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, 2015 - June 30, 2016
----------------------------
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
MEETING DATE RANGE: 01-JUL-2015 TO 30-JUN-2016
SELECTED ACCOUNTS
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HERCULES CAPITAL INC
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SECURITY: 427096508 MEETING TYPE: Annual
TICKER: HTGC MEETING DATE: 07-Jul-2015
ISIN US4270965084 VOTE DEADLINE DATE: 06-Jul-2015
AGENDA 934222249 Management TOTAL BALLOT SHARES: 476689
LAST VOTE DATE: 09-May-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ALLYN C. WOODWARD, JR. 463198 0 0 0
2 THOMAS J. FALLON 463198 0 0 0
3 JOSEPH F. HOFFMAN 463198 0 0 0
4 SUSANNE D. LYONS 463198 0 0 0
2 ADVISORY VOTE TO APPROVE THE For None 463198 0 0 0
COMPANY'S NAMED EXECUTIVE OFFICER
COMPENSATION.
3 TO APPROVE AN AMENDMENT TO THE For None 463198 0 0 0
COMPANY'S 2004 EQUITY INCENTIVE PLAN
TO INCREASE THE NUMBER OF SHARES
AUTHORIZED FOR ISSUANCE.
4 TO AUTHORIZE THE COMPANY TO SELL OR For None 463198 0 0 0
OTHERWISE ISSUE UP TO 20% OF ITS
COMMON STOCK AT A NET PRICE BELOW ITS
THEN-CURRENT NET ASSET VALUE.
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APOLLO INVESTMENT CORPORATION
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SECURITY: 03761U106 MEETING TYPE: Annual
TICKER: AINV MEETING DATE: 05-Aug-2015
ISIN US03761U1060 VOTE DEADLINE DATE: 04-Aug-2015
AGENDA 934251187 Management TOTAL BALLOT SHARES: 573002
LAST VOTE DATE: 03-Aug-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JOHN J. HANNAN* 495657 0 26751 0
2 R. RUDOLPH REINFRANK* 496563 0 25845 0
3 JAMES C. ZELTER$ 496263 0 26145 0
2 TO RATIFY THE SELECTION OF For None 514970 4747 2691 0
PRICEWATERHOUSECOOPERS LLP AS
APOLLO INVESTMENT CORPORATION'S (THE
"COMPANY") INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING MARCH 31, 2016.
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APOLLO INVESTMENT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 03761U106 MEETING TYPE: Special
TICKER: AINV MEETING DATE: 05-Aug-2015
ISIN US03761U1060 VOTE DEADLINE DATE: 04-Aug-2015
AGENDA 934252595 Management TOTAL BALLOT SHARES: 573002
LAST VOTE DATE: 03-Aug-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 441667 71726 9015 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 SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
ACCOMPANYING PROXY STATEMENT.
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GLADSTONE INVESTMENT CORPORATION
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SECURITY: 376546107 MEETING TYPE: Annual
TICKER: GAIN MEETING DATE: 06-Aug-2015
ISIN US3765461070 VOTE DEADLINE DATE: 05-Aug-2015
AGENDA 934252103 Management TOTAL BALLOT SHARES: 201092
LAST VOTE DATE: 04-Aug-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: TERRY L. For None 176371 0 6962 0
BRUBAKER
2 ELECTION OF DIRECTOR: CAREN D. For None 174004 0 9329 0
MERRICK
3 TO APPROVE A PROPOSAL TO AUTHORIZE For None 152659 25066 5608 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 ACCOMPANYING THIS NOTICE
(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).
---------------------------------------------------------------------------------
PENNANTPARK FLOATING RATE CAPITAL LTD.
---------------------------------------------------------------------------------
SECURITY: 70806A106 MEETING TYPE: Special
TICKER: PFLT MEETING DATE: 14-Aug-2015
ISIN US70806A1060 VOTE DEADLINE DATE: 13-Aug-2015
AGENDA 934262293 Management TOTAL BALLOT SHARES: 82377
LAST VOTE DATE: 18-Jul-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 82012 0 0 0
TO APPROVE THE ISSUANCE OF THE
SHARES OF PFLT'S COMMON STOCK, $0.001
PAR VALUE PER SHARE, OR PFLT COMMON
STOCK, TO BE ISSUED PURSUANT TO THE
AGREEMENT AND PLAN OF MERGER, AS
SUCH AGREEMENT MAY BE AMENDED FROM
TIME TO TIME, OR THE MERGER
AGREEMENT, DATED AS OF APRIL 28, 2015,
AMONG PFLT, MCG CAPITAL CORPORATION,
OR MCG, PFLT PANAMA, LLC AND PFLT
FUNDING II, LLC, EACH A WHOLLY OWNED
SUBSIDIARY OF PFLT, AND PENNANTPARK
INVESTMENT ADVISERS, LLC.
2 TO CONSIDER AND VOTE UPON A PROPOSAL For None 82012 0 0 0
TO APPROVE THE ADJOURNMENT OF THE
PFLT SPECIAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES, IF THERE ARE NOT SUFFICIENT
VOTES AT THE TIME OF THE PFLT SPECIAL
MEETING TO APPROVE THE FOREGOING
PROPOSAL.
---------------------------------------------------------------------------------
PENNANTPARK FLOATING RATE CAPITAL LTD.
---------------------------------------------------------------------------------
SECURITY: 70806A106 MEETING TYPE: Special
TICKER: PFLT MEETING DATE: 14-Aug-2015
ISIN US70806A1060 VOTE DEADLINE DATE: 13-Aug-2015
AGENDA 934258511 Management TOTAL BALLOT SHARES: 82377
LAST VOTE DATE: 12-Aug-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 78416 2381 1215 0
TO APPROVE THE ISSUANCE OF THE
SHARES OF PFLT'S COMMON STOCK, $0.001
PAR VALUE PER SHARE, OR PFLT COMMON
STOCK, TO BE ISSUED PURSUANT TO THE
AGREEMENT AND PLAN OF MERGER, AS
SUCH AGREEMENT MAY BE AMENDED FROM
TIME TO TIME, OR THE MERGER
AGREEMENT, DATED AS OF APRIL 28, 2015,
AMONG PFLT, MCG CAPITAL CORPORATION,
OR MCG, PFLT PANAMA, LLC AND PFLT
FUNDING II, LLC, EACH A WHOLLY OWNED
SUBSIDIARY OF PFLT, AND PENNANTPARK
INVESTMENT ADVISERS, LLC.
2 TO CONSIDER AND VOTE UPON A PROPOSAL For None 78242 2446 1324 0
TO APPROVE THE ADJOURNMENT OF THE
PFLT SPECIAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES, IF THERE ARE NOT SUFFICIENT
VOTES AT THE TIME OF THE PFLT SPECIAL
MEETING TO APPROVE THE FOREGOING
PROPOSAL.
-1-
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KCAP FINANCIAL, INC.
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SECURITY: 48668E101 MEETING TYPE: Special
TICKER: KCAP MEETING DATE: 17-Aug-2015
ISIN US48668E1010 VOTE DEADLINE DATE: 14-Aug-2015
AGENDA 934248736 Management TOTAL BALLOT SHARES: 378295
LAST VOTE DATE: 16-Jul-2015
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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 232610 100204 7658 0
THE COMPANY, WITH APPROVAL OF ITS
BOARD, TO SELL SHARES OF ITS COMMON
STOCK, PAR VALUE $0.01/ SHARE, AT A
PRICE BELOW CURRENT NET ASSET VALUE
PER SHARE, SUB- JECT TO LIMITATIONS
DESCRIBED IN THE PROXY STATEMENT
INCLUDING BUT NOT LIMITED TO: THE
COMPANY SHALL NOT SELL OR OTHERWISE
ISSUE MORE THAN 15% OF THE COMPANY'S
SHARES OF COMMON STOCK.
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SARATOGA INVESTMENT CORP
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SECURITY: 80349A208 MEETING TYPE: Annual
TICKER: SAR MEETING DATE: 30-Sep-2015
ISIN US80349A2087 VOTE DEADLINE DATE: 29-Sep-2015
AGENDA 934270682 Management TOTAL BALLOT SHARES: 14936
LAST VOTE DATE: 19-Aug-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 CHRISTIAN L. OBERBECK 14936 0 0 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 14936 0 0 0
THE COMPANY TO SELL OR OTHERWISE
ISSUE THE COMPANY'S COMMON STOCK AT
AN OFFERING PRICE PER SHARE TO
INVESTORS THAT IS NOT LESS THAN 85% OF
THE COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE.
3 TO APPROVE THE ADJOURNMENT OF THE For None 14936 0 0 0
ANNUAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES IF THERE ARE INSUFFICIENT
VOTES AT THE TIME OF THE ANNUAL
MEETING, TO APPROVE THE PROPOSAL TO
ELECT THE DIRECTOR AND/OR THE
PROPOSAL TO SELL OR ISSUE SHARES OF
COMMON STOCK TO INVESTORS AT A PRICE
PER ...(DUE TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).
---------------------------------------------------------------------------------
CM FINANCE INC.
---------------------------------------------------------------------------------
SECURITY: 12574Q103 MEETING TYPE: Annual
TICKER: CMFN MEETING DATE: 03-Nov-2015
ISIN US12574Q1031 VOTE DEADLINE DATE: 02-Nov-2015
AGENDA 934282221 Management TOTAL BALLOT SHARES: 90633
LAST VOTE DATE: 23-Sep-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 CHRISTOPHER E. JANSEN 78845 0 0 0
2 ROBERT WAGNER 78845 0 0 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 78845 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 BELOW THE
COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE.
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GOLUB CAPITAL BDC, INC.
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SECURITY: 38173M102 MEETING TYPE: Annual
TICKER: GBDC MEETING DATE: 02-Feb-2016
ISIN US38173M1027 VOTE DEADLINE DATE: 01-Feb-2016
AGENDA 934313204 Management TOTAL BALLOT SHARES: 570279
LAST VOTE DATE: 05-Feb-2016
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF CLASS III DIRECTOR: For None 514730 0 0 0
LAWRENCE E. GOLUB
2 ELECTION OF CLASS III DIRECTOR: WILLIAM For None 514730 0 0 0
M. WEBSTER IV
3 TO RATIFY THE SELECTION OF ERNST & For None 514730 0 0 0
YOUNG LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2016.
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PENNANTPARK FLOATING RATE CAPITAL LTD.
---------------------------------------------------------------------------------
SECURITY: 70806A106 MEETING TYPE: Annual
TICKER: PFLT MEETING DATE: 02-Feb-2016
ISIN US70806A1060 VOTE DEADLINE DATE: 01-Feb-2016
AGENDA 934308823 Management TOTAL BALLOT SHARES: 83107
LAST VOTE DATE: 05-Feb-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ADAM BERNSTEIN 82645 0 0 0
2 JEFFREY FLUG 82645 0 0 0
2 TO RATIFY THE SELECTION OF RSM US LLP For None 82645 0 0 0
TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2016.
---------------------------------------------------------------------------------
GLADSTONE CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 376535100 MEETING TYPE: Annual
TICKER: GLAD MEETING DATE: 11-Feb-2016
ISIN US3765351008 VOTE DEADLINE DATE: 10-Feb-2016
AGENDA 934313141 Management TOTAL BALLOT SHARES: 129045
LAST VOTE DATE: 16-Dec-2015
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: PAUL W. For None 129045 0 0 0
ADELGREN
2 ELECTION OF DIRECTOR: DAVID GLADSTONE For None 129045 0 0 0
3 ELECTION OF DIRECTOR: JOHN H. OUTLAND For None 129045 0 0 0
4 TO APPROVE A PROPOSAL TO AUTHORIZE For None 129045 0 0 0
US, WITH THE APPROVAL OF OUR BOARD OF
DIRECTORS, 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 HEREIN (INCLUDING, WITHOUT
LIMITATION, THAT THE NUMBER OF .. (DUE
TO SPACE LIMITS, SEE PROXY STATEMENT
FOR FULL PROPOSAL).
-2-
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PENNANTPARK INVESTMENT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 708062104 MEETING TYPE: Annual
TICKER: PNNT MEETING DATE: 23-Feb-2016
ISIN US7080621045 VOTE DEADLINE DATE: 22-Feb-2016
AGENDA 934309964 Management TOTAL BALLOT SHARES: 941452
LAST VOTE DATE: 01-Feb-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ARTHUR H. PENN 711136 0 33945 0
2 TO RATIFY THE SELECTION OF RSM US LLP For None 729725 10714 4641 0
TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2016.
---------------------------------------------------------------------------------
MEDLEY CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 58503F106 MEETING TYPE: Annual
TICKER: MCC MEETING DATE: 14-Mar-2016
ISIN US58503F1066 VOTE DEADLINE DATE: 11-Mar-2016
AGENDA 934323762 Management TOTAL BALLOT SHARES: 556921
LAST VOTE DATE: 11-Mar-2016
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MR. SETH TAUBE 494997 0 61717 0
2 MR. ARTHUR S. AINSBERG 508831 0 47883 0
2 TO RATIFY THE APPOINTMENT OF ERNST & For None 544906 7499 4309 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR MEDLEY CAPITAL CORPORATION FOR
THE FISCAL YEAR ENDING SEPTEMBER 30,
2016.
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NEW MOUNTAIN FINANCE CORPORATION
---------------------------------------------------------------------------------
SECURITY: 647551100 MEETING TYPE: Annual
TICKER: NMFC MEETING DATE: 27-Apr-2016
ISIN US6475511001 VOTE DEADLINE DATE: 26-Apr-2016
AGENDA 934337379 Management TOTAL BALLOT SHARES: 802076
LAST VOTE DATE: 26-Apr-2016
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ROBERT A. HAMWEE 481679 0 7485 0
2 ALFRED F. HURLEY, JR. 453457 0 35707 0
2 TO RATIFY THE APPOINTMENT OF DELOITTE For None 484443 3744 977 0
& TOUCHE LLP TO SERVE AS NEW
MOUNTAIN FINANCE CORPORATION'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2016.
---------------------------------------------------------------------------------
MAIN STREET CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 56035L104 MEETING TYPE: Annual
TICKER: MAIN MEETING DATE: 02-May-2016
ISIN US56035L1044 VOTE DEADLINE DATE: 29-Apr-2016
AGENDA 934339171 Management TOTAL BALLOT SHARES: 123777
LAST VOTE DATE: 29-Apr-2016
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MICHAEL APPLING, For None 47402 1187 518 0
JR.
2 ELECTION OF DIRECTOR: JOSEPH E. CANON For None 47208 1386 513 0
3 ELECTION OF DIRECTOR: ARTHUR L. For None 47518 1070 518 0
FRENCH
4 ELECTION OF DIRECTOR: J. KEVIN GRIFFIN For None 47775 815 517 0
5 ELECTION OF DIRECTOR: JOHN E. JACKSON For None 47611 970 527 0
6 ELECTION OF DIRECTOR: BRIAN E. LANE For None 48076 513 518 0
7 ELECTION OF DIRECTOR: STEPHEN B. For None 47634 955 517 0
SOLCHER
8 ELECTION OF DIRECTOR: VINCENT D. For None 48043 525 539 0
FOSTER
9 PROPOSAL TO RATIFY THE APPOINTMENT For None 48307 350 450 0
OF GRANT THORNTON, LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDED
DECEMBER 31, 2016.
---------------------------------------------------------------------------------
KCAP FINANCIAL, INC.
---------------------------------------------------------------------------------
SECURITY: 48668E101 MEETING TYPE: Annual
TICKER: KCAP MEETING DATE: 03-May-2016
ISIN US48668E1010 VOTE DEADLINE DATE: 02-May-2016
AGENDA 934355050 Management TOTAL BALLOT SHARES: 340472
LAST VOTE DATE: 02-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 C. TURNEY STEVENS 306551 0 33921 0
2 JOHN A. WARD III 305931 0 34541 0
3 DEAN C. KEHLER 307123 0 33349 0
2 TO APPROVE, IN A NON-BINDING VOTE, THE For None 242314 84812 13347 0
COMPENSATION PAID TO THE COMPANY'S
NAMED EXECUTIVE OFFICERS.
3 TO RATIFY THE SELECTION OF ERNST & For None 329413 7157 3902 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTANT OF THE
YEAR ENDING DECEMBER 31, 2016.
---------------------------------------------------------------------------------
HATTERAS FINANCIAL CORP.
---------------------------------------------------------------------------------
SECURITY: 41902R103 MEETING TYPE: Annual
TICKER: HTS MEETING DATE: 04-May-2016
ISIN US41902R1032 VOTE DEADLINE DATE: 03-May-2016
AGENDA 934355973 Management TOTAL BALLOT SHARES: 194447
LAST VOTE DATE: 26-Mar-2016
-----------------------------------------------------------------------------------------------------------------------------
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, 2016.
3 TO APPROVE, BY NON-BINDING VOTE, For None 194282 0 0 0
EXECUTIVE COMPENSATION.
-3-
---------------------------------------------------------------------------------
BLACKROCK CAPITAL INVESTMENT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 092533108 MEETING TYPE: Annual
TICKER: BKCC MEETING DATE: 06-May-2016
ISIN US0925331086 VOTE DEADLINE DATE: 05-May-2016
AGENDA 934357852 Management TOTAL BALLOT SHARES: 279785
LAST VOTE DATE: 05-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MARK S. LIES 98343 0 5557 0
2 MAUREEN K. USIFER 96875 0 7025 0
2 TO RATIFY THE SELECTION OF DELOITTE & For None 100092 2755 1053 0
TOUCHE LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2016.
---------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 04010L103 MEETING TYPE: Annual
TICKER: ARCC MEETING DATE: 12-May-2016
ISIN US04010L1035 VOTE DEADLINE DATE: 11-May-2016
AGENDA 934358739 Management TOTAL BALLOT SHARES: 2578821.5088
LAST VOTE DATE: 11-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: R. KIPP DEVEER For None 720161 17818 9432 0
2 ELECTION OF DIRECTOR: DANIEL G. KELLY, For None 726118 11690 9604 0
JR.
3 ELECTION OF DIRECTOR: ERIC B. SIEGEL For None 721118 15965 10329 0
4 TO RATIFY THE SELECTION OF KPMG LLP AS For None 728734 13850 4828 0
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2016.
---------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 04010L103 MEETING TYPE: Special
TICKER: ARCC MEETING DATE: 12-May-2016
ISIN US04010L1035 VOTE DEADLINE DATE: 11-May-2016
AGENDA 934367954 Management TOTAL BALLOT SHARES: 2578821.5088
LAST VOTE DATE: 11-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 TO AUTHORIZE THE COMPANY, WITH THE For None 606405 128645 12362 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 ...
(DUE TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL)
---------------------------------------------------------------------------------
CYS INVESTMENTS, INC
---------------------------------------------------------------------------------
SECURITY: 12673A108 MEETING TYPE: Annual
TICKER: CYS MEETING DATE: 13-May-2016
ISIN US12673A1088 VOTE DEADLINE DATE: 12-May-2016
AGENDA 934363920 Management TOTAL BALLOT SHARES: 697215
LAST VOTE DATE: 31-Mar-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 KEVIN E. GRANT 696880 0 0 0
2 TANYA S. BEDER 696880 0 0 0
3 KAREN HAMMOND 696880 0 0 0
4 JEFFREY P. HUGHES 696880 0 0 0
5 STEPHEN P. JONAS 696880 0 0 0
6 R.A. REDLINGSHAFER, JR. 696880 0 0 0
7 DALE A. REISS 696880 0 0 0
8 JAMES A. STERN 696880 0 0 0
9 DAVID A. TYSON, PHD 696880 0 0 0
2 ADVISORY VOTE TO APPROVE THE For None 696880 0 0 0
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
3 TO CONSIDER AND ACT UPON A PROPOSAL For None 696880 0 0 0
TO RATIFY, CONFIRM AND APPROVE THE
SELECTION OF DELOITTE & TOUCHE LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
---------------------------------------------------------------------------------
ALCENTRA CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 01374T102 MEETING TYPE: Annual
TICKER: ABDC MEETING DATE: 16-May-2016
ISIN US01374T1025 VOTE DEADLINE DATE: 13-May-2016
AGENDA 934397159 Management TOTAL BALLOT SHARES: 186867
LAST VOTE DATE: 13-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 PAUL HATFIELD 132539 0 2338 0
2 DOUGLAS J. GREENLAW 131927 0 2950 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 117498 15595 1784 0
THE COMPANY, WITH THE APPROVAL OF
THE BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE UP TO 10% OF THE
COMPANY'S OUTSTANDING COMMON STOCK
AT AN OFFERING PRICE THAT IS BELOW,
BUT NO MORE THAN 20% BELOW, THE
COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE.
3 TO APPROVE THE ADJOURNMENT OF THE For None 130070 3187 1620 0
ANNUAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES.
---------------------------------------------------------------------------------
TRIPLEPOINT VENTURE GROWTH BDC CORP.
---------------------------------------------------------------------------------
SECURITY: 89677Y100 MEETING TYPE: Annual
TICKER: TPVG MEETING DATE: 17-May-2016
ISIN US89677Y1001 VOTE DEADLINE DATE: 16-May-2016
AGENDA 934382324 Management TOTAL BALLOT SHARES: 639040
LAST VOTE DATE: 16-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 GILBERT E. AHYE 427709 0 1136 0
2 STEVEN P. BIRD 428124 0 721 0
2 TO RATIFY THE SELECTION OF DELOITTE & For None 427160 541 1145 0
TOUCHE LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2016.
-4-
---------------------------------------------------------------------------------
SAFEGUARD SCIENTIFICS, INC.
---------------------------------------------------------------------------------
SECURITY: 786449207 MEETING TYPE: Annual
TICKER: SFE MEETING DATE: 18-May-2016
ISIN US7864492076 VOTE DEADLINE DATE: 17-May-2016
AGENDA 934368831 Management TOTAL BALLOT SHARES: 19300
LAST VOTE DATE: 17-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MARA G. ASPINALL 16563 0 2737 0
2 JULIE A. DOBSON 18694 0 606 0
3 STEPHEN FISHER 18850 0 450 0
4 GEORGE MACKENZIE 18699 0 601 0
5 JOHN J. ROBERTS 15917 0 3383 0
6 ROBERT J. ROSENTHAL 16616 0 2684 0
7 STEPHEN T. ZARRILLI 18485 0 815 0
2 ADVISORY RESOLUTION TO APPROVE THE For None 16305 2908 87 0
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
3 RATIFICATION OF THE APPOINTMENT OF For None 19037 246 17 0
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2016.
---------------------------------------------------------------------------------
TCP CAPITAL CORP.
---------------------------------------------------------------------------------
SECURITY: 87238Q103 MEETING TYPE: Annual
TICKER: TCPC MEETING DATE: 19-May-2016
ISIN US87238Q1031 VOTE DEADLINE DATE: 18-May-2016
AGENDA 934371066 Management TOTAL BALLOT SHARES: 667614
LAST VOTE DATE: 18-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ERIC J. DRAUT 427326 0 6402 0
2 FRANKLIN R. JOHNSON 410875 0 22854 0
3 PETER E. SCHWAB 427305 0 6424 0
4 BRIAN F. WRUBLE 427296 0 6433 0
5 HOWARD M. LEVKOWITZ 424841 0 8888 0
6 RAJNEESH VIG 426958 0 6771 0
2 TO AUTHORIZE THE COMPANY, WITH For None 333901 94566 5262 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.
---------------------------------------------------------------------------------
TPG SPECIALTY LENDING, INC.
---------------------------------------------------------------------------------
SECURITY: 87265K102 MEETING TYPE: Annual
TICKER: TSLX MEETING DATE: 19-May-2016
ISIN US87265K1025 VOTE DEADLINE DATE: 18-May-2016
AGENDA 934365087 Management TOTAL BALLOT SHARES: 324782
LAST VOTE DATE: 18-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JOHN ROSS 159524 0 427 0
2 TO RATIFY THE SELECTION OF KPMG LLP AS For None 159685 123 142 0
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
---------------------------------------------------------------------------------
CAPSTEAD MORTGAGE CORPORATION
---------------------------------------------------------------------------------
SECURITY: 14067E506 MEETING TYPE: Annual
TICKER: CMO MEETING DATE: 25-May-2016
ISIN US14067E5069 VOTE DEADLINE DATE: 24-May-2016
AGENDA 934385990 Management TOTAL BALLOT SHARES: 110489
LAST VOTE DATE: 14-Apr-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: JOHN L. "JACK" For None 108500 0 0 0
BERNARD
2 ELECTION OF DIRECTOR: JACK BIEGLER For None 108500 0 0 0
3 ELECTION OF DIRECTOR: MICHELLE P. For None 108500 0 0 0
GOOLSBY
4 ELECTION OF DIRECTOR: ANDREW F. For None 108500 0 0 0
JACOBS
5 ELECTION OF DIRECTOR: GARY KEISER For None 108500 0 0 0
6 ELECTION OF DIRECTOR: CHRISTOPHER W. For None 108500 0 0 0
MAHOWALD
7 ELECTION OF DIRECTOR: MICHAEL G. O'NEIL For None 108500 0 0 0
8 ELECTION OF DIRECTOR: MARK S. WHITING For None 108500 0 0 0
9 TO CONDUCT AN ADVISORY (NONBINDING) For None 108500 0 0 0
VOTE TO APPROVE OUR 2015 NAMED
EXECUTIVE OFFICERS' COMPENSATION.
10 TO APPROVE THE CAPSTEAD MORTGAGE For None 108500 0 0 0
CORPORATION THIRD AMENDED AND
RESTATED INCENTIVE BONUS PLAN.
11 TO RATIFY THE APPOINTMENT OF ERNST & For None 108500 0 0 0
YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
---------------------------------------------------------------------------------
COMPASS DIVERSIFIED HOLDINGS
---------------------------------------------------------------------------------
SECURITY: 20451Q104 MEETING TYPE: Annual
TICKER: CODI MEETING DATE: 25-May-2016
ISIN US20451Q1040 VOTE DEADLINE DATE: 24-May-2016
AGENDA 934368223 Management TOTAL BALLOT SHARES: 138200
LAST VOTE DATE: 16-Apr-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 HAROLD S. EDWARDS 138200 0 0 0
2 MARK H. LAZARUS 138200 0 0 0
2 TO APPROVE, BY NON-BINDING VOTE, THE For None 138200 0 0 0
COMPENSATION OF OUR EXECUTIVE
OFFICERS AS DISCLOSED IN THE PROXY
STATEMENT.
3 TO RATIFY THE APPOINTMENT OF GRANT For None 138200 0 0 0
THORNTON LLP AS INDEPENDENT AUDITOR
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
-5-
---------------------------------------------------------------------------------
TRIANGLE CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 895848109 MEETING TYPE: Annual
TICKER: TCAP MEETING DATE: 25-May-2016
ISIN US8958481090 VOTE DEADLINE DATE: 24-May-2016
AGENDA 934341556 Management TOTAL BALLOT SHARES: 415133
LAST VOTE DATE: 24-May-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: E. ASHTON POOLE For None 288668 7546 5381 0
2 ELECTION OF DIRECTOR: BRENT P.W. For None 288577 7610 5407 0
BURGESS
3 ELECTION OF DIRECTOR: STEVEN C. LILLY For None 280691 15394 5510 0
4 ELECTION OF DIRECTOR: GARLAND S. For None 287615 8523 5455 0
TUCKER, III
5 ELECTION OF DIRECTOR: W. MCCOMB For None 229775 66233 5586 0
DUNWOODY
6 ELECTION OF DIRECTOR: MARK M. GAMBILL For None 285184 10884 5525 0
7 ELECTION OF DIRECTOR: BENJAMIN S. For None 284056 11991 5546 0
GOLDSTEIN
8 ELECTION OF DIRECTOR: SIMON B. RICH, For None 282232 10269 9093 0
JR.
9 ELECTION OF DIRECTOR: SHERWOOD H. For None 277125 15309 9160 0
SMITH, JR.
10 TO APPROVE A PROPOSAL TO AUTHORIZE For None 248827 47302 5465 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.
---------------------------------------------------------------------------------
ANNALY CAPITAL MANAGEMENT, INC.
---------------------------------------------------------------------------------
SECURITY: 035710409 MEETING TYPE: Annual
TICKER: NLY MEETING DATE: 26-May-2016
ISIN US0357104092 VOTE DEADLINE DATE: 25-May-2016
AGENDA 934381714 Management TOTAL BALLOT SHARES: 316964
LAST VOTE DATE: 13-Apr-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: KEVIN G. KEYES For None 314500 0 0 0
2 ELECTION OF DIRECTOR: KEVIN P. BRADY For None 314500 0 0 0
3 ELECTION OF DIRECTOR: E. WAYNE For None 314500 0 0 0
NORDBERG
4 ADVISORY APPROVAL OF THE COMPANY'S For None 314500 0 0 0
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 2016.
---------------------------------------------------------------------------------
THL CREDIT, INC.
---------------------------------------------------------------------------------
SECURITY: 872438106 MEETING TYPE: Annual
TICKER: TCRD MEETING DATE: 02-Jun-2016
ISIN US8724381061 VOTE DEADLINE DATE: 01-Jun-2016
AGENDA 934408483 Management TOTAL BALLOT SHARES: 895076
LAST VOTE DATE: 28-Apr-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID K. DOWNES 607618 0 0 0
2 CHRISTOPHER J. FLYNN 607618 0 0 0
3 NANCY HAWTHORNE 607618 0 0 0
4 JAMES D. KERN 607618 0 0 0
5 DEBORAH MCANENY 607618 0 0 0
6 DAVID P. SOUTHWELL 607618 0 0 0
7 SAM W. TILLINGHAST 607618 0 0 0
2 APPROVAL OF A PROPOSAL TO AUTHORIZE For None 607618 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 607618 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.
4 APPROVAL OF THE ADJOURNMENT OF THE For None 607618 0 0 0
ANNUAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES.
---------------------------------------------------------------------------------
OFS CAPITAL CORPORATION
---------------------------------------------------------------------------------
SECURITY: 67103B100 MEETING TYPE: Annual
TICKER: OFS MEETING DATE: 03-Jun-2016
ISIN US67103B1008 VOTE DEADLINE DATE: 02-Jun-2016
AGENDA 934414424 Management TOTAL BALLOT SHARES: 363486
LAST VOTE DATE: 02-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ELAINE E. HEALY 149615 0 2469 0
2 TO RATIFY THE SELECTION OF BDO USA, LLP For None 151013 700 371 0
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
---------------------------------------------------------------------------------
BLACKROCK CAPITAL INVESTMENT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 092533108 MEETING TYPE: Special
TICKER: BKCC MEETING DATE: 06-Jun-2016
ISIN US0925331086 VOTE DEADLINE DATE: 03-Jun-2016
AGENDA 934361205 Management TOTAL BALLOT SHARES: 279785
LAST VOTE DATE: 02-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 TO AUTHORIZE FLEXIBILITY FOR THE For None 76995 24542 2363 0
COMPANY, WITH APPROVAL OF ITS BOARD
OF DIRECTORS, TO SELL OR OTHERWISE
ISSUE SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A PRICE
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, SUBJECT TO CERTAIN
LIMITATIONS SET FORTH IN THE PROXY
STATEMENT.
-6-
---------------------------------------------------------------------------------
SOLAR CAPITAL LTD
---------------------------------------------------------------------------------
SECURITY: 83413U100 MEETING TYPE: Annual
TICKER: SLRC MEETING DATE: 07-Jun-2016
ISIN US83413U1007 VOTE DEADLINE DATE: 06-Jun-2016
AGENDA 934407823 Management TOTAL BALLOT SHARES: 513602
LAST VOTE DATE: 06-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID S. WACHTER 297088 0 10721 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 214802 90674 2333 0
SOLAR CAPITAL LTD. TO SELL SHARES OF
ITS COMMON STOCK AT A PRICE OR PRICES
BELOW SOLAR CAPITAL LTD.'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 SOLAR CAPITAL LTD.'S
THEN OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
OFFERING).
---------------------------------------------------------------------------------
HORIZON TECHNOLOGY FINANCE CORPORATION
---------------------------------------------------------------------------------
SECURITY: 44045A102 MEETING TYPE: Annual
TICKER: HRZN MEETING DATE: 09-Jun-2016
ISIN US44045A1025 VOTE DEADLINE DATE: 08-Jun-2016
AGENDA 934406009 Management TOTAL BALLOT SHARES: 179011
LAST VOTE DATE: 08-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ROBERT D. POMEROY, JR. 174561 0 4287 0
2 JOSEPH J. SAVAGE 174044 0 4804 0
2 TO RATIFY THE SELECTION OF RSM US LLP For None 175285 2135 1427 0
(FORMERLY KNOWN AS MCGLADREY LLP)
TO SERVE AS HORIZON TECHNOLOGY
FINANCE CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2016.
---------------------------------------------------------------------------------
HARVEST CAPITAL CREDIT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 41753F109 MEETING TYPE: Annual
TICKER: HCAP MEETING DATE: 14-Jun-2016
ISIN US41753F1093 VOTE DEADLINE DATE: 13-Jun-2016
AGENDA 934409168 Management TOTAL BALLOT SHARES: 16699
LAST VOTE DATE: 13-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: JOSEPH A. JOLSON For None 15936 0 763 0
2 ELECTION OF DIRECTOR: RICHARD P. For None 16492 0 207 0
BUCKANAVAGE
3 TO RATIFY THE SELECTION OF For None 16609 18 72 0
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE COMPANY FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2016.
---------------------------------------------------------------------------------
MEDALLION FINANCIAL CORP.
---------------------------------------------------------------------------------
SECURITY: 583928106 MEETING TYPE: Annual
TICKER: TAXI MEETING DATE: 17-Jun-2016
ISIN US5839281061 VOTE DEADLINE DATE: 16-Jun-2016
AGENDA 934410123 Management TOTAL BALLOT SHARES: 83353
LAST VOTE DATE: 16-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ANDREW M. MURSTEIN 75902 0 7451 0
2 LOWELL P. WEICKER, JR. 64760 0 18593 0
2 PROPOSAL TO RATIFY THE APPOINTMENT For None 79503 2673 1177 0
OF WEISERMAZARS LLP AS MEDALLION
FINANCIAL CORP.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
3 PROPOSAL TO APPROVE A NON-BINDING For None 48039 31930 3384 0
ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION
---------------------------------------------------------------------------------
STELLUS CAPITAL INVESTMENT CORPORATION
---------------------------------------------------------------------------------
SECURITY: 858568108 MEETING TYPE: Annual
TICKER: SCM MEETING DATE: 28-Jun-2016
ISIN US8585681088 VOTE DEADLINE DATE: 27-Jun-2016
AGENDA 934411632 Management TOTAL BALLOT SHARES: 386424
LAST VOTE DATE: 27-Jun-2016
-----------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DEAN D'ANGELO 197872 0 6657 0
2 WILLIAM C. REPKO 185946 0 18583 0
2 TO RATIFY THE SELECTION OF GRANT For None 201058 485 2987 0
THORNTON LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2016.
-7-
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/ James M. Dykas
-----------------------------------
James M. Dykas, President and
Chief Executive Officer
Date July 21, 2016
-------------------------
* Print the name and title of each signing officer under his or her signature.