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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: 811-21720
Northern Lights Fund Trust
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246
(Address of principal executive offices) (Zip code)
Stephanie Shearer
Gemini Fund Services, LLC
80 Arkay Drive
Hauppauge, New York 11788
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 490-2300
Date of fiscal year end: March 31, April 30, June 30, July 31, September 31, November 30 and December 31
Date of reporting period: July 1, 2020 - June 30, 2021
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 (ss.ss. 239.24and 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. ss. 3507.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibits A through UU is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2014 with respect to which the Registrant was entitled to vote:
(a) The name of the issuer of the portfolio security;
(b) The exchange ticker symbol of the portfolio security;
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d) The shareholder meeting date;
(e) A brief identification of the matter voted on;
(f) Whether the matter was proposed by the issuer or by a security holder;
(g) Whether the Registrant cast its vote on the matter;
(h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i) Whether the Registrant cast its vote for or against management.
Registrant: NORTHERN LIGHTS FUND TRUST - Ascendant Tactical Yield Fund | Item 1, Exhibit 4 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through September 30, 2020 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | As of August 20, 2021, the administrator has made multiple attempts to reach the adviser with no response. If the administrator receives proxy information for this fund the infomration will be filed. |
Registrant: NORTHERN LIGHTS FUND TRUST - Navigator Equity Hedged Fund | Item 1, Exhibit 31 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - Navigator Sentry Managed Volatility Fund | Item 1, Exhibit 32 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - Navigator Tactical Fixed Income Fund | Item 1, Exhibit 33 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | EATON VANCE INCOME FUND OF BOSTON | EIBIX | 1-Mar-21 | Special Meeting; See Attached | MGMT | Y | For | For | ||
2 |
Registrant: NORTHERN LIGHTS FUND TRUST - Navigator Tactical US Allocation Fund | Item 1, Exhibit 34 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - Navigator Ultra Short Bond Fund | Item 1, Exhibit 35 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - Patriot Fund | Item 1, Exhibit 36 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | As of August 20, 2021, the administrator has made multiple attempts to reach the adviser with no response. If the administrator receives proxy information for this fund the infomration will be filed. |
Registrant: NORTHERN LIGHTS FUND TRUST - Princeton L/S Treasury Fund | Item 1, Exhibit 52 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
Registrant: NORTHERN LIGHTS FUND TRUST - Princeton Premium Fund | Item 1, Exhibit 53 | |||||||||
Investment Company Act file number: 811-21720 | ||||||||||
Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
1 | ||||||||||
2 | There were no proxy votes to report during the Reporting Period. |
SIGNATURES
See General Instruction F
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) Northern Lights Fund Trust
By (Signature and Title)* /s/ Kevin Wolf
Kevin Wolf, President
Date: August 19, 2021
* Print the name and title of each signing officer under his or her signature.