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 811-21719
INVESTMENT MANAGERS SERIES TRUST
(Exact name of registrant as specified in charter)
235 W. Galena Street, Milwaukee, WI | 53212 |
(Address of principal executive offices) | (Zip code) |
Diane Drake
2220 E Route 66 #226, Glendora, CA 91740
(Name and address of agent for service)
Registrant's telephone number, including area code: (414) 299-2295
Date of fiscal year end: June 30
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. 239.24 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. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
Form N-PX | Proxy Voting Records | ||
Fund Name: | SilverPepper Commodity Strategies Global Macro Fund | ||
Reporting Period: | 7/1/2020- 06/30/2021 |
Equity holding: | Ticker | Cusip | Country | Date First Held | annual meeting | Shareholders as of record date | Resolutions | Proposed | Voted | Voted with Management |
Occiental Petroleum | OXY | 674599105 | US | 5/7/2021 | 3/12/2021 | Election of eleven directors | Management | Voted FOR Approval of Directors | Yes | |
Approve, on an advisory basis, named executive officer compensation | Management | Voted FOR Executive Officer Compensation | Yes | |||||||
Ratify the selection of KPMG as Occidental's independent auditor | Management | Voted FOR Ratification of Selection of KPMG as Auditor | Yes | |||||||
Walgreens Boots Allicance Inc. | WBA | 931427108 | US | 5/1/2020 | 1/28/2021 | 11/30/2020 | Election of eleven directors | Management | Voted FOR Approval of Directors | Yes |
Ratification of the appt of Deloitte & Touche LLP as the independent | Management | |||||||||
registered public accounting firm for fiscal y/e 2021 | Management | Voted For the appointment | Yes | |||||||
Advisory vote to approve named executive officer compensation | Management | Voted For | Yes | |||||||
Approval of 2021 WBA Inc. Omnibus Incentive Plan | Management | Voted For | Yes | |||||||
Stockholder proposal requesting an independent Board Chairman | Security Holder | Voted For (BOD was against) | No | |||||||
Stockholder proposal requesting report on how health risks from | Security Holder | Voted For (BOD was against) | No | |||||||
Covid-19 impact the Company's tobacco sales decision making |
Form N-PX | |||
Fund Name: | SilverPepper Merger Arbitrage Fund | ||
Reporting Period: | 7/1/2020-6/30/2021 |
Issuer's Name | Exchange Ticker Symbol | Shareholder Meeting Date | Matter Identification | Proposal Type | Voted | Vote Cast | For/Against Management |
Anworth Mortgage Asset Corp | ANH | 3/17/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Anworth Mortgage Asset Corp | ANH | 3/17/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Bridge Bancorp | BDGE | 12/3/2020 | Approval of Merger Agreement | Management | Yes | For | For |
Bridge Bancorp | BDGE | 12/3/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Bridge Bancorp | BDGE | 12/3/2020 | Approval of Preferred Stock | Management | Yes | For | For |
Bridge Bancorp | BDGE | 12/3/2020 | Executive Compensation | Management | Yes | For | For |
BMC Stock Holdings | BMCH | 12/21/2020 | Approval of Merger Agreement | Management | Yes | For | For |
BMC Stock Holdings | BMCH | 12/21/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
BMC Stock Holdings | BMCH | 12/21/2020 | Executive Compensation | Management | Yes | For | For |
Cardtronics | CATM | 6/30/2021 | Election of Directors | Management | Yes | For | For |
Cardtronics | CATM | 6/30/2021 | Approval of Auditor | Management | Yes | For | For |
Cardtronics | CATM | 6/30/2021 | Approve Executive Compensation | Management | Yes | For | For |
Cardtronics | CATM | 5/7/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Cardtronics | CATM | 5/7/2021 | Executive Compensation | Management | Yes | For | For |
Century Bancorp | CNBKA | 7/7/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Diamond S Shipping | DSSI | 7/13/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Diamond S Shipping | DSSI | 7/13/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Diamond S Shipping | DSSI | 7/13/2021 | Executive Compensation | Management | Yes | For | For |
Devon Energy | DVN | 12/30/2020 | Approval of Merger Agreement | Management | Yes | For | For |
Devon Energy | DVN | 12/30/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Meridian Bancorp | EBSB | 8/5/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Meridian Bancorp | EBSB | 8/5/2021 | Executive Compensation | Management | Yes | For | For |
Meridian Bancorp | EBSB | 8/5/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Eidos Therapeutics Inc | EIDX | 1/19/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Eidos Therapeutics Inc | EIDX | 1/19/2021 | Executive Compensation | Management | Yes | For | For |
Eidos Therapeutics Inc | EIDX | 1/19/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
First Choice Bancorp | FCPB | 7/19/2021 | Approval of Merger Agreement | Management | Yes | For | For |
First Choice Bancorp | FCPB | 7/19/2021 | Adjournment of Special Meeting or Solicit Additional Votes | Management | Yes | For | For |
FBL Financial Group | FFG | 4/29/2021 | Approval of Merger Agreement | Management | Yes | For | For |
FBL Financial Group | FFG | 4/29/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
FBL Financial Group | FFG | 4/29/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
GLU Mobile | GLUU | 4/26/2021 | Approval of Merger Agreement | Management | Yes | For | For |
GLU Mobile | GLUU | 4/26/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
GLU Mobile | GLUU | 4/26/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
GW Pharmaceuticals | GPWH | 4/23/2021 | Approval of Scheme | Management | Yes | For | For |
GW Pharmaceuticals | GPWH | 4/23/2021 | Appove Actions Required by Scheme | Management | Yes | For | For |
GW Pharmaceuticals | GPWH | 4/23/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
HMS Holdings Corp | HMSY | 3/26/2021 | Approval of Merger Agreement | Management | Yes | For | For |
HMS Holdings Corp | HMSY | 3/26/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
HMS Holdings Corp | HMSY | 3/26/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Jernigan Capital | JCAP | 10/26/2020 | Approval of Scheme | Management | Yes | For | For |
Jernigan Capital | JCAP | 10/26/2020 | Appove Actions Required by Scheme | Management | Yes | For | For |
Jernigan Capital | JCAP | 10/26/2020 | Executive Compensation | Management | Yes | For | For |
Knoll Inc | KNL | 7/13/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Knoll Inc | KNL | 7/13/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Knoll Inc | KNL | 7/13/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Kearny Financial Corp | KRNY | 10/22/2020 | Election of Directors | Management | Yes | For | For |
Kearny Financial Corp | KRNY | 10/22/2020 | Approval of Auditor | Management | Yes | For | For |
Kearny Financial Corp | KRNY | 10/22/2020 | Approve Executive Compensation | Management | Yes | For | For |
Luminex Corp | LMNX | 6/21/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Luminex Corp | LMNX | 6/21/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Luminex Corp | LMNX | 6/21/2021 | Approve Executive Compensation | Management | Yes | For | For |
Livongo Health | LVGO | 10/29/2020 | Approval of Merger Agreement | Management | Yes | For | For |
Livongo Health | LVGO | 10/29/2020 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Livongo Health | LVGO | 10/29/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Magellan Health | MGLN | 3/31/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Magellan Health | MGLN | 3/31/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Magellan Health | MGLN | 3/31/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
MVC Capital | MVC | 12/23/2020 | Approval of Merger Agreement | Management | Yes | For | For |
MVC Capital | MVC | 12/23/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Navistar International Corp | NAV | 3/2/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Navistar International Corp | NAV | 3/2/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Navistar International Corp | NAV | 3/2/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Navistar International Corp | NAV | 3/2/2021 | Election of Directors | Management | Yes | For | For |
Navistar International Corp | NAV | 3/2/2021 | Approval of Auditors | Management | Yes | For | For |
National General Holdings Corp | NGHC | 10/30/2020 | Approval of Merger Agreement | Management | Yes | For | For |
National General Holdings Corp | NGHC | 10/30/2020 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
National General Holdings Corp | NGHC | 10/30/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 6/16/2021 | Approval of Directors | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 6/16/2021 | Executive Compensation | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 6/16/2021 | Approval of Auditors | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 7/1/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 7/1/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Premier Financial Bancorp | PFBI | 7/1/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Proofpoint, Inc | PFPT | 7/23/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Proofpoint, Inc | PFPT | 7/23/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Proofpoint, Inc | PFPT | 7/23/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Pacific Mercantile Bancorp | PFBC | 6//23/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Pacific Mercantile Bancorp | PFBC | 6//23/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Pacific Mercantile Bancorp | PFBC | 6//23/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
PNM Resources | PNM | 5/11/2021 | Approval of Directors | Management | Yes | For | For |
PNM Resources | PNM | 5/11/2021 | Executive Compensation | Management | Yes | For | For |
PNM Resources | PNM | 5/11/2021 | Approval of Auditors | Management | Yes | For | For |
PNM Resources | PNM | 5/11/2021 | Report on Voluntary Climate Activities | Dissidents | Yes | Against | For |
PRA Health Sciences | PRAH | 6/15/2021 | Approval of Merger Agreement | Management | Yes | For | For |
PRA Health Sciences | PRAH | 6/15/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
PRA Health Sciences | PRAH | 6/15/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/4/2021 | Approval of Directors | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/4/2021 | Executive Compensation | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/4/2021 | Approval of Auditors | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/5/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/5/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Protective Insurance Corp | PTVCB | 5/5/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Ringnet | RNET | 4/21/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Ringnet | RNET | 4/21/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Ringnet | RNET | 4/21/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Realpage, Inc | RP | 3/8/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Realpage, Inc | RP | 3/8/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Realpage, Inc | RP | 3/8/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Soliton, Inc | SOLY | 7/10/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Soliton, Inc | SOLY | 7/10/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
ESH Hospitality | STAY | 6/8/2021 | Approval of Merger Agreement | Management | Yes | For | For |
ESH Hospitality | STAY | 6/8/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
ESH Hospitality | STAY | 6/8/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Standard Avb Financial Corp | STND | 1/19/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Standard Avb Financial Corp | STND | 1/19/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Standard Avb Financial Corp | STND | 1/19/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
TCF Financial Corp | TCF | 3/25/2021 | Approval of Merger Agreement | Management | Yes | For | For |
TCF Financial Corp | TCF | 3/25/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
TCF Financial Corp | TCF | 3/25/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Vivent Solar Inc | VSLR | 10/1/2020 | Approval of Merger Agreement | Management | Yes | For | For |
Vivent Solar Inc | VSLR | 10/1/2020 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Vivent Solar Inc | VSLR | 10/1/2020 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
Waddell and Reed Financial | WDR | 3/23/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Waddell and Reed Financial | WDR | 3/23/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Waddell and Reed Financial | WDR | 3/23/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
PB Bancorp | PBBI | 5/18/2020 | Appointment of Directors | Management | Yes | For | For |
PB Bancorp | PBBI | 5/18/2020 | Executive Compensation | Management | Yes | For | For |
PB Bancorp | PBBI | 5/18/2020 | Appointment of Auditor | Management | Yes | For | For |
Slack Technologies | WORK | 3/2/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Slack Technologies | WORK | 3/2/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Watford Holdings | WTRE | 3/30/2021 | Approval of Merger Agreement | Management | Yes | For | For |
Watford Holdings | WTRE | 3/30/2021 | Executive Compensation Agreement in Connection with Merger | Management | Yes | For | For |
Watford Holdings | WTRE | 3/30/2021 | Adjournment of Special Meeting or Solicit Additional Proxies | Management | Yes | For | For |
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) Investment Managers Series Trust
By (Signature and Title)* | /s/ Maureen Quill | ||
Maureen Quill, President and Principal Executive Officer | |||
Date | August 26, 2021 |
* | Print the name and title of each signing officer under his or her signature. |