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Vote Summary
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LEGG MASON
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Security
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18469Q108
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Meeting Type
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Special
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Ticker Symbol
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CTR
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Meeting Date
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06-Jul-2020
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ISIN
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US18469Q1085
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Agenda
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935194706 - Management
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Record Date
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09-Mar-2020
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Holding Recon Date
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09-Mar-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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02-Jul-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.
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Management
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Split
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Split
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2B.
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To approve a New Subadvisory Agreement with:
ClearBridge Investments, LLC
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
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|
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
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|
WESTERN ASSET GBL HIGH INC FD INC.
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Security
|
95766B109
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Meeting Type
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Contested-Special
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Ticker Symbol
|
EHI
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Meeting Date
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06-Jul-2020
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ISIN
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US95766B1098
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Agenda
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935196116 - Management
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Record Date
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09-Mar-2020
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Holding Recon Date
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09-Mar-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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02-Jul-2020
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SEDOL(s)
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Quick Code
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Item
|
Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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To approve a New Management Agreement with Legg
Mason Partners Fund Advisor, LLC.
|
Management
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2C.
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To approve a New Subadvisory Agreement with: Western
Asset Management Company, LLC.
|
Management
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2D.
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To approve a New Subadvisory Agreement with: Western
Asset Management Company Limited.
|
Management
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2F.
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To approve a New Subadvisory Agreement with: Western
Asset Management Company Pte. Ltd.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
|
|
Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
189,241
|
|
0
|
|
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|
WESTERN ASSET GBL HIGH INC FD INC.
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Security
|
95766B109
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Meeting Type
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Contested-Special
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Ticker Symbol
|
EHI
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Meeting Date
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06-Jul-2020
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ISIN
|
US95766B1098
|
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Agenda
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935196116 - Management
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Record Date
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09-Mar-2020
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Holding Recon Date
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09-Mar-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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02-Jul-2020
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SEDOL(s)
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Quick Code
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Item
|
Proposal
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Proposed
by
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|
Vote
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For/Against
Management
|
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|
|
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
|
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|
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|
|
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2D.
|
To approve a New Subadvisory Agreement with: Western
Asset Management Company Limited.
|
Management
|
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2F.
|
To approve a New Subadvisory Agreement with: Western
Asset Management Company Pte. Ltd.
|
Management
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Account
Number
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Account Name
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Internal Account
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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
|
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WESTERN ASSET GBL HIGH INC FD INC.
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Security
|
95766B109
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Meeting Type
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Contested-Special
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Ticker Symbol
|
EHI
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Meeting Date
|
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06-Jul-2020
|
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ISIN
|
US95766B1098
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Agenda
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935196128 - Opposition
|
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Record Date
|
09-Mar-2020
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Holding Recon Date
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|
09-Mar-2020
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City /
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Country
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/
|
United
States
|
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Vote Deadline Date
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02-Jul-2020
|
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|
SEDOL(s)
|
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|
Quick Code
|
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|
Item
|
Proposal
|
|
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|
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
|
|
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|
|
|
|
2D.
|
To approve a New Subadvisory Agreement with Western
Asset Management Company Limited.
|
Management
|
|
|
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|
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|
2F.
|
To approve a New Subadvisory Agreement with Western
Asset Management Company Pte. Ltd.
|
Management
|
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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
|
|
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|
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD
|
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Security
|
10537L104
|
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Meeting Type
|
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Contested-Special
|
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Ticker Symbol
|
BWG
|
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Meeting Date
|
|
06-Jul-2020
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|
ISIN
|
US10537L1044
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Agenda
|
|
935196178 - Management
|
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Record Date
|
09-Mar-2020
|
|
Holding Recon Date
|
|
09-Mar-2020
|
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|
City /
|
Country
|
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|
/
|
United
States
|
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|
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
|
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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
|
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|
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD
|
|
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|
|
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
|
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|
|
|
|
Item
|
Proposal
|
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|
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
|
|
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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
|
|
|
|
|
|
|
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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
|
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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
|
|
|
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|
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|
1
|
Colleen D. Baldwin
|
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2
|
John V. Boyer
|
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3
|
Patricia W. Chadwick
|
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4
|
Martin J. Gavin
|
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5
|
Joseph E. Obermeyer
|
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|
6
|
Sheryl K. Pressler
|
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7
|
Dina Santoro
|
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8
|
Christopher P. Sullivan
|
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|
2.
|
If properly presented at the Annual Meeting, to vote on a
shareholder's precatory proposal relating to a tender
offer.
|
Shareholder
|
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|
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
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Agenda
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935221541 - Management
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Record Date
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01-May-2020
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Holding Recon Date
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01-May-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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13-Jul-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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Proposal to consider and approve a new investment
advisory agreement, by and between Royce &
Associates, LP and Royce Micro-Cap Trust, Inc.
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
|
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Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
233,042
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0
|
13-Jul-2020
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13-Jul-2020
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NEXPOINT FUNDS
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Security
|
65340G205
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Meeting Type
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Annual
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Ticker Symbol
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NHF
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Meeting Date
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14-Jul-2020
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ISIN
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US65340G2057
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Agenda
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935242836 - Management
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Record Date
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19-Jun-2020
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Holding Recon Date
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19-Jun-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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13-Jul-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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DIRECTOR
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Management
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Split
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Split
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1
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Dr. Bob Froehlich
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Split
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Split
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2
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Edward Constantino
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
|
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Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
216,785
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0
|
13-Jul-2020
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13-Jul-2020
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EATON VANCE INSD. MUN BD FD
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Security
|
27827X101
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Meeting Type
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Annual
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Ticker Symbol
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EIM
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Meeting Date
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16-Jul-2020
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ISIN
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US27827X1019
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Agenda
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935225006 - Management
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Record Date
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05-May-2020
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Holding Recon Date
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05-May-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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15-Jul-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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DIRECTOR
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Management
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Split
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Split
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1
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George J. Gorman
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Split
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Split
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2
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Helen Frame Peters
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Split
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Split
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3
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Marcus L. Smith
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Split
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Split
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4
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Susan J. Sutherland
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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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
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BLACKROCK DEBT STRATEGIES FD INC
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Security
|
09255R202
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Meeting Type
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Annual
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Ticker Symbol
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DSU
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Meeting Date
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27-Jul-2020
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ISIN
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US09255R2022
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Agenda
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935237330 - Management
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Record Date
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29-May-2020
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Holding Recon Date
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29-May-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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24-Jul-2020
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SEDOL(s)
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|
Quick Code
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Item
|
Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
|
DIRECTOR
|
Management
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Split
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Split
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1
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Cynthia L. Egan
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Split
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Split
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2
|
Michael J. Castellano
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Split
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Split
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3
|
Catherine A. Lynch
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Split
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Split
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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
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Security
|
09257A108
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Meeting Type
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Annual
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Ticker Symbol
|
BCX
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Meeting Date
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27-Jul-2020
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ISIN
|
US09257A1088
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Agenda
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935237823 - Management
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Record Date
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29-May-2020
|
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Holding Recon Date
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29-May-2020
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City /
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Country
|
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/
|
United
States
|
|
|
Vote Deadline Date
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|
24-Jul-2020
|
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SEDOL(s)
|
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|
Quick Code
|
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Item
|
Proposal
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Proposed
by
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|
Vote
|
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For/Against
Management
|
|
|
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|
1.
|
DIRECTOR
|
Management
|
|
Split
|
|
Split
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1
|
Michael J. Castellano
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|
Split
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|
Split
|
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2
|
R. Glenn Hubbard
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Split
|
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Split
|
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3
|
John M. Perlowski
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Split
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Split
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4
|
W. Carl Kester
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Split
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Split
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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
|
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|
BLACKROCK CALIFORNIA MUNICIPAL INCOME TR
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Security
|
09248E102
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Meeting Type
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Annual
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Ticker Symbol
|
BFZ
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Meeting Date
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27-Jul-2020
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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
|
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|
2
|
R. Glenn Hubbard
|
|
Split
|
|
Split
|
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3
|
John M. Perlowski
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Split
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Split
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|
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
|
|
|
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|
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
|
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|
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|
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|
|
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
|
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|
|
|
|
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
|
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Ticker Symbol
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INSU
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Meeting Date
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13-Oct-2020
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ISIN
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US4578671095
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Agenda
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935279302 - Management
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Record Date
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10-Sep-2020
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Holding Recon Date
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10-Sep-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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12-Oct-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1
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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").
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Management
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For
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For
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2
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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.
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Management
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For
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For
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3
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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.
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Management
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For
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For
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4
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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.
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Management
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For
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For
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5
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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.
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Management
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For
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For
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6
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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.
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Management
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For
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For
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7
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The Incentive Plan Proposal - To adopt the Shift
Technologies, Inc. 2020 Omnibus Equity Compensation
Plan, including the authorization of the initial share
reserve thereunder.
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Management
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For
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For
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8A
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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
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Management
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For
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For
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8B
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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
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Management
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For
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For
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8C
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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
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Management
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For
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For
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9A
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Election of Director: Kellyn Smith Kenny (Class I - 2021
annual meeting of stockholders)
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Management
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For
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For
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9B
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Election of Director: Victoria Mclnnis (Class I - 2021
annual meeting of stockholders)
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Management
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For
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For
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9C
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Election of Director: Jason Krikorian (Class II - 2022
annual meeting of stockholders)
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Management
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For
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For
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9D
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Election of Director: Emily Melton (Class II - 2022 annual
meeting of stockholders)
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Management
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For
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For
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9E
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Election of Director: Adam Nash (Class II - 2022 annual
meeting of stockholders)
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Management
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For
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For
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9F
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Election of Director: George Arison (Class III - 2023
annual meeting of stockholders)
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Management
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For
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For
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9G
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Election of Director: Manish Patel (Class III - 2023 annual
meeting of stockholders)
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Management
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For
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For
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9H
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Election of Director: Tobias Russell (Class III - 2023
annual meeting of stockholders)
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Management
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For
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For
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10
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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|
Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
6,376
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0
|
01-Oct-2020
|
01-Oct-2020
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FINTECH ACQUISITION CORP. III
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Security
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31811A101
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Meeting Type
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Special
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Ticker Symbol
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FTAC
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Meeting Date
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15-Oct-2020
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ISIN
|
US31811A1016
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Agenda
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935278247 - Management
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Record Date
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04-Sep-2020
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Holding Recon Date
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04-Sep-2020
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City /
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Country
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|
|
/
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United
States
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Vote Deadline Date
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14-Oct-2020
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SEDOL(s)
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Quick Code
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Item
|
Proposal
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Proposed
by
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Vote
|
|
For/Against
Management
|
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1.
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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.
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Management
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For
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For
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2A
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To change the Company's name to Paya Holdings Inc.
and remove certain provisions related to its status as a
special purpose acquisition company.
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Management
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For
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For
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2B
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To increase the amount of authorized shares and provide
for only one class of common stock.
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Management
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For
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For
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2C
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To prohibit stockholder action by written consent, subject
to GTCR's ownership percentage conditions at the time.
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Management
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For
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For
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2D
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To create three classes of directors and to extend each
director term to three years.
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Management
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For
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For
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2E
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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.
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Management
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For
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For
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2F
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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.
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Management
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For
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For
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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.
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Management
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For
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For
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3
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The Incentive Plan Proposal - To consider and vote upon
a proposal to adopt the Parent Omnibus Equity
Compensation Plan.
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Management
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For
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For
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4A
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Election of Director: Mei-Mei Tuan
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Management
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For
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For
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4B
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Election of Director: Pawneet Abramowski
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Management
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For
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For
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4C
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Election of Director: Jan Hopkins Trachtman
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Management
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For
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For
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5A
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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
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Management
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For
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For
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5B
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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
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Management
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For
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For
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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
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Management
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For
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For
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5D
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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
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Management
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For
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For
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5E
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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
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Management
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For
|
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For
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|
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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
|
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For
|
|
For
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5G
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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
|
|
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5H
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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
|
|
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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
|
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For
|
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For
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|
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6A
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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
|
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For
|
|
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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
|
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For
|
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For
|
|
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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
|
|
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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
|
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For
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|
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
|
|
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|
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
|
|
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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
|
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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For
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For
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2.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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7,363
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0
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21-Oct-2020
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21-Oct-2020
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NETFIN ACQUISITION CORP.
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Security
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G6455A107
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Meeting Type
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Special
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Ticker Symbol
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NFIN
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Meeting Date
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10-Nov-2020
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ISIN
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KYG6455A1076
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Agenda
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935292920 - Management
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Record Date
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12-Oct-2020
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Holding Recon Date
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12-Oct-2020
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City /
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Country
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United
States
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Vote Deadline Date
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09-Nov-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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For
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For
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2.
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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"
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Management
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For
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For
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3a.
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Charter Proposal A - (i) the name of the new public entity
will be "Triterras, Inc." as opposed to "Netfin Acquisition
Corp."
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Management
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For
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For
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3b.
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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.
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Management
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For
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For
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3c.
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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).
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Management
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For
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For
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4.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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25,065
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0
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09-Nov-2020
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09-Nov-2020
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EATON VANCE SENIOR INCOME TRUST
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Security
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27826S103
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Meeting Type
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Contested-Annual
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Ticker Symbol
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EVF
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Meeting Date
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12-Nov-2020
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ISIN
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US27826S1033
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Agenda
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935275037 - Opposition
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Record Date
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01-Sep-2020
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Holding Recon Date
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01-Sep-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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11-Nov-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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DIRECTOR
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Management
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1
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Stephen G. Flanagan
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2
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Frederic Gabriel
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3
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Christopher A. Klepps
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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73,833
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0
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11-Nov-2020
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11-Nov-2020
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EATON VANCE SENIOR INCOME TRUST
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Security
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27826S103
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Meeting Type
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Contested-Annual
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Ticker Symbol
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EVF
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Meeting Date
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12-Nov-2020
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ISIN
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US27826S1033
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Agenda
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935276217 - Management
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Record Date
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01-Sep-2020
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Holding Recon Date
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01-Sep-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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11-Nov-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1A.
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DIRECTOR
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Management
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1
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Thomas E. Faust Jr.
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2
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Cynthia E. Frost
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3
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Susan J. Sutherland
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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73,833
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0
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ORISUN ACQUISITION CORP.
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Security
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68632T109
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Meeting Type
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Special
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Ticker Symbol
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ORSN
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Meeting Date
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16-Nov-2020
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ISIN
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US68632T1097
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Agenda
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935295407 - Management
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Record Date
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07-Oct-2020
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Holding Recon Date
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07-Oct-2020
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City /
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Country
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United
States
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Vote Deadline Date
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13-Nov-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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".
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Management
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For
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For
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2.
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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".
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Management
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For
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For
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3.
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To approve PubCo's 2020 Equity Incentive Plan. This
proposal is referred to as the "Incentive Plan Proposal" or
"Proposal 3".
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Management
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For
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For
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4.
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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".
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
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STATE
STREET BANK
& TRUST CO
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36,130
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0
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09-Nov-2020
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09-Nov-2020
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LEGACY ACQUISITION CORP.
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Security
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524643111
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Meeting Type
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Consent
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Ticker Symbol
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LGCWS
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Meeting Date
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25-Nov-2020
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ISIN
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US5246431119
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Agenda
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935297122 - Management
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Record Date
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30-Sep-2020
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Holding Recon Date
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30-Sep-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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24-Nov-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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").
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
|
Date
Confirmed
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997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
29,059
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0
|
12-Nov-2020
|
12-Nov-2020
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TUSCAN HOLDINGS CORP.
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Security
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90069K104
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Meeting Type
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Special
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Ticker Symbol
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THCB
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Meeting Date
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03-Dec-2020
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ISIN
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US90069K1043
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Agenda
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935302137 - Management
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Record Date
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30-Oct-2020
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Holding Recon Date
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30-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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02-Dec-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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For
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For
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2.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
|
Date
Confirmed
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997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
43,548
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0
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19-Nov-2020
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19-Nov-2020
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GIGCAPITAL2, INC.
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Security
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375036100
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Meeting Type
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Annual
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Ticker Symbol
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GIX
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Meeting Date
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08-Dec-2020
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ISIN
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US3750361004
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Agenda
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935294708 - Management
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Record Date
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26-Oct-2020
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Holding Recon Date
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26-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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07-Dec-2020
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SEDOL(s)
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|
Quick Code
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Item
|
Proposal
|
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Proposed
by
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|
Vote
|
|
For/Against
Management
|
|
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|
|
|
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
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For
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For
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2.
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DIRECTOR
|
Management
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1
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Dr. Avi S. Katz
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For
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For
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2
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Dr. Raluca Dinu
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For
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For
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3
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Neil Miotto
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For
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For
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4
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John Mikulsky
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For
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For
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5
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Gil Frostig
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For
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For
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3.
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Ratification of Appointment of BPM to serve as the
Company's Independent Registered Public Accounting
firm for the year ending December 31, 2020.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
|
Custodian
|
Ballot Shares
|
|
Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
23,193
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0
|
09-Nov-2020
|
09-Nov-2020
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HAYMAKER ACQUISITION CORP. II
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Security
|
42087L101
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Meeting Type
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Special
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Ticker Symbol
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HYAC
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Meeting Date
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08-Dec-2020
|
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ISIN
|
US42087L1017
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Agenda
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935300208 - Management
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Record Date
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04-Nov-2020
|
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Holding Recon Date
|
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04-Nov-2020
|
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City /
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Country
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/
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United
States
|
|
|
Vote Deadline Date
|
|
07-Dec-2020
|
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SEDOL(s)
|
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|
Quick Code
|
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Item
|
Proposal
|
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Proposed
by
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|
Vote
|
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For/Against
Management
|
|
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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
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For
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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
|
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For
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For
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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
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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
|
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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").
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Management
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Split
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Split
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2.
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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.
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Management
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Split
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Split
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3.
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To approve an amended and restated investment
advisory agreement between Barings BDC and Barings
LLC.
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Management
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Split
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Split
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4.
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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.
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL98
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RIVERNORTH
OPP FUND FBO
NFSLLC
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AL98
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STATE
STREET BANK
& TRUST CO
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200,000
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0
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22-Dec-2020
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22-Dec-2020
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LIVE OAK ACQUISITION CORP.
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Security
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53804F103
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Meeting Type
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Special
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Ticker Symbol
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LOAK
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Meeting Date
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28-Dec-2020
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ISIN
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US53804F1030
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Agenda
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935318697 - Management
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Record Date
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07-Dec-2020
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Holding Recon Date
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07-Dec-2020
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City /
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Country
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United
States
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Vote Deadline Date
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24-Dec-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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").
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Management
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For
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For
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2A.
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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.
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Management
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For
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For
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2B.
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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.
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Management
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For
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For
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2C.
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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.
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Management
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For
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For
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2D.
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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.
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Management
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For
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For
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2E.
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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.
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Management
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For
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For
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2F.
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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.
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Management
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For
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For
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2G.
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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.
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Management
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For
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For
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2H.
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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.
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Management
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For
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For
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2I.
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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.
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Management
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For
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For
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3.
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DIRECTOR
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Management
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1
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Stephen E. Croskrey
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For
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For
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2
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John P. Amboian
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For
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For
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3
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Richard J. Hendrix
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For
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For
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4
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Christy Basco
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For
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For
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5
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Philip Gregory Calhoun
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For
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For
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6
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Gregory Hunt
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For
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For
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7
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Dr. Isao Noda
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For
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For
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8
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Stuart Pratt
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For
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For
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4.
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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.
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Management
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For
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For
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5.
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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.
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Management
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For
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For
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6.
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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.
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Management
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For
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For
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7.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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6,985
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0
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21-Dec-2020
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21-Dec-2020
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GX ACQUISITION CORP.
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Security
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36251A107
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Meeting Type
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Annual
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Ticker Symbol
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GXGX
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Meeting Date
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29-Dec-2020
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ISIN
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US36251A1079
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Agenda
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935316910 - Management
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Record Date
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27-Nov-2020
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Holding Recon Date
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27-Nov-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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28-Dec-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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DIRECTOR
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Management
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1
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Paul S. Levy
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For
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For
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2.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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1,686
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0
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15-Dec-2020
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15-Dec-2020
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THUNDER BRIDGE ACQUISITION II, LTD
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Security
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G8857S116
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Meeting Type
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Annual
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Ticker Symbol
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THBR
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Meeting Date
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30-Dec-2020
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ISIN
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KYG8857S1167
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Agenda
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935316958 - Management
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Record Date
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01-Dec-2020
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Holding Recon Date
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01-Dec-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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29-Dec-2020
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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16,262
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0
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15-Dec-2020
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15-Dec-2020
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EATON VANCE SENIOR INCOME TRUST
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Security
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27826S103
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Meeting Type
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Contested-Special
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Ticker Symbol
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EVF
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Meeting Date
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12-Jan-2021
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ISIN
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US27826S1033
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Agenda
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935306604 - Opposition
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Record Date
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29-Oct-2020
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Holding Recon Date
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29-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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11-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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Proposal to consider and approve a new investment
advisory agreement with Eaton Vance Management.
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Management
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2.
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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.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
|
STATE
STREET BANK
& TRUST CO
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117,501
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0
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08-Jan-2021
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08-Jan-2021
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EATON VANCE SENIOR INCOME TRUST
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Security
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27826S103
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Meeting Type
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Contested-Special
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Ticker Symbol
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EVF
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Meeting Date
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12-Jan-2021
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ISIN
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US27826S1033
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Agenda
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935311895 - Management
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Record Date
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29-Oct-2020
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Holding Recon Date
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29-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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11-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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4a.
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Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser.
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Management
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Account
Number
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Account Name
|
Internal Account
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Custodian
|
Ballot Shares
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Unavailable
Shares
|
Vote Date
|
Date
Confirmed
|
|
|
997AL97
|
RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
|
STATE
STREET BANK
& TRUST CO
|
117,501
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|
0
|
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|
SC HEALTH CORPORATION
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Security
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G78516203
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Meeting Type
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Special
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Ticker Symbol
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SCPE
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Meeting Date
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12-Jan-2021
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ISIN
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KYG785162036
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Agenda
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935320692 - Management
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Record Date
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21-Dec-2020
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Holding Recon Date
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21-Dec-2020
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City /
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Country
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/
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China
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Vote Deadline Date
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11-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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|
Vote
|
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For/Against
Management
|
|
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1.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
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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
|
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|
SILVER SPIKE ACQUISITION CORP.
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Security
|
G8136L106
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Meeting Type
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Special
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Ticker Symbol
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SSPK
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Meeting Date
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13-Jan-2021
|
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ISIN
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KYG8136L1068
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Agenda
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935320755 - Management
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Record Date
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18-Dec-2020
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Holding Recon Date
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18-Dec-2020
|
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City /
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Country
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/
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United
States
|
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Vote Deadline Date
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12-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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For
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For
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3.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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13,033
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0
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04-Jan-2021
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04-Jan-2021
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NUVEEN NEW YORK MUNICIPAL VALUE FUND 2
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Security
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670706100
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Meeting Type
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Annual
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Ticker Symbol
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NYV
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Meeting Date
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15-Jan-2021
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ISIN
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US6707061007
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Agenda
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935289923 - Management
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Record Date
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08-Sep-2020
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Holding Recon Date
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08-Sep-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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14-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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35,338
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0
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04-Dec-2020
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14-Jan-2021
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BLACKROCK NY INSURED MUNICIPAL INCOME TR
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Security
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09249U105
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Meeting Type
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Special
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Ticker Symbol
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BSE
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Meeting Date
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21-Jan-2021
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ISIN
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US09249U1051
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Agenda
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935296877 - Management
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Record Date
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16-Oct-2020
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Holding Recon Date
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16-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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20-Jan-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1A.
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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.
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
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STATE
STREET BANK
& TRUST CO
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145,688
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0
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14-Dec-2020
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14-Dec-2020
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CC NEUBERGER PRINCIPAL HOLDINGS
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Security
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G1992Y114
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Meeting Type
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Special
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Ticker Symbol
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PCPL
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Meeting Date
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02-Feb-2021
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ISIN
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KYG1992Y1145
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Agenda
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935326442 - Management
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Record Date
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23-Dec-2020
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Holding Recon Date
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23-Dec-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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01-Feb-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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).
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Management
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For
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For
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2.
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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).
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Management
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For
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For
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3.
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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.
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Management
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For
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For
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4.
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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).
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Management
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For
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For
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5A.
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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).
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Management
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For
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For
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5B.
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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.
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Management
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For
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For
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5C.
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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).
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Management
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For
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For
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5D.
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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.
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Management
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For
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For
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5E.
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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.
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Management
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For
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For
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5F.
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Organizational Documents Proposal 5f - an amendment
to adopt Delaware as the exclusive forum for certain
stockholder litigation.
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Management
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For
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For
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5G.
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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.
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Management
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For
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For
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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
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For
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For
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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")
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Management
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For
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For
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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
|
|
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Security
|
G0120M109
|
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Meeting Type
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Special
|
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Ticker Symbol
|
AGBA
|
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Meeting Date
|
|
05-Feb-2021
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ISIN
|
VGG0120M1095
|
|
Agenda
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|
935329082 - Management
|
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Record Date
|
12-Jan-2021
|
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Holding Recon Date
|
|
12-Jan-2021
|
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City /
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Country
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/
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United
States
|
|
|
Vote Deadline Date
|
|
04-Feb-2021
|
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SEDOL(s)
|
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|
Quick Code
|
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Item
|
Proposal
|
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Proposed
by
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|
Vote
|
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For/Against
Management
|
|
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|
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
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For
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For
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2.
|
APPROVAL OF AN AMENDMENT TO THE
COMPANY'S EXISTING INVESTMENT MANAGEMENT
TRUST AGREEMENT TO MAKE CHANGES
NECESSARY TO REFLECT THE EXTENSION.
|
Management
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For
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For
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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
|
|
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Security
|
27828H105
|
|
Meeting Type
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|
Annual
|
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Ticker Symbol
|
EVV
|
|
Meeting Date
|
|
11-Feb-2021
|
|
|
ISIN
|
US27828H1059
|
|
Agenda
|
|
935319473 - Management
|
|
Record Date
|
30-Nov-2020
|
|
Holding Recon Date
|
|
30-Nov-2020
|
|
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City /
|
Country
|
|
|
/
|
United
States
|
|
|
Vote Deadline Date
|
|
10-Feb-2021
|
|
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SEDOL(s)
|
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|
Quick Code
|
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Item
|
Proposal
|
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|
Proposed
by
|
|
Vote
|
|
For/Against
Management
|
|
|
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|
|
|
1A)
|
DIRECTOR
|
Management
|
|
Split
|
|
Split
|
|
|
1
|
Helen Frame Peters
|
|
Split
|
|
Split
|
|
|
2
|
Marcus L. Smith
|
|
Split
|
|
Split
|
|
|
3
|
Susan J. Sutherland
|
|
Split
|
|
Split
|
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|
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
|
|
|
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|
|
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
|
|
|
|
|
|
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|
|
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|
|
|
|
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
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EATON VANCE LIMITED DURATION INCOME FD
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Security
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27828H105
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Meeting Type
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Special
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Ticker Symbol
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EVV
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Meeting Date
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23-Feb-2021
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ISIN
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US27828H1059
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Agenda
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935312556 - Management
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Record Date
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29-Oct-2020
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Holding Recon Date
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29-Oct-2020
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City /
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Country
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/
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United
States
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Vote Deadline Date
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22-Feb-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1A.
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Approval of a new investment advisory agreement with
Eaton Vance Management to continue to serve as the
Fund's investment adviser.
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Management
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Split
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Split
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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92,204
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0
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06-Jan-2021
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06-Jan-2021
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OAKTREE SPECIALTY LENDING CORPORATION
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Security
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67401P108
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Meeting Type
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Annual
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Ticker Symbol
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OCSL
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Meeting Date
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15-Mar-2021
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ISIN
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US67401P1084
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Agenda
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935330946 - Management
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Record Date
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19-Jan-2021
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Holding Recon Date
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19-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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12-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1A.
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Election of Director: Deborah Gero
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Management
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1B.
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Election of Director: Craig Jacobson
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Management
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2.
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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.
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Management
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3.
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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.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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1,056,560
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0
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OAKTREE STRATEGIC INCOME CORPORATION
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Security
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67402D104
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Meeting Type
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Special
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Ticker Symbol
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OCSI
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Meeting Date
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15-Mar-2021
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ISIN
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US67402D1046
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Agenda
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935331152 - Management
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Record Date
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19-Jan-2021
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Holding Recon Date
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19-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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12-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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52,374
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0
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OWL ROCK CAPITAL CORPORATION
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Security
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69121K104
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Meeting Type
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Special
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Ticker Symbol
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ORCC
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Meeting Date
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17-Mar-2021
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ISIN
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US69121K1043
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Agenda
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935331037 - Management
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Record Date
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15-Jan-2021
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Holding Recon Date
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15-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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16-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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").
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Management
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2.
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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").
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
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STATE
STREET BANK
& TRUST CO
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198,556
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0
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EATON VANCE FLOATING-RATE INCOME PLUS
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Security
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278284104
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Meeting Type
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Contested-Special
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Ticker Symbol
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EFF
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Meeting Date
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19-Mar-2021
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ISIN
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US2782841041
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Agenda
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935335871 - Management
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Record Date
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15-Jan-2021
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Holding Recon Date
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15-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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18-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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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.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
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997AL97
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STATE
STREET BANK
& TRUST CO
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227,905
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0
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EATON VANCE FLOATING-RATE INCOME PLUS
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Security
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278284104
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Meeting Type
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Contested-Special
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Ticker Symbol
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EFF
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Meeting Date
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19-Mar-2021
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ISIN
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US2782841041
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Agenda
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935336328 - Opposition
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Record Date
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15-Jan-2021
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Holding Recon Date
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15-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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18-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1.
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Proposal to consider and approve a new investment
advisory agreement with Eaton Vance Management.
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Management
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2.
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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.
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Management
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Account
Number
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Account Name
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Internal Account
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Custodian
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Ballot Shares
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Unavailable
Shares
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Vote Date
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Date
Confirmed
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997AL97
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RIVERNORTH
OPPORTUNITIE
S FUND
|
997AL97
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STATE
STREET BANK
& TRUST CO
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227,905
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0
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REPLAY ACQUISITION CORP.
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Security
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G75130107
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Meeting Type
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Special
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Ticker Symbol
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RPLA
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Meeting Date
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25-Mar-2021
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ISIN
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KYG751301071
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Agenda
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935336998 - Management
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Record Date
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28-Jan-2021
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Holding Recon Date
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28-Jan-2021
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City /
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Country
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/
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United
States
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Vote Deadline Date
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24-Mar-2021
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SEDOL(s)
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Quick Code
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Item
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Proposal
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Proposed
by
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Vote
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For/Against
Management
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1A.
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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.
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Management
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For
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For
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1B.
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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.
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Management
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For
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For
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1C.
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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).
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Management
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For
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For
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2A.
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The Stock Issuance Proposals: Each issuance of
Ordinary Shares pursuant to each Replay PIPE
Agreement.
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Management
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For
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For
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2B.
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The Stock Issuance Proposals: Each issuance of shares
of Class A Common Stock pursuant to each New Pubco
PIPE Agreement.
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Management
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For
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For
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2C.
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The Stock Issuance Proposals: Each issuance of shares
of Class A Common Stock pursuant to the Transaction
Agreement.
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Management
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For
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For
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2D.
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The Stock Issuance Proposals: Each issuance of shares
of Class B Common Stock pursuant to the Transaction
Agreement.
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Management
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For
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For
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2E.
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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").
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Management
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For
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For
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2F.
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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.
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Management
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For
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For
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2G.
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The Stock Issuance Proposals: Each issuance of Class B
Common Stock to the Sellers pursuant to the Transaction
Agreement.
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Management
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For
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For
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3A.
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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).
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Management
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For
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For
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3B.
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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).
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Management
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For
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For
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3C.
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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).
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Management
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For
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For
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4.
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The Incentive Plan Proposal: A proposal to approve the
adoption of the Finance of America Companies Inc. 2021
Omnibus Incentive Plan (the "Incentive Plan").
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Management
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For
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For
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5.
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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.
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Management
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For
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For
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6.
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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.
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Management
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For
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For
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Account
Number
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Account Name
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Internal Account
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Custodian
|
Ballot Shares
|
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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
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ABERDEEN FUNDS
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Security
|
00301W105
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Meeting Type
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Annual
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Ticker Symbol
|
AEF
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Meeting Date
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01-Apr-2021
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ISIN
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US00301W1053
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Agenda
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935340579 - Management
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Record Date
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16-Feb-2021
|
|
Holding Recon Date
|
|
16-Feb-2021
|
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City /
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Country
|
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/
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United
States
|
|
|
Vote Deadline Date
|
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31-Mar-2021
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SEDOL(s)
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|
Quick Code
|
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Item
|
Proposal
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|
|
Proposed
by
|
|
Vote
|
|
For/Against
Management
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|
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1.1
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Election of Class I Director for three year term until 2024
Annual Meeting: Nancy Yao Maasbach
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Management
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Split
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Split
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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
|
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.