ||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To re-elect Mark J. Schlafly as a Trustee of the Fund. | Management | Split | Split | |||||||||||||
1 | Beth Ann Brown | Split | Split | ||||||||||||||
2 | Anthony LaCava, Jr. | Split | Split | ||||||||||||||
3 | Joel Motley | Split | Split | ||||||||||||||
4 | Teresa Ressel | Split | Split | ||||||||||||||
5 | Christopher Wilson | Split | Split | ||||||||||||||
INVESCO DYNAMIC CREDIT OPPORTUNITIES FUND | |||||||||||||||||
Security | 46132R104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol Record Date | VTA 11-May-20 | Meeting Date | 7-Aug-20 | ||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To re-elect Mark J. Schlafly as a Trustee of the Fund. | Management | Split | Split | |||||||||||||
1 | Beth Ann Brown | Split | Split | ||||||||||||||
2 | Anthony LaCava, Jr. | Split | Split | ||||||||||||||
3 | Joel Motley | Split | Split | ||||||||||||||
4 | Teresa Ressel | Split | Split | ||||||||||||||
5 | Christopher Wilson | Split | Split | ||||||||||||||
THE SWISS HELVETIA FUND, INC. | |||||||||||||||||
Security | 870875101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | SWZ | Meeting Date | 11-Sep-2020 | ||||||||||||||
Record Date | 17-Jul-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Andrew Dakos | Split | Split | ||||||||||||||
2 | Richard Dayan | Split | Split | ||||||||||||||
3 | Phillip F. Goldstein | Split | Split | ||||||||||||||
4 | Gerald Hellerman | Split | Split | ||||||||||||||
5 | Moritz A. Sell | Split | Split | ||||||||||||||
2. | To ratify the selection by the Fund's Board of Directors of Tait, Weller & Baker, LLP as the Fund's independent registered public accounting firm for the year ending December 31, 2020. | Management | Split | Split | |||||||||||||
FIRST TRUST/FOUR CORNERS SR FLOATING | |||||||||||||||||
Security Ticker Symbol | 33733U108 FCT | Meeting Type Meeting Date | Annual 14-Sep-2020 | ||||||||||||||
Record Date | 16-Jun-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Richard E. Erickson | Split | Split | ||||||||||||||
2 | Thomas R. Kadlec | Split | Split | ||||||||||||||
ROYCE VALUE TRUST, INC. | |||||||||||||||||
Security | 780910105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | RVT | Meeting Date | 24-Sep-2020 | ||||||||||||||
Record Date | 31-Jul-2020 | ||||||||||||||||
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 | ||||||||||||||
ROYCE MICRO-CAP TRUST, INC. | |||||||||||||||||
Security | 780915104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | RMT | Meeting Date | 24-Sep-2020 | ||||||||||||||
Record Date | 31-Jul-2020 | ||||||||||||||||
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 | ||||||||||||||
CBRE CLARION GLOBAL REAL ESTATE INC FD | |||||||||||||||||
Security | 12504G100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IGR | Meeting Date | 09-Oct-2020 | ||||||||||||||
Record Date | 14-Aug-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | T. Ritson Ferguson | Split | Split | ||||||||||||||
2 | Heidi Stam | Split | Split | ||||||||||||||
RIVERNORTH MARKET PLACE | |||||||||||||||||
Security | 76882B108 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | RSF | Meeting Date | 15-Oct-2020 | ||||||||||||||
Record Date | 02-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1b. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Patrick W. Galley | Split | Split | ||||||||||||||
2 | Jerry R. Raio | Split | Split |
WESTERN ASSET EMERGING MKTS DEBT FD INC. | |||||||||||||||||
Security | 95766A101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | EMD | Meeting Date | 23-Oct-2020 | ||||||||||||||
Record Date | 01-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Robert D. Agdern | Management | Split | Split | |||||||||||||
1.2 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | Split | Split | |||||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||
KAYNE ANDERSON MLP/MIDSTREAM INV CO | |||||||||||||||||
Security | 486606106 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | KYN | Meeting Date | 29-Oct-2020 | ||||||||||||||
Record Date | 18-Aug-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | TO AMEND KYN'S INVESTMENT OBJECTIVE, WHICH IS A FUNDAMENTAL INVESTMENT POLICY. | Management | Split | Split | |||||||||||||
2. | TO AMEND KYN'S FUNDAMENTAL INVESTMENT POLICY WITH RESPECT TO INDUSTRY CONCENTRATION. | Management | Split | Split | |||||||||||||
MILLER/HOWARD HIGH INCOME EQUITY FUND | |||||||||||||||||
Security | 600379101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | HIE | Meeting Date | 09-Nov-2020 | ||||||||||||||
Record Date | 01-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | James E. Hillman | Split | Split | ||||||||||||||
2 | Roger Conrad | Split | Split | ||||||||||||||
THE HERZFELD CARIBBEAN BASIN FUND, INC. | |||||||||||||||||
Security | 42804T106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CUBA | Meeting Date | 12-Nov-2020 | ||||||||||||||
Record Date | 17-Aug-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Thomas J. Herzfeld | Split | Split | ||||||||||||||
BOULDER GROWTH & INCOME FUND, INC. | |||||||||||||||||
Security | 101507101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | BIF | Meeting Date | 13-Nov-2020 | ||||||||||||||
Record Date | 30-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1a. | To elect Class II Director to the Board of Directors to serve until the 2023 Annual Meeting of Stockholders: Joel W. Looney | Management | Split | Split | |||||||||||||
JAPAN SMALLER CAPITALIZATION FUND, INC. | |||||||||||||||||
Security | 47109U104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | JOF | Meeting Date | 24-Nov-2020 | ||||||||||||||
Record Date | 21-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | E. Han Kim | Split | Split | ||||||||||||||
2 | Marcia L. MacHarg | Split | Split | ||||||||||||||
3 | Yuichi Nomoto | Split | Split | ||||||||||||||
ROYCE GLOBAL VALUE TRUST, INC. | |||||||||||||||||
Security | 78081T104 | Meeting Type | Contested-Special | ||||||||||||||
Ticker Symbol | RGT | Meeting Date | 17-Dec-2020 | ||||||||||||||
Record Date | 01-May-2020 | ||||||||||||||||
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 | For | For | |||||||||||||
ALLIANZGI CONVERTIBLE & INCOME II | |||||||||||||||||
Security | 018825109 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | Meeting Date | 25-Feb-2021 | |||||||||||||||
Record Date | 10-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | Approval of a new Investment Advisory Agreement with Virtus Investment Advisers, Inc. by Shareholders of AllianzGI Convertible & Income Fund II (NCZ). | Management | Split | Split | |||||||||||||
2. | Approval of a new Subadvisory Agreement by and among the Fund, Virtus Investment Advisers, Inc. and Allianz Global Investors U.S. LLC by Shareholders of AllianzGI Convertible & Income Fund II (NCZ). | Management | Split | Split | |||||||||||||
3. | The transaction of such other business as may properly come before the Special Meeting and any adjournment(s) or postponement(s) thereof. | Management | Split | Split | |||||||||||||
ALLIANZGI ARTIFICIAL | |||||||||||||||||
Security | 01883M101 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | AIO | Meeting Date | 25-Feb-2021 | ||||||||||||||
Record Date | 10-Sep-2020 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | Approval of a new Investment Advisory Agreement with Virtus Investment Advisers, Inc. by Shareholders of AllianzGI Artificial Intelligence & Technology Opportunities Fund (AIO). | Management | Split | Split | |||||||||||||
2. | Approval of a new Subadvisory Agreement by and among the Fund, Virtus Investment Advisers, Inc. and Allianz Global Investors U.S. LLC by Shareholders of AllianzGI Artificial Intelligence & Technology Opportunities Fund (AIO). | Management | Split | Split | |||||||||||||
3. | The transaction of such other business as may properly come before the Special Meeting and any adjournment(s) or postponement(s) thereof. | Management | Split | Split | |||||||||||||
THE CHINA FUND INC | |||||||||||||||||
Security | 169373107 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CHN | Meeting Date | 09-Mar-2021 | ||||||||||||||
Record Date | 01-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Julian Reid | Split | Split | ||||||||||||||
CENTRAL SECURITIES CORPORATION | |||||||||||||||||
Security | 155123102 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CET | Meeting Date | 18-Mar-2021 | ||||||||||||||
Record Date | 29-Jan-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | L. Price Blackford | Split | Split | ||||||||||||||
2 | Simms C. Browning | Split | Split | ||||||||||||||
3 | Donald G. Calder | Split | Split | ||||||||||||||
4 | David C. Colander | Split | Split | ||||||||||||||
5 | Jay R. Ingls | Split | Split | ||||||||||||||
6 | Wilmot H. Kidd | Split | Split | ||||||||||||||
7 | Wilmot H. Kidd IV | Split | Split | ||||||||||||||
8 | David M. Poppe | Split | Split | ||||||||||||||
2. | Ratification of the appointment of KPMG LLP as independent registered accounting firm for 2021. | Management | Split | Split | |||||||||||||
ASA GOLD AND PRECIOUS METALS LIMITED | |||||||||||||||||
Security | G3156P103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | ASA | Meeting Date | 19-Mar-2021 | ||||||||||||||
Record Date | 22-Jan-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Director: Anthony Artabane | Management | Split | Split | |||||||||||||
1.2 | Election of Director: William Donovan | Management | Split | Split | |||||||||||||
1.3 | Election of Director: Bruce Hansen | Management | Split | Split | |||||||||||||
1.4 | Election of Director: Mary Joan Hoene | Management | Split | Split | |||||||||||||
2. | To ratify and approve the appointment of Tait, Weller & Baker LLP, an independent registered public accounting firm, as the Company's independent auditors for the fiscal year ending November 30, 2021, and to authorize the Nominating, Audit and Ethics Committee of the Board of Directors to set the independent auditors' remuneration. | Management | Split | Split | |||||||||||||
GOLDMAN SACHS MLP ENERGY | |||||||||||||||||
Security | 38148G206 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GER | Meeting Date | 25-Mar-2021 | ||||||||||||||
Record Date | 02-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Lawrence W Stranghoener | Split | Split | ||||||||||||||
ABERDEEN FUNDS | |||||||||||||||||
Security | 00301W105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | AEF | Meeting Date | 01-Apr-2021 | ||||||||||||||
Record Date | 16-Feb-2021 | ||||||||||||||||
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 | |||||||||||||
KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | |||||||||||||||||
Security | 48661E108 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | KMF | Meeting Date | 08-Apr-2021 | ||||||||||||||
Record Date | 12-Feb-2021 | ||||||||||||||||
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 | |||||||||||||
KAYNE ANDERSON MLP/MIDSTREAM INV CO | |||||||||||||||||
Security | 486606106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | KYN | Meeting Date | 08-Apr-2021 | ||||||||||||||
Record Date | 12-Feb-2021 | ||||||||||||||||
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 KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2021. | Management | Split | Split | |||||||||||||
PRINCIPAL FUNDS, INC. | |||||||||||||||||
Security | 74255X104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | PGZ | Meeting Date | 09-Apr-2021 | ||||||||||||||
Record Date | 09-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Rick A. Pederson | Split | Split | ||||||||||||||
2 | Jeremy Held | Split | Split | ||||||||||||||
ADAMS DIVERSIFIED EQUITY FUND, INC. | |||||||||||||||||
Security | 006212104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | ADX | Meeting Date | 15-Apr-2021 | ||||||||||||||
Record Date | 29-Jan-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Enrique R. Arzac | Split | Split | ||||||||||||||
2 | Kenneth J. Dale | Split | Split | ||||||||||||||
3 | Frederic A. Escherich | Split | Split | ||||||||||||||
4 | Roger W. Gale | Split | Split | ||||||||||||||
5 | Mary C. Jammet | Split | Split | ||||||||||||||
6 | Lauriann C. Kloppenburg | Split | Split | ||||||||||||||
7 | Kathleen T. McGahran | Split | Split | ||||||||||||||
8 | Mark E. Stoeckle | Split | Split | ||||||||||||||
2. | Ratification of the selection of PricewaterhouseCoopers LLP as independent public auditors. | Management | Split | Split | |||||||||||||
EAGLE CAPITAL GROWTH FUND INC | |||||||||||||||||
Security | 269451100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GRF | Meeting Date | 15-Apr-2021 | ||||||||||||||
Record Date | 19-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Carl A. Holth | Split | Split | ||||||||||||||
2 | David C. Sims | Split | Split | ||||||||||||||
2. | Ratification of the selection of Plante & Moran, PLLC as independent registered public accountants for the Fund's year ending December 31, 2021. | Management | Split | Split |
THE TAIWAN FUND INC | |||||||||||||||||
Security | 874036106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | TWN | Meeting Date | 20-Apr-2021 | ||||||||||||||
Record Date | 24-Feb-2021 | Holding Recon Date | 24-Feb-2021 | ||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | William C. Kirby | Split | Split | ||||||||||||||
2 | Anthony S. Clark | Split | Split | ||||||||||||||
3 | Thomas G. Kamp | Split | Split | ||||||||||||||
4 | Warren J. Olsen | Split | Split | ||||||||||||||
5 | Shelley E. Rigger | Split | Split | ||||||||||||||
MACQUARIE/1ST TR GL INFRA/UT DIV & INC | |||||||||||||||||
Security | 55607W100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | MFD | Meeting Date | 26-Apr-2021 | ||||||||||||||
Record Date | 01-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Richard E. Erickson | Split | Split | ||||||||||||||
2 | Thomas R. Kadlec | Split | Split | ||||||||||||||
FIRST TRUST ADVISORS | |||||||||||||||||
Security | 33738C103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | FIF | Meeting Date | 26-Apr-2021 | ||||||||||||||
Record Date | 01-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Richard E. Erickson | Split | Split | ||||||||||||||
2 | Thomas R. Kadlec | Split | Split | ||||||||||||||
FIRST TRUST DYNAMIC EUROPE | |||||||||||||||||
Security | 33740D107 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | FDEU | Meeting Date | 26-Apr-2021 | ||||||||||||||
Record Date | 01-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Richard E. Erickson | Split | Split | ||||||||||||||
2 | Thomas R. Kadlec | Split | Split | ||||||||||||||
FIRST TRUST ADVISORS | |||||||||||||||||
Security | 33739B104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | FEI | Meeting Date | 26-Apr-2021 | ||||||||||||||
Record Date | 01-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Richard E. Erickson | Split | Split | ||||||||||||||
2 | Thomas R. Kadlec | Split | Split | ||||||||||||||
GENERAL AMERICAN INVESTORS COMPANY, INC. | |||||||||||||||||
Security | 368802104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GAM | Meeting Date | 28-Apr-2021 | ||||||||||||||
Record Date | 12-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Mr. Berens | Split | Split | ||||||||||||||
2 | Mr. Davidson | Split | Split | ||||||||||||||
3 | Ms. Del Villar | Split | Split | ||||||||||||||
4 | Mr. Gordan | Split | Split | ||||||||||||||
5 | Ms. Gotbaum | Split | Split | ||||||||||||||
6 | Ms. Lynch | Split | Split | ||||||||||||||
7 | Mr. Priest | Split | Split | ||||||||||||||
8 | Ms. Sachs | Split | Split | ||||||||||||||
2. | Ratification of the selection of Ernst & Young LLP as auditors. | Management | Split | Split |
ABERDEEN ASIA-PACIFIC INCOME FUND, INC. | |||||||||||||||||
Security | 003009107 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | FAX | Meeting Date | 29-Apr-2021 | ||||||||||||||
Record Date | 05-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Class III Director for a three-year term until the 2024 Annual Meeting: Radhika Ajmera | Management | Split | Split | |||||||||||||
3.1 | Election of Director for a term ending in 2022: Neville J. Miles (Class I) | Management | Split | Split | |||||||||||||
3.2 | Election of Director for a term ending in 2023: P. Gerald Malone (Class II) | Management | Split | Split | |||||||||||||
GABELLI DIVIDEND & INCOME TRUST | |||||||||||||||||
Security | 36242H104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GDV | Meeting Date | 10-May-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Elizabeth Bogan | Split | Split | ||||||||||||||
2 | Agnes Mullady | Split | Split | ||||||||||||||
3 | Salvatore M. Salibello | Split | Split | ||||||||||||||
THE GABELLI HEALTHCARE & WELLNESS RX | |||||||||||||||||
Security | 36246K103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GRX | Meeting Date | 10-May-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Calgary Avansino | Split | Split | ||||||||||||||
2 | Leslie F. Foley | Split | Split | ||||||||||||||
3 | Robert C. Kolodny | Split | Split | ||||||||||||||
4 | Salvatore J. Zizza | Split | Split |
THE GDL FUND | |||||||||||||||||
Security | 361570104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GDL | Meeting Date | 10-May-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Leslie F. Foley | Split | Split | ||||||||||||||
2 | Mario J. Gabelli | Split | Split | ||||||||||||||
3 | Michael J. Melarkey | Split | Split |
GABELLI FUNDS | |||||||||||||||||
Security | 36249W104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | GGZ | Meeting Date | 10-May-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Calgary Avansino | Split | Split | ||||||||||||||
2 | Anthony S. Colavita | Split | Split | ||||||||||||||
3 | Agnes Mullady | Split | Split | ||||||||||||||
DUFF & PHELPS FUNDS | |||||||||||||||||
Security | 26433F207 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | DSE | Meeting Date | 19-May-2021 | ||||||||||||||
Record Date | 29-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | Approval of the reorganization of the Fund into Virtus Duff & Phelps Select MLP and Energy Fund, a series of Virtus Alternative Solutions Trust. | Management | Split | Split | |||||||||||||
2. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Connie D. McDaniel | Split | Split | ||||||||||||||
2 | Philip R. McLoughlin | Split | Split | ||||||||||||||
3 | George R. Aylward | Split | Split | ||||||||||||||
CENTER COAST MLP & INFRASTRUCTURE FUND | |||||||||||||||||
Security | 151461209 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CEN | Meeting Date | 20-May-2021 | ||||||||||||||
Record Date | 15-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1A. | Election of Class I Trustee to serve until the third annual meeting: Mr. David Levi (Class I Interested Trustee) | Management | Split | Split | |||||||||||||
1B. | Election of Class I Trustee to serve until the third annual meeting: Mr. William H. Wright II (Class I Independent Trustee) | Management | Split | Split | |||||||||||||
NUVEEN DIVERSIFIED DIVIDEND AND INC FD | |||||||||||||||||
Security | 6706EP105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | JDD | Meeting Date | 25-May-2021 | ||||||||||||||
Record Date | 29-Jan-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1B. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Jack B. Evans | Split | Split | ||||||||||||||
2 | Albin F. Moschner | Split | Split | ||||||||||||||
3 | Matthew Thornton III | Split | Split | ||||||||||||||
NUVEEN REAL ASSET INCOME AND GROWTH FUND | |||||||||||||||||
Security | 67074Y105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | JRI | Meeting Date | 25-May-2021 | ||||||||||||||
Record Date | 29-Jan-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1B. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Jack B. Evans | Split | Split | ||||||||||||||
2 | Albin F. Moschner | Split | Split | ||||||||||||||
3 | Matthew Thornton III | Split | Split | ||||||||||||||
TEMPLETON EMERGING MKTS INCOME FUND | |||||||||||||||||
Security | 880192109 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | TEI | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 11-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Ann Torre Bates | Split | Split | ||||||||||||||
2 | David W. Niemiec | Split | Split | ||||||||||||||
3 | Larry D. Thompson | Split | Split | ||||||||||||||
4 | Robert E. Wade | Split | Split | ||||||||||||||
2. | The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2021. | Management | Split | Split | |||||||||||||
RMR MORTGAGE TRUST | |||||||||||||||||
Security | 76970B101 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | RMRM | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 17-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1A. | Election for Managing Trustee in Class II: Adam D. Portnoy | Management | Split | Split | |||||||||||||
1B. | Election for Independent Trustee in Class II: Jeffrey P. Somers | Management | Split | Split | |||||||||||||
2. | Approval of the RMR Mortgage Trust 2021 Equity Compensation Plan. | Management | Split | Split | |||||||||||||
3. | Advisory vote to approve executive compensation. | Management | Split | Split | |||||||||||||
4. | Advisory vote on the frequency of future advisory votes to approve executive compensation. | Management | Split | Split | |||||||||||||
5. | Ratification of the appointment of Deloitte & Touche LLP as independent auditors to serve for the 2021 fiscal year. | Management | Split | Split |
CUSHING MLP TOTAL RETURN FUND | |||||||||||||||||
Security | 231631300 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | SRV | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 16-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1A. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Brenda A. Cline | Split | Split | ||||||||||||||
2 | Jerry V. Swank | Split | Split | ||||||||||||||
CUSHING RENAISSANCE FUND | |||||||||||||||||
Security | 231647207 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | SZC | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 16-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1B. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Brian R. Bruce | Split | Split | ||||||||||||||
2 | Ronald P. Trout | Split | Split | ||||||||||||||
THE INDIA FUND, INC. | |||||||||||||||||
Security | 454089103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IFN | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 12-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Class I Director to serve until the 2024 Annual Meeting: Alan Goodson | Management | Split | Split | |||||||||||||
1.2 | Election of Class I Director to serve until the 2024 Annual Meeting: Jeswald Salacuse | Management | Split | Split | |||||||||||||
2.1 | Election of Class II Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Luis Rubio | Management | Split | Split | |||||||||||||
THE ABERDEEN JAPAN EQUITY FUND | |||||||||||||||||
Security | 00306J109 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | JEQ | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 12-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Class I Director to serve until the 2024 Annual Meeting of Stockholders: Radhika Ajmera | Management | Split | Split | |||||||||||||
2.1 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: P. Gerald Malone | Management | Split | Split | |||||||||||||
ABERDEEN STANDARD GLOBAL INFRA INC | |||||||||||||||||
Security | 00326W106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | ASGI | Meeting Date | 27-May-2021 | ||||||||||||||
Record Date | 12-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1A. | Election of Class I Trustee to serve until the 2024 Annual Meeting: John Sievwright | Management | Split | Split | |||||||||||||
TORTOISE ENERGY INDEPENDENCE FUND INC | |||||||||||||||||
Security | 89148K200 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | NDP | Meeting Date | 04-Jun-2021 | ||||||||||||||
Record Date | 05-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To consider and vote upon a proposal to approve the merger of NDP with and into TTP. | Management | Split | Split | |||||||||||||
TORTOISE PIPELINE & ENERGY FUND, INC. | |||||||||||||||||
Security | 89148H207 | Meeting Type | Special | ||||||||||||||
Ticker Symbol | TTP | Meeting Date | 04-Jun-2021 | ||||||||||||||
Record Date | 05-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To consider and vote upon a proposal to approve the merger of NDP with and into TTP, including the issuance of additional shares of common stock of TTP in connection therewith. | Management | Split | Split | |||||||||||||
LEGG MASON | |||||||||||||||||
Security | 18469P209 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | EMO | Meeting Date | 04-Jun-2021 | ||||||||||||||
Record Date | 08-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1.1 | Election of Class I Director to serve until the 2024 Annual Meeting of Stockholders: Carol L. Colman | Management | Split | Split | |||||||||||||
1.2 | Election of Class I Director to serve until the 2024 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 November 30, 2021. | Management | Split | Split | |||||||||||||
TORTOISE ENERGY INDEPENDENCE FUND INC | |||||||||||||||||
Security | 89148K200 | Meeting Type | Contested-Special | ||||||||||||||
Ticker Symbol | NDP | Meeting Date | 04-Jun-2021 | ||||||||||||||
Record Date | 05-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | To consider and vote upon a proposal to approve the merger of NDP with and into TTP. | Management | Split | Split | |||||||||||||
TORTOISE ENERGY INDEPENDENCE FUND INC | |||||||||||||||||
Security | 89148K200 | Meeting Type | Contested-Special | ||||||||||||||
Ticker Symbol | NDP | Meeting Date | 04-Jun-2021 | ||||||||||||||
Record Date | 05-Feb-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | The Company's proposal to consider and vote upon a proposal to approve the merger of the Company with and into Tortoise Pipeline & Energy Fund, Inc. | Management | Split | Split | |||||||||||||
THE NEW IRELAND FUND, INC. | |||||||||||||||||
Security | 645673104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IRL | Meeting Date | 08-Jun-2021 | ||||||||||||||
Record Date | 14-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Eleanor Hoagland | Split | Split | ||||||||||||||
2 | Michael Pignataro | Split | Split | ||||||||||||||
TEKLA CAPITAL MANAGEMENT LLC | |||||||||||||||||
Security | 87911J103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | HQH | Meeting Date | 10-Jun-2021 | ||||||||||||||
Record Date | 14-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Thomas M. Kent, CPA | Split | Split | ||||||||||||||
2 | Daniel R. Omstead, PhD | Split | Split | ||||||||||||||
2. | The ratification or rejection of the selection of Deloitte & Touche LLP as the independent registered public accountants of the Fund for the fiscal year ending September 30, 2021. | Management | Split | Split | |||||||||||||
TEKLA CAPITAL FUNDS | |||||||||||||||||
Security | 87911K100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | HQL | Meeting Date | 10-Jun-2021 | ||||||||||||||
Record Date | 14-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Jeffrey A. Bailey | Split | Split | ||||||||||||||
2 | Daniel R. Omstead, PhD | Split | Split | ||||||||||||||
2. | The ratification or rejection of the selection of Deloitte & Touche LLP as the independent registered public accountants of the Fund for the fiscal year ending September 30, 2021. | Management | Split | Split | |||||||||||||
HIGHLAND FUNDS | |||||||||||||||||
Security | 43010T104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | HGLB | Meeting Date | 11-Jun-2021 | ||||||||||||||
Record Date | 19-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | John Honis | Split | Split | ||||||||||||||
NEXPOINT FUNDS | |||||||||||||||||
Security | 65340G304 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | NHFPRA | Meeting Date | 11-Jun-2021 | ||||||||||||||
Record Date | 19-Apr-2021 | ||||||||||||||||
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 | |||||||||||||
NEXPOINT FUNDS | |||||||||||||||||
Security | 65340G205 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | NHF | Meeting Date | 11-Jun-2021 | ||||||||||||||
Record Date | 19-Apr-2021 | ||||||||||||||||
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 | |||||||||||||
APOLLO SENIOR FLOATING RATE, INC | |||||||||||||||||
Security | 037636107 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | AFT | Meeting Date | 15-Jun-2021 | ||||||||||||||
Record Date | 23-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Barry Cohen | Split | Split | ||||||||||||||
2 | Elliot Stein, Jr. | Split | Split | ||||||||||||||
2. | To transact such other business as may properly come before the Annual Meetings or any adjournments or postponements thereof. | Management | Split | Split | |||||||||||||
VOYA GBL ADVANTAGE AND PREMIUM OPP FD | |||||||||||||||||
Security | 92912R104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IGA | Meeting Date | 18-Jun-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Colleen D. Baldwin | Split | Split | ||||||||||||||
2 | Joseph E. Obermeyer | Split | Split | ||||||||||||||
3 | Christopher P. Sullivan | Split | Split | ||||||||||||||
VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD | |||||||||||||||||
Security | 92912T100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IGD | Meeting Date | 18-Jun-2021 | ||||||||||||||
Record Date | 22-Mar-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Colleen D. Baldwin | Split | Split | ||||||||||||||
2 | Joseph E. Obermeyer | Split | Split | ||||||||||||||
3 | Christopher P. Sullivan | Split | Split | ||||||||||||||
MORGAN STANLEY EMERGING MKTS | |||||||||||||||||
Security | 617477104 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | EDD | Meeting Date | 24-Jun-2021 | ||||||||||||||
Record Date | 05-Apr-2021 | ||||||||||||||||
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 | ||||||||||||||
MORGAN STANLEY INSTITUTIONAL FUNDS | |||||||||||||||||
Security | 617468103 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CAF | Meeting Date | 24-Jun-2021 | ||||||||||||||
Record Date | 05-Apr-2021 | ||||||||||||||||
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 | ||||||||||||||
MORGAN STANLEY INDIA INVEST. FD, INC. | |||||||||||||||||
Security | 61745C105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | IIF | Meeting Date | 24-Jun-2021 | ||||||||||||||
Record Date | 05-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Joseph J. Kearns* | Split | Split | ||||||||||||||
2 | Patricia Maleski* | Split | Split | ||||||||||||||
CENTRAL EUROPE, RUSSIA & TURKEY FD COM | |||||||||||||||||
Security | 153436100 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CEE | Meeting Date | 24-Jun-2021 | ||||||||||||||
Record Date | 30-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Mr Christian H Strenger | Split | Split | ||||||||||||||
2 | Dr. Wolfgang Leoni | Split | Split | ||||||||||||||
3 | Dr. Holger Hatje | Split | Split | ||||||||||||||
2. | To ratify the appointment by the Audit Committee and the Board of Directors of Ernst & Young LLP, an independent public accounting firm, as independent auditors for the fiscal year ending October 31, 2021. | Management | Split | Split | |||||||||||||
SALIENT MIDSTREAM AND MLP FUND | |||||||||||||||||
Security | 79471V105 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | SMM | Meeting Date | 25-Jun-2021 | ||||||||||||||
Record Date | 12-May-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||
1 | Jonathan P. Carroll | Split | Split | ||||||||||||||
2 | Julie Allecta | Split | Split | ||||||||||||||
CALAMOS INVESTMENTS | |||||||||||||||||
Security | 12812C106 | Meeting Type | Annual | ||||||||||||||
Ticker Symbol | CPZ | Meeting Date | 29-Jun-2021 | ||||||||||||||
Record Date | 30-Apr-2021 | ||||||||||||||||
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 |
Matisse Discounted Bond CEF Strategy | ||||||||||||||||||
BLACKROCK MUNIHOLDINGS NJ QLTY FD INC. | ||||||||||||||||||
Security | 09254X101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | MUJ | Meeting Date | 27-Jul-20 | |||||||||||||||
Record Date | 29-May-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | MICHAEL J. CASTELLANO | For | For | |||||||||||||||
2 | RICHARD E. CAVANAGH | For | For | |||||||||||||||
3 | CYNTHIA L. EGAN | For | For | |||||||||||||||
4 | ROBERT FAIRBAIRN | For | For | |||||||||||||||
5 | R. GLENN HUBBARD | For | For | |||||||||||||||
6 | CATHERINE A. LYNCH | For | For | |||||||||||||||
7 | JOHN M. PERLOWSKI | For | For | |||||||||||||||
8 | KAREN P. ROBARDS | For | For | |||||||||||||||
BLACKROCK CA MUNICIPAL INC TR | ||||||||||||||||||
Security | 09248E102 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | BFZ | Meeting Date | 27-Jul-20 | |||||||||||||||
Record Date | 29-May-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | MICHAEL J. CASTELLANO | For | For | |||||||||||||||
2 | R. GLENN HUBBARD | For | For | |||||||||||||||
3 | JOHN M. PERLOWSKI | For | For | |||||||||||||||
BNY MELLON HIGH YIELD STRATEGIES FUND | ||||||||||||||||||
Security | 09660L105 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | DHF | Meeting Date | 11-Aug-20 | |||||||||||||||
Record Date | 3-Jun-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | JOSEPH S. DIMARTINO | Split | Split | |||||||||||||||
2 | ANDREW J. DONOHUE | Split | Split | |||||||||||||||
3 | KENNETH A. HIMMEL | Split | Split | |||||||||||||||
DELEWARE INVESTMENTS NATIONAL MUNICIPAL INCOME FUND | ||||||||||||||||||
Security | 24610T108 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | VFL | Meeting Date | 9-Oct-20 | |||||||||||||||
Record Date | 19-Jun-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | Thomas L Bennett | Split | Split | |||||||||||||||
2 | Jerome D Abernathy | Split | Split | |||||||||||||||
3 | John A Fry | Split | Split | |||||||||||||||
4 | Lucinda S Landreth | Split | Split | |||||||||||||||
5 | Shawn K Lytle | Split | Split | |||||||||||||||
6 | F.A. Sevilla-Sacasa | Split | Split | |||||||||||||||
7 | Thomas K Whitford | Split | Split | |||||||||||||||
8 | Christianna Wood | Split | Split | |||||||||||||||
9 | Janet L Yeomans | Split | Split | |||||||||||||||
VERTICAL CAPITAL INCOME FUND | ||||||||||||||||||
Security | 92535C104 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | VCIF | Meeting Date | 28-Aug-20 | |||||||||||||||
Record Date | 17-Jul-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | To re-elect Mark J. Schlafly as a Trustee of the Fund. | Management | Split | Split | ||||||||||||||
2 | To elect Jack L. Macdowell, Jr. as a Trustee of the Fund. | Management | Split | Split | ||||||||||||||
NUVEEN NEW YORK MUNICIPAL VALUE FUND 2 | ||||||||||||||||||
Security | 670706100 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NYV | Meeting Date | 5-Aug-20 | |||||||||||||||
Record Date | 8-Jun-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John K Nelson | Split | Split | |||||||||||||||
2 | Terence J Toth | Split | Split | |||||||||||||||
3 | Robert L Young | Split | Split |
INVESCO TRUST FOR INVT GR NY MUNI COM | ||||||||||||||||||
Security | 46131T101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | VTN | Meeting Date | 7-Aug-20 | |||||||||||||||
Record Date | 11-May-20 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | 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 | |||||||||||||||
PIONEER MUNICIPAL HIGH INCOME TRUST | ||||||||||||||||||
Security | 723763108 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | MHI | Meeting Date | 16-Sep-2020 | |||||||||||||||
Record Date | 10-Jul-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Diane Durnin | Split | Split | |||||||||||||||
2 | Benjamin M. Friedman | Split | Split | |||||||||||||||
3 | Kenneth J. Taubes | Split | Split | |||||||||||||||
PIONEER DIVERSIFIED HIGH INCOME TRUST | ||||||||||||||||||
Security | 723653101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | HNW | Meeting Date | 16-Sep-2020 | |||||||||||||||
Record Date | 10-Jul-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Diane Durnin | Split | Split | |||||||||||||||
2 | Benjamin M. Friedman | Split | Split | |||||||||||||||
3 | Kenneth J. Taubes | Split | Split | |||||||||||||||
DWS FUNDS | ||||||||||||||||||
Security | 23342Q101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | KSM | Meeting Date | 25-Sep-2020 | |||||||||||||||
Record Date | 07-Aug-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John W. Ballantine | Split | Split | |||||||||||||||
2 | Rebecca W. Rimel | Split | Split | |||||||||||||||
RIVERNORTH MARKET PLACE | ||||||||||||||||||
Security | 76882B108 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | RSF | Meeting Date | 15-Oct-2020 | |||||||||||||||
Record Date | 02-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1b. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Patrick W. Galley | Split | Split | |||||||||||||||
2 | Jerry R. Raio | Split | Split | |||||||||||||||
WESTERN ASSET EMERGING MKTS DEBT FD INC. | ||||||||||||||||||
Security | 95766A101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | EMD | Meeting Date | 23-Oct-2020 | |||||||||||||||
Record Date | 01-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1.1 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Robert D. Agdern | Management | Split | Split | ||||||||||||||
1.2 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | Split | Split | ||||||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending December 31, 2020. | Management | Split | Split |
NEUBERGER BERMAN NY INTERM MUNI FD | ||||||||||||||||||
Security | 64124K102 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NBO | Meeting Date | 29-Oct-2020 | |||||||||||||||
Record Date | 06-Aug-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Martha C. Goss | Split | Split | |||||||||||||||
2 | James G. Stavridis | Split | Split | |||||||||||||||
3 | Candace L. Straight | Split | Split | |||||||||||||||
4 | Joseph V. Amato | Split | Split | |||||||||||||||
NEUBERGER BERMAN CA INTERM FD | ||||||||||||||||||
Security | 64123C101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NBW | Meeting Date | 29-Oct-2020 | |||||||||||||||
Record Date | 06-Aug-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Martha C. Goss | Split | Split | |||||||||||||||
2 | James G. Stavridis | Split | Split | |||||||||||||||
3 | Candace L. Straight | Split | Split | |||||||||||||||
4 | Joseph V. Amato | Split | Split | |||||||||||||||
NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | ||||||||||||||||||
Security | 670980101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NUO | Meeting Date | 16-Nov-2020 | |||||||||||||||
Record Date | 18-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John K. Nelson | Split | Split | |||||||||||||||
2 | Terence J. Toth | Split | Split | |||||||||||||||
3 | Robert L. Young | Split | Split | |||||||||||||||
NUVEEN NJ DIVIDEND ADV MUNI FUND | ||||||||||||||||||
Security | 67069Y102 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NXJ | Meeting Date | 16-Nov-2020 | |||||||||||||||
Record Date | 18-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John K. Nelson | Split | Split | |||||||||||||||
2 | Terence J. Toth | Split | Split | |||||||||||||||
3 | Robert L. Young | Split | Split | |||||||||||||||
NUVEEN NEW YORK MUNICIPAL VALUE FUND 2 | ||||||||||||||||||
Security | 670706100 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NYV | Meeting Date | 15-Jan-2021 | |||||||||||||||
Record Date | 08-Sep-2020 | |||||||||||||||||
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 | ||||||||||||||
NUVEEN MICHIGAN QLTY MUNI INC FD INC | ||||||||||||||||||
Security | 670979103 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NUM | Meeting Date | 15-Jan-2021 | |||||||||||||||
Record Date | 08-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | To approve an Agreement and Plan of Reorganization pursuant to which Nuveen Michigan Quality Municipal Income Fund (the "Target Fund") would (i) transfer substantially all of its assets to Nuveen AMT-Free Quality Municipal Income Fund (the "Acquiring Fund"), (ii) distribute such newly issued shares of the Acquiring Fund to the common shareholders and preferred shareholders of the Target Fund, and (iii) liquidate, dissolve and terminate in accordance with applicable law. | Management | Split | Split | ||||||||||||||
2. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John K. Nelson | Split | Split | |||||||||||||||
2 | Terence J. Toth | Split | Split | |||||||||||||||
3 | Robert L. Young | Split | Split |
NUVEEN NEW JERSEY MUNICIPAL VALUE FUND | ||||||||||||||||||
Security | 670702109 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NJV | Meeting Date | 17-Feb-2021 | |||||||||||||||
Record Date | 08-Sep-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | To approve an Agreement and Plan of Reorganization pursuant to which Nuveen New Jersey Municipal Value Fund (the "Target Fund") would: (i) transfer substantially all of its assets to Nuveen AMT-Free Municipal Value Fund (the "Acquiring Fund"); (ii) distribute such newly issued common 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 | ||||||||||||||
2. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | John K. Nelson | Split | Split | |||||||||||||||
2 | Terence J. Toth | Split | Split | |||||||||||||||
3 | Robert L. Young | Split | Split | |||||||||||||||
CREDIT SUISSE HIGH YIELD BOND FUND | ||||||||||||||||||
Security | 22544F103 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | DHY | Meeting Date | 23-Feb-2021 | |||||||||||||||
Record Date | 11-Dec-2020 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Laura A. DeFelice | Split | Split | |||||||||||||||
2 | Steven N. Rappaport | Split | Split | |||||||||||||||
KKR INCOME OPPORTUNITIES FUND | ||||||||||||||||||
Security | 48249T106 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | KIO | Meeting Date | 19-Mar-2021 | |||||||||||||||
Record Date | 01-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Michael E. Cahill | Split | Split | |||||||||||||||
ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD | ||||||||||||||||||
Security | 01879R106 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | AWF | Meeting Date | 25-Mar-2021 | |||||||||||||||
Record Date | 16-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Marshall C. Turner, Jr. | Split | Split | |||||||||||||||
2 | Garry L. Moody | Split | Split | |||||||||||||||
3 | Jeanette W. Loeb | Split | Split |
IVY HIGH INCOME OPPORTUNITIES FUND | ||||||||||||||||||
Security | 465893F62 | Meeting Type | Special | |||||||||||||||
Ticker Symbol | Meeting Date | 01-Apr-2021 | ||||||||||||||||
Record Date | 22-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Joseph Harroz, Jr.** | Split | Split | |||||||||||||||
2 | Ann D. Borowiec** | Split | Split | |||||||||||||||
3 | Jerome D. Abernathy** | Split | Split | |||||||||||||||
4 | Janet L. Yeomans** | Split | Split | |||||||||||||||
5 | John A. Fry** | Split | Split | |||||||||||||||
6 | Sandra A.J. Lawrence# | Split | Split | |||||||||||||||
7 | Shawn K. Lytle# | Split | Split | |||||||||||||||
8 | Thomas L. Bennett# | Split | Split | |||||||||||||||
9 | Thomas K. Whitford# | Split | Split | |||||||||||||||
10 | H. Jeffrey Dobbs* | Split | Split | |||||||||||||||
11 | F. A. Sevilla-Sacasa* | Split | Split | |||||||||||||||
12 | Christianna Wood* | Split | Split | |||||||||||||||
13 | Joseph W. Chow* | Split | Split |
IVY HIGH INCOME OPPORTUNITIES FUND | ||||||||||||||||||
Security | 465893105 | Meeting Type | Special | |||||||||||||||
Ticker Symbol | IVH | Meeting Date | 01-Apr-2021 | |||||||||||||||
Record Date | 22-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | To approve a new investment advisory agreement for the Fund. | Management | Split | Split | ||||||||||||||
2. | To approve sub-advisory agreements between Delaware Management Company, a series of Macquarie Investment Management Business Trust, and each of Macquarie Investment Management Austria Kapitalanlage AG, Macquarie Investment Management Global Limited and Macquarie Investment Management Europe Limited. | Management | Split | Split | ||||||||||||||
NUVEEN GLOBAL HIGH INCOME FUND | ||||||||||||||||||
Security | 67075G103 | Meeting Type | Contested-Annual | |||||||||||||||
Ticker Symbol | JGH | Meeting Date | 06-Apr-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | Jack B. Evans | |||||||||||||||||
2 | Albin F. Moschner | |||||||||||||||||
3 | Matthew Thornton III | |||||||||||||||||
NUVEEN GLOBAL HIGH INCOME FUND | ||||||||||||||||||
Security | 67075G103 | Meeting Type | Contested-Annual | |||||||||||||||
Ticker Symbol | JGH | Meeting Date | 06-Apr-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | For | For | ||||||||||||||
1 | Jack B. Evans | Split | Split | |||||||||||||||
2 | Albin F. Moschner | Split | Split | |||||||||||||||
3 | Matthew Thornton III | Split | Split | |||||||||||||||
NUVEEN GLOBAL HIGH INCOME FUND | ||||||||||||||||||
Security | 67075G103 | Meeting Type | Contested-Annual | |||||||||||||||
Ticker Symbol | JGH | Meeting Date | 06-Apr-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||
1 | Thomas H. McGlade | |||||||||||||||||
2 | Abul Rahman | |||||||||||||||||
WESTERN ASSET INTERMEDIATE MUNI FUND | ||||||||||||||||||
Security | 958435109 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | SBI | Meeting Date | 09-Apr-2021 | |||||||||||||||
Record Date | 08-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1.1 | Election of Class I Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | Split | Split | ||||||||||||||
1.2 | Election of Class I Director to serve until the 2024 Annual Meeting of Stockholders: Jane Trust | Management | Split | Split | ||||||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending November 30, 2021. | Management | Split | Split |
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||
Security | 10537L104 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | BWG | Meeting Date | 09-Apr-2021 | |||||||||||||||
Record Date | 08-Feb-2021 | �� | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1.1 | Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Robert D. Agdern | Management | Split | Split | ||||||||||||||
1.2 | Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | Split | Split | ||||||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending October 31, 2021. | Management | Split | Split | ||||||||||||||
PGIM INVESTMENTS | ||||||||||||||||||
Security | 69346J106 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | GHY | Meeting Date | 16-Apr-2021 | |||||||||||||||
Record Date | 18-Dec-2020 | |||||||||||||||||
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 | |||||||||||||||
BLACKSTONE / GSO SENIOR FLT RATE TERM FD | ||||||||||||||||||
Security | 09256U105 | Meeting Type | ||||||||||||||||
Ticker Symbol | BSL | Meeting Date | Annual | |||||||||||||||
Record Date | 19-Feb-2021 | 21-Apr-2021 | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1A. | Election of Nominee for Trustee: Thomas W. Jasper | Management | Split | Split | ||||||||||||||
1B. | Election of Nominee for Trustee: Gary S. Schpero | Management | Split | Split | ||||||||||||||
BLACKSTONE FUNDS | ||||||||||||||||||
Security | 09257D102 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | BGX | Meeting Date | 21-Apr-2021 | |||||||||||||||
Record Date | 19-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
2A. | Election of Nominee for Trustee: Gary S. Schpero | Management | Split | Split | ||||||||||||||
BLACKSTONE FUNDS | ||||||||||||||||||
Security | 09257R101 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | BGB | Meeting Date | 21-Apr-2021 | |||||||||||||||
Record Date | 19-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
3A. | Election of Nominee for Trustee: Gary S. Schpero | Management | Split | Split | ||||||||||||||
THE NEW AMERICA HIGH INCOME FUND, INC. | ||||||||||||||||||
Security | 641876800 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | HYB | Meeting Date | 22-Apr-2021 | |||||||||||||||
Record Date | 10-Feb-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Joseph L. Bower | Split | Split | |||||||||||||||
2 | Stuart A. McFarland | Split | Split | |||||||||||||||
3 | Marguerite Piret | Split | Split | |||||||||||||||
4 | Oleg M. Pohotsky | Split | Split | |||||||||||||||
5 | Ellen E. Terry | Split | Split |
ABERDEEN ASIA-PACIFIC INCOME FUND, INC. | ||||||||||||||||||
Security | 003009107 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | FAX | Meeting Date | 29-Apr-2021 | |||||||||||||||
Record Date | 05-Mar-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1.1 | Election of Class III Director for a three-year term until the 2024 Annual Meeting: Radhika Ajmera | Management | Split | Split | ||||||||||||||
3.1 | Election of Director for a term ending in 2022: Neville J. Miles (Class I) | Management | Split | Split | ||||||||||||||
3.2 | Election of Director for a term ending in 2023: P. Gerald Malone (Class II) | Management | Split | Split | ||||||||||||||
WESTERN ASSET/CLAYMORE LINKED OPP & INC | ||||||||||||||||||
Security | 95766R104 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | WIW | Meeting Date | 14-May-2021 | |||||||||||||||
Record Date | 30-Mar-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Robert Abeles, Jr. | Split | Split | |||||||||||||||
2 | Jane F. Dasher | Split | Split | |||||||||||||||
3 | Anita L. DeFrantz | Split | Split | |||||||||||||||
4 | Jane E. Trust | Split | Split | |||||||||||||||
NUVEEN MORTGAGE OPPORTUNITY TERM FUND | ||||||||||||||||||
Security | 670735109 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | JLS | Meeting Date | 25-May-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1B. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Jack B. Evans | Split | Split | |||||||||||||||
2 | Albin F. Moschner | Split | Split | |||||||||||||||
3 | Matthew Thornton III | Split | Split | |||||||||||||||
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | ||||||||||||||||||
Security | 67073D102 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | JQC | Meeting Date | 25-May-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1B. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Jack B. Evans | Split | Split | |||||||||||||||
2 | Albin F. Moschner | Split | Split | |||||||||||||||
3 | Matthew Thornton III | Split | Split | |||||||||||||||
NUVEEN GEORGIA QUALITY MUNICIPAL INC FD | ||||||||||||||||||
Security | 67072B107 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | NKG | Meeting Date | 25-May-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
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 | |||||||||||||||
NUVEEN SHORT DURATION CREDIT OPP FD | ||||||||||||||||||
Security | 67074X107 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | JSD | Meeting Date | 25-May-2021 | |||||||||||||||
Record Date | 29-Jan-2021 | |||||||||||||||||
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 | |||||||||||||||
ANGEL OAK FINANCIAL STRATS INC TERM TR | ||||||||||||||||||
Security | 03464A100 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | FINS | Meeting Date | 01-Jun-2021 | |||||||||||||||
Record Date | 19-Mar-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | To elect Alvin Albe Jr. as the Class I Trustee of the Board of Trustees of Angel Oak Financial Strategies Income Term Trust. | Management | Split | Split | ||||||||||||||
APOLLO SENIOR FLOATING RATE, INC. | ||||||||||||||||||
Security | 037638103 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | AIF | Meeting Date | 15-Jun-2021 | |||||||||||||||
Record Date | 23-Mar-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
1. | DIRECTOR | Management | Split | Split | ||||||||||||||
1 | Barry Cohen | Split | Split | |||||||||||||||
2 | Elliot Stein, Jr. | Split | Split | |||||||||||||||
2. | To transact such other business as may properly come before the Annual Meetings or any adjournments or postponements thereof. | Management | Split | Split | ||||||||||||||
MORGAN STANLEY EMER MKTS DEBT FUND, INC. | ||||||||||||||||||
Security | 61744H105 | Meeting Type | Annual | |||||||||||||||
Ticker Symbol | MSD | Meeting Date | 24-Jun-2021 | |||||||||||||||
Record Date | 05-Apr-2021 | |||||||||||||||||
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 | |||||||||||||||
APOLLO SENIOR FLOATING RATE, INC. | ||||||||||||||||||
Security | 037638103 | Meeting Type | Special | |||||||||||||||
Ticker Symbol | AIF | Meeting Date | 28-Jun-2021 | |||||||||||||||
Record Date | 13-Apr-2021 | |||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||
A. | The issuance of additional shares of AIF common stock in connection with the reorganization of Apollo Senior Floating Rate Fund Inc. into AIF. | Management | Split | Split | ||||||||||||||
B. | The amendment of AIF's fundamental investment restriction with respect to making loans. | Management | Split | Split |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Starboard Investment Trust | |
By: | |
Katherine M. Honey President and Principal Executive Officer | |
Date: | July 22, 2021 |