N-PX 1 fp0027680_npx.htm
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
 
Investment Company Act file number:  811-22472
 
RIVERNORTH OPPORTUNITIES FUND, INC.
(Exact name of registrant as specified in charter)

1290 Broadway, Suite 1100
Denver, Colorado 80203
(Address of principal executive offices) (Zip code)

Christopher A. Moore
RiverNorth Opportunities Fund, Inc.
1290 Broadway, Suite 1100
Denver, Colorado  80203
(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code:  (303) 623-2577

Date of fiscal year end:  October 31

Date of reporting period:  July 1, 2016 – June 30, 2017
Item 1 – Proxy Voting Record.
 
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
   
Page 1 of 59
 
Unassigned
NUVEEN PREFERED & CONVERTIBLE INCOME 2
    
Security:
67073D102
Agenda Number:
934535595
Ticker:
JQC
Meeting Type:
Annual
ISIN:
US67073D1028
Meeting Date:
06-Apr-17
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1B.
DIRECTOR
      
 
1
WILLIAM ADAMS IV
Mgmt
No vote
  
 
2
DAVID J. KUNDERT
Mgmt
No vote
  
 
3
JOHN K. NELSON
Mgmt
No vote
  
 
4
TERENCE J. TOTH
Mgmt
No vote
  
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 2 of 59
 
riv
ALPINE GLOBAL PREMIER PPTYS FD
    
Security:
02082E205
Agenda Number:
934565738
Ticker:
AGD
Meeting Type:
Annual
ISIN:
US02082E2054
Meeting Date:
09-May-17
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
MS. E.T.M. HOAGLAND
Mgmt
Split
85% For
15% Withheld
Split
 
2
MR. JEFFREY E. WACKSMAN
Mgmt
Split
86% For
14% Withheld
Split
2.
TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS THEREOF.
Mgmt
Split
40% For
58% Against
2% Abstain
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 3 of 59
 
riv
AMERICAN CAPITAL SENIOR FLOATING LTD
    
Security:
02504D108
Agenda Number:
934501075
Ticker:
ACSF
Meeting Type:
Annual
ISIN:
US02504D1081
Meeting Date:
16-Dec-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.1
ELECTION OF DIRECTOR: MALON WILKUS
Mgmt
For
For
1.2
ELECTION OF DIRECTOR: STAN LUNDINE
Mgmt
For
For
1.3
ELECTION OF DIRECTOR: PHYLLIS R. CALDWELL
Mgmt
For
For
1.4
ELECTION OF DIRECTOR: GIL CRAWFORD
Mgmt
For
For
1.5
ELECTION OF DIRECTOR: LARRY K. HARVEY
Mgmt
For
For
2.
APPROVAL OF AN AMENDMENT AND RESTATEMENT OF OUR MANAGEMENT AGREEMENT.
Mgmt
For
For
3.
APPROVAL AND RATIFICATION OF CERTAIN PAYMENTS MADE TO OUR MANAGER UNDER MANAGEMENT AGREEMENT.
Mgmt
Against
Against
4.
RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2016.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 4 of 59
 
riv
AMERICAN CAPITAL, LTD.
    
Security:
02503Y103
Agenda Number:
934495246
Ticker:
ACAS
Meeting Type:
Annual
ISIN:
US02503Y1038
Meeting Date:
15-Dec-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
ADOPTION OF THE MERGER AGREEMENT.
Mgmt
For
For
2.
APPROVAL, ON AN ADVISORY, NON- 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.
Mgmt
For
For
3.
APPROVAL OF ANY ADJOURNMENTS 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.
Mgmt
For
For
4A.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MARY C. BASKIN
Mgmt
For
For
4B.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: NEIL M. HAHL
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 5 of 59
 
Prop. # 
Proposal 
Proposed by
Proposal Vote 
For/Against
Management's
Recommendation
4C.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: PHILIP R. HARPER
Mgmt
For
For
4D.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: STAN LUNDINE
Mgmt
For
For
4E.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KRISTEN L. MANOS
Mgmt
For
For
    
4F.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: SUSAN K. NESTEGARD
Mgmt
For
For
4G.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KENNETH D. PETERSON, JR.
Mgmt
For
For
4H.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: ALVIN N. PURYEAR
Mgmt
For
For
4I.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MALON WILKUS
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 6 of 59
 
Prop. # 
Proposal 
Proposed by 
Proposal Vote
For/Against
Management's
Recommendation
4J.
ELECTION OF DIRECTOR TO SERVE UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: DAVID G. RICHARDS
Mgmt
For
For
5.
RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP TO SERVE AS AMERICAN CAPITAL'S INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2016.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 7 of 59
 
riv
ARES DYNAMIC
Security:
 04014F102
Agenda Number:
 934626574
Ticker:
 ARDC
Meeting Type:
 Annual
ISIN:
 US04014F1021
Meeting Date:
 29-Jun-17
 
Prop. # 
  
Proposal 
 Proposed by
Proposal Vote 
For/Against
Management's
Recommendation
1.
DIRECTOR
      
   
1
  
BRUCE H. SPECTOR
  
Mgmt
Split
96% For
4% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 8 of 59
 
riv
BLACKROCK
Security:
09258A107
Agenda Number:
934449390
Ticker:
BIT
Meeting Type:
Annual
ISIN:
US09258A1079
Meeting Date:
26-Jul-16
 
Prop. # 
  
Proposal 
 Proposed by
Proposal Vote 
For/Against
Management's
Recommendation
1.
DIRECTOR
      
 
1
CATHERINE A. LYNCH*
Mgmt
For
For
 
2
RICHARD E. CAVANAGH#
Mgmt
For
For
 
3
CYNTHIA L. EGAN#
Mgmt
For
For
 
4
JERROLD B. HARRIS#
Mgmt
For
For
 
5
BARBARA G. NOVICK#
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 9 of 59
 
riv
BLACKROCK DEBT STRATEGIES FD INC
Security:
09255R103
Agenda Number:
934449403
Ticker:
DSU
Meeting Type:
Annual
ISIN:
US09255R1032
Meeting Date:
26-Jul-16
 
Prop. # 
  Proposal  
Proposed by
  
Proposal Vote
For/Against
Management's
Recommendation
1.
DIRECTOR
      
 
1
MICHAEL J. CASTELLANO
Mgmt
For
For
 
2
RICHARD E. CAVANAGH
Mgmt
For
For
 
3
CYNTHIA L. EGAN
Mgmt
For
For
 
4
FRANK J. FABOZZI
Mgmt
For
For
 
5
JERROLD B. HARRIS
Mgmt
For
For
 
6
R. GLENN HUBBARD
Mgmt
For
For
 
7
W. CARL KESTER
Mgmt
For
For
 
8
CATHERINE A. LYNCH
Mgmt
For
For
 
9
BARBARA G. NOVICK
Mgmt
For
For
 
10
JOHN M. PERLOWSKI
Mgmt
For
For
 
11
KAREN P. ROBARDS
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 10 of 59
  
riv
BLACKSTONE FUNDS
    
Security:
09257D102
Agenda Number:
934539997
Ticker:
BGX
Meeting Type:
Annual
ISIN:
US09257D1028
Meeting Date:
19-Apr-17
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
EDWARD H. D'ALELIO
Mgmt
Split
99% For
 1% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 11 of 59
 
riv
BROOKFIELD INVESTMENT MANAGEMENT INC.
    
Security:
112830104
Agenda Number:
934619783
Ticker:
RA
Meeting Type:
Annual
ISIN:
US1128301041
Meeting Date:
25-May-17
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.1
ELECTION OF CLASS I DIRECTOR: LOUIS P. SALVATORE (INDEPENDENT DIRECTOR)
Mgmt
Split
87% For
12% Against
 1% Abstain
Split
1.2
ELECTION OF CLASS I DIRECTOR: DAVID LEVI (INTERESTED DIRECTOR)
Mgmt
Split
87% For
12% Against
 1% Abstain
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 12 of 59
  
riv
CLOUGH GLOBAL ALLOCATION FUND
    
Security:
18913Y103
Agenda Number:
934454303
Ticker:
GLV
Meeting Type:
Annual
ISIN:
US18913Y1038
Meeting Date:
20-Jul-16
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
JOHN F. MEE
Mgmt
Split
95% For
 5% Withheld
Split
 
2
VINCENT W. VERSACI
Mgmt
Split
98% For
 2% Withheld
Split
 
3
EDMUND J. BURKE
Mgmt
Split
95% For
 5% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 13 of 59
  
riv
CLOUGH GLOBAL EQUITY FUND
    
Security:
18914C100
Agenda Number:
934454315
Ticker:
GLQ
Meeting Type:
Annual
ISIN:
US18914C1009
Meeting Date:
20-Jul-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
2.
DIRECTOR
      
 
1
ROBERT L. BUTLER
Mgmt
Split
99% For
 1% Withheld
Split
 
2
RICHARD C. RANTZOW
Mgmt
Split
99% For
 1% Withheld
Split
 
3
VINCENT W. VERSACI
Mgmt
Split
99% For
 1% Withheld
Split
 
4
JAMES E. CANTY
Mgmt
Split
99% For
 1% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 14 of 59
  
riv
CLOUGH GLOBAL OPPORTUNITIES FUND
    
Security:
18914E106
Agenda Number:
934454290
Ticker:
GLO
Meeting Type:
Annual
ISIN:
US18914E1064
Meeting Date:
20-Jul-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
3.
DIRECTOR
      
 
1
ADAM D. CRESCENZI
Mgmt
Split
96% For
 4% Withheld
Split
 
2
JERRY G. RUTLEDGE
Mgmt
Split
96% For
 4% Withheld
Split
 
3
VINCENT W. VERSACI
Mgmt
Split
96% For
 4% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 15 of 59
 
riv
DEUTSCHE FUNDS 
  
Security:
25160E102
Agenda Number:
934473341
Ticker:
KMM
Meeting Type:
Contested Annual
ISIN:
US25160E1029
Meeting Date:
30-Sep-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
HENRY P. BECTON, JR.
Mgmt
No vote
  
 
2
PAUL K. FREEMAN
Mgmt
No vote
  
 
3
WILLIAM MCCLAYTON
Mgmt
No vote
  
 
4
JEAN GLEASON STROMBERG
Mgmt
No vote
  
2.
THE SHAREHOLDER PROPOSAL REQUESTING THAT THE BOARD OF THE FUND TAKE THE NECESSARY STEPS TO DECLASSIFY THE FUND'S BOARD OF TRUSTEES.
Shr
No vote
  
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 16 of 59
 
riv
EATON VANCE SHORT DURATION DIV INCOME FD  
Security:
27828V104
Agenda Number:
934517941
Ticker:
EVG
Meeting Type:
Annual
ISIN:
US27828V1044
Meeting Date:
16-Feb-17
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
MARK R. FETTING
Mgmt
Split
99% For
 1% Withheld
Split
 
2
VALERIE A. MOSLEY
Mgmt
Split
99% For
 1% Withheld
Split
 
3
HELEN FRAME PETERS
Mgmt
Split
99% For
 1% Withheld
Split
 
4
RALPH F. VERNI
Mgmt
Split
99% For
 1% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 17 of 59
 
riv
FIRST TRUST FUNDS  
Security:
337353304
Agenda Number:
934546093
Ticker:
FHY
Meeting Type:
Annual
ISIN:
US3373533047
Meeting Date:
24-Apr-17
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
ROBERT F. KEITH
Mgmt
Split
84% For
 16% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 18 of 59
 
riv
FRANKLIN TEMPLETON LTD DURATION INC TR 
Security:
35472T101
Agenda Number:
934479963
Ticker:
FTF
Meeting Type:
Contested Annual
ISIN:
US35472T1016
Meeting Date:
28-Oct-16
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
   1
HARRIS J. ASHTON
Mgmt
No vote
  
   2
EDITH E. HOLIDAY
Mgmt
No vote
  
   3
JOHN B. WILSON
Mgmt
No vote
  
2.
BE IT RESOLVED, THAT THE SHAREHOLDERS OF FRANKLIN LIMITED DURATION INCOME TRUST (THE "FUND"), REQUESTS THAT THE BOARD OF TRUSTEES (THE "BOARD") CONSIDER AUTHORIZING A SELF-TENDER OFFER FOR ALL OUTSTANDING SHARES OF THE FUND AT OR CLOSE TO NET ASSET VALUE ("NAV"). IF MORE THAN 50% OF THE FUND'S ..(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
Shr
No vote
  
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 19 of 59
 
riv
GABELLI CONVERTIBLE & INCOME SEC FD INC 
  
Security:
36240B109
Agenda Number:
934569320
Ticker:
GCV
Meeting Type:
Annual
ISIN:
US36240B1098
Meeting Date:
15-May-17
 
Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
1
VINCENT D. ENRIGHT
Mgmt
Split
98% For
 2% Withheld
Split
2
ANTHONIE C. VAN EKRIS
Mgmt
Split
98% For
 2% Withheld
Split
3
SALVATORE J. ZIZZA
Mgmt
Split
98% For
 2% Withheld
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 20 of 59

riv
GARRISON CAPITAL INC.
Security:
366554103
Agenda Number:
934543908
Ticker:
GARS
Meeting Type:
Annual
ISIN:
US3665541039
Meeting Date:
03-May-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
ELECTION OF DIRECTOR: MATTHEW WESTWOOD
Mgmt
Split
99% For
1% Against
Split
2.
TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE COMPANY AND GARRISON CAPITAL ADVISERS LLC, THE COMPANY'S INVESTMENT ADVISER
Mgmt
Split
99% For
1% Against
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 21 of 59
 
riv
GUGGENHEIM FUNDS
Security:
007639107
Agenda Number:
934477490
Ticker:
AGC
Meeting Type:
Annual
ISIN:
US0076391079
Meeting Date:
28-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
ELECTION OF CLASS I TRUSTEE: MR. GERALD L. SEIZERT
Mgmt
Split
58% For
31% Against
11% Abstain
Split
1B.
ELECTION OF CLASS I TRUSTEE: MR. DEREK MEDINA
Mgmt
Split
58% For
31% Against
11% Abstain
Split
1C.
ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. BARNES
Mgmt
Split
58% For
31% Against
11% Abstain
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 22 of 59
 
riv
GUGGENHEIM FUNDS
Security:
00764C109
Agenda Number:
934477503
Ticker:
AVK
Meeting Type:
Annual
ISIN:
US00764C1099
Meeting Date:
28-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
ELECTION OF CLASS I TRUSTEE: MR. GERALD L. SEIZERT
Mgmt
Split
71% For
27% Against
2% Abstain
Split
1B.
ELECTION OF CLASS I TRUSTEE: MR. DEREK MEDINA
Mgmt
Split
71% For
28% Against
1% Abstain
Split
1C.
ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. BARNES
Mgmt
Split
71% For
27% Against
2% Abstain
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 23 of 59
 
riv
GUGGENHEIM FUNDS
Security:
00765E104
Agenda Number:
934477515
Ticker:
LCM
Meeting Type:
Annual
ISIN:
US00765E1047
Meeting Date:
28-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
ELECTION OF CLASS III TRUSTEE: MR. GERALD L. SEIZERT
Mgmt
Split
55% For
25% Against
20% Abstain
Split
1B.
ELECTION OF CLASS III TRUSTEE: MR. DEREK MEDINA
Mgmt
Split
55% For
25% Against
20% Abstain
Split
1C.
ELECTION OF CLASS III TRUSTEE: MR. RANDALL C. BARNES
Mgmt
Split
55% For
25% Against
20% Abstain
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 24 of 59
 
riv
INVESCO
Security:
46131H107
Agenda Number:
934464506
Ticker:
VVR
Meeting Type:
Annual
ISIN:
US46131H1077
Meeting Date:
26-Aug-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
DIRECTOR
      
 
1
ALBERT R. DOWDEN
Mgmt
Split
98% For
2% Withheld
Split
 
2
ELI JONES
Mgmt
Split
98% For
2% Withheld
Split
 
3
RAYMOND STICKEL, JR.
Mgmt
Split
98% For
2% Withheld
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 25 of 59
 
riv
LAZARD WORLD DIVIDEND & INCOME FD, INC.
Security:
521076109
Agenda Number:
934550282
Ticker:
LOR
Meeting Type:
Annual
ISIN:
US5210761095
Meeting Date:
21-Apr-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
KENNETH S. DAVIDSON #
Mgmt
No vote
  
 
2
NANCY A. ECKL #
Mgmt
No vote
  
 
3
TREVOR W. MORRISON #
Mgmt
No vote
  
 
4
NATHAN A. PAUL *
Mgmt
No vote
  
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 26 of 59
 
riv
LEGG MASON
Security:
52469B100
Agenda Number:
934527473
Ticker:
BWG
Meeting Type:
Annual
ISIN:
US52469B1008
Meeting Date:
24-Feb-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
LESLIE H. GELB
Mgmt
No vote
  
 
2
JANE TRUST
Mgmt
No vote
  
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 27 of 59
 
riv
MADISON COVERED CALL & EQUITY STRGY FUND
Security:
557437100
Agenda Number:
934468225
Ticker:
MCN
Meeting Type:
Annual
ISIN:
US5574371002
Meeting Date:
08-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.A
DIRECTOR
      
 
1
STEVEN P. RIEGE
Mgmt
Split
60% For
40% Withheld
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 28 of 59
 
riv
MFS INTERMEDIATE HIGH INCOME FUND
Security:
59318T109
Agenda Number:
934474420
Ticker:
CIF
Meeting Type:
Annual
ISIN:
US59318T1097
Meeting Date:
06-Oct-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
DIRECTOR
      
 
1
MAUREEN R. GOLDFARB
Mgmt
Split
71% For
29% Withheld
Split
 
2
ROBERT J. MANNING
Mgmt
Split
71% For
29% Withheld
Split
 
3
MARYANNE L. ROEPKE
Mgmt
Split
71% For
29% Withheld
Split
 
4
LAURIE J. THOMSEN
Mgmt
Split
71% For
29% Withheld
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 29 of 59
 
riv
MFS MULTIMARKET INCOME TRUST
Security:
552737108
Agenda Number:
934474420
Ticker:
MMT
Meeting Type:
Annual
ISIN:
US5527371083
Meeting Date:
06-Oct-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
DIRECTOR
      
 
1
MAUREEN R. GOLDFARB
Mgmt
Split
84% For
16% Withheld
Split
 
2
ROBERT J. MANNING
Mgmt
Split
84% For
16% Withheld
Split
 
3
MARYANNE L. ROEPKE
Mgmt
Split
84% For
16% Withheld
Split
 
4
LAURIE J. THOMSEN
Mgmt
Split
84% For
16% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 30 of 59
 
riv
MVC CAPITAL, INC. 
  
Security:
553829102
Agenda Number:
934460774
Ticker:
MVC
Meeting Type:
Annual
ISIN:
US5538291023
Meeting Date:
30-Aug-16

Prop. #
Proposal 
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
EMILIO DOMINIANNI
Mgmt
Split
77% For
23% Withheld
Split
 
2
PHILLIP GOLDSTEIN
Mgmt
Split
93% For
7% Withheld
Split
 
3
GERALD HELLERMAN
Mgmt
Split
77% For
23% Withheld
Split
 
4
WARREN HOLTSBERG
Mgmt
Split
79% For
21% Withheld
Split
 
5
ROBERT KNAPP
Mgmt
Split
79% For
21% Withheld
Split
 
6
WILLIAM TAYLOR
Mgmt
Split
77% For
23% Withheld
Split
 
7
MICHAEL TOKARZ
Mgmt
Split
79% For
21% Withheld
Split
2.
TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 31 of 59
 
riv
NEUBERGER BERMAN REAL ESTATE SEC INC FD 
  
Security:
64190A103
Agenda Number:
934472298
Ticker:
NRO
Meeting Type:
Annual
ISIN:
US64190A1034
Meeting Date:
07-Sep-16

Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
 DIRECTOR      
 
1
FAITH COLISH
Mgmt
Split
88% For
12% Withheld
Split
 
2
MICHAEL J. COSGROVE
Mgmt
Split
88% For
12% Withheld
Split
 
3
DEBORAH C. MCLEAN
Mgmt
Split
88% For
12% Withheld
Split
 
4
TOM D. SEIP
Mgmt
Split
88% For
12% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 32 of 59
 
riv
NUVEEN GLOBAL VALUE OPPORTUNITIES FUND 
  
Security:
6706EH103
Agenda Number:
934472678
Ticker:
JGV
Meeting Type:
Annual
ISIN:
US6706EH1033
Meeting Date:
16-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
  DIRECTOR      
   1
 WILLIAM C. HUNTER
Mgmt
Split
94% For
6% Withheld
Split
   2
 JUDITH M. STOCKDALE
Mgmt
Split
94% For
6% Withheld
Split
   3
 CAROLE E. STONE
Mgmt
Split
94% For
6% Withheld
Split
   4
 MARGARET L. WOLFF
Mgmt
Split
94% For
6% Withheld
Split
2.
TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH NUVEEN GLOBAL EQUITY INCOME FUND (THE "TARGET FUND") WILL MERGE WITH AND INTO NNGEIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF NUVEEN NWQ GLOBAL EQUITY INCOME FUND (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
Mgmt
Split
97% For
1% Against
 2% Abstain
Split
3.
TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, LLC AND NWQ INVESTMENT MANAGEMENT COMPANY, LLC WITH RESPECT TO NUVEEN GLOBAL EQUITY INCOME FUND.
Mgmt
Split
94% For
2% Against
 4% Abstain
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 33 of 59
 
riv
NUVEEN INVESTMENTS 
  
Security:
670735109
Agenda Number:
934535595
Ticker:
JLS
Meeting Type:
Annual
ISIN:
US6707351093
Meeting Date:
06-Apr-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1B.
 DIRECTOR      
 
1
WILLIAM ADAMS IV
Mgmt
Split
98% For
2% Withheld
Split
 
2
DAVID J. KUNDERT
Mgmt
Split
98% For
2% Withheld
Split
 
3
JOHN K. NELSON
Mgmt
Split
98% For
2% Withheld
Split
 
4
TERENCE J. TOTH
Mgmt
Split
98% For
2% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 34 of 59
 
riv
NUVEEN PREFERED & CONVERTIBLE INCOME 2
    
Security:
67073D102
Agenda Number:
934535595
Ticker:
JQC
Meeting Type:
Annual
ISIN:
US67073D1028
Meeting Date:
06-Apr-17

Prop. #
Proposal 
Proposed by
Proposal Vote
For/Against Management's Recommendation
1B.
  DIRECTOR      
 
1
WILLIAM ADAMS IV
Mgmt
For
For
 
2
DAVID J. KUNDERT
Mgmt
For
For
 
3
JOHN K. NELSON
Mgmt
For
For
 
4
TERENCE J. TOTH
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 35 of 59
 
riv
OHA INVESTMENT CORPORATION
    
Security:
67091U102
Agenda Number:
934617474
Ticker:
OHAI
Meeting Type:
Annual
ISIN:
US67091U1025
Meeting Date:
07-Jun-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
ELECTION OF CLASS I DIRECTOR: JAMES A. STERN
Mgmt
Split
81% For
18% Against
1% Abstain
Split
2.
TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
Mgmt
Split
97% For
2% Against
 1% Abstain
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 36 of 59
 
riv
PACHOLDER HIGH YIELD FUND, INC.
    
Security:
693742108
Agenda Number:
934544114
Ticker:
PHF
Meeting Type:
Annual
ISIN:
US6937421088
Meeting Date:
10-May-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
 TO CONSIDER AND VOTE UPON A PROPOSAL THAT THE FUND BE LIQUIDATED AND DISSOLVED PURSUANT TO A PLAN OF LIQUIDATION AND DISSOLUTION.
Mgmt
Split
89% For
7% Against
 4% Abstain
Split
2.
DIRECTOR
      
 
1
JOHN F. FINN
Mgmt
Split
87% For
13% Withheld
Split
 
2
DR. MATTHEW GOLDSTEIN
Mgmt
Split
86% For
14% Withheld
Split
 
3
FRANKIE D. HUGHES
Mgmt
Split
87% For
13% Withheld
Split
 
4
PETER C. MARSHALL
Mgmt
Split
86% For
14% Withheld
Split
 
5
MARY E. MARTINEZ
Mgmt
Split
87% For
13% Withheld
Split
 
6
MARILYN MCCOY
Mgmt
Split
87% For
13% Withheld
Split
 
7
MITCHELL M. MERIN
Mgmt
Split
87% For
13% Withheld
Split
 
8
DR. ROBERT A. ODEN, JR.
Mgmt
Split
86% For
14% Withheld
Split
 
9
MARIAN U. PARDO
Mgmt
Split
87% For
13% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 37 of 59

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
 
10
FREDERICK W. RUEBECK
Mgmt
Split
86% For
14% Withheld
Split
 
11
JAMES J. SCHONBACHLER
Mgmt
Split
87% For
 13% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 38 of 59
 
riv
PRUDENTIAL INVESTMENTS CLOSED END FUNDS
    
Security:
74433A109
Agenda Number:
934521142
Ticker:
GHY
Meeting Type:
Annual
ISIN:
US74433A1097
Meeting Date:
10-Mar-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
 DIRECTOR      
 
1
KEVIN J. BANNON
Mgmt
Split
98% For
2% Withheld
Split
 
2
KEITH F. HARTSTEIN
Mgmt
Split
98% For
2% Withheld
Split
 
3
STEPHEN G. STONEBURN
Mgmt
Split
98% For
2% Withheld
Split
 
4
GRACE C. TORRES
Mgmt
Split
98% For
2% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 39 of 59
 
riv
ROYCE VALUE TRUST, INC.
    
Security:
780910105
Agenda Number:
934466461
Ticker:
RVT
Meeting Type:
Annual
ISIN:
US7809101055
Meeting Date:
19-Sep-16

Prop. #
Proposal 
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
 DIRECTOR      
 
1
PATRICIA W. CHADWICK
Mgmt
Split
96% For
4% Withheld
Split
 
2
ARTHUR S. MEHLMAN
Mgmt
Split
97% For
3% Withheld
Split
 
3
MICHAEL K. SHIELDS
Mgmt
Split
97% For
3% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 40 of 59
 
riv
SPECIAL OPPORTUNITIES FUND, INC
    
Security:
84741T302
Agenda Number:
934499698
Ticker:
SPEPRB
Meeting Type:
Annual
ISIN:
  
Meeting Date:
08-Dec-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
 DIRECTOR      
 
1
MR. PHILLIP GOLDSTEIN
Mgmt
For
For
 
2
MR. MARC LUNDER
Mgmt
For
For
 
3
MR. ANDREW DAKOS
Mgmt
For
For
 
4
MR. GERALD HELLERMAN
Mgmt
For
For
 
5
MR. CHARLES WALDEN
Mgmt
For
For
 
6
MR. BEN HARRIS
Mgmt
For
For
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
       
Page 41 of 59
 
riv
SPECIAL OPPORTUNITIES FUND, INC
    
Security:
84741T104
Agenda Number:
934500302
Ticker:
SPE
Meeting Type:
Annual
ISIN:
US84741T1043
Meeting Date:
08-Dec-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
MR. ANDREW DAKOS
Mgmt
Split
84% For
 16% Withheld
Split
 
2
MR. GERALD HELLERMAN
Mgmt
Split
83% For
 17% Withheld
Split
 
3
MR. CHARLES WALDEN
Mgmt
Split
98% For
 2% Withheld
Split
 
4
MR. BEN HARRIS
Mgmt
Split
97% For
 3% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
       
Page 42 of 59
 
riv
SPROTT FUNDS
    
Security:
85208J109
Agenda Number:
934469746
Ticker:
FUND
Meeting Type:
Annual
ISIN:
US85208J1097
Meeting Date:
20-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
MICHAEL W. CLARK
Mgmt
Split
97% For
3% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
       
Page 43 of 59
 
riv
TEMPLETON EMERGING MKTS INCOME FUND
    
Security:
880192109
Agenda Number:
934517840
Ticker:
TEI
Meeting Type:
Annual
ISIN:
US8801921094
Meeting Date:
01-Mar-17

Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
HARRIS J. ASHTON
Mgmt
Split
96% For
 4% Withheld
Split
 
2
EDITH E. HOLIDAY
Mgmt
Split
96% For
 4% Withheld
Split
 
3
J. MICHAEL LUTTIG
Mgmt
Split
96% For
 4% Withheld
Split
 
4
C.D. TSERETOPOULOS
Mgmt
Split
96% For
 4% Withheld
Split
 
5
MARY C. CHOKSI
Mgmt
Split
96% For
 4% Withheld
Split
2.
THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FUND FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
Mgmt
Split
96% For
2% Against
 2% Abstain
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
       
Page 44 of 59
 
riv
THE BROOKFIELD INVESTMENT FUNDS
    
Security:
112792106
Agenda Number:
934461497
Ticker:
BOI
Meeting Type:
Special
ISIN:
US1127921062
Meeting Date:
16-Sep-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
TO CONSIDER AND VOTE UPON THE PROPOSED REORGANIZATION OF THE FUND INTO BROOKFIELD REAL ASSETS INCOME FUND INC., A NEWLY ORGANIZED MARYLAND CORPORATION.
Mgmt
Split
86% For
13% Against
 1% Abstain
Split
2.
TO CONSIDER AND VOTE UPON THE APPOINTMENT OF SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. AS SUB-ADVISER.
Mgmt
Split
94% For
4% Against
 2% Abstain
Split
Investment Company Report

Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
       
Page 45 of 59
 
riv
THE BROOKFIELD INVESTMENT FUNDS
    
Security:
112792106
Agenda Number:
934493230
Ticker:
BOI
Meeting Type:
Special
ISIN:
US1127921062
Meeting Date:
18-Nov-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
TO CONSIDER AND VOTE UPON THE PROPOSED REORGANIZATION OF THE FUND INTO BROOKFIELD REAL ASSETS INCOME FUND INC., A NEWLY ORGANIZED MARYLAND CORPORATION.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 46 of 59
 
riv
THE ZWEIG FUND, INC.
Security:
989834A05
Agenda Number:
934513525
Ticker:
  
Meeting Type:
Special
ISIN:
  
Meeting Date:
31-Jan-17

Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
WILLIAM R. MOYER
Mgmt
Split
87% For
 13% Withheld
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
      
Page 47 of 59
 
riv
THE ZWEIG FUND, INC.
    
Security:
989834205
Agenda Number:
934513537
Ticker:
ZF
Meeting Type:
Special
ISIN:
US9898342053
Meeting Date:
31-Jan-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A.
TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE FUND AND VIRTUS INVESTMENT ADVISERS, INC. (“VIA”).
Mgmt
Split
85% For
7% Against
 8% Abstain
Split
1B.
TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN VIA AND DUFF & PHELPS INVESTMENT MANAGEMENT, CO.
Mgmt
Split
85% For
7% Against
 8% Abstain
Split
1C.
TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN VIA AND NEWFLEET ASSET MANAGEMENT, LLC.
Mgmt
Split
85% For
7% Against
 8% Abstain
Split
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 48 of 59
 
riv
THE ZWEIG FUND, INC.
    
Security:
989834205
Agenda Number:
934528906
Ticker:
ZF
Meeting Type:
Special
ISIN:
US9898342053
Meeting Date:
07-Mar-17

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
2.
TO APPROVE THE ISSUANCE OF ADDITIONAL SHARES OF COMMON STOCK OF THE ZWEIG FUND, INC. IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 49 of 59
 
riv
THE ZWEIG TOTAL RETURN FUND, INC.
    
Security:
989837208
Agenda Number:
934492783
Ticker:
  
Meeting Type:
Special
ISIN:
  
Meeting Date:
18-Nov-16

Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1A)
TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE FUND AND VIRTUS INVESTMENT ADVISERS, INC. (“VIA”).
Mgmt
For
For
1B)
TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN VIA AND KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC.
Mgmt
For
For
1C)
TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN VIA AND NEWFLEET ASSET MANAGEMENT, LLC.
Mgmt
For
For
Investment Company Report
 
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 50 of 59
 
riv
THE ZWEIG TOTAL RETURN FUND, INC.
    
Security:
989837A00
Agenda Number:
934492771
Ticker:
  
Meeting Type:
Special
ISIN:
  
Meeting Date:
18-Nov-16

Prop. #
  
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
WILLIAM R. MOYER
Mgmt
For
For
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 51 of 59

riv
VIRTUS INVESTMENT PARTNERS
  
Security:
92829A103
Agenda Number:
934528893
Ticker:
DCA
Meeting Type:
Special
ISIN:
US92829A1034
Meeting Date:
07-Mar-17
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
TO APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN VIRTUS TOTAL RETURN FUND ("DCA") AND THE ZWEIG FUND, INC. ("ZF") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF DCA WITH AND INTO ZF.
Mgmt
Split
94% For
5% Against
 1% Abstain
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 52 of 59

riv
VIRTUS MUTUAL FUNDS 
  
Security:
92837G100
Agenda Number:
934618010
Ticker:
ZF
Meeting Type:
Annual
ISIN:
US92837G1004
Meeting Date:
06-Jun-17
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
R. KEITH WALTON
Mgmt
Split
90% For
 10% Withheld
Split
 
2
BRIAN T. ZINO
Mgmt
Split
90% For
 10% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 53 of 59

riv
VOYA EMERGING MKTS HIGH DIV EQUITY FUND 
  
Security:
92912P108
Agenda Number:
934425605
Ticker:
IHD
Meeting Type:
Annual
ISIN:
US92912P1084
Meeting Date:
07-Jul-16
 
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
JOHN V. BOYER
Mgmt
Split
58% For
 42% Withheld
Split
 
2
PATRICIA W. CHADWICK
Mgmt
Split
58% For
 42% Withheld
Split
 
3
SHERYL K. PRESSLER
Mgmt
Split
58% For
 42% Withheld
Split
 
4
CHRISTOPHER P. SULLIVAN
Mgmt
Split
58% For
 42% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 54 of 59

riv
VOYA PRIME RATE TRUST 
  
Security:
92913A100
Agenda Number:
934424627
Ticker:
PPR
Meeting Type:
Annual
ISIN:
US92913A1007
Meeting Date:
07-Jul-16
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
COLLEEN D. BALDWIN
Mgmt
Split
97% For
 3% Withheld
Split
 
2
JOHN V. BOYER
Mgmt
Split
97% For
 3% Withheld
Split
 
3
PATRICIA W. CHADWICK
Mgmt
Split
97% For
 3% Withheld
Split
 
4
PETER S. DROTCH
Mgmt
Split
97% For
 3% Withheld
Split
 
5
MARTIN J. GAVIN
Mgmt
Split
97% For
 3% Withheld
Split
 
6
RUSSELL H. JONES
Mgmt
Split
97% For
 3% Withheld
Split
 
7
PATRICK W. KENNY
Mgmt
Split
97% For
 3% Withheld
Split
 
8
JOSEPH E. OBERMEYER
Mgmt
Split
98% For
 2% Withheld
Split
 
9
SHERYL K. PRESSLER
Mgmt
Split
97% For
 3% Withheld
Split
 
10
CHRISTOPHER P. SULLIVAN
Mgmt
Split
97% For
 3% Withheld
Split
 
11
ROGER B. VINCENT
Mgmt
Split
97% For
 3% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 55 of 59
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
 
12
SHAUN P. MATHEWS
Mgmt
Split
97% For
 3% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 56 of 59

riv
WELLS FARGO ADVANTAGE FUNDS 
  
Security:
94987D101
Agenda Number:
934520328
Ticker:
ERC
Meeting Type:
Annual
ISIN:
US94987D1019
Meeting Date:
06-Feb-17
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
ISAIAH HARRIS, JR.
Mgmt
Split
96% For
 4% Withheld
Split
 
2
DAVID F. LARCKER
Mgmt
Split
96% For
 4% Withheld
Split
 
3
OLIVIA S. MITCHELL
Mgmt
Split
96% For
 4% Withheld
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 57 of 59

riv
WESTERN ASSET EMERGING MARKETS INCOME FD 
  
Security:
95766E103
Agenda Number:
934478238
Ticker:
EMD
Meeting Type:
Annual
ISIN:
US95766E1038
Meeting Date:
30-Sep-16
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
CAROL L. COLMAN
Mgmt
No vote
  
 
2
DANIEL P. CRONIN
Mgmt
No vote
  
 
3
WILLIAM R. HUTCHINSON
Mgmt
No vote
  
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 58 of 59
  
riv
WESTERN ASSET EMERGING MARKETS INCOME FD 
  
Security:
95766E103
Agenda Number:
934486526
Ticker:
EMD
Meeting Type:
Special
ISIN:
US95766E1038
Meeting Date:
12-Dec-16
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
THE STOCKHOLDERS OF THE FUND ARE BEING ASKED TO APPROVE THE MERGER OF THE FUND WITH AND INTO WESTERN ASSET EMERGING MARKETS DEBT FUND INC. IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW.
Mgmt
Split
82% For
16% Against
 2% Abstain
Split
Investment Company Report
  
Meeting Date Range:
01-Jul-2016 - 30-Jun-2017
Report Date:
23-Aug-2017
     
Page 59 of 59

riv
WESTERN ASSET EMERGING MKTS DEBT FD INC. 
  
Security:
95766A101
Agenda Number:
934574167
Ticker:
EMD
Meeting Type:
Annual
ISIN:
US95766A1016
Meeting Date:
28-Apr-17
  
Prop. #
Proposal
Proposed by
Proposal Vote
For/Against Management's Recommendation
1.
DIRECTOR
      
 
1
ROBERT D.AGDERN
Mgmt
Split
97% For
 3% Withheld
Split
 
2
EILEEN A. KAMERICK
Mgmt
Split
97% For
 3% Withheld
Split
 
3
RIORDAN ROETT
Mgmt
Split
96% For
 4% Withheld
Split
SIGNATURE

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.

 
RiverNorth Opportunities Fund, Inc.
  
       
 
By:
/s/ Thomas A. Carter
  
   
Thomas A. Carter
  
   
President
  
       
 
Date:
August 29, 2017