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

 

Exact Name of Registrant as Specified in Declaration of Trust

 

 

120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187

 

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

 

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, 2021 - June 30, 2022

 

 

 

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

 

Vote Summary  
  CAPITAL SOUTHWEST CORPORATION      
  Security 140501107           Meeting Type Annual    
  Ticker Symbol CSWC                      Meeting Date 28-Jul-2021    
  ISIN US1405011073           Agenda 935460004 - Management  
  Record Date 01-Jun-2021           Holding Recon Date 01-Jun-2021    
  City / Country     / United
States		         Vote Deadline Date 27-Jul-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Christine S. Battist       Split   Split      
      2 David R. Brooks       Split   Split      
      3 Bowen S. Diehl       Split   Split      
      4 Jack D. Furst       Split   Split      
      5 T. Duane Morgan       Split   Split      
      6 Ramona Rogers-Windsor       Split   Split      
      7 William R. Thomas       Split   Split      
  2.    To approve, on an advisory basis, the compensation of
Capital Southwest Corporation's named executive
officers.		 Management   Split   Split      
  3.    To approve the Capital Southwest Corporation 2021
Employee Restricted Stock Award Plan.		 Management   Split   Split      
  4.    To ratify the appointment of RSM US LLP as Capital
Southwest Corporation's independent registered public
accounting firm for the fiscal year ending March 31, 2022.		 Management   Split   Split      
  CAPITAL SOUTHWEST CORPORATION      
  Security 140501107           Meeting Type Annual    
  Ticker Symbol CSWC                      Meeting Date 28-Jul-2021    
  ISIN US1405011073           Agenda 935460004 - Management  
  Record Date 01-Jun-2021           Holding Recon Date 01-Jun-2021    
  City / Country     / United
States		         Vote Deadline Date 27-Jul-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Christine S. Battist       Split   Split      
      2 David R. Brooks       Split   Split      
      3 Bowen S. Diehl       Split   Split      
      4 Jack D. Furst       Split   Split      
      5 T. Duane Morgan       Split   Split      
      6 Ramona Rogers-Windsor       Split   Split      
      7 William R. Thomas       Split   Split      
  2.    To approve, on an advisory basis, the compensation of
Capital Southwest Corporation's named executive
officers.		 Management   Split   Split      
  3.    To approve the Capital Southwest Corporation 2021
Employee Restricted Stock Award Plan.		 Management   Split   Split      
  4.    To ratify the appointment of RSM US LLP as Capital
Southwest Corporation's independent registered public
accounting firm for the fiscal year ending March 31, 2022.		 Management   Split   Split      
  ARES CAPITAL CORPORATION      
  Security 04010L103           Meeting Type Special  
  Ticker Symbol ARCC                      Meeting Date 13-Aug-2021    
  ISIN US04010L1035           Agenda 935462767 - Management  
  Record Date 04-Jun-2021           Holding Recon Date 04-Jun-2021    
  City / Country     / United
States		         Vote Deadline Date 12-Aug-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To authorize the Company, with the 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
(including, without limitation, that the number of shares
issued does not exceed 25% of the Company's then
outstanding common stock).		 Management   Split   Split      
  ARES CAPITAL CORPORATION      
  Security 04010L103           Meeting Type Special  
  Ticker Symbol ARCC                      Meeting Date 13-Aug-2021    
  ISIN US04010L1035           Agenda 935462767 - Management  
  Record Date 04-Jun-2021           Holding Recon Date 04-Jun-2021    
  City / Country     / United
States		         Vote Deadline Date 12-Aug-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To authorize the Company, with the 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
(including, without limitation, that the number of shares
issued does not exceed 25% of the Company's then
outstanding common stock).		 Management   Split   Split      
  OWL ROCK CAPITAL CORPORATION      
  Security 69121K104           Meeting Type Annual    
  Ticker Symbol ORCC                      Meeting Date 26-Aug-2021    
  ISIN US69121K1043           Agenda 935473556 - Management  
  Record Date 06-Jul-2021           Holding Recon Date 06-Jul-2021    
  City / Country     / United
States		         Vote Deadline Date 25-Aug-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director for three-year term expiring at the
2024 annual meeting: Christopher M. Temple		 Management   Split   Split      
  1B.   Election of Director for three-year term expiring at the
2024 annual meeting: Melissa Weiler		 Management   Split   Split      
  2.    To ratify the appointment of KPMG LLP as the
Company's independent registered public accounting firm
for the fiscal year ending December 31, 2021.		 Management   Split   Split      
  3.    To consider and transact such other business as may
properly come before the Annual Meeting, and any
adjournments or postponements thereof.		 Management   Split   Split      
  CAPSTEAD MORTGAGE CORPORATION      
  Security 14067E506           Meeting Type Special  
  Ticker Symbol CMO                       Meeting Date 15-Oct-2021    
  ISIN US14067E5069           Agenda 935496528 - Management  
  Record Date 26-Aug-2021           Holding Recon Date 26-Aug-2021    
  City / Country     / United
States		         Vote Deadline Date 14-Oct-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To consider and vote on a proposal ("Capstead Merger
Proposal") to approve the merger of Capstead Mortgage
Corporation, a Maryland corporation ("Capstead"), with
and into Rodeo Sub I, LLC, a Maryland limited liability
company ("Merger Sub"), with Merger Sub continuing as
the surviving entity, and the other transactions
contemplated in connection therewith (collectively the
"Merger"), pursuant to that certain Agreement and Plan of
Merger, dated as of July 25, 2021, as such agreement
may be amended or modified from time to time, by
Benefit Street		 Management   Split   Split      
  2.    To consider and vote on a non-binding advisory proposal
to approve the compensation that may be paid or
become payable to Capstead's named executive officers
that is based on or otherwise relates to the Merger (the
"Capstead Non-Binding Compensation Advisory
Proposal").		 Management   Split   Split      
  3.    To consider and vote on a proposal to approve the
adjournment of the Capstead special meeting, if
necessary or appropriate, for the purpose of soliciting
additional votes for the approval of the Capstead Merger
Proposal.		 Management   Split   Split      
  SLR INVESTMENT CORP.      
  Security 83413U100           Meeting Type Annual    
  Ticker Symbol SLRC                      Meeting Date 27-Oct-2021    
  ISIN US83413U1007           Agenda 935493887 - Management  
  Record Date 01-Sep-2021           Holding Recon Date 01-Sep-2021    
  City / Country     / United
States		         Vote Deadline Date 26-Oct-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Michael S. Gross       Split   Split      
      2 Leonard A. Potter       Split   Split      
  2.    To approve a proposal to authorize SLR Investment
Corp. to sell shares of its common stock at a price or
prices below SLR Investment 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 (including, without limitation, that the number
of shares issued does not exceed 25% of SLR
Investment Corp.'s then outstanding common stock
immediately prior to each such offering).		 Management   Split   Split      
  INVESTCORP CREDIT MANAGEMENT BDC, INC      
  Security 46090R104           Meeting Type Annual    
  Ticker Symbol ICMB                      Meeting Date 03-Nov-2021    
  ISIN US46090R1041           Agenda 935502977 - Management  
  Record Date 15-Sep-2021           Holding Recon Date 15-Sep-2021    
  City / Country     / United
States		         Vote Deadline Date 02-Nov-2021    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Thomas Sullivan       Split   Split      
  GOLUB CAPITAL BDC, INC.      
  Security 38173M102           Meeting Type Annual    
  Ticker Symbol GBDC                      Meeting Date 04-Feb-2022    
  ISIN US38173M1027           Agenda 935535875 - Management  
  Record Date 13-Dec-2021           Holding Recon Date 13-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 03-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class III Director to serve for a term expiring
in 2025: Lawrence E. Golub		 Management   Split   Split      
  1B.   Election of Class III Director to serve for a term expiring
in 2025: Lofton P. Holder		 Management   Split   Split      
  1C.   Election of Class III Director to serve for a term expiring
in 2025: William M. Webster IV		 Management   Split   Split      
  2.    To ratify the selection of Ernst & Young LLP to serve as
the Company's independent registered public accounting
firm for the fiscal year ending September 30, 2022.		 Management   Split   Split      
  3.    To approve an amendment to the Company's certificate
of incorporation to increase the number of authorized
shares of capital stock from 201,000,000 shares to
351,000,000 shares, consisting of 350,000,000 shares of
common stock, par value $0.001 per share, and
1,000,000 shares of preferred stock, par value $0.001 per
share.		 Management   Split   Split      
  GOLUB CAPITAL BDC, INC.      
  Security 38173M102           Meeting Type Annual    
  Ticker Symbol GBDC                      Meeting Date 04-Feb-2022    
  ISIN US38173M1027           Agenda 935535875 - Management  
  Record Date 13-Dec-2021           Holding Recon Date 13-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 03-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class III Director to serve for a term expiring
in 2025: Lawrence E. Golub		 Management   Split   Split      
  1B.   Election of Class III Director to serve for a term expiring
in 2025: Lofton P. Holder		 Management   Split   Split      
  1C.   Election of Class III Director to serve for a term expiring
in 2025: William M. Webster IV		 Management   Split   Split      
  2.    To ratify the selection of Ernst & Young LLP to serve as
the Company's independent registered public accounting
firm for the fiscal year ending September 30, 2022.		 Management   Split   Split      
  3.    To approve an amendment to the Company's certificate
of incorporation to increase the number of authorized
shares of capital stock from 201,000,000 shares to
351,000,000 shares, consisting of 350,000,000 shares of
common stock, par value $0.001 per share, and
1,000,000 shares of preferred stock, par value $0.001 per
share.		 Management   Split   Split      
  PENNANTPARK INVESTMENT CORPORATION      
  Security 708062104           Meeting Type Annual    
  Ticker Symbol PNNT                      Meeting Date 08-Feb-2022    
  ISIN US7080621045           Agenda 935534734 - Management  
  Record Date 01-Dec-2021           Holding Recon Date 01-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 07-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Arthur H. Penn Management   Split   Split      
  2.    To ratify the selection of RSM US LLP to serve as the
Company's independent registered public accounting firm
for the fiscal year ending September 30, 2022.		 Management   Split   Split      
  PENNANTPARK INVESTMENT CORPORATION      
  Security 708062104           Meeting Type Annual    
  Ticker Symbol PNNT                      Meeting Date 08-Feb-2022    
  ISIN US7080621045           Agenda 935534734 - Management  
  Record Date 01-Dec-2021           Holding Recon Date 01-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 07-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Arthur H. Penn Management   Split   Split      
  2.    To ratify the selection of RSM US LLP to serve as the
Company's independent registered public accounting firm
for the fiscal year ending September 30, 2022.		 Management   Split   Split      
  BARINGS BDC, INC.      
  Security 06759L103           Meeting Type Special  
  Ticker Symbol BBDC                      Meeting Date 24-Feb-2022    
  ISIN US06759L1035           Agenda 935540307 - Management  
  Record Date 27-Dec-2021           Holding Recon Date 27-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 23-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve the issuance of shares of Barings BDC, Inc.
("Barings BDC") common stock, $0.001 par value per
share ("Barings BDC Common Stock"), pursuant to the
Agreement and Plan of Merger, dated as of September
21, 2021, by and among Barings BDC, Mercury
Acquisition Sub, Inc., Sierra Income Corporation and
Barings LLC (the "Merger Agreement").		 Management   Split   Split      
  2.    To approve the issuance of shares of Barings BDC
Common Stock pursuant to the Merger Agreement at a
price below its then- current net asset value per share, if
applicable.		 Management   Split   Split      
  3.    To approve the adjournment of the Barings BDC special
meeting, if necessary or appropriate, to solicit additional
proxies, in the event that there are insufficient votes at
the time of the Barings BDC special meeting to approve
Proposal 1 or Proposal 2.		 Management   Split   Split      
  BARINGS BDC, INC.      
  Security 06759L103           Meeting Type Special  
  Ticker Symbol BBDC                      Meeting Date 24-Feb-2022    
  ISIN US06759L1035           Agenda 935540307 - Management  
  Record Date 27-Dec-2021           Holding Recon Date 27-Dec-2021    
  City / Country     / United
States		         Vote Deadline Date 23-Feb-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve the issuance of shares of Barings BDC, Inc.
("Barings BDC") common stock, $0.001 par value per
share ("Barings BDC Common Stock"), pursuant to the
Agreement and Plan of Merger, dated as of September
21, 2021, by and among Barings BDC, Mercury
Acquisition Sub, Inc., Sierra Income Corporation and
Barings LLC (the "Merger Agreement").		 Management   Split   Split      
  2.    To approve the issuance of shares of Barings BDC
Common Stock pursuant to the Merger Agreement at a
price below its then- current net asset value per share, if
applicable.		 Management   Split   Split      
  3.    To approve the adjournment of the Barings BDC special
meeting, if necessary or appropriate, to solicit additional
proxies, in the event that there are insufficient votes at
the time of the Barings BDC special meeting to approve
Proposal 1 or Proposal 2.		 Management   Split   Split      
  SLR INVESTMENT CORP.      
  Security 83413U100           Meeting Type Special  
  Ticker Symbol SLRC                      Meeting Date 21-Mar-2022    
  ISIN US83413U1007           Agenda 935549610 - Management  
  Record Date 18-Jan-2022           Holding Recon Date 18-Jan-2022    
  City / Country     / United
States		         Vote Deadline Date 18-Mar-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve the issuance of shares of common stock, par
value $0.01 per share, of SLR Investment Corp.
("SLRC"), to be issued pursuant to the Agreement and
Plan of Merger, dated as of December 1, 2021, among
SLRC, SLR Senior Investment Corp., Solstice Merger
Sub, Inc., a direct wholly-owned subsidiary of SLRC, and,
for the limited purposes set forth therein, SLR Capital
Partners, LLC, as more particularly described in the joint
proxy statement/prospectus.		 Management   Split   Split      
  SLR INVESTMENT CORP.      
  Security 83413U100           Meeting Type Special  
  Ticker Symbol SLRC                      Meeting Date 21-Mar-2022    
  ISIN US83413U1007           Agenda 935549610 - Management  
  Record Date 18-Jan-2022           Holding Recon Date 18-Jan-2022    
  City / Country     / United
States		         Vote Deadline Date 18-Mar-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve the issuance of shares of common stock, par
value $0.01 per share, of SLR Investment Corp.
("SLRC"), to be issued pursuant to the Agreement and
Plan of Merger, dated as of December 1, 2021, among
SLRC, SLR Senior Investment Corp., Solstice Merger
Sub, Inc., a direct wholly-owned subsidiary of SLRC, and,
for the limited purposes set forth therein, SLR Capital
Partners, LLC, as more particularly described in the joint
proxy statement/prospectus.		 Management   Split   Split      
  AGNC INVESTMENT CORP.      
  Security 00123Q104           Meeting Type Annual    
  Ticker Symbol AGNC                      Meeting Date 21-Apr-2022    
  ISIN US00123Q1040           Agenda 935560056 - Management  
  Record Date 25-Feb-2022           Holding Recon Date 25-Feb-2022    
  City / Country     / United
States		         Vote Deadline Date 20-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Donna J. Blank Management   Split   Split      
  1B.   Election of Director: Morris A. Davis Management   Split   Split      
  1C.   Election of Director: Peter J. Federico Management   Split   Split      
  1D.   Election of Director: John D. Fisk Management   Split   Split      
  1E.   Election of Director: Andrew A. Johnson, Jr. Management   Split   Split      
  1F.   Election of Director: Gary D. Kain Management   Split   Split      
  1G.   Election of Director: Prue B. Larocca Management   Split   Split      
  1H.   Election of Director: Paul E. Mullings Management   Split   Split      
  1I.   Election of Director: Frances R. Spark Management   Split   Split      
  2.    Advisory vote to approve the compensation of our named
executive officers.		 Management   Split   Split      
  3.    Ratification of appointment of Ernst & Young LLP as our
independent public accountant for the year ending
December 31, 2022.		 Management   Split   Split      
  4A.   Approve amendment to our Amended and Restated
Certificate of Incorporation eliminating supermajority
voting requirements for stockholders to: amend certain
provisions of our Amended and Restated Certificate of
Incorporation.		 Management   Split   Split      
  4B.   Approve amendment to our Amended and Restated
Certificate of Incorporation eliminating supermajority
voting requirements for stockholders to: amend our
Fourth Amended and Restated Bylaws.		 Management   Split   Split      
  4C.   Approve amendment to our Amended and Restated
Certificate of Incorporation eliminating supermajority
voting requirements for stockholders to: remove directors.		 Management   Split   Split      
  NEW MOUNTAIN FINANCE CORPORATION      
  Security 647551100           Meeting Type Annual    
  Ticker Symbol NMFC                      Meeting Date 21-Apr-2022    
  ISIN US6475511001           Agenda 935558986 - Management  
  Record Date 22-Feb-2022           Holding Recon Date 22-Feb-2022    
  City / Country     / United
States		         Vote Deadline Date 20-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Robert A. Hamwee       Split   Split      
      2 Alfred F. Hurley, Jr.       Split   Split      
      3 Alice W. Handy       Split   Split      
  2.    To ratify the appointment of Deloitte & Touche LLP to
serve as New Mountain Finance Corporation's
independent registered public accounting firm for the
fiscal year ending December 31, 2022.		 Management   Split   Split      
  NEW MOUNTAIN FINANCE CORPORATION      
  Security 647551100           Meeting Type Annual    
  Ticker Symbol NMFC                      Meeting Date 21-Apr-2022    
  ISIN US6475511001           Agenda 935558986 - Management  
  Record Date 22-Feb-2022           Holding Recon Date 22-Feb-2022    
  City / Country     / United
States		         Vote Deadline Date 20-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Robert A. Hamwee       Split   Split      
      2 Alfred F. Hurley, Jr.       Split   Split      
      3 Alice W. Handy       Split   Split      
  2.    To ratify the appointment of Deloitte & Touche LLP to
serve as New Mountain Finance Corporation's
independent registered public accounting firm for the
fiscal year ending December 31, 2022.		 Management   Split   Split      
  TRIPLEPOINT VENTURE GROWTH BDC CORP.      
  Security 89677Y100           Meeting Type Annual    
  Ticker Symbol TPVG                      Meeting Date 28-Apr-2022    
  ISIN US89677Y1001           Agenda 935564775 - Management  
  Record Date 08-Mar-2022           Holding Recon Date 08-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 27-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of class II Director to serve until next Annual
meeting 2025: Gilbert E. Ahye		 Management   Split   Split      
  1B.   Election of class II Director to serve until next Annual
meeting 2025: Steven P. Bird		 Management   Split   Split      
  1C.   Election of class II Director to serve until next Annual
meeting 2025: Kimberley H. Vogel		 Management   Split   Split      
  2.    To ratify the selection of Deloitte & Touche LLP to serve
as the Company's independent registered public
accounting firm for the fiscal year ending December 31,
2022.		 Management   Split   Split      
  TRIPLEPOINT VENTURE GROWTH BDC CORP.      
  Security 89677Y100           Meeting Type Annual    
  Ticker Symbol TPVG                      Meeting Date 28-Apr-2022    
  ISIN US89677Y1001           Agenda 935564775 - Management  
  Record Date 08-Mar-2022           Holding Recon Date 08-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 27-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of class II Director to serve until next Annual
meeting 2025: Gilbert E. Ahye		 Management   Split   Split      
  1B.   Election of class II Director to serve until next Annual
meeting 2025: Steven P. Bird		 Management   Split   Split      
  1C.   Election of class II Director to serve until next Annual
meeting 2025: Kimberley H. Vogel		 Management   Split   Split      
  2.    To ratify the selection of Deloitte & Touche LLP to serve
as the Company's independent registered public
accounting firm for the fiscal year ending December 31,
2022.		 Management   Split   Split      
  BERKSHIRE HATHAWAY INC.      
  Security 084670702           Meeting Type Annual    
  Ticker Symbol BRKB                      Meeting Date 30-Apr-2022    
  ISIN US0846707026           Agenda 935562137 - Management  
  Record Date 02-Mar-2022           Holding Recon Date 02-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 29-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Warren E. Buffett       Split   Split      
      2 Charles T. Munger       Split   Split      
      3 Gregory E. Abel       Split   Split      
      4 Howard G. Buffett       Split   Split      
      5 Susan A. Buffett       Split   Split      
      6 Stephen B. Burke       Split   Split      
      7 Kenneth I. Chenault       Split   Split      
      8 Christopher C. Davis       Split   Split      
      9 Susan L. Decker       Split   Split      
      10 David S. Gottesman       Split   Split      
      11 Charlotte Guyman       Split   Split      
      12 Ajit Jain       Split   Split      
      13 Ronald L. Olson       Split   Split      
      14 Wallace R. Weitz       Split   Split      
      15 Meryl B. Witmer       Split   Split      
  2.    Shareholder proposal regarding the adoption of a policy
requiring that the Board Chair be an independent
director.		 Shareholder   Split   Split      
  3.    Shareholder proposal regarding the publishing of an
annual assessment addressing how the Corporation
manages climate risks.		 Shareholder   Split   Split      
  4.    Shareholder proposal regarding how the Corporation
intends to measure, disclose and reduce greenhouse gas
emissions.		 Shareholder   Split   Split      
  5.    Shareholder proposal regarding the reporting of the
Corporation's diversity, equity and inclusion efforts.		 Shareholder   Split   Split      
  MAIN STREET CAPITAL CORPORATION      
  Security 56035L104           Meeting Type Annual    
  Ticker Symbol MAIN                      Meeting Date 02-May-2022    
  ISIN US56035L1044           Agenda 935560222 - Management  
  Record Date 01-Mar-2022           Holding Recon Date 01-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 29-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.1   Election of Director: J. Kevin Griffin Management   Split   Split      
  1.2   Election of Director: John E. Jackson Management   Split   Split      
  1.3   Election of Director: Brian E. Lane Management   Split   Split      
  1.4   Election of Director: Kay Matthews Management   Split   Split      
  1.5   Election of Director: Dunia A. Shive Management   Split   Split      
  1.6   Election of Director: Stephen B. Solcher Management   Split   Split      
  1.7   Election of Director: Vincent D. Foster Management   Split   Split      
  1.8   Election of Director: Dwayne L. Hyzak Management   Split   Split      
  2.    Proposal to permit us to increase the maximum amount
of leverage that we are currently permitted to incur by
reducing the asset coverage requirement applicable to us
from 200% to 150%, to become effective the first day
after the 2022 Annual Meeting of Stockholders.		 Management   Split   Split      
  3.    Proposal to approve our 2022 Equity and Incentive Plan. Management   Split   Split      
  4.    Proposal to approve our 2022 Non-Employee Director
Restricted Stock Plan.		 Management   Split   Split      
  5.    Proposal to ratify our appointment of Grant Thornton LLP
as our independent registered public accounting firm for
the year ending December 31, 2022.		 Management   Split   Split      
  6.    Advisory non-binding approval of executive
compensation.		 Management   Split   Split      
  7.    Proposal to approve an amendment to our Articles of
Amendment and Restatement to allow our stockholders
to amend our bylaws.		 Management   Split   Split      
  MAIN STREET CAPITAL CORPORATION      
  Security 56035L104           Meeting Type Annual    
  Ticker Symbol MAIN                      Meeting Date 02-May-2022    
  ISIN US56035L1044           Agenda 935560222 - Management  
  Record Date 01-Mar-2022           Holding Recon Date 01-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 29-Apr-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.1   Election of Director: J. Kevin Griffin Management   Split   Split      
  1.2   Election of Director: John E. Jackson Management   Split   Split      
  1.3   Election of Director: Brian E. Lane Management   Split   Split      
  1.4   Election of Director: Kay Matthews Management   Split   Split      
  1.5   Election of Director: Dunia A. Shive Management   Split   Split      
  1.6   Election of Director: Stephen B. Solcher Management   Split   Split      
  1.7   Election of Director: Vincent D. Foster Management   Split   Split      
  1.8   Election of Director: Dwayne L. Hyzak Management   Split   Split      
  2.    Proposal to permit us to increase the maximum amount
of leverage that we are currently permitted to incur by
reducing the asset coverage requirement applicable to us
from 200% to 150%, to become effective the first day
after the 2022 Annual Meeting of Stockholders.		 Management   Split   Split      
  3.    Proposal to approve our 2022 Equity and Incentive Plan. Management   Split   Split      
  4.    Proposal to approve our 2022 Non-Employee Director
Restricted Stock Plan.		 Management   Split   Split      
  5.    Proposal to ratify our appointment of Grant Thornton LLP
as our independent registered public accounting firm for
the year ending December 31, 2022.		 Management   Split   Split      
  6.    Advisory non-binding approval of executive
compensation.		 Management   Split   Split      
  7.    Proposal to approve an amendment to our Articles of
Amendment and Restatement to allow our stockholders
to amend our bylaws.		 Management   Split   Split      
  PRUDENTIAL FINANCIAL, INC.      
  Security 744320102           Meeting Type Annual    
  Ticker Symbol PRU                       Meeting Date 10-May-2022    
  ISIN US7443201022           Agenda 935580577 - Management  
  Record Date 11-Mar-2022           Holding Recon Date 11-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 09-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Thomas J. Baltimore, Jr. Management   Split   Split      
  1B.   Election of Director: Gilbert F. Casellas Management   Split   Split      
  1C.   Election of Director: Robert M. Falzon Management   Split   Split      
  1D.   Election of Director: Martina Hund-Mejean Management   Split   Split      
  1E.   Election of Director: Wendy Jones Management   Split   Split      
  1F.   Election of Director: Karl J. Krapek Management   Split   Split      
  1G.   Election of Director: Peter R. Lighte Management   Split   Split      
  1H.   Election of Director: Charles F. Lowrey Management   Split   Split      
  1I.   Election of Director: George Paz Management   Split   Split      
  1J.   Election of Director: Sandra Pianalto Management   Split   Split      
  1K.   Election of Director: Christine A. Poon Management   Split   Split      
  1L.   Election of Director: Douglas A. Scovanner Management   Split   Split      
  1M.   Election of Director: Michael A. Todman Management   Split   Split      
  2.    Ratification of the appointment of
PricewaterhouseCoopers LLP as our independent
registered public accounting firm for 2022.		 Management   Split   Split      
  3.    Advisory vote to approve named executive officer
compensation.		 Management   Split   Split      
  4.    Shareholder proposal to adopt the right to act by written
consent.		 Shareholder   Split   Split      
  MARKEL CORPORATION      
  Security 570535104           Meeting Type Annual    
  Ticker Symbol MKL                       Meeting Date 11-May-2022    
  ISIN US5705351048           Agenda 935568040 - Management  
  Record Date 03-Mar-2022           Holding Recon Date 03-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 10-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Mark M. Besca Management   Split   Split      
  1B.   Election of Director: K. Bruce Connell Management   Split   Split      
  1C.   Election of Director: Thomas S. Gayner Management   Split   Split      
  1D.   Election of Director: Greta J. Harris Management   Split   Split      
  1E.   Election of Director: Morgan E. Housel Management   Split   Split      
  1F.   Election of Director: Diane Leopold Management   Split   Split      
  1G.   Election of Director: Anthony F. Markel Management   Split   Split      
  1H.   Election of Director: Steven A. Markel Management   Split   Split      
  1I.   Election of Director: Harold L. Morrison, Jr. Management   Split   Split      
  1J.   Election of Director: Michael O'Reilly Management   Split   Split      
  1K.   Election of Director: A. Lynne Puckett Management   Split   Split      
  1L.   Election of Director: Richard R. Whitt, III Management   Split   Split      
  2.    Advisory vote on approval of executive compensation. Management   Split   Split      
  3.    Ratify the selection of KPMG LLP by the Audit Committee
of the Board of Directors as the Company's independent
registered public accounting firm for the year ending
December 31, 2022.		 Management   Split   Split      
  CRESCENT CAPITAL BDC, INC.      
  Security 225655109           Meeting Type Annual    
  Ticker Symbol CCAP                      Meeting Date 13-May-2022    
  ISIN US2256551092           Agenda 935575918 - Management  
  Record Date 16-Mar-2022           Holding Recon Date 16-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 12-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director to serve for a three-year term
expiring at the 2025 Annual Meeting: Kathleen S. Briscoe		 Management   Split   Split      
  1B.   Election of Class I Director to serve for a three-year term
expiring at the 2025 Annual Meeting: George G. Strong,
Jr.		 Management   Split   Split      
  2A.   Election of Class III Director to serve for a two-year term
expiring at the 2024 Annual Meeting: Elizabeth Ko		 Management   Split   Split      
  3.    To ratify the selection of Ernst & Young LLP ("E&Y") as
the Corporation's independent registered public
accounting firm for the fiscal year ending December 31,
2022.		 Management   Split   Split      
  CRESCENT CAPITAL BDC, INC.      
  Security 225655109           Meeting Type Annual    
  Ticker Symbol CCAP                      Meeting Date 13-May-2022    
  ISIN US2256551092           Agenda 935575918 - Management  
  Record Date 16-Mar-2022           Holding Recon Date 16-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 12-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director to serve for a three-year term
expiring at the 2025 Annual Meeting: Kathleen S. Briscoe		 Management   Split   Split      
  1B.   Election of Class I Director to serve for a three-year term
expiring at the 2025 Annual Meeting: George G. Strong,
Jr.		 Management   Split   Split      
  2A.   Election of Class III Director to serve for a two-year term
expiring at the 2024 Annual Meeting: Elizabeth Ko		 Management   Split   Split      
  3.    To ratify the selection of Ernst & Young LLP ("E&Y") as
the Corporation's independent registered public
accounting firm for the fiscal year ending December 31,
2022.		 Management   Split   Split      
  ANNALY CAPITAL MANAGEMENT, INC.      
  Security 035710409           Meeting Type Annual    
  Ticker Symbol NLY                       Meeting Date 18-May-2022    
  ISIN US0357104092           Agenda 935579536 - Management  
  Record Date 21-Mar-2022           Holding Recon Date 21-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 17-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Director: Francine J. Bovich Management   Split   Split      
  1B.   Election of Director: Wellington J. Denahan Management   Split   Split      
  1C.   Election of Director: Katie Beirne Fallon Management   Split   Split      
  1D.   Election of Director: David L. Finkelstein Management   Split   Split      
  1E.   Election of Director: Thomas Hamilton Management   Split   Split      
  1F.   Election of Director: Kathy Hopinkah Hannan Management   Split   Split      
  1G.   Election of Director: Michael Haylon Management   Split   Split      
  1H.   Election of Director: Eric A. Reeves Management   Split   Split      
  1I.   Election of Director: John H. Schaefer Management   Split   Split      
  1J.   Election of Director: Glenn A. Votek Management   Split   Split      
  1K.   Election of Director: Vicki Williams Management   Split   Split      
  2.    Advisory approval of the Company's executive
compensation.		 Management   Split   Split      
  3.    Ratification of the appointment of Ernst & Young LLP as
our independent registered public accounting firm for the
fiscal year ending December 31, 2022.		 Management   Split   Split      
  GOLDMAN SACHS BDC, INC.      
  Security 38147U107           Meeting Type Annual    
  Ticker Symbol GSBD                      Meeting Date 18-May-2022    
  ISIN US38147U1079           Agenda 935607626 - Management  
  Record Date 01-Apr-2022           Holding Recon Date 01-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 17-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Kaysie Uniacke       Split   Split      
      2 Jaime Ardila       Split   Split      
      3 Richard A. Mark       Split   Split      
  2.    To ratify the selection of PricewaterhouseCoopers LLP as
the Company's independent registered public accounting
firm for the fiscal year ending December 31, 2022.		 Management   Split   Split      
  GOLDMAN SACHS BDC, INC.      
  Security 38147U107           Meeting Type Annual    
  Ticker Symbol GSBD                      Meeting Date 18-May-2022    
  ISIN US38147U1079           Agenda 935607626 - Management  
  Record Date 01-Apr-2022           Holding Recon Date 01-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 17-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Kaysie Uniacke       Split   Split      
      2 Jaime Ardila       Split   Split      
      3 Richard A. Mark       Split   Split      
  2.    To ratify the selection of PricewaterhouseCoopers LLP as
the Company's independent registered public accounting
firm for the fiscal year ending December 31, 2022.		 Management   Split   Split      
  ARES CAPITAL CORPORATION      
  Security 04010L103           Meeting Type Annual    
  Ticker Symbol ARCC                      Meeting Date 19-May-2022    
  ISIN US04010L1035           Agenda 935583333 - Management  
  Record Date 16-Mar-2022           Holding Recon Date 16-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 18-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: Daniel G.
Kelly, Jr.		 Management   Split   Split      
  1B.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: Eric B. Siegel		 Management   Split   Split      
  1C.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: R. Kipp
deVeer		 Management   Split   Split      
  2.    To ratify the selection of KPMG LLP as the Company's
independent registered public accounting firm for the year
ending December 31, 2022.		 Management   Split   Split      
  ARES CAPITAL CORPORATION      
  Security 04010L103           Meeting Type Annual    
  Ticker Symbol ARCC                      Meeting Date 19-May-2022    
  ISIN US04010L1035           Agenda 935583333 - Management  
  Record Date 16-Mar-2022           Holding Recon Date 16-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 18-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: Daniel G.
Kelly, Jr.		 Management   Split   Split      
  1B.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: Eric B. Siegel		 Management   Split   Split      
  1C.   Election of Class III director of the Company to serve until
the 2025 Annual Meeting of Stockholders: R. Kipp
deVeer		 Management   Split   Split      
  2.    To ratify the selection of KPMG LLP as the Company's
independent registered public accounting firm for the year
ending December 31, 2022.		 Management   Split   Split      
  BLACKROCK TCP CAPITAL CORP.      
  Security 09259E108           Meeting Type Annual    
  Ticker Symbol TCPC                      Meeting Date 24-May-2022    
  ISIN US09259E1082           Agenda 935601775 - Management  
  Record Date 29-Mar-2022           Holding Recon Date 29-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 23-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Eric J. Draut       Split   Split      
      2 Andrea L. Petro       Split   Split      
      3 M. Freddie Reiss       Split   Split      
      4 Peter E. Schwab       Split   Split      
      5 Karyn L. Williams       Split   Split      
      6 Rajneesh Vig       Split   Split      
  2.    To consider and vote on a proposal to renew the
Company's authorization, with approval of its Board of
Directors, to sell shares of the Company's common stock
(for up to 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, without limitation, that the
number of shares sold on any given date does not
exceed 25% of the Company's then outstanding common
stock immediately prior to such sale).		 Management   Split   Split      
  BLACKROCK TCP CAPITAL CORP.      
  Security 09259E108           Meeting Type Annual    
  Ticker Symbol TCPC                      Meeting Date 24-May-2022    
  ISIN US09259E1082           Agenda 935601775 - Management  
  Record Date 29-Mar-2022           Holding Recon Date 29-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 23-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Eric J. Draut       Split   Split      
      2 Andrea L. Petro       Split   Split      
      3 M. Freddie Reiss       Split   Split      
      4 Peter E. Schwab       Split   Split      
      5 Karyn L. Williams       Split   Split      
      6 Rajneesh Vig       Split   Split      
  2.    To consider and vote on a proposal to renew the
Company's authorization, with approval of its Board of
Directors, to sell shares of the Company's common stock
(for up to 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, without limitation, that the
number of shares sold on any given date does not
exceed 25% of the Company's then outstanding common
stock immediately prior to such sale).		 Management   Split   Split      
  PHENIXFIN CORPORATION      
  Security 71742W103           Meeting Type Annual    
  Ticker Symbol PFX                       Meeting Date 25-May-2022    
  ISIN US71742W1036           Agenda 935610421 - Management  
  Record Date 06-Apr-2022           Holding Recon Date 06-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 24-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    TO ELECT ARTHUR AINSBERG, TO SERVE AS A
DIRECTOR FOR A TERM OF THREE YEARS, OR
UNTIL HIS SUCCESSOR IS DULY ELECTED AND
QUALIFIED.		 Management   Split   Split      
  2.    TO RATIFY THE APPOINTMENT OF ERNST & YOUNG
LLP TO SERVE AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING SEPTEMBER 30, 2022.		 Management   Split   Split      
  3.    TO RECOMMEND, IN A NON-BINDING VOTE, THE
FREQUENCY OF AN ADVISORY VOTE TO APPROVE
THE COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.		 Management   Split   Split      
  4.    TO PROVIDE AN ADVISORY VOTE ON EXECUTIVE
COMPENSATION.		 Management   Split   Split      
  5.    TO VOTE ON A NON-BINDING STOCKHOLDER
PROPOSAL REGARDING DECLASSIFICATION OF
THE BOARD OF DIRECTORS, IF PROPERLY
PRESENTED AT THE ANNUAL MEETING.		 Shareholder   Split   Split      
  6.    TO VOTE ON A NON-BINDING STOCKHOLDER
PROPOSAL REGARDING INVESTMENT AND
DISTRIBUTION ACTIVITY, IF PROPERLY PRESENTED
AT THE ANNUAL MEETING.		 Shareholder   Split   Split      
  SIXTH STREET SPECIALTY LENDING, INC.      
  Security 83012A109           Meeting Type Annual    
  Ticker Symbol TSLX                      Meeting Date 26-May-2022    
  ISIN US83012A1097           Agenda 935593954 - Management  
  Record Date 31-Mar-2022           Holding Recon Date 31-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 25-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Jennifer Gordon       Split   Split      
      2 John Ross       Split   Split      
      3 Judy Slotkin       Split   Split      
  2.    To ratify the selection of KPMG LLP as the Company's
independent registered public accounting firm for the
fiscal year ending December 31, 2022.		 Management   Split   Split      
  SIXTH STREET SPECIALTY LENDING, INC.      
  Security 83012A109           Meeting Type Annual    
  Ticker Symbol TSLX                      Meeting Date 26-May-2022    
  ISIN US83012A1097           Agenda 935593954 - Management  
  Record Date 31-Mar-2022           Holding Recon Date 31-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 25-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Jennifer Gordon       Split   Split      
      2 John Ross       Split   Split      
      3 Judy Slotkin       Split   Split      
  2.    To ratify the selection of KPMG LLP as the Company's
independent registered public accounting firm for the
fiscal year ending December 31, 2022.		 Management   Split   Split      
  SIXTH STREET SPECIALTY LENDING, INC.      
  Security 83012A109           Meeting Type Special  
  Ticker Symbol TSLX                      Meeting Date 26-May-2022    
  ISIN US83012A1097           Agenda 935606446 - Management  
  Record Date 31-Mar-2022           Holding Recon Date 31-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 25-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve a proposal to authorize the Company to sell
or otherwise issue shares of its common stock at a price
below its 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 subject to the conditions set forth
in the accompanying proxy statement.		 Management   Split   Split      
  SIXTH STREET SPECIALTY LENDING, INC.      
  Security 83012A109           Meeting Type Special  
  Ticker Symbol TSLX                      Meeting Date 26-May-2022    
  ISIN US83012A1097           Agenda 935606446 - Management  
  Record Date 31-Mar-2022           Holding Recon Date 31-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 25-May-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To approve a proposal to authorize the Company to sell
or otherwise issue shares of its common stock at a price
below its 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 subject to the conditions set forth
in the accompanying proxy statement.		 Management   Split   Split      
  PORTMAN RIDGE FINANCE CORPORATION      
  Security 73688F201           Meeting Type Annual    
  Ticker Symbol PTMN                      Meeting Date 06-Jun-2022    
  ISIN US73688F2011           Agenda 935620749 - Management  
  Record Date 11-Apr-2022           Holding Recon Date 11-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 03-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 George Grunebaum       Split   Split      
      2 Dean C. Kehler       Split   Split      
      3 Matthew Westwood       Split   Split      
  2.    To ratify the selection of Deloitte & Touche LLP as the
independent registered public accountant of the
Company for the fiscal year ending December 31, 2022.		 Management   Split   Split      
  OFS CAPITAL CORPORATION      
  Security 67103B100           Meeting Type Annual    
  Ticker Symbol OFS                       Meeting Date 08-Jun-2022    
  ISIN US67103B1008           Agenda 935622010 - Management  
  Record Date 13-Apr-2022           Holding Recon Date 13-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 07-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director of OFS Capital Corporation
until 2025: Elaine E. Healy		 Management   Split   Split      
  2.    The ratification of the selection of KPMG LLP as our
independent registered public accounting firm for the year
ending December 31, 2022.		 Management   Split   Split      
  OFS CAPITAL CORPORATION      
  Security 67103B100           Meeting Type Annual    
  Ticker Symbol OFS                       Meeting Date 08-Jun-2022    
  ISIN US67103B1008           Agenda 935622010 - Management  
  Record Date 13-Apr-2022           Holding Recon Date 13-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 07-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director of OFS Capital Corporation
until 2025: Elaine E. Healy		 Management   Split   Split      
  2.    The ratification of the selection of KPMG LLP as our
independent registered public accounting firm for the year
ending December 31, 2022.		 Management   Split   Split      
  TRINITY CAPITAL INC.      
  Security 896442308           Meeting Type Annual    
  Ticker Symbol TRIN                      Meeting Date 08-Jun-2022    
  ISIN US8964423086           Agenda 935624076 - Management  
  Record Date 11-Apr-2022           Holding Recon Date 11-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 07-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1a.   Election of Director: Steven L. Brown Management   Split   Split      
  1b.   Election of Director: Irma Lockridge Management   Split   Split      
  1c.   Election of Director: Richard P. Hamada Management   Split   Split      
  2.    To authorize the Company to sell or otherwise issue up to
25% of then-outstanding shares at a price below then
current NAV per share.		 Management   Split   Split      
  TRINITY CAPITAL INC.      
  Security 896442308           Meeting Type Annual    
  Ticker Symbol TRIN                      Meeting Date 08-Jun-2022    
  ISIN US8964423086           Agenda 935624076 - Management  
  Record Date 11-Apr-2022           Holding Recon Date 11-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 07-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1a.   Election of Director: Steven L. Brown Management   Split   Split      
  1b.   Election of Director: Irma Lockridge Management   Split   Split      
  1c.   Election of Director: Richard P. Hamada Management   Split   Split      
  2.    To authorize the Company to sell or otherwise issue up to
25% of then-outstanding shares at a price below then
current NAV per share.		 Management   Split   Split      
  HERCULES CAPITAL INC      
  Security 427096508           Meeting Type Annual    
  Ticker Symbol HTGC                      Meeting Date 23-Jun-2022    
  ISIN US4270965084           Agenda 935648571 - Management  
  Record Date 25-Apr-2022           Holding Recon Date 25-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 22-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Scott Bluestein       Split   Split      
      2 Wade Loo       Split   Split      
  2.    Approve, on an advisory basis, the compensation of the
Company's named executive officers.		 Management   Split   Split      
  3.    Ratify the selection of PricewaterhouseCoopers LLP to
serve as our independent public accounting firm for the
year ending December 31, 2022.		 Management   Split   Split      
  HERCULES CAPITAL INC      
  Security 427096508           Meeting Type Annual    
  Ticker Symbol HTGC                      Meeting Date 23-Jun-2022    
  ISIN US4270965084           Agenda 935648571 - Management  
  Record Date 25-Apr-2022           Holding Recon Date 25-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 22-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Scott Bluestein       Split   Split      
      2 Wade Loo       Split   Split      
  2.    Approve, on an advisory basis, the compensation of the
Company's named executive officers.		 Management   Split   Split      
  3.    Ratify the selection of PricewaterhouseCoopers LLP to
serve as our independent public accounting firm for the
year ending December 31, 2022.		 Management   Split   Split      
  STELLUS CAPITAL INVESTMENT CORPORATION      
  Security 858568108           Meeting Type Annual    
  Ticker Symbol SCM                       Meeting Date 23-Jun-2022    
  ISIN US8585681088           Agenda 935641135 - Management  
  Record Date 04-Apr-2022           Holding Recon Date 04-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 22-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.1   Election of Director: Dean D'Angelo Management   Split   Split      
  1.2   Election of Director: William C. Repko Management   Split   Split      
  2.    To approve a proposal to authorize 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
NAV per share.		 Management   Split   Split      
  3.    To approve the adjournment of the Annual Meeting, if
necessary or appropriate, to solicit additional proxies.		 Management   Split   Split      
  STELLUS CAPITAL INVESTMENT CORPORATION      
  Security 858568108           Meeting Type Annual    
  Ticker Symbol SCM                       Meeting Date 23-Jun-2022    
  ISIN US8585681088           Agenda 935641135 - Management  
  Record Date 04-Apr-2022           Holding Recon Date 04-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 22-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.1   Election of Director: Dean D'Angelo Management   Split   Split      
  1.2   Election of Director: William C. Repko Management   Split   Split      
  2.    To approve a proposal to authorize 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
NAV per share.		 Management   Split   Split      
  3.    To approve the adjournment of the Annual Meeting, if
necessary or appropriate, to solicit additional proxies.		 Management   Split   Split      
  OWL ROCK CAPITAL CORPORATION      
  Security 69121K104           Meeting Type Annual    
  Ticker Symbol ORCC                      Meeting Date 29-Jun-2022    
  ISIN US69121K1043           Agenda 935617639 - Management  
  Record Date 07-Apr-2022           Holding Recon Date 07-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 28-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1a.   Election of Director for three-year term expiring at the
2025 annual meeting of shareholder: Edward D'Alelio		 Management   Split   Split      
  1b.   Election of Director for three-year term expiring at the
2025 annual meeting of shareholder: Craig W. Packer		 Management   Split   Split      
  2.    To ratify the appointment of KPMG LLP as the
Company's independent registered public accounting firm
for the fiscal year ending December 31, 2022		 Management   Split   Split      
  3.    To consider and transact such other business as may
properly come before the Annual Meeting, and any
adjournments or postponements thereof.		 Management   Split   Split      
  BARINGS BDC, INC.      
  Security 06759L103           Meeting Type Annual    
  Ticker Symbol BBDC                      Meeting Date 30-Jun-2022    
  ISIN US06759L1035           Agenda 935579156 - Management  
  Record Date 07-Mar-2022           Holding Recon Date 07-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 29-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director who will serve until 2025
Annual Meeting: Eric Lloyd		 Management   Split   Split      
  1B.   Election of Class I Director who will serve until 2025
Annual Meeting: Mark Mulhern		 Management   Split   Split      
  1C.   Election of Class I Director who will serve until 2025
Annual Meeting: Robert Knapp		 Management   Split   Split      
  2.    To authorize the Company, with subsequent approval of
its Board of Directors, to issue and sell shares of its
common stock at a price below its then current net asset
value per share in one or more offerings, subject to
certain limitations (including, without limitation, that the
number of shares does not exceed 30% of its then
outstanding common stock immediately prior to each
such offering).		 Management   Split   Split      
  BARINGS BDC, INC.      
  Security 06759L103           Meeting Type Annual    
  Ticker Symbol BBDC                      Meeting Date 30-Jun-2022    
  ISIN US06759L1035           Agenda 935579156 - Management  
  Record Date 07-Mar-2022           Holding Recon Date 07-Mar-2022    
  City / Country     / United
States		         Vote Deadline Date 29-Jun-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1A.   Election of Class I Director who will serve until 2025
Annual Meeting: Eric Lloyd		 Management   Split   Split      
  1B.   Election of Class I Director who will serve until 2025
Annual Meeting: Mark Mulhern		 Management   Split   Split      
  1C.   Election of Class I Director who will serve until 2025
Annual Meeting: Robert Knapp		 Management   Split   Split      
  2.    To authorize the Company, with subsequent approval of
its Board of Directors, to issue and sell shares of its
common stock at a price below its then current net asset
value per share in one or more offerings, subject to
certain limitations (including, without limitation, that the
number of shares does not exceed 30% of its then
outstanding common stock immediately prior to each
such offering).		 Management   Split   Split      
  OFS CAPITAL CORPORATION      
  Security 67103B100           Meeting Type Special  
  Ticker Symbol OFS                       Meeting Date 13-Jul-2022    
  ISIN US67103B1008           Agenda 935631209 - Management  
  Record Date 13-Apr-2022           Holding Recon Date 13-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 12-Jul-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To authorize flexibility for the 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 for the Special
Meeting of Stockholders (including that the cumulative
number of shares sold pursuant to such authority does
not exceed 25% of the Company's then-outstanding
common stock immediately prior to each such sale).		 Management   Split   Split      
  OFS CAPITAL CORPORATION      
  Security 67103B100           Meeting Type Special  
  Ticker Symbol OFS                       Meeting Date 13-Jul-2022    
  ISIN US67103B1008           Agenda 935631209 - Management  
  Record Date 13-Apr-2022           Holding Recon Date 13-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 12-Jul-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    To authorize flexibility for the 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 for the Special
Meeting of Stockholders (including that the cumulative
number of shares sold pursuant to such authority does
not exceed 25% of the Company's then-outstanding
common stock immediately prior to each such sale).		 Management   Split   Split      
  FS KKR CAPITAL CORP.      
  Security 302635206           Meeting Type Annual    
  Ticker Symbol FSK                       Meeting Date 03-Aug-2022    
  ISIN US3026352068           Agenda 935647961 - Management  
  Record Date 25-Apr-2022           Holding Recon Date 25-Apr-2022    
  City / Country     / United
States		         Vote Deadline Date 02-Aug-2022    
  SEDOL(s)         Quick Code      
  Item Proposal   Proposed by   Vote For/Against
Management		      
  1.    DIRECTOR Management   Split   Split      
      1 Barbara Adams       Split   Split      
      2 Michael C. Forman       Split   Split      
      3 Jerel A. Hopkins       Split   Split      
  2.    To approve the proposal to allow the Company in future
offerings to sell its shares below net asset value per
share in order to provide flexibility for future sales.		 Management   Split   Split      

 

 

 

 

 

SIGNATURES

 

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

(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 27, 2022      

 

* Print the name and title of each signing officer under his or her signature.

 

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