UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-07989
Metropolitan West Funds
(Exact name of registrant as specified in charter)
865 South Figueroa Street
Los Angeles, CA 90017
(Address of principal executive offices) (Zip code)
David B. Lippman
Metropolitan West Funds
865 South Figueroa Street
Los Angeles, CA 90017
(Name and address of agent for service)
Registrant’s telephone number, including area code: (213) 244-0000
Date of fiscal year end: March 31
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.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2016 TO JUNE 30, 2017
Form N-PX
REGISTRANT NAME: Metropolitan West High Yield Bond Fund
INVESTMENT COMPANY ACT FILE NUMBER: 811-07989
REPORTING PERIOD: 07/01/2016 - 06/30/2017
REGISTRANT ADDRESS: 865 S Figueroa Street, Los Angeles, CA 90017
NAME OF SERIES (AS APPLICABLE): Metropolitan West Funds
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer/ Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors | Whether Vote Was For or Against Management | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Patrick J. Bartels, Jr. | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect James N. Chapman | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect John W. Eaves | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Sherman K. Edmiston | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Patrick A Krieghauser | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Richard A. Navarre | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Scott D. Vogel | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Advisory Vote on Executive Compensation | Issuer | Voted | For | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Frequency of Advisory Vote on Executive Compensation | Issuer | Voted | 1 Year | For | ||||||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Ratification of Auditor | Issuer | Voted | For | For | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Mark S. Siegel | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Charles O. Buckner | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Michael W. Conlon | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect William A Hendricks, Jr. | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Curtis W. Huff | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Terry H. Hunt | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Elect Tiffany J. Thom | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Amendment to the 2014 Long-Term Incentive Plan | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Ratification of Auditor | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Advisory Vote on Executive Compensation | Issuer | Take No Action | TNA | N/A | ||||||||||||
Patterson-UTI Energy, Inc. | PTEN | 703481101 | 06/29/2017 | Frequency of Advisory Vote on Executive Compensation | Issuer | Take No Action | TNA | N/A | ||||||||||||
Seventy Seven Energy Inc | SVNT | 81809A100 | 04/20/2017 | Merger/Acquisition | Issuer | Voted | For | For | ||||||||||||
Seventy Seven Energy Inc | SVNT | 81809A100 | 04/20/2017 | Advisory Vote on Golden Parachutes | Issuer | Voted | For | For | ||||||||||||
Seventy Seven Energy Inc | SVNT | 81809A100 | 04/20/2017 | Right to Adjourn Meeting | Issuer | Voted | For | For |
Form N-PX
REGISTRANT NAME: Metropolitan West Strategic Income Fund
INVESTMENT COMPANY ACT FILE NUMBER: 811-07989
REPORTING PERIOD: 07/01/2016 - 06/30/2017
REGISTRANT ADDRESS: 865 S Figueroa Street, Los Angeles, CA 90017
NAME OF SERIES (AS APPLICABLE): Metropolitan West Funds
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer/Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors | Whether Vote Was For or Against Management | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Gary Kain | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Morris A. Davis | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Larry K. Harvey | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Prue B. Larocca | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Paul E. Mullings | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Advisory Vote on Executive Compensation | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Frequency of Advisory Vote on Executive Compensation | Issuer | Voted | 1 Year | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Ratification of Auditor | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 12/09/2016 | 2016 Equity and Incentive Compensation Plan | Issuer | Voted | For | For |
Form N-PX
REGISTRANT NAME: Metropolitan West Total Return Bond Fund
INVESTMENT COMPANY ACT FILE NUMBER: 811-07989
REPORTING PERIOD: 07/01/2016 - 06/30/2017
REGISTRANT ADDRESS: 865 S Figueroa Street, Los Angeles, CA 90017
NAME OF SERIES (AS APPLICABLE): Metropolitan West Funds
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer/ Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors | Whether Vote Was For or Against Management | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Patrick J. Bartels, Jr. | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect James N. Chapman | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect John W. Eaves | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Sherman K. Edmiston | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Patrick A Krieghauser | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Richard A. Navarre | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Elect Scott D. Vogel | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Advisory Vote on Executive Compensation | Issuer | Voted | For | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Frequency of Advisory Vote on Executive Compensation | Issuer | Voted | 1 Year | For | ||||||||
Arch Coal Inc. | ARCH | 039380407 | 05/04/2017 | Ratification of Auditor | Issuer | Voted | For | For |
Form N-PX
REGISTRANT NAME: Metropolitan West Unconstrained Bond Fund
INVESTMENT COMPANY ACT FILE NUMBER: 811-07989
REPORTING PERIOD: 07/01/2016 - 06/30/2017
REGISTRANT ADDRESS: 865 S Figueroa Street, Los Angeles, CA 90017
NAME OF SERIES (AS APPLICABLE): Metropolitan West Funds
Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer/ Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors | Whether Vote Was For or Against Management | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Gary Kain | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Morris A. Davis | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Larry K. Harvey | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Prue B. Larocca | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Elect Paul E. Mullings | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Advisory Vote on Executive Compensation | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Frequency of Advisory Vote on Executive Compensation | Issuer | Voted | 1 Year | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 04/20/2017 | Ratification of Auditor | Issuer | Voted | For | For | ||||||||
AGNC Investment Corp. | AGNC | 00123Q104 | 12/09/2016 | 2016 Equity and Incentive Compensation Plan | Issuer | Voted | For | For |
The following series of the Metropolitan West Funds did not own any voting security for which a proxy instruction for a meeting of security holders was given by the series or solicited from the series during the time the series held the security.
Metropolitan West Ultra Short Bond Fund
Metropolitan West Low Duration Bond Fund
Metropolitan West Intermediate Bond Fund
Metropolitan West AlphaTrak 500 Fund
Metropolitan West Floating Rate Income Fund
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 | Metropolitan West Funds |
By (Signature and Title)* | /s/ David B. Lippman | |
David B. Lippman, President and Principal Executive Officer | ||
(principal executive officer) |
Date | 8/15/17 |
*Print the name and title of each signing officer under his or her signature.