ArrowMark Financial Corp. — Regulatory Filings 2016

Aug 18, 2016

N-PX 1 a16-14626_1npx.htm N-PX

*UNITED STATES SECURITIES AND EXCHANGE COMMISSION*

*Washington, D.C. 20549*

*FORM N-PX*

*ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY*

*Investment Company Act file number 811-22853*

*StoneCastle Financial Corp.*

(Exact name of registrant as specified in charter)

*152 West 57th Street, 35th Floor*

*New York, NY 10019*

(Address of principal executive offices) (Zip code)

*Joshua S. Siegel*

*StoneCastle Financial Corp.*

*152 West 57th Street, 35th Floor*

*New York, NY 10019*

(Name and address of agent for service)

Copies of Communications to:

*John P. Falco, Esq.*

*Pepper Hamilton LLP*

*3000 Two Logan Square / Eighteenth and Arch Streets*

*Philadelphia, PA 19103-2799*

*(215) 981-4659*

Registrant’s telephone number, including area code: (212) 354-6500

Date of fiscal year end: December 31

Date of reporting period: July 1, 2015 – June 30, 2016

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 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, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

SEQ.=1,FOLIO='',FILE='C:\JMS\kgiri\16-14626-1\task8070838\14626-1-be.htm',USER='105348',CD='Aug 18 15:05 2016'

*PROXY VOTING RECORD*

*FOR PERIOD JULY 1, 2015 TO JUNE 30, 2016*

There is no proxy voting activity for StoneCastle Financial Corp. for the period from July 1, 2015 to June 30, 2016.

SEQ.=1,FOLIO='',FILE='C:\JMS\kgiri\16-14626-1\task8070838\14626-1-bi.htm',USER='105348',CD='Aug 18 15:06 2016'

*SIGNATURES*

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Registrant
By (Signature and Title)*	/s/Joshua S. Siegel
	Joshua S. Siegel, Chief Executive Officer & Chairman of the Board
	(principal executive officer)
Date	8/16/16

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

SEQ.=1,FOLIO='',FILE='C:\JMS\kgiri\16-14626-1\task8070838\14626-1-jc.htm',USER='105348',CD='Aug 18 15:09 2016'