0001398344-21-017873.txt : 20210827 0001398344-21-017873.hdr.sgml : 20210827 20210827161859 ACCESSION NUMBER: 0001398344-21-017873 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210827 DATE AS OF CHANGE: 20210827 EFFECTIVENESS DATE: 20210827 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. CENTRAL INDEX KEY: 0001678130 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-23166 FILM NUMBER: 211219144 BUSINESS ADDRESS: STREET 1: 325 N. LASALLE STREET, SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 BUSINESS PHONE: 312-832-1440 MAIL ADDRESS: STREET 1: 325 N. LASALLE STREET, SUITE 645 CITY: CHICAGO STATE: IL ZIP: 60654 FORMER COMPANY: FORMER CONFORMED NAME: RiverNorth/DoubleLine Strategic Allocation Fund, Inc. DATE OF NAME CHANGE: 20160624 N-PX 1 fp0066763_npx.htm

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 811-23166

 

RIVERNORTH/DOUBLELINE STRATEGIC OPPORTUNITY FUND, INC.

 

(Exact name of registrant as specified in charter)

 

325 North LaSalle Street, Suite 645, Chicago, Illinois 60654

 

(Address of principal executive offices) (Zip code)

 

Marc L. Collins

325 North LaSalle Street, Suite 645

Chicago, Illinois 60654

 

(Name and address of agent for service)

 

Registrant's telephone number, including area code: (312) 832-1440

 

Date of fiscal year end: June 30

 

Date of reporting period: July 1, 2020 - 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 (§§ 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 30b 1-4 thereunder (17 CFR 270.30b 1-4). 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 44U.S.C. § 3507.

  

 

 

 

Item 1 Proxy Voting Record
   
  See below
     

  Investment Company Report

 

WESTERN ASSET EMERGING MKTS DEBT FD INC.  
Security 95766A101       Meeting Type Special
Ticker Symbol EMD                   Meeting Date 06-Jul-2020
ISIN US95766A1016       Agenda 935194768 - Opposition
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 82,627 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. Management        
2F.   To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 248,461 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. Management        
2F.   To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 248,461 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with Western Asset Management Company Limited. Management        
2F.   To approve a New Subadvisory Agreement with Western Asset Management Company Pte. Ltd. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 248,461 0    
WESTERN ASSET HIGH INC OPP FD INC.  
Security 95766K109       Meeting Type Contested-Special
Ticker Symbol HIO                   Meeting Date 06-Jul-2020
ISIN US95766K1097       Agenda 935196130 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 580,478 0    
WESTERN ASSET HIGH INC OPP FD INC.  
Security 95766K109       Meeting Type Contested-Special
Ticker Symbol HIO                   Meeting Date 06-Jul-2020
ISIN US95766K1097       Agenda 935196130 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 580,478 0 14-May-2020 14-May-2020
WESTERN ASSET HIGH INC OPP FD INC.  
Security 95766K109       Meeting Type Contested-Special
Ticker Symbol HIO                   Meeting Date 06-Jul-2020
ISIN US95766K1097       Agenda 935196142 - Opposition
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. Management        
2C.   To approve a New Subadvisory Agreement with Western Asset Management Company, LLC. Management        
2D.   To approve a New Subadvisory Agreement with Western Asset Management Company Limited. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 580,478 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC Management        
2A.   To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 221,760 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC Management        
2A.   To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 221,760 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
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT WITH LEGG MASON PARTNERS FUND ADVISOR, LLC. Management        
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        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 221,760 0    
NEXPOINT FUNDS  
Security 65340G205       Meeting Type Annual  
Ticker Symbol NHF                   Meeting Date 14-Jul-2020
ISIN US65340G2057       Agenda 935242836 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 170,583 0 13-Jul-2020 13-Jul-2020
BLACKROCK FLOATING RATE INCOME TRUST  
Security 091941104       Meeting Type Annual  
Ticker Symbol BGT                   Meeting Date 27-Jul-2020
ISIN US0919411043       Agenda 935237823 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 71,108 0 24-Jul-2020 24-Jul-2020
NUVEEN MUNICIPAL CREDIT INCOME FUND  
Security 67070X101       Meeting Type Annual  
Ticker Symbol NZF                   Meeting Date 05-Aug-2020
ISIN US67070X1019       Agenda 935245541 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 80,916 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 307,596 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 307,015 0 06-Aug-2020 06-Aug-2020
VAN KAMPEN FUNDS  
Security 46131M106       Meeting Type Annual  
Ticker Symbol VGM                   Meeting Date 07-Aug-2020
ISIN US46131M1062       Agenda 935248319 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 4,999 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 93,167 0 06-Aug-2020 06-Aug-2020
NEXPOINT FUNDS  
Security 65340G205       Meeting Type Special
Ticker Symbol NHF                   Meeting Date 28-Aug-2020
ISIN US65340G2057       Agenda 935250388 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 170,583 0 27-Aug-2020 27-Aug-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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 264,191 0 22-Oct-2020 22-Oct-2020
EATON VANCE HIGH INCOME  
Security 27829W101       Meeting Type Annual  
Ticker Symbol EHT                   Meeting Date 14-Jan-2021
ISIN US27829W1018       Agenda 935310160 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A.   DIRECTOR Management   Split Split  
  1 George J. Gorman     Split Split  
  2 Valerie A. Mosley     Split Split  
  3 William H. Park     Split Split  
  4 Marcus L. Smith     Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 34,464 0 13-Jan-2021 13-Jan-2021
EATON VANCE LIMITED DURATION INCOME FD  
Security 27828H105       Meeting Type Annual  
Ticker Symbol EVV                   Meeting Date 11-Feb-2021
ISIN US27828H1059       Agenda 935319473 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A)   DIRECTOR Management   Split Split  
  1 Helen Frame Peters     Split Split  
  2 Marcus L. Smith     Split Split  
  3 Susan J. Sutherland     Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 259,419 0 10-Feb-2021 10-Feb-2021
EATON VANCE LIMITED DURATION INCOME FD  
Security 27828H105       Meeting Type Special
Ticker Symbol EVV                   Meeting Date 23-Feb-2021
ISIN US27828H1059       Agenda 935312556 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A.   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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 189,758 0 06-Jan-2021 06-Jan-2021
EATON VANCE HIGH INCOME  
Security 27829W101       Meeting Type Special
Ticker Symbol EHT                   Meeting Date 23-Feb-2021
ISIN US27829W1018       Agenda 935312582 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1B.   Approval of a new investment advisory and administrative agreement with Eaton Vance 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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 34,464 0 06-Jan-2021 06-Jan-2021
OAKTREE SPECIALTY LENDING CORPORATION  
Security 67401P108       Meeting Type Annual  
Ticker Symbol OCSL                  Meeting Date 15-Mar-2021
ISIN US67401P1084       Agenda 935330946 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A.   Election of Director: Deborah Gero Management        
1B.   Election of Director: Craig Jacobson Management        
2.    To ratify the appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for the Company for the fiscal year ending September 30, 2021. Management        
3.    To approve the issuance of shares of common stock, par value $0.01 per share, of the Company to be issued pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020, among Oaktree Strategic Income Corporation, a Delaware corporation ("OCSI"), the Company, Lion Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of the Company, and, for the limited purposes set forth therein, Oaktree Fund Advisors, LLC, a Delaware limited liability company and investment adviser to each of the Company and OCSI. Management        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 371,130 0    
OWL ROCK CAPITAL CORPORATION  
Security 69121K104       Meeting Type Special
Ticker Symbol ORCC                  Meeting Date 17-Mar-2021
ISIN US69121K1043       Agenda 935331037 - Management
                     
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        
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        
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 121,591 0    
FIRST TRUST ADVISORS  
Security 33738E109       Meeting Type Annual  
Ticker Symbol FSD                   Meeting Date 08-Apr-2021
ISIN US33738E1091       Agenda 935337293 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    DIRECTOR Management   Split Split  
  1 Richard E. Erickson     Split Split  
  2 Thomas R. Kadlec     Split Split  
2.    If properly presented at the Meeting, a shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. Shareholder   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 144,726 0 07-Apr-2021 07-Apr-2021
WESTERN ASSET HIGH INC OPP FD INC.  
Security 95766K109       Meeting Type Annual  
Ticker Symbol HIO                   Meeting Date 09-Apr-2021
ISIN US95766K1097       Agenda 935342078 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.1   Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Paolo M. Cucchi Management   Split Split  
1.2   Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick Management   Split Split  
1.3   Election of Class II Director to serve until the 2024 Annual Meeting of Stockholders: Jane Trust Management   Split Split  
2.    To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending September 30, 2021. Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 320,523 0 08-Apr-2021 08-Apr-2021
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD  
Security 10537L104       Meeting Type Annual  
Ticker Symbol BWG                   Meeting Date 09-Apr-2021
ISIN US10537L1044       Agenda 935342131 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.1   Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Robert D. Agdern Management   Split Split  
1.2   Election of Class III Director to serve until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick Management   Split Split  
2.    To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending October 31, 2021. Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 132,443 0 08-Apr-2021 08-Apr-2021
PGIM INVESTMENTS  
Security 69346H100       Meeting Type Annual  
Ticker Symbol ISD                   Meeting Date 16-Apr-2021
ISIN US69346H1005       Agenda 935329664 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 107,386 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 190,841 0 08-Mar-2021 15-Apr-2021
BLACKSTONE FUNDS  
Security 09257D102       Meeting Type Annual  
Ticker Symbol BGX                   Meeting Date 21-Apr-2021
ISIN US09257D1028       Agenda 935352637 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
2A.   Election of Nominee for Trustee: Gary S. Schpero Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 39,240 0 20-Apr-2021 20-Apr-2021
BLACKSTONE FUNDS  
Security 09257R101       Meeting Type Annual  
Ticker Symbol BGB                   Meeting Date 21-Apr-2021
ISIN US09257R1014       Agenda 935352649 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
3A.   Election of Nominee for Trustee: Gary S. Schpero Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 162,562 0 20-Apr-2021 20-Apr-2021
THE NEW AMERICA HIGH INCOME FUND, INC.  
Security 641876800       Meeting Type Annual  
Ticker Symbol HYB                   Meeting Date 22-Apr-2021
ISIN US6418768007       Agenda 935339944 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    DIRECTOR Management   Split Split  
  1 Joseph L. Bower     Split Split  
  2 Stuart A. McFarland     Split Split  
  3 Marguerite Piret     Split Split  
  4 Oleg M. Pohotsky     Split Split  
  5 Ellen E. Terry     Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 90,583 0 21-Apr-2021 21-Apr-2021
ARES DYNAMIC  
Security 04014F102       Meeting Type Annual  
Ticker Symbol ARDC                  Meeting Date 11-May-2021
ISIN US04014F1021       Agenda 935365709 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A.   Election of Class I Director to serve for a term expiring in 2023 Annual Meeting: Paula B. Pretlow Management   Split Split  
1B.   Election of Class II Director to serve for a term expiring in 2024 Annual Meeting: Seth J. Brufsky Management   Split Split  
1C.   Election of Class II Director to serve for a term expiring in 2024 Annual Meeting: John J. Shaw Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 73,797 0 10-May-2021 10-May-2021
MCDERMOTT INTL LTD  
Security G5924V106       Meeting Type Annual  
Ticker Symbol MCDIF                 Meeting Date 14-May-2021
ISIN BMG5924V1063       Agenda 935365975 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1.    To appoint David Dickson as Chairman of the 2021 Annual General Meeting of Members. Management   Split Split  
2.    DIRECTOR Management   Split Split  
  1 Craig Broderick     Split Split  
  2 Neil Bruce     Split Split  
  3 David Dickson     Split Split  
  4 Barbara Duganier     Split Split  
  5 Andrew Gould     Split Split  
  6 Alan Hirshberg     Split Split  
  7 Nils Larsen     Split Split  
  8 Lee McIntire     Split Split  
  9 Paul Soldatos     Split Split  
3.    To approve amendments to Bye-Laws 40.1(a), 41, 50.1 and 65 of the Amended and Restated Bye-laws of McDermott International, Ltd. Management   Split Split  
4.    To approve an alteration to the Memorandum of Association of McDermott International, Ltd. Management   Split Split  
5.    To appoint Ernst & Young LLP as the Auditor of McDermott International, Ltd for a term extending until the close of the 2022 Annual General Meeting of Members and give the Audit Committee of the Board of Directors the authority to set the remuneration of the Company's Auditor. Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV2L RN DOUBLELINE STRAT OPP FD INC 997RV2L STATE STREET BANK & TRUST CO 13,637 0 13-May-2021 13-May-2021
XAI OCTAGON FUNDS  
Security 98400T205       Meeting Type Annual  
Ticker Symbol XFLTPR                Meeting Date 18-May-2021
ISIN US98400T2050       Agenda 935411316 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1A.   Election of Class I Trustee of the Trust, to be elected by common shares and preferred shares voting as a single class, to serve until the 2024 annual meeting: Theodore J. Brombach Management   Split Split  
1B.   Election of Class I Trustee of the Trust, to be elected by preferred shares voting as a separate class, to serve until the 2024 annual meeting: Danielle Cupps Management   Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 39,726 0 17-May-2021 17-May-2021
NUVEEN PREFERED & CONVERTIBLE INCOME 2  
Security 67073D102       Meeting Type Annual  
Ticker Symbol JQC                   Meeting Date 25-May-2021
ISIN US67073D1028       Agenda 935346139 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1B.   DIRECTOR Management   Split Split  
  1 Jack B. Evans     Split Split  
  2 Albin F. Moschner     Split Split  
  3 Matthew Thornton III     Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 164,128 0 05-Apr-2021 24-May-2021
NUVEEN MORTGAGE OPPORTUNITY TERM FUND  
Security 670735109       Meeting Type Annual  
Ticker Symbol JLS                   Meeting Date 25-May-2021
ISIN US6707351093       Agenda 935346139 - Management
                     
Item Proposal   Proposed by Vote For/Against Management  
1B.   DIRECTOR Management   Split Split  
  1 Jack B. Evans     Split Split  
  2 Albin F. Moschner     Split Split  
  3 Matthew Thornton III     Split Split  
                     
Account Number Account Name Internal Account Custodian Ballot Shares Unavailable Shares Vote Date Date Confirmed
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 46,304 0 05-Apr-2021 24-May-2021
NUVEEN FLOATING RATE INCOME FUND  
Security 67072T108       Meeting Type Annual  
Ticker Symbol JFR                   Meeting Date 25-May-2021
ISIN US67072T1088       Agenda 935346141 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 11,105 0 05-Apr-2021 24-May-2021
NEXPOINT FUNDS  
Security 65340G205       Meeting Type Annual  
Ticker Symbol NHF                   Meeting Date 11-Jun-2021
ISIN US65340G2057       Agenda 935432459 - Management
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 47,636 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 124,971 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
                     
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
997RV1L RIVERNORTH DL STRAT OPP FD INC 997RV1L STATE STREET BANK & TRUST CO 200,578 0 23-Jun-2021 23-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.

 

  RiverNorth/DoubleLine Strategic Opportunity Fund, Inc.
   
  /s/ Patrick W. Galley  
  By: Patrick W. Galley
  Title: President and Chairman of the Board
   
  Date: August 27, 2021