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: 811-22037
Stone Harbor Investment Funds
(Exact name of registrant as specified in charter)
31 West 52nd Street, 16th Floor
New York, NY 10019
(Address of principal executive offices) (Zip code)
Adam J. Shapiro, Esq.
c/o Stone Harbor Investment Partners LP
31 West 52nd Street, 16th Floor
New York, NY 10019
(Name and address of agent for service)
With copies to:
Michael G. Doherty, Esq.
Ropes & Gray LLP
1211 Avenue of the Americas
New York, NY 10036
Registrant’s telephone number, including area code: (866) 699-8125
Date of fiscal year end: May 31
Date of reporting period: July 1, 2019-June 30, 2020
Item 1. Proxy Voting Record
STONE HARBOR HIGH-YIELD BOND FUND
Fund Name | Company | Ticker | Cusip | Meeting Date | A brief identification of the matter voted on | Proposed by Issuer or Security Holder | Voted | Vote Cast | With or Against Management |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E1)
Renewal of the authorization to the board of directors (supervisory board) to increase the share capital of the company within
the framework of the authorized capital, in one or more times, by a total maximum amount of: a) Fifty million US Dollars (50,000,000 USD) with possibility to restrict or suspend subscription rights of existing shareholders; |
Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E1b) Twenty - five million US dollars (25,000,000 USD) with possiblity to restrict or suspend subscription rights of existing shareholders; | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E1c) Two hundred thirty-nine million one hundred forty-seven thousand five hundred and five US Dollars and eighty-two cents (238,147,505.82 USD) without possibility to restrict or suspend subscription rights of existing shareholders; | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E1d) One hundred and twenty million US Dollars (120,000,000 USD) without possibility to restrict or suspend subscription rights of existing shareholders; | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E2) Authorization of the board of directors (supervisory board) to use the authorized capital in the case of a public purchase offer | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E3) Renewal of the authorization of the board of directors (supervisory board) to acquire the company's shares or profit shares. Explanatory note by the board of directors: the board of directors will not use this authorisation as an anti-takeover defence | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E4) Authorization of the board of directors (supervisory board) of the company to acquire and dispose of the company's shares and profit shares to prevent imminent and serious harm to the company | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E5) Authorization of the board of directors (supervisory board) to dispose of the company's shares or profit shares by way of an offer to sell addressed to one or more particular persons other than members of the personnel of the company or one of its subsidiaries. Explanatory note by the board of directors: The board of directors will not use this authorisation as an anti-takeover defence | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E6) Amendments to the articles of association as a consequence of the newly applicable Code of Companies and Associations, the choice for a two-tier board structure and certain other amendments relating to modernization and clean-up of the articles of association | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E7) Authorization of the board of directors (management board) to execute the decisions taken and to co-ordinate the articles of association | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 02/20/2020 | E8) Proxy to fulfill all necessary formalities with respect to the decisions taken | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | S1. Authorisation of the supervisory board to acquire a maximum of 10% of the existing shares or profit shares during a period of five years as from the publication of this decision in the Annexes to the Belgian Official Gazette, at a price per share not exceeding the maximum price allowed underapplicable law and not to be less than EUR 0.01. Explanatory note of the supervisory board: ***This authorization will not be used as an anti-takeover defence. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | S2. Proxy to fulfill all necessary formalities with respect to the decision taken. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OA. Report of the board of directors and of the statutory auditor for the financial year closed on 31st December 2019. This agenda item does not require your vote. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OB. Acknowledgment and approval of the remuneration report. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OC. Approval of the annual accounts of the company for the financial year closed on 31st December 2019. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OD. Allocation of the results for the financial year closed on 31st December 2019. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OEA. Discharge
of liability of Euronav's directors. |
Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OEB. Discharge of liability of Euronav's statutory auditor. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OF. Reappointment of Grace Reksten Skaugen | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OG. Remuneration of the directors. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OH. Reappointment statutory auditor. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OI. Remuneration of the statutory auditor. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OJ. Approval in accordance with Article 7:151 of the Code of Companies and Associations of Arcticle 8 (Change of Control) of the long term incentive plans 2019 and 2020 approved by the Supervisory Board on 24 March2020. | Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OKA. The
general meeting acknowledges and ratifies for as far as necessary the resignation of Mr. Patrick Rodgers with effect as of
9 May 2019.This agenda item does not require your vote. |
Issuer | Yes | FOR | With |
Stone Harbor High Yield Fund | EURONAV NV | EURN | BE0003816338 | 05/13/2020 | OKB. The general meeting acknowledges and ratifies as far as necessary the resignation of Mr. Steven D. Smith with effect as of 6 December 2019. This agenda item does not require your vote. | Issuer | Yes | FOR | With |
STONE HARBOR EMERGING MARKETS DEBT FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR LOCAL MARKETS FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR EMERGING MARKETS CORPORATE DEBT FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR INVESTMENT GRADE FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR STRATEGIC INCOME FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR EMERGING MARKETS DEBT ALLOCATION FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR EMERGING MARKETS DEBT BLEND FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
STONE HARBOR 500 PLUS FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
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.
Stone Harbor Investment Funds | |||
By: | /s/ Peter J. Wilby | ||
Peter J. Wilby | |||
President/Principal Executive Officer | |||
Date: | August 14, 2020 |