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
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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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
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: November 30
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Date of reporting period: July 1, 2012 - June 30, 2013
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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
COMPANY NAME MEETING DATE CUSIP TICKER
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APOLLO INVESTMENT 5-SEP-12 03761U-106 AINV
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) JOHN J. HANNAN Issuer
Echo Voted -- For For 1.2) JAMES C. ZELTER Issuer
Echo Voted -- For 1.3) ASHOK N. BAKHRU
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP TO Issuer
SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDING MARCH 31, 2013.
Echo Voted -- For For 3) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer
FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF
DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE NEXT
12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE
PER SHARE SUBJECT TO CERTAIN LIMITATIONS DESCRIBED HEREIN, ALL
AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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SARATOGA INVESTMENT 28-SEP-12 80349A-208 SAR
CORP.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) CHRISTIAN L. OBERBECK Issuer
Echo Voted -- For For 2) APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL OR Issuer
OTHERWISE ISSUE THE COMPANY'S COMMON STOCK AT AN OFFERING
PRICE PER SHARE TO INVESTORS THAT IS NOT LESS THAN 85% OF THE
COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE.
COMPANY NAME MEETING DATE CUSIP TICKER
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PROSPECT CAPITAL 7-DEC-12 74348T-102 PSEC
CORPORATION
VOTE FOR / AGAINST PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
MANAGEMENT SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) ANDREW C. COOPER Issuer
Echo Voted -- For For 1.2) M. GRIER ELIASEK Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF BDO USA, LLP TO SERVE AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE FISCAL YEAR ENDING JUNE 30, 2013.
Echo Voted -- For For 3) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer
DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE
NEXT 12 MONTHS) AT A PRICE OR PRICES BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS
SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE ACCOMPANYING
PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY
STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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FULL CIRCLE CAPITAL 1-FEB-13 359671-104 FULL
CORPORATION
VOTE FOR / AGAINST PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
MANAGEMENT SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) JOHN E. STUART Issuer
Echo Voted -- For For 2) Ratify the selection of Rothstein, Kass & Company,
P.C. to Issuer serve as the independent registered public
accounting firm.
Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH THE Issuer
APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS
COMMON STOCK AT A PRICE OR PRICES BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS,
SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY
STATEMENT
COMPANY NAME MEETING DATE CUSIP TICKER
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GOLUB CAPITAL BDC, INC. 5-FEB-13 38173M-102 GBDC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) LAWRENCE E. GOLUB Issuer
Echo Voted -- For For 1.2) WILLIAM M. WEBSTER IV Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP TO SERVE AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE FISCAL YEAR ENDING SEPTEMBER 30, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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PENNANTPARK FLOATING 5-FEB-13 70806A-106 PFLT
RATE CAP
VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) ADAM K. BERNSTEIN Issuer
Echo Voted -- For For 1.2) JEFFREY FLUG Issuer
Echo Voted -- For For 1.3) MARSHALL BROZOST Issuer
Echo Voted -- For For 1.4) SAMUEL L. KATZ Issuer
Echo Voted -- For For 1) TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE FISCAL YEAR ENDING SEPTEMBER 30, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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MEDLEY CAPITAL CORP. 12-FEB-13 58503F-106 MCC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) SETH TAUBE Issuer
Echo Voted -- For For 1.2) ARTHUR S. AINSBERG Issuer
Echo Voted -- For For 2) THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS Issuer
THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING
SEPTEMBER 30, 2013.
Echo Voted -- For For 3) TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, Issuer
WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF
ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL
CORPORATION'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR
MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN
THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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GLADSTONE CAPITAL 14-FEB-13 376535-100 GLAD
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) DAVID GLADSTONE Issuer
Echo Voted -- For For 1.2) PAUL ADELGREN Issuer
Echo Voted -- For For 1.3) JOHN OUTLAND Issuer
Echo Voted -- For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE US, WITH THE APPROVAL OF Issuer
OUR BOARD OF DIRECTORS, TO ISSUE AND SELL SHARES OF OUR COMMON
STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN
CURRENT NET ASSET VALUE PER SHARE, ALL AS MORE FULLY
DESCRIBED IN THE PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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PENNANTPARK FLOATING 26-FEB-13 70806A-106 PFLT
RATE CAP
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer
FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF
THE COMPANY'S BOARD OF DIRECTORS, TO SELL SHARES OF THE
COMPANY'S COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A
PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE JOINT
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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PENNANTPARK INVESTMENT 26-FEB-13 708062-104 PNNT
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) ARTHUR H. PENN Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE FISCAL YEAR ENDING SEPTEMBER 30, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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PENNANTPARK INVESTMENT 26-FEB-13 708062-104 PNNT
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer
FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF
THE COMPANY'S BOARD OF DIRECTORS, TO SELL SHARES OF THE
COMPANY'S COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A
PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE JOINT
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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FIFTH STREET FINANCE 14-MAR-13 31678A-103 FSC
CORP.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) RICHARD P. DUTKIEWICZ Issuer
Echo Voted -- For For 1.2) FRANK C. MEYER Issuer
Echo Voted -- For For 1.3) DOUGLAS F. RAY Issuer
Echo Voted -- For For 2) TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO Issuer
SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING
SEPTEMBER 30, 2013.
Echo Voted -- For For 3) TO APPROVE AN AMENDMENT TO THE RESTATED CERTIFICATE OF Issuer
INCORPORATION OF THE COMPANY TO INCREASE THE NUMBER OF
AUTHORIZED SHARES OF COMMON STOCK.
COMPANY NAME MEETING DATE CUSIP TICKER
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MVC CAPITAL, INC. 3-APR-13 553829-102 MVC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) EMILIO DOMINIANNI Issuer
Echo Voted -- For For 1.2) PHILLIP GOLDSTEIN Issuer
Echo Voted -- For For 1.3) GERALD HELLERMAN Issuer
Echo Voted -- For For 1.4) WARREN HOLTSBERG Issuer
Echo Voted -- For For 1.5) ROBERT KNAPP Issuer
Echo Voted -- For For 1.6) WILLIAM TAYLOR Issuer
Echo Voted -- For For 1.7) MICHAEL TOKARZ Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE FUND'S Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR
2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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MEDLEY CAPITAL CORP. 4-APR-13 58503F-106 MCC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) SETH TAUBE Issuer
Echo Voted -- For For 1.2) ARTHUR S. AINSBERG Issuer
Echo Voted -- For For 2) THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS THE Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY
CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30,
2013.
Echo Voted -- For For 3) TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, Issuer
WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES
OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL
CORPORATION'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE
OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH
IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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AMERICAN CAPITAL, LTD. 26-APR-13 02503Y-103 ACAS
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) MARY C. BASKIN Issuer
Echo Voted -- For For 1.2) NEIL M. HAHL Issuer
Echo Voted -- For For 1.3) PHILIP R. HARPER Issuer
Echo Voted -- For For 1.4) JOHN A. KOSKINEN Issuer
Echo Voted -- For For 1.5) STAN LUNDINE Issuer
Echo Voted -- For For 1.6) KENNETH D. PETERSON Issuer
Echo Voted -- For For 1.7) ALVIN N. PURYEAR Issuer
Echo Voted -- For For 1.8) MALON WILKUS Issuer
Echo Voted -- For For 2) RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP TO Issuer
SERVE AS OUR INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING
DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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SOLAR CAPITAL LTD. 30-APR-13 83413U-100 SLRC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
For For 1.1) DAVID S. WACHTER Issuer
For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE SOLAR CAPITAL LTD. TO Issuer
SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES
BELOW SOLAR CAPITAL LTD'.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
PERTAINING THERETO.
COMPANY NAME MEETING DATE CUSIP TICKER
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SOLAR SENIOR CAPITAL 30-APR-13 83416M-105 SUNS
LTD.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
For For 1.1) BRUCE SPOHLER Issuer
For For 1.2) STEVEN HOCHBERG Issuer
For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE SOLAR SENIOR CAPITAL Issuer
LTD. TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES
BELOW SOLAR SENIOR CAPITAL LTD.'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
PERTAINING THERETO.
COMPANY NAME MEETING DATE CUSIP TICKER
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TCP CAPITAL CORP. 1-MAY-13 87238Q-103 TCPC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
For For 1.1) ERIC J. DRAUT Issuer
For For 1.2) FRANKLIN R. JOHNSON Issuer
For For 1.3) PETER E. SCHWAB Issuer
For For 1.4) HOWARD M. LEVKOWITZ Issuer
For For 1.5) RAJNEESH VIG Issuer
For For 1.6) ERIC J. DRAUT - B Issuer
For For 1.7) FRANKLIN R. JOHNSON - B Issuer
For For 1.8) PETER E. SCHWAB - B Issuer
For For 1.9) HOWARD M. LEVKOWITZ- B Issuer
For For 1.10) RAJNEESH VIG - B Issuer
For For 2) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer
DIRECTORS, TO SELL SHARES OF COMPANY'S COMMON STOCK 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, ALL AS MORE
FULLY DESCRIBED IN THE PROXY STATEMENT.
For For 3) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer
DIRECTORS, TO ISSUE WARRANTS, OPTIONS AND OTHER RIGHTS TO
SUBSCRIBE FOR, CONVERT TO, OR PURCHASE SHARES OF THE COMPANY'S
COMMON STOCK IN ONE OR MORE OFFERINGS.
COMPANY NAME MEETING DATE CUSIP TICKER
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KCAP FINANCIAL, INC. 6-MAY-13 48668E-101 KCAP
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) C. TURNEY STEVENS Issuer
Echo Voted -- For For 1.2) JOHN A. WARD III Issuer
Echo Voted -- For For 1.3) DEAN C. KEHLER Issuer
Echo Voted -- For For 2) TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PAID TO Issuer
THE COMPANY'S NAMED EXECUTIVE OFFICERS.
Echo Voted -- For For 3) TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTANT OF THE COMPANY FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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NEW MOUNTAIN FINANCE 6-MAY-13 647551-100 NMFC
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) ROBERT A. HAMWEE Issuer
Echo Voted -- For For 1.2) ALFRED F. HURLEY, JR. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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TRIANGLE CAPITAL 8-MAY-13 895848-109 TCAP
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1.1) Elect Garland Tucker, III (Chairman, CEO, & President) as Issuer
director
Echo Voted -- For For 1.2) Elect Brent Burgess as director Issuer
Echo Voted -- For For 1.3) Elect Stephen Lilly as director Issuer
Echo Voted -- For For 1.4) Elect W. McComb Dunwoody as director Issuer
Echo Voted -- For For 1.5) Elect Mark Gambill as director Issuer
Echo Voted -- For For 1.6) Elect Benjamin Goldstein as director Issuer
Echo Voted -- For For 1.7) Elect Simon Rich, Jr. as director Issuer
Echo Voted -- For For 1.8) Elect Sherwood Smith, Jr. as director Issuer
Echo Voted -- For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, PURSUANT TO Issuer
APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS
COMMON STOCK OR WARRANTS, OPTIONS OR RIGHTS TO ACQUIRE ITS
COMMON STOCK DURING THE NEXT YEAR AT A PRICE BELOW THE
COMPANY'S THEN CURRENT NET ASSET VALUE (I.E., BOOK VALUE)
PER SHARE, SUBJECT TO CERTAIN CONDITIONS.
Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AMEND THE AMOUNT OF THE ANNUAL Issuer
GRANT OF SHARES OF OUR COMMON STOCK TO NON- EMPLOYEE DIRECTORS
UNDER THE EQUITY INCENTIVE PLAN.
Echo Voted -- For For 4) TO APPROVE THE BUSINESS CRITERIA FOR AWARDS PURSUANT TO Issuer
SECTION 162(M) OF THE INTERNAL REVENUE CODE OF 1986.
COMPANY NAME MEETING DATE CUSIP TICKER
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BLACKROCK KELSO CAPITAL 9-MAY-13 092533-108 BKCC
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1) TO AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH APPROVAL OF Issuer
ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF
ITS COMMON STOCK AT A PRICE BELOW THE COMPANY'S THEN CURRENT
NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, ALL AS
MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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BLACKROCK KELSO CAPITAL 9-MAY-13 092533-108 BKCC
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1.1) JAMES R. MAHER Issuer
Echo Voted -- For For 1.2) MAUREEN K. USIFER Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP TO SERVE Issuer
AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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CYS INVESTMENTS, INC. 10-MAY-13 12673A-108 CYS
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1.1) Elect Kevin Grant as director Issuer
Echo Voted -- For For 1.2) Elect Tanya Beder as director Issuer
Echo Voted -- For For 1.3) Elect Douglas Crocker, II as director Issuer
Echo Voted -- For For 1.4) Elect Jeffrey Hughes as director Issuer
Echo Voted -- For For 1.5) Elect Stephen Jonas as director Issuer
Echo Voted -- For For 1.6) Elect R.A. Redlingshafer as director Issuer
Echo Voted -- For For 1.7) Elect James Stern as director Issuer
Echo Voted -- For For 1.8) Elect David Tyson, Ph.D as director Issuer
Echo Voted -- For For 2) APPROVAL OF THE COMPANY'S 2013 EQUITY INCENTIVE PLAN Issuer
Echo Voted -- For For 3) ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S Issuer
NAMED EXECUTIVE OFFICERS
Echo Voted -- For For 4) TO CONSIDER AND ACT UPON A PROPOSAL TO RATIFY, CONFIRM AND Issuer
APPROVE THE SELECTION OF DELOITTE & TOUCHE LLP AS OUR
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2013
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
NGP CAPITAL RESOURCES 15-MAY-13 62912R-107 NGPC
COMPANY
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
1) Elect Directors:
Echo Voted -- For For 1.1) KENNETH A. HERSH Issuer
Echo Voted -- For For 1.2) WILLIAM K. WHITE Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE FISCAL YEAR ENDING DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
HATTERAS FINANCIAL 21-MAY-13 41902R-103 HTS
CORP.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1.1) Elect Michael Hough (Chairman & CEO) as director Issuer
Echo Voted -- For For 1.2) Elect Benjamin Hough (President & COO) as director Issuer
Echo Voted -- For For 1.3) Elect David Berson as director Issuer
Echo Voted -- For For 1.4) Elect Ira Kawaller as director Issuer
Echo Voted -- For For 1.5) Elect Jeffrey Miller as director Issuer
Echo Voted -- For For 1.6) Elect Thomas Wren as director Issuer
Echo Voted -- For For 2) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
Echo Voted -- For For 3) TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. Issuer
Echo Voted -- Against Against 4) SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING IN DIRECTOR Shareholder
ELECTIONS.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
ANNALY CAPITAL 23-MAY-13 035710-409 NLY
MANAGEMENT, INC.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1) KEVIN P. BRADY Issuer
Echo Voted -- For For 2) E. WAYNE NORDBERG Issuer
Echo Voted -- For For 3) KEVIN G. KEYES Issuer
Echo Voted -- For For 4) JOHN H. SCHAEFER Issuer
Echo Voted -- For For 5) THE MANAGEMENT EXTERNALIZATION PROPOSAL TO APPROVE OUR Issuer
ENTERING INTO A MANAGEMENT AGREEMENT WITH THE MANAGER.
Echo Voted -- For For 6) THE PROPOSAL TO APPROVE A NON-BINDING ADVISORY RESOLUTION Issuer
ON EXECUTIVE COMPENSATION.
Echo Voted -- For For 7) RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY
FOR THE 2013 FISCAL YEAR.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
COMPASS DIVERSIFIED 29-MAY-13 20451Q-104 CODI
HOLDINGS
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
For For 1.1) Elect HAROLD S. EDWARDS as director Issuer
For For 1.2) Elect MARK H. LAZARUS as director Issuer
For For 2) TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR Issuer
EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT.
For For 4) TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS Issuer
INDEPENDENT AUDITOR.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
HERCULES TECHNOLOGY 29-MAY-13 427096-508 HTGC
GROWTH CAPITAL, INC.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
For For 1) MANUEL A. HENRIQUEZ Issuer
For For 2) Ratify the selection of PwC (PricewaterhouseCoopers LLP) as Issuer
the independent registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of named Issuer
executive officers.
For For 4) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH THE Issuer
APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR
OTHERWISE ISSUE UP TO 20% OF THE COMPANY'S OUTSTANDING
COMMON STOCK AT A NET PRICE BELOW THE COMPANY'S THEN
CURRENT NET ASSET VALUE PER SHARE.
For For 5) AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE BOARD, TO Issuer
OFFER AND ISSUE DEBT WITH WARRANTS OR DEBT CONVERTIBLE
INTO SHARES OF ITS COMMON STOCK AT AN EXERCISE OR
CONVERSION PRICE THAT, AT THE TIME SUCH WARRANTS OR
CONVERTIBLE DEBT ARE ISSUED, WILL NOT BE LESS THAN THE
MARKET VALUE PER SHARE BUT MAY BE BELOW THE COMPANY'S
THEN CURRENT NET ASSET VALUE PER SHARE.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
MCG CAPITAL CORPORATION 29-MAY-13 58047P-107 MCGC
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
For For 1) KIM D. KELLY Issuer
For For 2) RICHARD W. NEU Issuer
For For 3) THE RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF Issuer
OUR BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING
DECEMBER 31, 2013.
For For 4) ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED Issuer
EXECUTIVE OFFICERS.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
ARES CAPITAL 4-JUN-13 04010L-103 ARCC
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer
EXPIRING IN 2016: FRANK E. O'BRYAN
Echo Voted -- For For 2) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer
EXPIRING IN 2016: ANTONY P. RESSLER
Echo Voted -- For For 3) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer
EXPIRING IN 2016: ERIC B. SIEGEL
Echo Voted -- For For 4) TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR
ENDING DECEMBER 31, 2013.
Echo Voted -- For For 5) TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD Issuer
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 2013 ANNUAL MEETING OF STOCKHOLDERS
(INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES
ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN OUTSTANDING
COMMON STOCK).
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
OFC CAPITAL CORPORATION 4-JUN-13 67103B-100 OFS
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1) ELAINE E. HEALY Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP AS THE COMPANY'S Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
FIDUS INVESTMENT CORP. 5-JUN-13 316500-107 FDUS
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1) JOHN A. MAZZARINO Issuer
Echo Voted -- For For 2) THOMAS C. LAUER Issuer
Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, PURSUANT Issuer
TO APPROVAL OF THE BOARD OF DIRECTORS OF THE COMPANY, TO SELL
OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK DURING THE NEXT
YEAR AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET
VALUE PER SHARE, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH
IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
THL CREDIT, INC. 10-JUN-13 872438-106 TCRD
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1) DAVID K. DOWNES Issuer
Echo Voted -- For For 2) NANCY HAWTHORNE Issuer
Echo Voted -- For For 3) KEITH W. HUGHES Issuer
Echo Voted -- For For 4) JAMES K. HUNT Issuer
Echo Voted -- For For 5) JOHN A. SOMMERS Issuer
Echo Voted -- For For 6) DAVID P. SOUTHWELL Issuer
Echo Voted -- For For 2) APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL OR Issuer
OTHERWISE ISSUE UP TO 25% OF THE COMPANY'S OUTSTANDING COMMON
STOCK AT A PRICE BELOW THE COMPANY'S THEN CURRENT NAV.
Echo Voted -- For For 3) APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO OFFER Issuer
AND ISSUE DEBT WITH WARRANTS OR DEBT CONVERTIBLE INTO SHARES
OF ITS COMMON STOCK AT AN EXERCISE OR CONVERSION PRICE THAT,
AT THE TIME SUCH WARRANTS OR CONVERTIBLE DEBT ARE ISSUED,
WILL NOT BE LESS THAN THE MARKET VALUE PER SHARES BUT MAY
BE BELOW THE COMPANY'S THEN CURRENT NAV.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
MAIN STREET CAPITAL 15-JUN-11 56035L-104 MAIN
CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1.1) Elect Michael Appling Jr. as director Issuer
Echo Voted -- For For 1.2) Elect Joseph Canon as director Issuer
Echo Voted -- For For 1.3) Elect Arthur French as director Issuer
Echo Voted -- For For 1.4) Elect J. Kevin Griffin as director Issuer
Echo Voted -- For For 1.5) Elect Vincent Foster (Chairman & CEO) as director Issuer
Echo Voted -- For For 1.6) Elect Todd Reppert (President & CFO) as director Issuer
Echo Voted -- For For 2) PROPOSAL TO RATIFY THE APPOINTMENT OF GRANT THORNTON, LLP Issuer
AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
YEAR ENDED DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
HORIZON TECHNOLOGY 14-JUN-13 44045A-102 HRZN
FINANCE CORPORATION
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1.1) CHRISTOPHER B. WOODWARD Issuer
Echo Voted -- For For 1.2) ROBERT D. POMEROY, JR. Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP TO SERVE AS Issuer
HORIZON TECHNOLOGY FINANCE CORPORATION'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
MEDALLION FINANCIAL 14-JUN-13 583928-106 TAXI
CORP.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1.1) MARIO M. CUOMO Issuer
Echo Voted -- For For 1.2) ANDREW M. MURSTEIN Issuer
Echo Voted -- For For 1.3) LOWELL P. WEICKER, JR. Issuer
Echo Voted -- For For 2) PROPOSAL TO RATIFY THE APPOINTMENT OF WEISERMAZARS LLP AS Issuer
MEDALLION FINANCIAL CORP.'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM
Echo Voted -- For For 3) PROPOSAL TO APPROVE A NON-BINDING ADVISORY RESOLUTION TO Issuer
APPROVE EXECUTIVE COMPENSATION
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
ARES COMMERCIAL REAL 26-JUN-13 04013V-108 ACRE
ESTATE CORP.
VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Elect Directors:
Echo Voted -- For For 1.1) JOHN B. BARTLING, JR. Issuer
Echo Voted -- For For 1.2) JEFFREY T. HINSON Issuer
Echo Voted -- For For 1.3) TODD S. SCHUSTER Issuer
Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Issuer
COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR
THE YEAR ENDING DECEMBER 31, 2013.
Echo Voted -- For For 3) TO APPROVE THE ISSUANCE OF THE COMPANY'S COMMON STOCK UPON Issuer
CONVERSION OF THE COMPANY'S 7.000% CONVERTIBLE SENIOR NOTES
DUE 2015 IF THE PAYMENT METHOD SELECTED BY THE COMPANY
REQUIRES THE ISSUANCE OF SHARES IN EXCESS OF THE NEW YORK
STOCK EXCHANGE LIMITS FOR SHARE ISSUANCES WITHOUT STOCKHOLDER
APPROVAL.
Echo Voted -- For For 4) TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE Issuer
COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS
DESCRIBED IN THE ACCOMPANYING PROXY STATEMENT.
Echo Voted -- 1 year None 5) TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE FREQUENCY Issuer
WITH WHICH FUTURE STOCKHOLDER ADVISORY VOTES ON THE
COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS WILL
BE HELD.
COMPANY NAME MEETING DATE CUSIP TICKER
------------------------------ -------------- -------------------------------------------------------------- ----------------------
HORIZON TECHNOLOGY 28-JUN-13 44045A-102 HRZN
FINANCE CORPORATION
VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR
FOR / AGAINST SECURITY HOLDER
Echo Voted -- For For 1) TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD Issuer
OF DIRECTORS, IN ONE OR MORE OFFERINGS, TO SELL SHARES OF ITS
COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A PRICE OR PRICES
BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN
ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET
FORTH IN THE PROXY STATEMENT.
SIGNATURES
[See General Instruction F]
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/ Mark R. Bradley
-----------------------------------
Mark R. Bradley, President
Date July 22, 2013
-------------------------
* Print the name and title of each signing officer under his or her signature.