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| Share Name | Share Symbol | Market | Type |
|---|---|---|---|
| First Trust Specialty Finance and Financial Opportunities Fund | NYSE:FGB | NYSE | Common Stock |
| Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
|---|---|---|---|---|---|---|---|---|
| 0.055 | 1.30% | 4.30 | 4.3059 | 4.2003 | 4.25 | 26,575 | 21:00:35 |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22039
First Trust Specialty Finance and Financial Opportunities Fund
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: November 30
Date of reporting period: July 1, 2022 - June 30, 2023
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
| Vote Summary | |||||||||||||
| OFS CAPITAL CORPORATION | |||||||||||||
| Security | 67103B100 | Meeting Type | Special | ||||||||||
| Ticker Symbol | OFS | Meeting Date | 13-Jul-2022 | ||||||||||
| ISIN | US67103B1008 | Agenda | 935631209 - Management | ||||||||||
| Record Date | 13-Apr-2022 | Holding Recon Date | 13-Apr-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 12-Jul-2022 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | To authorize flexibility for the Company, with approval of | Management | Split | Split | |||||||||
| its Board of Directors, to sell or otherwise issue shares of | |||||||||||||
| its common stock (during the next 12 months) at a price | |||||||||||||
| below the Company's then-current net asset value per | |||||||||||||
| share in one or more offerings, subject to certain | |||||||||||||
| limitations set forth in the proxy statement for the Special | |||||||||||||
| Meeting of Stockholders (including that the cumulative | |||||||||||||
| number of shares sold pursuant to such authority does | |||||||||||||
| not exceed 25% of the Company's then-outstanding | |||||||||||||
| common stock immediately prior to each such sale). | |||||||||||||
| CAPITAL SOUTHWEST CORPORATION | |||||||||||||
| Security | 140501107 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CSWC | Meeting Date | 27-Jul-2022 | ||||||||||
| ISIN | US1405011073 | Agenda | 935674160 - Management | ||||||||||
| Record Date | 01-Jun-2022 | Holding Recon Date | 01-Jun-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 26-Jul-2022 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Christine S. Battist | Split | Split | |||||||||||
| 2 David R. Brooks | Split | Split | |||||||||||
| 3 Bowen S. Diehl | Split | Split | |||||||||||
| 4 Jack D. Furst | Split | Split | |||||||||||
| 5 Ramona Rogers-Windsor | Split | Split | |||||||||||
| 6 William R. Thomas | Split | Split | |||||||||||
| 2. | To approve, on an advisory basis, the compensation of | Management | Split | Split | |||||||||
| Capital Southwest Corporation's named executive | |||||||||||||
| officers. | |||||||||||||
| 3. | To approve the Capital Southwest Corporation 2021 Non- | Management | Split | Split | |||||||||
| Employee Director Restricted Stock Award Plan. | |||||||||||||
| 4. | To ratify the appointment of RSM US LLP as Capital | Management | Split | Split | |||||||||
| Southwest Corporation's independent registered public | |||||||||||||
| accounting firm for the fiscal year ending March 31, 2023. | |||||||||||||
| FS KKR CAPITAL CORP. | |||||||||||||
| Security | 302635206 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | FSK | Meeting Date | 3-Aug-22 | ||||||||||
| ISIN | US3026352068 | Agenda | 935647961 - Management | ||||||||||
| Record Date | 25-Apr-2022 | Holding Recon Date | 25-Apr-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 02-Aug-2022 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Barbara Adams | Split | Split | |||||||||||
| 2 Michael C. Forman | Split | Split | |||||||||||
| 3 Jerel A. Hopkins | Split | Split | |||||||||||
| 2. | To approve the proposal to allow the Company in future | Management | Split | Split | |||||||||
| offerings to sell its shares below net asset value per | |||||||||||||
| share in order to provide flexibility for future sales. | |||||||||||||
| ARES CAPITAL CORPORATION | |||||||||||||
| Security | 04010L103 | Meeting Type | Special | ||||||||||
| Ticker Symbol | ARCC | Meeting Date | 04-Aug-2022 | ||||||||||
| ISIN | US04010L1035 | Agenda | 935672659 - Management | ||||||||||
| Record Date | 23-May-2022 | Holding Recon Date | 23-May-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 3-Aug-22 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | To authorize the Company, with the approval of its board | Management | Split | Split | |||||||||
| of directors, to sell or otherwise issue shares of its | |||||||||||||
| common stock at a price below its then current net asset | |||||||||||||
| value per share subject to the limitations set forth in the | |||||||||||||
| proxy statement for the special meeting of stockholders | |||||||||||||
| (including, without limitation, that the number of shares | |||||||||||||
| issued does not exceed 25% of the Company's then | |||||||||||||
| outstanding common stock). | |||||||||||||
| BLACKSTONE SECURED LENDING FUND (BXSL) | |||||||||||||
| Security | 09261X102 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BXSL | Meeting Date | 16-Sep-2022 | ||||||||||
| ISIN | US09261X1028 | Agenda | 935695746 - Management | ||||||||||
| Record Date | 25-Jul-2022 | Holding Recon Date | 25-Jul-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 15-Sep-2022 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class I Independent Trustee: James F. Clark | Management | Split | Split | |||||||||
| 1b. | Election of Class I Independent Trustee: Vicki L. Fuller | Management | Split | Split | |||||||||
| 1c. | Election of Class I Interested Trustee: Vikrant Sawhney | Management | Split | Split | |||||||||
| 2. | Ratify the appointment of Deloitte & Touche LLP as our | Management | Split | Split | |||||||||
| independent registered public accounting firm for the | |||||||||||||
| fiscal year ending December 31, 2022. | |||||||||||||
| SLR INVESTMENT CORP. | |||||||||||||
| Security | 83413U100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | SLRC | Meeting Date | 26-Oct-2022 | ||||||||||
| ISIN | US83413U1007 | Agenda | 935710322 - Management | ||||||||||
| Record Date | 31-Aug-2022 | Holding Recon Date | 31-Aug-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 25-Oct-2022 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director to serve until 2025: David S. Wachter | Management | Split | Split | |||||||||
| 2. | To authorize SLR Investment Corp. to sell shares of its | Management | Split | Split | |||||||||
| common stock at a price or prices below SLR Investment | |||||||||||||
| Corp.'s then current net asset value per share in one or | |||||||||||||
| more offerings, in each case subject to the approval of its | |||||||||||||
| board of directors and compliance with the conditions set | |||||||||||||
| forth in the proxy statement (including, without limitation, | |||||||||||||
| that the number of shares issued does not exceed 25% | |||||||||||||
| of SLR Investment Corp.'s then outstanding common | |||||||||||||
| stock immediately prior to each such offering). | |||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||
| Security | 38173M102 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GBDC | Meeting Date | 07-Feb-2023 | ||||||||||
| ISIN | US38173M1027 | Agenda | 935752623 - Management | ||||||||||
| Record Date | 12-Dec-2022 | Holding Recon Date | 12-Dec-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 06-Feb-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class I Director of the Company who will each | Management | Split | Split | |||||||||
| serve for a term expiring in 2026: David B. Golub | |||||||||||||
| 1b. | Election of Class I Director of the Company who will each | Management | Split | Split | |||||||||
| serve for a term expiring in 2026: Anita J. Rival | |||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP to serve as | Management | Split | Split | |||||||||
| the Company's independent registered public accounting | |||||||||||||
| firm for the fiscal year ending September 30, 2023. | |||||||||||||
| PENNANTPARK INVESTMENT CORPORATION | |||||||||||||
| Security | 708062104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | PNNT | Meeting Date | 07-Feb-2023 | ||||||||||
| ISIN | US7080621045 | Agenda | 935749602 - Management | ||||||||||
| Record Date | 30-Nov-2022 | Holding Recon Date | 30-Nov-2022 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 06-Feb-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director: Marshall Brozost | Management | Split | Split | |||||||||
| 1b. | Election of Director: Samuel L. Katz | Management | Split | Split | |||||||||
| 2. | To ratify the selection of RSM US LLP to serve as the | Management | Split | Split | |||||||||
| Company's independent registered public accounting firm | |||||||||||||
| for the fiscal year ending September 30, 2023. | |||||||||||||
| FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC | |||||||||||||
| Security | 26943B100 | Meeting Type | Special | ||||||||||
| Ticker Symbol | FCRD | Meeting Date | 07-Mar-2023 | ||||||||||
| ISIN | US26943B1008 | Agenda | 935761456 - Management | ||||||||||
| Record Date | 19-Jan-2023 | Holding Recon Date | 19-Jan-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 06-Mar-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | To adopt the Agreement and Plan of Merger, dated as of | Management | Split | Split | |||||||||
| October 3, 2022, by and among Crescent Capital BDC, | |||||||||||||
| Inc., Echelon Acquisition Sub, Inc., Echelon Acquisition | |||||||||||||
| Sub LLC, FCRD, and Crescent Cap Advisors, LLC, and | |||||||||||||
| approve the transactions contemplated thereby, including | |||||||||||||
| the Mergers (as defined in the Notice of Special Meeting | |||||||||||||
| of Stockholders) (such proposal collectively, the "Merger | |||||||||||||
| Proposal"). | |||||||||||||
| 2. | To approve the adjournment of the Special Meeting, if | Management | Split | Split | |||||||||
| necessary or appropriate, to solicit additional proxies, in | |||||||||||||
| the event that there are insufficient votes at the time of | |||||||||||||
| the Special Meeting to approve the Merger Proposal. | |||||||||||||
| NEW MOUNTAIN FINANCE CORPORATION | |||||||||||||
| Security | 647551100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | NMFC | Meeting Date | 18-Apr-2023 | ||||||||||
| ISIN | US6475511001 | Agenda | 935773552 - Management | ||||||||||
| Record Date | 21-Feb-2023 | Holding Recon Date | 21-Feb-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 17-Apr-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Steven B. Klinsky | Split | Split | |||||||||||
| 2 Daniel B. Hébert | Split | Split | |||||||||||
| 3 Rome G. Arnold III | Split | Split | |||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP to | Management | Split | Split | |||||||||
| serve as New Mountain Finance Corporation's | |||||||||||||
| independent registered public accounting firm for the | |||||||||||||
| fiscal year ending December 31, 2023. | |||||||||||||
| AGNC INVESTMENT CORP. | |||||||||||||
| Security | 00123Q104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | AGNC | Meeting Date | 20-Apr-2023 | ||||||||||
| ISIN | US00123Q1040 | Agenda | 935775645 - Management | ||||||||||
| Record Date | 24-Feb-2023 | Holding Recon Date | 24-Feb-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 19-Apr-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director: Donna J. Blank | Management | Split | Split | |||||||||
| 1b. | Election of Director: Morris A. Davis | Management | Split | Split | |||||||||
| 1c. | Election of Director: Peter J. Federico | Management | Split | Split | |||||||||
| 1d. | Election of Director: John D. Fisk | Management | Split | Split | |||||||||
| 1e. | Election of Director: Andrew A. Johnson, Jr. | Management | Split | Split | |||||||||
| 1f. | Election of Director: Gary D. Kain | Management | Split | Split | |||||||||
| 1g. | Election of Director: Prue B. Larocca | Management | Split | Split | |||||||||
| 1h. | Election of Director: Paul E. Mullings | Management | Split | Split | |||||||||
| 1i. | Election of Director: Frances R. Spark | Management | Split | Split | |||||||||
| 2. | Advisory vote to approve the compensation of our named | Management | Split | Split | |||||||||
| executive officers. | |||||||||||||
| 3. | Advisory vote on the frequency of future advisory votes | Management | Split | Split | |||||||||
| on executive compensation. | |||||||||||||
| 4. | Ratification of appointment of Ernst & Young LLP as our | Management | Split | Split | |||||||||
| independent public accountant for the year ending | |||||||||||||
| December 31, 2023. | |||||||||||||
| 5a. | Approve amendments to our Amended and Restated | Management | Split | Split | |||||||||
| Certificate of Incorporation eliminating supermajority | |||||||||||||
| voting requirements for stockholders to: amend certain | |||||||||||||
| provisions of our Amended and Restated Certificate of | |||||||||||||
| Incorporation. | |||||||||||||
| 5b. | Approve amendments to our Amended and Restated | Management | Split | Split | |||||||||
| Certificate of Incorporation eliminating supermajority | |||||||||||||
| voting requirements for stockholders to: amend our | |||||||||||||
| Fourth Amended and Restated Bylaws. | |||||||||||||
| 5c. | Approve amendments to our Amended and Restated | Management | Split | Split | |||||||||
| Certificate of Incorporation eliminating supermajority | |||||||||||||
| voting requirements for stockholders to: remove directors. | |||||||||||||
| PHENIXFIN CORPORATION | |||||||||||||
| Security | 71742W103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | PFX | Meeting Date | 27-Apr-2023 | ||||||||||
| ISIN | US71742W1036 | Agenda | 935779516 - Management | ||||||||||
| Record Date | 02-Mar-2023 | Holding Recon Date | 02-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 26-Apr-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director to hold office for a term of three | Management | Split | Split | |||||||||
| years: Karin Hirtler-Garvey | |||||||||||||
| 1b. | Election of Director to hold office for a term of three | Management | Split | Split | |||||||||
| years: Lowell W. Robinson | |||||||||||||
| 2. | To ratify the appointment of KPMG LLP to serve as the | Management | Split | Split | |||||||||
| Company's independent registered public accounting firm | |||||||||||||
| for the fiscal year ending September 30, 2023. | |||||||||||||
| 3. | To provide an advisory vote on executive compensation. | Management | Split | Split | |||||||||
| TRIPLEPOINT VENTURE GROWTH BDC CORP. | |||||||||||||
| Security | 89677Y100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | TPVG | Meeting Date | 27-Apr-2023 | ||||||||||
| ISIN | US89677Y1001 | Agenda | 935781408 - Management | ||||||||||
| Record Date | 08-Mar-2023 | Holding Recon Date | 08-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 26-Apr-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class III Director to serve until next Annual | Management | Split | Split | |||||||||
| Meeting 2026: James P. Labe | |||||||||||||
| 1b. | Election of Class III Director to serve until next Annual | Management | Split | Split | |||||||||
| Meeting 2026: Cynthia M. Fornelli | |||||||||||||
| 1c. | Election of Class III Director to serve until next Annual | Management | Split | Split | |||||||||
| Meeting 2026: Katherine J. Park | |||||||||||||
| 2. | To ratify the selection of Deloitte & Touche LLP to serve | Management | Split | Split | |||||||||
| as the Company's independent registered public | |||||||||||||
| accounting firm for the fiscal year ending December 31, | |||||||||||||
| 2023. | |||||||||||||
| MAIN STREET CAPITAL CORPORATION | |||||||||||||
| Security | 56035L104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | MAIN | Meeting Date | 01-May-2023 | ||||||||||
| ISIN | US56035L1044 | Agenda | 935779643 - Management | ||||||||||
| Record Date | 28-Feb-2023 | Holding Recon Date | 28-Feb-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 28-Apr-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1.1 | Election of Director: J. Kevin Griffin | Management | Split | Split | |||||||||
| 1.2 | Election of Director: John E. Jackson | Management | Split | Split | |||||||||
| 1.3 | Election of Director: Brian E. Lane | Management | Split | Split | |||||||||
| 1.4 | Election of Director: Kay Matthews | Management | Split | Split | |||||||||
| 1.5 | Election of Director: Dunia A. Shive | Management | Split | Split | |||||||||
| 1.6 | Election of Director: Stephen B. Solcher | Management | Split | Split | |||||||||
| 1.7 | Election of Director: Vincent D. Foster | Management | Split | Split | |||||||||
| 1.8 | Election of Director: Dwayne L. Hyzak | Management | Split | Split | |||||||||
| 2. | Proposal to ratify our appointment of Grant Thornton LLP | Management | Split | Split | |||||||||
| as our independent registered public accounting firm for | |||||||||||||
| the year ending December 31, 2023. | |||||||||||||
| 3. | Advisory non-binding approval of executive | Management | Split | Split | |||||||||
| compensation. | |||||||||||||
| 4. | Advisory non-binding approval of frequency of future | Management | Split | Split | |||||||||
| advisory votes on executive compensation. | |||||||||||||
| 5. | Proposal to approve an amendment to our Articles of | Management | Split | Split | |||||||||
| Amendment and Restatement to allow our stockholders | |||||||||||||
| to amend our bylaws. | |||||||||||||
| BARINGS BDC, INC. | |||||||||||||
| Security | 06759L103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BBDC | Meeting Date | 04-May-2023 | ||||||||||
| ISIN | US06759L1035 | Agenda | 935787183 - Management | ||||||||||
| Record Date | 06-Mar-2023 | Holding Recon Date | 06-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 03-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class II Director who will serve until 2026 | Management | Split | Split | |||||||||
| Annual Meeting: Steve Byers | |||||||||||||
| 1b. | Election of Class II Director who will serve until 2026 | Management | Split | Split | |||||||||
| Annual Meeting: Valerie Lancaster-Beal | |||||||||||||
| 1c. | Election of Class II Director who will serve until 2026 | Management | Split | Split | |||||||||
| Annual Meeting: John A. Switzer | |||||||||||||
| 2. | To authorize the Company, with subsequent approval of | Management | Split | Split | |||||||||
| 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 30% of its then | |||||||||||||
| outstanding common stock immediately prior to each | |||||||||||||
| such offering). | |||||||||||||
| BERKSHIRE HATHAWAY INC. | |||||||||||||
| Security | 084670702 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BRKB | Meeting Date | 06-May-2023 | ||||||||||
| ISIN | US0846707026 | Agenda | 935785418 - Management | ||||||||||
| Record Date | 08-Mar-2023 | Holding Recon Date | 08-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 05-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Warren E. Buffett | Split | Split | |||||||||||
| 2 Charles T. Munger | Split | Split | |||||||||||
| 3 Gregory E. Abel | Split | Split | |||||||||||
| 4 Howard G. Buffett | Split | Split | |||||||||||
| 5 Susan A. Buffett | Split | Split | |||||||||||
| 6 Stephen B. Burke | Split | Split | |||||||||||
| 7 Kenneth I. Chenault | Split | Split | |||||||||||
| 8 Christopher C. Davis | Split | Split | |||||||||||
| 9 Susan L. Decker | Split | Split | |||||||||||
| 10 Charlotte Guyman | Split | Split | |||||||||||
| 11 Ajit Jain | Split | Split | |||||||||||
| 12 Thomas S. Murphy, Jr. | Split | Split | |||||||||||
| 13 Ronald L. Olson | Split | Split | |||||||||||
| 14 Wallace R. Weitz | Split | Split | |||||||||||
| 15 Meryl B. Witmer | Split | Split | |||||||||||
| 2. | Non-binding resolution to approve the compensation of | Management | Split | Split | |||||||||
| the Company's Named Executive Officers, as described | |||||||||||||
| in the 2023 Proxy Statement. | |||||||||||||
| 3. | Non-binding resolution to determine the frequency | Management | Split | Split | |||||||||
| (whether annual, biennial or triennial) with which | |||||||||||||
| shareholders of the Company shall be entitled to have an | |||||||||||||
| advisory vote on executive compensation. | |||||||||||||
| Shareholder proposal regarding how the Company | Shareholder | Split | Split | ||||||||||
| 4. | manages physical and transitional climate related risks | ||||||||||||
| and opportunities. | |||||||||||||
| 5. | Shareholder proposal regarding how climate related risks | Shareholder | Split | Split | |||||||||
| are being governed by the Company. | |||||||||||||
| 6. | Shareholder proposal regarding how the Company | Shareholder | Split | Split | |||||||||
| intends to measure, disclose and reduce GHG emissions | |||||||||||||
| associated with its underwriting, insuring and investment | |||||||||||||
| activities. | |||||||||||||
| 7. | Shareholder proposal regarding the reporting on the | Shareholder | Split | Split | |||||||||
| effectiveness of the Corporation's diversity, equity and | |||||||||||||
| inclusion efforts. | |||||||||||||
| 8. | Shareholder proposal regarding the adoption of a policy | Shareholder | Split | Split | |||||||||
| requiring that two separate people hold the offices of the | |||||||||||||
| Chairman and the CEO. | |||||||||||||
| 9. | Shareholder proposal requesting that the Company avoid | Shareholder | Split | Split | |||||||||
| supporting or taking a public policy position on | |||||||||||||
| controversial social and political issues. | |||||||||||||
| CRESCENT CAPITAL BDC, INC. | |||||||||||||
| Security | 225655109 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CCAP | Meeting Date | 12-May-2023 | ||||||||||
| ISIN | US2256551092 | Agenda | 935787551 - Management | ||||||||||
| Record Date | 14-Mar-2023 | Holding Recon Date | 14-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 11-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class II Director to serve for a three-year term | Management | Split | Split | |||||||||
| expiring at the 2026 Annual Meeting: Susan Y. Lee | |||||||||||||
| 1b. | Election of Class II Director to serve for a three-year term | Management | Split | Split | |||||||||
| expiring at the 2026 Annual Meeting: Michael S. Segal | |||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP ("E&Y") as | Management | Split | Split | |||||||||
| the Corporation's independent registered public | |||||||||||||
| accounting firm for the fiscal year ending December 31, | |||||||||||||
| 2023. | |||||||||||||
| ANNALY CAPITAL MANAGEMENT, INC. | |||||||||||||
| Security | 035710839 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | NLY | Meeting Date | 17-May-2023 | ||||||||||
| ISIN | US0357108390 | Agenda | 935793807 - Management | ||||||||||
| Record Date | 20-Mar-2023 | Holding Recon Date | 20-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 16-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director: Francine J. Bovich | Management | Split | Split | |||||||||
| 1b. | Election of Director: David L. Finkelstein | Management | Split | Split | |||||||||
| 1c. | Election of Director: Thomas Hamilton | Management | Split | Split | |||||||||
| 1d. | Election of Director: Kathy Hopinkah Hannan | Management | Split | Split | |||||||||
| 1e. | Election of Director: Michael Haylon | Management | Split | Split | |||||||||
| 1f. | Election of Director: Martin Laguerre | Management | Split | Split | |||||||||
| 1g. | Election of Director: Eric A. Reeves | Management | Split | Split | |||||||||
| 1h. | Election of Director: John H. Schaefer | Management | Split | Split | |||||||||
| 1i. | Election of Director: Glenn A. Votek | Management | Split | Split | |||||||||
| 1j. | Election of Director: Vicki Williams | Management | Split | Split | |||||||||
| 2. | Advisory approval of the Company's executive | Management | Split | Split | |||||||||
| compensation. | |||||||||||||
| 3. | Advisory vote on the frequency of future advisory votes to | Management | Split | Split | |||||||||
| approve the Company's executive compensation. | |||||||||||||
| 4. | Amendment to the Company's Charter to decrease the | Management | Split | Split | |||||||||
| number of authorized shares of stock. | |||||||||||||
| 5. | Ratification of the appointment of Ernst & Young LLP as | Management | Split | Split | |||||||||
| the Company's independent registered public accounting | |||||||||||||
| firm for the fiscal year ending December 31, 2023. | |||||||||||||
| 6. | Advisory stockholder proposal to further reduce the | Shareholder | Split | Split | |||||||||
| ownership threshold to call a special meeting. | |||||||||||||
| ARES CAPITAL CORPORATION | |||||||||||||
| Security | 04010L103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | ARCC | Meeting Date | 17-May-2023 | ||||||||||
| ISIN | US04010L1035 | Agenda | 935797944 - Management | ||||||||||
| Record Date | 15-Mar-2023 | Holding Recon Date | 15-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 16-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Class I Director of the Company to serve until | Management | Split | Split | |||||||||
| the 2026 Annual Meeting of Stockholders: Michael J | |||||||||||||
| Arougheti | |||||||||||||
| 1b. | Election of Class I Director of the Company to serve until | Management | Split | Split | |||||||||
| the 2026 Annual Meeting of Stockholders: Ann Torre | |||||||||||||
| Bates | |||||||||||||
| Election of Class I Director of the Company to serve until | Management | Split | |||||||||||
| 1c. | the 2026 Annual Meeting of Stockholders: Steven B. | Split | |||||||||||
| McKeever | |||||||||||||
| 2. | To ratify the selection of KPMG LLP as the Company's | Management | Split | Split | |||||||||
| independent registered public accounting firm for the year | |||||||||||||
| ending December 31, 2023. | |||||||||||||
| GOLDMAN SACHS BDC, INC. | |||||||||||||
| Security | 38147U107 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GSBD | Meeting Date | 17-May-2023 | ||||||||||
| ISIN | US38147U1079 | Agenda | 935816415 - Management | ||||||||||
| Record Date | 31-Mar-2023 | Holding Recon Date | 31-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 16-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1.1 | Election of Class III Director to serve until the 2026 | Management | Split | Split | |||||||||
| annual meeting of the stockholders: Ross J. Kari | |||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as | Management | Split | Split | |||||||||
| the Company's independent registered public accounting | |||||||||||||
| firm for the fiscal year ending December 31, 2023. | |||||||||||||
| MARKEL CORPORATION | |||||||||||||
| Security | 570535104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | MKL | Meeting Date | 17-May-2023 | ||||||||||
| ISIN | US5705351048 | Agenda | 935791586 - Management | ||||||||||
| Record Date | 09-Mar-2023 | Holding Recon Date | 09-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 16-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director: Mark M. Besca | Management | Split | Split | |||||||||
| 1b. | Election of Director: K. Bruce Connell | Management | Split | Split | |||||||||
| 1c. | Election of Director: Lawrence A. Cunningham | Management | Split | Split | |||||||||
| 1d. | Election of Director: Thomas S. Gayner | Management | Split | Split | |||||||||
| 1e. | Election of Director: Greta J. Harris | Management | Split | Split | |||||||||
| 1f. | Election of Director: Morgan E. Housel | Management | Split | Split | |||||||||
| 1g. | Election of Director: Diane Leopold | Management | Split | Split | |||||||||
| 1h. | Election of Director: Anthony F. Markel | Management | Split | Split | |||||||||
| 1i. | Election of Director: Steven A. Markel | Management | Split | Split | |||||||||
| 1j. | Election of Director: Harold L. Morrison, Jr. | Management | Split | Split | |||||||||
| 1k. | Election of Director: Michael O'Reilly | Management | Split | Split | |||||||||
| 1l. | Election of Director: A. Lynne Puckett | Management | Split | Split | |||||||||
| 2. | Advisory vote on approval of executive compensation. | Management | Split | Split | |||||||||
| 3. | Advisory vote on frequency of advisory votes on approval | Management | Split | Split | |||||||||
| of executive compensation. | |||||||||||||
| 4. | Ratify the selection of KPMG LLP by the Audit Committee | Management | Split | Split | |||||||||
| of the Board of Directors as the Company's independent | |||||||||||||
| registered public accounting firm for the year ending | |||||||||||||
| December 31, 2023. | |||||||||||||
| SIXTH STREET SPECIALTY LENDING, INC. | |||||||||||||
| Security | 83012A109 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | TSLX | Meeting Date | 25-May-2023 | ||||||||||
| ISIN | US83012A1097 | Agenda | 935817392 - Management | ||||||||||
| Record Date | 31-Mar-2023 | Holding Recon Date | 31-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 24-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Joshua Easterly | Split | Split | |||||||||||
| 2 Michael Fishman | Split | Split | |||||||||||
| 3 Hurley Doddy | Split | Split | |||||||||||
| 2. | To ratify the selection of KPMG LLP as the Company's | Management | Split | Split | |||||||||
| independent registered public accounting firm for the | |||||||||||||
| fiscal year ending December 31, 2023. | |||||||||||||
| SIXTH STREET SPECIALTY LENDING, INC. | |||||||||||||
| Security | 83012A109 | Meeting Type | Special | ||||||||||
| Ticker Symbol | TSLX | Meeting Date | 25-May-2023 | ||||||||||
| ISIN | US83012A1097 | Agenda | 935825109 - Management | ||||||||||
| Record Date | 31-Mar-2023 | Holding Recon Date | 31-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 24-May-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | To approve a proposal to authorize the Company to sell | Management | Split | Split | |||||||||
| or otherwise issue shares of its common stock at a price | |||||||||||||
| below its then-current net asset value per share in one or | |||||||||||||
| more offerings, in each case subject to the approval of its | |||||||||||||
| Board of Directors and subject to the conditions set forth | |||||||||||||
| in the accompanying proxy statement. | |||||||||||||
| OFS CAPITAL CORPORATION | |||||||||||||
| Security | 67103B100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | OFS | Meeting Date | 07-Jun-2023 | ||||||||||
| ISIN | US67103B1008 | Agenda | 935834184 - Management | ||||||||||
| Record Date | 12-Apr-2023 | Holding Recon Date | 12-Apr-2023 | ||||||||||
| City / Counry | / | United | Vote Deadline Date | 06-Jun-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Romita Shetty | Split | Split | |||||||||||
| 2 Bilal Rashid | Split | Split | |||||||||||
| 2. | The ratification of the selection of KPMG LLP as our | Management | Split | Split | |||||||||
| independent registered public accounting firm for the year | |||||||||||||
| ending December 31, 2023. | |||||||||||||
| OWL ROCK CAPITAL CORPORATION | |||||||||||||
| Security | 69121K104 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | ORCC | Meeting Date | 21-Jun-2023 | ||||||||||
| ISIN | US69121K1043 | Agenda | 935812164 - Management | ||||||||||
| Record Date | 24-Mar-2023 | Holding Recon Date | 24-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 20-Jun-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director for three-year terms expiring at the | Management | Split | Split | |||||||||
| 2026 annual meeting: Eric Kaye | |||||||||||||
| 1b. | Election of Director for three-year terms expiring at the | Management | Split | Split | |||||||||
| 2026 annual meeting: Victor Woolridge | |||||||||||||
| 2. | To ratify the appointment of KPMG LLP as the | Management | Split | Split | |||||||||
| Company's independent registered public accounting firm | |||||||||||||
| for the fiscal year ending December 31, 2023. | |||||||||||||
| TRINITY CAPITAL INC. | |||||||||||||
| Security | 896442308 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | TRIN | Meeting Date | 21-Jun-2023 | ||||||||||
| ISIN | US8964423086 | Agenda | 935850859 - Management | ||||||||||
| Record Date | 17-Apr-2023 | Holding Recon Date | 17-Apr-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 20-Jun-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1a. | Election of Director: Ronald E. Estes | Management | Split | Split | |||||||||
| 1b. | Election of Director: Michael E. Zacharia | Management | Split | Split | |||||||||
| 2. | To approve the proposed amended Articles of | Management | Split | Split | |||||||||
| Amendment and Restatement to declassify the | |||||||||||||
| Company's Board of Directors. | |||||||||||||
| 3. | To authorize the Company to sell or otherwise issue up to | Management | Split | Split | |||||||||
| 25% of then-outstanding shares at a price below then | |||||||||||||
| current NAV per share. | |||||||||||||
| PORTMAN RIDGE FINANCE CORPORATION | |||||||||||||
| Security | 73688F201 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | PTMN | Meeting Date | 22-Jun-2023 | ||||||||||
| ISIN | US73688F2011 | Agenda | 935860393 - Management | ||||||||||
| Record Date | 25-Apr-2023 | Holding Recon Date | 25-Apr-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 21-Jun-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||
| 1 Jennifer Kwon Chou | Split | Split | |||||||||||
| 2 Joseph Morea | Split | Split | |||||||||||
| 3 Robert Warshauer | Split | Split | |||||||||||
| 2. | To ratify the selection of Deloitte & Touche LLP as the | Management | Split | Split | |||||||||
| independent registered public accountant of the | |||||||||||||
| Company for the fiscal year ending December 31, 2023. | |||||||||||||
| BLACKROCK TCP CAPITAL CORP. | |||||||||||||
| Security | 09259E108 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | TCPC | Meeting Date | 23-Jun-2023 | ||||||||||
| ISIN | US09259E1082 | Agenda | 935831823 - Management | ||||||||||
| Record Date | 27-Mar-2023 | Holding Recon Date | 27-Mar-2023 | ||||||||||
| City / Country | / | United | Vote Deadline Date | 22-Jun-2023 | |||||||||
| States | |||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||
| 1. | Management | Split | Split | ||||||||||
| DIRECTOR | Split | Split | |||||||||||
| 1 Eric J. Draut | Split | Split | |||||||||||
| 2 Karen L. Leets | Split | Split | |||||||||||
| 3 Andrea L. Petro | Split | Split | |||||||||||
| 4 M. Freddie Reiss | Split | Split | |||||||||||
| 5 Peter E. Shwab | Split | Split | |||||||||||
| 6 Rajneesh Vig | |||||||||||||
| 2. | To consider and vote on a proposal to renew the | Management | Split | Split | |||||||||
| Company's authorization, with approval of its Board of | |||||||||||||
| Directors, to sell shares of the Company's common stock | |||||||||||||
| (for up to the next 12 months) at a price or prices below | |||||||||||||
| its then current net asset value per share in one or more | |||||||||||||
| offerings, subject to certain limitations set forth in the | |||||||||||||
| proxy statement (including, without limitation, that the | |||||||||||||
| number of shares sold on any given date does not | |||||||||||||
| exceed 25% of the Company's then outstanding common | |||||||||||||
| stock immediately prior to such sale). | |||||||||||||
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (Registrant) | FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND | |||
| By (Signature and Title)* | /s/ James M. Dykas | |||
| James M. Dykas, President and Chief Executive Officer | ||||
| Date | July 27, 2023 | |||
* Print the name and title of each signing officer under his or her signature.
1 Year First Trust Specialty Fi... Chart |
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