0001193125-20-225259.txt : 20200820 0001193125-20-225259.hdr.sgml : 20200820 20200820101529 ACCESSION NUMBER: 0001193125-20-225259 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200820 DATE AS OF CHANGE: 20200820 EFFECTIVENESS DATE: 20200820 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TCW STRATEGIC INCOME FUND INC CENTRAL INDEX KEY: 0000809559 IRS NUMBER: 930939398 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-04980 FILM NUMBER: 201119099 BUSINESS ADDRESS: STREET 1: 865 S FIGUEROA ST STE 1800 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 2132440000 MAIL ADDRESS: STREET 1: 865 S. FIGUEROA STREET, STREET 2: SUITE 1800 CITY: LOSANGELES STATE: CA ZIP: 90017 FORMER COMPANY: FORMER CONFORMED NAME: TCW CONVERTIBLE SECURITIES FUND INC DATE OF NAME CHANGE: 19920703 N-PX 1 d937823dnpx.htm FORM N-PX Form N-PX

As filed with the Securities and Exchange Commission on August 20, 2020.

 

 

 

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: 811-04980

 

 

TCW Strategic Income Fund, Inc.

(Exact Name of Registrant as Specified in Charter)

 

 

865 South Figueroa Street, Suite 1800, Los Angeles, CA 90017

(Address of Principal Executive Offices) (Zip Code)

 

 

Patrick W. Dennis, Esq.

Vice President and Assistant Secretary

865 South Figueroa Street, Suite 1800

Los Angeles, CA 90017

(Name and Address of Agent for Service)

 

 

Registrant’s Telephone Number, including Area Code: (213) 244-0000

Date of fiscal year end: December 31

Date of reporting period: July 1, 2019 – June 30, 2020

 

 

 


Item 1. Proxy Voting Record

 

Issuer Name    Ticker    Security ID    Meeting
Date
   Proposal Text    Proponent    Voted?    Vote Cast    For Against
Management
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Francine J. Bovich    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Katie B. Fallon    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect David L. Finkelstein    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Thomas Hamilton    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Kathy H. Hannan    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect John H. Schaefer    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Glenn A. Votek    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Elect Vicki Williams    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Advisory Vote on Executive Compensation    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Approval of the 2020 Equity Incentive Plan    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Ratification of Auditor    Mgmt    Voted    For    For
Annaly Capital Management, Inc.    NLY    035710409    5/20/2020    Shareholder Proposal Regarding Right to Act by Written Consent    ShrHoldr    Voted    For    N/A
BP plc    BP    055622104    5/27/2020    Accounts and Reports    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Remuneration Report (Advisory)    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Remuneration Policy (Binding)    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Bernard Looney    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Brian Gilvary    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Alison J. Carnwath    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Pamela Daley    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Ian E.L. Davis    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Dame Ann Dowling    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Helge Lund    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Melody B. Meyer    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Brendan R. Nelson    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect Paula Rosput Reynolds    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Elect John Sawers    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Appointment of Auditor    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Set Auditor’s Fees    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Executive Incentive Plan    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authorisation of Political Donations    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Issue Shares w/ Preemptive Rights    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Issue Shares w/o Preemptive Rights    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Issue Shares w/o Preemptive Rights (Specified Capital Investment)    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Repurchase Shares    Mgmt    Voted    For    For
BP plc    BP    055622104    5/27/2020    Authority to Set General Meeting Notice Period at 14 Days    Mgmt    Voted    Against    Against
Chevron Corporation    CVX    166764100    5/27/2020    Elect Wanda M. Austin    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect John B. Frank    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Alice P. Gast    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Enrique Hernandez, Jr.    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Charles W. Moorman IV    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Dambisa F. Moyo    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Debra L. Reed-Klages    Mgmt    Voted    For    For


Chevron Corporation    CVX    166764100    5/27/2020    Elect Ronald D. Sugar    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect D. James Umpleby III    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Elect Michael K. Wirth    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Ratification of Auditor    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Advisory Vote on Executive Compensation    Mgmt    Voted    For    For
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Lobbying Report    ShrHoldr    Voted    Against    For
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Formation of Climate Change Committee    ShrHoldr    Voted    Against    For
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Lobbying Activity Alignment with the Paris Agreement    ShrHoldr    Voted    Against    For
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Report on Risks of Gulf Coast Petrochemical Investments    ShrHoldr    Voted    For    Against
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Report on Human Rights Risks    ShrHoldr    Voted    Against    For
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Right to Call Special Meetings    ShrHoldr    Voted    For    Against
Chevron Corporation    CVX    166764100    5/27/2020    Shareholder Proposal Regarding Independent Chair    ShrHoldr    Voted    For    Against
ConocoPhillips    COP    20825C104    5/12/2020    Elect Charles E. Bunch    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Caroline Maury Devine    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect John V. Faraci    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Jody Freeman    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Gay Huey Evans    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Jeffrey A. Joerres    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Ryan M. Lance    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect William H. McRaven    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Sharmila Mulligan    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Arjun N. Murti    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect Robert A. Niblock    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect David T. Seaton    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Elect R. A. Walker    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Ratification of Auditor    Mgmt    Voted    For    For
ConocoPhillips    COP    20825C104    5/12/2020    Advisory Vote on Executive Compensation    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Susan K. Avery    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Angela F. Braly    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Ursula M. Burns    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Kenneth C. Frazier    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Joseph L. Hooley    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Steven A. Kandarian    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Douglas R. Oberhelman    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Samuel J. Palmisano    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect William C. Weldon    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Elect Darren W. Woods    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Ratification of Auditor    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Advisory Vote on Executive Compensation    Mgmt    Voted    For    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Independent Chair    ShrHoldr    Voted    Abstain    Against


Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Right to Call Special Meetings    ShrHoldr    Voted    For    Against
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Report on Climate-related Activities    ShrHoldr    Voted    Against    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Report on Risks of Gulf Coast Petrochemical Investments    ShrHoldr    Voted    For    Against
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Political Contributions and Expenditures Report    ShrHoldr    Voted    Against    For
Exxon Mobil Corporation    XOM    30231G102    5/27/2020    Shareholder Proposal Regarding Lobbying Report    ShrHoldr    Voted    Against    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Linda B. Bammann    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Stephen B. Burke    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Todd A. Combs    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect James S. Crown    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect James Dimon    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Timothy P. Flynn    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Mellody Hobson    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Michael A. Neal    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Lee R. Raymond    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Elect Virginia M. Rometty    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Advisory Vote on Executive Compensation    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Ratification of Auditor    Mgmt    Voted    For    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Independent Chair    ShrHoldr    Voted    For    Against
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Oil Sands and Arctic Oil and Gas Reputational Risk Report    ShrHoldr    Voted    For    Against
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Aligning GHG Reductions with Paris Agreement    ShrHoldr    Voted    Against    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Reducing Ownership Threshold Required to Act by Written Consent    ShrHoldr    Voted    For    Against
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Charitable Contributions Disclosure    ShrHoldr    Voted    Against    For
JPMorgan Chase & Co.    JPM    46625H100    5/19/2020    Shareholder Proposal Regarding Median Gender and Racial Pay Equity Report    ShrHoldr    Voted    Against    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Accounts and Reports    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Remuneration Policy (Binding)    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Remuneration Report (Advisory)    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Dick Boer    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Andrew Mackenzie    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Martina Hund-Mejean    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Ben Van Beurden    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Neil A.P. Carson    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Ann F. Godbehere    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Euleen GOH Yiu Kiang    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Charles O. Holliday, Jr.    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Catherine J. Hughes    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Sir Nigel Sheinwald    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Jessica Uhl    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Elect Gerrit Zalm    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Appointment of Auditor    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Authority to Set Auditor’s Fees    Mgmt    Voted    For    For


Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Authority to Issue Shares w/ Preemptive Rights    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Authority to Issue Shares w/o Preemptive Rights    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Authority to Repurchase Shares    Mgmt    Voted    For    For
Royal Dutch Shell Plc    RDSB    780259206    5/19/2020    Shareholder Proposal Regarding GHG Reduction Targets    ShrHoldr    Voted    Against    For
Total SA    FP    89151E109    5/29/2020    Accounts and Reports    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Consolidated Accounts and Reports    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Allocation of Profits/Dividends; Scrip Dividend    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Repurchase and Reissue Shares    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Special Auditors Report on Regulated Agreements    Mgmt    Voted    Against    Against
Total SA    FP    89151E109    5/29/2020    Elect Patricia Barbizet    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Elect Marie-Christine Coisne-Roquette    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Elect Mark Cutifani    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Elect Jerome Contamine    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Remuneration Report    Mgmt    Voted    Abstain    Against
Total SA    FP    89151E109    5/29/2020    Directors’ Fees    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Remuneration of Patrick Pouyanne, Chair and CEO    Mgmt    Voted    Abstain    Against
Total SA    FP    89151E109    5/29/2020    Remuneration Policy (Chair and CEO)    Mgmt    Voted    Abstain    Against
Total SA    FP    89151E109    5/29/2020    Adoption of New Articles, Subsequent to the Conversion of Corporate Form to Societas Europaea (“SE”) and Harmonisation with Law PACTE    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Issue Shares and Convertible Debt w/ Preemptive Rights    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Issue Shares and Convertible Debt w/o Preemptive Rights    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Issue Shares and Convertible Debt Through Private Placement    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Greenshoe    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Increase Capital in Consideration for Contributions In Kind    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Employee Stock Purchase Plan    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Authority to Grant Stock Options    Mgmt    Voted    For    For
Total SA    FP    89151E109    5/29/2020    Shareholder Proposal A Regarding GHG Reduction Targets    ShrHoldr    Voted    Against    For


SIGNATURES

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

 

TCW Strategic Income Fund, Inc.

  (Registrant)
By:  

/s/ David S. DeVito

  David S. DeVito
  President and Chief Executive Officer
  Date: August 20, 2020