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)
| Gregory A. Reid, Principal Executive Officer Salient Midstream & MLP fund 4265 San Felipe, 8th Floor Houston, TX 77027 (Name and address of agent for service) |
With a Copy To: George J. Zornada K&L Gates LLP State Street Financial Center One Lincoln St. Boston, MA 02111-2950 (617) 261-3231 |
Registrant’s Telephone Number, including Area Code: (713) 993-4001
Date of fiscal year end: November 30
Date of reporting period: July 1, 2016 – June 30, 2017
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.
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 | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 9/29/2016 | Approve Merger Agreement | Issuer | YES | FOR | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 9/29/2016 | Approve Motion to Adjourn Meeting | Issuer | YES | FOR | WITH | ||||||||
| PLAINS GP HOLDINGS, L.P. | PAGP | 72651A108 | 11/15/2016 | Miscellaneous Corporate Actions | Issuer | YES | FOR | WITH | ||||||||
| PLAINS GP HOLDINGS, L.P. | PAGP | 72651A108 | 11/15/2016 | Approve Motion to Adjourn Meeting | Issuer | YES | FOR | WITH | ||||||||
| DYNAGAS LNG PARTNERS LP | DLNG | Y2188B108 | 11/22/2016 | Election of Directors (Full Slate) | Issuer | YES | FOR | WITH | ||||||||
| DYNAGAS LNG PARTNERS LP | DLNG | Y2188B108 | 11/22/2016 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| SPECTRA ENERGY CORP | SE | 847560109 | 12/15/2016 | Approve Merger Agreement | Issuer | YES | FOR | WITH | ||||||||
| SPECTRA ENERGY CORP | SE | 847560109 | 12/15/2016 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLDA | 62942X306 | 4/25/2017 | Election of Directors 1 MAURICIO GUTIERREZ 2 JOHN F. CHLEBOWSKI 3 KIRKLAND B. ANDREWS 4 JOHN CHILLEMI 5 BRIAN R. FORD 6 FERRELL P. MCCLEAN 7 CHRISTOPHER S. SOTOS |
Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLDA | 62942X306 | 4/25/2017 | Approve Stock Compensation Plan | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLDA | 62942X306 | 4/25/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLDA | 62942X306 | 4/25/2017 | 14A Executive Compensation Vote Frequency | Issuer | YES | 1 Year | WITH | ||||||||
| NRG YIELD, INC. | NYLDA | 62942X306 | 4/25/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLD | 62942X405 | 4/25/2017 | Election of Directors 1 MAURICIO GUTIERREZ 2 JOHN F. CHLEBOWSKI 3 KIRKLAND B. ANDREWS 4 JOHN CHILLEMI 5 BRIAN R. FORD 6 FERRELL P. MCCLEAN 7 CHRISTOPHER S. SOTOS |
Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLD | 62942X405 | 4/25/2017 | Approve Stock Compensation Plan | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLD | 62942X405 | 4/25/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| NRG YIELD, INC. | NYLD | 62942X405 | 4/25/2017 | 14A Executive Compensation Vote Frequency | Issuer | YES | 1 Year | WITH | ||||||||
| NRG YIELD, INC. | NYLD | 62942X405 | 4/25/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| ENERGY TRANSFER PARTNERS, L.P. | ETP | 29273R109 | 4/26/2017 | Approve Merger Agreement | Issuer | YES | FOR | WITH | ||||||||
| ENERGY TRANSFER PARTNERS, L.P. | ETP | 29273R109 | 4/26/2017 | Approve Motion to Adjourn Meeting | Issuer | YES | FOR | WITH | ||||||||
| ENERGY TRANSFER PARTNERS, L.P. | ETP | 29273R109 | 4/26/2017 | 14A Executive Compensation | 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 | ||||||||
| ENBRIDGE INC. | ENB | 29250N105 | 5/11/2017 | Election of Directors (Majority Voting) 1 PAMELA L. CARTER 2 CLARENCE P. CAZALOT,JR. 4 GREGORY L. EBEL 5 J. HERB ENGLAND 6 CHARLES W. FISCHER 7 V.M. KEMPSTON DARKES 8 MICHAEL MCSHANE 9 AL MONACO 10 MICHAEL E.J. PHELPS 11 REBECCA B. ROBERTS 12 DAN C. TUTCHER 13 CATHERINE L. WILLIAMS |
Issuer | YES | FOR | WITH | ||||||||
| ENBRIDGE INC. | ENB | 29250N105 | 5/11/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| ENBRIDGE INC. | ENB | 29250N105 | 5/11/2017 | Ratify Shareholder Rights Plan | Issuer | YES | FOR | WITH | ||||||||
| ENBRIDGE INC. | ENB | 29250N105 | 5/11/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| ENBRIDGE INC. | ENB | 29250N105 | 5/11/2017 | S/H Proposal—Corporate Governance | Security Holder | YES | AGAINST | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | 14A Executive Compensation | Issuer | YES | AGAINST | AGAINST | ||||||||
| MACQUARIE INFRASTRUCTURE CORPORATION | MIC | 55608B105 | 5/17/2017 | 14A Executive Compensation Vote Frequency | Issuer | YES | 1 Year | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 5/17/2017 | Election of Directors 1 RONALD A. BALLSCHMIEDE 2 SARAH M. BARPOULIS 3 CARLIN G. CONNER 4 KARL F. KURZ 5 JAMES H. LYTAL 6 WILLIAM J. MCADAM 7 THOMAS R. MCDANIEL |
Issuer | YES | FOR | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 5/17/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 5/17/2017 | 14A Executive Compensation Vote Frequency | Issuer | YES | 1 Year | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 5/17/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| SEMGROUP CORPORATION | SEMG | 81663A105 | 5/17/2017 | Approve Charter Amendment | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | 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 | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 5/18/2017 | 14A Executive Compensation Vote Frequency |
Issuer | YES | 1 Year | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | 14A Executive Compensation Vote Frequency |
Issuer | YES | 1 Year | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Amend Stock Compensation Plan | Issuer | YES | FOR | WITH | ||||||||
| TARGA RESOURCES CORP. | TRGP | 87612G101 | 5/22/2017 | Stock Conversion | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Election of Directors (Majority Voting) | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | Ratify Appointment of Independent Auditors | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | 14A Executive Compensation | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 5/24/2017 | 14A Executive Compensation Vote Frequency |
Issuer | YES | 1 Year | WITH | ||||||||
| MARTIN MIDSTREAM PARTNERS LP | MMLP | 573331105 | 5/26/2017 | Adopt Restricted Stock Award Plan | Issuer | YES | FOR | WITH | ||||||||
| MARTIN MIDSTREAM PARTNERS LP | MMLP | 573331105 | 5/26/2017 | Approve Motion to Adjourn Meeting | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 6/30/2017 | Approve Merger Agreement | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 6/30/2017 | Authorize Common Stock Increase | Issuer | YES | FOR | WITH | ||||||||
| ONEOK, INC. | OKE | 682680103 | 6/30/2017 | Approve Motion to Adjourn Meeting | Issuer | YES | FOR | WITH | ||||||||
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.
| (Registrant) | Salient Midstream & MLP Fund | |
| By: | /s/ Gregory A. Reid | |
| Gregory A. Reid | ||
| Principal Executive Officer | ||
| Date: | 8/10/17 | |