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 No. 811-22039

 

 

First Trust Specialty Finance and Financial Opportunities Fund

 

Exact Name of Registrant as Specified in Declaration of Trust

 

 

120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187

 

Address of Principal Executive Offices (Number, Street, City, State, Zip Code)

 

 

W. Scott Jardine

First Trust Portfolios L.P.

120 East Liberty Drive, Suite 400

Wheaton, Illinois 60187

 

Name and Address (Number, Street, City, State, Zip Code) of Agent for Service

 

 

(630) 765-8000

 

Registrant's Telephone Number, including Area Code

 

 

Date of fiscal year end: November 30

 

 

 

Date of reporting period: July 1, 2022 - June 30, 2023

 

 

 

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, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.

 

 

  

 

Item 1. Proxy Voting Record

 

 

                         
Vote Summary
  OFS CAPITAL CORPORATION                        
  Security 67103B100               Meeting Type   Special  
  Ticker Symbol OFS                           Meeting Date   13-Jul-2022  
  ISIN US67103B1008               Agenda   935631209 - Management  
  Record Date 13-Apr-2022               Holding Recon Date   13-Apr-2022  
  City / Country   / United           Vote Deadline Date   12-Jul-2022  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    To authorize flexibility for the Company, with approval of     Management   Split   Split  
    its Board of Directors, to sell or otherwise issue shares of                
    its common stock (during the next 12 months) at a price                
    below the Company's then-current net asset value per                
    share in one or more offerings, subject to certain                  
    limitations set forth in the proxy statement for the Special                
    Meeting of Stockholders (including that the cumulative                
    number of shares sold pursuant to such authority does                
    not exceed 25% of the Company's then-outstanding                  
    common stock immediately prior to each such sale).                  
                           
  CAPITAL SOUTHWEST CORPORATION                      
  Security 140501107               Meeting Type   Annual    
  Ticker Symbol CSWC                          Meeting Date   27-Jul-2022  
  ISIN US1405011073               Agenda   935674160 - Management  
  Record Date 01-Jun-2022               Holding Recon Date   01-Jun-2022  
  City /  Country   / United           Vote Deadline Date   26-Jul-2022  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Christine S. Battist           Split   Split  
    2 David R. Brooks             Split   Split  
    3 Bowen S. Diehl             Split   Split  
    4 Jack D. Furst             Split   Split  
    5 Ramona Rogers-Windsor           Split   Split  
    6 William R. Thomas           Split   Split  
  2.    To approve, on an advisory basis, the compensation of     Management   Split   Split  
    Capital Southwest Corporation's named executive                  
    officers.                      
  3.    To approve the Capital Southwest Corporation 2021 Non-     Management   Split   Split  
    Employee Director Restricted Stock Award Plan.                  
  4.    To ratify the appointment of RSM US LLP as Capital       Management   Split   Split  
    Southwest Corporation's independent registered public                
    accounting firm for the fiscal year ending March 31, 2023.                
                           
  FS KKR CAPITAL CORP.                        
  Security 302635206               Meeting Type   Annual    
  Ticker Symbol FSK                           Meeting Date   3-Aug-22  
  ISIN US3026352068               Agenda   935647961 - Management  
  Record Date 25-Apr-2022               Holding Recon Date   25-Apr-2022  
  City / Country   / United           Vote Deadline Date   02-Aug-2022  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Barbara Adams             Split   Split  
    2 Michael C. Forman           Split   Split  
    3 Jerel A. Hopkins             Split   Split  
  2.    To approve the proposal to allow the Company in future     Management   Split   Split  
    offerings to sell its shares below net asset value per                  
    share in order to provide flexibility for future sales.                  
                           
  ARES CAPITAL CORPORATION                        
  Security 04010L103               Meeting Type   Special  
  Ticker Symbol ARCC                          Meeting Date   04-Aug-2022  
  ISIN US04010L1035               Agenda   935672659 - Management  
  Record Date 23-May-2022               Holding Recon Date   23-May-2022  
  City /  Country   / United           Vote Deadline Date   3-Aug-22  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    To authorize the Company, with the approval of its board     Management   Split   Split  
    of directors, to sell or otherwise issue shares of its                  
    common stock at a price below its then current net asset                
    value per share subject to the limitations set forth in the                
    proxy statement for the special meeting of stockholders                
    (including, without limitation, that the number of shares                
    issued does not exceed 25% of the Company's then                  
    outstanding common stock).                    
                           
  BLACKSTONE SECURED LENDING FUND (BXSL)                      
  Security 09261X102               Meeting Type   Annual    
  Ticker Symbol BXSL                          Meeting Date   16-Sep-2022  
  ISIN US09261X1028               Agenda   935695746 - Management  
  Record Date 25-Jul-2022               Holding Recon Date   25-Jul-2022  
  City / Country   / United           Vote Deadline Date   15-Sep-2022  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class I Independent Trustee: James F. Clark     Management   Split   Split  
  1b.   Election of Class I Independent Trustee: Vicki L. Fuller     Management   Split   Split  
  1c.   Election of Class I Interested Trustee: Vikrant Sawhney     Management   Split   Split  
  2.    Ratify the appointment of Deloitte & Touche LLP as our     Management   Split   Split  
    independent registered public accounting firm for the                  
    fiscal year ending December 31, 2022.                  
                           
  SLR INVESTMENT CORP.                        
  Security 83413U100               Meeting Type   Annual    
  Ticker Symbol SLRC                          Meeting Date   26-Oct-2022  
  ISIN US83413U1007               Agenda   935710322 - Management  
  Record Date 31-Aug-2022               Holding Recon Date   31-Aug-2022  
  City / Country   / United           Vote Deadline Date   25-Oct-2022  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director to serve until 2025: David S. Wachter     Management   Split   Split  
  2.    To authorize SLR Investment Corp. to sell shares of its     Management   Split   Split  
    common stock at a price or prices below SLR Investment                
    Corp.'s then current net asset value per share in one or                
    more offerings, in each case subject to the approval of its                
    board of directors and compliance with the conditions set                
    forth in the proxy statement (including, without limitation,                
    that the number of shares issued does not exceed 25%                
    of SLR Investment Corp.'s then outstanding common                  
    stock immediately prior to each such offering).                  
                           
  GOLUB CAPITAL BDC, INC.                        
  Security 38173M102               Meeting Type   Annual    
  Ticker Symbol GBDC                          Meeting Date   07-Feb-2023  
  ISIN US38173M1027               Agenda   935752623 - Management  
  Record Date 12-Dec-2022               Holding Recon Date   12-Dec-2022  
  City / Country   / United           Vote Deadline Date   06-Feb-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class I Director of the Company who will each     Management   Split   Split  
    serve for a term expiring in 2026: David B. Golub                  
  1b.   Election of Class I Director of the Company who will each     Management   Split   Split  
    serve for a term expiring in 2026: Anita J. Rival                  
  2.    To ratify the selection of Ernst & Young LLP to serve as     Management   Split   Split  
    the Company's independent registered public accounting                
    firm for the fiscal year ending September 30, 2023.                  
                           
  PENNANTPARK INVESTMENT CORPORATION                      
  Security 708062104               Meeting Type   Annual    
  Ticker Symbol PNNT                          Meeting Date   07-Feb-2023  
  ISIN US7080621045               Agenda   935749602 - Management  
  Record Date 30-Nov-2022               Holding Recon Date   30-Nov-2022  
  City / Country   / United           Vote Deadline Date   06-Feb-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director: Marshall Brozost       Management   Split   Split  
  1b.   Election of Director: Samuel L. Katz         Management   Split   Split  
  2.    To ratify the selection of RSM US LLP to serve as the       Management   Split   Split  
    Company's independent registered public accounting firm                
    for the fiscal year ending September 30, 2023.                  
                           
  FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC                      
  Security 26943B100               Meeting Type   Special  
  Ticker Symbol FCRD                          Meeting Date   07-Mar-2023  
  ISIN US26943B1008               Agenda   935761456 - Management  
  Record Date 19-Jan-2023               Holding Recon Date   19-Jan-2023  
  City / Country   / United           Vote Deadline Date   06-Mar-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    To adopt the Agreement and Plan of Merger, dated as of     Management   Split   Split  
    October 3, 2022, by and among Crescent Capital BDC,                
    Inc., Echelon Acquisition Sub, Inc., Echelon Acquisition                
    Sub LLC, FCRD, and Crescent Cap Advisors, LLC, and                
    approve the transactions contemplated thereby, including                
    the Mergers (as defined in the Notice of Special Meeting                
    of Stockholders) (such proposal collectively, the "Merger                
    Proposal").                      
  2.    To approve the adjournment of the Special Meeting, if       Management   Split   Split  
    necessary or appropriate, to solicit additional proxies, in                
    the event that there are insufficient votes at the time of                  
    the Special Meeting to approve the Merger Proposal.                  
                           
  NEW MOUNTAIN FINANCE CORPORATION                      
  Security 647551100               Meeting Type   Annual    
  Ticker Symbol NMFC                          Meeting Date   18-Apr-2023  
  ISIN US6475511001               Agenda   935773552 - Management  
  Record Date 21-Feb-2023               Holding Recon Date   21-Feb-2023  
  City / Country   / United           Vote Deadline Date   17-Apr-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Steven B. Klinsky           Split   Split  
    2 Daniel B. Hébert             Split   Split  
    3 Rome G. Arnold III           Split   Split  
  2.    To ratify the appointment of Deloitte & Touche LLP to       Management   Split   Split  
    serve as New Mountain Finance Corporation's                  
    independent registered public accounting firm for the                  
    fiscal year ending December 31, 2023.                  
                           
  AGNC INVESTMENT CORP.                        
  Security 00123Q104               Meeting Type   Annual    
  Ticker Symbol AGNC                          Meeting Date   20-Apr-2023  
  ISIN US00123Q1040               Agenda   935775645 - Management  
  Record Date 24-Feb-2023               Holding Recon Date   24-Feb-2023  
  City / Country   / United           Vote Deadline Date   19-Apr-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director: Donna J. Blank         Management   Split   Split  
  1b.   Election of Director: Morris A. Davis         Management   Split   Split  
  1c.   Election of Director: Peter J. Federico       Management   Split   Split  
  1d.   Election of Director: John D. Fisk         Management   Split   Split  
  1e.   Election of Director: Andrew A. Johnson, Jr.       Management   Split   Split  
  1f.   Election of Director: Gary D. Kain         Management   Split   Split  
  1g.   Election of Director: Prue B. Larocca         Management   Split   Split  
  1h.   Election of Director: Paul E. Mullings       Management   Split   Split  
  1i.   Election of Director: Frances R. Spark       Management   Split   Split  
  2.    Advisory vote to approve the compensation of our named     Management   Split   Split  
    executive officers.                      
  3.    Advisory vote on the frequency of future advisory votes       Management   Split   Split  
    on executive compensation.                    
  4.    Ratification of appointment of Ernst & Young LLP as our     Management   Split   Split  
    independent public accountant for the year ending                  
    December 31, 2023.                    
  5a.   Approve amendments to our Amended and Restated       Management   Split   Split  
    Certificate of Incorporation eliminating supermajority                  
    voting requirements for stockholders to: amend certain                
    provisions of our Amended and Restated Certificate of                
    Incorporation.                      
  5b.   Approve amendments to our Amended and Restated       Management   Split   Split  
    Certificate of Incorporation eliminating supermajority                  
    voting requirements for stockholders to: amend our                  
    Fourth Amended and Restated Bylaws.                  
  5c.   Approve amendments to our Amended and Restated       Management   Split   Split  
    Certificate of Incorporation eliminating supermajority                  
    voting requirements for stockholders to: remove directors.                
                           
  PHENIXFIN CORPORATION                        
  Security 71742W103               Meeting Type   Annual    
  Ticker Symbol PFX                           Meeting Date   27-Apr-2023  
  ISIN US71742W1036               Agenda   935779516 - Management  
  Record Date 02-Mar-2023               Holding Recon Date   02-Mar-2023  
  City / Country   / United           Vote Deadline Date   26-Apr-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director to hold office for a term of three       Management   Split   Split  
    years: Karin Hirtler-Garvey                    
  1b.   Election of Director to hold office for a term of three       Management   Split   Split  
    years: Lowell W. Robinson                    
  2.    To ratify the appointment of KPMG LLP to serve as the       Management   Split   Split  
    Company's independent registered public accounting firm                
    for the fiscal year ending September 30, 2023.                  
  3.    To provide an advisory vote on executive compensation.     Management   Split   Split  
                           
  TRIPLEPOINT VENTURE GROWTH BDC CORP.                      
  Security 89677Y100               Meeting Type   Annual    
  Ticker Symbol TPVG                          Meeting Date   27-Apr-2023  
  ISIN US89677Y1001               Agenda   935781408 - Management  
  Record Date 08-Mar-2023               Holding Recon Date   08-Mar-2023  
  City / Country   / United           Vote Deadline Date   26-Apr-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class III Director to serve until next Annual       Management   Split   Split  
    Meeting 2026: James P. Labe                    
  1b.   Election of Class III Director to serve until next Annual       Management   Split   Split  
    Meeting 2026: Cynthia M. Fornelli                    
  1c.   Election of Class III Director to serve until next Annual       Management   Split   Split  
    Meeting 2026: Katherine J. Park                    
  2.    To ratify the selection of Deloitte & Touche LLP to serve     Management   Split   Split  
    as the Company's independent registered public                  
    accounting firm for the fiscal year ending December 31,                
    2023.                      
                           
  MAIN STREET CAPITAL CORPORATION                      
  Security 56035L104               Meeting Type   Annual    
  Ticker Symbol MAIN                          Meeting Date   01-May-2023  
  ISIN US56035L1044               Agenda   935779643 - Management  
  Record Date 28-Feb-2023               Holding Recon Date   28-Feb-2023  
  City / Country   / United           Vote Deadline Date   28-Apr-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.1   Election of Director: J. Kevin Griffin         Management   Split   Split  
  1.2   Election of Director: John E. Jackson       Management   Split   Split  
  1.3   Election of Director: Brian E. Lane         Management   Split   Split  
  1.4   Election of Director: Kay Matthews         Management   Split   Split  
  1.5   Election of Director: Dunia A. Shive         Management   Split   Split  
  1.6   Election of Director: Stephen B. Solcher       Management   Split   Split  
  1.7   Election of Director: Vincent D. Foster       Management   Split   Split  
  1.8   Election of Director: Dwayne L. Hyzak       Management   Split   Split  
  2.    Proposal to ratify our appointment of Grant Thornton LLP     Management   Split   Split  
    as our independent registered public accounting firm for                
    the year ending December 31, 2023.                  
  3.    Advisory non-binding approval of executive       Management   Split   Split  
    compensation.                      
  4.    Advisory non-binding approval of frequency of future       Management   Split   Split  
    advisory votes on executive compensation.                  
  5.    Proposal to approve an amendment to our Articles of       Management   Split   Split  
    Amendment and Restatement to allow our stockholders                
    to amend our bylaws.                    
                           
  BARINGS BDC, INC.                        
  Security 06759L103               Meeting Type   Annual    
  Ticker Symbol BBDC                          Meeting Date   04-May-2023  
  ISIN US06759L1035               Agenda   935787183 - Management  
  Record Date 06-Mar-2023               Holding Recon Date   06-Mar-2023  
  City / Country   / United           Vote Deadline Date   03-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class II Director who will serve until 2026       Management   Split   Split  
    Annual Meeting: Steve Byers                    
  1b.   Election of Class II Director who will serve until 2026       Management   Split   Split  
    Annual Meeting: Valerie Lancaster-Beal                  
  1c.   Election of Class II Director who will serve until 2026       Management   Split   Split  
    Annual Meeting: John A. Switzer                    
  2.    To authorize the Company, with subsequent approval of     Management   Split   Split  
    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).                      
                           
  BERKSHIRE HATHAWAY INC.                        
  Security 084670702               Meeting Type   Annual    
  Ticker Symbol BRKB                          Meeting Date   06-May-2023  
  ISIN US0846707026               Agenda   935785418 - Management  
  Record Date 08-Mar-2023               Holding Recon Date   08-Mar-2023  
  City / Country / United             Vote Deadline Date   05-May-2023  
      States                    
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Warren E. Buffett             Split   Split  
    2 Charles T. Munger           Split   Split  
    3 Gregory E. Abel             Split   Split  
    4 Howard G. Buffett           Split   Split  
    5 Susan A. Buffett             Split   Split  
    6 Stephen B. Burke           Split   Split  
    7 Kenneth I. Chenault           Split   Split  
    8 Christopher C. Davis           Split   Split  
    9 Susan L. Decker             Split   Split  
    10 Charlotte Guyman           Split   Split  
    11 Ajit Jain             Split   Split  
    12 Thomas S. Murphy, Jr.           Split   Split  
    13 Ronald L. Olson             Split   Split  
    14 Wallace R. Weitz             Split   Split  
    15 Meryl B. Witmer             Split   Split  
  2.    Non-binding resolution to approve the compensation of     Management   Split   Split  
    the Company's Named Executive Officers, as described                
    in the 2023 Proxy Statement.                    
  3.    Non-binding resolution to determine the frequency       Management   Split   Split  
    (whether annual, biennial or triennial) with which                  
    shareholders of the Company shall be entitled to have an                
    advisory vote on executive compensation.                  
    Shareholder proposal regarding how the Company       Shareholder   Split   Split  
  4.    manages physical and transitional climate related risks                
    and opportunities.                      
  5.    Shareholder proposal regarding how climate related risks     Shareholder   Split   Split  
    are being governed by the Company.                  
  6.    Shareholder proposal regarding how the Company       Shareholder   Split   Split  
    intends to measure, disclose and reduce GHG emissions                
    associated with its underwriting, insuring and investment                
    activities.                      
  7.    Shareholder proposal regarding the reporting on the       Shareholder   Split   Split  
    effectiveness of the Corporation's diversity, equity and                  
    inclusion efforts.                      
  8.    Shareholder proposal regarding the adoption of a policy     Shareholder   Split   Split  
    requiring that two separate people hold the offices of the                
    Chairman and the CEO.                    
  9.    Shareholder proposal requesting that the Company avoid     Shareholder   Split   Split  
    supporting or taking a public policy position on                  
    controversial social and political issues.                  
                           
  CRESCENT CAPITAL BDC, INC.                        
  Security 225655109               Meeting Type   Annual    
  Ticker Symbol CCAP                          Meeting Date   12-May-2023  
  ISIN US2256551092               Agenda   935787551 - Management  
  Record Date 14-Mar-2023               Holding Recon Date   14-Mar-2023  
  City / Country   / United           Vote Deadline Date   11-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class II Director to serve for a three-year term     Management   Split   Split  
    expiring at the 2026 Annual Meeting: Susan Y. Lee                  
  1b.   Election of Class II Director to serve for a three-year term     Management   Split   Split  
    expiring at the 2026 Annual Meeting: Michael S. Segal                  
  2.    To ratify the selection of Ernst & Young LLP ("E&Y") as     Management   Split   Split  
    the Corporation's independent registered public                  
    accounting firm for the fiscal year ending December 31,                
    2023.                      
                           
  ANNALY CAPITAL MANAGEMENT, INC.                        
  Security 035710839               Meeting Type   Annual    
  Ticker Symbol NLY                           Meeting Date   17-May-2023  
  ISIN US0357108390               Agenda   935793807 - Management  
  Record Date 20-Mar-2023               Holding Recon Date   20-Mar-2023  
  City / Country   / United           Vote Deadline Date   16-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director: Francine J. Bovich       Management   Split   Split  
  1b.   Election of Director: David L. Finkelstein       Management   Split   Split  
  1c.   Election of Director: Thomas Hamilton       Management   Split   Split  
  1d.   Election of Director: Kathy Hopinkah Hannan       Management   Split   Split  
  1e.   Election of Director: Michael Haylon         Management   Split   Split  
  1f.   Election of Director: Martin Laguerre         Management   Split   Split  
  1g.   Election of Director: Eric A. Reeves         Management   Split   Split  
  1h.   Election of Director: John H. Schaefer       Management   Split   Split  
  1i.   Election of Director: Glenn A. Votek         Management   Split   Split  
  1j.   Election of Director: Vicki Williams         Management   Split   Split  
  2.    Advisory approval of the Company's executive       Management   Split   Split  
    compensation.                      
  3.    Advisory vote on the frequency of future advisory votes to     Management   Split   Split  
    approve the Company's executive compensation.                  
  4.    Amendment to the Company's Charter to decrease the     Management   Split   Split  
    number of authorized shares of stock.                  
  5.    Ratification of the appointment of Ernst & Young LLP as     Management   Split   Split  
    the Company's independent registered public accounting                
    firm for the fiscal year ending December 31, 2023.                  
  6.    Advisory stockholder proposal to further reduce the       Shareholder   Split   Split  
    ownership threshold to call a special meeting.                  
                           
  ARES CAPITAL CORPORATION                        
  Security 04010L103               Meeting Type   Annual    
  Ticker Symbol ARCC                          Meeting Date   17-May-2023  
  ISIN US04010L1035               Agenda   935797944 - Management  
  Record Date 15-Mar-2023               Holding Recon Date   15-Mar-2023  
  City / Country   / United           Vote Deadline Date   16-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Class I Director of the Company to serve until     Management   Split   Split  
    the 2026 Annual Meeting of Stockholders: Michael J                  
    Arougheti                      
  1b.   Election of Class I Director of the Company to serve until     Management   Split   Split  
    the 2026 Annual Meeting of Stockholders: Ann Torre                  
    Bates                      
    Election of Class I Director of the Company to serve until     Management   Split      
  1c.   the 2026 Annual Meeting of Stockholders: Steven B.               Split  
    McKeever                      
  2.    To ratify the selection of KPMG LLP as the Company's       Management   Split   Split  
    independent registered public accounting firm for the year                
    ending December 31, 2023.                    
                           
  GOLDMAN SACHS BDC, INC.                        
  Security 38147U107               Meeting Type   Annual    
  Ticker Symbol GSBD                          Meeting Date   17-May-2023  
  ISIN US38147U1079               Agenda   935816415 - Management  
  Record Date 31-Mar-2023               Holding Recon Date   31-Mar-2023  
  City / Country   / United           Vote Deadline Date   16-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.1   Election of Class III Director to serve until the 2026       Management   Split   Split  
    annual meeting of the stockholders: Ross J. Kari                  
  2.    To ratify the selection of PricewaterhouseCoopers LLP as     Management   Split   Split  
    the Company's independent registered public accounting                
    firm for the fiscal year ending December 31, 2023.                  
                           
  MARKEL CORPORATION                        
  Security 570535104               Meeting Type   Annual    
  Ticker Symbol MKL                           Meeting Date   17-May-2023  
  ISIN US5705351048               Agenda   935791586 - Management  
  Record Date 09-Mar-2023               Holding Recon Date   09-Mar-2023  
  City / Country   / United           Vote Deadline Date   16-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director: Mark M. Besca         Management   Split   Split  
  1b.   Election of Director: K. Bruce Connell       Management   Split   Split  
  1c.   Election of Director: Lawrence A. Cunningham       Management   Split   Split  
  1d.   Election of Director: Thomas S. Gayner       Management   Split   Split  
  1e.   Election of Director: Greta J. Harris         Management   Split   Split  
  1f.   Election of Director: Morgan E. Housel       Management   Split   Split  
  1g.   Election of Director: Diane Leopold         Management   Split   Split  
  1h.   Election of Director: Anthony F. Markel       Management   Split   Split  
  1i.   Election of Director: Steven A. Markel       Management   Split   Split  
  1j.   Election of Director: Harold L. Morrison, Jr.       Management   Split   Split  
  1k.   Election of Director: Michael O'Reilly         Management   Split   Split  
  1l.   Election of Director: A. Lynne Puckett       Management   Split   Split  
  2.    Advisory vote on approval of executive compensation.       Management   Split   Split  
  3.    Advisory vote on frequency of advisory votes on approval     Management   Split   Split  
    of executive compensation.                    
  4.    Ratify the selection of KPMG LLP by the Audit Committee     Management   Split   Split  
    of the Board of Directors as the Company's independent                
    registered public accounting firm for the year ending                  
    December 31, 2023.                    
                           
  SIXTH STREET SPECIALTY LENDING, INC.                      
  Security 83012A109               Meeting Type   Annual    
  Ticker Symbol TSLX                          Meeting Date   25-May-2023  
  ISIN US83012A1097               Agenda   935817392 - Management  
  Record Date 31-Mar-2023               Holding Recon Date   31-Mar-2023  
  City / Country   / United           Vote Deadline Date   24-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Joshua Easterly             Split   Split  
    2 Michael Fishman           Split   Split  
    3 Hurley Doddy             Split   Split  
  2.    To ratify the selection of KPMG LLP as the Company's       Management   Split   Split  
    independent registered public accounting firm for the                  
    fiscal year ending December 31, 2023.                  
                           
  SIXTH STREET SPECIALTY LENDING, INC.                      
  Security 83012A109               Meeting Type   Special  
  Ticker Symbol TSLX                          Meeting Date   25-May-2023  
  ISIN US83012A1097               Agenda   935825109 - Management  
  Record Date 31-Mar-2023               Holding Recon Date   31-Mar-2023  
  City / Country   / United           Vote Deadline Date   24-May-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    To approve a proposal to authorize the Company to sell     Management   Split   Split  
    or otherwise issue shares of its common stock at a price                
    below its then-current net asset value per share in one or                
    more offerings, in each case subject to the approval of its                
    Board of Directors and subject to the conditions set forth                
    in the accompanying proxy statement.                  
                           
  OFS CAPITAL CORPORATION                        
  Security 67103B100               Meeting Type   Annual    
  Ticker Symbol OFS                           Meeting Date   07-Jun-2023  
  ISIN US67103B1008               Agenda   935834184 - Management  
  Record Date 12-Apr-2023               Holding Recon Date   12-Apr-2023  
  City / Counry   / United           Vote Deadline Date   06-Jun-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Romita Shetty             Split   Split  
    2 Bilal Rashid             Split   Split  
  2.    The ratification of the selection of KPMG LLP as our       Management   Split   Split  
    independent registered public accounting firm for the year                
    ending December 31, 2023.                    
                           
  OWL ROCK CAPITAL CORPORATION                        
  Security 69121K104               Meeting Type   Annual    
  Ticker Symbol ORCC                          Meeting Date   21-Jun-2023  
  ISIN US69121K1043               Agenda   935812164 - Management  
  Record Date 24-Mar-2023               Holding Recon Date   24-Mar-2023  
  City / Country   / United           Vote Deadline Date   20-Jun-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director for three-year terms expiring at the       Management   Split   Split  
    2026 annual meeting: Eric Kaye                    
  1b.   Election of Director for three-year terms expiring at the       Management   Split   Split  
    2026 annual meeting: Victor Woolridge                  
  2.    To ratify the appointment of KPMG LLP as the       Management   Split   Split  
    Company's independent registered public accounting firm                
    for the fiscal year ending December 31, 2023.                  
                           
  TRINITY CAPITAL INC.                        
  Security 896442308               Meeting Type   Annual    
  Ticker Symbol TRIN                          Meeting Date   21-Jun-2023  
  ISIN US8964423086               Agenda   935850859 - Management  
  Record Date 17-Apr-2023               Holding Recon Date   17-Apr-2023  
  City / Country   / United           Vote Deadline Date   20-Jun-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1a.   Election of Director: Ronald E. Estes       Management   Split   Split  
  1b.   Election of Director: Michael E. Zacharia       Management   Split   Split  
  2.    To approve the proposed amended Articles of       Management   Split   Split  
    Amendment and Restatement to declassify the                  
    Company's Board of Directors.                    
  3.    To authorize the Company to sell or otherwise issue up to     Management   Split   Split  
    25% of then-outstanding shares at a price below then                  
    current NAV per share.                    
                           
  PORTMAN RIDGE FINANCE CORPORATION                      
  Security 73688F201               Meeting Type   Annual    
  Ticker Symbol PTMN                          Meeting Date   22-Jun-2023  
  ISIN US73688F2011               Agenda   935860393 - Management  
  Record Date 25-Apr-2023               Holding Recon Date   25-Apr-2023  
  City / Country   / United           Vote Deadline Date   21-Jun-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.    DIRECTOR           Management   Split   Split  
    1 Jennifer Kwon Chou           Split   Split  
    2 Joseph Morea             Split   Split  
    3 Robert Warshauer           Split   Split  
  2.    To ratify the selection of Deloitte & Touche LLP as the   Management   Split   Split  
    independent registered public accountant of the                
    Company for the fiscal year ending December 31, 2023.              
                           
  BLACKROCK TCP CAPITAL CORP.                        
  Security 09259E108               Meeting Type   Annual    
  Ticker Symbol TCPC                          Meeting Date   23-Jun-2023  
  ISIN US09259E1082               Agenda   935831823 - Management  
  Record Date 27-Mar-2023               Holding Recon Date   27-Mar-2023  
  City / Country   / United           Vote Deadline Date   22-Jun-2023  
        States                  
  SEDOL(s)                 Quick Code      
  Item Proposal           Proposed by   Vote   For/Against Management  
  1.                Management   Split   Split  
    DIRECTOR               Split   Split  
    1 Eric J. Draut             Split   Split  
    2 Karen L. Leets             Split   Split  
    3 Andrea L. Petro             Split   Split  
    4 M. Freddie Reiss           Split   Split  
    5 Peter E. Shwab             Split   Split  
    6 Rajneesh Vig                    
  2.    To consider and vote on a proposal to renew the       Management   Split   Split  
    Company's authorization, with approval of its Board of                  
    Directors, to sell shares of the Company's common stock                
    (for up to the next 12 months) at a price or prices below                
    its then current net asset value per share in one or more                
    offerings, subject to certain limitations set forth in the                  
    proxy statement (including, without limitation, that the                  
    number of shares sold on any given date does not                  
    exceed 25% of the Company's then outstanding common                
    stock immediately prior to such sale).                  
                           
                           

 

 

 

 

 

 

 

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) FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND  
         
By (Signature and Title)* /s/ James M. Dykas    
  James M. Dykas, President and Chief Executive Officer    
         
Date July 27, 2023      

 

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

 

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