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
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: November 30
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Date of reporting period: July 1, 2013 - June 30, 2014
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Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
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TICC CAPITAL CORP
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SECURITY: 87244T109 MEETING TYPE: Annual
TICKER: TICC MEETING DATE: 23-Jul-2013
ISIN US87244T1097 VOTE DEADLINE DATE: 22-Jul-2013
AGENDA 933812972 Management TOTAL BALLOT SHARES: 124567
LAST VOTE DATE: 03-Jun-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 TONIA L. PANKOPF 115642 0 8695 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 104309 18194 1834 0
TICC CAPITAL CORP. TO SELL SHARES OF ITS COMMON
STOCK AT A PRICE OR PRICES BELOW TICC CAPITAL
CORP.'S THEN CURRENT NET ASSET VALUE PER SHARE IN
ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE
APPROVAL OF ITS BOARD OF DIRECTORS AND COMPLIANCE
WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT
PERTAINING THERETO.
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STELLUS CAPITAL INVESTMENT CORPORATION
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SECURITY: 858568108 MEETING TYPE: Annual
TICKER: SCM MEETING DATE: 29-Jul-13
ISIN US8585681088 VOTE DEADLINE DATE: 26-Jul-2013
AGENDA 933794237 Management TOTAL BALLOT SHARES: 109180
LAST VOTE DATE: 20-Jun-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 DEAN D'ANGELO 104556 0 4345 0
2 WILLIAM C. REPKO 104556 0 4345 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 94587 10768 3546 0
THE COMPANY, WITH THE APPROVAL OF
THE BOARD, TO SELL OR OTHERWISE ISSUE
UP TO 25% OF THE COMPANY'S
OUTSTANDING COMMON STOCK AT AN
OFFERING PRICE THAT IS BELOW THE
COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE ("NAV").
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APOLLO INVESTMENT CORPORATION
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SECURITY: 03761U106 MEETING TYPE: Special
TICKER: AINV MEETING DATE: 6-Aug-13
ISIN US03761U1060 VOTE DEADLINE DATE: 05-Aug-2013
AGENDA 933854007 Management TOTAL BALLOT SHARES: 465445
LAST VOTE DATE: 02-Aug-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 351031 108694 5383 0
FLEXIBILITY FOR THE COMPANY, WITH
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT PRICES
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE.
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APOLLO INVESTMENT CORPORATION
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SECURITY: 03761U106 MEETING TYPE: Annual
TICKER: AINV MEETING DATE: 6-Aug-13
ISIN US03761U1060 VOTE DEADLINE DATE: 05-Aug-2013
AGENDA 933853132 Management TOTAL BALLOT SHARES: 465445
LAST VOTE DATE: 02-Aug-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 ELLIOT STEIN JR. 455938 0 9170 0
2 BRADLEY J. WECHSLER 455938 0 9170 0
2 TO RATIFY THE SELECTION OF For None 461259 2702 1147 0
PRICEWATERHOUSECOOPERS LLP AS
APOLLO INVESTMENT CORPORATION'S (THE
"COMPANY") INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING MARCH 31, 2014.
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GLADSTONE INVESTMENT CORPORATION
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SECURITY: 376546107 MEETING TYPE: Annual
TICKER: GAIN MEETING DATE: 8-Aug-13
ISIN US3765461070 VOTE DEADLINE DATE: 07-Aug-2013
AGENDA 933851671 Management TOTAL BALLOT SHARES: 183608
LAST VOTE DATE: 02-Aug-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 PAUL W. ADELGREN 165026 0 18307 0
2 DAVID GLADSTONE 165026 0 18307 0
3 JOHN H. OUTLAND 165026 0 18307 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 112602 67481 3250 0
US, WITH THE APPROVAL OF OUR BOARD OF
DIRECTORS (THE "BOARD"), TO ISSUE AND
SELL SHARES OF OUR COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A PRICE
BELOW ITS THEN CURRENT NET ASSET
VALUE PER SHARE, SUBJECT TO CERTAIN
LIMITATIONS SET FORTH IN THE PROXY
STATEMENT (INCLUDING, WITHOUT
LIMITATION, THAT THE NUMBER OF SHARES
ISSUED AND SOLD.
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KCAP FINANCIAL, INC.
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SECURITY: 48668E101 MEETING TYPE: Special
TICKER: KCAP MEETING DATE: 9-Aug-13
ISIN US48668E1010 VOTE DEADLINE DATE: 08-Aug-2013
AGENDA 933821488 Management TOTAL BALLOT SHARES: 291123
LAST VOTE DATE: 20-Jun-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 206430 77208 7219 0
THE COMPANY, WITH APPROVAL OF ITS
BOARD OF DIRECTORS, TO SELL SHARES OF
ITS COMMON STOCK, PAR VALUE $0.01 PER
SHARE AT A PRICE BELOW THE THEN
CURRENT NET ASSET VALUE PER SHARE OF
SUCH COMMON STOCK, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
PROXY STATEMENT.
2 TO APPROVE THE ISSUANCE OF SHARES For None 246412 36617 7828 0
UPON CONVERSION OF THE 8.75%
CONVERTIBLE SENIOR NOTES DUE 2016
INTO MORE THAN 20% OF OUR COMMON
STOCK OUTSTANDING UNDER APPLICABLE
NASDAQ LISTING RULES.
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SARATOGA INVESTMENT CORP
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SECURITY: 80349A208 MEETING TYPE: Annual
TICKER: SAR MEETING DATE: 26-Sep-2013
ISIN US80349A2087 VOTE DEADLINE DATE: 25-Sep-2013
AGENDA 933871786 Management TOTAL BALLOT SHARES: 14085
LAST VOTE DATE: 24-Sep-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 STEVEN M. LOONEY 11258 0 2827 0
2 CHARLES S. WHITMAN III 11258 0 2827 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 10343 3585 157 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 For None 10673 3297 115 0
ANNUAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES IF THERE ARE INSUFFICIENT
VOTES AT THE TIME OF ANNUAL MEETING,
TO APPROVE PROPOSAL TO ELECT TWO
DIRECTORS AND/OR PROPOSAL TO SELL OR
ISSUE SHARES OF COMMON STOCK TO
INVESTORS AT A PRICE PER SHARE THAT IS
LESS THAN THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE.
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PROSPECT CAPITAL CORPORATION
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SECURITY: 74348T102 MEETING TYPE: Annual
TICKER: PSEC MEETING DATE: 06-Dec-2013
ISIN US74348T1025 VOTE DEADLINE DATE: 05-Dec-2013
AGENDA 933879807 Management TOTAL BALLOT SHARES: 12276
LAST VOTE DATE: 19-Sep-2013
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 EUGENE S. STARK 12176 0 0 0
2 JOHN F. BARRY III 12176 0 0 0
2 TO RATIFY THE SELECTION OF BDO USA, LLP For None 12176 0 0 0
TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING JUNE 30, 2014.
3 TO AUTHORIZE THE COMPANY, WITH For None 12176 0 0 0
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A PRICE
OR PRICES BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE IN
ONE OR MORE OFFERINGS SUBJECT TO
CERTAIN CONDITIONS AS SET FORTH IN THE
ACCOMPANYING PROXY STATEMENT, ALL
AS MORE FULLY DESCRIBED IN THE PROXY
STATEMENT.
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FULL CIRCLE CAPITAL CORPORATION
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SECURITY: 359671104 MEETING TYPE: Annual
TICKER: FULL MEETING DATE: 17-Jan-2014
ISIN US3596711040 VOTE DEADLINE DATE: 16-Jan-2014
AGENDA 933894669 Management TOTAL BALLOT SHARES: 147750
LAST VOTE DATE: 15-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 MARK C. BIDERMAN 140378 0 7158 0
2 THOMAS A. ORTWEIN, JR. 140313 0 7223 0
3 GREGG J. FELTON 140062 0 7474 0
2 TO RATIFY THE SELECTION OF ROTHSTEIN, For None 143121 3242 1173 0
KASS & COMPANY, P.C. TO SERVE AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE COMPANY FOR
THE FISCAL YEAR ENDING JUNE 30, 2014.
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FULL CIRCLE CAPITAL CORPORATION
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SECURITY: 359671104 MEETING TYPE: Special
TICKER: FULL MEETING DATE: 17-Jan-2014
ISIN US3596711040 VOTE DEADLINE DATE: 16-Jan-2014
AGENDA 933897324 Management TOTAL BALLOT SHARES: 147750
LAST VOTE DATE: 15-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO APPROVE A PROPOSAL TO AUTHORIZE For None 111248 32879 3409 0
THE COMPANY, WITH THE APPROVAL OF ITS
BOARD OF DIRECTORS, TO SELL SHARES OF
ITS COMMON STOCK AT A PRICE OR PRICES
BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, SUBJECT TO CERTAIN
CONDITIONS AS SET FORTH IN THE PROXY
STATEMENT
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GOLUB CAPITAL BDC, INC.
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SECURITY: 38173M102 MEETING TYPE: Annual
TICKER: GBDC MEETING DATE: 04-Feb-2014
ISIN US38173M1027 VOTE DEADLINE DATE: 03-Feb-2014
AGENDA 933910689 Management TOTAL BALLOT SHARES: 824094
LAST VOTE DATE: 31-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 ELECTION OF DIRECTOR: DAVID B. GOLUB For None 575798 1495 1447 0
2 ELECTION OF DIRECTOR: ANITA R. For None 575069 1852 1819 0
ROSENBERG
3 TO RATIFY THE SELECTION OF MCGLADREY For None 576574 858 1308 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2014.
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PENNANTPARK FLOATING RATE CAPITAL LTD.
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SECURITY: 70806A106 MEETING TYPE: Annual
TICKER: PFLT MEETING DATE: 04-Feb-2014
ISIN US70806A1060 VOTE DEADLINE DATE: 03-Feb-2014
AGENDA 933910122 Management TOTAL BALLOT SHARES: 178528
LAST VOTE DATE: 31-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 ARTHUR H. PENN 174236 0 3729 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 175599 1730 636 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2014.
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GLADSTONE CAPITAL CORPORATION
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SECURITY: 376535100 MEETING TYPE: Annual
TICKER: GLAD MEETING DATE: 13-Feb-2014
ISIN US3765351008 VOTE DEADLINE DATE: 12-Feb-2014
AGENDA 933909042 Management TOTAL BALLOT SHARES: 362452
LAST VOTE DATE: 11-Feb-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 ELECTION OF DIRECTOR: MICHELA A. For None 337233 20205 4824 0
ENGLISH
2 ELECTION OF DIRECTOR: ANTHONY W. For None 337161 20295 4806 0
PARKER
3 TO APPROVE A PROPOSAL TO AUTHORIZE For None 310751 44156 7355 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 IN OUR PROXY STATEMENT
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PENNANTPARK FLOATING RATE CAPITAL LTD.
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SECURITY: 70806A106 MEETING TYPE: Special
TICKER: PFLT MEETING DATE: 25-Feb-2014
ISIN US70806A1060 VOTE DEADLINE DATE: 24-Feb-2014
AGENDA 933910045 Management TOTAL BALLOT SHARES: 178528
LAST VOTE DATE: 31-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 154741 21354 1870 0
TO AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH THE APPROVAL OF THE
COMPANY'S BOARD OF DIRECTORS, TO SELL
SHARES OF THE COMPANY'S COMMON
STOCK (DURING THE NEXT 12 MONTHS) AT A
PRICE BELOW THE THEN-CURRENT NET
ASSET VALUE PER SHARE, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
JOINT PROXY STATEMENT.
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FIFTH STREET FINANCE CORP.
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SECURITY: 31678A103 MEETING TYPE: Annual
TICKER: FSC MEETING DATE: 13-Mar-2014
ISIN US31678A1034 VOTE DEADLINE DATE: 12-Mar-2014
AGENDA 933919512 Management TOTAL BALLOT SHARES: 90722
LAST VOTE DATE: 11-Mar-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: IVELIN M. For None 77471 12278 845 0
DIMITROV
2 ELECTION OF DIRECTOR: BRIAN S. DUNN For None 86423 3368 803 0
3 ELECTION OF DIRECTOR: BYRON J. HANEY For None 85270 4526 798 0
4 TO RATIFY THE APPOINTMENT OF For None 89281 913 400 0
PRICEWATERHOUSECOOPERS LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2014.
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PENNANTPARK INVESTMENT CORPORATION
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SECURITY: 708062104 MEETING TYPE: Special
TICKER: PNNT MEETING DATE: 18-Mar-2014
ISIN US7080621045 VOTE DEADLINE DATE: 17-Mar-2014
AGENDA 933909977 Management TOTAL BALLOT SHARES: 753753
LAST VOTE DATE: 31-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 592819 121076 5078 0
TO AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH THE APPROVAL OF THE
COMPANY'S BOARD OF DIRECTORS, TO SELL
SHARES OF THE COMPANY'S COMMON
STOCK (DURING THE NEXT 12 MONTHS) AT A
PRICE BELOW THE THEN-CURRENT NET
ASSET VALUE PER SHARE, SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN THE
JOINT PROXY STATEMENT.
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PENNANTPARK INVESTMENT CORPORATION
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SECURITY: 708062104 MEETING TYPE: Annual
TICKER: PNNT MEETING DATE: 18-Mar-2014
ISIN US7080621045 VOTE DEADLINE DATE: 17-Mar-2014
AGENDA 933910057 Management TOTAL BALLOT SHARES: 753753
LAST VOTE DATE: 31-Jan-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MARSHALL BROZOST 699074 0 19899 0
2 SAMUEL L. KATZ 709187 0 9786 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 712011 4601 2361 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2014.
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MEDLEY CAPITAL CORPORATION
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SECURITY: 58503F106 MEETING TYPE: Annual
TICKER: MCC MEETING DATE: 03-Apr-2014
ISIN US58503F1066 VOTE DEADLINE DATE: 02-Apr-2014
AGENDA 933914916 Management TOTAL BALLOT SHARES: 546533
LAST VOTE DATE: 07-Feb-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 BROOK TAUBE 526953 0 18608 0
2 KARIN HIRTLER-GARVEY 535539 0 10022 0
3 JOHN E. MACK 535718 0 9843 0
2 THE RATIFICATION OF APPOINTMENT OF For None 541296 2755 1510 0
ERNST & YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR MEDLEY CAPITAL CORPORATION FOR
THE FISCAL YEAR ENDING SEPTEMBER 30, 2014.
3 TO APPROVE AUTHORIZATION OF MEDLEY For None 403658 134844 7059 0
CAPITAL CORPORATION, WITH THE
APPROVAL OF ITS BOARD OF DIRECTORS,
TO SELL SHARES OF ITS COMMON STOCK AT
A PRICE OR PRICES BELOW MEDLEY
CAPITAL CORPORATION'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, SUBJECT TO CERTAIN
CONDITIONS AS SET FORTH IN THE PROXY
... (DUE TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL)
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AMERICAN CAPITAL, LTD.
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SECURITY: 02503Y103 MEETING TYPE: Annual
TICKER: ACAS MEETING DATE: 25-Apr-2014
ISIN US02503Y1038 VOTE DEADLINE DATE: 24-Apr-2014
AGENDA 933931607 Management TOTAL BALLOT SHARES: 169426
LAST VOTE DATE: 15-Mar-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MARY C. BASKIN For None 169032 0 0 0
2 ELECTION OF DIRECTOR: NEIL M. HAHL For None 169032 0 0 0
3 ELECTION OF DIRECTOR: PHILIP R. HARPER For None 169032 0 0 0
4 ELECTION OF DIRECTOR: STAN LUNDINE For None 169032 0 0 0
5 ELECTION OF DIRECTOR: SUSAN K. For None 169032 0 0 0
NESTEGARD
6 ELECTION OF DIRECTOR: KENNETH D. For None 169032 0 0 0
PETERSON
7 ELECTION OF DIRECTOR: ALVIN N. PURYEAR For None 169032 0 0 0
8 ELECTION OF DIRECTOR: MALON WILKUS For None 169032 0 0 0
9 APPROVAL OF AN ADVISORY RESOLUTION For None 169032 0 0 0
ON EXECUTIVE COMPENSATION.
10 RATIFICATION OF THE APPOINTMENT OF For None 169032 0 0 0
ERNST & YOUNG LLP TO SERVE AS OUR
INDEPENDENT PUBLIC ACCOUNTANT FOR
THE YEAR ENDING DECEMBER 31, 2014.
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MVC CAPITAL, INC.
----------------------------------------------------------------------------------------
SECURITY: 553829102 MEETING TYPE: Annual
TICKER: MVC MEETING DATE: 29-Apr-2014
ISIN US5538291023 VOTE DEADLINE DATE: 28-Apr-2014
AGENDA 933931277 Management TOTAL BALLOT SHARES: 262050
LAST VOTE DATE: 21-Mar-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 EMILIO DOMINIANNI 244496 0 0 0
2 PHILLIP GOLDSTEIN 244496 0 0 0
3 GERALD HELLERMAN 244496 0 0 0
4 WARREN HOLTSBERG 244496 0 0 0
5 ROBERT KNAPP 244496 0 0 0
6 WILLIAM TAYLOR 244496 0 0 0
7 MICHAEL TOKARZ 244496 0 0 0
2 TO RATIFY THE SELECTION OF ERNST & For None 244496 0 0 0
YOUNG LLP AS THE FUND'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL YEAR 2014.
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GLADSTONE COMMERCIAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 376536108 MEETING TYPE: Annual
TICKER: GOOD MEETING DATE: 01-May-2014
ISIN US3765361080 VOTE DEADLINE DATE: 30-Apr-2014
AGENDA 933940911 Management TOTAL BALLOT SHARES: 44496
LAST VOTE DATE: 29-Apr-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MICHELA A. ENGLISH 19444 0 556 0
2 ANTHONY W. PARKER 19482 0 518 0
2 TO RATIFY OUR AUDIT COMMITTEE'S For None 19687 260 53 0
SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR OUR FISCAL YEAR
ENDING DECEMBER 31, 2014.
----------------------------------------------------------------------------------------
KCAP FINANCIAL, INC.
----------------------------------------------------------------------------------------
SECURITY: 48668E101 MEETING TYPE: Annual
TICKER: KCAP MEETING DATE: 05-May-2014
ISIN US48668E1010 VOTE DEADLINE DATE: 02-May-2014
AGENDA 933947826 Management TOTAL BALLOT SHARES: 341146
LAST VOTE DATE: 01-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ALBERT G. PASTINO 328394 0 12078 0
2 C. MICHAEL JACOBI 274077 0 66395 0
3 JAY R. BLOOM 214470 0 126002 0
2 TO APPROVE, IN A NON-BINDING VOTE, THE For None 298837 31278 10357 0
COMPENSATION PAID TO THE COMPANY'S
NAMED EXECUTIVE OFFICERS.
3 TO RATIFY THE SELECTION OF ERNST & For None 331789 5446 3237 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTANT OF THE
COMPANY FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2014.
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NEW MOUNTAIN FINANCE CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 647551100 MEETING TYPE: Annual
TICKER: NMFC MEETING DATE: 06-May-2014
ISIN US6475511001 VOTE DEADLINE DATE: 05-May-2014
AGENDA 933970964 Management TOTAL BALLOT SHARES: 385898
LAST VOTE DATE: 02-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 STEVEN B. KLINSKY 359716 0 25145 0
2 DAVID R. MALPASS 376444 0 8417 0
3 KURT J. WOLFGRUBER 325164 0 59697 0
2 TO AUTHORIZE, VOTING ON A PASS- For None 376352 6037 2472 0
THROUGH BASIS, THE BOARD OF
DIRECTORS OF NEW MOUNTAIN FINANCE
HOLDINGS, L.L.C. TO WITHDRAW NEW
MOUNTAIN FINANCE HOLDINGS, L.L.C.'S
ELECTION TO BE TREATED AS A BUSINESS
DEVELOPMENT COMPANY UNDER THE
INVESTMENT COMPANY ACT OF 1940, AS
AMENDED.
3 TO APPROVE AN INVESTMENT ADVISORY For None 378058 4146 2657 0
AND MANAGEMENT AGREEMENT BETWEEN
NEW MOUNTAIN FINANCE CORPORATION
AND NEW MOUNTAIN FINANCE HOLDINGS,
L.L.C.'S CURRENT INVESTMENT ADVISER,
NEW MOUNTAIN FINANCE ADVISERS BDC,
L.L.C.
----------------------------------------------------------------------------------------
SOLAR CAPITAL LTD
----------------------------------------------------------------------------------------
SECURITY: 83413U100 MEETING TYPE: Annual
TICKER: SLRC MEETING DATE: 06-May-2014
ISIN US83413U1007 VOTE DEADLINE DATE: 05-May-2014
AGENDA 933949806 Management TOTAL BALLOT SHARES: 291292
LAST VOTE DATE: 02-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 BRUCE SPOHLER 274864 0 15845 0
2 STEVEN HOCHBERG 281717 0 8992 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 275771 13275 1663 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 IN COMPLIANCE
WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT
PERTAINING THERETO.
----------------------------------------------------------------------------------------
SOLAR SENIOR CAPITAL LTD
----------------------------------------------------------------------------------------
SECURITY: 83416M105 MEETING TYPE: Annual
TICKER: SUNS MEETING DATE: 06-May-2014
ISIN US83416M1053 VOTE DEADLINE DATE: 05-May-2014
AGENDA 933947939 Management TOTAL BALLOT SHARES: 53959
LAST VOTE DATE: 02-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MICHAEL S. GROSS 50589 0 2442 0
2 LEONARD A. POTTER 50668 0 2363 0
2 APPROVAL TO AUTHORIZE SOLAR SENIOR For None 48766 3401 864 0
CAPITAL LTD. TO SELL SHARES OF ITS
COMMON STOCK AT A PRICE OR PRICES
BELOW SOLAR SENIOR 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 IN COMPLIANCE WITH
THE CONDITIONS SET FORTH IN THE PROXY
STATEMENT PERTAINING THERETO.
----------------------------------------------------------------------------------------
HATTERAS FINANCIAL CORP.
----------------------------------------------------------------------------------------
SECURITY: 41902R103 MEETING TYPE: Annual
TICKER: HTS MEETING DATE: 07-May-2014
ISIN US41902R1032 VOTE DEADLINE DATE: 06-May-2014
AGENDA 933946189 Management TOTAL BALLOT SHARES: 194282
LAST VOTE DATE: 05-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 MICHAEL R. HOUGH 156066 0 38216 0
2 BENJAMIN M. HOUGH 149817 0 44465 0
3 DAVID W. BERSON 156137 0 38145 0
4 IRA G. KAWALLER 155804 0 38478 0
5 JEFFREY D. MILLER 155997 0 38285 0
6 THOMAS D. WREN 156446 0 37836 0
2 TO RATIFY THE APPOINTMENT OF ERNST & For None 192236 575 1471 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2014.
3 TO APPROVE, BY NON-BINDING VOTE, For None 185986 6233 2063 0
EXECUTIVE COMPENSATION.
----------------------------------------------------------------------------------------
TRIANGLE CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 895848109 MEETING TYPE: Annual
TICKER: TCAP MEETING DATE: 07-May-2014
ISIN US8958481090 VOTE DEADLINE DATE: 06-May-2014
AGENDA 933948171 Management TOTAL BALLOT SHARES: 176736
LAST VOTE DATE: 25-Mar-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: GARLAND S. For None 176601 0 0 0
TUCKER, III
2 ELECTION OF DIRECTOR: E. ASHTON POOLE For None 176601 0 0 0
3 ELECTION OF DIRECTOR: BRENT P.W. For None 176601 0 0 0
BURGESS
4 ELECTION OF DIRECTOR: STEVEN C. LILLY For None 176601 0 0 0
5 ELECTION OF DIRECTOR: W. MCCOMB For None 176601 0 0 0
DUNWOODY
6 ELECTION OF DIRECTOR: MARK M. GAMBILL For None 176601 0 0 0
7 ELECTION OF DIRECTOR: BENJAMIN S. For None 176601 0 0 0
GOLDSTEIN
8 ELECTION OF DIRECTOR: SIMON B. RICH, JR. For None 176601 0 0 0
9 ELECTION OF DIRECTOR: SHERWOOD H. For None 176601 0 0 0
SMITH, JR.
10 TO APPROVE A PROPOSAL TO AUTHORIZE For None 176601 0 0 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.
11 TO APPROVE BY AN ADVISORY (NON- For None 176601 0 0 0
BINDING) VOTE, THE COMPENSATION OF
OUR NAMED EXECUTIVE OFFICERS.
----------------------------------------------------------------------------------------
BLACKROCK KELSO CAPITAL CORP.
----------------------------------------------------------------------------------------
SECURITY: 092533108 MEETING TYPE: Annual
TICKER: BKCC MEETING DATE: 09-May-2014
ISIN US0925331086 VOTE DEADLINE DATE: 08-May-2014
AGENDA 933950380 Management TOTAL BALLOT SHARES: 215735
LAST VOTE DATE: 26-Mar-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JOHN R. BARON 214420 0 0 0
2 JERROLD B. HARRIS 214420 0 0 0
3 MICHAEL B. LAZAR 214420 0 0 0
2 TO RATIFY THE SELECTION OF DELOITTE & For None 214420 0 0 0
TOUCHE LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2014.
----------------------------------------------------------------------------------------
BLACKROCK KELSO CAPITAL CORP.
----------------------------------------------------------------------------------------
SECURITY: 092533108 MEETING TYPE: Special
TICKER: BKCC MEETING DATE: 09-May-2014
ISIN US0925331086 VOTE DEADLINE DATE: 08-May-2014
AGENDA 933953425 Management TOTAL BALLOT SHARES: 215735
LAST VOTE DATE: 27-Mar-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 TO AUTHORIZE FLEXIBILITY FOR THE For None 214420 0 0 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.
----------------------------------------------------------------------------------------
CYS INVESTMENTS, INC
----------------------------------------------------------------------------------------
SECURITY: 12673A108 MEETING TYPE: Annual
TICKER: CYS MEETING DATE: 09-May-2014
ISIN US12673A1088 VOTE DEADLINE DATE: 08-May-2014
AGENDA 933966042 Management TOTAL BALLOT SHARES: 696880
LAST VOTE DATE: 04-Apr-2014
------------------------------------------------------------------------------------------------------------------------------------
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 DOUGLAS CROCKER, II 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 JAMES A. STERN 696880 0 0 0
8 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
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014.
----------------------------------------------------------------------------------------
TCP CAPITAL CORP.
----------------------------------------------------------------------------------------
SECURITY: 87238Q103 MEETING TYPE: Annual
TICKER: TCPC MEETING DATE: 15-May-2014
ISIN US87238Q1031 VOTE DEADLINE DATE: 14-May-2014
AGENDA 933972843 Management TOTAL BALLOT SHARES: 393477
LAST VOTE DATE: 13-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ERIC J. DRAUT 358686 0 34042 0
2 FRANKLIN R. JOHNSON 359852 0 32876 0
3 PETER E. SCHWAB 374273 0 18455 0
4 HOWARD M. LEVKOWITZ 374349 0 18379 0
5 RAJNEESH VIG 345155 0 47573 0
2 TO AUTHORIZE THE COMPANY, WITH For None 361855 27645 3228 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
----------------------------------------------------------------------------------------
STONE CASTLE FINANCIAL
----------------------------------------------------------------------------------------
SECURITY: 861780104 MEETING TYPE: Annual
TICKER: BANX MEETING DATE: 20-May-2014
ISIN VOTE DEADLINE DATE: 19-May-2014
AGENDA 934001645 Management TOTAL BALLOT SHARES: 127211
LAST VOTE DATE: 16-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 CLARA MILLER 124688 0 2312 0
2 GEORGE SHILOWITZ 118750 0 8250 0
----------------------------------------------------------------------------------------
ANNALY CAPITAL MANAGEMENT, INC.
----------------------------------------------------------------------------------------
SECURITY: 035710409 MEETING TYPE: Annual
TICKER: NLY MEETING DATE: 22-May-2014
ISIN US0357104092 VOTE DEADLINE DATE: 21-May-2014
AGENDA 933971310 Management TOTAL BALLOT SHARES: 367500
LAST VOTE DATE: 10-Apr-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: JONATHAN D. For None 367500 0 0 0
GREEN
2 ELECTION OF DIRECTOR: JOHN H. For None 367500 0 0 0
SCHAEFER
3 ELECTION OF DIRECTOR: FRANCINE J. For None 367500 0 0 0
BOVICH
4 THE PROPOSAL TO APPROVE A NON- For None 367500 0 0 0
BINDING ADVISORY RESOLUTION ON
EXECUTIVE COMPENSATION.
5 RATIFICATION OF THE APPOINTMENT OF For None 367500 0 0 0
ERNST & YOUNG LLP AS INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE COMPANY FOR THE 2014 FISCAL
YEAR.
----------------------------------------------------------------------------------------
SAFEGUARD SCIENTIFICS, INC.
----------------------------------------------------------------------------------------
SECURITY: 786449207 MEETING TYPE: Annual
TICKER: SFE MEETING DATE: 22-May-2014
ISIN US7864492076 VOTE DEADLINE DATE: 21-May-2014
AGENDA 933976156 Management TOTAL BALLOT SHARES: 97467
LAST VOTE DATE: 10-Apr-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ANDREW E. LIETZ 97467 0 0 0
2 STEPHEN T. ZARRILLI 97467 0 0 0
3 JULIE A. DOBSON 97467 0 0 0
4 KEITH B. JARRETT 97467 0 0 0
5 GEORGE MACKENZIE 97467 0 0 0
6 GEORGE D. MCCLELLAND 97467 0 0 0
7 JACK L. MESSMAN 97467 0 0 0
8 JOHN J. ROBERTS 97467 0 0 0
9 ROBERT J. ROSENTHAL 97467 0 0 0
2 ADVISORY RESOLUTION TO APPROVE THE For None 97467 0 0 0
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
3 APPROVAL OF THE AMENDED AND For None 97467 0 0 0
RESTATED 2004 EQUITY COMPENSATION
PLAN.
4 RATIFICATION OF THE APPOINTMENT OF For None 97467 0 0 0
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2014.
----------------------------------------------------------------------------------------
TPG SPECIALTY LENDING INC
----------------------------------------------------------------------------------------
SECURITY: 87265K102 MEETING TYPE: Annual
TICKER: TSLX MEETING DATE: 22-May-2014
ISIN US87265K1025 VOTE DEADLINE DATE: 21-May-2014
AGENDA 933996449 Management TOTAL BALLOT SHARES: 38528
LAST VOTE DATE: 20-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JOSHUA EASTERLY 38365 0 0 0
2 MICHAEL FISHMAN 38365 0 0 0
2 TO RATIFY THE SELECTION OF KPMG LLP AS For None 38358 6 1 0
THE INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2014.
----------------------------------------------------------------------------------------
MCG CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 58047P107 MEETING TYPE: Annual
TICKER: MCGC MEETING DATE: 28-May-2014
ISIN US58047P1075 VOTE DEADLINE DATE: 27-May-2014
AGENDA 934005011 Management TOTAL BALLOT SHARES: 445089
LAST VOTE DATE: 23-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: KEITH KENNEDY For None 387834 53835 2431 0
2 THE RATIFICATION OF THE SELECTION BY For None 438029 4186 1885 0
THE AUDIT COMMITTEE OF OUR BOARD OF
DIRECTORS OF ERNST & YOUNG LLP AS
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2014.
3 ADVISORY VOTE TO APPROVE THE For None 377050 58910 8140 0
COMPENSATION OF OUR NAMED EXECUTIVE
OFFICERS.
----------------------------------------------------------------------------------------
COMPASS DIVERSIFIED HOLDINGS
----------------------------------------------------------------------------------------
SECURITY: 20451Q104 MEETING TYPE: Annual
TICKER: CODI MEETING DATE: 29-May-2014
ISIN US20451Q1040 VOTE DEADLINE DATE: 28-May-2014
AGENDA 933982705 Management TOTAL BALLOT SHARES: 187109
LAST VOTE DATE: 16-Apr-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JAMES J. BOTTIGLIERI 187109 0 0 0
2 GORDON M. BURNS 187109 0 0 0
2 TO APPROVE, BY NON-BINDING VOTE, THE For None 187109 0 0 0
COMPENSATION OF OUR EXECUTIVE
OFFICERS AS DISCLOSED IN THE PROXY
STATEMENT.
3 TO RATIFY THE APPOINTMENT OF GRANT For None 187109 0 0 0
THORNTON LLP AS INDEPENDENT AUDITOR.
----------------------------------------------------------------------------------------
MAIN STREET CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 56035L104 MEETING TYPE: Annual
TICKER: MAIN MEETING DATE: 29-May-2014
ISIN US56035L1044 VOTE DEADLINE DATE: 28-May-2014
AGENDA 933940315 Management TOTAL BALLOT SHARES: 38932
LAST VOTE DATE: 27-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MICHAEL APPLING, For None 37944 401 453 0
JR.
2 ELECTION OF DIRECTOR: JOSEPH E. CANON For None 37872 467 459 0
3 ELECTION OF DIRECTOR: ARTHUR L. For None 37515 828 455 0
FRENCH
4 ELECTION OF DIRECTOR: J. KEVIN GRIFFIN For None 37893 452 453 0
5 ELECTION OF DIRECTOR: JOHN E. JACKSON For None 37933 412 453 0
6 ELECTION OF DIRECTOR: VINCENT D. For None 37716 745 337 0
FOSTER
7 PROPOSAL TO RATIFY THE APPOINTMENT For None 38248 222 328 0
OF GRANT THORNTON, LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDED
DECEMBER 31, 2014.
8 ADVISORY NON-BINDING APPROVAL OF For None 35049 2821 928 0
EXECUTIVE COMPENSATION.
----------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 04010L103 MEETING TYPE: Annual
TICKER: ARCC MEETING DATE: 02-Jun-2014
ISIN US04010L1035 VOTE DEADLINE DATE: 30-May-2014
AGENDA 933989634 Management TOTAL BALLOT SHARES: 1201212.5878
LAST VOTE DATE: 30-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MICHAEL J. For None 728367 0 26085 0
AROUGHETI
2 ELECTION OF DIRECTOR: ANN TORRE BATES For None 740958 0 13494 0
3 ELECTION OF DIRECTOR: STEVEN B. For None 734823 0 19629 0
MCKEEVER
4 TO RATIFY THE SELECTION OF KPMG LLP AS For None 735687 15121 3644 0
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2014.
5 TO AUTHORIZE THE COMPANY, WITH THE For None 634400 111750 8302 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
2014 ANNUAL MEETING OF STOCKHOLDERS
(INCLUDING, WITHOUT LIMITATION, THAT
THE NUMBER OF SHARES ISSUED DOES NOT
EXCEED 25% OF THE COMPANY'S THEN
OUTSTANDING COMMON STOCK).
----------------------------------------------------------------------------------------
THL CREDIT, INC.
----------------------------------------------------------------------------------------
SECURITY: 872438106 MEETING TYPE: Annual
TICKER: TCRD MEETING DATE: 03-Jun-2014
ISIN US8724381061 VOTE DEADLINE DATE: 02-Jun-2014
AGENDA 934001051 Management TOTAL BALLOT SHARES: 510484
LAST VOTE DATE: 30-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DAVID K. DOWNES 485711 0 23907 0
2 NANCY HAWTHORNE 488538 0 21080 0
3 KEITH W. HUGHES 498107 0 11511 0
4 JAMES K. HUNT 486199 0 23419 0
5 JOHN A. SOMMERS 489020 0 20598 0
6 DAVID P. SOUTHWELL 489186 0 20432 0
2 APPROVAL OF A PROPOSAL TO AUTHORIZE For None 394138 110047 5433 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 426462 77228 5928 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.
----------------------------------------------------------------------------------------
FIDUS INVT CORP
----------------------------------------------------------------------------------------
SECURITY: 316500107 MEETING TYPE: Annual
TICKER: FDUS MEETING DATE: 04-Jun-2014
ISIN US3165001070 VOTE DEADLINE DATE: 03-Jun-2014
AGENDA 933970584 Management TOTAL BALLOT SHARES: 7464
LAST VOTE DATE: 02-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 EDWARD H. ROSS 6703 0 261 0
2 RAYMOND L. ANSTISS, JR. 6620 0 344 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 6296 533 135 0
THE COMPANY, SUBJECT TO THE APPROVAL
OF THE COMPANY'S BOARD OF DIRECTORS,
TO SELL OR OTHERWISE ISSUE SHARES OF
ITS COMMON STOCK DURING THE NEXT
YEAR AT A PRICE BELOW THE COMPANY'S
THEN CURRENT NET ASSET VALUE PER
SHARE, SUBJECT TO CERTAIN CONDITIONS
AS SET FORTH IN THE PROXY ... (DUE TO
SPACE LIMITS, SEE PROXY STATEMENT FOR
FULL PROPOSAL)
----------------------------------------------------------------------------------------
OFS CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 67103B100 MEETING TYPE: Annual
TICKER: OFS MEETING DATE: 04-Jun-2014
ISIN US67103B1008 VOTE DEADLINE DATE: 03-Jun-2014
AGENDA 934009398 Management TOTAL BALLOT SHARES: 137559
LAST VOTE DATE: 02-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 ROBERT CRESCI 129439 0 7557 0
2 BILAL RASHID 136359 0 637 0
2 TO RATIFY THE SELECTION OF BDO USA, LLP For None 136846 89 61 0
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2014.
----------------------------------------------------------------------------------------
MEDALLION FINANCIAL CORP.
----------------------------------------------------------------------------------------
SECURITY: 583928106 MEETING TYPE: Annual
TICKER: TAXI MEETING DATE: 06-Jun-2014
ISIN US5839281061 VOTE DEADLINE DATE: 05-Jun-2014
AGENDA 934006974 Management TOTAL BALLOT SHARES: 250553
LAST VOTE DATE: 04-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 HENRY L. AARON 242194 0 8159 0
2 HENRY D. JACKSON 230866 0 19487 0
3 ALVIN MURSTEIN 238236 0 12117 0
2 PROPOSAL TO RATIFY THE APPOINTMENT For None 244489 4306 1558 0
OF WEISERMAZARS LLP AS MEDALLION
FINANCIAL CORP.'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
3 PROPOSAL TO APPROVE A NON-BINDING For None 200610 45238 4505 0
ADVISORY RESOLUTION TO APPROVE
EXECUTIVE COMPENSATION
----------------------------------------------------------------------------------------
HARVEST CAPITAL CREDIT CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 41753F109 MEETING TYPE: Annual
TICKER: HCAP MEETING DATE: 09-Jun-2014
ISIN US41753F1093 VOTE DEADLINE DATE: 06-Jun-2014
AGENDA 934002990 Management TOTAL BALLOT SHARES: 8699
LAST VOTE DATE: 06-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 DORIAN B. KLEIN 8641 0 58 0
2 JACK G. LEVIN 8641 0 58 0
2 TO RATIFY THE SELECTION OF For None 8688 2 9 0
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2014.
----------------------------------------------------------------------------------------
HORIZON TECHNOLOGY FINANCE CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 44045A102 MEETING TYPE: Annual
TICKER: HRZN MEETING DATE: 13-Jun-2014
ISIN US44045A1025 VOTE DEADLINE DATE: 12-Jun-2014
AGENDA 934003360 Management TOTAL BALLOT SHARES: 223222
LAST VOTE DATE: 12-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JAMES J. BOTTIGLIERI 212947 0 9750 0
2 GERALD A. MICHAUD 206845 0 15852 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 215079 5649 1969 0
LLP TO SERVE AS HORIZON TECHNOLOGY
FINANCE CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING DECEMBER
31, 2014.
----------------------------------------------------------------------------------------
ARES COMMERCIAL REAL ESTATE CORP
----------------------------------------------------------------------------------------
SECURITY: 04013V108 MEETING TYPE: Annual
TICKER: ACRE MEETING DATE: 26-Jun-2014
ISIN US04013V1089 VOTE DEADLINE DATE: 25-Jun-2014
AGENDA 934010579 Management TOTAL BALLOT SHARES: 20012
LAST VOTE DATE: 09-May-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 CAROLINE E. BLAKELY 20000 0 0 0
2 JOHN HOPE BRYANT 20000 0 0 0
3 ROBERT L. ROSEN 20000 0 0 0
2 TO RATIFY THE SELECTION OF ERNST & For None 20000 0 0 0
YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2014.
----------------------------------------------------------------------------------------
MONROE CAPITAL CORPORATION
----------------------------------------------------------------------------------------
SECURITY: 610335101 MEETING TYPE: Annual
TICKER: MRCC MEETING DATE: 27-Jun-2014
ISIN US6103351010 VOTE DEADLINE DATE: 26-Jun-2014
AGENDA 934009728 Management TOTAL BALLOT SHARES: 5114
LAST VOTE DATE: 23-Jun-2014
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JEFFREY A. GOLMAN 4676 0 324 0
2 JORDE M. NATHAN 4873 0 127 0
3 AARON D. PECK 4672 0 328 0
2 TO APPROVE A PROPOSAL TO AUTHORIZE For None 4265 647 88 0
THE COMPANY, PURSUANT TO APPROVAL
OF BOARD OF DIRECTORS OF THE
COMPANY, TO SELL SHARES OF ITS
COMMON STOCK OR WARRANTS, OPTIONS
OR RIGHTS TO ACQUIRE ITS COMMON
STOCK DURING NEXT TWELVE MONTHS AT A
PRICE BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN CONDITIONS AS SET
FORTH IN THIS PROXY STATEMENT.
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) FIRST TRUST SPECIALTY FINANCE
AND FINANCIAL OPPORTUNITIES FUND
---------------------------------------
By (Signature and Title)* /s/ Mark R. Bradley
-----------------------------------
Mark R. Bradley, President
Date July 24, 2014
-------------------------
* Print the name and title of each signing officer under his or her signature.