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: 811-22626

 

 

SALIENT MIDSTREAM & MLP FUND

(Exact name of registrant as specified in charter)

 

 

4265 SAN FELIPE, SUITE 800

HOUSTON, TX 77027

(Address of principal executive offices) (Zip code)

 

 

George J. Zornada, Esq.

K&L Gates LLP

One Lincoln Street

Boston, MA 02111

(Name and address of agent for service)

 

 

Registrant’s Telephone Number, including Area Code: (713) 993-4001

Date of fiscal year end: November 30

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, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

 

 

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Item 1 – Proxy Voting Record.

Salient Midstream & MLP Fund

 

Company

Ticker

CUSIP

Meeting Date

A brief identification of the matter voted on

Proposed by Issuer or Security Holder

Voted

Vote Cast

With or Against Management

AMERICAN MIDSTREAM PARTNERS LP

AMID

02752P100

2/11/2016

TO APPROVE THE ADOPTION OF THE THIRD AMENDED AND RESTATED AMERICAN MIDSTREAM GP, LLC LONG-TERM INCENTIVE PLAN

Issuer

Yes

Against

Against

BUCKEYE PARTNERS, L.P.

BPL

118230101

6/7/2016

DIRECTOR 1 OLIVER G. RICHARD, III 2 CLARK C. SMITH 3 FRANK S. SOWINSKI

Issuer

Yes

For

With

BUCKEYE PARTNERS, L.P.

BPL

118230101

6/7/2016

THE RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP AS BUCKEYE PARTNERS, L.P.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR 2016.

Issuer

Yes

For

With

DYNAGAS LNG PARTNERS LP

DLNG

Y2188B108

11/20/2015

TO ELECT EVANGELOS VLAHOULIS AS A CLASS I DIRECTOR TO SERVE FOR A THREE-YEAR TERM UNTIL THE 2018 ANNUAL MEETING OF LIMITED PARTNERS

Issuer

Yes

For

With

DYNAGAS LNG PARTNERS LP

DLNG

Y2188B108

11/20/2015

TO APPROVE THE APPOINTMENT OF ERNST & YOUNG (HELLAS) CERTIFIED AUDITORS ACCOUNTANTS S.A. AS THE PARTNERSHIP’S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015

Issuer

Yes

For

With

GOLAR LNG PARTNERS LP

GMLP

Y2745C102

9/23/2015

TO ELECT ANDREW J.D. WHALLEY AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2018 ANNUAL MEETING OF LIMITED PARTNERS.

Issuer

Yes

For

With

GOLAR LNG PARTNERS LP

GMLP

Y2745C102

9/23/2015

TO ELECT PAUL LEAND AS A CLASS III DIRECTOR OF THE PARTNERSHIP WHOSE TERM WILL EXPIRE AT THE 2018 ANNUAL MEETING OF LIMITED PARTNERS.

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

ELECTION OF DIRECTOR: NORMAN H. BROWN, JR.

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

ELECTION OF DIRECTOR: GEORGE W. CARMANY, III

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

ELECTION OF DIRECTOR: H.E. (JACK) LENTZ

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

ELECTION OF DIRECTOR: OUMA SANANIKONE

Issuer

Yes

For

With

---

Company

Ticker

CUSIP

Meeting Date

A brief identification of the matter voted on

Proposed by Issuer or Security Holder

Voted

Vote Cast

With or Against Management

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

ELECTION OF DIRECTOR: WILLIAM H. WEBB

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

THE RATIFICATION OF THE SELECTION OF KPMG LLP AS OUR INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.

Issuer

Yes

For

With

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

THE APPROVAL, ON AN ADVISORY BASIS, OF EXECUTIVE COMPENSATION.

Issuer

Yes

Against

Against

MACQUARIE INFRASTRUCTURE CORPORATION

MIC

55608B105

5/18/2016

THE APPROVAL OF THE MACQUARIE INFRASTRUCTURE CORPORATION 2016 OMNIBUS EMPLOYEE INCENTIVE PLAN.

Issuer

Yes

For

With

NRG YIELD, INC.

NYLD

62942X405

4/26/2016

DIRECTOR 1 JOHN F. CHLEBOWSKI 2 MAURICIO GUTIERREZ 3 KIRKLAND B. ANDREWS 4 BRIAN R. FORD 5 FERRELL P. MCCLEAN 6 CHRISTOPHER S. SOTOS

Issuer

Yes

For

With

NRG YIELD, INC.

NYLD

62942X405

4/26/2016

TO APPROVE AN AMENDMENT TO THE COMPANY’S SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION.

Issuer

Yes

For

With

NRG YIELD, INC.

NYLD

62942X405

4/26/2016

TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR.

Issuer

Yes

For

With

NRG YIELD, INC.

NYLDA

62942X306

4/26/2016

DIRECTOR 1 JOHN F. CHLEBOWSKI 2 MAURICIO GUTIERREZ 3 KIRKLAND B. ANDREWS 4 BRIAN R. FORD 5 FERRELL P. MCCLEAN 6 CHRISTOPHER S. SOTOS

Issuer

Yes

For

With

NRG YIELD, INC.

NYLDA

62942X306

4/26/2016

TO APPROVE AN AMENDMENT TO THE COMPANY’S SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION.

Issuer

Yes

For

With

---

Company

Ticker

CUSIP

Meeting Date

A brief identification of the matter voted on

Proposed by Issuer or Security Holder

Voted

Vote Cast

With or Against Management

NRG YIELD, INC.

NYLDA

62942X306

4/26/2016

TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2016 FISCAL YEAR.

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: ALAN BATKIN

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: PATRICIA BELLINGER

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: THE LORD BROWNE OF MADINGLEY

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: MICHAEL GARLAND

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: DOUGLAS HALL

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: MICHAEL HOFFMAN

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

ELECTION OF DIRECTOR: PATRICIA NEWSON

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016.

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION.

Issuer

Yes

For

With

PATTERN ENERGY GROUP INC.

PEGI

70338P100

6/15/2016

AN ADVISORY VOTE ON THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION.

Issuer

Yes

1 Year

With

THE WILLIAMS COMPANIES, INC.

WMB

969457100

6/27/2016

TO APPROVE THE ADOPTION OF THE AGREEMENT AND PLAN OF MERGER (THE “MERGER AGREEMENT”) AMONG ENERGY TRANSFER EQUITY, L.P., ENERGY TRANSFER CORP LP (“ETC”), ENERGY TRANSFER CORP GP, LLC, LE GP, LLC, ENERGY TRANSFER EQUITY GP, LLC AND THE WILLIAMS COMPANIES, INC. (“WMB”), AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF WMB WITH AND INTO ETC.

Issuer

Yes

Against

Against

---

Company

Ticker

CUSIP

Meeting Date

A brief identification of the matter voted on

Proposed by Issuer or Security Holder

Voted

Vote Cast

With or Against Management

THE WILLIAMS COMPANIES, INC.

WMB

969457100

6/27/2016

TO APPROVE, ON AN ADVISORY (NON-BINDING) BASIS, SPECIFIED COMPENSATORY ARRANGEMENTS BETWEEN WMB AND ITS NAMED EXECUTIVE OFFICERS RELATING TO THE TRANSACTIONS CONTEMPLATED BY THE MERGER AGREEMENT.

Issuer

Yes

Against

Against

THE WILLIAMS COMPANIES, INC.

WMB

969457100

6/27/2016

TO APPROVE THE ADJOURNMENT OF THE SPECIAL MEETING FROM TIME TO TIME, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE MERGER PROPOSAL.

Issuer

Yes

Against

Against

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SIGNATURE

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