|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Black Ridge Acquistion Corp.
|
7/9/2019
|
09216T107
|
BRAC
|
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
|
For
|
For
|
1. Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 10, 2019.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gordon Pointe Acq.
|
7/26/2019
|
382788107
|
GPAQ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from July 30, 2019 to
October 31, 2019, plus an option for the Company to further extend such date up to three times, each by an additional 30 days
|
Issuer
|
|
For
|
For
|
2. Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend
the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from July 30, 2019 to October 31, 2019, plus an
option for the Company to further extend such date up to three times, each by an additional 30 days.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Apollo Investment Corp.
|
8/6/2019
|
03761U502
|
AINV
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Elliot Stein, Jr.
|
|||
|
Bradley J. Wechsler
|
|||
|
James C. Zelter
|
|||
|
Mirror vote
|
For
|
2. To ratify the selection of PricewaterhouseCoopers LLP as Apollo Investment Corporation's (the "Company") independent registered public accounting firm for the fiscal year ending March 31, 2020.
|
Issuer
|
|
Mirror Vote
|
N/A
|
2. For the Board to consider declassifying the Board so that all directors are elected on an annual basis starting at the next annual meeting of shareholders.
|
Shareholder
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Invesco Dynamic Credit Opp Fund
|
8/9/2019
|
46132R104
|
VTA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Cynthia Hostetler
|
|||
|
Eli Jones
|
|||
|
Ann Barnett Stern
|
|||
|
Raymond Stickel, Jr.
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Invesco High Income Trust II
|
8/9/2019
|
46131F101
|
VLT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Cynthia Hostetler
|
|||
|
Eli Jones
|
|||
|
Prema Mathai-Davis
|
|||
|
Ann Barnett Stern
|
|||
|
Raymond Stickel, Jr.
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Invesco Senior Income Trust
|
8/9/2019
|
46131H107
|
VVR
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Cynthia Hostetler
|
|||
|
Eli Jones
|
|||
|
Ann Barnett Stern
|
|||
|
Raymond Stickel, Jr.
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
First Tr SR Float Rate 2020 TGT
|
9/9/2019
|
33740K101
|
FIV
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. Election of Class II Trustee: Niel B. Nielson
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
First Trust Senior FL Rate II
|
9/9/2019
|
33733U108
|
FCT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1.1 Election of Class III Trustee: James A. Bowen
|
Issuer
|
|
1.2 Election of Class III Trustee: Robert F. Keith
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Eaton Vance Senior Income Trust
|
10/17/2019
|
27826S103
|
EVF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
George J. Gorman
|
|||
|
Marcus L. Smith
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset GBL high Income
|
10/25/2019
|
95766B109
|
EHI
|
|
Vote
|
Shareholder Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. DIRECTOR
|
Shareholder
|
|
David Basile
|
|||
|
Frederic Gabriel
|
|||
|
For
|
For
|
2. For the board to consider declassifying the board so that all directors are elected on an annual basis starting at the next annual meeting of stockholders.
|
Shareholder
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Sentinel Energy Services
|
11/6/2019
|
81728P105
|
SNTL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. To amend the Company's certificate of incorporation ("charter") to extend the date by which Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or
similar business combination, involving the Company and one or more businesses, which we refer to as a "business combination" from November 7, 2019 to May 31, 2020 (or August 31, 2020 if we have executed a definitive agreement or binding
term sheet for an initial business combination by May 31, 2020) (the "Extension Amendment Proposal").
|
Issuer
|
|
For
|
For
|
2. To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for,
or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal").
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
OHA Investment Corp.
|
12/12/2019
|
67091U102
|
OHAI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. To approve the merger of Storm Acquisition Sub Inc., a wholly owned subsidiary of Portman Ridge Finance Corporation ("PTMN"), with and into OHA Investment Corporation ("OHAI") (the "Merger Proposal"), after
which OHAI will merge immediately with and into PTMN.
|
Issuer
|
|
Mirror vote
|
For
|
2. To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the Special Meeting to approve
the Merger Proposal.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Leisure Acquistion
|
11/26/2019
|
52539T107
|
LACQ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5,
2019 to April 5, 2020.
|
Issuer
|
|
For
|
For
|
2. Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the
date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020.
|
Issuer
|
|
For
|
For
|
3. DIRECTOR
|
Issuer
|
|
Steven M. Rittvo
|
|||
|
David L. Weinstein
|
|||
|
For
|
For
|
4. Auditor Proposal: Proposal to ratify the selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019.
|
Issuer
|
|
For
|
For
|
5. Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the
Special Meeting, there are not sufficient votes to approve any of the foregoing proposals.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Albertson Acquisition
|
12/31/2019
|
G35006108
|
ALAC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. DIRECTOR
|
Issuer
|
|
Bin (Ben) Wang
|
|||
|
Guan Wang
|
|||
|
Harry Edelson
|
|||
|
John W. Allen
|
|||
|
Howard Jiang
|
|||
|
For
|
For
|
2. To ratify the appointment of Friedman LLP ("Friedman") as the Company's independent registered public accounting firm to audit the Company's financial statements for the fiscal year ended December 31, 2018
and the fiscal year then ending December 31, 2019.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Eaton Vance LTD Duration Income FD
|
1/16/2020
|
27828H105
|
EVV
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Thomas E. Faust Jr.
|
|||
|
Mark R. Fetting
|
|||
|
Keith Quinton
|
|||
|
Mirror vote
|
For
|
2. A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
`Alcentra Capital
|
1/29/2020
|
01374T102
|
ABDC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote via legal proxy
|
For
|
1. To approve the merger of a wholly-owned subsidiary of Crescent Capital BDC, Inc. with and into the Company, as contemplated by the Agreement and Plan of Merger, dated August 12, 2019, as amended, by and
among Crescent Capital BDC, Inc., Atlantis Acquisition Sub, Inc., the Company and Crescent Cap Advisors, LLC ("Proposal 1").
|
Issuer
|
|
Mirror vote via legal proxy
|
For
|
2. To approve the adjournment of the Special Meeting to another time and place to permit further solicitation of proxies, if necessary or appropriate, to obtain additional proxies if there are not sufficient
votes to approve Proposal 1.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gordon Pointe Acq.
|
1/24/2020
|
382788107
|
GPAQ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business
combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days.
|
Issuer
|
|
For
|
For
|
2. Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to
extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from January 29, 2020 to February 29,
2020, plus an option for the Company to further extend such date for an additional 30 days.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
First Tr High Income L/S Fund
|
3/9/2020
|
33738E109
|
FSD
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
01. Robert F. Keith
|
|||
|
Mirror vote
|
For
|
2. If properly presented at the Meeting, a shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PGIM Global High Yield
|
3/9/2020
|
69346J106
|
GHY
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Kevin J. Bannon
|
|||
|
Keith F. Hartstein
|
|||
|
Grace C. Torres
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Forum Merger II Corp
|
2/7/2020
|
34986F103
|
FMCI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. The Extension Amendment Proposal - amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a merger, capital stock exchange,
asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses from February 7, 2020 to June 10, 2020 or such earlier date as determined by the Company's board of directors in its sole
discretion (the "Extension Amendment Proposal").
|
Issuer
|
|
For
|
For
|
2. DIRECTOR
|
Issuer
|
|
Neil Goldberg
|
|||
|
Richard Katzman
|
|||
|
Steven Berns
|
|||
|
For
|
For
|
3. The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that
there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal").
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Franklin Universal Trust
|
3/12/2020
|
355145103
|
FT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
DIRECTOR
|
Issuer
|
|
1. Harris J. Ashton
|
|||
|
Terrence J. Checki
|
|||
|
Mary C. Choksi
|
|||
|
Edith E. Holiday
|
|||
|
Gregory E. Johnson
|
|||
|
Rupert H. Johnson, Jr.
|
|||
|
J. Michael Luttig
|
|||
|
Larry D. Thompson
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset High Inc Opp Fd
|
3/20/2020
|
95766K109
|
HIO
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1.1 Election of Class I Director: Robert D. Agdern
|
Issuer
|
|
Mirror vote
|
For
|
1.2 Election of Class I Director: Carol L. Colman, CFA
|
Issuer
|
|
Mirror vote
|
For
|
1.3 Election of Class I Director: Daniel P. Cronin
|
Issuer
|
|
Mirror vote
|
For
|
2. To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended September 30, 2020.
|
Issuer
|
|
Mirror vote
|
Against
|
3. A non-binding proposal put forth by Saba Capital Management, L.P. regarding a self-tender offer, if properly presented before the Meeting.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Corp Loan Fund
|
3/20/2020
|
95790J102
|
TLI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.1 Election of Director: Phillip Goldstein
|
Shareholder
|
|
For
|
For
|
1.2 Election of Director: Andrew Dakos
|
Shareholder
|
|
For
|
For
|
1.3 Election of Director: Rajeev Das
|
Shareholder
|
|
For
|
For
|
2. Ratification of PricewaterhouseCoopers LLP ("PwC") as the fund's independent registered public accountants.
|
Shareholder
|
|
For
|
For
|
3. The board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of directors shall be required to elect a director.
|
Shareholder
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BrandywineGlobal - Global Income OPP
|
3/20/2020
|
10537L104
|
BWG
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.1 Election of Director: Andrew Dakos
|
Shareholder
|
|
For
|
For
|
1.2 Election of Director: Rajeev Das
|
Shareholder
|
|
For
|
For
|
2. Ratification of PricewaterhouseCoopers LLP ("PwC") as the fund's independent registered public accountants.
|
Shareholder
|
|
For
|
For
|
3. To conduct a self-tender offer at or close to NAV.
|
Shareholder
|
|
For
|
For
|
4. The Board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of Directors shall be required to elect a Director.
|
Shareholder
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THL Credit Senior Loan Fund
|
4/24/2020
|
87244R103
|
TSLF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
No vote shares sold
|
For
|
2. DIRECTOR
|
Issuer
|
|
1. Laurie Hesslein
|
|||
|
No vote shares sold
|
For
|
1. To approve new advisory agreement between the fund and First Eagle Alternative Credit, LLC (fomally known as THL Credit Advosors, LLC)
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Eaton Vance Float-Rate Inc Plus
|
4/16/2020
|
278284104
|
EFF
|
|
Vote
|
Shareholder Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For All
|
For
|
1. DIRECTOR
|
Shareholder
|
|
David Basile
|
|||
|
Peter Borish
|
|||
|
Charles Clarvit
|
|||
|
For
|
For
|
2. For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders.
|
Shareholder
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Barings BDC, Inc
|
4/30/2020
|
06759L103
|
BBDC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1A. Election of Class II Director: Michael Freno
|
Issuer
|
|
Mirror vote
|
For
|
1B.Election of Class II Director: John A. Switzer
|
Issuer
|
|
Mirror vote
|
For
|
2. To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings,
subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering).
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Crescent Capital BDC
|
5/4/2020
|
225655109
|
CCAP
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1A. Election of Class I Director for a two-year term: Kathleen S. Briscoe
|
Issuer
|
|
Mirror Vote
|
For
|
1B. Election of Class II Director for a three-year term: Michael S. Segal
|
Issuer
|
|
Mirror Vote
|
For
|
1C. Election of Class II Director for a three-year term: John S. Bowman
|
Issuer
|
|
Mirror Vote
|
For
|
2. To ratify the selection of Ernst & Young LLP ("E&Y") as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2020.
|
Issuer
|
|
Mirror Vote
|
For
|
3. To consider and vote upon a proposal to allow the Corporation to increase leverage by approving the application to the Corporation of a minimum asset coverage ratio of 150%, pursuant to Section 61(a)(2) of
the Investment Company Act of 1940, to become effective the date after the Annual Meeting, which would permit the Corporation to double the maximum amount of leverage that it is currently permitted to incur
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Var Rate Strtg Fd
|
6/5/2020
|
957667108
|
GFY
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1. To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.
|
Issuer
|
|
Against
|
For
|
2C. To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC.
|
Issuer
|
|
Against
|
For
|
2D. To approve a New Subadvisory Agreement with: Western Asset Management Company Limited.
|
Issuer
|
|
Against
|
For
|
2F. To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Apollo SR Floating Rate FD
|
5/21/2020
|
037636107
|
AFT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
No vote shares sold
|
For
|
1. DIRECTOR
|
Issuer
|
|
1. Laurie Hesslein, 2. Carl J Rickertsen
|
|||
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FS KKR Capital
|
6/23/2020
|
302635107
|
FSK
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
Elizabeth J. Sandler
|
|||
|
Michael J. Hagan
|
|||
|
Jeffrey K. Harrow
|
|||
|
James H. Krop
|
|||
|
Mirror vote
|
For
|
2. To approve the proposal to allow the Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THL Credit
|
5/28/2020
|
872438106
|
TCRD
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. To approve the Company's entry into a new investment management agreement between the Company and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC (the "Adviser"), that will
replace the prior investment management agreement with the Adviser.
|
Issuer
|
|
Mirror Vote
|
For
|
2. To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies.
|
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Garrison Capital
|
6/24/2020
|
366554103
|
GARS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1A. Election of Director: Matthew Westwood
|
Issuer
|
|
Abstain
|
For
|
2. Ratification of selection of RSM US LLP to serve as our independent registered public accounting firm for fiscal year ending December 31, 2020.
|
Issuer
|
|
Name of Fund:
|
High Income Securities Fund. (PCF)
|
||
|
Period:
|
July 2019 - June 2020
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Forum Merger II Corp
|
6/8/2020
|
34986F103
|
FMCI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. The Extension Amendment Proposal - amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a merger, capital stock exchange, asset
acquisition, stock purchase, reorganization or similar business combination with one or more businesses from June 10, 2020 to September 30, 2020 (the "Extension Amendment Proposal").
|
Issuer
|
|
For
|
For
|
2. The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are
insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal").
|
Issuer
|