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 number 811-22894

INVESTMENT MANAGERS SERIES TRUST II

(Exact name of registrant as specified in charter)

235 W. Galena Street, Milwaukee, WI	53212
(Address of principal executive offices)	(Zip code)

Diane Drake

2220 E Route 66 #226, Glendora, CA 91740

(Name and address of agent for service)

Registrant's telephone number, including area code: (414) 299-2295

Date of fiscal year end:	September 30
Date of reporting period:	July 1, 2020 to June 30, 2021

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, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

ITEM 1. PROXY VOTING RECORD.

Form N-PX	Proxy Voting Records	# of Proposals:	545
Fund Name:	Vivaldi Merger Arbitrage Fund	# Voted Against Management:	0
Reporting Period:	07/1/20 to 06/30/2021

Institutional Account Name	Company Name	Ticker	Primary CUSIP	Meeting Date	Proponent	Proposal Text	Vote Instruction	Voted	Vote Against Management
Vivaldi Merger Arbitrage Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Increase Authorized Preferred and Common Stock and Eliminate Class B Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Reclassify Board of Directors from Two Classes to Three Classes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Adopt Supermajority Vote Requirement for Removal of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Increase Supermajority Vote Requirement to Amend Charter Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Increase Supermajority Vote Requirement to Amend Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Adopt Provision on Waiver of Corporate Opportunity	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Approve Additional Amendments in Connection with Merger	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Approve the New CarLotz Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director David R. Mitchell	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Luis Ignacio Solorzano Aizpuru	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Kimberly H. Sheehy	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Michael W. Bor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Steven G. Carrel	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director James E. Skinner	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Linda B. Abraham	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Elect Director Sarah M. Kauss	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acamar Partners Acquisition Corp.	ACAM	004285102	20-Jan-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Change Jurisdiction of Incorporation from Cayman Islands to the State of Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve Change in Authorized Capital Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Authorize the Board of Directors to Issue Preferred Stock Without Stockholder Consent	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Declassify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Amend Articles of Association	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Elect Andrew Pascal, William (Bill) J. Hornbuckle, Joe Horowitz, Jason Krikorian, Judy K. Mencher, and James Murren as Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve Issuance of Shares in Connection with the Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve Issuance of Shares in Connection with the PIPE Investment	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Ratify Marcum LLP as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Acies Acquisition Corp.	ACAC	G0103T105	17-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alexion Pharmaceuticals, Inc.	ALXN	015351109	11-May-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alexion Pharmaceuticals, Inc.	ALXN	015351109	11-May-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alexion Pharmaceuticals, Inc.	ALXN	015351109	11-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Change State of Incorporation to Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Adopt New Certificate of Incorporation and Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Increase Authorized Preferred and Common Stock and Create Additional Classes of Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Provide Directors May Only Be Removed for Cause	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Organizational Documents are not Subject to Section 203 of the DGCL	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Adopt the Jurisdiction of Incorporation as the Exclusive Forum for Certain Disputes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Amend Votes Per Share of Existing Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Approve Dividends	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Eliminate Provisions Applicable to Blank Check Company	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Approve Issuance of Shares in Connection with the Business Combination	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Altimar Acquisition Corp.	ATAC	09581B103	18-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alussa Energy Acquisition Corp.	ALUS	G0232J101	30-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alussa Energy Acquisition Corp.	ALUS	G0232J101	30-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alussa Energy Acquisition Corp.	ALUS	G0232J101	30-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alussa Energy Acquisition Corp.	ALUS	G0232J101	30-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Alussa Energy Acquisition Corp.	ALUS	G0232J101	30-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	AMCI Acquisition Corp.	AMCI	00165R101	16-Oct-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to February 22, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	AMCI Acquisition Corp.	AMCI	00165R101	16-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Andina Acquisition Corp. III	ANDA	G04415108	29-Jul-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from July 31, 2020 To October 31, 2020	For	Yes	No
Vivaldi Merger Arbitrage Fund	Andina Acquisition Corp. III	ANDA	G04415108	29-Jul-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Andina Acquisition Corp. III	ANDA	G04415108	30-Oct-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to January 31, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Andina Acquisition Corp. III	ANDA	G04415108	30-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Change Jurisdiction of Incorporation from Cayman Islands to the State of Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Approve Interim Certificate of Incorporation and Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Adopt New Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Amend Organizational Documents Proposals	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director William Harvey	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Boon Sim	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Pia Heidenmark Cook	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Charles Drucker	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Kathleen B. Fish	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Rich Riley	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director John Bissell	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Benno O. Dorer	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Elect Director Karen Richardson	For	Yes	No
Vivaldi Merger Arbitrage Fund	Artius Acquisition, Inc.	AACQ	04316G105	23-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Thomas Benninger	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Jan Jones Blackhurst	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Juliana Chugg	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Denise Clark	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Keith Cozza	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director John Dionne	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director James Hunt	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Don Kornstein	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Courtney R. Mather	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director James Nelson	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Anthony Rodio	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Ratify Deloitte & Touche LLP as Auditor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Juli C. Spottiswood	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Edward H. West	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Rahul Gupta	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Ratify KPMG LLP (U.S.) as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Reappoint KPMG LLP (U.K.) as Statutory Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Authorize Audit Committee to Fix Remuneration of UK Statutory Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Advisory Vote to Ratify Directors' Compensation Report	For	Yes	No
Vivaldi Merger Arbitrage Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Accept Financial Statements and Statutory Reports	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	10-Sep-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to December 17, 2020	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	10-Sep-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Increase Authorized Preferred and Common Stock and Authorize New Class of Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Amend Votes Per Share of Existing Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Authorize that Certain Provisions of the GCM PubCo Organizational Documents be Subject to the Stockholders' Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Approve Other Changes in Connection with the GCM PubCo Organizational Documents	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	CF Finance Acquisition Corp.	CFFA	12528N107	03-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Issue Shares in Connection with Acquisition	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Increase Authorized Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Amend Charter regarding Authorized Shares	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Provide Right to Call Special Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Eliminate Blank Check Company Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Jeffrey R. Tarr	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Helena B. Foulkes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Ronald W. Hovsepian	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Michael Klein	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Karen G. Mills	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Lawrence H. Summers	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Elect Director Peter Schmitt	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Approve Issuance of Shares for a Private Placement to Prosus	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Approve Issuance of Shares for a Private Placement to SuRo	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Churchill Capital Corp. II	CCX	17143G106	10-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	CNX Midstream Partners LP	CNXM	12654A101	25-Sep-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Approve the Governance Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Change Company Name to Advantage Solutions Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Eliminate Blank Check Company Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Conyers Park II Acquisition Corp.	CPAA	212896104	27-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Dec-20	Management	Elect Director Kathleen S. Briscoe	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Dec-20	Management	Elect Director John J. Gauthier	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Dec-20	Management	Ratify WithumSmith+Brown, PC as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Feb-21	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from March 12, 2021 to June 30, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Feb-21	Management	Amend Investment Management Trust Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	17-Feb-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Eliminate Class F Common Stock and Increased Authorized Preferred Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Increase Number of Directors to Nine and Adopt Majority Voting Requirements to Remove Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Out of Section 203 of the Delaware General Corporation Law	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Adopt Supermajority Vote Requirement for Amendments	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Approve Changes Related to GGC	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Change Company Name to LiveVox Holdings Inc, Remove Provisions Relating to Status as Blank Check Company and Remove Waivers Regarding the Doctrine of Corporate Opportunity	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Amend Certificate of Incorporation to Add Federal Forum Selection Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Elect Leslie C.G. Campbell, Louis Summe, Marcello Pantuliano, Todd Purdy, Doug Ceto, Stewart Bloom, Susan Morisato, Robert Beyer, Bernhard Nann, Rishi Chandna and Kathleen Pai as Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Crescent Acquisition Corp	CRSA	22564L105	16-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	ESH Hospitality, Inc.		26907Y104	11-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	ESH Hospitality, Inc.		26907Y104	11-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Approve Merger Agreement	Do Not Vote	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Advisory Vote on Golden Parachutes	Do Not Vote	Yes	No
Vivaldi Merger Arbitrage Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Adjourn Meeting	Do Not Vote	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Approve Changes in Share Capital	For	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Falcon Capital Acquisition Corp.	FCAC	30606L108	29-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Far Point Acquisition Corporation	FPAC	30734W109	24-Aug-20	Management	Approve SPAC Transaction	Against	Yes	No
Vivaldi Merger Arbitrage Fund	Far Point Acquisition Corporation	FPAC	30734W109	24-Aug-20	Management	Adjourn Meeting	Against	Yes	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Approve SPAC Transaction		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	If you wish to Exercise your Redemption Rights, you should vote FOR this proposal. If you wish not to Exercise your Redemption Rights, you should vote AGAINST		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	If you Certify that you are Not Acting in Concert, or as a Group, in Connection with the Proposed Business Combination, you should vote FOR this proposal. If you are Acting in Concert, vote AGAINST		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Change Company Name to Paya Holdings Inc.		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Increase Authorized Preferred and Common Stock		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Restrict Right to Act by Written Consent		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Create Three Classes of Directors and To Extend Each Director Term to Three Years		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Adopt Supermajority Vote Requirement for Removal of Directors		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Adopt Supermajority Vote Requirement to Repeal Certificate of Incorporation Provisions		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Adopt Supermajority Vote Requirement to Repeal of Bylaws		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Approve Omnibus Stock Plan		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Mei-Mei Tuan		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Pawneet Abramowski		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Jan Hopkins Trachtman		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Anna May Trala		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Jim Bonetti		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Stuart Yarbrough		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director KJ McConnell		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Jeff Hack		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Christine Larsen		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Aaron Cohen		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Collin Roche		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Mike Gordon		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Anna May Trala		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Stuart Yarbrough		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director KJ McConnell		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Jeff Hack		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Christine Larsen		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Aaron Cohen		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Collin Roche		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Elect Director Mike Gordon		No	No
Vivaldi Merger Arbitrage Fund	FinTech Acquisition Corp. III	FTAC	31811A101	15-Oct-20	Management	Adjourn Meeting		No	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Increase Authorized Class A Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Classify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Opt Out of Section 203 of the DGCL	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Adopt Supermajority Vote Requirement to Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Adopt Supermajority Vote Requirement to Amend Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Joshua A. Pack	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Andrew A. McKnight	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Marc Furstein	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Leslee Cowen	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Aaron F. Hood	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Carmen A. Policy	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Rakefet Russak-Aminoach	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Elect Director Sunil Gulati	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Fortress Value Acquisition Corp. II	FAII	349642108	15-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Adopt Supermajority Vote Requirement for Amendments	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Amend Certificate of Incorporation to Add Federal Forum Selection Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Adopt Supermajority Vote Requirement for Removal of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Change Company Name to Electric Last Mile Solutions, Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Eliminate Blank Check Company Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Classify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Opt Out of Section 122(17) of the DGCL	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director David Boris	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director Neil Goldberg	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director Jason Luo	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director James Taylor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director Shauna F. McIntyre	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director Richard N. Peretz	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Elect Director Brian M. Krzanich	For	Yes	No
Vivaldi Merger Arbitrage Fund	Forum Merger III Corporation	FIII	349885103	24-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from December 10, 2020 to March 10, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Elect Director Avi S. Katz	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Elect Director Raluca Dinu	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Elect Director  Neil Miotto	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Elect Director John Mikulsky	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Elect Director Gil Frostig	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	08-Dec-20	Management	Ratify BPM LLP as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Classify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Amend Certificate of Incorporation to Add Federal Forum Selection Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Moshe Bar-Siman-Tov	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Neil Miotto	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Jerome Ringo	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Raluca Dinu	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Nathan Locke	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Mariya Pylypiv	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Avi S. Katz	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Chirinjeev Kathuria	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Elect Director Agnes Rey-Giraud	For	Yes	No
Vivaldi Merger Arbitrage Fund	GigCapital2, Inc.	GIX	375036100	04-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Approve Proposed Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Increase Authorized Preferred and Class A Stock and Approve Creation of Class B, Class C, and Class D Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Approve Implementation of Dual-Class Stock Structure	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Provide Directors May Only Be Removed for Cause	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Adopt the Jurisdiction of Incorporation as the Exclusive Forum for Certain Disputes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Adopt Supermajority Vote Requirement to Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Adopt Supermajority Vote Requirement to Amend Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Mat Ishbia	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Alex Elezaj	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Laura Lawson	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Melinda Wilner	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Jeff Ishbia	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Justin Ishbia	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Kelly Czubak	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Isiah Thomas	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Elect Director Robert Verdun	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Gores Holdings IV, Inc.	GHIV	382865103	20-Jan-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Merger Arbitrage Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Merger Arbitrage Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	GX Acquisition Corp.	GXGX	36251A107	29-Dec-20	Management	Elect Director Paul S. Levy	For	Yes	No
Vivaldi Merger Arbitrage Fund	GX Acquisition Corp.	GXGX	36251A107	29-Dec-20	Management	Ratify Marcum LLP as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	GX Acquisition Corp.	GXGX	36251A107	14-May-21	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from May 23, 2021 to July 31, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	GX Acquisition Corp.	GXGX	36251A107	14-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Haymaker Acquisition Corp. II	HYAC	42087L101	08-Dec-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Haymaker Acquisition Corp. II	HYAC	42087L101	08-Dec-20	Management	Approve Lock-Up Agreement Proposal	For	Yes	No
Vivaldi Merger Arbitrage Fund	Haymaker Acquisition Corp. II	HYAC	42087L101	08-Dec-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Haymaker Acquisition Corp. II	HYAC	42087L101	08-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Adopt Supermajority Vote Requirement to Amend Bylaws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Adopt Supermajority Vote Requirement to Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Remove the Provision Renouncing the Corporate Opportunity Doctrine	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Amend Charter Regarding Indemnification of Directors and Officers	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Amend Charter Regarding Limitation of Exclusive Forum Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Approve All Other Proposed Changes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Bobbie Byrne	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Thomas J. Carella	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Joseph P. Greskoviak	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director John W. Kalix	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Amr Kronfol	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Anne M. McGeorge	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Elect Director Steven J. Shulman	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Healthcare Merger Corp.	HCCO	42227L102	30-Oct-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hennessy Capital Acquisition Corp. IV	HCAC	42589C104	27-Aug-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to December 31, 2020	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hennessy Capital Acquisition Corp. IV	HCAC	42589C104	27-Aug-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Elect Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Hudson Executive Investment Corp.	HEC	443761101	17-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from December 1, 2020 to June 30, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Amend Investment Management Trust Agreement to Extend Date that the Trustee Will Liquidate the Trust Account	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Elect Director A. Lorne Weil	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Elect Director Daniel B. Silvers	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Ratify Marcum LLP as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Leisure Acquisition Corp.	LACQ	52539T107	24-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	24-Nov-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from from November 30, 2020 to March 1, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	24-Nov-20	Management	Amend Investment Management Trust Agreement to Extend Date that the Trustee Will Liquidate the Trust Account from November 30, 2020 to March 1, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	24-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Issue Shares in Connection with the Business Combination	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Change Company Name to BM Technologies, Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Reclassify Class A Common Stock and the Class B Common Stock as Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Adopt Supermajority Vote Requirement for Election of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Adopt Supermajority Vote Requirement for Amendments	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Amend Charter Re: Provisions that Company May Not Engage in certain "Business Combinations" with any "Interested Stockholder"	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Amend Charter Re: Removal of Various Provisions Applicable Only to Special PurposeAcquisition Corporations	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Megalith Financial Acquisition Corp.	MFAC	58518F109	21-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	04-Nov-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	04-Nov-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	04-Nov-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	04-Nov-20	Management	Approve Qualified Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	04-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	06-Nov-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to February 11, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Monocle Acquisition Corporation	MNCL	609754106	06-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Change Company Name to Triterras, Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Amend Charter to Eliminate Blank Check Company Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	Netfin Acquisition Corp.	NFIN	G6455A107	10-Nov-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Change Jurisdiction of Incorporation from Cayman Islands to Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Increase Total Number of Authorized Shares, Eliminate Class B Common Stock, and Approve Creation of Class V Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Authorize the Board of Directors to Issue Preferred Stock Without Stockholder Action	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Eliminate Right to Act by Written Consent	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve Other Changes in Connection with the Proposed Governing Documents	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve Implementation of Dual Class Stock Structure	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Declassify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve Issuance of Class A and Class V Common Stock for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Approve Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oaktree Acquisition Corp.	OAC	G67145105	19-Jan-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Matters Relating to the Acquisition of PerkinElmer (UK) Holdings Limited	For	Yes	No
Vivaldi Merger Arbitrage Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Re-registration of the Company as a Private Limited Company by the Name of Oxford Immunotec Global Limited	For	Yes	No
Vivaldi Merger Arbitrage Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Change Jurisdiction of Incorporation from Cayman Islands to the State of Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Replay Limited Liability Company Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Ordinary Shares Pursuant to Each Replay PIPE Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Shares of Class A Common Stock Pursuant to Each New Pubco PIPE Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Shares of Class A Common Stock Pursuant to the Transaction Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Shares of Class B Common Stock Pursuant to the Transaction Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Ordinary Shares Pursuant to Each Replay PIPE Agreement Entered Into with an Affiliate of the Sponsor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Shares of Class A Common Stock to the Sellers, Blocker and Blocker GP Pursuant to the Transaction Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Issuance of Shares of Class B Common Stock to the Sellers Pursuant to the Transaction Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Increase Authorized Preferred and Common Stock and Authorize New Class of Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Amend Right to Call Special Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve All Other Changes in Connection with the Adoption of the Proposed Organizational Documents	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Extend Consummation of Business Combination to October 8, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Replay Acquisition Corp.	RPLA	G75130107	25-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Change Company Name to Romeo Power, Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Increase Authorized Preferred and Common Stock and Eliminate Class of Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Eliminate Blank Check Company Provisions	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Lionel E. Selwood, Jr.	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Lauren Webb	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Robert S. Mancini	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Philip Kassin	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Donald S. Gottwald	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Brady Ericson	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Susan S. Brennan	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Timothy E. Stuart	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Elect Director Paul S. Williams	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	RMG Acquisition Corp.	RMG	749641106	28-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	SC Health Corporation	SCPE	G78516203	12-Jan-21	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from January 16, 2021 to April 16, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	SC Health Corporation	SCPE	G78516203	14-Apr-21	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from April 16, 2021 to August 16, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Slack Technologies, Inc.	WORK	83088V102	02-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Slack Technologies, Inc.	WORK	83088V102	02-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Change Jurisdiction of Incorporation from Cayman Islands to Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve Issuance of Clover Health Preferred Stock in One or More Classes or Series	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Provide Clover Health Class A Common Stockholders to Cast One Vote per Share of Clover Health Class A Common Stock and Clover Health Class B Common Stockholders to 10 votes per share of Clover Health Class B Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Classify the Board of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Adopt New Certificate of Incorporation and By-Laws	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Elect Lee A. Shapiro, Vivek Garipalli, Andrew Toy, Chelsea Clinton, and Nathaniel S. Turner as Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve Issuance of Shares in One or More Private Placements	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve Restricted Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Approve Employee Stock Purchase Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Social Capital Hedosophia Holdings Corp. III	IPOC	G8251K123	06-Jan-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Increase Authorized Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Eliminate Class B of Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Approve No Class Vote on Changes in Authorized Number of Shares of Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Authorize Board to Determine the Number of Directors of the Board from Time to Time	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Amend Waiver of Corporate Opportunities Prospective Only	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Adopt  Supermajority Vote Requirement for Amendments	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Removal of Exemptions to Deemed Service of Process in Exclusive Forum Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Adopt the Jurisdiction of Incorporation as the Exclusive Forum for Internal Corporate Claims	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Amend Certificate of Incorporation to Add Federal Forum Selection Provision	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Approve Change of Name to CuriosityStream Inc., Reclassification of Class A Common Stock, And Replacement of Existing Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Software Acquisition Group Inc.	SAQN	83406B101	12-Oct-20	Management	If you Certify that you are Not Acting in Concert, or as a Group, in Connection with the Proposed Business Combination, you should vote FOR this proposal. If you are Acting in Concert, vote AGAINST	For	Yes	No
Vivaldi Merger Arbitrage Fund	Spartan Energy Acquisition Corp.	SPAQ	846784106	03-Aug-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination to February 14, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tenzing Acquisition Corp.	TZAC	G8708A116	24-Sep-20	Management	Amend Articles of Association to Extend Consummation of Business Combination to December 28, 2020	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tenzing Acquisition Corp.	TZAC	G8708A116	24-Sep-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Change Company Name to POINT Biopharma Global Inc.	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Increase Authorized Preferred and Common Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Adopt Supermajority Vote Requirement for Removal of Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Adopt Supermajority Vote Requirement to Amend Charter	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Amend Charter Re: Perpetual Corporate Existence and Removal of Various Provisions Applicable Only to Special Purpose Acquisition Corporations	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Opt Out of Section 203 of the DGCL	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Amend Exclusive Forum Bylaw	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Elect Nine Directors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Therapeutics Acquisition Corp.	RACA	88339T103	29-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	30-Dec-20	Management	Ratify Grant Thornton LLP as Auditors	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Change Country of Incorporation to State of Delaware	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Approve SPAC Transaction	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Approve Omnibus Stock Plan	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Sonalee Parekh	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Ichiro Aoki	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Jeffrey Owens	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director William Woodward	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Karl-Thomas Neumann	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Diane Brink	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Donald McClymont	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director Peter J. Kight	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Elect Director David Aldrich	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Approve Issuance of Shares for a Private Placement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Approved Change in Authorized Capital Stock	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Amend Right to Call Special Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Restrict Right to Act by Written Consent	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Classify Board	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Provide that Directors May be Elected by the Stockholders Only at an Annual Meeting of Stockholders by a Plurality of the Votes Cast	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Provide Directors May Only Be Removed for Cause	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Adopt Supermajority Vote Requirement to Amend Certificate of Incorporation	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Adopt the Jurisdiction of Incorporation as the Exclusive Forum for Certain Disputes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Out of Section 203 of the Delaware General Corporation Law	For	Yes	No
Vivaldi Merger Arbitrage Fund	Thunder Bridge Acquisition II, Ltd.	THBR	G8857S116	09-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tuscan Holdings Corp.	THCB	90069K104	03-Dec-20	Management	Amend Certificate of Incorporation to Extend Consummation of Business Combination from December 7, 2020 to April 30, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Tuscan Holdings Corp.	THCB	90069K104	03-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Union Acquisition Corp. II	LATN	G9402Q100	16-Apr-21	Management	Amend Articles of Association to Extend Consummation of Business Combination from April 22, 2021 to October 22, 2021	For	Yes	No
Vivaldi Merger Arbitrage Fund	Union Acquisition Corp. II	LATN	G9402Q100	16-Apr-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Watford Holdings Ltd.	WTRE	G94787101	30-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Watford Holdings Ltd.	WTRE	G94787101	30-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Watford Holdings Ltd.	WTRE	G94787101	30-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Merger Arbitrage Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Amend Articles	For	Yes	No
Vivaldi Merger Arbitrage Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Merger Arbitrage Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Robert J. Palmisano	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director David D. Stevens	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Gary D. Blackford	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director J. Patrick Mackin	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director John L. Miclot	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Kevin C. O'Boyle	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Amy S. Paul	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Richard F. Wallman	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Elizabeth H. Weatherman	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Ratify KPMG LLP as Auditor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Ratify KPMG N.V. as Auditor	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Adopt Financial Statements and Statutory Reports	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Approve Discharge of Management Board	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Repurchase of Up to 10 Percent of Issued Share Capital	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Board to Issue Shares	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Board to Exclude Preemptive Rights from Share Issuances	For	Yes	No
Vivaldi Merger Arbitrage Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No

Form N-PX	Proxy Voting Records	# of Proposals:	109
Fund Name:	Vivaldi Multi-Strategy Fund	# Voted Against Management:	0
Reporting Period:	07/1/20 to 06/30/2021

Institutional Account Name	Company Name	Ticker	Primary CUSIP	Meeting Date	Proponent	Proposal Text	Vote Instruction	Voted	Vote Against Management
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Vincent K. McMahon	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Stephanie McMahon Levesque	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Paul "Triple H" Levesque	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Stuart U. Goldfarb	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Laureen Ong	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Robyn W. Peterson	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Frank A. Riddick, III	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Man Jit Singh	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Jeffrey R. Speed	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Elect Director Alan M. Wexler	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Ratify Deloitte & Touche LLP as Auditors	For	Yes	No
Vivaldi Multi-Strategy Fund	World Wrestling Entertainment, Inc.	WWE	98156Q108	16-Jul-20	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Thomas Benninger	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Jan Jones Blackhurst	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Juliana Chugg	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Denise Clark	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Keith Cozza	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director John Dionne	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director James Hunt	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Don Kornstein	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Courtney R. Mather	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director James Nelson	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Elect Director Anthony Rodio	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Multi-Strategy Fund	Caesars Entertainment Corporation	CZR	127686AA1	24-Jul-20	Management	Ratify Deloitte & Touche LLP as Auditor	For	Yes	No
Vivaldi Multi-Strategy Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Advanced Disposal Services, Inc.	ADSW	00790X101	25-Aug-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Multi-Strategy Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Multi-Strategy Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Amend Articles	For	Yes	No
Vivaldi Multi-Strategy Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Willis Towers Watson Public Limited Company	WLTW	G96629103	26-Aug-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	CNX Midstream Partners LP	CNXM	12654A101	25-Sep-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	National General Holdings Corp.	NGHC	636220303	30-Sep-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Varian Medical Systems, Inc.	VAR	92220P105	15-Oct-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Robert J. Palmisano	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director David D. Stevens	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Gary D. Blackford	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director J. Patrick Mackin	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director John L. Miclot	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Kevin C. O'Boyle	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Amy S. Paul	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Richard F. Wallman	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Elect Director Elizabeth H. Weatherman	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Ratify KPMG LLP as Auditor	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Ratify KPMG N.V. as Auditor	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Adopt Financial Statements and Statutory Reports	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Approve Discharge of Management Board	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Repurchase of Up to 10 Percent of Issued Share Capital	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Board to Issue Shares	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Authorize Board to Exclude Preemptive Rights from Share Issuances	For	Yes	No
Vivaldi Multi-Strategy Fund	Wright Medical Group N.V.	WMGI	N96617118	28-Oct-20	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Multi-Strategy Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Livongo Health, Inc.	LVGO	539183103	29-Oct-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Taubman Centers, Inc.	TCO	876664103	28-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Tiffany & Co.	TIF	886547108	30-Dec-20	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Multi-Strategy Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Matters Relating to the Acquisition of PerkinElmer (UK) Holdings Limited	For	Yes	No
Vivaldi Multi-Strategy Fund	Oxford Immunotec Global Plc	OXFD	G6855A103	26-Feb-21	Management	Approve Re-registration of the Company as a Private Limited Company by the Name of Oxford Immunotec Global Limited	For	Yes	No
Vivaldi Multi-Strategy Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Acacia Communications, Inc.	ACIA	00401C108	01-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Slack Technologies, Inc.	WORK	83088V102	02-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Slack Technologies, Inc.	WORK	83088V102	02-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	RealPage, Inc.	RP	75606N109	08-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	HMS Holdings Corp.	HMSY	40425J101	26-Mar-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Multi-Strategy Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Approve Scheme of Arrangement	For	Yes	No
Vivaldi Multi-Strategy Fund	GW Pharmaceuticals Plc	GWPH	36197T103	23-Apr-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Perspecta Inc.	PRSP	715347100	05-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Tribune Publishing Company	TPCO	89608FAD7	21-May-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	ESH Hospitality, Inc.		26907Y104	11-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	ESH Hospitality, Inc.		26907Y104	11-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Approve Merger Agreement	Do Not Vote	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Advisory Vote on Golden Parachutes	Do Not Vote	Yes	No
Vivaldi Multi-Strategy Fund	Extended Stay America, Inc.	STAY	30224P200	11-Jun-21	Management	Adjourn Meeting	Do Not Vote	Yes	No
Vivaldi Multi-Strategy Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Approve Merger Agreement	For	Yes	No
Vivaldi Multi-Strategy Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Advisory Vote on Golden Parachutes	For	Yes	No
Vivaldi Multi-Strategy Fund	PRA Health Sciences, Inc.	PRAH	69354M108	15-Jun-21	Management	Adjourn Meeting	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Juli C. Spottiswood	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Edward H. West	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Elect Director Rahul Gupta	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Ratify KPMG LLP (U.S.) as Auditors	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Reappoint KPMG LLP (U.K.) as Statutory Auditors	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Authorize Audit Committee to Fix Remuneration of UK Statutory Auditors	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Advisory Vote to Ratify Named Executive Officers' Compensation	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Advisory Vote to Ratify Directors' Compensation Report	For	Yes	No
Vivaldi Multi-Strategy Fund	Cardtronics plc	CATM	G1991C105	30-Jun-21	Management	Accept Financial Statements and Statutory Reports	For	Yes	No

Vote Summary

LEGG MASON

Security

18469Q108

Meeting Type

Special

Ticker Symbol

CTR

Meeting Date

06-Jul-2020

ISIN

US18469Q1085

Agenda

935194706 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.

Management

Split

Split

2B.

To approve a New Subadvisory Agreement with: ClearBridge Investments, LLC

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

3,260

0

04-Jun-2020

04-Jun-2020

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Contested-Special

Ticker Symbol

EHI

Meeting Date

06-Jul-2020

ISIN

US95766B1098

Agenda

935196116 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.

Management

Split

Split

2C.

To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC.

Management

Split

Split

2D.

To approve a New Subadvisory Agreement with: Western Asset Management Company Limited.

Management

Split

Split

2F.

To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

3,623

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

14,649

0

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Contested-Special

Ticker Symbol

EHI

Meeting Date

06-Jul-2020

ISIN

US95766B1098

Agenda

935196116 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.

Management

Split

Split

2C.

To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC.

Management

Split

Split

2D.

To approve a New Subadvisory Agreement with: Western Asset Management Company Limited.

Management

Split

Split

2F.

To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

3,623

0

15-May-2020

15-May-2020

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Contested-Special

Ticker Symbol

EHI

Meeting Date

06-Jul-2020

ISIN

US95766B1098

Agenda

935196116 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.

Management

Split

Split

2C.

To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC.

Management

Split

Split

2D.

To approve a New Subadvisory Agreement with: Western Asset Management Company Limited.

Management

Split

Split

2F.

To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

14,649

0

15-May-2020

15-May-2020

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Contested-Special

Ticker Symbol

EHI

Meeting Date

06-Jul-2020

ISIN

US95766B1098

Agenda

935196128 - Opposition

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC.

Management

Split

Split

2C.

To approve a New Subadvisory Agreement with Western Asset Management Company, LLC.

Management

Split

Split

2D.

To approve a New Subadvisory Agreement with Western Asset Management Company Limited.

Management

Split

Split

2F.

To approve a New Subadvisory Agreement with Western Asset Management Company Pte. Ltd.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

3,623

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

14,649

0

BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD

Security

10537L104

Meeting Type

Contested-Special

Ticker Symbol

BWG

Meeting Date

06-Jul-2020

ISIN

US10537L1044

Agenda

935196178 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC

Management

Split

Split

2A.

To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

36,221

0

15-May-2020

15-May-2020

BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD

Security

10537L104

Meeting Type

Contested-Special

Ticker Symbol

BWG

Meeting Date

06-Jul-2020

ISIN

US10537L1044

Agenda

935196178 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC

Management

Split

Split

2A.

To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,987

0

15-May-2020

15-May-2020

BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD

Security

10537L104

Meeting Type

Contested-Special

Ticker Symbol

BWG

Meeting Date

06-Jul-2020

ISIN

US10537L1044

Agenda

935196178 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC

Management

Split

Split

2A.

To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,987

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

36,221

0

BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD

Security

10537L104

Meeting Type

Contested-Special

Ticker Symbol

BWG

Meeting Date

06-Jul-2020

ISIN

US10537L1044

Agenda

935196180 - Opposition

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

02-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT WITH LEGG MASON PARTNERS FUND ADVISOR, LLC.

Management

Split

Split

2.

TO AUTHORIZE THE PROXYHOLDERS TO DECLINE TO ATTEND THE MEETING IF THEY BELIEVE THAT PROPOSAL NO. 1 IS LESS LIKELY TO BE APPROVED IF YOUR SHARES ARE NOT REPRESENTED AT THE MEETING (BY MAKING IT MORE DIFFICULT FOR MORE THAN 50% OF THE OUTSTANDING SHARES TO BE PRESENT IN PERSON OR BY PROXY) THAN IF THEY ARE REPRESENTED AT THE MEETING. FOR= Authorize ; AGAINST = Do Not Authorize.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,987

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

36,221

0

VOYA PRIME RATE TRUST

Security

92913A100

Meeting Type

Contested-Annual

Ticker Symbol

PPR

Meeting Date

09-Jul-2020

ISIN

US92913A1007

Agenda

935217869 - Management

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Colleen D. Baldwin

Split

Split

2

John V. Boyer

Split

Split

3

Patricia W. Chadwick

Split

Split

4

Martin J. Gavin

Split

Split

5

Joseph E. Obermeyer

Split

Split

6

Sheryl K. Pressler

Split

Split

7

Dina Santoro

Split

Split

8

Christopher P. Sullivan

Split

Split

2.

If properly presented at the Annual Meeting, to vote on a shareholder's precatory proposal relating to a tender offer.

Shareholder

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

141,793

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

25,768

0

VOYA PRIME RATE TRUST

Security

92913A100

Meeting Type

Contested-Annual

Ticker Symbol

PPR

Meeting Date

09-Jul-2020

ISIN

US92913A1007

Agenda

935217871 - Opposition

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

DIRECTOR

Management

Split

Split

1

Aditya Bindal

Split

Split

2

Peter Borish

Split

Split

3

Karen Caldwell

Split

Split

4

Charles Clarvit

Split

Split

5

Ketu Desai

Split

Split

6

Kieran Goodwin

Split

Split

7

Andrew Kellerman

Split

Split

8

Neal Nellinger

Split

Split

2

Termination of the Management Agreement between the Fund and Voya Investments, LLC, as amended and restated on May 1, 2015 (the "Management Agreement"), and all other advisory and management agreements between the Fund and Voya Investments, LLC.

Shareholder

Split

Split

3

To request that the Board consider authorizing a self- tender offer for 40% of the outstanding shares of the Fund at or close to net asset value.

Shareholder

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

25,768

0

07-Jul-2020

07-Jul-2020

VOYA PRIME RATE TRUST

Security

92913A100

Meeting Type

Contested-Annual

Ticker Symbol

PPR

Meeting Date

09-Jul-2020

ISIN

US92913A1007

Agenda

935217871 - Opposition

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

DIRECTOR

Management

Split

Split

1

Aditya Bindal

Split

Split

2

Peter Borish

Split

Split

3

Karen Caldwell

Split

Split

4

Charles Clarvit

Split

Split

5

Ketu Desai

Split

Split

6

Kieran Goodwin

Split

Split

7

Andrew Kellerman

Split

Split

8

Neal Nellinger

Split

Split

2

Termination of the Management Agreement between the Fund and Voya Investments, LLC, as amended and restated on May 1, 2015 (the "Management Agreement"), and all other advisory and management agreements between the Fund and Voya Investments, LLC.

Shareholder

Split

Split

3

To request that the Board consider authorizing a self- tender offer for 40% of the outstanding shares of the Fund at or close to net asset value.

Shareholder

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

141,793

0

07-Jul-2020

07-Jul-2020

VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD

Security

92912T100

Meeting Type

Annual

Ticker Symbol

IGD

Meeting Date

09-Jul-2020

ISIN

US92912T1007

Agenda

935223785 - Management

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Martin J. Gavin

Split

Split

2

Dina Santoro

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

7,985

0

08-Jul-2020

08-Jul-2020

VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD

Security

92912T100

Meeting Type

Annual

Ticker Symbol

IGD

Meeting Date

09-Jul-2020

ISIN

US92912T1007

Agenda

935223785 - Management

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Martin J. Gavin

Split

Split

2

Dina Santoro

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

30,179

0

08-Jul-2020

08-Jul-2020

VOYA RISK MANAGED NATURAL RESOURCES FD

Security

92913C106

Meeting Type

Annual

Ticker Symbol

IRR

Meeting Date

09-Jul-2020

ISIN

US92913C1062

Agenda

935223800 - Management

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Martin J. Gavin

Split

Split

2

Dina Santoro

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

17,150

0

08-Jul-2020

08-Jul-2020

VOYA RISK MANAGED NATURAL RESOURCES FD

Security

92913C106

Meeting Type

Annual

Ticker Symbol

IRR

Meeting Date

09-Jul-2020

ISIN

US92913C1062

Agenda

935223800 - Management

Record Date

24-Apr-2020

Holding Recon Date

24-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Martin J. Gavin

Split

Split

2

Dina Santoro

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

20,451

0

08-Jul-2020

08-Jul-2020

CLOUGH GLOBAL OPPORTUNITIES FUND

Security

18914E106

Meeting Type

Annual

Ticker Symbol

GLO

Meeting Date

09-Jul-2020

ISIN

US18914E1064

Agenda

935228127 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

3.

DIRECTOR

Management

Split

Split

1

Robert L. Butler

Split

Split

2

Karen DiGravio

Split

Split

3

Kevin McNally

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

29,153

0

08-Jul-2020

08-Jul-2020

CLOUGH GLOBAL OPPORTUNITIES FUND

Security

18914E106

Meeting Type

Annual

Ticker Symbol

GLO

Meeting Date

09-Jul-2020

ISIN

US18914E1064

Agenda

935228127 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

3.

DIRECTOR

Management

Split

Split

1

Robert L. Butler

Split

Split

2

Karen DiGravio

Split

Split

3

Kevin McNally

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,400

0

08-Jul-2020

08-Jul-2020

CLOUGH GLOBAL EQUITY FUND

Security

18914C100

Meeting Type

Annual

Ticker Symbol

GLQ

Meeting Date

09-Jul-2020

ISIN

US18914C1009

Agenda

935228139 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

2.

DIRECTOR

Management

Split

Split

1

Edmund J. Burke

Split

Split

2

Vincent W. Versaci

Split

Split

3

Clifford J. Weber

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

17,896

0

08-Jul-2020

08-Jul-2020

CLOUGH GLOBAL EQUITY FUND

Security

18914C100

Meeting Type

Annual

Ticker Symbol

GLQ

Meeting Date

09-Jul-2020

ISIN

US18914C1009

Agenda

935228139 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

2.

DIRECTOR

Management

Split

Split

1

Edmund J. Burke

Split

Split

2

Vincent W. Versaci

Split

Split

3

Clifford J. Weber

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

7,202

0

08-Jul-2020

08-Jul-2020

ALLIANZGI ARTIFICIAL

Security

01883M101

Meeting Type

Annual

Ticker Symbol

AIO

Meeting Date

09-Jul-2020

ISIN

US01883M1018

Agenda

935238673 - Opposition

Record Date

14-May-2020

Holding Recon Date

14-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Trustee: Hans W. Kertess

Management

Split

Split

1B.

Election of Trustee: William B. Ogden, IV

Management

Split

Split

1C.

Election of Trustee: Alan Rappaport

Management

Split

Split

1D.

Election of Trustee: Davey S. Scoon

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

1,140

0

08-Jul-2020

08-Jul-2020

ALLIANZGI ARTIFICIAL

Security

01883M101

Meeting Type

Annual

Ticker Symbol

AIO

Meeting Date

09-Jul-2020

ISIN

US01883M1018

Agenda

935238673 - Opposition

Record Date

14-May-2020

Holding Recon Date

14-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Trustee: Hans W. Kertess

Management

Split

Split

1B.

Election of Trustee: William B. Ogden, IV

Management

Split

Split

1C.

Election of Trustee: Alan Rappaport

Management

Split

Split

1D.

Election of Trustee: Davey S. Scoon

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,747

0

08-Jul-2020

08-Jul-2020

ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST

Security

01883A107

Meeting Type

Annual

Ticker Symbol

NFJ

Meeting Date

09-Jul-2020

ISIN

US01883A1079

Agenda

935238685 - Opposition

Record Date

14-May-2020

Holding Recon Date

14-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Trustee: Sarah E. Cogan

Management

Split

Split

1B.

Election of Trustee: F. Ford Drummond

Management

Split

Split

1C.

Election of Trustee: Alan Rappaport

Management

Split

Split

1D.

Election of Trustee: Davey S. Scoon

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

29,554

0

08-Jul-2020

08-Jul-2020

ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST

Security

01883A107

Meeting Type

Annual

Ticker Symbol

NFJ

Meeting Date

09-Jul-2020

ISIN

US01883A1079

Agenda

935238685 - Opposition

Record Date

14-May-2020

Holding Recon Date

14-May-2020

City /

Country

/

United States

Vote Deadline Date

08-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Trustee: Sarah E. Cogan

Management

Split

Split

1B.

Election of Trustee: F. Ford Drummond

Management

Split

Split

1C.

Election of Trustee: Alan Rappaport

Management

Split

Split

1D.

Election of Trustee: Davey S. Scoon

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

3,396

0

08-Jul-2020

08-Jul-2020

ROYCE MICRO-CAP TRUST, INC.

Security

780915104

Meeting Type

Special

Ticker Symbol

RMT

Meeting Date

14-Jul-2020

ISIN

US7809151043

Agenda

935221541 - Management

Record Date

01-May-2020

Holding Recon Date

01-May-2020

City /

Country

/

United States

Vote Deadline Date

13-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Micro-Cap Trust, Inc.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

7,626

0

13-Jul-2020

13-Jul-2020

ROYCE MICRO-CAP TRUST, INC.

Security

780915104

Meeting Type

Special

Ticker Symbol

RMT

Meeting Date

14-Jul-2020

ISIN

US7809151043

Agenda

935221541 - Management

Record Date

01-May-2020

Holding Recon Date

01-May-2020

City /

Country

/

United States

Vote Deadline Date

13-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Micro-Cap Trust, Inc.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

22,392

0

13-Jul-2020

13-Jul-2020

NEXPOINT FUNDS

Security

65340G205

Meeting Type

Annual

Ticker Symbol

NHF

Meeting Date

14-Jul-2020

ISIN

US65340G2057

Agenda

935242836 - Management

Record Date

19-Jun-2020

Holding Recon Date

19-Jun-2020

City /

Country

/

United States

Vote Deadline Date

13-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Dr. Bob Froehlich

Split

Split

2

Edward Constantino

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

30,144

0

13-Jul-2020

13-Jul-2020

EATON VANCE INSD. MUN BD FD

Security

27827X101

Meeting Type

Annual

Ticker Symbol

EIM

Meeting Date

16-Jul-2020

ISIN

US27827X1019

Agenda

935225006 - Management

Record Date

05-May-2020

Holding Recon Date

05-May-2020

City /

Country

/

United States

Vote Deadline Date

15-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

George J. Gorman

Split

Split

2

Helen Frame Peters

Split

Split

3

Marcus L. Smith

Split

Split

4

Susan J. Sutherland

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

32,824

0

15-Jul-2020

15-Jul-2020

BLACKROCK DEBT STRATEGIES FD INC

Security

09255R202

Meeting Type

Annual

Ticker Symbol

DSU

Meeting Date

27-Jul-2020

ISIN

US09255R2022

Agenda

935237330 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Cynthia L. Egan

Split

Split

2

Michael J. Castellano

Split

Split

3

Catherine A. Lynch

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

50,368

0

24-Jul-2020

24-Jul-2020

BLACKROCK DEBT STRATEGIES FD INC

Security

09255R202

Meeting Type

Annual

Ticker Symbol

DSU

Meeting Date

27-Jul-2020

ISIN

US09255R2022

Agenda

935237330 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Cynthia L. Egan

Split

Split

2

Michael J. Castellano

Split

Split

3

Catherine A. Lynch

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

18,655

0

24-Jul-2020

24-Jul-2020

BLACKROCK RESOURCES & COMMODITIES STRAT

Security

09257A108

Meeting Type

Annual

Ticker Symbol

BCX

Meeting Date

27-Jul-2020

ISIN

US09257A1088

Agenda

935237823 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

4

W. Carl Kester

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

41,722

0

24-Jul-2020

24-Jul-2020

BLACKROCK RESOURCES & COMMODITIES STRAT

Security

09257A108

Meeting Type

Annual

Ticker Symbol

BCX

Meeting Date

27-Jul-2020

ISIN

US09257A1088

Agenda

935237823 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

4

W. Carl Kester

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

17,738

0

24-Jul-2020

24-Jul-2020

BLACKROCK NY INSURED MUNICIPAL INCOME TR

Security

09249U105

Meeting Type

Annual

Ticker Symbol

BSE

Meeting Date

27-Jul-2020

ISIN

US09249U1051

Agenda

935237835 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

12,064

0

24-Jul-2020

24-Jul-2020

BLACKROCK CALIFORNIA MUNICIPAL INCOME TR

Security

09248E102

Meeting Type

Annual

Ticker Symbol

BFZ

Meeting Date

27-Jul-2020

ISIN

US09248E1029

Agenda

935237835 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,702

0

24-Jul-2020

24-Jul-2020

BLACKROCK CALIFORNIA MUNICIPAL INCOME TR

Security

09248E102

Meeting Type

Annual

Ticker Symbol

BFZ

Meeting Date

27-Jul-2020

ISIN

US09248E1029

Agenda

935237835 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

540

0

24-Jul-2020

24-Jul-2020

BLACKROCK NY INSURED MUNICIPAL INCOME TR

Security

09249U105

Meeting Type

Annual

Ticker Symbol

BSE

Meeting Date

27-Jul-2020

ISIN

US09249U1051

Agenda

935237835 - Management

Record Date

29-May-2020

Holding Recon Date

29-May-2020

City /

Country

/

United States

Vote Deadline Date

24-Jul-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Michael J. Castellano

Split

Split

2

R. Glenn Hubbard

Split

Split

3

John M. Perlowski

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

6,719

0

24-Jul-2020

24-Jul-2020

NUVEEN AMT-FREE MUNICIPAL CREDIT INC FD

Security

67071L106

Meeting Type

Annual

Ticker Symbol

NVG

Meeting Date

05-Aug-2020

ISIN

US67071L1061

Agenda

935245541 - Management

Record Date

08-Jun-2020

Holding Recon Date

08-Jun-2020

City /

Country

/

United States

Vote Deadline Date

04-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1C.

DIRECTOR

Management

Split

Split

1

John K. Nelson

Split

Split

2

Terence J. Toth

Split

Split

3

Robert L. Young

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

8,684

0

04-Aug-2020

04-Aug-2020

NUVEEN QUALITY MUNICIPAL INCOME FUND

Security

67066V101

Meeting Type

Annual

Ticker Symbol

NAD

Meeting Date

05-Aug-2020

ISIN

US67066V1017

Agenda

935245541 - Management

Record Date

08-Jun-2020

Holding Recon Date

08-Jun-2020

City /

Country

/

United States

Vote Deadline Date

04-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1C.

DIRECTOR

Management

Split

Split

1

John K. Nelson

Split

Split

2

Terence J. Toth

Split

Split

3

Robert L. Young

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

13,058

0

04-Aug-2020

04-Aug-2020

INVESCO DYNAMIC CREDIT OPP FUND

Security

46132R104

Meeting Type

Annual

Ticker Symbol

VTA

Meeting Date

07-Aug-2020

ISIN

US46132R1041

Agenda

935248319 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A

DIRECTOR

Management

Split

Split

1

Beth Ann Brown

Split

Split

2

Anthony J. LaCava, Jr.

Split

Split

3

Joel W. Motley

Split

Split

4

Teresa M. Ressel

Split

Split

5

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

885

0

06-Aug-2020

06-Aug-2020

INVESCO SENIOR INCOME TRUST

Security

46131H107

Meeting Type

Annual

Ticker Symbol

VVR

Meeting Date

07-Aug-2020

ISIN

US46131H1077

Agenda

935248319 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A

DIRECTOR

Management

Split

Split

1

Beth Ann Brown

Split

Split

2

Anthony J. LaCava, Jr.

Split

Split

3

Joel W. Motley

Split

Split

4

Teresa M. Ressel

Split

Split

5

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

43,604

0

06-Aug-2020

06-Aug-2020

INVESCO SENIOR INCOME TRUST

Security

46131H107

Meeting Type

Annual

Ticker Symbol

VVR

Meeting Date

07-Aug-2020

ISIN

US46131H1077

Agenda

935248319 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A

DIRECTOR

Management

Split

Split

1

Beth Ann Brown

Split

Split

2

Anthony J. LaCava, Jr.

Split

Split

3

Joel W. Motley

Split

Split

4

Teresa M. Ressel

Split

Split

5

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

48,280

0

06-Aug-2020

06-Aug-2020

INVESCO DYNAMIC CREDIT OPP FUND

Security

46132R104

Meeting Type

Annual

Ticker Symbol

VTA

Meeting Date

07-Aug-2020

ISIN

US46132R1041

Agenda

935248319 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A

DIRECTOR

Management

Split

Split

1

Beth Ann Brown

Split

Split

2

Anthony J. LaCava, Jr.

Split

Split

3

Joel W. Motley

Split

Split

4

Teresa M. Ressel

Split

Split

5

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

13,538

0

06-Aug-2020

06-Aug-2020

INVESCO

Security

46131F101

Meeting Type

Annual

Ticker Symbol

VLT

Meeting Date

07-Aug-2020

ISIN

US46131F1012

Agenda

935248333 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1C

DIRECTOR

Management

Split

Split

1

David C. Arch

Split

Split

2

Beth Ann Brown

Split

Split

3

Anthony J. LaCava, Jr.

Split

Split

4

Joel W. Motley

Split

Split

5

Teresa M. Ressel

Split

Split

6

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

15,643

0

06-Aug-2020

06-Aug-2020

INVESCO

Security

46131F101

Meeting Type

Annual

Ticker Symbol

VLT

Meeting Date

07-Aug-2020

ISIN

US46131F1012

Agenda

935248333 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

/

United States

Vote Deadline Date

06-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1C

DIRECTOR

Management

Split

Split

1

David C. Arch

Split

Split

2

Beth Ann Brown

Split

Split

3

Anthony J. LaCava, Jr.

Split

Split

4

Joel W. Motley

Split

Split

5

Teresa M. Ressel

Split

Split

6

Christopher L. Wilson

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

315

0

06-Aug-2020

06-Aug-2020

WELLS FARGO ADVANTAGE INCOME OPP FUND

Security

94987B105

Meeting Type

Annual

Ticker Symbol

EAD

Meeting Date

10-Aug-2020

ISIN

US94987B1052

Agenda

935246036 - Management

Record Date

05-Jun-2020

Holding Recon Date

05-Jun-2020

City /

Country

/

United States

Vote Deadline Date

07-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Isaiah Harris, Jr.

Split

Split

2

David F. Larcker

Split

Split

3

Olivia S. Mitchell

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

14,923

0

07-Aug-2020

07-Aug-2020

AGBA ACQUISITION LIMITED

Security

G0120M133

Meeting Type

Annual

Ticker Symbol

AGBAU

Meeting Date

18-Aug-2020

ISIN

VGG0120M1335

Agenda

935256962 - Management

Record Date

28-Jul-2020

Holding Recon Date

28-Jul-2020

City /

Country

/

United States

Vote Deadline Date

17-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Gordon Lee

For

For

2

Vera Tan

For

For

3

Eric Lam

For

For

4

Brian Chan

For

For

5

Thomas Ng

For

For

2.

RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,452

0

05-Aug-2020

05-Aug-2020

NEXPOINT FUNDS

Security

65340G205

Meeting Type

Special

Ticker Symbol

NHF

Meeting Date

28-Aug-2020

ISIN

US65340G2057

Agenda

935250388 - Management

Record Date

19-Jun-2020

Holding Recon Date

19-Jun-2020

City /

Country

/

United States

Vote Deadline Date

27-Aug-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a change in the Fund's business from a registered investment company that invests primarily in debt and equity securities to a diversified REIT and to amend the Fund's fundamental investment restrictions to permit the Fund to engage in its new business (the "Business Change Proposal").

Management

Split

Split

2.

To approve the amendment and restatement of the Fund's Agreement and Declaration of Trust (the "Amendment Proposal").

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

30,144

0

27-Aug-2020

27-Aug-2020

INSURANCE ACQUISITION CORP.

Security

457867109

Meeting Type

Special

Ticker Symbol

INSU

Meeting Date

10-Sep-2020

ISIN

US4578671095

Agenda

935263777 - Management

Record Date

29-Jul-2020

Holding Recon Date

29-Jul-2020

City /

Country

/

United States

Vote Deadline Date

09-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from September 22, 2020 to November 3, 2020 or such earlier date as determined by the board of directors.

Management

For

For

2.

Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, 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 Proposal 1.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

808

0

21-Aug-2020

21-Aug-2020

8I ENTERPRISES ACQUISITION CORP

Security

G2956M104

Meeting Type

Special

Ticker Symbol

JFK

Meeting Date

15-Sep-2020

ISIN

VGG2956M1041

Agenda

935135360 - Management

Record Date

20-Feb-2020

Holding Recon Date

20-Feb-2020

City /

Country

/

Singapore

Vote Deadline Date

14-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

I

THE REINCORPORATION MERGER PROPOSAL: To approve the Merger Agreement, by and among Singapore NewCo, BVI NewCo and JFK, and the Plan of Merger to be entered into between BVI NewCo and JFK, whereby BVI NewCo will merge with and into JFK with JFK being the surviving entity and a subsequent wholly- owned subsidiary of Singapore NewCo.

Management

For

For

II

THE SHARE EXCHANGE PROPOSAL: To approve the Share Exchange Agreement, dated as of July 9, 2019, as amended by the Amendment, dated October 8, 2019, by and among JFK, the Sellers, the Representative, Singapore NewCo and BVI NewCo, pursuant to which JFK shall acquire all of the issued and outstanding ordinary shares of Diginex owned by the Sellers in exchange for the issuance to the Sellers of an aggregate of 20,000,000 Singapore NewCo Ordinary Shares.

Management

For

For

III

THE ADJOURNMENT PROPOSAL: To consider and vote upon a proposal to adjourn the Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that, based upon the tabulated vote at the time of the Meeting, JFK would not have been authorized to consummate the Business Combination.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,014

0

02-Mar-2020

02-Mar-2020

ROYCE MICRO-CAP TRUST, INC.

Security

780915104

Meeting Type

Annual

Ticker Symbol

RMT

Meeting Date

24-Sep-2020

ISIN

US7809151043

Agenda

935263082 - Management

Record Date

31-Jul-2020

Holding Recon Date

31-Jul-2020

City /

Country

/

United States

Vote Deadline Date

23-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Christopher D. Clark

Split

Split

2

Christopher C. Grisanti

Split

Split

3

Cecile B. Harper

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

12,583

0

23-Sep-2020

23-Sep-2020

ROYCE MICRO-CAP TRUST, INC.

Security

780915104

Meeting Type

Annual

Ticker Symbol

RMT

Meeting Date

24-Sep-2020

ISIN

US7809151043

Agenda

935263082 - Management

Record Date

31-Jul-2020

Holding Recon Date

31-Jul-2020

City /

Country

/

United States

Vote Deadline Date

23-Sep-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Christopher D. Clark

Split

Split

2

Christopher C. Grisanti

Split

Split

3

Cecile B. Harper

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

22,392

0

23-Sep-2020

23-Sep-2020

DELAWARE INVESTMENTS

Security

246060107

Meeting Type

Annual

Ticker Symbol

DEX

Meeting Date

09-Oct-2020

ISIN

US2460601071

Agenda

935251746 - Management

Record Date

19-Jun-2020

Holding Recon Date

19-Jun-2020

City /

Country

/

United States

Vote Deadline Date

08-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Thomas L. Bennett

Split

Split

2

Jerome D. Abernathy

Split

Split

3

Ann D. Borowiec

Split

Split

4

Joseph W. Chow

Split

Split

5

John A. Fry

Split

Split

6

Lucinda S. Landreth

Split

Split

7

Shawn K. Lytle

Split

Split

8

F. A. Sevilla-Sacasa

Split

Split

9

Thomas K. Whitford

Split

Split

10

Christianna Wood

Split

Split

11

Janet L. Yeomans

Split

Split

2.

To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Austria Kapitalanlage AG and Macquarie Investment Management Global Limited to provide additional services to the Fund.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

15,200

0

17-Sep-2020

17-Sep-2020

DELAWARE INVESTMENTS

Security

246060107

Meeting Type

Annual

Ticker Symbol

DEX

Meeting Date

09-Oct-2020

ISIN

US2460601071

Agenda

935251746 - Management

Record Date

19-Jun-2020

Holding Recon Date

19-Jun-2020

City /

Country

/

United States

Vote Deadline Date

08-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Thomas L. Bennett

Split

Split

2

Jerome D. Abernathy

Split

Split

3

Ann D. Borowiec

Split

Split

4

Joseph W. Chow

Split

Split

5

John A. Fry

Split

Split

6

Lucinda S. Landreth

Split

Split

7

Shawn K. Lytle

Split

Split

8

F. A. Sevilla-Sacasa

Split

Split

9

Thomas K. Whitford

Split

Split

10

Christianna Wood

Split

Split

11

Janet L. Yeomans

Split

Split

2.

To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Austria Kapitalanlage AG and Macquarie Investment Management Global Limited to provide additional services to the Fund.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,957

0

17-Sep-2020

17-Sep-2020

INSURANCE ACQUISITION CORP.

Security

457867109

Meeting Type

Special

Ticker Symbol

INSU

Meeting Date

13-Oct-2020

ISIN

US4578671095

Agenda

935279302 - Management

Record Date

10-Sep-2020

Holding Recon Date

10-Sep-2020

City /

Country

/

United States

Vote Deadline Date

12-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

The Merger Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of June 29, 2020, by and among the Company, IAC Merger Sub Corp., and Shift Technologies, Inc., as amended by the First Amendment to the Agreement and Plan of Merger, dated as of August 19, 2020 (the "Merger Agreement"), and the transactions contemplated thereby (the "Merger").

Management

For

For

2

To approve an amendment to the Company's current amended and restated certificate of incorporation to increase the number of authorized shares of common stock.

Management

For

For

3

To approve the creation of an additional class of directors so that there will be three classes of directors with staggered terms of office, and make certain related changes.

Management

For

For

4

To approve an amendment to the Company's current amended and restated certificate of incorporation to provide that certain transactions are not "corporate opportunities" and that each of Highland Capital Partners 9 Limited Partnership, Highland Capital Partners 9-B Limited Partnership, and Highland Entrepreneurs' Fund 9 Limited Partnership and their respective affiliates are not subject to the doctrine of corporate opportunity.

Management

For

For

5

To approve an amendment to the Company's current amended and restated certificate of incorporation to provide for additional changes, principally including changing the Company's corporate name from "Insurance Acquisition Corp." to "Shift Technologies, Inc." and removing provisions applicable only to special purpose acquisition companies.

Management

For

For

6

The Nasdaq Proposal - To approve (i) for purposes of complying with Nasdaq Listing Rule 5635(a) and (b), the issuance of more than 20% of the Company's issued and outstanding common stock and the resulting change of control in connection with the Merger, and (ii) for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of up to 19,800,000 shares of common stock in connection with the PIPE Investment, upon the completion of the Merger.

Management

For

For

7

The Incentive Plan Proposal - To adopt the Shift Technologies, Inc. 2020 Omnibus Equity Compensation Plan, including the authorization of the initial share reserve thereunder.

Management

For

For

8A

To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Daniel G. Cohen

Management

For

For

8B

To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: John C. Chrystal

Management

For

For

8C

To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Stephanie Gould Rabin

Management

For

For

9A

Election of Director: Kellyn Smith Kenny (Class I - 2021 annual meeting of stockholders)

Management

For

For

9B

Election of Director: Victoria Mclnnis (Class I - 2021 annual meeting of stockholders)

Management

For

For

9C

Election of Director: Jason Krikorian (Class II - 2022 annual meeting of stockholders)

Management

For

For

9D

Election of Director: Emily Melton (Class II - 2022 annual meeting of stockholders)

Management

For

For

9E

Election of Director: Adam Nash (Class II - 2022 annual meeting of stockholders)

Management

For

For

9F

Election of Director: George Arison (Class III - 2023 annual meeting of stockholders)

Management

For

For

9G

Election of Director: Manish Patel (Class III - 2023 annual meeting of stockholders)

Management

For

For

9H

Election of Director: Tobias Russell (Class III - 2023 annual meeting of stockholders)

Management

For

For

10

The Adjournment Proposal - To approve the adjournment of the special meeting by the chairman thereof to a later date, 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 the Merger Proposal, the Charter Proposals, the Nasdaq Proposal, the Incentive Plan Proposal, the Existing Director Election Proposal and/or the Business Combination Director Election Proposal.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

808

0

01-Oct-2020

01-Oct-2020

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Annual

Ticker Symbol

EHI

Meeting Date

23-Oct-2020

ISIN

US95766B1098

Agenda

935275001 - Management

Record Date

01-Sep-2020

Holding Recon Date

01-Sep-2020

City /

Country

/

United States

Vote Deadline Date

22-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Carol L. Colman

Management

Split

Split

1.2

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Daniel P. Cronin

Management

Split

Split

1.3

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi

Management

Split

Split

2.

To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

14,649

0

22-Oct-2020

22-Oct-2020

WESTERN ASSET GBL HIGH INC FD INC.

Security

95766B109

Meeting Type

Annual

Ticker Symbol

EHI

Meeting Date

23-Oct-2020

ISIN

US95766B1098

Agenda

935275001 - Management

Record Date

01-Sep-2020

Holding Recon Date

01-Sep-2020

City /

Country

/

United States

Vote Deadline Date

22-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Carol L. Colman

Management

Split

Split

1.2

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Daniel P. Cronin

Management

Split

Split

1.3

Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi

Management

Split

Split

2.

To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

49,605

0

22-Oct-2020

22-Oct-2020

ARYA SCIENCES ACQUISITION CORP II

Security

G31655114

Meeting Type

Special

Ticker Symbol

ARYBU

Meeting Date

26-Oct-2020

ISIN

KYG316551145

Agenda

935284339 - Management

Record Date

04-Sep-2020

Holding Recon Date

04-Sep-2020

City /

Country

/

United States

Vote Deadline Date

23-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal - RESOLVED, as an ordinary resolution, that ARYA's entry into the Business Combination Agreement, dated as of July 29, 2020 (as amended on October 2, 2020 by Amendment No.1 to Business Combination Agreement, and as may be further amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement").

Management

For

For

2.

The Domestication Proposal - RESOLVED, as a special resolution, that ARYA be transferred by way of continuation to Delaware pursuant to Part XII of the Companies Law (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, immediately upon being de- registered in the Cayman Islands, ARYA be continued and domesticated as a corporation under the laws of the State of Delaware (the "Domestication").

Management

For

For

3.

Governing Documents Proposal A - RESOLVED, as an ordinary resolution, that the change in the authorized share capital of ARYA.

Management

For

For

4.

Governing Documents Proposal B - RESOLVED, as a special resolution, that the authorization to the Board of Directors of New Cerevel (the "New Cerevel Board") to issue any or all shares of New Cerevel Preferred Stock in one or more classes or series, with such terms and conditions as may be expressly determined by the New Cerevel Board and as may be permitted by the Delaware General Corporation Law be approved.

Management

For

For

5.

Governing Documents Proposal C - RESOLVED, as a special resolution, that certain provisions of the certificate of incorporation of New Cerevel are subject to the Amended and Restated Registration and Shareholder Rights Agreement (as defined in the proxy statement/prospectus) be approved.

Management

For

For

6.

Governing Documents Proposal D - RESOLVED, as a special resolution, that the removal of the ability of New Cerevel stockholders to take action by written consent in lieu of a meeting be approved.

Management

For

For

7.

Governing Documents Proposal E - RESOLVED, as a special resolution, that the amendment and restatement of the Existing Governing Documents be approved and that all other changes necessary or, as mutually agreed in good faith by ARYA and Cerevel.

Management

For

For

8.

The Nasdaq Proposal - RESOLVED, as an ordinary resolution, that for the purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule 5635, the issuance of shares of New Cerevel Common Stock be approved.

Management

For

For

9.

The Incentive Award Plan Proposal - RESOLVED, as an ordinary resolution, that the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan, a copy of which is attached to the proxy statement/prospectus as Annex J, be adopted and approved.

Management

For

For

10.

The Employee Stock Purchase Plan Proposal - RESOLVED, as an ordinary resolution, that the Cerevel Therapeutics Holdings, Inc. 2020 Employee Stock Purchase Plan, a copy of which is attached to the proxy statement/prospectus as Annex K, be adopted and approved.

Management

For

For

11.

The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting to a later date or dates.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

685

0

21-Oct-2020

21-Oct-2020

HEALTHCARE MERGER CORP.

Security

42227L201

Meeting Type

Special

Ticker Symbol

HCCOU

Meeting Date

30-Oct-2020

ISIN

US42227L2016

Agenda

935286686 - Management

Record Date

25-Sep-2020

Holding Recon Date

25-Sep-2020

City /

Country

/

United States

Vote Deadline Date

29-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To consider and vote upon a proposal to approve, assuming the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Agreement and Plan of Merger, dated as of July 29, 2020, by and among Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre Merger Sub I, Inc., a wholly owned subsidiary of HCMC ("First Merger Sub"), and Sabre Merger Sub II, LLC, a wholly owned subsidiary of HCMC ("Second Merger Sub"), pursuant to which First Merger Sub will merge with and into SOC Telemed, with SOC Telemed being the surviving corporation.

Management

For

For

2.

Increase the total number of authorized shares of all classes of capital stock from 111,000,000 shares to 505,000,000, which would consist of (i) 500,000,000 shares of Class A common stock and (ii) 5,000,000 shares of preferred stock.

Management

For

For

3.

Require the affirmative vote of either a majority of the board of directors then in office or the holders of two- thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of the bylaws; provided that if two-thirds of the board of directors then in office has approved such adoption, amendment alteration or repeal of any provisions of the bylaws, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock.

Management

For

For

4.

Require the affirmative vote of either a majority of the board of directors or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of certain provisions of the charter; provided that if two-thirds of the board of directors has approved such adoption, amendment, alteration or repeal, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock.

Management

For

For

5.

Provide that certain transactions would not be considered "competitive opportunities" and that each of Warburg Pincus Private Equity XI, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-C, L.P. and WP XI Finance, LP and their respective affiliates, directors, principals, officers, employees and other representatives is not subject to the doctrine of corporate opportunity and does not have any duty to refrain from engaging directly or indirectly in an investment

Management

For

For

6.

Provide that, in addition to the indemnification provisions in the existing charter, (i) HCMC shall be the indemnitor of first resort,(ii) HCMC shall be required to advance the full amount of expenses incurred by indemnitees and shall be liable for the full amount of all claims to the extent legally permitted (III) HCMC irrevocably waives, relinquishes and releases such persons from any and all claims against them for contribution, subrogation or any other recovery of any kind in respect thereof

Management

For

For

7.

Clarify that the exclusive jurisdiction of the Court of Chancery of the State of Delaware shall not apply to suits brought to enforce any duty or liability under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any other claim for which the federal courts have exclusive or concurrent jurisdiction. To the fullest extent permitted by law, the federal district courts of the United States of America shall be the sole and exclusive forum for the resolution of claims arising under the Securities Act.

Management

For

For

8.

Authorize all other proposed changes, including, among others, those (i) resulting from the Business Combination, including changing the post-business combination corporate name from "Healthcare Merger Corp." to "SOC Telemed, Inc." and removing certain provisions relating to HCMC's prior status as a blank check company and HCMC Class B common stock that will no longer apply upon the Closing, or (ii) that are administrative or clarifying in nature, including the deletion of language without substantive effect.

Management

For

For

9A.

Election of Director: Bobbie Byrne

Management

For

For

9B.

Election of Director: Thomas J. Carella

Management

For

For

9C.

Election of Director: Joseph P. Greskoviak

Management

For

For

9D.

Election of Director: John W. Kalix

Management

For

For

9E.

Election of Director: Amr Kronfol

Management

For

For

9F.

Election of Director: Anne M. McGeorge

Management

For

For

9G.

Election of Director: Steven J. Shulman

Management

For

For

10.

The Incentive Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Equity Incentive Plan (the "Incentive Plan") and material terms thereunder. A copy of the Incentive Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex C.

Management

For

For

11.

The Employee Stock Purchase Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Employee Stock Purchase Plan (the "Employee Stock Purchase Plan") and material terms thereunder. A copy of the Employee Stock Purchase Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex D.

Management

For

For

12.

To consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for purposes of complying with applicable provisions of Nasdaq Listing Rule 5635, the issuance of more than 20% of HCMC's issued and outstanding common stock in connection with the Business Combination and the PIPE Investment (as defined in the proxy statement/consent solicitation statement/prospectus), and the related change in control.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

1

0

21-Oct-2020

21-Oct-2020

HEALTHCARE MERGER CORP.

Security

42227L102

Meeting Type

Special

Ticker Symbol

HCCO

Meeting Date

30-Oct-2020

ISIN

US42227L1026

Agenda

935286686 - Management

Record Date

25-Sep-2020

Holding Recon Date

25-Sep-2020

City /

Country

/

United States

Vote Deadline Date

29-Oct-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To consider and vote upon a proposal to approve, assuming the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Agreement and Plan of Merger, dated as of July 29, 2020, by and among Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre Merger Sub I, Inc., a wholly owned subsidiary of HCMC ("First Merger Sub"), and Sabre Merger Sub II, LLC, a wholly owned subsidiary of HCMC ("Second Merger Sub"), pursuant to which First Merger Sub will merge with and into SOC Telemed, with SOC Telemed being the surviving corporation.

Management

For

For

2.

Increase the total number of authorized shares of all classes of capital stock from 111,000,000 shares to 505,000,000, which would consist of (i) 500,000,000 shares of Class A common stock and (ii) 5,000,000 shares of preferred stock.

Management

For

For

3.

Require the affirmative vote of either a majority of the board of directors then in office or the holders of two- thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of the bylaws; provided that if two-thirds of the board of directors then in office has approved such adoption, amendment alteration or repeal of any provisions of the bylaws, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock.

Management

For

For

4.

Require the affirmative vote of either a majority of the board of directors or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of certain provisions of the charter; provided that if two-thirds of the board of directors has approved such adoption, amendment, alteration or repeal, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock.

Management

For

For

5.

Provide that certain transactions would not be considered "competitive opportunities" and that each of Warburg Pincus Private Equity XI, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-C, L.P. and WP XI Finance, LP and their respective affiliates, directors, principals, officers, employees and other representatives is not subject to the doctrine of corporate opportunity and does not have any duty to refrain from engaging directly or indirectly in an investment

Management

For

For

6.

Provide that, in addition to the indemnification provisions in the existing charter, (i) HCMC shall be the indemnitor of first resort,(ii) HCMC shall be required to advance the full amount of expenses incurred by indemnitees and shall be liable for the full amount of all claims to the extent legally permitted (III) HCMC irrevocably waives, relinquishes and releases such persons from any and all claims against them for contribution, subrogation or any other recovery of any kind in respect thereof

Management

For

For

7.

Clarify that the exclusive jurisdiction of the Court of Chancery of the State of Delaware shall not apply to suits brought to enforce any duty or liability under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any other claim for which the federal courts have exclusive or concurrent jurisdiction. To the fullest extent permitted by law, the federal district courts of the United States of America shall be the sole and exclusive forum for the resolution of claims arising under the Securities Act.

Management

For

For

8.

Authorize all other proposed changes, including, among others, those (i) resulting from the Business Combination, including changing the post-business combination corporate name from "Healthcare Merger Corp." to "SOC Telemed, Inc." and removing certain provisions relating to HCMC's prior status as a blank check company and HCMC Class B common stock that will no longer apply upon the Closing, or (ii) that are administrative or clarifying in nature, including the deletion of language without substantive effect.

Management

For

For

9A.

Election of Director: Bobbie Byrne

Management

For

For

9B.

Election of Director: Thomas J. Carella

Management

For

For

9C.

Election of Director: Joseph P. Greskoviak

Management

For

For

9D.

Election of Director: John W. Kalix

Management

For

For

9E.

Election of Director: Amr Kronfol

Management

For

For

9F.

Election of Director: Anne M. McGeorge

Management

For

For

9G.

Election of Director: Steven J. Shulman

Management

For

For

10.

The Incentive Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Equity Incentive Plan (the "Incentive Plan") and material terms thereunder. A copy of the Incentive Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex C.

Management

For

For

11.

The Employee Stock Purchase Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Employee Stock Purchase Plan (the "Employee Stock Purchase Plan") and material terms thereunder. A copy of the Employee Stock Purchase Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex D.

Management

For

For

12.

To consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for purposes of complying with applicable provisions of Nasdaq Listing Rule 5635, the issuance of more than 20% of HCMC's issued and outstanding common stock in connection with the Business Combination and the PIPE Investment (as defined in the proxy statement/consent solicitation statement/prospectus), and the related change in control.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

848

0

21-Oct-2020

21-Oct-2020

NETFIN ACQUISITION CORP.

Security

G6455A107

Meeting Type

Special

Ticker Symbol

NFIN

Meeting Date

10-Nov-2020

ISIN

KYG6455A1076

Agenda

935292920 - Management

Record Date

12-Oct-2020

Holding Recon Date

12-Oct-2020

City /

Country

/

United States

Vote Deadline Date

09-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal. To approve and adopt, the business combination described in this proxy statement/prospectus, including the Business Combination Agreement, (as amended on August 28, 2020, the "Business Combination Agreement"), by and among Netfin, Netfin Holdco ("Holdco"), Netfin Merger Sub (the "Merger Sub"), Symphonia Strategic Opportunities Limited ("SSOL"), IKON Strategic Holdings Fund ("IKON", and together with SSOL, the "Sellers") and MVR Netfin LLC, as the Netfin Representative.

Management

For

For

2.

The Merger Proposal. To approve and adopt, as a special resolution, the merger of Netfin with and into Merger Sub, with Netfin surviving the merger as a wholly owned subsidiary of Holdco. This proposal is referred to as the "merger proposal" and, collectively with the business combination proposal, the "condition precedent proposals"

Management

For

For

3a.

Charter Proposal A - (i) the name of the new public entity will be "Triterras, Inc." as opposed to "Netfin Acquisition Corp."

Management

For

For

3b.

Charter Proposal B - Holdco will authorize an increased share capital of 469,000,001 ordinary shares of a par value of US$0.0001 each and 30,999,999 preference shares of a par value of US$0.0001.

Management

For

For

3c.

Charter Proposal C - the constitutional documents of Holdco will not include the various provisions applicable only to special purpose acquisition companies that the Current Charter contains (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time).

Management

For

For

4.

The Adjournment Proposal. To approve, as an ordinary resolution, the adjournment of the meeting to a later date or dates to be determined by the chairman of the meeting, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting that more time is necessary or appropriate to approve one or more proposals of the meeting.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,694

0

09-Nov-2020

09-Nov-2020

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Contested-Annual

Ticker Symbol

EVF

Meeting Date

12-Nov-2020

ISIN

US27826S1033

Agenda

935275037 - Opposition

Record Date

01-Sep-2020

Holding Recon Date

01-Sep-2020

City /

Country

/

United States

Vote Deadline Date

11-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Stephen G. Flanagan

Split

Split

2

Frederic Gabriel

Split

Split

3

Christopher A. Klepps

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

11,003

0

11-Nov-2020

11-Nov-2020

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Contested-Annual

Ticker Symbol

EVF

Meeting Date

12-Nov-2020

ISIN

US27826S1033

Agenda

935276217 - Management

Record Date

01-Sep-2020

Holding Recon Date

01-Sep-2020

City /

Country

/

United States

Vote Deadline Date

11-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

DIRECTOR

Management

Split

Split

1

Thomas E. Faust Jr.

Split

Split

2

Cynthia E. Frost

Split

Split

3

Susan J. Sutherland

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

11,003

0

LEGACY ACQUISITION CORP.

Security

524643111

Meeting Type

Consent

Ticker Symbol

LGCWS

Meeting Date

25-Nov-2020

ISIN

US5246431119

Agenda

935297122 - Management

Record Date

30-Sep-2020

Holding Recon Date

30-Sep-2020

City /

Country

/

United States

Vote Deadline Date

24-Nov-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve amendments to that certain Warrant Agreement, dated as of November 16, 2017, between the Company and Continental Stock Transfer & Trust Company (the "Warrant Agreement").

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

2,730

0

12-Nov-2020

12-Nov-2020

TUSCAN HOLDINGS CORP.

Security

90069K104

Meeting Type

Special

Ticker Symbol

THCB

Meeting Date

03-Dec-2020

ISIN

US90069K1043

Agenda

935302137 - Management

Record Date

30-Oct-2020

Holding Recon Date

30-Oct-2020

City /

Country

/

United States

Vote Deadline Date

02-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to April 30, 2021.

Management

For

For

2.

Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to consummate the Extension.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,698

0

19-Nov-2020

19-Nov-2020

HAYMAKER ACQUISITION CORP. II

Security

42087L101

Meeting Type

Special

Ticker Symbol

HYAC

Meeting Date

08-Dec-2020

ISIN

US42087L1017

Agenda

935300208 - Management

Record Date

04-Nov-2020

Holding Recon Date

04-Nov-2020

City /

Country

/

United States

Vote Deadline Date

07-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal - to approve and adopt the Business Combination Agreement, dated as of September 8, 2020 (as it may be amended from time to time, the "Business Combination Agreement").

Management

For

For

2.

The Lock-Up Agreement Proposal - to approve and ratify the entry into the Registration Rights and Lock-Up Agreement with the Sponsor, the directors and officers of Haymaker, and the other parties thereto (the "Registration Rights and Lock-Up Agreement").

Management

For

For

3.

The Incentive Plan Proposal - to approve and adopt the ARKO Corp. 2020 Incentive Compensation Plan established to be effective after the closing of the Business Combination.

Management

For

For

4.

The Stockholder Adjournment Proposal - a proposal to authorize the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and voting of proxies if, based on the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal or Public Stockholders have elected to redeem an amount of Haymaker Class A Common Stock such that the minimum available cash condition to the closing of the Business Combination would not be satisfied.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

1,776

0

16-Nov-2020

16-Nov-2020

TRINE ACQUISITION CORP.

Security

89628U108

Meeting Type

Special

Ticker Symbol

TRNE

Meeting Date

08-Dec-2020

ISIN

US89628U1088

Agenda

935301313 - Management

Record Date

30-Oct-2020

Holding Recon Date

30-Oct-2020

City /

Country

/

United States

Vote Deadline Date

07-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal - To consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of August 26, 2020 (as it may be amended and/or restated from time to time, the "Merger Agreement"), by and among Trine, Sparrow Merger Sub, Inc. ("Merger Sub") and Desktop Metal, Inc. ("Desktop Metal") and the transactions contemplated thereby, pursuant to which Merger Sub will merge with and into Desktop Metal with Desktop Metal surviving the merger as a wholly owned subsidiary of Trine (the "Business Combination").

Management

For

For

2.

The Charter Amendment Proposal - To consider and vote upon a proposal to adopt an amendment to Trine's amended and restated certificate of incorporation currently in effect in the form attached to the Merger Agreement.

Management

For

For

3.

The Charter Approval Proposal - To consider and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") in the form attached to the Proxy Statement/Consent Solicitation Statement/Prospectus.

Management

For

For

4A.

Required Vote to Amend the Charter

Management

For

For

4B.

Required Vote to Amend the Bylaws

Management

For

For

4C.

Director Removal

Management

For

For

4D.

Removal of Blank Check Company Provisions

Management

For

For

5A.

Election Director: Ric Fulop

Management

For

For

5B.

Election Director: Dayna Grayson

Management

For

For

5C.

Election Director: Leo Hindery, Jr.

Management

For

For

5D.

Election Director: Wen Hsieh

Management

For

For

5E.

Election Director: Jeff Immelt

Management

For

For

5F.

Election Director: Byron Knight

Management

For

For

5G.

Election Director: Stephen Nigro

Management

For

For

5H.

Election Director: Steve Papa

Management

For

For

5I.

Election Director: Andy Wheeler

Management

For

For

5J.

Election Director: Bilal Zuberi

Management

For

For

6.

The Merger Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of shares of Class A common stock pursuant to the Business Combination.

Management

For

For

7.

The Subscription Agreements Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the NYSE, the issuance of shares of Class A common stock pursuant to the Subscription Agreements.

Management

For

For

8.

The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Desktop Metal, Inc. 2020 Incentive Award Plan.

Management

For

For

9.

The Adjournment Proposal - To consider & vote upon a proposal to approve adjournment of Special Meeting to a later date or dates, if necessary, to permit further solicitation & vote of proxies in event that there are insufficient votes for, or otherwise in connection with, approval of Business Combination Proposal, Charter Amendment Proposal, Charter Approval Proposal, Merger Issuance Proposal, Subscription Agreements Proposal or Incentive Plan Proposal, or Trine determines that one or more of closing conditions to Merger Agreement is not satisfied or waived.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,830

0

16-Nov-2020

16-Nov-2020

ROYCE GLOBAL VALUE TRUST, INC.

Security

78081T104

Meeting Type

Contested-Special

Ticker Symbol

RGT

Meeting Date

17-Dec-2020

ISIN

US78081T1043

Agenda

935271964 - Management

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

/

United States

Vote Deadline Date

16-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Global Value Trust, Inc.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

24,442

0

06-Oct-2020

06-Oct-2020

ROYCE GLOBAL VALUE TRUST, INC.

Security

78081T104

Meeting Type

Contested-Special

Ticker Symbol

RGT

Meeting Date

17-Dec-2020

ISIN

US78081T1043

Agenda

935271976 - Opposition

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

/

United States

Vote Deadline Date

16-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Global Value Trust, Inc.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

24,442

0

SPECIAL OPPORTUNITIES FUND, INC

Security

84741T104

Meeting Type

Annual

Ticker Symbol

SPE

Meeting Date

17-Dec-2020

ISIN

US84741T1043

Agenda

935296055 - Management

Record Date

20-Oct-2020

Holding Recon Date

20-Oct-2020

City /

Country

/

United States

Vote Deadline Date

16-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Mr. Andrew Dakos

Split

Split

2

Mr. Gerald Hellerman

Split

Split

3

Mr. Charles Walden

Split

Split

4

Mr. Ben Harris

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

6,875

0

16-Dec-2020

16-Dec-2020

PROPTECH AQUISITION CORPORATION

Security

74349F200

Meeting Type

Special

Ticker Symbol

PTACU

Meeting Date

21-Dec-2020

ISIN

US74349F2002

Agenda

935314815 - Management

Record Date

27-Nov-2020

Holding Recon Date

27-Nov-2020

City /

Country

/

United States

Vote Deadline Date

18-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal-To consider and vote upon a proposal to approve the Agreement and Plan of Merger ("Merger Agreement").

Management

For

For

2.

To increase the number of authorized shares of New Porch (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus) common stock from 110,000,000 to 400,000,000 and the number of authorized shares of New Porch preferred stock from 1,000,000 to 10,000,000.

Management

For

For

3.

To eliminate the Class B common stock classification and provide for a single class of common stock.

Management

For

For

4.

To provide that the number of authorized shares of any class or classes of stock may be increased or decreased by the affirmative vote of the holders of a majority of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class.

Management

For

For

5.

To provide that the number of directors of PTAC shall be fixed from time to time in accordance with the Bylaws of PTAC.

Management

For

For

6.

To provide that amendments to PTAC's waiver of corporate opportunities will be prospective only.

Management

For

For

7.

To require the vote of 66.7% of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class, to amend the provisions of the Proposed Charter relating to the powers, number, election, term, vacancies and removal of directors of PTAC.

Management

For

For

8.

Conditioned upon the approval of Proposals No. 2 through 7 above, a proposal to approve the Proposed Charter, which includes the approval of all other changes in the Proposed Charter in connection with replacing the Existing Charter with the Proposed Charter, including changing PTAC's name from "PropTech Acquisition Corporation" to "Porch Group, Inc." as of the closing of the Merger.

Management

For

For

9.

DIRECTOR

Management

1

Matt Ehrlichman

For

For

2

Joe Hanauer

For

For

3

Alan Pickerill

For

For

4

Asha Sharma

For

For

5

Chris Terrill

For

For

6

Javier Saade

For

For

7

Regi Vengalil

For

For

8

Thomas D. Hennessy

For

For

9

Margaret Whelan

For

For

10.

The Merger Issuance Proposal-To consider and vote upon a proposal to approve: (i) the issuance of shares of New Porch common stock; and (ii) the related change of control of PTAC that will occur in connection with consummation of the merger and the other transactions contemplated by the merger agreement.

Management

For

For

11.

The PIPE Issuance Proposal - To approve, the issuance of shares of Class A Common Stock (such shares of Class A Common Stock to be automatically converted into New Porch common stock upon the consummation of the merger).

Management

For

For

12.

The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus).

Management

For

For

13.

The Adjournment Proposal-To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are not sufficient votes to approve the above proposals.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

1

0

09-Dec-2020

09-Dec-2020

PROPTECH AQUISITION CORPORATION

Security

74349F101

Meeting Type

Special

Ticker Symbol

PTAC

Meeting Date

21-Dec-2020

ISIN

US74349F1012

Agenda

935314815 - Management

Record Date

27-Nov-2020

Holding Recon Date

27-Nov-2020

City /

Country

/

United States

Vote Deadline Date

18-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal-To consider and vote upon a proposal to approve the Agreement and Plan of Merger ("Merger Agreement").

Management

For

For

2.

To increase the number of authorized shares of New Porch (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus) common stock from 110,000,000 to 400,000,000 and the number of authorized shares of New Porch preferred stock from 1,000,000 to 10,000,000.

Management

For

For

3.

To eliminate the Class B common stock classification and provide for a single class of common stock.

Management

For

For

4.

To provide that the number of authorized shares of any class or classes of stock may be increased or decreased by the affirmative vote of the holders of a majority of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class.

Management

For

For

5.

To provide that the number of directors of PTAC shall be fixed from time to time in accordance with the Bylaws of PTAC.

Management

For

For

6.

To provide that amendments to PTAC's waiver of corporate opportunities will be prospective only.

Management

For

For

7.

To require the vote of 66.7% of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class, to amend the provisions of the Proposed Charter relating to the powers, number, election, term, vacancies and removal of directors of PTAC.

Management

For

For

8.

Conditioned upon the approval of Proposals No. 2 through 7 above, a proposal to approve the Proposed Charter, which includes the approval of all other changes in the Proposed Charter in connection with replacing the Existing Charter with the Proposed Charter, including changing PTAC's name from "PropTech Acquisition Corporation" to "Porch Group, Inc." as of the closing of the Merger.

Management

For

For

9.

DIRECTOR

Management

1

Matt Ehrlichman

For

For

2

Joe Hanauer

For

For

3

Alan Pickerill

For

For

4

Asha Sharma

For

For

5

Chris Terrill

For

For

6

Javier Saade

For

For

7

Regi Vengalil

For

For

8

Thomas D. Hennessy

For

For

9

Margaret Whelan

For

For

10.

The Merger Issuance Proposal-To consider and vote upon a proposal to approve: (i) the issuance of shares of New Porch common stock; and (ii) the related change of control of PTAC that will occur in connection with consummation of the merger and the other transactions contemplated by the merger agreement.

Management

For

For

11.

The PIPE Issuance Proposal - To approve, the issuance of shares of Class A Common Stock (such shares of Class A Common Stock to be automatically converted into New Porch common stock upon the consummation of the merger).

Management

For

For

12.

The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus).

Management

For

For

13.

The Adjournment Proposal-To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are not sufficient votes to approve the above proposals.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,142

0

09-Dec-2020

09-Dec-2020

AMPLITUDE HEALTHCARE ACQUISITION CORP

Security

03212A105

Meeting Type

Annual

Ticker Symbol

AMHC

Meeting Date

22-Dec-2020

ISIN

US03212A1051

Agenda

935315805 - Management

Record Date

27-Nov-2020

Holding Recon Date

27-Nov-2020

City /

Country

/

United States

Vote Deadline Date

21-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Ratification of the selection of WithumSmith+Brown, PC by the audit committee to serve as the Company's independent registered public accounting firm for the year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

4,148

0

15-Dec-2020

15-Dec-2020

MVC CAPITAL, INC.

Security

553829102

Meeting Type

Special

Ticker Symbol

MVC

Meeting Date

23-Dec-2020

ISIN

US5538291023

Agenda

935310627 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

/

United States

Vote Deadline Date

22-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Adoption of the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), by and among Barings BDC, Inc., a Maryland corporation, Mustang Acquisition Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of Barings BDC, Inc., MVC Capital, Inc. and Barings LLC, a Delaware limited liability company and the external investment adviser to Barings BDC, Inc., the Merger and the other transactions contemplated by the Merger Agreement (such proposal, the "Merger Proposal").

Management

Split

Split

2.

Approval of the adjournment of the MVC Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the MVC Special Meeting to approve the Merger Proposal.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

7,938

0

22-Dec-2020

22-Dec-2020

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Special

Ticker Symbol

BBDC

Meeting Date

23-Dec-2020

ISIN

US06759L1035

Agenda

935311314 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

/

United States

Vote Deadline Date

22-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement").

Management

Split

Split

2.

To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable.

Management

Split

Split

3.

To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC.

Management

Split

Split

4.

To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

97,545

0

22-Dec-2020

22-Dec-2020

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Special

Ticker Symbol

BBDC

Meeting Date

23-Dec-2020

ISIN

US06759L1035

Agenda

935311314 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

/

United States

Vote Deadline Date

22-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement").

Management

Split

Split

2.

To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable.

Management

Split

Split

3.

To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC.

Management

Split

Split

4.

To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

37,273

0

22-Dec-2020

22-Dec-2020

LIVE OAK ACQUISITION CORP.

Security

53804F103

Meeting Type

Special

Ticker Symbol

LOAK

Meeting Date

28-Dec-2020

ISIN

US53804F1030

Agenda

935318697 - Management

Record Date

07-Dec-2020

Holding Recon Date

07-Dec-2020

City /

Country

/

United States

Vote Deadline Date

24-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the merger agreement, dated as of October 3, 2020 (as amended, the "Merger Agreement"), by and among Live Oak, Green Merger Corp., Meredian Holdings Group, Inc. (the "Danimer"), Live Oak Sponsor Partners, LLC and John A. Dowdy, Jr. and the transactions contemplated thereby (the "Business Combination").

Management

For

For

2A.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To change Live Oak's name to "Danimer Scientific, Inc." The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2B.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To revise Live Oak's purpose. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2C.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To increase the authorized shares of Live Oak's Class A Common Stock, par value $0.0001 per share to 200,000,000 and Live Oak's preferred stock to 10,000,000.

Management

For

For

2D.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the business combination requirements. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2E.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To revise the choice of forum provisions. The Charter Amendment Proposal (including each sub- proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2F.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To add the supermajority voting provisions. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2G.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the provision renouncing the corporate opportunity doctrine. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2H.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the provisions providing for a classified board of directors. The Charter Amendment Proposal (including each sub- proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

2I.

The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To approve all other changes. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal.

Management

For

For

3.

DIRECTOR

Management

1

Stephen E. Croskrey

For

For

2

John P. Amboian

For

For

3

Richard J. Hendrix

For

For

4

Christy Basco

For

For

5

Philip Gregory Calhoun

For

For

6

Gregory Hunt

For

For

7

Dr. Isao Noda

For

For

8

Stuart Pratt

For

For

4.

The NYSE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable provisions of Section 312.03 of the New York Stock Exchange's ("NYSE") Listed Company Manual: (i) the issuance of more than 20% of Live Oak's Class A Common Stock in connection with the Business Combination, including, without limitation, to the investors in the PIPE; (ii) the issuance of shares of Live Oak's Class A Common Stock to a Related Party in connection with the Business Combination.

Management

For

For

5.

The Equity Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the equity incentive award plan established to be effective after the Closing of the Business Combination. The Equity Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal.

Management

For

For

6.

The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal approve and adopt the employee stock purchase plan established to be effective after the Closing of the Business Combination. The Employee Stock Purchase Plan Proposal is conditioned on the approval of the Business Combination Proposal.

Management

For

For

7.

The Adjournment Proposal - To consider and vote upon a 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 one or more proposals presented to stockholders for vote.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

868

0

21-Dec-2020

21-Dec-2020

GX ACQUISITION CORP.

Security

36251A107

Meeting Type

Annual

Ticker Symbol

GXGX

Meeting Date

29-Dec-2020

ISIN

US36251A1079

Agenda

935316910 - Management

Record Date

27-Nov-2020

Holding Recon Date

27-Nov-2020

City /

Country

/

United States

Vote Deadline Date

28-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Paul S. Levy

For

For

2.

Ratification of the selection by the audit committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

256

0

15-Dec-2020

15-Dec-2020

THUNDER BRIDGE ACQUISITION II, LTD

Security

G8857S116

Meeting Type

Annual

Ticker Symbol

THBR

Meeting Date

30-Dec-2020

ISIN

KYG8857S1167

Agenda

935316958 - Management

Record Date

01-Dec-2020

Holding Recon Date

01-Dec-2020

City /

Country

/

United States

Vote Deadline Date

29-Dec-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

RESOLVED, as an ordinary resolution, that the selection by the audit committee of Grant Thornton LLP to serve as our independent registered public accounting firm for the year ending December 31, 2020 be approved, adopted, confirmed and ratified in all respects.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

1,752

0

15-Dec-2020

15-Dec-2020

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Contested-Special

Ticker Symbol

EVF

Meeting Date

12-Jan-2021

ISIN

US27826S1033

Agenda

935306604 - Opposition

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

/

United States

Vote Deadline Date

11-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement with Eaton Vance Management.

Management

Split

Split

2.

To authorize the Proxyholders to decline to attend the Special Meeting if they believe that Proposal No. 1 is less likely to be approved if your shares are not represented at the Special Meeting (by making it more difficult for more than 50% of the outstanding shares to be present in person or by proxy) than if they are represented at the Special Meeting.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

17,214

0

08-Jan-2021

08-Jan-2021

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Contested-Special

Ticker Symbol

EVF

Meeting Date

12-Jan-2021

ISIN

US27826S1033

Agenda

935311895 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

/

United States

Vote Deadline Date

11-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

4a.

Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

17,214

0

SC HEALTH CORPORATION

Security

G78516203

Meeting Type

Special

Ticker Symbol

SCPE

Meeting Date

12-Jan-2021

ISIN

KYG785162036

Agenda

935320692 - Management

Record Date

21-Dec-2020

Holding Recon Date

21-Dec-2020

City /

Country

/

China

Vote Deadline Date

11-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Proposal - Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from January 16, 2021 to April 16, 2021.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

154

0

04-Jan-2021

04-Jan-2021

NUVEEN NEW YORK MUNICIPAL VALUE FUND 2

Security

670706100

Meeting Type

Annual

Ticker Symbol

NYV

Meeting Date

15-Jan-2021

ISIN

US6707061007

Agenda

935289923 - Management

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

/

United States

Vote Deadline Date

14-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve an Agreement and Plan of Reorganization pursuant to which Nuveen New York Municipal Value Fund 2 (the "Target Fund") would: (i) transfer substantially all of its assets to Nuveen New York Municipal Value Fund, Inc. (the "Acquiring Fund"); (ii) distribute such newly issued shares of the Acquiring Fund to the common shareholders of the Target Fund; and (iii) liquidate, dissolve and terminate in accordance with applicable law.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

10,280

0

04-Dec-2020

14-Jan-2021

NUVEEN MICHIGAN QLTY MUNI INC FD INC

Security

670979103

Meeting Type

Annual

Ticker Symbol

NUM

Meeting Date

15-Jan-2021

ISIN

US6709791031

Agenda

935293871 - Management

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

/

United States

Vote Deadline Date

14-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve an Agreement and Plan of Reorganization pursuant to which Nuveen Michigan Quality Municipal Income Fund (the "Target Fund") would (i) transfer substantially all of its assets to Nuveen AMT-Free Quality Municipal Income Fund (the "Acquiring Fund"), (ii) distribute such newly issued shares of the Acquiring Fund to the common shareholders and preferred shareholders of the Target Fund, and (iii) liquidate, dissolve and terminate in accordance with applicable law.

Management

Split

Split

2.

DIRECTOR

Management

Split

Split

1

John K. Nelson

Split

Split

2

Terence J. Toth

Split

Split

3

Robert L. Young

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

9,256

0

04-Dec-2020

14-Jan-2021

BLACKROCK NY INSURED MUNICIPAL INCOME TR

Security

09249U105

Meeting Type

Special

Ticker Symbol

BSE

Meeting Date

21-Jan-2021

ISIN

US09249U1051

Agenda

935296877 - Management

Record Date

16-Oct-2020

Holding Recon Date

16-Oct-2020

City /

Country

/

United States

Vote Deadline Date

20-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

The common shareholders and holders of Variable Rate Demand Preferred Shares ("VRDP Shares" and the holders thereof, "VRDP Holders") of BlackRock New York Municipal Income Quality Trust ("BSE") are being asked to vote as a single class on a proposal to approve an Agreement and Plan of Reorganization between BSE and BlackRock New York Municipal Income Trust (the "Acquiring Fund" and such Agreement and Plan of Reorganization, the "BSE Reorganization Agreement") and the transactions contemplated therein.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

12,064

0

14-Dec-2020

14-Dec-2020

BLACKROCK NY INSURED MUNICIPAL INCOME TR

Security

09249U105

Meeting Type

Special

Ticker Symbol

BSE

Meeting Date

21-Jan-2021

ISIN

US09249U1051

Agenda

935296877 - Management

Record Date

16-Oct-2020

Holding Recon Date

16-Oct-2020

City /

Country

/

United States

Vote Deadline Date

20-Jan-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

The common shareholders and holders of Variable Rate Demand Preferred Shares ("VRDP Shares" and the holders thereof, "VRDP Holders") of BlackRock New York Municipal Income Quality Trust ("BSE") are being asked to vote as a single class on a proposal to approve an Agreement and Plan of Reorganization between BSE and BlackRock New York Municipal Income Trust (the "Acquiring Fund" and such Agreement and Plan of Reorganization, the "BSE Reorganization Agreement") and the transactions contemplated therein.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

9,997

0

14-Dec-2020

14-Dec-2020

CC NEUBERGER PRINCIPAL HOLDINGS

Security

G1992Y114

Meeting Type

Special

Ticker Symbol

PCPL

Meeting Date

02-Feb-2021

ISIN

KYG1992Y1145

Agenda

935326442 - Management

Record Date

23-Dec-2020

Holding Recon Date

23-Dec-2020

City /

Country

/

United States

Vote Deadline Date

01-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Domestication Proposal - to consider and vote upon a proposal by special resolution to change the corporate structure and domicile of CCNB1 by way of continuation from an exempted company incorporated under the laws of the Cayman Islands to a corporation incorporated under the laws of the State of Delaware (the "Domestication"). The Domestication will be effected simultaneously with the Business Combination (as defined below) by CCNB1 filing a Certificate of Corporate Domestication ...(due to space limits, see proxy statement for full proposal).

Management

For

For

2.

The Business Combination Proposal - to consider and vote upon a proposal by ordinary resolution to approve the Business Combination Agreement, dated as of October 14, 2020 (as amended or supplemented from time to time, the "Business Combination Agreement"), by and among CCNB1, Sonar Merger Sub I, LLC, a Delaware limited liability company ("Blocker Merger Sub 1"), Sonar Merger Sub II, LLC, a Delaware limited liability company ("Blocker Merger Sub 2"), Sonar Merger Sub III, LLC ...(due to space limits, see proxy statement for full proposal).

Management

For

For

3.

The Equity Incentive Plan Proposal - to consider and vote upon the approval by ordinary resolution of the Equity Incentive Plan. CCNB1 refers to this as the "Equity Incentive Plan Proposal." A copy of the Equity Incentive Plan is attached to an amendment to the accompanying proxy statement/prospectus.

Management

For

For

4.

The Charter Proposal - to consider and vote upon the approval by special resolution of the amendment and restatement of the Existing Organizational Documents (as defined herein) in their entirety by the proposed new certificate of incorporation (the "Certificate of Incorporation") of the Company (a corporation incorporated in the State of Delaware, assuming the Domestication Proposal is approved and adopted, and the filing with and acceptance by the Secretary of State of Delaware ...(due to space limits, see proxy statement for full proposal).

Management

For

For

5A.

Organizational Documents Proposal 5a - an amendment to change the authorized capital stock of CCNB1 from (i) 500,000,000 Class A ordinary shares, par value $0.0001 per share (the "Class A ordinary shares"), 50,000,000 Class B ordinary shares, par value $0.001 per share (the "Class B ordinary shares"), and 1,000,000 preference shares, par value $0.0001 per share, to (ii) 2,500,000,000 shares of Class A common stock, par value $0.0001 per share, of the Company (the "Class A common stock") ...(due to space limits, see proxy statement for full proposal).

Management

For

For

5B.

Organizational Documents Proposal 5b - an amendment to authorize the board of the directors of the Company subsequent to the completion of the Business Combination (the "Company Board") to make future issuances of any or all shares of Preferred Stock in one or more classes or series, with such terms and conditions as may be expressly determined by the Company Board and as may be permitted by the DGCL.

Management

For

For

5C.

Organizational Documents Proposal 5c - an amendment to provide that certain provisions of the Certificate of Incorporation are subject to certain provisions of the Investor Rights Agreement (as defined in the accompanying proxy statement/prospectus).

Management

For

For

5D.

Organizational Documents Proposal 5d - an amendment to remove the ability of the Company's stockholders to take action by written consent in lieu of a meeting unless such action is recommended or approved by all directors then in office.

Management

For

For

5E.

Organizational Documents Proposal 5e - an amendment to authorize the classification of the Company Board into three classes of directors with staggered three-year terms of office and make certain related changes.

Management

For

For

5F.

Organizational Documents Proposal 5f - an amendment to adopt Delaware as the exclusive forum for certain stockholder litigation.

Management

For

For

5G.

Organizational Documents Proposal 5g - certain other changes in connection with the replacement of Existing Organizational Documents with the Certificate of Incorporation and Bylaws to be adopted as part of the Domestication (copies of which are attached to the accompanying proxy statement/ prospectus as Annex E and Annex F, respectively), including (1) changing the post-Business Combination corporate name from "CC Neuberger Principal Holdings I" to "E2open Parent Holdings, Inc.

Management

For

For

6.

The NYSE Proposal - to consider and vote upon a proposal by ordinary resolution to approve, for the purposes of complying with the applicable provisions of NYSE Listing Rule 312.03, the issuance of shares of Class A common stock, and securities convertible into or exchangeable for Class A common stock, in connection with the Business Combination, the PIPE Investment, the Backstop Agreement, and any Permitted Equity Financing and shares of Class A common stock underlying Restricted Sponsor Shares (the "NYSE Proposal").

Management

For

For

7.

The Adjournment Proposal - to consider and vote upon a proposal by ordinary resolution to approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting (this proposal is referred to herein as the "Adjournment Proposal")

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

5,733

0

28-Jan-2021

28-Jan-2021

AGBA ACQUISITION LIMITED

Security

G0120M109

Meeting Type

Special

Ticker Symbol

AGBA

Meeting Date

05-Feb-2021

ISIN

VGG0120M1095

Agenda

935329082 - Management

Record Date

12-Jan-2021

Holding Recon Date

12-Jan-2021

City /

Country

/

United States

Vote Deadline Date

04-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") THREE (3) TIMES FOR AN ADDITIONAL THREE MONTHS EACH TIME FROM FEBRUARY 16, 2021 TO NOVEMBER 16, 2021.

Management

For

For

2.

APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,452

0

28-Jan-2021

28-Jan-2021

DTF TAX-FREE INCOME FUND INC.

Security

23334J107

Meeting Type

Annual

Ticker Symbol

DTF

Meeting Date

26-Feb-2021

ISIN

US23334J1079

Agenda

935325882 - Management

Record Date

05-Jan-2021

Holding Recon Date

05-Jan-2021

City /

Country

/

United States

Vote Deadline Date

25-Feb-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Eileen A. Moran

Split

Split

2A.

To amend the Fund's charter in the following manner: To provide for the Fund to be wound up and dissolved, subject to compliance with Maryland law relating to corporate dissolution, on a specified date that is approximately seven years from the date of adoption of the charter amendment.

Management

Split

Split

2B.

To amend the Fund's charter in the following manner: Contingent on the approval of Proposal 2a, to authorize the Board of Directors of the Fund to extend the term of the Fund to once again have a perpetual existence, subject to the Fund having conducted a tender offer meeting certain conditions.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

15,509

0

25-Feb-2021

25-Feb-2021

OAKTREE STRATEGIC INCOME CORPORATION

Security

67402D104

Meeting Type

Special

Ticker Symbol

OCSI

Meeting Date

15-Mar-2021

ISIN

US67402D1046

Agenda

935331152 - Management

Record Date

19-Jan-2021

Holding Recon Date

19-Jan-2021

City /

Country

/

United States

Vote Deadline Date

12-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To adopt the Agreement and Plan of Merger, dated as of October 28, 2020 ("Merger Agreement"), among the Company, Oaktree Specialty Lending Corporation, ("OCSL"), Lion Merger Sub, Inc., and a direct wholly- owned subsidiary of OCSL ("Merger Sub"), and, for the limited purposes set forth therein, Oaktree Fund Advisors, LLC, and investment adviser to each of OCSL and the Company, and approve the transactions contemplated thereby, including the merger of Merger Sub with and into the Company and, the merger of the Company with and into OCSL.

Management

Did not Vote

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

21,094

0

OWL ROCK CAPITAL CORPORATION

Security

69121K104

Meeting Type

Special

Ticker Symbol

ORCC

Meeting Date

17-Mar-2021

ISIN

US69121K1043

Agenda

935331037 - Management

Record Date

15-Jan-2021

Holding Recon Date

15-Jan-2021

City /

Country

/

United States

Vote Deadline Date

16-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the Company's entry into an amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal").

Management

Did not Vote

2.

To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the New Advisory Agreement Proposal (the "Adjournment Proposal").

Management

Did not Vote

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

18,456

0

EATON VANCE FLOATING-RATE INCOME PLUS

Security

278284104

Meeting Type

Contested-Special

Ticker Symbol

EFF

Meeting Date

19-Mar-2021

ISIN

US2782841041

Agenda

935335871 - Management

Record Date

15-Jan-2021

Holding Recon Date

15-Jan-2021

City /

Country

/

United States

Vote Deadline Date

18-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Approval of a new investment advisory and administrative agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser and administrator.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

99,522

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

19,316

0

EATON VANCE FLOATING-RATE INCOME PLUS

Security

278284104

Meeting Type

Contested-Special

Ticker Symbol

EFF

Meeting Date

19-Mar-2021

ISIN

US2782841041

Agenda

935336328 - Opposition

Record Date

15-Jan-2021

Holding Recon Date

15-Jan-2021

City /

Country

/

United States

Vote Deadline Date

18-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Proposal to consider and approve a new investment advisory agreement with Eaton Vance Management.

Management

Split

Split

2.

To authorize the Proxyholders to decline to attend the Special Meeting if they believe that Proposal No. 1 is less likely to be approved if your shares are not represented at the Special Meeting (by making it more difficult for more than 50% of the outstanding shares to be present in person or by proxy) than if they are represented at the Special Meeting.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

99,522

0

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

19,316

0

REPLAY ACQUISITION CORP.

Security

G75130107

Meeting Type

Special

Ticker Symbol

RPLA

Meeting Date

25-Mar-2021

ISIN

KYG751301071

Agenda

935336998 - Management

Record Date

28-Jan-2021

Holding Recon Date

28-Jan-2021

City /

Country

/

United States

Vote Deadline Date

24-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

The Domestication: A proposal to be approved as a special resolution to change Replay's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a limited liability company formed under the laws of the State of Delaware.

Management

For

For

1B.

The Replay Limited Liability Company Agreement (the "Replay LLCA"): A proposal to be approved as a special resolution to approve and adopt the Replay LLCA to govern Replay upon its Domestication.

Management

For

For

1C.

The Business Combination: A proposal to approve the transactions contemplated by the Transaction Agreement, dated October 12, 2020 (the "Transaction Agreement"), by and among Replay, Finance of America Equity Capital LLC ("FoA"), Finance of America Companies Inc. ("New Pubco"), RPLY Merger Sub LLC ("Replay Merger Sub"), RPLY BLKR Merger Sub LLC ("Blocker Merger Sub"), Blackstone Tactical Opportunities Fund (Urban Feeder)  NQ L.P. ("Blocker"), Blackstone Tactical Opportunities Associates ... (due to space limits, see proxy statement for full proposal).

Management

For

For

2A.

The Stock Issuance Proposals: Each issuance of Ordinary Shares pursuant to each Replay PIPE Agreement.

Management

For

For

2B.

The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock pursuant to each New Pubco PIPE Agreement.

Management

For

For

2C.

The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock pursuant to the Transaction Agreement.

Management

For

For

2D.

The Stock Issuance Proposals: Each issuance of shares of Class B Common Stock pursuant to the Transaction Agreement.

Management

For

For

2E.

The Stock Issuance Proposals: Each issuance of Ordinary Shares pursuant to each Replay PIPE Agreement entered into with an affiliate of Replay Sponsor, LLC (the "Sponsor").

Management

For

For

2F.

The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock to the Sellers, Blocker and Blocker GP pursuant to the Transaction Agreement.

Management

For

For

2G.

The Stock Issuance Proposals: Each issuance of Class B Common Stock to the Sellers pursuant to the Transaction Agreement.

Management

For

For

3A.

Organizational Documents Proposal A: To approve the provision in the Proposed Charter changing the authorized share capital from $20,200 divided into 200,000,000 Ordinary Shares of a par value of $0.0001 each and 2,000,000 preferred shares of a par value of $0.0001 each, to authorized capital stock of 6,601,000,000 shares, consisting of 6,000,000,000 shares of Class A Common Stock, $0.0001 par value per share, 1,000,000 shares of Class B Common Stock, $0.0001 par value per share, and 600,000,000 ... (due to space limits, see proxy statement for full proposal).

Management

For

For

3B.

Organizational Documents Proposal B: To approve the provisions in the Proposed Charter, pursuant to which only the board of directors, the chairman of the board of directors or the chief executive officer, by or at their direction, may call a special meeting of the stockholders generally entitled to vote, or the board of directors or the chairman of the board of directors must, by or at their direction, call such a special meeting at the request of the Principal Stockholders except during any time ...(due to space limits, see proxy statement for full proposal).

Management

For

For

3C.

Organizational Documents Proposal C: To approve all other changes in connection with the replacement of the Existing Organizational Documents of Replay with the Proposed Organizational Documents of New Pubco, including, among other things, (i) changing from a blank check company seeking a business combination within a certain period (as provided in the Existing Organizational Documents), to a corporation having perpetual existence (as provided in the Proposed Charter), ... (due to space limits, see proxy statement for full proposal).

Management

For

For

4.

The Incentive Plan Proposal: A proposal to approve the adoption of the Finance of America Companies Inc. 2021 Omnibus Incentive Plan (the "Incentive Plan").

Management

For

For

5.

The Extension Proposal: A proposal to be approved by special resolution to approve an extension of the date by which Replay must consummate a Business Combination (as defined in the Existing Organizational Documents) to October 8, 2021 (or, if elected by FoA prior to the date the Registration Statement is declared effective under the Securities Act of 1933, such other date designated by FoA) to be effected by way of amendment and restatement of the Existing Organizational Documents.

Management

For

For

6.

The Adjournment Proposal: A proposal to approve the adjournment of the general 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 Cayman Proposals, the Stock Issuance Proposals, the Organizational Documents Proposals, the Incentive Plan Proposal and/or the Extension Proposal.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,738

0

04-Mar-2021

04-Mar-2021

ABERDEEN FUNDS

Security

00301W105

Meeting Type

Annual

Ticker Symbol

AEF

Meeting Date

01-Apr-2021

ISIN

US00301W1053

Agenda

935340579 - Management

Record Date

16-Feb-2021

Holding Recon Date

16-Feb-2021

City /

Country

/

United States

Vote Deadline Date

31-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class I Director for three year term until 2024 Annual Meeting: Nancy Yao Maasbach

Management

Split

Split

1.2

Election of Class I Director for three year term until 2024 Annual Meeting: Rahn Porter

Management

Split

Split

2.1

To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Steven N. Rappaport

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

15,774

0

31-Mar-2021

31-Mar-2021

ABERDEEN FUNDS

Security

00301W105

Meeting Type

Annual

Ticker Symbol

AEF

Meeting Date

01-Apr-2021

ISIN

US00301W1053

Agenda

935340579 - Management

Record Date

16-Feb-2021

Holding Recon Date

16-Feb-2021

City /

Country

/

United States

Vote Deadline Date

31-Mar-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class I Director for three year term until 2024 Annual Meeting: Nancy Yao Maasbach

Management

Split

Split

1.2

Election of Class I Director for three year term until 2024 Annual Meeting: Rahn Porter

Management

Split

Split

2.1

To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Steven N. Rappaport

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

13,720

0

31-Mar-2021

31-Mar-2021

KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC

Security

48661E108

Meeting Type

Annual

Ticker Symbol

KMF

Meeting Date

08-Apr-2021

ISIN

US48661E1082

Agenda

935347547 - Management

Record Date

12-Feb-2021

Holding Recon Date

12-Feb-2021

City /

Country

/

United States

Vote Deadline Date

07-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

ELECTION OF DIRECTOR FOR A TERM OF THREE YEARS: MICHAEL J. LEVITT

Management

Split

Split

2.

THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2021.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

5,140

0

07-Apr-2021

07-Apr-2021

KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC

Security

48661E108

Meeting Type

Annual

Ticker Symbol

KMF

Meeting Date

08-Apr-2021

ISIN

US48661E1082

Agenda

935347547 - Management

Record Date

12-Feb-2021

Holding Recon Date

12-Feb-2021

City /

Country

/

United States

Vote Deadline Date

07-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

ELECTION OF DIRECTOR FOR A TERM OF THREE YEARS: MICHAEL J. LEVITT

Management

Split

Split

2.

THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2021.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

23,229

0

07-Apr-2021

07-Apr-2021

TUSCAN HOLDINGS CORP II

Security

90070A103

Meeting Type

Annual

Ticker Symbol

THCA

Meeting Date

14-Apr-2021

ISIN

US90070A1034

Agenda

935362551 - Management

Record Date

16-Mar-2021

Holding Recon Date

16-Mar-2021

City /

Country

/

United States

Vote Deadline Date

13-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to September 30, 2021.

Management

For

For

2.

Early Termination Proposal: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors.

Management

For

For

3.

DIRECTOR

Management

1

Sila Calderón

For

For

2

Michael Auerbach

For

For

4.

Adjournment Proposal: Approve the adjournment of the annual meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

2,464

0

26-Mar-2021

26-Mar-2021

SC HEALTH CORPORATION

Security

G78516203

Meeting Type

Special

Ticker Symbol

SCPE

Meeting Date

14-Apr-2021

ISIN

KYG785162036

Agenda

935364341 - Management

Record Date

18-Mar-2021

Holding Recon Date

18-Mar-2021

City /

Country

/

China

Vote Deadline Date

13-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Proposal: Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from April 16, 2021 to August 16, 2021.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

154

0

26-Mar-2021

26-Mar-2021

PGIM INVESTMENTS

Security

69346J106

Meeting Type

Annual

Ticker Symbol

GHY

Meeting Date

16-Apr-2021

ISIN

US69346J1060

Agenda

935329676 - Management

Record Date

18-Dec-2020

Holding Recon Date

18-Dec-2020

City /

Country

/

United States

Vote Deadline Date

15-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Scott E. Benjamin

Split

Split

2

Linda W. Bynoe

Split

Split

3

Laurie Simon Hodrick

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

1,307

0

08-Mar-2021

15-Apr-2021

PGIM INVESTMENTS

Security

69346J106

Meeting Type

Annual

Ticker Symbol

GHY

Meeting Date

16-Apr-2021

ISIN

US69346J1060

Agenda

935329676 - Management

Record Date

18-Dec-2020

Holding Recon Date

18-Dec-2020

City /

Country

/

United States

Vote Deadline Date

15-Apr-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Scott E. Benjamin

Split

Split

2

Linda W. Bynoe

Split

Split

3

Laurie Simon Hodrick

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

33,102

0

08-Mar-2021

15-Apr-2021

SOURCE CAPITAL, INC.

Security

836144105

Meeting Type

Annual

Ticker Symbol

SOR

Meeting Date

10-May-2021

ISIN

US8361441053

Agenda

935391261 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

/

United States

Vote Deadline Date

07-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Atwood

Split

Split

2

Brown

Split

Split

3

Lipson

Split

Split

4

Osborne

Split

Split

5

Pisano

Split

Split

6

Purcell

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,376

0

07-May-2021

07-May-2021

SOURCE CAPITAL, INC.

Security

836144105

Meeting Type

Annual

Ticker Symbol

SOR

Meeting Date

10-May-2021

ISIN

US8361441053

Agenda

935391261 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

/

United States

Vote Deadline Date

07-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Atwood

Split

Split

2

Brown

Split

Split

3

Lipson

Split

Split

4

Osborne

Split

Split

5

Pisano

Split

Split

6

Purcell

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

161

0

07-May-2021

07-May-2021

GREENVISION ACQUISITION CORP.

Security

39678G103

Meeting Type

Annual

Ticker Symbol

GRNV

Meeting Date

12-May-2021

ISIN

US39678G1031

Agenda

935411734 - Management

Record Date

14-Apr-2021

Holding Recon Date

14-Apr-2021

City /

Country

/

United States

Vote Deadline Date

11-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Extension Amendment: Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from May 21, 2021 to August 19, 2021.

Management

For

For

2.

DIRECTOR

Management

1

Zhigeng (David) Fu

For

For

2

Qi (Karl) Ye

For

For

3

He (Herbert) Yu

For

For

4

Jonathan Intrater

For

For

5

Lee Stern

For

For

3.

Adjournment of Meeting: Approve the adjournment of the annual meeting under certain circumstances, if necessary or advisable, to permit further solicitation of proxies in the event there are not sufficient votes at the time of the special meeting to approve the Extension Amendment.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

5,713

0

30-Apr-2021

30-Apr-2021

EATON VANCE FLOATING-RATE INCOME PLUS

Security

278284104

Meeting Type

Annual

Ticker Symbol

EFF

Meeting Date

14-May-2021

ISIN

US2782841041

Agenda

935393099 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

/

United States

Vote Deadline Date

13-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the liquidation and termination of the Fund pursuant to the Plan of Liquidation and Termination adopted by the Board of Trustees of the Fund.

Management

Split

Split

2.

DIRECTOR

Management

Split

Split

1

William H. Park

Split

Split

2

Keith Quinton

Split

Split

3

Susan J. Sutherland

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

71,039

0

13-May-2021

13-May-2021

EATON VANCE FLOATING-RATE INCOME PLUS

Security

278284104

Meeting Type

Annual

Ticker Symbol

EFF

Meeting Date

14-May-2021

ISIN

US2782841041

Agenda

935393099 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

/

United States

Vote Deadline Date

13-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the liquidation and termination of the Fund pursuant to the Plan of Liquidation and Termination adopted by the Board of Trustees of the Fund.

Management

Split

Split

2.

DIRECTOR

Management

Split

Split

1

William H. Park

Split

Split

2

Keith Quinton

Split

Split

3

Susan J. Sutherland

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

19,316

0

13-May-2021

13-May-2021

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

20-May-2021

ISIN

US06759L1035

Agenda

935375104 - Management

Record Date

12-Mar-2021

Holding Recon Date

12-Mar-2021

City /

Country

/

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick

Management

Split

Split

1B.

Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel

Management

Split

Split

1C.

Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead

Management

Split

Split

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 30% of its then outstanding common stock immediately prior to each such offering).

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

22,775

0

19-May-2021

19-May-2021

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

20-May-2021

ISIN

US06759L1035

Agenda

935375104 - Management

Record Date

12-Mar-2021

Holding Recon Date

12-Mar-2021

City /

Country

/

United States

Vote Deadline Date

19-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick

Management

Split

Split

1B.

Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel

Management

Split

Split

1C.

Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead

Management

Split

Split

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 30% of its then outstanding common stock immediately prior to each such offering).

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

7,501

0

19-May-2021

19-May-2021

VOYA PRIME RATE TRUST

Security

92913A100

Meeting Type

Special

Ticker Symbol

PPR

Meeting Date

21-May-2021

ISIN

US92913A1007

Agenda

935418295 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

/

United States

Vote Deadline Date

20-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the New Investment Management Agreement between the Fund and Saba Capital Management, L.P. in connection with the Adviser Transition as defined in the Proxy Statement.

Management

Split

Split

2.

To remove the Fund's fundamental investment restriction relating to investing in warrants.

Management

Split

Split

3.

To remove the Fund's fundamental investment restriction relating to purchasing or selling equity securities, engaging in short-selling and the use of certain option arrangements.

Management

Split

Split

4.

To remove the Fund's fundamental investment restriction relating to investing in other investment companies.

Management

Split

Split

5.

To approve changing the Fund's sub-classification under the Investment Company Act of 1940 from "diversified" to "non-diversified."

Management

Split

Split

6.

To approve a change of the investment objective and to make the investment objective non-fundamental.

Management

Split

Split

7.

To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

234,137

0

20-May-2021

20-May-2021

VOYA PRIME RATE TRUST

Security

92913A100

Meeting Type

Special

Ticker Symbol

PPR

Meeting Date

21-May-2021

ISIN

US92913A1007

Agenda

935418295 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

/

United States

Vote Deadline Date

20-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the New Investment Management Agreement between the Fund and Saba Capital Management, L.P. in connection with the Adviser Transition as defined in the Proxy Statement.

Management

Split

Split

2.

To remove the Fund's fundamental investment restriction relating to investing in warrants.

Management

Split

Split

3.

To remove the Fund's fundamental investment restriction relating to purchasing or selling equity securities, engaging in short-selling and the use of certain option arrangements.

Management

Split

Split

4.

To remove the Fund's fundamental investment restriction relating to investing in other investment companies.

Management

Split

Split

5.

To approve changing the Fund's sub-classification under the Investment Company Act of 1940 from "diversified" to "non-diversified."

Management

Split

Split

6.

To approve a change of the investment objective and to make the investment objective non-fundamental.

Management

Split

Split

7.

To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

19,480

0

20-May-2021

20-May-2021

NUVEEN MARYLAND QUALITY MUNICIPAL INC FD

Security

67061Q107

Meeting Type

Annual

Ticker Symbol

NMY

Meeting Date

25-May-2021

ISIN

US67061Q1076

Agenda

935346141 - Management

Record Date

29-Jan-2021

Holding Recon Date

29-Jan-2021

City /

Country

/

United States

Vote Deadline Date

24-May-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

DIRECTOR

Management

Split

Split

1

Jack B. Evans

Split

Split

2

Matthew Thornton III

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

8,522

0

05-Apr-2021

05-Apr-2021

THUNDER BRIDGE ACQUISITION II, LTD

Security

G8857S116

Meeting Type

Special

Ticker Symbol

THBR

Meeting Date

09-Jun-2021

ISIN

KYG8857S1167

Agenda

935439756 - Management

Record Date

10-May-2021

Holding Recon Date

10-May-2021

City /

Country

/

United States

Vote Deadline Date

08-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1)

RESOLVED, as special resolution that Thunder Bridge Acquisition II, Ltd. be de-registered in the Cayman Islands pursuant to Article 47 of the Amended and Restated Articles of Association of Thunder Bridge Acquisition II, Ltd. and be registered by way of continuation as a corporation in the State of Delaware and conditional upon, and with effect from, the registration of Thunder Bridge Acquisition II, Ltd. in the State of Delaware as a corporation, governed by the certificate of incorporation attached as Annex A.

Management

For

For

2)

RESOLVED, as an ordinary resolution, that Thunder Bridge II's entry into the Master Transactions Agreement dated effective as of December 14, 2020 (as amended or supplemented from time to time, the "MTA") by and among Thunder Bridge II, Surviving Pubco, Merger Subs, indie, the ADK Blocker Group, ADK Service Provider Holdco and, solely in its capacity as the indie Securityholder Representative thereunder, Donald McClymont, the consummation of the transactions contemplated by the MTA, including the issuance of the merger consideration thereunder.

Management

For

For

3)

RESOLVED, as an ordinary resolution, that the indie Semiconductor, Inc. 2021 Omnibus Equity Incentive Plan (a copy of the 2021 Equity Incentive Plan is attached to the proxy statement/prospectus as Annex C) be adopted and approved in all respects.

Management

For

For

4)

DIRECTOR

Management

1

Sonalee Parekh

For

For

2

Ichiro Aoki

For

For

3

Jeffrey Owens

For

For

4

William Woodward

For

For

5

Karl-Thomas Neumann

For

For

6

Diane Brink

For

For

7

Donald McClymont

For

For

8

Peter Kight

For

For

9

David Aldrich

For

For

5)

RESOLVED, as an ordinary resolution, that the issuance of an aggregate of 90,000,000 Merger Consideration shares, up to an aggregate of 10,000,000 Earn-Out Shares, and 15,000,000 Class A ordinary shares in the PIPE Financing be approved and adopted in all respects.

Management

For

For

6A)

Advisory Charter Proposal A - to provide that the total number of shares of all classes of capital stock which the Company will have authority to issue is 300,000,000 shares, consisting of (i) 250,000,000 shares of Class A common stock, par value $0.0001 per share, (ii) 40,000,000 shares of Class V common stock, no par value, and (iii) 10,000,000 shares of preferred stock, par value $0.0001 per share.

Management

For

For

6B)

Advisory Charter Proposal B - to provide that special meetings of stockholders of the Company may be called only (i) by the chairman of the board of directors, (ii) by the chief executive officer, or (iii) by the secretary acting at the request of a majority of the total number of directors that the Company would have if there were no vacancies.

Management

For

For

6C)

Advisory Charter Proposal C - to provide that any action of the stockholders of the Company may be taken without a meeting, without prior notice and without a vote, if a consent in writing, setting forth the action so taken, is signed by the holders of outstanding stock having not less than the minimum number of votes that would be necessary to authorize or take such action at a meeting at which all shares entitled to vote thereon were present and voted.

Management

For

For

6D)

Advisory Charter Proposal D - to provide that the Company's board of directors will be divided into three classes designated as Class I, Class II and Class III.

Management

For

For

6E)

Advisory Charter Proposal E - to provide that directors may be elected by the stockholders only at an annual meeting of stockholders by a plurality of the votes cast.

Management

For

For

6F)

Advisory Charter Proposal F - to provide that any director may be removed from office at any time, but only for cause, by the affirmative vote of the holders of at least 662/3% of the voting power of the outstanding voting capital stock of the Company, voting together as a single class.

Management

For

For

6G)

Advisory Charter Proposal G - to provide that the affirmative vote of the holders of at least 662/3% of the voting power of the outstanding voting capital stock of the Company, voting together as a single class, will be required to amend or repeal, or adopt any provision inconsistent with, provisions relating to calling special meetings of stockholders and stockholder action by written consent.

Management

For

For

6H)

Advisory Charter Proposal H - to provide that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, any federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims.

Management

For

For

6I)

Advisory Charter Proposal I - to provide that the Company will not be subject to provisions Section 203 of the DGCL, which generally prohibits "interested stockholders" (stockholders holding 15% or more of the outstanding stock) from engaging in business combinations with the Company for a period of time unless certain conditions are met.

Management

For

For

7)

RESOLVED, as an ordinary resolution, that the adjournment of the Shareholders Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge II that more time is necessary or appropriate to approve one or more Shareholder Proposals at the Shareholders Meeting be approved and adopted in all respects.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

23

0

21-May-2021

21-May-2021

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

1,020

0

21-May-2021

21-May-2021

CHURCHILL CAP CORP II

Security

17143G106

Meeting Type

Special

Ticker Symbol

CCX

Meeting Date

10-Jun-2021

ISIN

US17143G1067

Agenda

935450089 - Management

Record Date

28-Apr-2021

Holding Recon Date

28-Apr-2021

City /

Country

/

United States

Vote Deadline Date

09-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

The Merger Proposal - To consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of October 12, 2020 (as it may be amended and/or restated from time to time, the "Skillsoft Merger Agreement"), by and among Churchill and Software Luxembourg Holding S.A. ("Skillsoft"), and the transactions contemplated thereby.

Management

For

For

2.

The Merger Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of shares of Churchill Class A common stock and Churchill Class C common stock pursuant to the Skillsoft Merger Agreement.

Management

For

For

3.

The Charter Amendment Proposal - To consider and vote upon a proposal to adopt an amendment (the "Charter Amendment") to Churchill's amended and restated certificate of incorporation currently in effect (the "Existing Charter") in the form attached to the Joint Proxy Statement/Prospectus as Annex B.

Management

For

For

4.

The Charter Approval Proposal - To consider and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") in the form attached to the Joint Proxy StatementProspectus as Annex C.

Management

For

For

5.

The Governance Proposal - To consider and act upon, on a non- binding advisory basis, a separate proposal with respect to certain governance provisions in the Proposed Charter in order to give holders of Churchill common stock the opportunity to present their separate views on important corporate governance procedures.

Management

For

For

6A.

Election of Director: Jeffrey R. Tarr

Management

For

For

6B.

Election of Director: Helena B. Foulkes

Management

For

For

6C.

Election of Director: Ronald W. Hovsepian

Management

For

For

6D.

Election of Director: Michael Klein

Management

For

For

6E.

Election of Director: Karen G. Mills

Management

For

For

6F.

Election of Director: Lawrence H. Summers

Management

For

For

6G.

Election of Director: Peter Schmitt

Management

For

For

7.

The Prosus PIPE Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Churchill Class A common stock pursuant to the Prosus Subscription Agreement (including the shares issuable (i) upon Prosus's exercise of the Prosus Top-Up Right and (ii) upon Prosus's exercise of the Prosus Warrants (each as defined in the Joint Proxy Statement/Prospectus)).

Management

For

For

8.

The SuRo PIPE Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Class A common stock pursuant to the SuRo Subscription Agreement (as defined in the Joint Proxy Statement/Prospectus).

Management

For

For

9.

The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the Joint Proxy Statement/Prospectus).

Management

For

For

10.

The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the Churchill Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

3,246

0

01-Jun-2021

01-Jun-2021

NEXPOINT FUNDS

Security

65340G205

Meeting Type

Annual

Ticker Symbol

NHF

Meeting Date

11-Jun-2021

ISIN

US65340G2057

Agenda

935432459 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

/

United States

Vote Deadline Date

10-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class III Trustee to serve for a three year term expiring at the 2024 Annual Meeting: John Honis

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

9,743

0

10-Jun-2021

10-Jun-2021

FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC

Security

26943B100

Meeting Type

Annual

Ticker Symbol

FCRD

Meeting Date

17-Jun-2021

ISIN

US26943B1008

Agenda

935422749 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

/

United States

Vote Deadline Date

16-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Christopher J. Flynn

Split

Split

2

E.P. Giambastiani, Jr.

Split

Split

3

Nancy Hawthorne

Split

Split

4

James D. Kern

Split

Split

5

Deborah McAneny

Split

Split

6

Jane Musser Nelson

Split

Split

2.

To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for such Company for the fiscal year ending December 31, 2021.

Management

Split

Split

3.

To approve an amendment to our Third Amended and Restated Certificate of Incorporation ("Charter") to remove the ability of the continuing directors to remove any director for cause and allow stockholders to remove directors, with or without cause, by the holders of a majority of shares then entitled to vote.

Management

Split

Split

4.

To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies.

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

27,714

0

16-Jun-2021

16-Jun-2021

MORGAN STANLEY EMERGING MKTS

Security

617477104

Meeting Type

Annual

Ticker Symbol

EDD

Meeting Date

24-Jun-2021

ISIN

US6174771047

Agenda

935436065 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

/

United States

Vote Deadline Date

23-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

Patricia Maleski#

Split

Split

2

Nancy C. Everett*

Split

Split

3

Michael F. Klein*

Split

Split

4

W. Allen Reed*

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

25,067

0

23-Jun-2021

23-Jun-2021

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Special

Ticker Symbol

EVF

Meeting Date

24-Jun-2021

ISIN

US27826S1033

Agenda

935453770 - Management

Record Date

14-May-2021

Holding Recon Date

14-May-2021

City /

Country

/

United States

Vote Deadline Date

23-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

53,133

0

23-Jun-2021

23-Jun-2021

EATON VANCE SENIOR INCOME TRUST

Security

27826S103

Meeting Type

Special

Ticker Symbol

EVF

Meeting Date

24-Jun-2021

ISIN

US27826S1033

Agenda

935453770 - Management

Record Date

14-May-2021

Holding Recon Date

14-May-2021

City /

Country

/

United States

Vote Deadline Date

23-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser

Management

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.32

MSTRAT RIVERNORTH- BNP PLEDGE LTD

145334.32

UMB BANK, N.A.

70,987

0

23-Jun-2021

23-Jun-2021

CALAMOS INVESTMENTS

Security

12812C106

Meeting Type

Annual

Ticker Symbol

CPZ

Meeting Date

29-Jun-2021

ISIN

US12812C1062

Agenda

935440608 - Management

Record Date

30-Apr-2021

Holding Recon Date

30-Apr-2021

City /

Country

/

United States

Vote Deadline Date

28-Jun-2021

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

Split

Split

1

John E. Neal

Split

Split

2

Karen L. Stuckey

Split

Split

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

145334.22

MSTRAT RIVERNORTH

145334.22

UMB BANK, N.A.

19,864

0

28-Jun-2021

28-Jun-2021

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) Investment Managers Series Trust II

By (Signature and Title)*		/s/ Terrance P. Gallagher
		Terrance P. Gallagher, President & Principle Executive Officer
Date	August 31, 2021

* Print the name and title of each signing officer under his or her signature.