SEC Form N-PX/A filed by Nuveen Floating Rate Income Fund (Amendment)
$JFR
Trusts Except Educational Religious and Charitable
Finance
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF
REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-21494
Nuveen Floating Rate Income Fund
(Exact name of registrant as specified in charter)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip Code)
David J. Lamb – Chief Administrative Officer
(Name and address of agent for service)
Registrant’s telephone number, including area code: 312-917-7700
Date of fiscal year-end: July 31
Date of reporting period: June 30, 2023
Item 1. Proxy Voting Record
FORM N-PX
ICA File Number: 811-21494
Registrant Name: Nuveen Floating Rate Income Fund
Reporting Period: 07/01/2022 - 06/30/2023
Nuveen Floating Rate Income Fund
| ACBL HOLDING CORP. Meeting Date: APR 27, 2023 Record Date: MAR 06, 2023 Meeting Type: ANNUAL | ||||
| Ticker: Security ID: 00085Q118 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director William Raine | Management | For | For |
| 1.2 | Elect Director Xiao Song | Management | For | For |
| 1.3 | Elect Director David Ebbrecht | Management | For | For |
| 1.4 | Elect Director Stephen Johnson | Management | For | For |
| 1.5 | Elect Director Philip Yarrow | Management | For | For |
| 1.6 | Elect Director Michael C. Ellis | Management | For | For |
| 1.7 | Elect Director Scott Vogel | Management | For | Withhold |
| 1.8 | Elect Director Dan McHugh | Management | For | For |
| 1.9 | Elect Director John Giles | Management | For | For |
| ACBL HOLDING CORP. Meeting Date: APR 27, 2023 Record Date: MAR 06, 2023 Meeting Type: ANNUAL | ||||
| Ticker: Security ID: 00085Q167 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director William Raine | Management | For | For |
| 1.2 | Elect Director Xiao Song | Management | For | For |
| 1.3 | Elect Director David Ebbrecht | Management | For | For |
| 1.4 | Elect Director Stephen Johnson | Management | For | For |
| 1.5 | Elect Director Philip Yarrow | Management | For | For |
| 1.6 | Elect Director Michael C. Ellis | Management | For | For |
| 1.7 | Elect Director Scott Vogel | Management | For | Withhold |
| 1.8 | Elect Director Dan McHugh | Management | For | For |
| 1.9 | Elect Director John Giles | Management | For | For |
| ACBL HOLDING CORP. Meeting Date: APR 27, 2023 Record Date: MAR 06, 2023 Meeting Type: ANNUAL | ||||
| Ticker: Security ID: 00085Q209 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director William Raine | Management | For | For |
| 1.2 | Elect Director Xiao Song | Management | For | For |
| 1.3 | Elect Director David Ebbrecht | Management | For | For |
| 1.4 | Elect Director Stephen Johnson | Management | For | For |
| 1.5 | Elect Director Philip Yarrow | Management | For | For |
| 1.6 | Elect Director Michael C. Ellis | Management | For | For |
| 1.7 | Elect Director Scott Vogel | Management | For | Withhold |
| 1.8 | Elect Director Dan McHugh | Management | For | For |
| 1.9 | Elect Director John Giles | Management | For | For |
| ACBL HOLDING CORP. Meeting Date: APR 27, 2023 Record Date: MAR 06, 2023 Meeting Type: ANNUAL | ||||
| Ticker: Security ID: 00085Q605 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director William Raine | Management | For | For |
| 1.2 | Elect Director Xiao Song | Management | For | For |
| 1.3 | Elect Director David Ebbrecht | Management | For | For |
| 1.4 | Elect Director Stephen Johnson | Management | For | For |
| 1.5 | Elect Director Philip Yarrow | Management | For | For |
| 1.6 | Elect Director Michael C. Ellis | Management | For | For |
| 1.7 | Elect Director Scott Vogel | Management | For | Withhold |
| 1.8 | Elect Director Dan McHugh | Management | For | For |
| 1.9 | Elect Director John Giles | Management | For | For |
| CALIFORNIA RESOURCES CORPORATION Meeting Date: APR 28, 2023 Record Date: MAR 07, 2023 Meeting Type: ANNUAL | ||||
| Ticker: CRC Security ID: 13057Q305 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Andrew B. Bremner | Management | For | For |
| 1.2 | Elect Director Tiffany (TJ) Thom Cepak | Management | For | For |
| 1.3 | Elect Director James N. Chapman | Management | For | For |
| 1.4 | Elect Director Francisco J. Leon | Management | For | For |
| 1.5 | Elect Director Mark A. (Mac) McFarland | Management | For | For |
| 1.6 | Elect Director Nicole Neeman Brady | Management | For | For |
| 1.7 | Elect Director Julio M. Quintana | Management | For | For |
| 1.8 | Elect Director William B. Roby | Management | For | For |
| 1.9 | Elect Director Alejandra (Ale) Veltmann | Management | For | For |
| 2 | Ratify KPMG LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Amend Certificate of Incorporation to Allow Exculpation of Officers | Management | For | For |
| CHORD ENERGY CORPORATION Meeting Date: APR 26, 2023 Record Date: MAR 09, 2023 Meeting Type: ANNUAL | ||||
| Ticker: CHRD Security ID: 674215207 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1a | Elect Director Douglas E. Brooks | Management | For | For |
| 1b | Elect Director Daniel E. Brown | Management | For | For |
| 1c | Elect Director Susan M. Cunningham | Management | For | For |
| 1d | Elect Director Samantha F. Holroyd | Management | For | For |
| 1e | Elect Director Paul J. Korus | Management | For | For |
| 1f | Elect Director Kevin S. McCarthy | Management | For | For |
| 1g | Elect Director Anne Taylor | Management | For | For |
| 1h | Elect Director Cynthia L. Walker | Management | For | For |
| 1i | Elect Director Marguerite N. Woung-Chapman | Management | For | For |
| 2 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 4 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| CUMULUS MEDIA INC. Meeting Date: APR 26, 2023 Record Date: MAR 03, 2023 Meeting Type: ANNUAL | ||||
| Ticker: CMLS Security ID: 231082801 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Mary G. Berner | Management | For | For |
| 1.2 | Elect Director Matthew C. Blank | Management | For | For |
| 1.3 | Elect Director Thomas H. Castro | Management | For | For |
| 1.4 | Elect Director Deborah A. Farrington | Management | For | For |
| 1.5 | Elect Director Joan Hogan Gillman | Management | For | For |
| 1.6 | Elect Director Andrew W. Hobson | Management | For | For |
| 1.7 | Elect Director Brian G. Kushner | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 4 | Amend Omnibus Stock Plan | Management | For | Against |
| 5 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| ENERGY HARBOR CORP. Meeting Date: SEP 09, 2022 Record Date: AUG 15, 2022 Meeting Type: WRITTEN CONSENT | ||||
| Ticker: ENGH Security ID: 29279N102 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Elect Director John W. Judge | Management | For | For |
| 2 | Elect Director John Kiani | Management | For | For |
| 3 | Elect Director Douglas G. Johnston | Management | For | For |
| 4 | Elect Director John W. (Bill) Pitesa | Management | For | For |
| 5 | Elect Director Stephen E. Burnazian | Management | For | For |
| 6 | Elect Director Kevin T. Howell | Management | For | For |
| 7 | Elect Director Jennifer R. Kneale | Management | For | For |
| 8 | Elect Director John C. Blickle | Management | For | For |
| TRANSOCEAN LTD. Meeting Date: MAY 11, 2023 Record Date: APR 24, 2023 Meeting Type: ANNUAL | ||||
| Ticker: RIG Security ID: H8817H100 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Approve Transfer of Free Capital Reserves to Statutory Capital Reserves | Management | For | For |
| 2A | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2B | Approve Remuneration Report | Management | For | For |
| 3 | Approve Discharge of Board and Senior Management | Management | For | For |
| 4 | Approve Treatment of Net Loss | Management | For | For |
| 5 | Approve the Renewal of Authorized Share Capital with Partial Exclusion of Preemptive Rights | Management | For | For |
| 6A | Elect Director Glyn A. Barker | Management | For | For |
| 6B | Elect Director Vanessa C.L. Chang | Management | For | For |
| 6C | Elect Director Frederico F. Curado | Management | For | For |
| 6D | Elect Director Chadwick C. Deaton | Management | For | For |
| 6E | Elect Director Domenic J. "Nick" Dell'Osso, Jr. | Management | For | For |
| 6F | Elect Director Vincent J. Intrieri | Management | For | For |
| 6G | Elect Director Samuel J. Merksamer | Management | For | For |
| 6H | Elect Director Frederik W. Mohn | Management | For | For |
| 6I | Elect Director Edward R. Muller | Management | For | For |
| 6J | Elect Director Margareth Ovrum | Management | For | For |
| 6K | Elect Director Jeremy D. Thigpen | Management | For | For |
| 7 | Elect Chadwick C. Deaton as Board Chairman | Management | For | For |
| 8A | Appoint Glyn A. Barker as Member of the Compensation Committee | Management | For | For |
| 8B | Appoint Vanessa C.L. Chang as Member of the Compensation Committee | Management | For | For |
| 8C | Appoint Samuel J. Merksamer as Member of the Compensation Committee | Management | For | For |
| 9 | Re-elect Schweiger Advokatur/Notariat as Independent Proxy | Management | For | For |
| 10 | Appointment Of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2023 and Reelection of Ernst & Young Ltd, Zurich as the Company's Auditor for a Further One-Year Term | Management | For | For |
| 11 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 12 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 13A | Approve Maximum Remuneration of Board of Directors for the Period Between the 2023 and 2024 Annual General Meeting in the Amount of USD 4.12 Million | Management | For | For |
| 13B | Approve Maximum Remuneration of the Executive Management Team for Fiscal Year 2024 in the Amount of USD 26 Million | Management | For | For |
| 14A | Amend Omnibus Stock Plan | Management | For | For |
| 14B | Amend Omnibus Stock Plan | Management | For | For |
| 15 | Amend Articles of Association | Management | For | For |
| 16 | Other Business | Management | For | Against |
| VANTAGE DRILLING INTERNATIONAL Meeting Date: SEP 13, 2022 Record Date: AUG 08, 2022 Meeting Type: ANNUAL | ||||
| Ticker: VTDRF Security ID: G9325C105 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Thomas R. Bates, Jr. | Management | For | For |
| 1.2 | Elect Director Manuel A. Garcia | Management | For | Against |
| 1.3 | Elect Director Paul A. Gordon | Management | For | Against |
| 1.4 | Elect Director Nils E. Larsen | Management | For | For |
| 1.5 | Elect Director Ihab M. Toma | Management | For | Against |
| 1.6 | Elect Director L. Spencer Wells | Management | For | For |
END NPX REPORT
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.
Nuveen Floating Rate Income Fund
| By | /s/ David J. Lamb | |
| David J. Lamb – Chief Administrative Officer | ||
| Date | ||
May 17th, 2024