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, 2016 - June 30, 2017
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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
VOTE SUMMARY
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HERCULES CAPITAL INC
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SECURITY 427096508 MEETING TYPE Annual
TICKER SYMBOL HTGC MEETING DATE 07-Jul-2016
ISIN US4270965084 AGENDA 934423079 - Management
RECORD DATE 15-Apr-2016 HOLDING RECON DATE 15-Apr-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 06-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1A. ELECTION OF DIRECTOR: MANUEL A. Management Split For Split
HENRIQUEZ
1B. ELECTION OF DIRECTOR: JOSEPH F. Management Split For Split
HOFFMAN
2. APPROVE, ON AN ADVISORY BASIS, Management Split For Split
THE COMPANY'S NAMED EXECUTIVE
OFFICER COMPENSATION.
3. RATIFICATION OF Management Split For Split
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS OUR INDEPENDENT PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2016.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736386 FT SPEC FIN & 000736386 BNY MELLON 29,198 0 06-Jul-2016 08-Jul-2016
FINANCIAL OPP FUND
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HERCULES CAPITAL INC
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SECURITY 427096508 MEETING TYPE Annual
TICKER SYMBOL HTGC MEETING DATE 07-Jul-2016
ISIN US4270965084 AGENDA 934423079 - Management
RECORD DATE 15-Apr-2016 HOLDING RECON DATE 15-Apr-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 06-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: MANUEL A. Management Split For Split
HENRIQUEZ
1B. ELECTION OF DIRECTOR: JOSEPH F. Management Split For Split
HOFFMAN
2. APPROVE, ON AN ADVISORY BASIS, Management Split For Split
THE COMPANY'S NAMED EXECUTIVE
OFFICER COMPENSATION.
3. RATIFICATION OF Management Split For Split
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS OUR INDEPENDENT PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2016.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 450,000 0 06-Jul-2016 08-Jul-2016
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FS INVESTMENT CORPORATION
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SECURITY 302635107 MEETING TYPE Annual
TICKER SYMBOL FSIC MEETING DATE 13-Jul-2016
ISIN US3026351078 AGENDA 934414119 - Management
RECORD DATE 20-Apr-2016 HOLDING RECON DATE 20-Apr-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 12-Jul-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 GREGORY P. CHANDLER Split For Split
2 MICHAEL C. FORMAN Split For Split
3 BARRY H. FRANK Split For Split
4 MICHAEL J. HELLER Split For Split
2. TO AUTHORIZE FLEXIBILITY FOR THE Management Split For Split
COMPANY, WITH THE APPROVAL OF
THE COMPANY'S BOARD OF
DIRECTORS, TO OFFER AND SELL
SHARES DURING THE 12 MONTHS
FOLLOWING STOCKHOLDER
APPROVAL, AT A PRICE BELOW THE
THEN-CURRENT NET ASSET VALUE
PER SHARE, SUBJECT TO CERTAIN
LIMITATIONS DESCRIBED IN THE
PROXY STATEMENT.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 195,000 0 21-Jun-2016 14-Jul-2016
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APOLLO INVESTMENT CORPORATION
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SECURITY 03761U106 MEETING TYPE Annual
TICKER SYMBOL AINV MEETING DATE 04-Aug-2016
ISIN US03761U1060 AGENDA 934452789 - Management
RECORD DATE 10-Jun-2016 HOLDING RECON DATE 10-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 ELLIOT STEIN, JR. For For For
2 BRADLEY J. WECHSLER For For For
3 JAMES C. ZELTER For For For
2. TO CONSIDER AND VOTE UPON Management For For For
RATIFYING THE SELECTION OF
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS APOLLO INVESTMENT
CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
MARCH 31, 2017.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 414,045 0 25-Jun-2016 05-Aug-2016
000736386 FT SPEC FIN & 000736386 BNY MELLON 137,057 0 25-Jun-2016 05-Aug-2016
FINANCIAL OPP FUND
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APOLLO INVESTMENT CORPORATION
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SECURITY 03761U106 MEETING TYPE Special
TICKER SYMBOL AINV MEETING DATE 04-Aug-2016
ISIN US03761U1060 AGENDA 934453197 - Management
RECORD DATE 10-Jun-2016 HOLDING RECON DATE 10-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. TO APPROVE A PROPOSAL TO Management For For For
AUTHORIZE FLEXIBILITY FOR THE
COMPANY, WITH APPROVAL OF ITS
BOARD OF DIRECTORS, TO SELL
SHARES OF ITS COMMON STOCK
(DURING THE NEXT 12 MONTHS) AT A
PRICE BELOW ITS THEN CURRENT NET
ASSET VALUE PER SHARE SUBJECT TO
CERTAIN LIMITATIONS DESCRIBED IN
THE ACCOMPANYING PROXY
STATEMENT (INCLUDING THAT THE
CUMULATIVE NUMBER OF SHARES
SOLD PURSUANT TO SUCH AUTHORITY
DOES NOT EXCEED 25% OF ITS THEN
OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
SALE).
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 414,045 0 21-Jun-2016 05-Aug-2016
000736386 FT SPEC FIN & 000736386 BNY MELLON 137,057 0 21-Jun-2016 05-Aug-2016
FINANCIAL OPP FUND
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GLADSTONE INVESTMENT CORPORATION
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SECURITY 376546107 MEETING TYPE Annual
TICKER SYMBOL GAIN MEETING DATE 04-Aug-2016
ISIN US3765461070 AGENDA 934452777 - Management
RECORD DATE 06-Jun-2016 HOLDING RECON DATE 06-Jun-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. DIRECTOR Management
1 PAUL W. ADELGREN For For For
2 DAVID GLADSTONE For For For
3 JOHN H. OUTLAND For For For
2. TO APPROVE A PROPOSAL TO Management For For For
AUTHORIZE 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
ACCOMPANY PROXY STATEMENT.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736386 FT SPEC FIN & 000736386 BNY MELLON 142,533 0 21-Jun-2016 05-Aug-2016
FINANCIAL OPP FUND
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GOLDMAN SACHS BDC, INC.
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SECURITY 38147U107 MEETING TYPE Annual
TICKER SYMBOL GSBD MEETING DATE 29-Sep-2016
ISIN US38147U1079 AGENDA 934387362 - Management
RECORD DATE 04-Apr-2016 HOLDING RECON DATE 04-Apr-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 28-Sep-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF CLASS II DIRECTOR: Management Split For Split
JAIME ARDILA
1B. ELECTION OF CLASS II DIRECTOR: Management Split For Split
RICHARD P. STRUBEL
1C. ELECTION OF CLASS II DIRECTOR: Management Split For Split
KATHERINE ("KAYSIE") UNIACKE
2. TO AUTHORIZE THE COMPANY, WITH Management Split For Split
THE APPROVAL OF THE COMPANY'S
BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE SHARES OF THE
COMPANY'S COMMON STOCK (DURING
THE 12 MONTHS FOLLOWING SUCH
AUTHORIZATION) AT A PRICE BELOW
THE THEN-CURRENT NET ASSET
VALUE PER SHARE, PROVIDED THAT
THE NUMBER OF SHARES ISSUED
DOES NOT EXCEED 25% OF THE
COMPANY'S THEN-OUTSTANDING
COMMON STOCK.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736386 FT SPEC FIN & 000736386 BNY MELLON 33,000 0 02-May-2016 30-Sep-2016
FINANCIAL OPP FUND
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GOLDMAN SACHS BDC, INC.
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SECURITY 38147U107 MEETING TYPE Annual
TICKER SYMBOL GSBD MEETING DATE 29-Sep-2016
ISIN US38147U1079 AGENDA 934387362 - Management
RECORD DATE 04-Apr-2016 HOLDING RECON DATE 04-Apr-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 28-Sep-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF CLASS II DIRECTOR: Management Split For Split
JAIME ARDILA
1B. ELECTION OF CLASS II DIRECTOR: Management Split For Split
RICHARD P. STRUBEL
1C. ELECTION OF CLASS II DIRECTOR: Management Split For Split
KATHERINE ("KAYSIE") UNIACKE
2. TO AUTHORIZE THE COMPANY, WITH Management Split For Split
THE APPROVAL OF THE COMPANY'S
BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE SHARES OF THE
COMPANY'S COMMON STOCK (DURING
THE 12 MONTHS FOLLOWING SUCH
AUTHORIZATION) AT A PRICE BELOW
THE THEN-CURRENT NET ASSET
VALUE PER SHARE, PROVIDED THAT
THE NUMBER OF SHARES ISSUED
DOES NOT EXCEED 25% OF THE
COMPANY'S THEN-OUTSTANDING
COMMON STOCK.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 22,255 0 02-May-2016 30-Sep-2016
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COMPASS DIVERSIFIED HOLDINGS
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SECURITY 20451Q104 MEETING TYPE Special
TICKER SYMBOL CODI MEETING DATE 30-Nov-2016
ISIN US20451Q1040 AGENDA 934493228 - Management
RECORD DATE 13-Oct-2016 HOLDING RECON DATE 13-Oct-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 29-Nov-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
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1. TO APPROVE AMENDMENTS TO THE Management For For For
AMENDED AND RESTATED TRUST
AGREEMENT, AS AMENDED TO DATE
(THE "TRUST AGREEMENT"), OF
COMPASS DIVERSIFIED HOLDINGS TO
AUTHORIZE THE BOARD OF
DIRECTORS OF COMPASS GROUP
DIVERSIFIED HOLDINGS LLC (THE
"COMPANY") TO CREATE CLASSES OR
SERIES OF, AND TO ISSUE UP ...(DUE
TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).
2. TO APPROVE AMENDMENTS TO THE Management For For For
FOURTH AMENDED AND RESTATED
OPERATING AGREEMENT (THE "LLC
AGREEMENT") OF THE COMPANY TO
AUTHORIZE THE BOARD OF
DIRECTORS OF THE COMPANY TO
CREATE CLASSES OR SERIES OF, AND
TO ISSUE UP TO 50,000,000, TRUST
PREFERRED INTERESTS IN THE
COMPANY WITH SUCH TERMS AS MAY
BE ...(DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL
PROPOSAL).
3. TO ADJOURN THE SPECIAL MEETING, Management For For For
IF NECESSARY OR APPROPRIATE, TO
ESTABLISH A QUORUM OR TO PERMIT
FURTHER SOLICITATION OF PROXIES
IF THERE ARE NOT SUFFICIENT VOTES
AT THE TIME OF THE SPECIAL MEETING
CAST IN FAVOR OF PROPOSAL 1 OR
PROPOSAL 2.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736386 FT SPEC FIN & 000736386 BNY MELLON 88,200 0 21-Oct-2016 01-Dec-2016
FINANCIAL OPP FUND
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AMERICAN CAPITAL, LTD.
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SECURITY 02503Y103 MEETING TYPE Annual
TICKER SYMBOL ACAS MEETING DATE 15-Dec-2016
ISIN US02503Y1038 AGENDA 934495246 - Management
RECORD DATE 17-Oct-2016 HOLDING RECON DATE 17-Oct-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. ADOPTION OF THE MERGER Management For For For
AGREEMENT.
2. APPROVAL, ON AN ADVISORY, NON- Management For For For
BINDING BASIS, OF THE PAYMENT OF
CERTAIN COMPENSATION THAT WILL
OR MAY BECOME PAYABLE TO
AMERICAN CAPITAL'S NAMED
EXECUTIVE OFFICERS PURSUANT TO
THEIR EMPLOYMENT AND OTHER
ARRANGEMENTS WITH AMERICAN
CAPITAL AND THE MERGER
AGREEMENT, IN CONNECTION WITH
THE COMPLETION OF THE MERGERS
AND OTHER TRANSACTIONS AS
CONTEMPLATED THEREIN.
3. APPROVAL OF ANY ADJOURNMENTS Management For For For
OF THE AMERICAN CAPITAL ANNUAL
MEETING FOR THE PURPOSE OF
SOLICITING ADDITIONAL PROXIES IF
THERE ARE NOT SUFFICIENT VOTES AT
THE TIME OF THE MEETING TO ADOPT
THE MERGER AGREEMENT.
4A. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: MARY C. BASKIN
4B. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: NEIL M. HAHL
4C. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: PHILIP R. HARPER
4D. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: STAN LUNDINE
4E. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: KRISTEN L. MANOS
4F. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: SUSAN K.
NESTEGARD
4G. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: KENNETH D.
PETERSON, JR.
4H. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: ALVIN N. PURYEAR
4I. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: MALON WILKUS
4J. ELECTION OF DIRECTOR TO SERVE Management For For For
UNTIL THE EARLIER OF THE
EXPIRATION OF A ONE-YEAR TERM
AND THE COMPLETION OF THE
TRANSACTIONS: DAVID G. RICHARDS
5. RATIFICATION OF THE APPOINTMENT Management For For For
OF ERNST & YOUNG LLP TO SERVE AS
AMERICAN CAPITAL'S INDEPENDENT
PUBLIC ACCOUNTANT FOR THE YEAR
ENDING DECEMBER 31, 2016.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
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000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 204,200 0 27-Oct-2016 16-Dec-2016
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ARES CAPITAL CORPORATION
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SECURITY 04010L103 MEETING TYPE Special
TICKER SYMBOL ARCC MEETING DATE 15-Dec-2016
ISIN US04010L1035 AGENDA 934494864 - Management
RECORD DATE 17-Oct-2016 HOLDING RECON DATE 17-Oct-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. TO APPROVE THE ISSUANCE OF THE Management For For For
SHARES OF ARES CAPITAL COMMON
STOCK TO BE ISSUED PURSUANT TO
THE AGREEMENT AND PLAN OF
MERGER, AS SUCH AGREEMENT MAY
BE AMENDED FROM TIME TO TIME,
DATED AS OF MAY 23, 2016 (THE
"MERGER AGREEMENT"), BY AND
AMONG ARES CAPITAL, AMERICAN
CAPITAL, LTD., ORION ACQUISITION
SUB, INC., IVY HILL ASSET
MANAGEMENT, L.P. ("IHAM"), IVY HILL
ASSET MANAGEMENT GP, LLC, IN ITS
CAPACITY AS GENERAL PARTNER OF
IHAM, AMERICAN CAPITAL ASSET
MANAGEMENT, LLC, AND SOLELY FOR
THE ...(DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL
PROPOSAL).
2. TO APPROVE THE ISSUANCE OF THE Management For For For
SHARES OF ARES CAPITAL COMMON
STOCK TO BE ISSUED PURSUANT TO
THE MERGER AGREEMENT IN
ACCORDANCE WITH NASDAQ LISTING
RULE REQUIREMENTS.
3. TO APPROVE THE ADJOURNMENT OF Management For For For
THE ARES CAPITAL SPECIAL MEETING,
IF NECESSARY OR APPROPRIATE, TO
SOLICIT ADDITIONAL PROXIES IF
THERE ARE NOT SUFFICIENT VOTES AT
THE TIME OF THE ARES CAPITAL
SPECIAL MEETING TO APPROVE
PROPOSAL 1 OR PROPOSAL 2.
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ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 26-Oct-2016 16-Dec-2016
000736386 FT SPEC FIN & 000736386 BNY MELLON 347,412 0 26-Oct-2016 16-Dec-2016
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
CM FINANCE INC.
-------------------------------------------------------------------------------------------
SECURITY 12574Q103 MEETING TYPE Annual
TICKER SYMBOL CMFN MEETING DATE 15-Dec-2016
ISIN US12574Q1031 AGENDA 934482718 - Management
RECORD DATE 08-Sep-2016 HOLDING RECON DATE 08-Sep-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR Management
1 MICHAEL C. MAUER For For For
2 ROBERT RYDER For For For
2 TO APPROVE A PROPOSAL TO Management For For For
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 NET ASSET VALUE
PER SHARE.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 80,000 0 21-Sep-2016 16-Dec-2016
000736386 FT SPEC FIN & 000736386 BNY MELLON 23,945 0 21-Sep-2016 16-Dec-2016
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
GOLUB CAPITAL BDC, INC.
-------------------------------------------------------------------------------------------
SECURITY 38173M102 MEETING TYPE Annual
TICKER SYMBOL GBDC MEETING DATE 07-Feb-2017
ISIN US38173M1027 AGENDA 934516557 - Management
RECORD DATE 12-Dec-2016 HOLDING RECON DATE 12-Dec-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 06-Feb-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1.1 ELECTION OF CLASS I DIRECTOR: Management For For For
DAVID B. GOLUB
1.2 ELECTION OF CLASS I DIRECTOR: Management For For For
ANITA R. ROSENBERG
2. TO RATIFY THE SELECTION OF ERNST Management For For For
& YOUNG LLP TO SERVE AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
SEPTEMBER 30, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 400,000 0 22-Dec-2016 08-Feb-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 114,730 0 22-Dec-2016 08-Feb-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
PENNANTPARK FLOATING RATE CAPITAL LTD.
-------------------------------------------------------------------------------------------
SECURITY 70806A106 MEETING TYPE Annual
TICKER SYMBOL PFLT MEETING DATE 07-Feb-2017
ISIN US70806A1060 AGENDA 934514969 - Management
RECORD DATE 30-Nov-2016 HOLDING RECON DATE 30-Nov-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 06-Feb-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 ARTHUR H. PENN For For For
2. TO RATIFY THE SELECTION OF RSM US Management For For For
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 82,645 0 15-Dec-2016 08-Feb-2017
-------------------------------------------------------------------------------------------
MEDLEY CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 58503F106 MEETING TYPE Annual
TICKER SYMBOL MCC MEETING DATE 14-Feb-2017
ISIN US58503F1066 AGENDA 934518955 - Management
RECORD DATE 20-Dec-2016 HOLDING RECON DATE 20-Dec-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 13-Feb-2017
States
SEDOL(S) QUICK CODE
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PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 MR. BROOK TAUBE For For For
2 MS. KARIN H.GARVEY For For For
3 MR. JOHN E. MACK For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
ERNST & YOUNG LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR MEDLEY
CAPITAL CORPORATION FOR THE
FISCAL YEAR ENDING SEPTEMBER 30, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 556,714 0 31-Dec-2016 15-Feb-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 30,000 0 31-Dec-2016 15-Feb-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
PENNANTPARK INVESTMENT CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 708062104 MEETING TYPE Annual
TICKER SYMBOL PNNT MEETING DATE 28-Feb-2017
ISIN US7080621045 AGENDA 934514971 - Management
RECORD DATE 30-Nov-2016 HOLDING RECON DATE 30-Nov-2016
CITY / COUNTRY / United VOTE DEADLINE DATE 27-Feb-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 MR. MARSHALL BROZOST For For For
2 MR. SAMUEL L. KATZ For For For
2. TO RATIFY THE SELECTION OF RSM US Management For For For
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING SEPTEMBER 30, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 519,501 0 15-Dec-2016 01-Mar-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 225,580 0 15-Dec-2016 01-Mar-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
NEW MOUNTAIN FINANCE CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 647551100 MEETING TYPE Annual
TICKER SYMBOL NMFC MEETING DATE 26-Apr-2017
ISIN US6475511001 AGENDA 934544152 - Management
RECORD DATE 01-Mar-2017 HOLDING RECON DATE 01-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 STEVEN B. KLINSKY For For For
2 KURT J. WOLFGRUBER For For For
3 ROME G. ARNOLD III For For For
2. TO RATIFY THE APPOINTMENT OF Management For For For
DELOITTE & TOUCHE LLP TO SERVE AS
NEW MOUNTAIN FINANCE
CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 565,164 0 17-Mar-2017 27-Apr-2017
-------------------------------------------------------------------------------------------
TRIPLEPOINT VENTURE GROWTH BDC CORP.
-------------------------------------------------------------------------------------------
SECURITY 89677Y100 MEETING TYPE Annual
TICKER SYMBOL TPVG MEETING DATE 27-Apr-2017
ISIN US89677Y1001 AGENDA 934567845 - Management
RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 26-Apr-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JAMES P. LABE For For For
2. TO RATIFY THE SELECTION OF Management For For For
DELOITTE & TOUCHE LLP TO SERVE AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 349,856 0 31-Mar-2017 28-Apr-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 123,989 0 31-Mar-2017 28-Apr-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
MAIN STREET CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 56035L104 MEETING TYPE Annual
TICKER SYMBOL MAIN MEETING DATE 01-May-2017
ISIN US56035L1044 AGENDA 934540142 - Management
RECORD DATE 03-Mar-2017 HOLDING RECON DATE 03-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 28-Apr-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: MICHAEL Management For For For
APPLING, JR.
1B. ELECTION OF DIRECTOR: JOSEPH E. Management For For For
CANON
1C. ELECTION OF DIRECTOR: ARTHUR L. Management For For For
FRENCH
1D. ELECTION OF DIRECTOR: J. KEVIN Management For For For
GRIFFIN
1E. ELECTION OF DIRECTOR: JOHN E. Management For For For
JACKSON
1F. ELECTION OF DIRECTOR: BRIAN E. Management For For For
LANE
1G. ELECTION OF DIRECTOR: STEPHEN B. Management For For For
SOLCHER
1H. ELECTION OF DIRECTOR: VINCENT D. Management For For For
FOSTER
2. PROPOSAL TO RATIFY THE Management For For For
APPOINTMENT OF GRANT THORNTON,
LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDED
DECEMBER 31, 2017.
3. ADVISORY NON-BINDING APPROVAL OF Management For For For
EXECUTIVE COMPENSATION.
4. ADVISORY NON-BINDING APPROVAL OF Management 1 Year 3 Years Against
FREQUENCY OF FUTURE ADVISORY
VOTES ON EXECUTIVE
COMPENSATION.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 39,044 0 23-Mar-2017 02-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 10,063 0 23-Mar-2017 02-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
TRIANGLE CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 895848109 MEETING TYPE Annual
TICKER SYMBOL TCAP MEETING DATE 03-May-2017
ISIN US8958481090 AGENDA 934544633 - Management
RECORD DATE 23-Feb-2017 HOLDING RECON DATE 23-Feb-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: E. ASHTON Management For For For
POOLE
1B. ELECTION OF DIRECTOR: STEVEN C. Management For For For
LILLY
1C. ELECTION OF DIRECTOR: GARLAND S. Management For For For
TUCKER, III
1D. ELECTION OF DIRECTOR: W. MCCOMB Management For For For
DUNWOODY
1E. ELECTION OF DIRECTOR: MARK M. Management For For For
GAMBILL
1F. ELECTION OF DIRECTOR: BENJAMIN S. Management For For For
GOLDSTEIN
1G. ELECTION OF DIRECTOR: MARK F. Management For For For
MULHERN
1H. ELECTION OF DIRECTOR: SIMON B. Management For For For
RICH, JR.
2. PROPOSAL TO AUTHORIZE THE Management For For For
COMPANY TO SELL CERTAIN
SECURITIES AT A PRICE LESS THAN
NET ASSET VALUE (SEE PROXY
STATEMENT FOR FULL PROPOSAL).
3. ADVISORY VOTE TO APPROVE THE Management For For For
COMPENSATION OF OUR NAMED
EXECUTIVE OFFICERS.
4. ADVISORY VOTE TO DETERMINE Management 1 Year 3 Years Against
WHETHER A STOCKHOLDER VOTE TO
APPROVE THE COMPENSATION OF
OUR NAMED EXECUTIVE OFFICERS
SHOULD OCCUR EVERY ONE, TWO OR
THREE YEARS.
5. TO APPROVE THE COMPANY'S Management For For For
OMNIBUS INCENTIVE PLAN.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 295,548 0 15-Mar-2017 04-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 21,046 0 15-Mar-2017 04-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
CAPITALA FINANCE CORP
-------------------------------------------------------------------------------------------
SECURITY 14054R106 MEETING TYPE Annual
TICKER SYMBOL CPTA MEETING DATE 04-May-2017
ISIN US14054R1068 AGENDA 934545433 - Management
RECORD DATE 02-Mar-2017 HOLDING RECON DATE 02-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 R. CHARLES MOYER For For For
2. THE RATIFICATION OF THE SELECTION Management For For For
OF ERNST & YOUNG LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR CAPITALA
FINANCE CORP. FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2017.
3. TO APPROVE A PROPOSAL TO Management For For For
AUTHORIZE CAPITALA FINANCE CORP.
TO SELL SHARES OF ITS COMMON
STOCK AT A PRICE OR PRICES BELOW
CAPITALA FINANCE 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 ...(DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL
PROPOSAL).
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 80,117 0 16-Mar-2017 05-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
KCAP FINANCIAL, INC.
-------------------------------------------------------------------------------------------
SECURITY 48668E101 MEETING TYPE Annual
TICKER SYMBOL KCAP MEETING DATE 04-May-2017
ISIN US48668E1010 AGENDA 934549734 - Management
RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 ALBERT G. PASTINO For For For
2 C. MICHAEL JACOBI For For For
2. TO APPROVE THE 2017 EQUITY Management For For For
INCENTIVE PLAN.
3. TO APPROVE THE 2017 NON- Management For For For
EMPLOYEE DIRECTOR PLAN.
4. TO APPROVE, IN A NON-BINDING VOTE, Management For For For
THE COMPENSATION PAID TO THE
COMPANY'S NAMED EXECUTIVE
OFFICERS.
5. TO RECOMMEND, BY NON-BINDING Management 1 Year 1 Year For
VOTE, THE FREQUENCY OF EXECUTIVE
COMPENSATION VOTES.
6. TO RATIFY THE SELECTION OF ERNST Management For For For
& YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTANT OF
THE COMPANY FOR THE YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 340,472 0 25-Mar-2017 05-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
BLACKROCK CAPITAL INVESTMENT CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 092533108 MEETING TYPE Annual
TICKER SYMBOL BKCC MEETING DATE 05-May-2017
ISIN US0925331086 AGENDA 934556830 - Management
RECORD DATE 06-Mar-2017 HOLDING RECON DATE 06-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 04-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JOHN R. BARON For For For
2 JERROLD B. HARRIS For For For
2. TO RATIFY THE SELECTION OF Management For For For
DELOITTE & TOUCHE LLP TO SERVE AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 103,900 0 25-Mar-2017 08-May-2017
-------------------------------------------------------------------------------------------
BLACKROCK CAPITAL INVESTMENT CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 092533108 MEETING TYPE Special
TICKER SYMBOL BKCC MEETING DATE 05-May-2017
ISIN US0925331086 AGENDA 934560536 - Management
RECORD DATE 06-Mar-2017 HOLDING RECON DATE 06-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 04-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. TO APPROVE A PROPOSAL TO Management For For For
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.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 103,900 0 28-Mar-2017 08-May-2017
-------------------------------------------------------------------------------------------
CYS INVESTMENTS, INC
-------------------------------------------------------------------------------------------
SECURITY 12673A108 MEETING TYPE Annual
TICKER SYMBOL CYS MEETING DATE 12-May-2017
ISIN US12673A1088 AGENDA 934564370 - Management
RECORD DATE 15-Mar-2017 HOLDING RECON DATE 15-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR Management
1 KEVIN E. GRANT For For For
2 TANYA S. BEDER For For For
3 KAREN HAMMOND For For For
4 STEPHEN P. JONAS For For For
5 R.A. REDLINGSHAFER, JR. For For For
6 DALE A. REISS For For For
7 JAMES A. STERN For For For
8 DAVID A. TYSON, PHD For For For
2 ADVISORY VOTE TO APPROVE THE Management For For For
COMPENSATION OF THE COMPANY'S
NAMED EXECUTIVE OFFICERS
3 TO CONSIDER AND ACT UPON A Management For For For
PROPOSAL TO RATIFY, CONFIRM AND
APPROVE THE SELECTION OF
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 696,880 0 01-Apr-2017 15-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 75,000 0 01-Apr-2017 15-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
CAPSTEAD MORTGAGE CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 14067E506 MEETING TYPE Annual
TICKER SYMBOL CMO MEETING DATE 17-May-2017
ISIN US14067E5069 AGENDA 934574078 - Management
RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A ELECTION OF DIRECTOR: JOHN L. Management For For For
(JACK) BERNARD
1B ELECTION OF DIRECTOR: JACK Management For For For
BIEGLER
1C ELECTION OF DIRECTOR: MICHELLE P. Management For For For
GOOLSBY
1D ELECTION OF DIRECTOR: GARY KEISER Management For For For
1E ELECTION OF DIRECTOR: Management For For For
CHRISTOPHER W. MAHOWALD
1F ELECTION OF DIRECTOR: MICHAEL G. Management For For For
O'NEIL
1G ELECTION OF DIRECTOR: PHILLIP A. Management For For For
REINSCH
1H ELECTION OF DIRECTOR: MARK S. Management For For For
WHITING
02 TO APPROVE ON AN ADVISORY (NON- Management For For For
BINDING) BASIS OUR 2016 EXECUTIVE
COMPENSATION.
03 TO HOLD AN ADVISORY (NON-BINDING) Management 1 Year 1 Year For
VOTE ON THE FREQUENCY OF
STOCKHOLDER VOTES ON OUR
EXECUTIVE COMPENSATION.
04 TO RATIFY THE APPOINMENT OF Management For For For
ERNST & YOUNG LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 69,500 0 27-Apr-2017 18-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 39,000 0 27-Apr-2017 18-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
SOLAR CAPITAL LTD
-------------------------------------------------------------------------------------------
SECURITY 83413U100 MEETING TYPE Annual
TICKER SYMBOL SLRC MEETING DATE 17-May-2017
ISIN US83413U1007 AGENDA 934568518 - Management
RECORD DATE 22-Mar-2017 HOLDING RECON DATE 22-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 MR. BRUCE SPOHLER For For For
2 MR. STEVEN HOCHBERG For For For
2. TO APPROVE A PROPOSAL TO Management For For For
AUTHORIZE THE COMPANY TO SELL
SHARES OF ITS COMMON STOCK AT A
PRICE OR PRICES BELOW THE
COMPANY'S THEN CURRENT NET
ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, IN EACH CASE
SUBJECT TO THE APPROVAL OF ITS
BOARD OF DIRECTORS AND
COMPLIANCE WITH THE CONDITIONS
SET FORTH IN THE PROXY STATEMENT
PERTAINING THERETO (INCLUDING,
WITHOUT LIMITATION, THAT THE
NUMBER OF SHARES ISSUED DOES
NOT EXCEED 25% OF THE COMPANY'S
THEN OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
OFFERING).
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 295,709 0 01-Apr-2017 18-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 12,100 0 01-Apr-2017 18-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
SOLAR SENIOR CAPITAL LTD
-------------------------------------------------------------------------------------------
SECURITY 83416M105 MEETING TYPE Annual
TICKER SYMBOL SUNS MEETING DATE 17-May-2017
ISIN US83416M1053 AGENDA 934568520 - Management
RECORD DATE 22-Mar-2017 HOLDING RECON DATE 22-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 MR. MICHAEL S. GROSS For For For
2 MR. LEONARD A. POTTER For For For
2. TO APPROVE A PROPOSAL TO Management For For For
AUTHORIZE THE COMPANY TO SELL
SHARES OF ITS COMMON STOCK AT A
PRICE OR PRICES BELOW THE
COMPANY'S THEN CURRENT NET
ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, IN EACH CASE
SUBJECT TO THE APPROVAL OF ITS
BOARD OF DIRECTORS AND
COMPLIANCE WITH THE CONDITIONS
SET FORTH IN THE PROXY STATEMENT
PERTAINING THERETO (INCLUDING,
WITHOUT LIMITATION, THAT THE
NUMBER OF SHARES ISSUED DOES
NOT EXCEED 25% OF THE COMPANY'S
THEN OUTSTANDING COMMON STOCK
IMMEDIATELY PRIOR TO EACH SUCH
OFFERING).
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 25,000 0 01-Apr-2017 18-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
TPG SPECIALTY LENDING, INC.
-------------------------------------------------------------------------------------------
SECURITY 87265K102 MEETING TYPE Annual
TICKER SYMBOL TSLX MEETING DATE 18-May-2017
ISIN US87265K1025 AGENDA 934566285 - Management
RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JOSHUA EASTERLY For For For
2 MICHAEL FISHMAN For For For
2. TO RATIFY THE SELECTION OF KPMG Management For For For
LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 156,455 0 08-Apr-2017 19-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 50,296 0 08-Apr-2017 19-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
TPG SPECIALTY LENDING, INC.
-------------------------------------------------------------------------------------------
SECURITY 87265K102 MEETING TYPE Special
TICKER SYMBOL TSLX MEETING DATE 18-May-2017
ISIN US87265K1025 AGENDA 934576147 - Management
RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. TO APPROVE A PROPOSAL TO Management For For For
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
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 156,455 0 08-Apr-2017 19-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 50,296 0 08-Apr-2017 19-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
GOLDMAN SACHS BDC, INC.
-------------------------------------------------------------------------------------------
SECURITY 38147U107 MEETING TYPE Annual
TICKER SYMBOL GSBD MEETING DATE 19-May-2017
ISIN US38147U1079 AGENDA 934560346 - Management
RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 18-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: ROSS J. KARI Management For For For
1B. ELECTION OF DIRECTOR: ANN B. LANE Management For For For
2. TO RATIFY THE SELECTION OF Management For For For
PRICEWATERHOUSECOOPERS LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 22,255 0 28-Mar-2017 22-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 30,808 0 28-Mar-2017 22-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 04010L103 MEETING TYPE Annual
TICKER SYMBOL ARCC MEETING DATE 22-May-2017
ISIN US04010L1035 AGENDA 934557426 - Management
RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 19-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: MICHAEL J Management For For For
AROUGHETI (CLASS I DIRECTOR FOR A
TERM OF 3 YEARS EXPIRING IN 2020)
1B. ELECTION OF DIRECTOR: ANN TORRE Management For For For
BATES (CLASS I DIRECTOR FOR A
TERM OF 3 YEARS EXPIRING IN 2020)
1C. ELECTION OF DIRECTOR: STEVE Management For For For
MCKEEVER (CLASS I DIRECTOR FOR A
TERM OF 3 YEARS EXPIRING IN 2020)
2. TO RATIFY THE SELECTION OF KPMG Management For For For
LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 25-Mar-2017 23-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 327,412 0 25-Mar-2017 23-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 04010L103 MEETING TYPE Special
TICKER SYMBOL ARCC MEETING DATE 22-May-2017
ISIN US04010L1035 AGENDA 934560598 - Management
RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 19-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. TO AUTHORIZE THE COMPANY, WITH Management For For For
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, ...(DUE
TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 28-Mar-2017 23-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 327,412 0 28-Mar-2017 23-May-2017
FINANCIAL OPP FUND
--------------------------------------------------------------------------------
COMPASS DIVERSIFIED HOLDINGS
--------------------------------------------------------------------------------
SECURITY 20451Q104 MEETING TYPE Annual
TICKER SYMBOL CODI MEETING DATE 24-May-2017
ISIN US20451Q1040 AGENDA 934587037 - Management
RECORD DATE 27-Mar-2017 HOLDING RECON DATE 27-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JAMES J. BOTTIGLIERI For For For
2 GORDON M. BURNS For For For
2. TO APPROVE, ON A NON-BINDING AND Management For For For
ADVISORY BASIS, THE RESOLUTION
APPROVING THE COMPENSATION OF
OUR EXECUTIVE OFFICERS AS
DISCLOSED IN THE PROXY STATEMENT
("SAY-ON-PAY VOTE").
3. TO RECOMMEND, ON A NON-BINDING Management 1 Year 1 Year For
AND ADVISORY BASIS, THE
FREQUENCY OF THE SAY-ON-PAY
VOTE ("SAY-ON-FREQUENCY VOTE").
4. TO RATIFY THE APPOINTMENT OF Management For For For
GRANT THORNTON LLP TO SERVE AS
INDEPENDENT AUDITOR FOR THE
COMPANY AND THE TRUST FOR THE
FISCAL YEAR ENDING DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 25,000 0 14-Apr-2017 25-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
STELLUS CAPITAL INVESTMENT CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 858568108 MEETING TYPE Annual
TICKER SYMBOL SCM MEETING DATE 24-May-2017
ISIN US8585681088 AGENDA 934591896 - Management
RECORD DATE 05-Apr-2017 HOLDING RECON DATE 05-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 JOSHUA T. DAVIS For For For
2 BRUCE R. BILGER For For For
2. TO APPROVE A PROPOSAL TO Management For For For
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.
3. TO APPROVE THE ADJOURNMENT OF Management For For For
THE ANNUAL MEETING, IF NECESSARY
OR APPROPRIATE, TO SOLICIT
ADDITIONAL PROXIES.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 178,529 0 14-Apr-2017 25-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 66,597 0 14-Apr-2017 25-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
ANNALY CAPITAL MANAGEMENT, INC.
-------------------------------------------------------------------------------------------
SECURITY 035710409 MEETING TYPE Annual
TICKER SYMBOL NLY MEETING DATE 25-May-2017
ISIN US0357104092 AGENDA 934584500 - Management
RECORD DATE 28-Mar-2017 HOLDING RECON DATE 28-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 24-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: FRANCINE J. Management For For For
BOVICH
1B. ELECTION OF DIRECTOR: JONATHAN D. Management For For For
GREEN
1C. ELECTION OF DIRECTOR: JOHN H. Management For For For
SCHAEFER
2. ADVISORY APPROVAL OF THE Management For For For
COMPANY'S EXECUTIVE
COMPENSATION.
3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 1 Year For
OF FUTURE ADVISORY VOTES TO
APPROVE THE COMPANY'S EXECUTIVE
COMPENSATION.
4. RATIFICATION OF THE APPOINTMENT Management For For For
OF ERNST & YOUNG LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 314,500 0 12-Apr-2017 26-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 143,282 0 12-Apr-2017 26-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
TCP CAPITAL CORP.
-------------------------------------------------------------------------------------------
SECURITY 87238Q103 MEETING TYPE Annual
TICKER SYMBOL TCPC MEETING DATE 25-May-2017
ISIN US87238Q1031 AGENDA 934581782 - Management
RECORD DATE 27-Mar-2017 HOLDING RECON DATE 27-Mar-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 24-May-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 KATHLEEN A. CORBET For For For
2 ERIC J. DRAUT For For For
3 M. FREDDIE REISS For For For
4 PETER E. SCHWAB For For For
5 BRIAN F. WRUBLE For For For
6 HOWARD M. LEVKOWITZ For For For
7 RAJNEESH VIG For For For
2. TO AUTHORIZE THE COMPANY, WITH Management For For For
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
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 383,728 0 08-Apr-2017 26-May-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 108,135 0 08-Apr-2017 26-May-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
OFS CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 67103B100 MEETING TYPE Annual
TICKER SYMBOL OFS MEETING DATE 06-Jun-2017
ISIN US67103B1008 AGENDA 934603502 - Management
RECORD DATE 11-Apr-2017 HOLDING RECON DATE 11-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 05-Jun-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 ROBERT J. CRESCI For For For
2 BILAL RASHID For For For
2. THE RATIFICATION OF THE SELECTION Management For For For
BY THE AUDIT COMMITTEE OF OUR
BOARD OF DIRECTORS OF BDO USA,
LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 102,084 0 26-Apr-2017 07-Jun-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 100,000 0 26-Apr-2017 07-Jun-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
THL CREDIT, INC.
-------------------------------------------------------------------------------------------
SECURITY 872438106 MEETING TYPE Annual
TICKER SYMBOL TCRD MEETING DATE 06-Jun-2017
ISIN US8724381061 AGENDA 934612258 - Management
RECORD DATE 21-Apr-2017 HOLDING RECON DATE 21-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 05-Jun-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 DAVID K. DOWNES For For For
2 CHRISTOPHER J. FLYNN For For For
3 E.P. GIAMBASTIANI, JR. For For For
4 NANCY HAWTHORNE For For For
5 JAMES D. KERN For For For
6 DEBORAH MCANENY For For For
7 SAM W. TILLINGHAST For For For
2. APPROVAL OF A PROPOSAL TO Management For For For
AUTHORIZE THE COMPANY TO SELL
OR OTHERWISE ISSUE UP TO 25% OF
THE COMPANY'S COMMON STOCK AT A
NET PRICE BELOW THE COMPANY'S
THEN CURRENT NAV.
3. APPROVAL OF A PROPOSAL TO Management For For For
AUTHORIZE 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 SHARE BUT, PROVIDED
THAT PROPOSAL 2 IS APPROVED, MAY
BE BELOW THE COMPANY S THEN
CURRENT NAV.
4. APPROVAL OF THE ADJOURNMENT OF Management For For For
THE ANNUAL MEETING, IF NECESSARY
OR APPROPRIATE, TO SOLICIT
ADDITIONAL PROXIES.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 550,000 0 29-Apr-2017 07-Jun-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 187,618 0 29-Apr-2017 07-Jun-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
HARVEST CAPITAL CREDIT CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 41753F109 MEETING TYPE Annual
TICKER SYMBOL HCAP MEETING DATE 13-Jun-2017
ISIN US41753F1093 AGENDA 934605506 - Management
RECORD DATE 18-Apr-2017 HOLDING RECON DATE 18-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 12-Jun-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1A. ELECTION OF DIRECTOR: DORIAN B. Management For For For
KLEIN
1B. ELECTION OF DIRECTOR: JACK G. Management For For For
LEVIN
2. TO RATIFY THE SELECTION OF Management For For For
PRICEWATERHOUSECOOPERS LLP TO
SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE COMPANY
FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2017.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 16,699 0 29-Apr-2017 14-Jun-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
ALCENTRA CAPITAL CORPORATION
-------------------------------------------------------------------------------------------
SECURITY 01374T102 MEETING TYPE Annual
TICKER SYMBOL ABDC MEETING DATE 15-Jun-2017
ISIN US01374T1025 AGENDA 934625990 - Management
RECORD DATE 08-May-2017 HOLDING RECON DATE 08-May-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 14-Jun-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 PAUL ECHUASSE For For For
2 STEVEN REIFF For For For
2. RATIFICATION OF THE APPOINTMENT Management For For For
OF KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2017.
3. TO APPROVE THE ADJOURNMENT OF Management For For For
THE ANNUAL MEETING, IF NECESSARY
OR APPROPRIATE, TO SOLICIT
ADDITIONAL PROXIES.
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 62,877 0 12-May-2017 16-Jun-2017
000736386 FT SPEC FIN & 000736386 BNY MELLON 91,373 0 12-May-2017 16-Jun-2017
FINANCIAL OPP FUND
-------------------------------------------------------------------------------------------
MEDALLION FINANCIAL CORP.
-------------------------------------------------------------------------------------------
SECURITY 583928106 MEETING TYPE Annual
TICKER SYMBOL MFIN MEETING DATE 22-Jun-2017
ISIN US5839281061 AGENDA 934610189 - Management
RECORD DATE 24-Apr-2017 HOLDING RECON DATE 24-Apr-2017
CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2017
States
SEDOL(S) QUICK CODE
-----------------------------------------------------------------------------------------------------------------------------
PROPOSED MANAGEMENT FOR/AGAINST
ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT
-----------------------------------------------------------------------------------------------------------------------------
1. DIRECTOR Management
1 ALVIN MURSTEIN For For For
2 HENRY L. AARON For For For
2. PROPOSAL TO RATIFY THE Management For For For
APPOINTMENT OF MAZARS USA LLP AS
MEDALLION FINANCIAL CORP.'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM
3. PROPOSAL TO APPROVE A NON- Management For For For
BINDING ADVISORY RESOLUTION TO
APPROVE EXECUTIVE COMPENSATION
-----------------------------------------------------------------------------------------------------------------------------
ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE
NUMBER ACCOUNT SHARES CONFIRMED
-----------------------------------------------------------------------------------------------------------------------------
000736386 FT SPEC FIN & 000736386 BNY MELLON 53,953 0 02-May-2017 23-Jun-2017
FINANCIAL OPP FUND
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 14, 2017
-------------------------
* Print the name and title of each signing officer under his or her signature.