0001445546-14-003633.txt : 20140718 0001445546-14-003633.hdr.sgml : 20140718 20140718105659 ACCESSION NUMBER: 0001445546-14-003633 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140718 DATE AS OF CHANGE: 20140718 EFFECTIVENESS DATE: 20140718 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST HIGH INCOME LONG/SHORT FUND CENTRAL INDEX KEY: 0001494530 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22442 FILM NUMBER: 14982026 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 N-PX 1 fsd_npx.txt PROXY VOTING RECORD 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. 811-22442 First Trust High Income Long/Short Fund ------------------------------------------------------------- Exact Name of Registrant as Specified in Declaration of Trust 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187 ------------------------------------------------------------------------------ Address of Principal Executive Offices (Number, Street, City, State, Zip Code) W. Scott Jardine First Trust Portfolios L.P. 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 ----------------------------------------------------------------------------- Name and Address (Number, Street, City, State, Zip Code) of Agent for Service (630) 765-8000 -------------------------------------------------- Registrant's Telephone Number, including Area Code Date of fiscal year end: October 31 ---------- Date of reporting period: July 1, 2013 - June 30, 2014 ---------------------------- 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
Dreyfus Funds -------------------------------------------------------------------------------- Ticker Provider Security ID 262006208 Meeting Date 06-Dec-13 Meeting Type Special Record Date 11-Oct-13 Country USA -------------------------------------------------------------------------------- PROPOSAL MANAGEMENT VOTE VOTE AGAINST PROPONENT NUMBER PROPOSAL TEXT RECOMMENDATION INSTRUCTION MANAGEMENT Management 1.1 Elect Director Gordon J. Davis For For No Management 1.2 Elect Director Whitney I. Gerard For For No Management 1.3 Elect Director Robin A. Melvin For For No Management 1.4 Elect Director Nathan Leventhal For For No Management 1.5 Elect Director Roslyn M. Watson For For No Citigroup Inc. -------------------------------------------------------------------------------- Ticker C Provider Security ID 172967424 Meeting Date 22-Apr-14 Meeting Type Annual Record Date 24-Feb-14 Country USA -------------------------------------------------------------------------------- PROPOSAL MANAGEMENT VOTE VOTE AGAINST PROPONENT NUMBER PROPOSAL TEXT RECOMMENDATION INSTRUCTION MANAGEMENT Management 1a Elect Director Michael L. Corbat For For No Management 1b Elect Director Duncan P. Hennes For For No Management 1c Elect Director Franz B. Humer For For No Management 1d Elect Director Eugene M. McQuade For For No Management 1e Elect Director Michael E. O'Neill For For No Management 1f Elect Director Gary M. Reiner For For No Management 1g Elect Director Judith Rodin For For No Management 1h Elect Director Robert L. Ryan For For No Management 1i Elect Director Anthony M. Santomero For For No Management 1j Elect Director Joan E. Spero For For No Management 1k Elect Director Diana L. Taylor For For No Management 1l Elect Director William S. Thompson, Jr. For For No Management 1m Elect Director James S. Turley For For No Management 1n Elect Director Ernesto Zedillo Ponce de Leon For For No Management 2 Ratify Auditors For For No Management 3 Advisory Vote to Ratify Named Executive Officers' For For No Compensation Management 4 Approve Omnibus Stock Plan For For No Share Holder 5 Stock Retention/Holding Period Against Against No Share Holder 6 Report on Lobbying Payments and Policy Against For Yes Share Holder 7 Amend Director Indemnifications Provisions Against Against No Share Holder 8 Adopt Proxy Access Right Against Against No Ford Motor Company -------------------------------------------------------------------------------- Ticker F Provider Security ID 345370860 Meeting Date 08-May-14 Meeting Type Annual Record Date 12-Mar-14 Country USA -------------------------------------------------------------------------------- PROPOSAL MANAGEMENT VOTE VOTE AGAINST PROPONENT NUMBER PROPOSAL TEXT RECOMMENDATION INSTRUCTION MANAGEMENT Management 1.1 Elect Director Stephen G. Butler For For No Management 1.2 Elect Director Kimberly A. Casiano For For No Management 1.3 Elect Director Anthony F. Earley, Jr. For For No Management 1.4 Elect Director Edsel B. Ford, II For For No Management 1.5 Elect Director William Clay Ford, Jr. For For No Management 1.6 Elect Director Richard A. Gephardt For For No Management 1.7 Elect Director James P. Hackett For For No Management 1.8 Elect Director James H. Hance, Jr. For For No Management 1.9 Elect Director William W. Helman, IV For For No Management 1.10 Elect Director Jon M. Huntsman, Jr. For For No Management 1.11 Elect Director John C. Lechleiter For For No Management 1.12 Elect Director Ellen R. Marram For For No Management 1.13 Elect Director Alan Mulally For For No Management 1.14 Elect Director Homer A. Neal For For No Management 1.15 Elect Director Gerald L. Shaheen For For No Management 1.16 Elect Director John L. Thornton For For No Management 2 Ratify Auditors For For No Management 3 Advisory Vote to Ratify Named Executive Officers' For Against Yes Compensation Management 4 Approve Non-Employee Director Omnibus Stock Plan For For No Share Holder 5 Approve Recapitalization Plan for all Stock to Have Against For Yes One-vote per Share Share Holder 6 Amend Articles/Bylaws/Charter -- Call Special Against For Yes Meetings General Motors Company -------------------------------------------------------------------------------- Ticker GM Provider Security ID 37045V100 Meeting Date 10-Jun-14 Meeting Type Annual Record Date 11-Apr-14 Country USA -------------------------------------------------------------------------------- PROPOSAL MANAGEMENT VOTE VOTE AGAINST PROPONENT NUMBER PROPOSAL TEXT RECOMMENDATION INSTRUCTION MANAGEMENT Management 1a Elect Director Joseph J. Ashton For For No Management 1b Elect Director Mary T. Barra For For No Management 1c Elect Director Erroll B. Davis, Jr. For For No Management 1d Elect Director Stephen J. Girsky For For No Management 1e Elect Director E. Neville Isdell For For No Management 1f Elect Director Kathryn V. Marinello For For No Management 1g Elect Director Michael G. Mullen For For No Management 1h Elect Director James J. Mulva For For No Management 1i Elect Director Patricia F. Russo For For No Management 1j Elect Director Thomas M. Schoewe For For No Management 1k Elect Director Theodore M. Solso For For No Management 1l Elect Director Carol M. Stephenson For For No Management 2 Ratify Auditors For For No Management 3 Advisory Vote to Ratify Named Executive Officers' For For No Compensation Management 4 Advisory Vote on Say on Pay Frequency One Year One Year No Management 5 Approve Executive Incentive Bonus Plan For For No Management 6 Approve Omnibus Stock Plan For For No Share Holder 7 Provide for Cumulative Voting Against For Yes Share Holder 8 Require Independent Board Chairman Against For Yes
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 HIGH INCOME LONG/SHORT FUND --------------------------------------- By (Signature and Title)* /s/ Mark R. Bradley ----------------------------------- Mark R. Bradley, President Date July 18, 2014 ------------------------- * Print the name and title of each signing officer under his or her signature.