0001398344-15-005844.txt : 20150831 0001398344-15-005844.hdr.sgml : 20150831 20150831114714 ACCESSION NUMBER: 0001398344-15-005844 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150831 DATE AS OF CHANGE: 20150831 EFFECTIVENESS DATE: 20150831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Stone Harbor Investment Funds CENTRAL INDEX KEY: 0001391673 IRS NUMBER: 000000000 FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-22037 FILM NUMBER: 151084014 BUSINESS ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: C/O ROPES & GRAY LLP CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-951-7000 MAIL ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: C/O ROPES & GRAY LLP CITY: BOSTON STATE: MA ZIP: 02110 0001391673 S000017755 Stone Harbor Emerging Markets Debt Fund C000049024 Institutional Class C000049025 Distributor Class 0001391673 S000017756 Stone Harbor High Yield Bond Fund C000049026 Institutional Class C000049027 Distributor Class 0001391673 S000029052 Stone Harbor Local Markets Fund C000089233 Distributor Class C000089234 Institutional Class 0001391673 S000030472 Stone Harbor Emerging Markets Corporate Debt Fund C000093626 Institutional C000093627 Distributor 0001391673 S000040824 Stone Harbor Investment Grade Fund C000126605 Institutional Class C000126606 Distributor Class 0001391673 S000040825 Stone Harbor Strategic Income Fund C000126607 Institutional Class C000126608 Distributor Class 0001391673 S000046578 Stone Harbor Emerging Markets Debt Allocation Fund C000145366 Institutional Class Shares C000145367 Distributor Class Shares N-PX 1 fp0015692_npx.htm
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number: 811-22037

Stone Harbor Investment Funds
(Exact name of registrant as specified in charter)

1290 Broadway, Suite 1100
Denver, CO 80203
(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: (303) 623-2577

Date of fiscal year end:  May 31

Date of reporting period: July 1, 2014-June 30, 2015

Item 1. Proxy Voting Record.

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 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 Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
9/12/2014
1. Amendment od articles 14, 15, 18 and 34 of the Articles of Incorporation
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
11/27/2014
1. Cancellation of Treasury
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
11/27/2014
2. Authorization to the Board to repurchase shares and to cancel such repurchased shares by way of share capital reduction.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
11/27/2014
3. Renewal of authorization to the Board of Directors to issue new shares and limit or suppress preferential subscription rights.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
11/27/2014
4. Consequential amendment of Articles of Association
Issuer
No
Abstain
Against
Stone Harbor High Yield Bond Fund
Comtech Telecommunications
CMTL
US2058262096
1/9/2015
1. To elect Ira S. Kaplan and Stanton D. Sloane to serve as members of the Company’s Board of Directors for terms expiring at the Company’s first annual meeting following the end of its fiscal year ending July 31, 2017.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Comtech Telecommunications
CMTL
US2058262096
1/9/2015
2. To conduct an advisory vote on the compensation of Named Executive Officers as disclosed in this Proxy Statement.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Comtech Telecommunications
CMTL
US2058262096
1/9/2015
3. To ratify the selection of KPMG LLP as our independent registered public accounting firm for the current fiscal year ending July 31, 2015.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.1 To approve the convening of the AGM of the company on 17 April 2015, by deviation from the date set forth in Article 24 of the company's Articles of Incorporation.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.3 To approve the statutory financial statements of the company for the fiscal ended December 31, 2014, as published on 11 March, 2015 and as are available on the company's website at www.subsea7.com.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.4 To approve the consolidated financial statements of the company for the fiscal year ended December 31, 2014, as 11 March, 2015 and as are available on the company's website at www.subsea7.com.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.5 To approve the allocation of results of the company, without the payment of a dividend, for the fiscal year ended December 31, 2014, as recommended by the Board of Directors of the company.
Issuer
No
Abstain
Against
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.6 To discharge the directors of the company in respect of the proper performance of their duties for the fiscal year ended December 31, 2014.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.7 To elect Ernst & Young S.A, Luxembourg, as authorised statutory auditor ("Reviseur D'Entreprises agree") to audit the statutory and consolidated financial statements of the company, for a term to expire at the next annual general meeting of shareholders.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.8 To re-elect Mr Dod Fraser as an independent director of the company to hold office until the annual general meeting of shareholders to be held in 2017 or until his successor has been duly elected.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.9 To re-elect Mr Allen Stevens as an independent director of the company to hold office until the annual general meeting of shareholders to be held in 2017 or until his successor has been duly elected.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
A.10 To re-elect Mr Robert Long as an independent director of the company to hold office until the annual general meeting of shareholders to be held in 2017 or until his successor has been duly elected.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
Subsea 7 S.A.
SUBC NO
LU0075646355
4/17/2015
E.1 Renewal of authorisation for a period of three years to the Board of Directors to issue new shares to include authority for the Board of Directors to limit or suppress preferential subscription rights, for up to 10% of the issued share capital; consequential amendment of Article 5 of the Articles of  Association.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
General Maritime Corporation
.GENMAR
Y2693R119
5/4/2015
1.Director Nominees
Peter C. Georgiopoulos
John P. Tavlarios
Ethan Auerbach
B. James Ford
Adam Pierce
Amy Rice
Steven Smith
David Trucano
 Robert Webster
Issuer
Yes
For All
With
Stone Harbor High Yield Bond Fund
General Maritime Corporation
.GENMAR
Y2693R119
5/4/2015
2. Approve the Company's Third Amended and Restated Articles of Incorporation and The Amended and Restated Bylaws.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1A. Election of directors:
 E. Spencer Abraham
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1B. Election of directors:
 Kirbyjon H. Caldwell
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1C. Election of directors:
 Lawrence S. Coben
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1D. Election of directors:
 Howard E. Cosgrove
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1E. Election of directors:
 David Crane
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1F. Election of directors:
 Terry G. Dallas
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1G. Election of directors:
 William E. Hantke
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1H. Election of directors:
 Paul W. Hobby
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1I. Election of directors:
 Edward R. Muller
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1J. Election of directors:
 Anne C. Schaumburg
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1K. Election of directors:
 Evan J. Silverstein
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1L. Election of directors:
 Thomas H. Weidemeyer
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
1M. Election of directors:
 Walter R. Young
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
2. To approve NRG's Second Amended and Restated Annual Incentive Plan for Designated Corporate Officers.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
3. To approve, on an advisory basis, the compensation of the Company's named executive officers.
Issuer
Yes
For
With
Stone Harbor High Yield Bond Fund
NRG Energy Inc.
NRG
US6293775085
5/7/2015
4. To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2015.
Issuer
Yes
For
With

STONE HARBOR STRATEGIC INCOME 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 Strategic Income Fund
Stone Harbor Emerging Markets Debt Fund
SHMDX
861647105
4/2/2015
1) To elect two(2) Trustees of the Fund:
01) Thomas K. Flanagan
 02) Glenn Marchak
Issuer
Yes
For
With
Stone Harbor Strategic Income Fund
Stone Harbor High Yield Bond Fund
SHHYX
861647204
4/2/2015
1) To elect two(2) Trustees of the Fund:
01) Thomas K. Flanagan
 02) Glenn Marchak
Issuer
Yes
For
With
Stone Harbor Strategic Income Fund
Stone Harbor Investment Grade Fund
SHIGX
861647808
4/2/2015
1) To elect two(2) Trustees of the Fund:
01) Thomas K. Flanagan
 02) Glenn Marchak
Issuer
Yes
For
With

STONE HARBOR EMERGING MARKETS DEBT ALLOCATION 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 Emerging Markets Debt Allocation Fund
Stone Harbor Local Markets Debt Fund
SHLMX
861647501
4/2/2015
1) To elect two(2) Trustees of the Fund:
01) Thomas K. Flanagan
 02) Glenn Marchak
Issuer
Yes
For
With
Stone Harbor Emerging Markets Debt Allocation Fund
Stone Harbor Emerging Markets Debt Fund
SHMDX
861647105
4/2/2015
1) To elect two(2) Trustees of the Fund:
01) Thomas K. Flanagan
 02) Glenn Marchak
Issuer
Yes
For
With
 
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 31, 2015