UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22039
First Trust Specialty Finance and
Financial Opportunities Fund
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
--------------------------------------------------
Registrant's Telephone Number, including Area Code
Date of fiscal year end: November 30
-----------
Date of reporting period: July 1, 2014 - June 30, 2015
----------------------------
Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
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STELLUS CAPITAL INVESTMENT CORPORATION
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Security: 858568108 Meeting Type: Annual
Ticker: SCM Meeting Date: 07-Jul-2014
ISIN US8585681088 Vote Deadline Date: 03-Jul-2014
Agenda 934007394 Management Total Ballot Shares: 127492
Last Vote Date: 24-Jun-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 JOSHUA T. DAVIS 69150 0 5850 0
2 BRUCE R. BILGER 72004 0 2996 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 67326 5694 1980 0
THE COMPANY, WITH THE APPROVAL OF
THE BOARD, TO SELL OR OTHERWISE ISSUE
UP TO 25% OF THE COMPANY'S
OUTSTANDING COMMON STOCK AT AN
OFFERING PRICE THAT IS BELOW THE
COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE.
3 TO APPROVE A PROPOSAL TO AUTHORIZE For None 68395 4470 2135 0
THE COMPANY TO ISSUE WARRANTS,
OPTIONS OR RIGHTS TO SUBSCRIBE TO,
CONVERT TO, OR PURCHASE OUR COMMON
STOCK IN ONE OR MORE OFFERINGS.
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HERCULES TECHNOLOGY GROWTH CAP INC
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Security: 427096508 Meeting Type: Annual
Ticker: HTGC Meeting Date: 08-Jul-2014
ISIN US4270965084 Vote Deadline Date: 07-Jul-2014
Agenda 934040495 Management Total Ballot Shares: 463764
Last Vote Date: 07-Jul-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 ROBERT P. BADAVAS 403141 0 46859 0
2 TO RATIFY THE SELECTION OF For None 445138 2690 2172 0
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2014.
3 ADVISORY VOTE TO APPROVE THE For None 374370 68011 7619 0
COMPANY'S NAMED EXECUTIVE OFFICER
COMPENSATION.
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KCAP FINANCIAL, INC.
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Security: 48668E101 Meeting Type: Special
Ticker: KCAP Meeting Date: 08-Jul-2014
ISIN US48668E1010 Vote Deadline Date: 07-Jul-2014
Agenda 934009437 Management Total Ballot Shares: 341146
Last Vote Date: 17-Jun-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 123340 72096 4564 0
THE COMPANY, WITH APPROVAL OF ITS
BOARD OF DIRECTORS, TO SELL SHARES OF
ITS COMMON STOCK, PAR VALUE $0.01 PER
SHARE AT A PRICE BELOW THE THEN
CURRENT NET ASSET VALUE PER SHARE OF
SUCH COMMON STOCK, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
PROXY STATEMENT.
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TICC CAPITAL CORP
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Security: 87244T109 Meeting Type: Annual
Ticker: TICC Meeting Date: 17-Jul-2014
ISIN US87244T1097 Vote Deadline Date: 16-Jul-2014
Agenda 934010822 Management Total Ballot Shares: 104903
Last Vote Date: 24-Jun-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 CHARLES M. ROYCE 36058 0 3942 0
2 STEVEN P. NOVAK 37351 0 2649 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 32648 6440 912 0
TICC CAPITAL CORP. TO SELL SHARES OF
ITS COMMON STOCK AT A PRICE OR PRICES
BELOW TICC CAPITAL CORP.'S THEN
CURRENT NET ASSET VALUE PER SHARE IN
ONE OR MORE OFFERINGS, IN EACH CASE
SUBJECT TO THE APPROVAL OF ITS BOARD
OF DIRECTORS AND COMPLIANCE WITH THE
CONDITIONS SET FORTH IN THE PROXY
STATEMENT PERTAINING THERETO
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APOLLO INVESTMENT CORPORATION
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Security: 03761U106 Meeting Type: Annual
Ticker: AINV Meeting Date: 05-Aug-2014
ISIN US03761U1060 Vote Deadline Date: 04-Aug-2014
Agenda 934048035 Management Total Ballot Shares: 423094
Last Vote Date: 04-Aug-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JEANETTE LOEB 388616 0 11384 0
2 FRANK C. PULEO 388641 0 11359 0
3 CARL SPIELVOGEL 387527 0 12473 0
2 TO RATIFY THE SELECTION OF For None 395600 2968 1432 0
PRICEWATERHOUSECOOPERS LLP AS
APOLLO INVESTMENT CORPORATION'S (THE
"COMPANY") INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING MARCH 31, 2015.
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APOLLO INVESTMENT CORPORATION
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Security: 03761U106 Meeting Type: Special
Ticker: AINV Meeting Date: 05-Aug-2014
ISIN US03761U1060 Vote Deadline Date: 04-Aug-2014
Agenda 934050686 Management Total Ballot Shares: 423094
Last Vote Date: 04-Aug-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 310593 84762 4645 0
FLEXIBILITY FOR THE COMPANY, WITH
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT PRICES
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE.
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GLADSTONE INVESTMENT CORPORATION
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Security: 376546107 Meeting Type: Annual
Ticker: GAIN Meeting Date: 07-Aug-2014
ISIN US3765461070 Vote Deadline Date: 06-Aug-2014
Agenda 934049671 Management Total Ballot Shares: 184580
Last Vote Date: 05-Aug-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 ELECTION OF DIRECTOR: ANTHONY W. PARKER For None 175652 0 7681 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 160487 18430 4416 0
US, WITH THE APPROVAL OF OUR BOARD OF
DIRECTORS (THE "BOARD"), TO ISSUE AND
SELL SHARES OF OUR COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A PRICE
BELOW ITS THEN CURRENT NET ASSET
VALUE PER SHARE, SUBJECT TO CERTAIN
LIMITATIONS SET FORTH IN THE PROXY
STATEMENT (INCLUDING, WITHOUT
LIMITATION, THAT THE NUMBER OF SHARES
ISSUED AND SOLD PURSUANT TO SUCH
AUTHORITY DOES NOT EXCEED 25% OF OUR
THEN OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH SALE).
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NGP CAPITAL RESOURCES COMPANY
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Security: 62912R107 Meeting Type: Annual
Ticker: NGPC Meeting Date: 30-Sep-2014
ISIN US62912R1077 Vote Deadline Date: 29-Sep-2014
Agenda 934070133 Management Total Ballot Shares: 300000
Last Vote Date: 26-Sep-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO APPROVE THE PROPOSED INVESTMENT For None 251339 47104 1557 0
ADVISORY AGREEMENT, PURSUANT TO
WHICH OAK HILL ADVISORS, L.P. WOULD BE
APPOINTED AS THE NEW INVESTMENT
ADVISOR OF NGP CAPITAL RESOURCES
COMPANY, AS FURTHER DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT.
2 DIRECTOR For None
1 EDWARD W. BLESSING 242378 0 57622 0
3 TO RATIFY THE SELECTION OF ERNST & For None 293926 4409 1665 0
YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014.
4 TO APPROVE ANY MOTION PROPERLY For None 245518 48700 5782 0
BROUGHT BEFORE THE ANNUAL MEETING
TO ADJOURN THE ANNUAL MEETING, IF
NECESSARY, TO SOLICIT ADDITIONAL VOTES
IN FAVOR OF THE PROPOSAL TO APPROVE
THE PROPOSED INVESTMENT ADVISORY
AGREEMENT.
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HORIZON TECHNOLOGY FINANCE CORPORATION
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Security: 44045A102 Meeting Type: Special
Ticker: HRZN Meeting Date: 22-Jan-2015
ISIN US44045A1025 Vote Deadline Date: 21-Jan-2015
Agenda 934109934 Management Total Ballot Shares: 220533
Last Vote Date: 21-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO AUTHORIZE THE COMPANY, WITH THE For None 112474 31060 4270 0
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF ITS COMMON STOCK,
DURING THE NEXT 12 MONTHS, AT A PRICE
OR PRICES BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE IN
ONE OR MORE OFFERINGS, SUBJECT TO
CERTAIN CONDITIONS AS SET FORTH IN THE
PROXY STATEMENT ... (DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL)
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GOLUB CAPITAL BDC, INC.
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Security: 38173M102 Meeting Type: Annual
Ticker: GBDC Meeting Date: 03-Feb-2015
ISIN US38173M1027 Vote Deadline Date: 02-Feb-2015
Agenda 934112703 Management Total Ballot Shares: 539696
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 ELECTION OF TRUSTEE: KENNETH F. BERNSTEIN For None 397693 1558 749 0
2 ELECTION OF TRUSTEE: JOHN T. BAILY For None 397681 1582 737 0
3 TO RATIFY THE SELECTION OF MCGLADREY For None 398861 424 715 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2015.
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PENNANTPARK FLOATING RATE CAPITAL LTD.
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Security: 70806A106 Meeting Type: Annual
Ticker: PFLT Meeting Date: 03-Feb-2015
ISIN US70806A1060 Vote Deadline Date: 02-Feb-2015
Agenda 934108297 Management Total Ballot Shares: 146162
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MARSHALL BROZOST 73150 0 5747 0
2 SAMUEL L. KATZ 77041 0 1856 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 77196 637 1064 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2015.
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PENNANTPARK INVESTMENT CORPORATION
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Security: 708062104 Meeting Type: Special
Ticker: PNNT Meeting Date: 03-Feb-2015
ISIN US7080621045 Vote Deadline Date: 02-Feb-2015
Agenda 934109388 Management Total Ballot Shares: 729187
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 373456 119700 6844 0
TO AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH THE APPROVAL OF THE
COMPANY'S BOARD OF DIRECTORS, TO SELL
SHARES OF THE COMPANY'S COMMON
STOCK (DURING THE NEXT 12 MONTHS) AT A
PRICE BELOW THE THEN-CURRENT NET
ASSET VALUE PER SHARE, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
JOINT PROXY STATEMENT.
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MEDLEY CAPITAL CORPORATION
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Security: 58503F106 Meeting Type: Annual
Ticker: MCC Meeting Date: 24-Feb-2015
ISIN US58503F1066 Vote Deadline Date: 23-Feb-2015
Agenda 934117967 Management Total Ballot Shares: 576384
Last Vote Date: 20-Feb-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MR. JEFF TONKEL 292733 0 57267 0
2 MR. ROBERT LYONS 338932 0 11068 0
2 RATIFICATION OF APPOINTMENT OF ERNST For None 346088 2693 1219 0
& YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE 2015 FISCAL YEAR.
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PENNANTPARK FLOATING RATE CAPITAL LTD.
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Security: 70806A106 Meeting Type: Special
Ticker: PFLT Meeting Date: 24-Feb-2015
ISIN US70806A1060 Vote Deadline Date: 23-Feb-2015
Agenda 934109681 Management Total Ballot Shares: 146162
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 47680 30099 1118 0
TO AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH THE APPROVAL OF THE
COMPANY'S BOARD OF DIRECTORS, TO SELL
SHARES OF THE COMPANY'S COMMON
STOCK (DURING THE NEXT 12 MONTHS) AT A
PRICE BELOW THE THEN-CURRENT NET
ASSET VALUE PER SHARE, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
JOINT PROXY STATEMENT.
----------------------------------------------------------------------------------------
PENNANTPARK INVESTMENT CORPORATION
----------------------------------------------------------------------------------------
Security: 708062104 Meeting Type: Annual
Ticker: PNNT Meeting Date: 30-Mar-2015
ISIN US7080621045 Vote Deadline Date: 27-Mar-2015
Agenda 934108300 Management Total Ballot Shares: 729187
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ADAM BERNSTEIN 478566 0 21434 0
2 JEFFREY FLUG 486140 0 13860 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 490984 5562 3454 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2015.
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AMERICAN CAPITAL, LTD.
----------------------------------------------------------------------------------------
Security: 02503Y103 Meeting Type: Annual
Ticker: ACAS Meeting Date: 24-Apr-2015
ISIN US02503Y1038 Vote Deadline Date: 23-Apr-2015
Agenda 934136727 Management Total Ballot Shares: 281357
Last Vote Date: 22-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MARY C. BASKIN For None 176636 16993 10571 0
2 ELECTION OF DIRECTOR: NEIL M. HAHL For None 176452 17088 10660 0
3 ELECTION OF DIRECTOR: PHILIP R. HARPER For None 174844 18747 10609 0
4 ELECTION OF DIRECTOR: STAN LUNDINE For None 174887 18653 10660 0
5 ELECTION OF DIRECTOR: KRISTEN L. MANOS For None 187371 6232 10597 0
6 ELECTION OF DIRECTOR: SUSAN K. For None 190247 3346 10607 0
NESTEGARD
7 ELECTION OF DIRECTOR: KENNETH D. For None 176512 17064 10624 0
PETERSON
8 ELECTION OF DIRECTOR: ALVIN N. PURYEAR For None 174922 18675 10603 0
9 ELECTION OF DIRECTOR: MALON WILKUS For None 185178 8455 10567 0
10 APPROVAL OF THE AMERICAN CAPITAL, LTD. For None 176052 26136 2012 0
EMPLOYEE CASH INCENTIVE PLAN.
11 RATIFICATION OF THE APPOINTMENT OF For None 201410 1437 1353 0
ERNST & YOUNG LLP TO SERVE AS OUR
INDEPENDENT PUBLIC ACCOUNTANT FOR
THE YEAR ENDING DECEMBER 31, 2015.
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NEW MOUNTAIN FINANCE CORPORATION
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Security: 647551100 Meeting Type: Annual
Ticker: NMFC Meeting Date: 28-Apr-2015
ISIN US6475511001 Vote Deadline Date: 27-Apr-2015
Agenda 934140346 Management Total Ballot Shares: 514570
Last Vote Date: 24-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID OGENS 346496 0 3504 0
2 ADAM B. WEINSTEIN 345722 0 4278 0
2 TO RATIFY THE APPOINTMENT OF DELOITTE For None 341939 7157 904 0
& TOUCHE, LLP TO SERVE AS NEW
MOUNTAIN FINANCE CORPORATION'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2015.
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ARES CAPITAL CORPORATION
----------------------------------------------------------------------------------------
Security: 04010L103 Meeting Type: Annual
Ticker: ARCC Meeting Date: 29-Apr-2015
ISIN US04010L1035 Vote Deadline Date: 28-Apr-2015
Agenda 934143051 Management Total Ballot Shares: 1358291.5878
Last Vote Date: 28-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: STEVE BARTLETT For None 385426 0 14574 0
2 ELECTION OF DIRECTOR: ROBERT L. ROSEN For None 386830 0 13170 0
3 ELECTION OF DIRECTOR: BENNETT For None 379753 0 20247 0
ROSENTHAL
4 TO RATIFY THE SELECTION OF KPMG LLP AS For None 383617 14849 1534 0
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2015.
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ARES CAPITAL CORPORATION
----------------------------------------------------------------------------------------
Security: 04010L103 Meeting Type: Special
Ticker: ARCC Meeting Date: 29-Apr-2015
ISIN US04010L1035 Vote Deadline Date: 28-Apr-2015
Agenda 934144914 Management Total Ballot Shares: 1358291.5878
Last Vote Date: 28-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO AUTHORIZE THE COMPANY, WITH THE For None 337115 56439 6446 0
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL OR OTHERWISE ISSUE SHARES OF
ITS COMMON STOCK AT A PRICE BELOW ITS
THEN CURRENT NET ASSET VALUE PER
SHARE SUBJECT TO THE LIMITATIONS SET
FORTH IN THE PROXY STATEMENT FOR THE
SPECIAL MEETING OF STOCKHOLDERS
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MAIN STREET CAPITAL CORPORATION
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Security: 56035L104 Meeting Type: Annual
Ticker: MAIN Meeting Date: 04-May-2015
ISIN US56035L1044 Vote Deadline Date: 01-May-2015
Agenda 934141766 Management Total Ballot Shares: 45389
Last Vote Date: 01-May-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MICHAEL APPLING, For None 19304 247 223 0
JR.
2 ELECTION OF DIRECTOR: JOSEPH E. CANON For None 19279 270 225 0
3 ELECTION OF DIRECTOR: ARTHUR L. For None 19271 276 227 0
FRENCH
4 ELECTION OF DIRECTOR: J. KEVIN GRIFFIN For None 19334 209 231 0
5 ELECTION OF DIRECTOR: JOHN E. JACKSON For None 19333 213 228 0
6 ELECTION OF DIRECTOR: VINCENT D. For None 19058 484 232 0
FOSTER
7 PROPOSAL TO APPROVE OUR 2015 EQUITY For None 18147 1171 456 0
AND INCENTIVE PLAN.
8 PROPOSAL TO APPROVE OUR 2015 NON- For None 18298 1035 441 0
EMPLOYEE DIRECTOR RESTRICTED STOCK
PLAN.
9 PROPOSAL TO RATIFY THE APPOINTMENT For None 19340 152 282 0
OF GRANT THORNTON, LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDED
DECEMBER 31, 2015.
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HATTERAS FINANCIAL CORP.
----------------------------------------------------------------------------------------
Security: 41902R103 Meeting Type: Annual
Ticker: HTS Meeting Date: 06-May-2015
ISIN US41902R1032 Vote Deadline Date: 05-May-2015
Agenda 934153850 Management Total Ballot Shares: 194282
Last Vote Date: 28-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MICHAEL R. HOUGH 194282 0 0 0
2 BENJAMIN M. HOUGH 194282 0 0 0
3 DAVID W. BERSON 194282 0 0 0
4 IRA G. KAWALLER 194282 0 0 0
5 VICKI MCELREATH 194282 0 0 0
6 JEFFREY D. MILLER 194282 0 0 0
7 WILLIAM V. NUTT, JR. 194282 0 0 0
8 THOMAS D. WREN 194282 0 0 0
2 TO RATIFY THE APPOINTMENT OF ERNST & For None 194282 0 0 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2015.
3 TO APPROVE, BY NON-BINDING VOTE, For None 194282 0 0 0
EXECUTIVE COMPENSATION.
4 TO APPROVE THE HATTERAS FINANCIAL For None 194282 0 0 0
CORP. 2015 EQUITY INCENTIVE PLAN.
----------------------------------------------------------------------------------------
TRIANGLE CAPITAL CORPORATION
----------------------------------------------------------------------------------------
Security: 895848109 Meeting Type: Annual
Ticker: TCAP Meeting Date: 06-May-2015
ISIN US8958481090 Vote Deadline Date: 05-May-2015
Agenda 934148544 Management Total Ballot Shares: 293393.374
Last Vote Date: 04-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: GARLAND S. TICKER, III For None 204171 5477 5900 0
2 ELECTION OF DIRECTOR: E. ASHTON POOLE For None 204078 5394 6076 0
3 ELECTION OF DIRECTOR: BRENT P.W. For None 204212 5403 5933 0
BURGESS
4 ELECTION OF DIRECTOR: STEVEN C. LILLY For None 198809 10644 6095 0
5 ELECTION OF DIRECTOR: W. MCCOMB For None 204212 5378 5958 0
DUNWOODY
6 ELECTION OF DIRECTOR: MARK M. GAMBILL For None 204773 4813 5962 0
7 ELECTION OF DIRECTOR: BENJAMIN S. GOLDSTEIN For None 199054 10574 5920 0
8 ELECTION OF DIRECTOR: SIMON B. RICH, JR. For None 204505 5082 5961 0
9 ELECTION OF DIRECTOR: SHERWOOD H. SMITH, JR. For None 203881 5648 6019 0
10 TO APPROVE A PROPOSAL TO AUTHORIZE For None 180378 28518 6652 0
THE COMPANY, PURSUANT TO APPROVAL
OF ITS BOARD OF DIRECTORS, TO SELL
SHARES OF ITS COMMON STOCK OR
WARRANTS, OPTIONS OR RIGHTS TO
ACQUIRE ITS COMMON STOCK DURING THE
NEXT YEAR AT A PRICE BELOW THE
COMPANY'S THEN CURRENT NET ASSET
VALUE (I.E., BOOK VALUE) PER SHARE,
SUBJECT TO CERTAIN CONDITIONS.
----------------------------------------------------------------------------------------
CYS INVESTMENTS, INC
----------------------------------------------------------------------------------------
Security: 12673A108 Meeting Type: Annual
Ticker: CYS Meeting Date: 08-May-2015
ISIN US12673A1088 Vote Deadline Date: 07-May-2015
Agenda 934144368 Management Total Ballot Shares: 696880
Last Vote Date: 07-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 KEVIN E. GRANT 545803 0 29197 0
2 TANYA S. BEDER 558612 0 16388 0
3 KAREN HAMMOND 558251 0 16749 0
4 JEFFREY P. HUGHES 558850 0 16150 0
5 STEPHEN P. JONAS 559299 0 15701 0
6 RAYMOND A REDLINGSHAFER 559048 0 15952 0
7 DALE A. REISS 559075 0 15925 0
8 JAMES A. STERN 559115 0 15885 0
9 DAVID A. TYSON, PHD 559886 0 15114 0
2 ADVISORY VOTE TO APPROVE THE For None 545972 14379 14649 0
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS ("PROPOSAL 2").
3 TO CONSIDER AND ACT UPON A PROPOSAL For None 563244 3159 8597 0
TO RATIFY, CONFIRM AND APPROVE THE
SELECTION OF DELOITTE & TOUCHE LLP AS
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2015 ("PROPOSAL 3")
----------------------------------------------------------------------------------------
TRIPLEPOINT VENTURE GROWTH BDC CORP.
----------------------------------------------------------------------------------------
Security: 89677Y100 Meeting Type: Annual
Ticker: TPVG Meeting Date: 19-May-2015
ISIN US89677Y1001 Vote Deadline Date: 18-May-2015
Agenda 934209001 Management Total Ballot Shares: 242409
Last Vote Date: 15-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 SAJAL K. SRIVASTAVA 178192 0 560 0
2 STEPHEN A. CASSANI 178241 0 511 0
2 TO RATIFY THE SELECTION OF DELOITTE & For None 178409 234 109 0
TOUCHE LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2015.
----------------------------------------------------------------------------------------
TCP CAPITAL CORP.
----------------------------------------------------------------------------------------
Security: 87238Q103 Meeting Type: Annual
Ticker: TCPC Meeting Date: 20-May-2015
ISIN US87238Q1031 Vote Deadline Date: 19-May-2015
Agenda 934178117 Management Total Ballot Shares: 453339
Last Vote Date: 18-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ERIC J. DRAUT 317820 0 32180 0
2 FRANKLIN R. JOHNSON 317616 0 32384 0
3 PETER E. SCHWAB 340917 0 9083 0
4 HOWARD M. LEVKOWITZ 340200 0 9800 0
5 RAJNEESH VIG 323436 0 26564 0
2 TO AUTHORIZE THE COMPANY, WITH For None 325907 21409 2684 0
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF THE COMPANY'S
COMMON STOCK (DURING THE NEXT 12
MONTHS) AT A PRICE OR PRICES BELOW ITS
THEN CURRENT NET ASSET VALUE PER
SHARE IN ONE OR MORE OFFERINGS,
SUBJECT TO CERTAIN LIMITATIONS SET
FORTH IN THE PROXY STATEMENT
(INCLUDING, ...(DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL PROPOSAL).
----------------------------------------------------------------------------------------
ANNALY CAPITAL MANAGEMENT, INC.
----------------------------------------------------------------------------------------
Security: 035710409 Meeting Type: Annual
Ticker: NLY Meeting Date: 21-May-2015
ISIN US0357104092 Vote Deadline Date: 20-May-2015
Agenda 934172800 Management Total Ballot Shares: 367500
Last Vote Date: 10-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: WELLINGTON J. DENAHAN For None 314500 0 0 0
2 ELECTION OF DIRECTOR: MICHAEL HAYLON For None 314500 0 0 0
3 ELECTION OF DIRECTOR: DONNELL A. For None 314500 0 0 0
SEGALAS
4 THE PROPOSAL TO APPROVE A NON- For None 314500 0 0 0
BINDING ADVISORY RESOLUTION ON
EXECUTIVE COMPENSATION.
5 RATIFICATION OF THE APPOINTMENT OF For None 314500 0 0 0
ERNST & YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2015.
----------------------------------------------------------------------------------------
KCAP FINANCIAL, INC.
----------------------------------------------------------------------------------------
Security: 48668E101 Meeting Type: Annual
Ticker: KCAP Meeting Date: 21-May-2015
ISIN US48668E1010 Vote Deadline Date: 20-May-2015
Agenda 934181518 Management Total Ballot Shares: 378295
Last Vote Date: 11-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAYL PEARSON 200000 0 0 0
2 CHRISTOPHER LACOVARA 200000 0 0 0
2 TO APPROVE, IN A NON-BINDING VOTE, THE For None 200000 0 0 0
COMPENSATION PAID TO THE COMPANY'S
NAMED EXECUTIVE OFFICERS.
3 TO RATIFY THE SELECTION OF ERNST & For None 200000 0 0 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTANT OF THE
YEAR ENDING DECEMBER 31, 2015.
----------------------------------------------------------------------------------------
TPG SPECIALTY LENDING, INC.
----------------------------------------------------------------------------------------
Security: 87265K102 Meeting Type: Annual
Ticker: TSLX Meeting Date: 21-May-2015
ISIN US87265K1025 Vote Deadline Date: 20-May-2015
Agenda 934167708 Management Total Ballot Shares: 151388
Last Vote Date: 11-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 RICHARD HIGGINBOTHAM 99063 0 0 0
2 RONALD TANEMURA 99063 0 0 0
2 TO RATIFY THE SELECTION OF KPMG LLP AS For None 99063 0 0 0
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2015.
----------------------------------------------------------------------------------------
COMPASS DIVERSIFIED HOLDINGS
----------------------------------------------------------------------------------------
Security: 20451Q104 Meeting Type: Annual
Ticker: CODI Meeting Date: 27-May-2015
ISIN US20451Q1040 Vote Deadline Date: 26-May-2015
Agenda 934177204 Management Total Ballot Shares: 158200
Last Vote Date: 16-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 C. SEAN DAY 71200 0 0 0
2 D. EUGENE EWING 71200 0 0 0
2 TO APPROVE, BY NON-BINDING VOTE, THE For None 71200 0 0 0
COMPENSATION OF OUR EXECUTIVE
OFFICERS AS DISCLOSED IN THE PROXY
STATEMENT.
3 TO RATIFY THE APPOINTMENT OF GRANT For None 71200 0 0 0
THORNTON LLP AS INDEPENDENT AUDITOR
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2015.
----------------------------------------------------------------------------------------
THL CREDIT, INC.
----------------------------------------------------------------------------------------
Security: 872438106 Meeting Type: Annual
Ticker: TCRD Meeting Date: 02-Jun-2015
ISIN US8724381061 Vote Deadline Date: 01-Jun-2015
Agenda 934206459 Management Total Ballot Shares: 604238
Last Vote Date: 28-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID K. DOWNES 350000 0 0 0
2 CHRISTOPHER J. FLYNN 350000 0 0 0
3 NANCY HAWTHORNE 350000 0 0 0
4 KEITH W. HUGHES 350000 0 0 0
5 JAMES K. HUNT 350000 0 0 0
6 JAMES D. KERN 350000 0 0 0
7 DAVID P. SOUTHWELL 350000 0 0 0
8 SAM W. TILLINGHAST 350000 0 0 0
2 APPROVAL OF A PROPOSAL TO AUTHORIZE For None 350000 0 0 0
THE COMPANY TO SELL OR OTHERWISE
ISSUE UP TO 25% OF THE COMPANY'S
OUTSTANDING COMMON STOCK AT A PRICE
BELOW THE COMPANY'S THEN CURRENT
NAV.
3 APPROVAL OF A PROPOSAL TO AUTHORIZE For None 350000 0 0 0
THE COMPANY TO OFFER AND ISSUE DEBT
WITH WARRANTS OR DEBT CONVERTIBLE
INTO SHARES OF ITS COMMON STOCK AT AN
EXERCISE OR CONVERSION PRICE THAT, AT
THE TIME SUCH WARRANTS OR
CONVERTIBLE DEBT ARE ISSUED, WILL NOT
BE LESS THAN THE MARKET VALUE PER
SHARES BUT MAY BE BELOW THE
COMPANY'S THEN CURRENT NAV.
----------------------------------------------------------------------------------------
OFS CAPITAL CORPORATION
----------------------------------------------------------------------------------------
Security: 67103B100 Meeting Type: Annual
Ticker: OFS Meeting Date: 04-Jun-2015
ISIN US67103B1008 Vote Deadline Date: 03-Jun-2015
Agenda 934214468 Management Total Ballot Shares: 170029
Last Vote Date: 02-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MARC ABRAMS 75000 0 0 0
2 JEFFREY CERNY 75000 0 0 0
2 TO RATIFY THE SELECTION OF BDO USA, LLP For None 75000 0 0 0
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2015.
----------------------------------------------------------------------------------------
MEDALLION FINANCIAL CORP.
----------------------------------------------------------------------------------------
Security: 583928106 Meeting Type: Annual
Ticker: TAXI Meeting Date: 05-Jun-2015
ISIN US5839281061 Vote Deadline Date: 04-Jun-2015
Agenda 934212399 Management Total Ballot Shares: 260360
Last Vote Date: 01-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 STANLEY KREITMAN 200000 0 0 0
2 FREDERICK A. MENOWITZ 200000 0 0 0
3 DAVID L. RUDNICK 200000 0 0 0
2 PROPOSAL TO RATIFY THE APPOINTMENT For None 200000 0 0 0
OF WEISERMAZARS LLP AS MEDALLION
FINANCIAL CORP.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
3 PROPOSAL TO APPROVE A NON-BINDING For None 200000 0 0 0
ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION
4 PROPOSAL TO APPROVE THE ADOPTION OF For None 200000 0 0 0
MEDALLION FINANCIAL CORP.'S 2015
EMPLOYEE RESTRICTED STOCK PLAN
5 PROPOSAL TO APPROVE THE ADOPTION OF For None 200000 0 0 0
MEDALLION FINANCIAL CORP.'S 2015 NON-
EMPLOYEE DIRECTOR STOCK OPTION PLAN
----------------------------------------------------------------------------------------
STONE CASTLE FINANCIAL
----------------------------------------------------------------------------------------
Security: 861780104 Meeting Type: Annual
Ticker: BANX Meeting Date: 08-Jun-2015
ISIN Vote Deadline Date: 05-Jun-2015
Agenda 934194945 Management Total Ballot Shares: 126744
Last Vote Date: 15-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 EMIL HENRY 48019 0 1981 0
2 JOSHUA SIEGEL 47770 0 2230 0
2 TO APPROVE AN AGREEMENT AND PLAN OF For None 36987 12182 831 0
REORGANIZATION, PURSUANT TO WHICH
THE COMPANY WOULD BE REORGANIZED
INTO A NEWLY FORMED DELAWARE
STATUTORY TRUST NAMED "STONECASTLE
FINANCIAL COMPANY"
----------------------------------------------------------------------------------------
SOLAR CAPITAL LTD
----------------------------------------------------------------------------------------
Security: 83413U100 Meeting Type: Annual
Ticker: SLRC Meeting Date: 11-Jun-2015
ISIN US83413U1007 Vote Deadline Date: 10-Jun-2015
Agenda 934210232 Management Total Ballot Shares: 321460
Last Vote Date: 30-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MICHAEL S. GROSS 250000 0 0 0
2 LEONARD A. POTTER 250000 0 0 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 250000 0 0 0
THE COMPANY TO SELL SHARES OF ITS
COMMON STOCK AT A PRICE OR PRICES
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, IN EACH CASE SUBJECT
TO THE APPROVAL OF ITS BOARD OF
DIRECTORS AND COMPLIANCE WITH THE
CONDITIONS SET FORTH IN THE PROXY
STATEMENT PERTAINING THERETO
(INCLUDING, WITHOUT LIMITATION, THAT
THE NUMBER OF SHARES ISSUED DOES NOT
EXCEED 25% OF THE COMPANY'S THEN
OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
OFFERING).
----------------------------------------------------------------------------------------
SOLAR SENIOR CAPITAL LTD
----------------------------------------------------------------------------------------
Security: 83416M105 Meeting Type: Annual
Ticker: SUNS Meeting Date: 11-Jun-2015
ISIN US83416M1053 Vote Deadline Date: 10-Jun-2015
Agenda 934210244 Management Total Ballot Shares: 60136
Last Vote Date: 30-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID S. WACHTER 21800 0 0 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 21800 0 0 0
THE COMPANY TO SELL SHARES OF ITS
COMMON STOCK AT A PRICE OR PRICES
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, IN EACH CASE SUBJECT
TO THE APPROVAL OF ITS BOARD OF
DIRECTORS AND COMPLIANCE WITH THE
CONDITIONS SET FORTH IN THE PROXY
STATEMENT PERTAINING THERETO
(INCLUDING, WITHOUT LIMITATION, THAT
THE NUMBER OF SHARES ISSUED DOES NOT
EXCEED 25% OF THE COMPANY'S THEN
OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
OFFERING).
----------------------------------------------------------------------------------------
HORIZON TECHNOLOGY FINANCE CORPORATION
----------------------------------------------------------------------------------------
Security: 44045A102 Meeting Type: Annual
Ticker: HRZN Meeting Date: 12-Jun-2015
ISIN US44045A1025 Vote Deadline Date: 11-Jun-2015
Agenda 934210650 Management Total Ballot Shares: 217278
Last Vote Date: 30-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 EDMUND V. MAHONEY 147804 0 0 0
2 ELAINE A. SARSYNSKI 147804 0 0 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 147804 0 0 0
LLP TO SERVE AS HORIZON TECHNOLOGY
FINANCE CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2015.
----------------------------------------------------------------------------------------
FS INVESTMENT CORPORATION
----------------------------------------------------------------------------------------
Security: 302635107 Meeting Type: Annual
Ticker: FSIC Meeting Date: 22-Jun-2015
ISIN US3026351078 Vote Deadline Date: 19-Jun-2015
Agenda 934219317 Management Total Ballot Shares: 207466
Last Vote Date: 07-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID J. ADELMAN 152700 0 0 0
2 THOMAS J. GRAVINA 152700 0 0 0
3 PHILIP E. HUGHES, JR. 152700 0 0 0
2 TO AUTHORIZE FLEXIBILITY FOR THE For None 152700 0 0 0
COMPANY, WITH THE APPROVAL OF THE
COMPANY'S BOARD OF DIRECTORS, TO
OFFER AND SELL SHARES DURING THE 12
MONTHS FOLLOWING STOCKHOLDER
APPROVAL, AT A PRICE BELOW THE THEN-
CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN LIMITATIONS
DESCRIBED IN THE PROXY STATEMENT.
----------------------------------------------------------------------------------------
STELLUS CAPITAL INVESTMENT CORPORATION
----------------------------------------------------------------------------------------
Security: 858568108 Meeting Type: Annual
Ticker: SCM Meeting Date: 26-Jun-2015
ISIN US8585681088 Vote Deadline Date: 25-Jun-2015
Agenda 934215446 Management Total Ballot Shares: 164820
Last Vote Date: 05-May-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ROBERT T. LADD 75000 0 0 0
2 J. TIM ARNOULT 75000 0 0 0
3 PAUL KEGLEVIC 75000 0 0 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 75000 0 0 0
THE COMPANY, WITH THE APPROVAL OF
THE BOARD, TO SELL OR OTHERWISE ISSUE
UP TO 25% OF THE COMPANY'S
OUTSTANDING COMMON STOCK AT AN
OFFERING PRICE THAT IS BELOW THE
COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE.
3 TO APPROVE THE ADJOURNMENT OF THE For None 75000 0 0 0
ANNUAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES.
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) FIRST TRUST SPECIALTY FINANCE
AND FINANCIAL OPPORTUNITIES FUND
---------------------------------------
By (Signature and Title)* /s/ Mark R. Bradley
-----------------------------------
Mark R. Bradley, President
Date July 17, 2015
-------------------------
* Print the name and title of each signing officer under his or her signature.