0001387131-22-008565.txt : 20220810 0001387131-22-008565.hdr.sgml : 20220810 20220810102048 ACCESSION NUMBER: 0001387131-22-008565 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220810 DATE AS OF CHANGE: 20220810 EFFECTIVENESS DATE: 20220810 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC CENTRAL INDEX KEY: 0000882071 IRS NUMBER: 954355600 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-06495 FILM NUMBER: 221150732 BUSINESS ADDRESS: STREET 1: 301 E COLORADO BLVD STE 720 STREET 2: C/O FLAHERTY & CRUMRINE INC CITY: PASADENA STATE: CA ZIP: 91101 BUSINESS PHONE: (626) 795-7300 MAIL ADDRESS: STREET 1: 301 COLORADO BLVD STE 800 STREET 2: C/O FLAHERTY & CRUMRINE INC CITY: PASADENA STATE: CA ZIP: 91101 FORMER COMPANY: FORMER CONFORMED NAME: Flaherty & Crumrine PREFERRED INCOME OPPORTUNITY FUND INC DATE OF NAME CHANGE: 20050708 FORMER COMPANY: FORMER CONFORMED NAME: PREFERRED INCOME OPPORTUNITY FUND INC DATE OF NAME CHANGE: 19920929 N-PX 1 pfo-npx_063022.htm ANNUAL REPORT OF PROXY VOTING RECORD

 

 

 

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 811-06495

 

Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated
(Exact name of registrant as specified in charter)

 

301 E. Colorado Boulevard, Suite 800

Pasadena, CA 91101

 (Address of principal executive offices) (Zip code)

 

R. Eric Chadwick

Flaherty & Crumrine Incorporated

301 E. Colorado Boulevard, Suite 800

Pasadena, CA 91101

(Name and address of agent for service)

 

Registrant’s telephone number, including area code: 626-795-7300

 

Date of fiscal year end: November 30

 

Date of reporting period: July 1, 2021 – June 30, 2022

 

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 (17 CFR 239.24 and 274.5), 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. § 3507.

 

 

 

 

 

 

 

PROXY VOTING RECORD

 

FOR PERIOD JULY 1, 2021 TO JUNE 30, 2022

 

 

REGISTRANT NAME: Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated
INVESTMENT COMPANY ACT FILE NUMBER: 811 - 06495
REPORTING PERIOD: 07/01/2021 - 06/30/2022
REGISTRANT  ADDRESS: 301 E. Colorado Boulevard, Suite 800, Pasadena, California 91101
                 
Issuer of Portfolio Security Exchange Ticker Symbol CUSIP # Shareholder Meeting Date Summary of Matter Voted On Who Proposed Matter: Issuer / Shareholder Whether Fund Cast Vote on Matter Fund's Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors   Whether Vote Was For or Against Management
ATHENE HOLDING LTD ATH 04686J309 12/21/2021 Approve merger of AHL and Apollo Global Management Issuer Yes For For
ATHENE HOLDING LTD ATH 04686J309 12/21/2021 Approve the adjournment of the AHL special general meeting to solicit additional proxies if needed Issuer Yes For For
ATHENE HOLDING LTD ATH 04686J408 12/21/2021 Approve adjournment of the AHL special general meeting to solicit additional proxies if needed Issuer Yes For For
ATHENE HOLDING LTD ATH 04686J408 12/21/2021 Approver merger of AHL and Apollo Global Management Issuer Yes For For
ATHENE HOLDING LTD ATH G0684D305 12/21/2021 Approve adjournment of AHL special general meeting to solicit additional proxies if needed Issuer Yes For For
ATHENE HOLDING LTD ATH G0684D305 12/21/2021 Approve merger of AHL and Apollo Global Management Issuer Yes For For
FT REAL ESTATE SECS CO FHN 302663208 5/20/2022 Approve directors Issuer Yes Withhold All N/A
FIFTH THIRD BANCORP FITB 316773886 4/12/2022 Approval of amendment to establish exclusive jurisdiction of federal courts for actions bought under the SEC Act of 1933 Issuer Yes For For
FIFTH THIRD BANCORP FITB 316773886 4/12/2022 Approval of company's compensation of its named executive officers Issuer Yes For For
FIFTH THIRD BANCORP FITB 316773886 4/12/2022 Approve auditor Issuer Yes For For
FIFTH THIRD BANCORP FITB 316773886 4/12/2022 Approve directors Issuer Yes For For
SIGNATURE BANK SBNY 82669G203 4/27/2022 Approve continuation of company's share repurchase plan for up to $500 million Issuer Yes For For
   

 

 

 

 

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 Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated

 

By (Signature and Title)* /s/ R. Eric Chadwick
 

R. Eric Chadwick, Chief Executive Officer and President

(Principal Executive Officer)

  

Date  August 9, 2022

  

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