# EDGAR Filing Document

**Accession Number:** 0001392994
**File Stem:** 0001445546-25-005144
**Filing Date:** 2025-7
**Character Count:** 86273
**Document Hash:** a3fcf559b0b31668cbcdfa823579d576
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001445546-25-005144.hdr.sgml**: 20250729

**ACCESSION NUMBER**: 0001445546-25-005144

**CONFORMED SUBMISSION TYPE**: N-PX

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250630

**FILED AS OF DATE**: 20250729

**DATE AS OF CHANGE**: 20250729

**EFFECTIVENESS DATE**: 20250729

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
- **CENTRAL INDEX KEY:** 0001392994

**ORGANIZATION NAME:**
- **EIN:** 061810845
- **FISCAL YEAR END:** 1130

**FILING VALUES:**
- **FORM TYPE:** N-PX
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-22039
- **FILM NUMBER:** 251163110

**BUSINESS ADDRESS:**
- **STREET 1:** 120 EAST LIBERTY DRIVE, SUITE 400
- **CITY:** WHEATON
- **STATE:** IL
- **ZIP:** 60187
- **BUSINESS PHONE:** 630-765-8000

**MAIL ADDRESS:**
- **STREET 1:** 120 EAST LIBERTY DRIVE, SUITE 400
- **CITY:** WHEATON
- **STATE:** IL
- **ZIP:** 60187

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST TRUST/GALLATIN SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND
- **DATE OF NAME CHANGE:** 20070320

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIRST TRUST/GALLATIN SPECIALTY FINANCE FUND
- **DATE OF NAME CHANGE:** 20070313

## FORM N-PX
### ANNUAL REPORT OF PROXY VOTING RECORD

## N-PX: Filer Information

**Filer CIK:** 0001392994

**Date of Report:** 06/30/2025

**Are you a Registered Management Investment Company or an Institutional Manager?:** Registered Management Investment Company

**Is this a LIVE or TEST Filing?:** LIVE

**Is this an electronic copy of an official filing submitted in paper format?:** [ ]

### Submission Contact Information
_Not provided in this filing._

### Notification Information
**Notify via Filing Website only?:** [ ]

## N-PX: Cover Page

**Name of reporting person:** FIRST TRUST SPECIALTY FINANCE  FINANCIAL OPPORTUNITIES FUND

**Address:** 120 EAST LIBERTY DRIVE, SUITE 400, Wheaton, IL 60187

**Telephone number:** 630-765-8000

**Name of agent for service:** Scott Jardine

**Agent Address:** c/o First Trust, Wheaton, IL 60187

**Reporting Period:** Report for the year ended 06/30/2025

**SEC File Number:** 811-22039

**CRD Number (if any):** —

**Other SEC File Number (if any):** —

**LEI (if any):** —

**Report Type (check only one):**

Institutional Manager.

- [ ] Institutional Manager Voting Report

- [ ] Institutional Manager Notice Report

- [ ] Institutional Manager Combination Report

Registered Management Investment Company.

- [x] Fund Voting Report

- [ ] Fund Notice Report

**Do you wish to provide explanatory information pursuant to Special Instruction B.4?:**

- [x] No

- [ ] Yes

**Additional information:** —

## N-PX: Summary - Included Managers

**Number of Included Institutional Managers:** 1

**Included Institutional Managers:** —

## FORM N-PX PROXY VOTING RECORD

| NAME OF ISSUER                          | CUSIP     | MEETING DATE   | VOTE DESCRIPTION                                                                                                                                                                                                                                                                                                                                                                                             | VOTE CATEGORY                                         |   SHARES VOTED |   SHARES ON LOAN | HOW VOTED   |   SHARES VOTED FOR OR AGAINST MANAGEMENT | FOR OR AGAINST MANAGEMENT   | OTHER INFO   |
|:---|:---|:---|:---|:---|---:|---:|:---|---:|:---|:---|
| ARES CAPITAL CORPORATION                | 04010L103 | 05/12/2025     | Election of Class III Director of the Company to serve until the 2028 Annual Meeting of Stockholders and until his successor is duly elected and qualifies: Daniel G. Kelly, Jr.                                                                                                                                                                                                                             | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  42304   | FOR                         |  |
| ARES CAPITAL CORPORATION                | 04010L103 | 05/12/2025     | Election of Class III Director of the Company to serve until the 2028 Annual Meeting of Stockholders and until his successor is duly elected and qualifies: Eric B. Siegel                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  41509   | FOR                         |  |
| ARES CAPITAL CORPORATION                | 04010L103 | 05/12/2025     | Election of Class III Director of the Company to serve until the 2028 Annual Meeting of Stockholders and until his successor is duly elected and qualifies: R. Kipp deVeer                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  57887   | FOR                         |  |
| ARES CAPITAL CORPORATION                | 04010L103 | 05/12/2025     | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025.                                                                                                                                                                                                                                                                    | AUDIT-RELATED                                         |          60000 |                0 | FOR         |                                  57289   | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Sharon L. Allen                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9521   | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Jos? (Joe) E. Almeida                                                                                                                                                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9828.8 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Pierre J.P. de Weck                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9605.3 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Arnold W. Donald                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9426.3 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Linda P. Hudson                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9695.4 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Monica C. Lozano                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9372.4 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Maria N. Martinez                                                                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9925   | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Brian T. Moynihan                                                                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9164.8 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Lionel L. Nowell III                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9606.9 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Denise L. Ramos                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9827.5 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Clayton S. Rose                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9815.5 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Michael D. White                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9669.6 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Thomas D. Woods                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9859.6 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Election of Director: Maria T. Zuber                                                                                                                                                                                                                                                                                                                                                                         | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   9327.4 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Approving our executive compensation (an advisory, non-binding "Say on Pay" resolution)                                                                                                                                                                                                                                                                                                                      | SECTION 14A SAY-ON-PAY VOTES                          |          10000 |                0 | FOR         |                                   7248.4 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Ratifying the appointment of our independent registered public accounting firm for 2025                                                                                                                                                                                                                                                                                                                      | AUDIT-RELATED                                         |          10000 |                0 | FOR         |                                   9316.4 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Amending and restating the Bank of America Corporation Equity Plan                                                                                                                                                                                                                                                                                                                                           | COMPENSATION                                          |          10000 |                0 | FOR         |                                   7450.7 | FOR                         |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Shareholder proposal requesting the nomination of more director candidates than board seats                                                                                                                                                                                                                                                                                                                  | CORPORATE GOVERNANCE                                  |          10000 |                0 | FOR         |                                    124.4 | AGAINST                     |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Shareholder proposal requesting report on board oversight of risks related to animal welfare                                                                                                                                                                                                                                                                                                                 | ENVIRONMENT OR CLIMATE                                |          10000 |                0 | FOR         |                                    571.1 | AGAINST                     |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Shareholder proposal requesting report on lobbying alignment with Bank of America's climate goals                                                                                                                                                                                                                                                                                                            | ENVIRONMENT OR CLIMATE                                |          10000 |                0 | FOR         |                                   1577.4 | AGAINST                     |  |
| BANK OF AMERICA CORPORATION             | 060505104 | 04/22/2025     | Shareholder proposal requesting disclosure of energy financing ratio                                                                                                                                                                                                                                                                                                                                         | ENVIRONMENT OR CLIMATE                                |          10000 |                0 | FOR         |                                   1488.7 | AGAINST                     |  |
| BARINGS BDC, INC.                       | 06759L103 | 07/02/2024     | Election of Class III Director who will serve until 2027 Annual Meeting: David Mihalick                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                 101264   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 07/02/2024     | Election of Class III Director who will serve until 2027 Annual Meeting: Thomas W. Okel                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                  86577   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 07/02/2024     | Election of Class III Director who will serve until 2027 Annual Meeting: Jill Olmstead                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                  86407   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 07/02/2024     | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | CAPITAL STRUCTURE                                     |         112000 |                0 | FOR         |                                  70556   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 05/08/2025     | Election of Class I Director who will serve until the 2028 Annual Meeting and until their successor has been duly elected and qualified: Eric Lloyd                                                                                                                                                                                                                                                          | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                 101993   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 05/08/2025     | Election of Class I Director who will serve until the 2028 Annual Meeting and until their successor has been duly elected and qualified: Mark F. Mulhern                                                                                                                                                                                                                                                     | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                  86491   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 05/08/2025     | Election of Class I Director who will serve until the 2028 Annual Meeting and until their successor has been duly elected and qualified: Robert Knapp                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |         112000 |                0 | FOR         |                                  87321   | FOR                         |  |
| BARINGS BDC, INC.                       | 06759L103 | 05/08/2025     | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | CAPITAL STRUCTURE                                     |         112000 |                0 | FOR         |                                  64866   | FOR                         |  |
| BLACKSTONE SECURED LENDING FUND (BXSL)  | 09261X102 | 09/12/2024     | Election of Class III Trustee: Brad Marshall                                                                                                                                                                                                                                                                                                                                                                 | DIRECTOR ELECTIONS                                    |          70500 |                0 | FOR         |                                  68172   | FOR                         |  |
| BLACKSTONE SECURED LENDING FUND (BXSL)  | 09261X102 | 09/12/2024     | Election of Class III Trustee: Tracy Collins                                                                                                                                                                                                                                                                                                                                                                 | DIRECTOR ELECTIONS                                    |          70500 |                0 | FOR         |                                  39219   | FOR                         |  |
| BLACKSTONE SECURED LENDING FUND (BXSL)  | 09261X102 | 09/12/2024     | Ratify the appointment of Deloitte  Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2024.                                                                                                                                                                                                                                                            | AUDIT-RELATED                                         |          70500 |                0 | FOR         |                                  69881   | FOR                         |  |
| BLUE OWL CAPITAL CORPORATION            | 69121K104 | 06/26/2025     | Election of Director for a three-year term, expiring at the 2028 annual meeting of shareholders and until their successors are duly elected and qualified:` Edward D'Alelio                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |         146685 |                0 | FOR         |                                  93533.7 | FOR                         |  |
| BLUE OWL CAPITAL CORPORATION            | 69121K104 | 06/26/2025     | Election of Director for a three-year term, expiring at the 2028 annual meeting of shareholders and until their successors are duly elected and qualified:` Craig W. Packer                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |         146685 |                0 | FOR         |                                 141909   | FOR                         |  |
| BLUE OWL CAPITAL CORPORATION            | 69121K104 | 06/26/2025     | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                                           | AUDIT-RELATED                                         |         146685 |                0 | FOR         |                                 143100   | FOR                         |  |
| BLUE OWL CAPITAL CORPORATION III        | 69122G102 | 01/08/2025     | To adopt the Agreement and Plan of Merger, dated as of August 7, 2024 (the "Merger Agreement"), by and among Blue Owl Capital Corporation III, Blue Owl Capital Corporation, Cardinal Merger Sub Inc., Blue Owl Credit Advisors LLC, and Blue Owl Diversified Credit Advisors LLC.                                                                                                                           | CORPORATE GOVERNANCE                                  |         150000 |                0 | FOR         |                                 149616   | FOR                         |  |
| CRESCENT CAPITAL BDC, INC.              | 225655109 | 05/16/2025     | Election of Class I Director to serve until the 2028 Annual Meeting and until their respective successors are duly elected and qualify: Kathleen S. Briscoe                                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |          17157 |                0 | FOR         |                                  16796   | FOR                         |  |
| CRESCENT CAPITAL BDC, INC.              | 225655109 | 05/16/2025     | Election of Class I Director to serve until the 2028 Annual Meeting and until their respective successors are duly elected and qualify: George G. Strong, Jr.                                                                                                                                                                                                                                                | DIRECTOR ELECTIONS                                    |          17157 |                0 | FOR         |                                  16202   | FOR                         |  |
| CRESCENT CAPITAL BDC, INC.              | 225655109 | 05/16/2025     | To ratify the selection of Ernst  Young LLP ("E") as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2025, as more particularly described in the accompanying Proxy Statement.                                                                                                                                                                       | AUDIT-RELATED                                         |          17157 |                0 | FOR         |                                  16919   | FOR                         |  |
| FS KKR CAPITAL CORP.                    | 302635206 | 08/16/2024     | DIRECTOR: Brian R. Ford                                                                                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   8630   | FOR                         |  |
| FS KKR CAPITAL CORP.                    | 302635206 | 08/16/2024     | DIRECTOR: Richard I. Goldstein                                                                                                                                                                                                                                                                                                                                                                               | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   8650   | FOR                         |  |
| FS KKR CAPITAL CORP.                    | 302635206 | 08/16/2024     | DIRECTOR: Osagie Imasogie                                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   8631   | FOR                         |  |
| FS KKR CAPITAL CORP.                    | 302635206 | 08/16/2024     | DIRECTOR: Daniel Pietrzak                                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS                                    |          10000 |                0 | FOR         |                                   8673   | FOR                         |  |
| FS KKR CAPITAL CORP.                    | 302635206 | 08/16/2024     | To approve a proposal to allow the Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales.                                                                                                                                                                                                                                          | CAPITAL STRUCTURE                                     |          10000 |                0 | FOR         |                                   7179   | FOR                         |  |
| GOLUB CAPITAL BDC, INC.                 | 38173M102 | 02/21/2025     | Election of Class III Director of the Company who will each serve until the 2028 Annual Meeting: Lawrence E. Golub                                                                                                                                                                                                                                                                                           | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  49956   | FOR                         |  |
| GOLUB CAPITAL BDC, INC.                 | 38173M102 | 02/21/2025     | Election of Class III Director of the Company who will each serve until the 2028 Annual Meeting: Lofton P. Holder                                                                                                                                                                                                                                                                                            | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  49200.6 | FOR                         |  |
| GOLUB CAPITAL BDC, INC.                 | 38173M102 | 02/21/2025     | Election of Class III Director of the Company who will each serve until the 2028 Annual Meeting: William M. Webster IV                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          60000 |                0 | FOR         |                                  44444.4 | FOR                         |  |
| GOLUB CAPITAL BDC, INC.                 | 38173M102 | 02/21/2025     | To ratify the selection of Ernst  Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2025.                                                                                                                                                                                                                                           | AUDIT-RELATED                                         |          60000 |                0 | FOR         |                                  59029.8 | FOR                         |  |
| GOLUB CAPITAL BDC, INC.                 | 38173M102 | 02/21/2025     | To approve an amendment to the Company's certificate of incorporation to increase the number of authorized shares of capital stock from 351,000,000 shares to 501,000,000 shares, consisting of 500,000,000 shares of common stock, par value $0.001 per share, and 1,000,000 shares of preferred stock, par value $0.001 per share.                                                                         | CAPITAL STRUCTURE                                     |          60000 |                0 | FOR         |                                  55069.2 | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Election of Independent Director: Gayle Crowell                                                                                                                                                                                                                                                                                                                                                              | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 153108   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Election of Independent Director: Thomas J. Fallon                                                                                                                                                                                                                                                                                                                                                           | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 152604   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Election of Independent Director: Nikos Theodosopoulos                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 168804   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Advisory vote to approve the Company's named executive officer compensation.                                                                                                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES                          |         180000 |                0 | FOR         |                                 151063   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Authorization of the Company to sell or issue shares of its common stock at a price below its then-current NAV per share, subject to the conditions set forth in Proposal 3.                                                                                                                                                                                                                                 | CAPITAL STRUCTURE                                     |         180000 |                0 | FOR         |                                 135952   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 08/15/2024     | Ratification of the selection of the Independent Public Accountant for the fiscal year ending December 31, 2024.                                                                                                                                                                                                                                                                                             | AUDIT-RELATED                                         |         180000 |                0 | FOR         |                                 171457   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Election of Director: Scott Bluestein                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 173243   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Election of Director: Wade Loo                                                                                                                                                                                                                                                                                                                                                                               | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 168070   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Election of Director: DeAnne Aguirre                                                                                                                                                                                                                                                                                                                                                                         | DIRECTOR ELECTIONS                                    |         180000 |                0 | FOR         |                                 145665   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Advisory vote to approve the Company's named executive officer compensation.                                                                                                                                                                                                                                                                                                                                 | SECTION 14A SAY-ON-PAY VOTES                          |         180000 |                0 | FOR         |                                 151961   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Authorization of the Company to sell or issue shares of its common stock at a price below its then-current NAV per share, subject to the conditions set forth in Proposal 3.                                                                                                                                                                                                                                 | CAPITAL STRUCTURE                                     |         180000 |                0 | FOR         |                                 142108   | FOR                         |  |
| HERCULES CAPITAL, INC.                  | 427096508 | 06/18/2025     | Ratification of the selection of the Independent Public Accountant for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                                                                             | AUDIT-RELATED                                         |         180000 |                0 | FOR         |                                 173392   | FOR                         |  |
| KAYNE ANDERSON BDC, INC.                | 48662X105 | 06/13/2025     | ELECTION OF DIRECTOR FOR TERM OF THREE YEARS AND UNTIL HIS OR HER SUCCESSORS ARE DULY ELECTED AND QUALIFIED: George E. Marucci, Jr.                                                                                                                                                                                                                                                                          | DIRECTOR ELECTIONS                                    |          90000 |                0 | FOR         |                                  81952.2 | FOR                         |  |
| KAYNE ANDERSON BDC, INC.                | 48662X105 | 06/13/2025     | ELECTION OF DIRECTOR FOR TERM OF THREE YEARS AND UNTIL HIS OR HER SUCCESSORS ARE DULY ELECTED AND QUALIFIED: James (Jim) Robo                                                                                                                                                                                                                                                                                | DIRECTOR ELECTIONS                                    |          90000 |                0 | FOR         |                                  62415   | FOR                         |  |
| KAYNE ANDERSON BDC, INC.                | 48662X105 | 06/13/2025     | ELECTION OF DIRECTOR FOR TERM OF THREE YEARS AND UNTIL HIS OR HER SUCCESSORS ARE DULY ELECTED AND QUALIFIED: Terrence J. Quinn                                                                                                                                                                                                                                                                               | DIRECTOR ELECTIONS                                    |          90000 |                0 | FOR         |                                  62370.9 | FOR                         |  |
| KAYNE ANDERSON BDC, INC.                | 48662X105 | 06/13/2025     | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KABDC'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2025.                                                                                                                                                                                                                                       | AUDIT-RELATED                                         |          90000 |                0 | FOR         |                                  89208.9 | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: J. Kevin Griffin                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  51979   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: John E. Jackson                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  53520   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: Brian E. Lane                                                                                                                                                                                                                                                                                                                                                                          | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  51800   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: Dunia Shive                                                                                                                                                                                                                                                                                                                                                                            | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  53266   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: Stephen B. Solcher                                                                                                                                                                                                                                                                                                                                                                     | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  52025   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: Vincent D. Foster                                                                                                                                                                                                                                                                                                                                                                      | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  52175   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Election of Director: Dwayne L. Hyzak                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |          55000 |                0 | FOR         |                                  53728   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Proposal to ratify our appointment of Grant Thornton LLP as our independent registered public accounting firm for the year ending December 31, 2025.                                                                                                                                                                                                                                                         | AUDIT-RELATED                                         |          55000 |                0 | FOR         |                                  53966   | FOR                         |  |
| MAIN STREET CAPITAL CORPORATION         | 56035L104 | 05/05/2025     | Advisory non-binding approval of executive compensation.                                                                                                                                                                                                                                                                                                                                                     | SECTION 14A SAY-ON-PAY VOTES                          |          55000 |                0 | FOR         |                                  48087   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Mark M. Besca                                                                                                                                                                                                                                                                                                                                                                          | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    148   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Lawrence A. Cunningham                                                                                                                                                                                                                                                                                                                                                                 | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    140   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Thomas S. Gayner                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    147   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Greta J. Harris                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    147   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Morgan E. Housel                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    147   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Diane Leopold                                                                                                                                                                                                                                                                                                                                                                          | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    149   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Steven A. Markel                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    146   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Jonathan E. Michael                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    150   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Harold L. Morrison, Jr.                                                                                                                                                                                                                                                                                                                                                                | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    149   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: Michael O'Reilly                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    145   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Election of Director: A. Lynne Puckett                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |            150 |                0 | FOR         |                                    149   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Advisory vote on approval of executive compensation.                                                                                                                                                                                                                                                                                                                                                         | SECTION 14A SAY-ON-PAY VOTES                          |            150 |                0 | FOR         |                                    147   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Ratification of the selection of KPMG LLP by the Audit Committee of the Board of Directors as the Company's independent registered public accounting firm for the year ending December 31, 2025.                                                                                                                                                                                                             | AUDIT-RELATED                                         |            150 |                0 | FOR         |                                    142   | FOR                         |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Shareholder proposal for a report on the Company's greenhouse gas emissions.                                                                                                                                                                                                                                                                                                                                 | ENVIRONMENT OR CLIMATE                                |            150 |                0 | FOR         |                                     19   | AGAINST                     |  |
| MARKEL GROUP INC.                       | 570535104 | 05/21/2025     | Shareholder proposal for simple majority vote.                                                                                                                                                                                                                                                                                                                                                               | SHAREHOLDER RIGHTS AND DEFENSES; CORPORATE GOVERNANCE |            150 |                0 | FOR         |                                    104   | AGAINST                     |  |
| MIDCAP FINANCIAL INVESTMENT CORPORATION | 03761U502 | 06/18/2025     | DIRECTOR: Elliot Stein, Jr.                                                                                                                                                                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |         140000 |                0 | FOR         |                                  94446.1 | FOR                         |  |
| MIDCAP FINANCIAL INVESTMENT CORPORATION | 03761U502 | 06/18/2025     | DIRECTOR: Carmencita N.M. Whonder                                                                                                                                                                                                                                                                                                                                                                            | DIRECTOR ELECTIONS                                    |         140000 |                0 | FOR         |                                 127092   | FOR                         |  |
| MIDCAP FINANCIAL INVESTMENT CORPORATION | 03761U502 | 06/18/2025     | To ratify the selection of Deloitte  Touche LLP as MidCap Financial Investment Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                     | AUDIT-RELATED                                         |         140000 |                0 | FOR         |                                 135401   | FOR                         |  |
| MORGAN STANLEY DIRECT LENDING FUND      | 61774A103 | 03/28/2025     | To approve an amendment to the Company's certificate of incorporation to increase the number of authorized shares of capital stock from 101,000,000 shares to 501,000,000 shares, consisting of 500,000,000 shares of common stock, par value $0.001 per share and 1,000,000 shares of preferred stock, par value $0.001 per share.                                                                          | CAPITAL STRUCTURE                                     |          10000 |                0 | FOR         |                                   7098.4 | FOR                         |  |
| NEW MOUNTAIN FINANCE CORPORATION        | 647551100 | 05/16/2025     | DIRECTOR: Barbara Daniel                                                                                                                                                                                                                                                                                                                                                                                     | DIRECTOR ELECTIONS                                    |          75000 |                0 | FOR         |                                  70241   | FOR                         |  |
| NEW MOUNTAIN FINANCE CORPORATION        | 647551100 | 05/16/2025     | DIRECTOR: Robert A. Hamwee                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |          75000 |                0 | FOR         |                                  47996   | FOR                         |  |
| NEW MOUNTAIN FINANCE CORPORATION        | 647551100 | 05/16/2025     | DIRECTOR: Alfred F. Hurley, Jr.                                                                                                                                                                                                                                                                                                                                                                              | DIRECTOR ELECTIONS                                    |          75000 |                0 | FOR         |                                  60486   | FOR                         |  |
| NEW MOUNTAIN FINANCE CORPORATION        | 647551100 | 05/16/2025     | To ratify the appointment of Deloitte  Touche LLP to serve as New Mountain Finance Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                 | AUDIT-RELATED                                         |          75000 |                0 | FOR         |                                  73165   | FOR                         |  |
| PALMER SQUARE CAPITAL BDC INC.          | 69702V107 | 12/11/2024     | DIRECTOR: Jeffrey D. Fox                                                                                                                                                                                                                                                                                                                                                                                     | DIRECTOR ELECTIONS; OTHER                             |          84528 |                0 | FOR         |                                  83509.9 | FOR                         |  |
| PALMER SQUARE CAPITAL BDC INC.          | 69702V107 | 12/11/2024     | DIRECTOR: James W. Neville                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS; OTHER                             |          84528 |                0 | FOR         |                                  76792.5 | FOR                         |  |
| PALMER SQUARE CAPITAL BDC INC.          | 69702V107 | 12/11/2024     | To ratify the selection of PricewaterhouseCoopers LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024.                                                                                                                                                                                                                                  | AUDIT-RELATED                                         |          84528 |                0 | FOR         |                                  84432.5 | FOR                         |  |
| PENNANTPARK INVESTMENT CORPORATION      | 708062104 | 02/04/2025     | Election of Director: Arthur H. Penn                                                                                                                                                                                                                                                                                                                                                                         | DIRECTOR ELECTIONS                                    |         256000 |                0 | FOR         |                                 184453   | FOR                         |  |
| PENNANTPARK INVESTMENT CORPORATION      | 708062104 | 02/04/2025     | Election of Director: Jos? A. Briones, Jr.                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |         256000 |                0 | FOR         |                                 183726   | FOR                         |  |
| PENNANTPARK INVESTMENT CORPORATION      | 708062104 | 02/04/2025     | To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2025.                                                                                                                                                                                                                                                 | AUDIT-RELATED                                         |         256000 |                0 | FOR         |                                 248507   | FOR                         |  |
| PORTMAN RIDGE FINANCE CORPORATION       | 73688F201 | 06/24/2025     | DIRECTOR: George Grunebaum                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS; OTHER                             |          22000 |                0 | FOR         |                                  15237   | FOR                         |  |
| PORTMAN RIDGE FINANCE CORPORATION       | 73688F201 | 06/24/2025     | DIRECTOR: Dean Kehler                                                                                                                                                                                                                                                                                                                                                                                        | DIRECTOR ELECTIONS; OTHER                             |          22000 |                0 | FOR         |                                  19065.2 | FOR                         |  |
| PORTMAN RIDGE FINANCE CORPORATION       | 73688F201 | 06/24/2025     | DIRECTOR: Matthew Westwood                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS; OTHER                             |          22000 |                0 | FOR         |                                  18939.4 | FOR                         |  |
| PORTMAN RIDGE FINANCE CORPORATION       | 73688F201 | 06/24/2025     | To ratify the selection of Deloitte  Touche LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                                 | AUDIT-RELATED                                         |          22000 |                0 | FOR         |                                  21347   | FOR                         |  |
| RUNWAY GROWTH FINANCE CORP.             | 78163D100 | 06/10/2025     | DIRECTOR: R. David Spreng                                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS; OTHER                             |          70000 |                0 | FOR         |                                  45963.6 | FOR                         |  |
| RUNWAY GROWTH FINANCE CORP.             | 78163D100 | 06/10/2025     | DIRECTOR: Catherine Frey                                                                                                                                                                                                                                                                                                                                                                                     | DIRECTOR ELECTIONS; OTHER                             |          70000 |                0 | FOR         |                                  68287   | FOR                         |  |
| RUNWAY GROWTH FINANCE CORP.             | 78163D100 | 06/10/2025     | DIRECTOR: Robert Warshauer                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS; OTHER                             |          70000 |                0 | FOR         |                                  68141.3 | FOR                         |  |
| RUNWAY GROWTH FINANCE CORP.             | 78163D100 | 06/10/2025     | To ratify the selection of Deloitte  Touche LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                        | AUDIT-RELATED                                         |          70000 |                0 | FOR         |                                  68950   | FOR                         |  |
| SIXTH STREET SPECIALTY LENDING, INC.    | 83012A109 | 05/22/2025     | DIRECTOR: P. Emery Covington                                                                                                                                                                                                                                                                                                                                                                                 | DIRECTOR ELECTIONS                                    |          50249 |                0 | FOR         |                                  47362   | FOR                         |  |
| SIXTH STREET SPECIALTY LENDING, INC.    | 83012A109 | 05/22/2025     | DIRECTOR: Jennifer Gordon                                                                                                                                                                                                                                                                                                                                                                                    | DIRECTOR ELECTIONS                                    |          50249 |                0 | FOR         |                                  45402   | FOR                         |  |
| SIXTH STREET SPECIALTY LENDING, INC.    | 83012A109 | 05/22/2025     | DIRECTOR: Judy Slotkin                                                                                                                                                                                                                                                                                                                                                                                       | DIRECTOR ELECTIONS                                    |          50249 |                0 | FOR         |                                  44289   | FOR                         |  |
| SIXTH STREET SPECIALTY LENDING, INC.    | 83012A109 | 05/22/2025     | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                                             | AUDIT-RELATED                                         |          50249 |                0 | FOR         |                                  49535   | FOR                         |  |
| SIXTH STREET SPECIALTY LENDING, INC.    | 83012A109 | 06/20/2025     | To approve a proposal to authorize the Company to sell 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.                                                                       | OTHER                                                 |          50249 |                0 | FOR         |                                  43860.3 | FOR                         |  |
| SLR INVESTMENT CORP.                    | 83413U100 | 11/20/2024     | DIRECTOR: Michael S. Gross                                                                                                                                                                                                                                                                                                                                                                                   | DIRECTOR ELECTIONS                                    |          65000 |                0 | FOR         |                                  61377.4 | FOR                         |  |
| SLR INVESTMENT CORP.                    | 83413U100 | 11/20/2024     | DIRECTOR: Leonard A. Potter                                                                                                                                                                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |          65000 |                0 | FOR         |                                  33390.3 | FOR                         |  |
| SLR INVESTMENT CORP.                    | 83413U100 | 11/20/2024     | The ratification of the selection of KPMG LLP as SLR Investment Corp.'s independent registered public accounting firm for the year ending December 31, 2024.                                                                                                                                                                                                                                                 | AUDIT-RELATED                                         |          65000 |                0 | FOR         |                                  64021.1 | FOR                         |  |
| TRINITY CAPITAL INC.                    | 896442308 | 06/12/2025     | Election of Director for a two-year term, expiring at the 2027 annual meeting of stockholders, and until his or her successor is duly elected and qualified. Irma Lockridge                                                                                                                                                                                                                                  | DIRECTOR ELECTIONS                                    |          48000 |                0 | FOR         |                                  37993.4 | FOR                         |  |
| TRINITY CAPITAL INC.                    | 896442308 | 06/12/2025     | Election of Director for a two-year term, expiring at the 2027 annual meeting of stockholders, and until his or her successor is duly elected and qualified. Steven L. Brown                                                                                                                                                                                                                                 | DIRECTOR ELECTIONS                                    |          48000 |                0 | FOR         |                                  46285   | FOR                         |  |
| TRINITY CAPITAL INC.                    | 896442308 | 06/12/2025     | Ratify the selection of Ernst  Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2025.                                                                                                                                                                                                                                               | AUDIT-RELATED                                         |          48000 |                0 | FOR         |                                  46688.2 | FOR                         |  |

## N-PX: Signature Block

**Reporting Person:** FIRST TRUST SPECIALTY FINANCE  FINANCIAL OPPORTUNITIES FUND

**By (Signature):** James M. Dykas

**By (Printed Signature):** James M. Dykas

**By (Title):** President and Chief Executive Officer

**Date:** 07/29/2025