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- 21872
MUTUAL FUND SERIES TRUST
(Exact name of registrant as specified in charter)
4221 North 203rd Street, Suite 100
Elkhorn, Nebraska 68022-3474
(Address of principal executive offices) (Zip code)
CT CORPORATION SYSTEM
1300 EAST NINTH STREET
CLEVELAND, OH 44114
(Name and address of agent for service)
Registrant’s telephone number, including area code:
866-447-4228
Date of fiscal year end: March 31, June 30, and September 30
Date of reporting period: July 1, 2020 – June 30, 2021
ITEM 1. PROXY VOTING RECORD:
Item 1 Exhibits contains 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, 2021 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: Mutual Fund Series Trust | Fund Name - | AlphaCentric LifeSci Healthcare Fund | ||||||
Investment Compnay 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Reporting | ||||||||
(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 or Against Management |
CYTOKINETICS, INCORPORATED | CYTK | 23282W | Annual, May 12, 2021 | Vote Board of Directors: showing combined election of directors, radio button options Election of Director: Robert I. Blum Election of Director: Robert M. Califf, M.D. Election of Director: Sandford D. Smith Board Recommendation: For Election of Director: Robert I. Blum Election of Director: Robert M. Califf, M.D. Election of Director: Sandford D. Smit | MGMT | Y | FOR | FOR |
To approve the amendment and restatement of the Amended and Restated 2004 Equity Incentive Plan to increase the number of authorized shares reserved for issuance under the Amended and Restated 2004 Equity Incentive Plan by an additional 5,219,000 shares. | MGMT | Y | FOR | FOR | ||||
To ratify the Audit Committee of our Board of Directors' selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of the named executive officers, as identified and disclosed in the Cytokinetics, Incorporated Proxy Statement for the 2021 Annual Meeting of Stockholders. | MGMT | Y | FOR | FOR | ||||
COHERUS BIOSCIENCES INC | CHRS | 19249H | Annual, May 21, 2021 | Vote Board of Directors: Election of Director: V. Bryan Lawlis, Ph.D. Election of Director: Kimberly J. Tzoumakas Election of Director: Alan C. Mendelson | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
VERTEX PHARMACEUTICALS INCORPORATED | VRTX | 92532F | Annual, May 19, 2021 | Election of Director: Sangeeta Bhatia | MGMT | Y | FOR | FOR |
Election of Director: Lloyd Carney | MGMT | Y | FOR | FOR | ||||
Election of Director: Alan Garber | MGMT | Y | FOR | FOR | ||||
Election of Director: Terrence Kearney | MGMT | Y | FOR | FOR | ||||
Election of Director: Yuchun Lee | MGMT | Y | FOR | FOR | ||||
Election of Director: Jeffrey Leiden | MGMT | Y | FOR | FOR | ||||
Election of Director: Bruce Sachs | MGMT | Y | FOR | FOR | ||||
Ratification of Ernst & Young LLP as independent Registered Public Accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Advisory vote to approve named executive officer compensation. | MGMT | Y | FOR | FOR | ||||
Shareholder proposal, if properly presented at the meeting, regarding a report on lobbying activities. | SHAREHOLDER | Y | FOR | AGAINST | ||||
Shareholder proposal, if properly presented at the meeting, regarding a report on political spending. | SHAREHOLDER | Y | FOR | AGAINST | ||||
COLLEGIUM PHARMACEUTICAL, INC. | COLL | 19459J | Annual, May 20, 2021 | Election of Director: Rita Balice-Gordon, Ph.D. | MGMT | Y | FOR | FOR |
Election of Director: Garen Bohlin | MGMT | Y | FOR | FOR | ||||
Election of Director: Gwen Melincoff | MGMT | Y | FOR | FOR | ||||
Election of Director: Theodore Schroeder | MGMT | Y | FOR | FOR | ||||
Approval of, on an advisory basis, the compensation of the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
KARYOPHARM THERAPEUTICS INC. | KPTI | 48576U | Annual, May 21, 2021 | Vote Board of Directors: Election of Director: Deepika R. Pakianathan Election of Director: Richard Paulson Election of Director: Chen Schor | MGMT | Y | FOR | FOR |
To approve, on an advisory basis, the compensation of Karyopharm's named executive officers. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of Ernst & Young LLP as Karyopharm's independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
GILEAD SCIENCES, INC. | GILD | 375558 | Annual, May 12, 2021 | Election of Director to serve for the next year: Jacqueline K. Barton, Ph.D. | MGMT | Y | FOR | FOR |
Election of Director to serve for the next year: Jeffrey A. Bluestone, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Sandra J. Horning, M.D. | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Kelly A. Kramer | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Kevin E. Lofton | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Harish Manwani | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Daniel P. O'Day | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Javier J. Rodriguez | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for the next year: Anthony Welters | MGMT | Y | FOR | FOR | ||||
To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | MGMT | Y | FOR | FOR | ||||
To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | SHAREHOLDER | Y | FOR | AGAINST | ||||
REVANCE THERAPEUTICS, INC. | RVNC | 761330 | Annual, May 5, 2021 | Vote Board of Directors: Election of Director: Angus C. Russell Election of Director: Julian S. Gangolli Election of Director: Olivia C. Ware | MGMT | Y | FOR | FOR |
Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Approval of, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the proxy statement. | MGMT | Y | FOR | FOR | ||||
Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of common stock from 95,000,000 to 190,000,000 shares. | MGMT | Y | FOR | FOR | ||||
MERCK & CO., INC. | MRK | 58933Y | Annual, May 25, 2021 | Election of Director: Leslie A. Brun | MGMT | Y | FOR | FOR |
Election of Director: Mary Ellen Coe | MGMT | Y | FOR | FOR | ||||
Election of Director: Pamela J. Craig | MGMT | Y | FOR | FOR | ||||
Election of Director: Thomas H. Glocer | MGMT | Y | FOR | FOR | ||||
Election of Director: Risa J. Lavizzo-Mourey | MGMT | Y | FOR | FOR | ||||
Election of Director: Stephen L. Mayo | MGMT | Y | FOR | FOR | ||||
Election of Director: Paul B. Rothman | MGMT | Y | FOR | FOR | ||||
Election of Director: Patricia F. Russo | MGMT | Y | FOR | FOR | ||||
Election of Director: Christine E. Seidman | MGMT | Y | FOR | FOR | ||||
Election of Director: Inge G. Thulin | MGMT | Y | FOR | FOR | ||||
Election of Director: Kathy J. Warden | MGMT | Y | FOR | FOR | ||||
Election of Director: Peter C. Wendell | MGMT | Y | FOR | FOR | ||||
Non-binding advisory vote to approve the compensation of our named executive officers. | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of the Company's independent registered public accounting firm for 2021. | MGMT | Y | FOR | FOR | ||||
Shareholder proposal concerning a shareholder right to act by written consent. | SHAREHOLDER | Y | AGAINST | AGAINST | ||||
Shareholder proposal regarding access to COVID-19 products. | SHAREHOLDER | Y | AGAINST | AGAINST | ||||
KADMON HOLDINGS, INC. | KDMN | 48283N | Annual, May 12, 2021 | Vote Board of Directors: Election of Director: Harlan W. Waksal, M.D. Election of Director: Tasos G. Konidaris Election of Director: Eugene Bauer, M.D. Election of Director: Cynthia Schwalm Election of Director: David E. Cohen, MD, MPH Election of Director: Arthur Kirsch Election of Director: Nancy Miller-Rich | MGMT | Y | FOR | FOR |
To ratify the selection of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve an Amended and Restated 2016 Equity Incentive Plan. | MGMT | Y | FOR | FOR | ||||
INSMED INCORPORATED | INSM | 457669 | Annual, May 12, 2021 | Vote Board of Directors: Election of Director: David R. Brennan Election of Director: Leo Lee Election of Director: Carol A. Schafer Election of Director: Melvin Sharoky, M.D. | MGMT | Y | FOR | FOR |
An advisory vote on the 2020 compensation of our named executive officers. | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Approval of an amendment to the Insmed Incorporated 2019 Incentive Plan. | MGMT | Y | FOR | FOR | ||||
BIO-RAD LABORATORIES, INC. | BIO | 90572 | Annual, April 27, 2021 | Election of Nominee: Melinda Litherland | MGMT | Y | FOR | FOR |
Election of Nominee: Arnold A. Pinkston | MGMT | Y | FOR | FOR | ||||
PROPOSAL to ratify the selection of KPMG LLP to serve as the Company's independent auditors. | MGMT | Y | FOR | FOR | ||||
GLAXOSMITHKLINE PLC | GSK | 37733W | Annual May 5, 2021 | To receive and adopt the 2020 Annual Report | MGMT | Y | FOR | FOR |
To approve the Annual report on remuneration | MGMT | Y | FOR | FOR | ||||
To re-elect Sir Jonathan Symonds as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Emma Walmsley as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Charles Bancroft as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Vindi Banga as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Dr Hal Barron as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Dr Vivienne Cox as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Lynn Elsenhans as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Dr Laurie Glimcher as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Iain Mackay as a Director | MGMT | Y | FOR | FOR | ||||
To re-elect Urs Rohner as a Director | MGMT | Y | FOR | FOR | ||||
To re-appoint the auditor | MGMT | Y | FOR | FOR | ||||
To determine remuneration of the auditor | MGMT | Y | FOR | FOR | ||||
To authorise the Company and its subsidiaries to make donations to political organisations and incur political expenditure | MGMT | Y | FOR | FOR | ||||
To authorise allotment of shares | MGMT | Y | FOR | FOR | ||||
To disapply pre-emption rights - general power (Special resolution) | MGMT | Y | FOR | FOR | ||||
To disapply pre-emption rights - in connection with an acquisition or specified capital investment (Special resolution) | MGMT | Y | FOR | FOR | ||||
To authorise the Company to purchase its own shares (Special resolution) | MGMT | Y | FOR | FOR | ||||
To authorise exemption from statement of name of senior statutory auditor | MGMT | Y | FOR | FOR | ||||
To authorise reduced notice of a general meeting other than an AGM (Special resolution) | MGMT | Y | FOR | FOR | ||||
GALAPAGOS N V | GLPG | 36315X | Annual, April 28, 2021 | Acknowledgement and approval of the non-consolidated annual accounts of the Company for the financial year ended on 31 December 2020 and approval of the allocation of the annual result as proposed by the supervisory board. | MGMT | Y | FOR | FOR |
Acknowledgement and approval of the remuneration report. | MGMT | Y | FOR | FOR | ||||
Release from liability to be granted to the members of the supervisory board, the members of the former board of directors and the statutory auditor for the performance of their duties in the course of the financial year ended on 31 December 2020. | MGMT | Y | AGAINST | AGAINST | ||||
Re-appointment of Katrine Bosley as member of the supervisory board of the Company. | MGMT | Y | AGAINST | AGAINST | ||||
Re-appointment of Raj Parekh as member of the supervisory board of the Company. | MGMT | Y | AGAINST | AGAINST | ||||
ZYMEWORKS INC. | ZYME | 98985W | Annual, May 5, 2021 | Election of Directors : Election of Director: Susan Mahony Election of Director: Kelvin Neu Election of Director: Ali Tehrani | MGMT | Y | FOR | FOR |
To approve, on an advisory and non-binding basis, the compensation of the Company's named executive officers, as more particularly described in the accompanying proxy statement. | MGMT | Y | FOR | FOR | ||||
Appointment of KPMG LLP as Auditors of the Company for the ensuing year and authorizing the Directors to fix their remuneration. | MGMT | Y | FOR | FOR | ||||
HORIZON THERAPEUTICS PLC | HZNP | G46188 | Annual, April 29, 2021 | Election of Class I Director: William F. Daniel | MGMT | Y | FOR | FOR |
Election of Class I Director: H. Thomas Watkins | MGMT | Y | FOR | FOR | ||||
Election of Class I Director: Pascale Witz | MGMT | Y | FOR | FOR | ||||
Approval of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021 and authorization of the Audit Committee to determine the auditors' remuneration. | MGMT | Y | FOR | FOR | ||||
Approval, on an advisory basis, of the compensation of our named executive officers, as disclosed in the Proxy Statement. | MGMT | Y | FOR | FOR | ||||
Authorization for us and/or any of our subsidiaries to make market purchases or overseas market purchases of our ordinary shares. | MGMT | Y | FOR | FOR | ||||
Approval of the Amended and Restated 2020 Equity Incentive Plan. | MGMT | Y | FOR | FOR | ||||
ADAPTIMMUNE THERAPEUTICS PLC | ADAP | 00653A | Annual, May 14, 2021 | To re-elect as a director, Lawrence Alleva, who retires by rotation in accordance with the Articles of Association. | MGMT | Y | FOR | FOR |
To re-elect as a director, David Mott, who retires by rotation in accordance with the Articles of Association. | MGMT | Y | FOR | FOR | ||||
To re-elect as a director, Elliott Sigal, who retires by rotation in accordance with the Articles of Association. | MGMT | Y | FOR | FOR | ||||
To re-appoint KPMG LLP as auditors of the Company, to hold office until the conclusion of the next annual general meeting of shareholders. | MGMT | Y | FOR | FOR | ||||
To authorize the Audit Committee to determine our auditors' remuneration for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To adopt the U.K. statutory annual accounts and reports for the fiscal year ended December 31, 2020 and to note that the Directors do not recommend the payment of any dividend for the year ended December 31, 2020. | MGMT | Y | FOR | FOR | ||||
To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers for the year ended December 31, 2020. | MGMT | Y | FOR | FOR | ||||
To approve our U.K. statutory directors' remuneration report for the year ended December 31, 2020 (excluding our directors' remuneration policy). | MGMT | Y | FOR | FOR | ||||
To approve our directors' remuneration policy, which, if approved, will take effect upon conclusion of the Annual General Meeting. | MGMT | Y | FOR | FOR | ||||
To authorize the Directors under Section 551 of the U.K. Companies Act 2006 (the "2006 Act") to allot shares or to grant rights to subscribe for or to convert any security into shares. | MGMT | Y | FOR | FOR | ||||
To empower the Directors to allot equity securities for cash pursuant to Section 570(1) of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to that allotment. | MGMT | Y | FOR | FOR | ||||
BIOMARIN PHARMACEUTICAL INC. | BMRN | 09061G | Annual, May 25, 2021 | Vote Board of Directors: Vote Directors Individually showing combined election of directors, radio button options Election of Director: Jean-Jacques Bienaimé Election of Director: Elizabeth M. Anderson Election of Director: Willard Dere Election of Director: Michael Grey Election of Director: Elaine J. Heron Election of Director: Maykin Ho Election of Director: Robert J. Hombach Election of Director: V. Bryan Lawlis Election of Director: Richard A. Meier Election of Director: David E.I. Pyott Election of Director: Dennis J. Slamon Board Recommendation: For Election of Director: Jean-Jacques Bienaimé Election of Director: Elizabeth M. Anderson Election of Director: Willard Dere Election of Director: Michael Grey Election of Director: Elaine J. Heron Election of Director: Maykin Ho Election of Director: Robert J. Hombach Election of Director: V. Bryan Lawlis Election of Director: Richard A. Meier Election of Director: David E.I. Pyott Election of Director: Dennis J. Slamon | MGMT | Y | FOR | FOR |
To ratify the selection of KPMG LLP as the independent registered public accounting firm for BioMarin for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement. | MGMT | Y | FOR | FOR | ||||
To approve an amendment to the 2017 Equity Incentive Plan, as amended. | MGMT | Y | FOR | FOR | ||||
NEUROCRINE BIOSCIENCES, INC. | NBIX | 64125C | Annual, May 19, 2021 | Election of Director: William H Rastetter PhD Election of Director: George J. Morrow Election of Director: Leslie V. Norwalk | MGMT | Y | FOR | FOR |
Advisory vote to approve the compensation paid to the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
INCYTE CORPORATION | INCY | 45337C | Annual, May 26, 2021 | Election of Director: Julian C. Baker | MGMT | Y | FOR | FOR |
Election of Director: Jean-Jacques Bienaimé | MGMT | Y | FOR | FOR | ||||
Election of Director: Paul J. Clancy | MGMT | Y | FOR | FOR | ||||
Election of Director: Wendy L. Dixon | MGMT | Y | FOR | FOR | ||||
Election of Director: Jacqualyn A. Fouse | MGMT | Y | FOR | FOR | ||||
Election of Director: Edmund P. Harrigan | MGMT | Y | FOR | FOR | ||||
Election of Director: Katherine A. High | MGMT | Y | FOR | FOR | ||||
Election of Director: Hervé Hoppenot | MGMT | Y | FOR | FOR | ||||
Approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
Approve amendments to the Company's Amended and Restated 2010 Stock Incentive Plan. | MGMT | Y | FOR | FOR | ||||
Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2021. | MGMT | Y | FOR | FOR | ||||
EXELIXIS, INC. | EXEL | 30161Q | Annual, May 26, 2021 | Election of Director: Charles Cohen, Ph.D. | MGMT | Y | FOR | FOR |
Election of Director: Carl B. Feldbaum, Esq. | MGMT | Y | FOR | FOR | ||||
Election of Director: Maria C. Freire, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Alan M. Garber, M.D., Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Vincent T. Marchesi, M.D., Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Michael M. Morrissey, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Stelios Papadopoulos, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: George Poste, DVM, Ph.D., FRS | MGMT | Y | FOR | FOR | ||||
Election of Director: Julie Anne Smith | MGMT | Y | FOR | FOR | ||||
Election of Director: Lance Willsey, M.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Jack L. Wyszomierski | MGMT | Y | FOR | FOR | ||||
To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as Exelixis' independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of Exelixis' named executive officers, as disclosed in the accompanying Proxy Statement. | MGMT | Y | FOR | FOR | ||||
MORPHOSYS AG | MOR | 617760 | Annual, May 19, 2021 | Resolution on the discharge of Management Board members for the 2020 financial year. | MGMT | Y | FOR | FOR |
Resolution on the discharge of Supervisory Board members for the 2020 financial year. | MGMT | Y | FOR | FOR | ||||
Resolution on the appointment of the auditor for the 2021 financial year. | MGMT | Y | FOR | FOR | ||||
Election of Supervisory Board member: Dr. Marc Cluzel; (i) None; (ii) Moleac Pte. Ltd, Singapore (not listed), member of the Board of Directors; Griffon Pharmaceuticals Inc., Montreal, Canada (not listed), Member of the Board of Directors. | MGMT | Y | FOR | FOR | ||||
Election of Supervisory Board member: Ms. Krisja Vermeylen; (i) None; (ii) Diaverum AB, Lund, Sweden (not listed), Member of the Board of Directors. | MGMT | Y | FOR | FOR | ||||
Election of Supervisory Board member: Ms. Sharon Curran; (i) None; (ii) Circassia Pharmaceuticals plc, Oxford, United Kingdom (listed), member of the Board of Directors. | MGMT | Y | FOR | FOR | ||||
Resolution on the cancellation of Authorized Capital 2018-I and the creation of a new Authorized Capital 2021-I with the option to exclude statutory subscription rights; amendment to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
Resolution on the cancellation of Authorized Capital 2020-I and the creation of a new Authorized Capital 2021-II with the option to exclude statutory subscription rights; amendment to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
Resolution on the creation of an Authorized Capital 2021-III under exclusion of subscription rights for the purpose of serving "Restricted Stock Units" to be issued to senior managers and employees of MorphoSys US Inc. under the "Restricted Stock Unit Program 2021" of the Company; amendment to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
Resolution on the cancellation of Conditional Capital 2008-III, the reduction of Conditional Capital 2016-I and the reduction of Conditional Capital 2016-III; amendments to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
Resolution on the creation of a new Conditional Capital 2021-I and the authorization of the Management Board to issue convertible bonds/bonds with warrants with the option to exclude subscription rights; amendment to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
Resolution on the approval of the remuneration system for members of the Management Board. | MGMT | Y | FOR | FOR | ||||
Resolution on the remuneration of the members of the Supervisory Board. | MGMT | Y | FOR | FOR | ||||
Resolution on further amendments to the Articles of Association. | MGMT | Y | FOR | FOR | ||||
ATHIRA PHARMA INC. | ATHA | 04746L | Annual, May 27, 2021 | Election of Director: Tadataka Yamada Election of Director: Leen Kawas Election of Director: Barbara Kosacz | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
ZOGENIX, INC. | ZGNX | 98978L | Annual, May 27, 2021 | Election of Director: James B. Breitmeyer, M.D., Ph.D. | MGMT | Y | FOR | FOR |
Election of Director: Stephen J. Farr, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Director: Mary E. Stutts | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To consider and vote upon, on an advisory basis, the compensation of our named executive officers as disclosed in the proxy statement pursuant to the compensation disclosure rules of the Securities and Exchange Commission. | MGMT | Y | FOR | FOR | ||||
Approval of an amendment and restatement to our 2010 Equity Incentive Plan. | MGMT | Y | FOR | FOR | ||||
Approval of an amendment to our Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 100,000,000 to 200,000,000. | MGMT | Y | FOR | FOR | ||||
SAREPTA THERAPEUTICS INC. | SRPT | 803607 | Annual, June 3, 2021 | Election of Class II Director to hold office until the 2023 Annual meeting: Richard J. Barry | MGMT | Y | FOR | FOR |
Election of Class II Director to hold office until the 2023 Annual meeting: M. Kathleen Behrens, Ph.D. | MGMT | Y | FOR | FOR | ||||
Election of Class II Director to hold office until the 2023 Annual meeting: Claude Nicaise, M.D. | MGMT | Y | FOR | FOR | ||||
To hold an advisory vote to approve, on a non-binding basis, named executive officer compensation. | MGMT | Y | FOR | FOR | ||||
To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the current year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
ALLAKOS INC. | ALLK | 01671P | Annual, May 25, 2021 | Election of Director: Daniel Janney Election of Director: Robert E. Andreatta | MGMT | Y | FOR | FOR |
Ratification and approval of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Approval, on an advisory non-binding basis, of the compensation of the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
ALEXION PHARMACEUTICALS, INC. | ALXN | 15351 | Annual, May 11, 2021 | To adopt the Agreement and Plan of Merger, dated as of December 12, 2020 (as it may be amended from time to time, the "merger agreement") by and among Alexion, AstraZeneca PLC ("AstraZeneca"), Delta Omega Sub Holdings Inc., a wholly owned subsidiary of AstraZeneca ("Bidco"), Delta Omega Sub Holdings Inc. 1, a direct, wholly owned subsidiary of Bidco and Delta Omega Sub Holdings LLC 2, a direct, wholly owned subsidiary of Bidco (the "merger proposal"). | MGMT | Y | FOR | FOR |
To approve, on a non-binding, advisory basis, the compensation that may be paid or become payable to Alexion's named executive officers that is based on or otherwise relates to the transactions contemplated by the merger agreement. | MGMT | Y | FOR | FOR | ||||
To approve the adjournment of the Alexion special meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the Alexion special meeting to approve the merger proposal or to ensure that any supplement or amendment to this proxy statement/ prospectus is timely provided to Alexion stockholders. | MGMT | Y | FOR | FOR | ||||
AEGLEA BIOTHERAPEUTICS, INC. | AGLE | 00773J | Annual, June 8, 2021 | Election of Director: Russell J. Cox Election of Director: Ivana Magovcevic-Liebisch, Ph.D. | MGMT | Y | FOR | FOR |
Ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
APELLIS PHARMACEUTICALS INC. | APLS | 03753U | Annual, June 1, 2021 | Election of Director: Paul Fonteyne Election of Director: Stephanie M. O'Brien | MGMT | Y | FOR | FOR |
To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve an advisory vote on executive compensation. | MGMT | Y | FOR | FOR | ||||
PUMA BIOTECHNOLOGY, INC. | PBYI | 74587V | Annual, June 15, 2021 | Election of Director: Alan H. Auerbach Election of Director: Ann C. Miller Election of Director: Michael P. Miller Election of Director: Jay M. Moyes Election of Director: Adrian M. Senderowicz Election of Director: Brian Stuglik Election of Director: Troy E. Wilson | MGMT | Y | FOR | FOR |
Ratification of the selection of KPMG LLP as independent registered public accounting firm of Puma Biotechnology, Inc. for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Advisory (non-binding) vote to approve the compensation of Puma Biotechnology, Inc.'s named executive officers as described in the proxy statement. | MGMT | Y | FOR | FOR | ||||
Approve an amendment to extend the expiration date of a warrant issued to Alan H. Auerbach, as described in the proxy statement. | MGMT | Y | FOR | FOR | ||||
Approve an amendment to increase the number of shares of the Company's common stock reserved for issuance under its 2011 Incentive Award Plan, as described in the proxy statement. | MGMT | Y | FOR | FOR | ||||
ZENTALIS PHARMACEUTICALS, INC | ZNTL | 98943L | Annual, June 4, 2021 | Election of Director: Kimberly Blackwell, M.D Election of Director: Enoch Kariuki, Pharm.D. | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve the amendment and restatement of the Zentalis Pharmaceuticals, Inc. 2020 Employee Stock Purchase Plan. | MGMT | Y | FOR | FOR | ||||
BIOGEN INC. | BIIB | 09062X | Annual, June 2, 2021 | Election of Director to serve for a one-year term extending until the 2022 annual meeting: Alexander J. Denner | MGMT | Y | FOR | FOR |
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Caroline D. Dorsa | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: William A. Hawkins | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: William D. Jones | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Nancy L. Leaming | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Jesus B. Mantas | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Richard C. Mulligan | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Brian S. Posner | MGMT | Y | FOR | FOR | ||||
Election of Director to serve for a one-year term extending until the 2022 annual meeting: Michel Vounatsos | MGMT | Y | FOR | FOR | ||||
To ratify the selection of PricewaterhouseCoopers LLP as Biogen Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
Say on Pay - To approve an advisory vote on executive compensation. | MGMT | Y | FOR | FOR | ||||
To approve an amendment to Biogen's Amended and Restated Certificate of Incorporation, as amended, to add a federal forum selection provision. | MGMT | Y | FOR | FOR | ||||
Stockholder proposal requesting a report on Biogen's lobbying activities. | SHAREHOLDER | Y | FOR | AGAINST | ||||
Stockholder proposal requesting a report on Biogen's gender pay gap. | SHAREHOLDER | Y | AGAINST | AGAINST | ||||
APPLIED THERAPEUTICS, INC. | APLT | 03828A | Annual, June 3, 2021 | Election of Director: Joel Marcus Election of Director: Jay Skyler | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year 2021. | MGMT | Y | FOR | FOR | ||||
OYSTER POINT PHARMA, INC | OYST | 69242L | Annual, June 4, 2021 | Election of Director: Ali Behbahani, M.D. Election of Director: Benjamin Tsai Election of Director: Aimee Weisner | MGMT | Y | FOR | FOR |
Election of Director: Ali Behbahani, M.D. Election of Director: Benjamin Tsai Election of Director: Aimee Weisner | MGMT | Y | FOR | FOR | ||||
REGENERON PHARMACEUTICALS, INC. | REGN | 75886F | Annual, June 11, 2021 | Election of Director: N. Anthony Coles, M.D. | MGMT | Y | FOR | FOR |
Election of Director: Arthur F. Ryan | MGMT | Y | FOR | FOR | ||||
Election of Director: George L. Sing | MGMT | Y | FOR | FOR | ||||
Election of Director: Marc Tessier-Lavigne, Ph.D. | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
UNITED THERAPEUTICS CORPORATION | UTHR | 91307C | Annual, June 25, 2021 | Election of Director: Katherine Klein | MGMT | Y | FOR | FOR |
Election of Director: Ray Kurzweil | MGMT | Y | FOR | FOR | ||||
Election of Director: Linda Maxwell | MGMT | Y | FOR | FOR | ||||
Election of Director: Martine Rothblatt | MGMT | Y | FOR | FOR | ||||
Election of Director: Louis Sullivan | MGMT | Y | FOR | FOR | ||||
Advisory resolution to approve executive compensation. | MGMT | Y | FOR | FOR | ||||
Approval of the amendment and restatement of the United Therapeutics Corporation Amended and Restated 2015 Stock | MGMT | Y | FOR | FOR | ||||
Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2021. | MGMT | Y | FOR | FOR | ||||
INTRA-CELLULAR THERAPIES INC | ITCI | 46116X | Annual, June 21, 2021 | Election of Director: Sir Michael Rawlins, MD Election of Director: Joel S. Marcus | MGMT | Y | FOR | FOR |
To approve an amendment to the Company's Restated Certificate of Incorporation to increase the number of authorized shares of common stock for issuance from 100,000,000 to 175,000,000. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve by an advisory vote the compensation of the Company's named executive officers, as disclosed in the proxy statement. | MGMT | Y | FOR | FOR | ||||
CELLDEX THERAPEUTICS, INC. | CLDX | 15117B | Annual, June 17, 2021 | Election of Director: Karen L. Shoos Election of Director: Anthony S. Marucci Election of Director: Keith L. Brownlie Election of Director: Herbert J. Conrad Election of Director: James J. Marino Election of Director: Harry H. Penner, Jr. | MGMT | Y | FOR | FOR |
To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve our 2021 Omnibus Equity Incentive Plan. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement. | MGMT | Y | FOR | FOR | ||||
REATA PHARMACEUTICALS, INC. | RETA | 75615P | Annual, June 10, 2021 | Election of Director: William D. McClellan Jr Election of Director: William E. Rose | MGMT | Y | FOR | FOR |
To approve, on an advisory basis, the compensation of our named executive officers. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
COGENT BIOSCIENCES, INC. | COGT | 19240Q | Annual, June 16, 2021 | Election of Director: Andrew Robbins Election of Director: Peter Harwin | MGMT | Y | FOR | FOR |
An amendment and restatement of the 2018 Stock Option and Incentive Plan to increase the number of shares reserved for issuance. | MGMT | Y | FOR | FOR | ||||
Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
BLUEBIRD BIO, INC. | BLUE | 09609G | Annual, June 15, 2021 | Election of Class II Director: John O. Agwunobi, M.D. | MGMT | Y | FOR | FOR |
Election of Class II Director: Daniel S. Lynch | MGMT | Y | FOR | FOR | ||||
Election of Class II Director: William R. Sellers, M.D. | MGMT | Y | FOR | FOR | ||||
To approve, in a non-binding advisory vote, the compensation paid to the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
To recommend the frequency of future advisory votes on executive compensation. | MGMT | Y | FOR | FOR | ||||
To approve an amendment to the 2013 Employee Stock Purchase Plan. | MGMT | Y | FOR | FOR | ||||
To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
KINIKSA PHARMACEUTICALS, LTD. | KNSA | G5269C | Annual, June 29, 2021 | Election of Class III Director to serve until the 2024 Annual Meeting: Felix J. Baker | MGMT | Y | FOR | FOR |
Election of Class III Director to serve until the 2024 Annual Meeting: Tracey L. McCain | MGMT | Y | FOR | FOR | ||||
Election of Class III Director to serve until the 2024 Annual Meeting: Kimberly J. Popovits | MGMT | Y | FOR | FOR | ||||
The appointment of PricewaterhouseCoopers LLP as the Company's auditor | MGMT | Y | FOR | FOR | ||||
To approve on a non-binding advisory basis, the compensation of the named executive officers as disclosed in the Company's proxy statement for the 2021 Annual Meeting pursuant to the applicable compensation disclosure rules of the SEC, including the compensation tables and narrative discussion. | MGMT | Y | FOR | FOR | ||||
To approve on a non-binding advisory basis the frequency of future advisory votes on the compensation of the Company's named executive officers. | MGMT | Y | FOR | FOR | ||||
SUTRO BIOPHARMA, INC. | STRO | 869367 | Annual, June 3, 2021 | Election of Director: Joseph Lobacki Election of Director: Daniel Petree Election of Director: Shalini Sharp | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
MORPHIC HOLDING INC | MORF | 61775R | Annual, June 16, 2021 | Election of Director: Gustav Christensen Election of Director: Martin Edwards Election of Director: Susannah Gray Election of Director: Amir Nashat | MGMT | Y | FOR | FOR |
Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
ATRECA INC | BCEL | 04965G | Annual, June 9, 2021 | Election of Director: Brian Atwood Election of Director: W. H. Robinson, M.D PhD Election of Director: Tito A. Serafini, Ph.D. | MGMT | Y | FOR | FOR |
Ratification of the selection of OUM & Co. LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
FUSION PHARMACEUTICALS INC | FUSN | 36118A | Annual, June 4, 2021 | Election of Director: Donald Bergstrom MD PhD Election of Director: Pablo Cagnoni, M.D. Election of Director: Johan Christenson, Ph.D Election of Director: Barbara Duncan Election of Director: Steve Gannon Election of Director: Philina Lee, Ph.D. Election of Director: Chau Khuong Election of Director: Heather Preston, M.D. Election of Director: John Valliant, Ph.D. | MGMT | Y | FOR | FOR |
To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
MERSANA THERAPEUTICS, INC. | MRSN | 59045L | Annual, June 11, 2021 | Election of Director: Willard H. Dere, M.D. Election of Director: Martin Huber, M.D. | MGMT | Y | FOR | FOR |
To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the compensation of our named executive officers ("Say-on-Pay"), as disclosed in our proxy statement. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the preferred frequency of holding future Say-on-Pay votes on executive compensation. | MGMT | Y | FOR | FOR | ||||
CONSTELLATION PHARMACEUTICALS, INC. | CNST | 210373 | Annual, June 2, 2021 | Election of Director: Scott N. Braunstein Election of Director: Mark A. Goldsmith Election of Director: Jigar Raythatha | MGMT | Y | FOR | FOR |
To approve, on an advisory basis, the compensation paid to our named executive officers. | MGMT | Y | FOR | FOR | ||||
To approve, on an advisory basis, the frequency of future advisory votes on executive compensation. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
AXSOME THERAPEUTICS INC | AXSM | 05464T | Annual, June 4, 2021 | Election of Director: Herriot Tabuteau, M.D. Election of Director: Mark Coleman, M.D. | MGMT | Y | FOR | FOR |
To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
To approve, by non-binding advisory vote, the compensation of our named executive officers. | MGMT | Y | FOR | FOR | ||||
To approve, by non-binding advisory vote, the frequency of future votes on the compensation of our named executive officers | MGMT | Y | FOR | FOR | ||||
ARENA PHARMACEUTICALS, INC. | ARNA | 40047 | Annual, June 11, 2021 | Election of Director: Jayson Dallas, M.D. Election of Director: Oliver Fetzer, Ph.D. Election of Director: Kieran T. Gallahue Election of Director: Jennifer Jarrett Election of Director: Katharine Knobil, M.D. Election of Director: Amit D. Munshi Election of Director: Garry A. Neil, M.D. Election of Director: Tina S. Nova, Ph.D. Election of Director: Nawal Ouzren | MGMT | Y | FOR | FOR |
To approve, on an advisory basis, the compensation of our named executive officers, as disclosed in the proxy statement accompanying this notice. | MGMT | Y | FOR | FOR | ||||
To approve the Arena Pharmaceuticals, Inc. 2021 Long-Term Incentive Plan. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of KPMG LLP, an independent registered public accounting firm, as our independent auditors for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
CATALYST BIOSCIENCES, INC. | CBIO | 14888D | Annual, June 9, 2021 | Election of Director: Errol B De Souza, Ph.D. Election of Director: Sharon Tetlow | MGMT | Y | FOR | FOR |
To amend the Catalyst Biosciences, Inc. 2018 Omnibus Incentive Plan to increase the number of shares of common stock reserved for issuance thereunder by 2,500,000 shares. | MGMT | Y | FOR | FOR | ||||
To approve the compensation of the Company's Named Executive Officers in a non-binding advisory vote. | MGMT | Y | FOR | FOR | ||||
To ratify the appointment of EisnerAmper LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR | ||||
CONTENT KEY: | ||||||||
(a) Issuers Name - (security name from ballot voted) | ||||||||
(b) Exchange Ticker Symbol | ||||||||
(c) Cusip # | ||||||||
(d) Meeting Type & Date - e.g., ANNUAL or SPECIAL; MM/DD/YYYY | ||||||||
(e )Brief Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. | ||||||||
(f) Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) | ||||||||
(g) Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. | ||||||||
(h) How Vote Cast - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | ||||||||
(I) Voted with mgmt's recommendation or against mgmt. recommendation |
Registrant: Mutual Fund Series Trust | Fund Name - | Camelot Excalibur Small Cap Income Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - July 31, 2020 Fund's liquidation | ||||||||
N-PX Form 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 or Against Management |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | An ordinary resolution to appoint Ernst & Young LLP, Chartered Accountants, Calgary, Alberta, as auditor of Obsidian Energy for the ensuing year. | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: John Brydson | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Raymond D. Crossley | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Michael Faust | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: William A. Friley | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Maureen Cormier Jackson | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Edward H. Kernaghan | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Stephen Loukas | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Gordon Ritchie | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Advisory vote approvng Obsidian Energy's approach to executive compensation as more particularly described in the information circular and proxy statement of Odsidian Energy dated June 15, 2020. | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving an amendment to the stock options plan, as more particularly described in the accompanying information circular. | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving all of the unallocated options to aquire common shares under the amended and restated stock option plan, as more particularly described in the informaiton circular. | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving an amendment to the restricted and performance share unit plan, as more particularly described in the accompandying information circular. | MGMT | YES | FOR | FOR |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving all of the unallocated share unit awards issuable under the amended and restarted restricted and performance share unit award plan, as more particularly described in the accompanying informaiton circular. | MGMT | YES | FOR | FOR |
APOLLO INVESTMENT CORPORATION | AINV | 03761U502 | 8/11/20 | Election of Director: Jeanette W. Loeb | MGMT | YES | FOR | FOR |
APOLLO INVESTMENT CORPORATION | AINV | 03761U502 | 8/11/20 | Election of Director: Frank C. Puleo | MGMT | YES | FOR | FOR |
APOLLO INVESTMENT CORPORATION | AINV | 03761U502 | 8/11/20 | Election of Director: Howard T. Widra | MGMT | YES | FOR | FOR |
APOLLO INVESTMENT CORPORATION | AINV | 03761U502 | 8/11/20 | To ratify the selection of Pricewaterhousecoopers LLP as Apollo Investment Corporation's (the "company") independent registered public accounting firm for the fiscal year ending March 31, 2021. | MGMT | YES | FOR | FOR |
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAW8 | 7/31/20 | Vote on the plan. | MGMT | YES | FOR | FOR |
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAW8 | 7/31/20 | Opt out of the third-party release. | MGMT | YES | FOR | FOR |
MAIDEN HOLDINGS LTD. | MHLD | G5753U146 | 8/4/20 | Election of Director: Paul S. Giordano | MGMT | YES | FOR | FOR |
MAIDEN HOLDINGS LTD. | MHLD | G5753U146 | 8/4/20 | Election of Director: Claude LeBlanc | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Karey D. Barker | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Waldemar A. Carlo, M.D. | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Paul G. Gabos | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Manuel Kadre | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Thomas A. McEachin | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Roger J. Medel, M.D. | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Mark S. Ordan | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Michael A. Rucker | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Guy P. Sansone | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: John M. Starcher, Jr. | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Election of Director: Shirley A. Weis | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Proposal to approve the Articles of amendment to the Amended and Restated Articles of Incorporation, as amended, of MEDNAX, Inc. to change the Company's name to Pediatrix Medical Group, Inc." | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Proposal to approve the Articles of amendment to the Amended and Restated Articles of Incorporation, as amended, of MEDNAX Services, Inc., a subsidiary of the Company, to change its name to "PMG Services, Inc." | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Proposal to ratify the appointment of Precewaterhousecoopers LLP as our independent registered public accounting firm for the 2020 fiscal year. | MGMT | YES | FOR | FOR |
MEDNAX, INC. | MD | 58502B106 | 9/9/20 | Proposal to approve, by non-binding advisory vote, the compensation of our named executive officers for the 2019 fiscal year. | MGMT | YES | FOR | FOR |
FUTUREFUEL CORP | FF | 36116M106 | 9/3/20 | Election of Director: Paul A. Manheim | MGMT | YES | FOR | FOR |
FUTUREFUEL CORP | FF | 36116M106 | 9/3/20 | Election of Director: Jeffrey L. Schwartz | MGMT | YES | FOR | FOR |
FUTUREFUEL CORP | FF | 36116M106 | 9/3/20 | Election of Director: Rose M. Sparks | MGMT | YES | FOR | FOR |
FUTUREFUEL CORP | FF | 36116M106 | 9/3/20 | To ratify the appointment of RSM US LLP as our independent auditor for the year ending December 31, 2020. | MGMT | YES | FOR | FOR |
FUTUREFUEL CORP | FF | 36116M106 | 9/3/20 | To make an advisory vote to approve the compensation of our named executive officers. | MGMT | YES | FOR | FOR |
THE NEIMAN MARCUS GROUP, INC. | NYSE | 640204ab9 | 8/31/20 | Vote on the plan. | MGMT | YES | N/A | N/A |
THE NEIMAN MARCUS GROUP, INC. | NYSE | 640204ab9 | 8/31/20 | Opt out of the third-party release. | MGMT | YES | N/A | N/A |
Registrant: Mutual Fund Series Trust | Fund Name - | Camelot Premium Return Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - September 30, 2020 the Fund's Liquidation | ||||||||
N-PX Form 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 or Against Management |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | An ordinary resolution to appoint Ernst & Young LLP, Chartered Accountants, Calgary, Alberta, as auditor of Obsidian Energy for the ensuing year. | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: John Brydson | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Raymond D. Crossley | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Michael Faust | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: William A. Friley | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Maureen Cormier Jackson | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Edward H. Kernaghan | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Stephen Loukas | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Election of Director: Gordon Ritchie | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | Advisory vote approvng Obsidian Energy's approach to executive compensation as more particularly described in the information circular and proxy statement of Odsidian Energy dated June 15, 2020. | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving an amendment to the stock options plan, as more particularly described in the accompanying information circular. | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving all of the unallocated options to aquire common shares under the amended and restated stock option plan, as more particularly described in the informaiton circular. | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving an amendment to the restricted and performance share unit plan, as more particularly described in the accompandying information circular. | Mgmt | Yes | For | For |
OBSIDIAN ENERGY LTD. | OBELF | 674482203 | 7/30/2020 | A resolution approving all of the unallocated share unit awards issuable under the amended and restarted restricted and performance share unit award plan, as more particularly described in the accompanying informaiton circular. | Mgmt | Yes | For | For |
Mgmt | Yes | For | For | |||||
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAW8 | 7/31/2020 | Vote on the plan | Mgmt | Yes | For | For |
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAW8 | 7/31/2020 | Opt out of the Third-party release | Mgmt | Yes | For | For |
Mgmt | Yes | For | For | |||||
INVESCO DYNAMIC CREDIT OPP FUND COM | VTA | 46132R104 | 8/7/2020 | Election of Director: Beth Ann Brown | Mgmt | Yes | For | For |
INVESCO DYNAMIC CREDIT OPP FUND COM | VTA | 46132R104 | 8/7/2020 | Election of Director: Anthony J. LaCava, Jr. | Mgmt | Yes | For | For |
INVESCO DYNAMIC CREDIT OPP FUND COM | VTA | 46132R104 | 8/7/2020 | Election of Director: Joel W. Motley | Mgmt | Yes | For | For |
INVESCO DYNAMIC CREDIT OPP FUND COM | VTA | 46132R104 | 8/7/2020 | Election of Director: Teresa M. Ressel | Mgmt | Yes | For | For |
INVESCO DYNAMIC CREDIT OPP FUND COM | VTA | 46132R104 | 8/7/2020 | Election of Director: Christopher L. Wilson | Mgmt | Yes | For | For |
INVESCO SENIOR INCOME TRUST COMMON | VVR | 46131H107 | 8/7/2020 | Election of Director: Beth Ann Brown | Mgmt | Yes | For | For |
INVESCO SENIOR INCOME TRUST COMMON | VVR | 46131H107 | 8/7/2020 | Election of Director: Anthony J. LaCava, Jr. | Mgmt | Yes | For | For |
INVESCO SENIOR INCOME TRUST COMMON | VVR | 46131H107 | 8/7/2020 | Election of Director: Joel W. Motley | Mgmt | Yes | For | For |
INVESCO SENIOR INCOME TRUST COMMON | VVR | 46131H107 | 8/7/2020 | Election of Director: Teresa M. Ressel | Mgmt | Yes | For | For |
INVESCO SENIOR INCOME TRUST COMMON | VVR | 46131H107 | 8/7/2020 | Election of Director: Christopher L. Wilson | Mgmt | Yes | For | For |
Mgmt | Yes | For | For | |||||
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAQ1 | 7/30/2020 | VOTE ON THE PLAN | Mgmt | Yes | For | For |
FRONTIER COMMUNICATIONS CORP | FTRCQ | 35906AAQ1 | 7/30/2020 | OPT OUT OF THE THIRD-PARTY RELEASE | Mgmt | Yes | For | For |
Mgmt | Yes | For | For | |||||
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | To receive, consider and adopt the Audited Financial Statements of the Company for the financial year ended March 31, 2020 together with the reports of the Board of Directors and the Auditors thereon. | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | To receive, consider and adopt the Audited Financial Statements of the Company for the financial year ended March 31, 2020 together with the reports of the Auditors thereon. | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | To appoint a Director in place of Dr. Ralf Speth who, retires by rotation and being eligible, offers himself for re-appointment. | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | Approval and ratification for payment of Minimum remuneration to Mr. Guenter Butschek, Chief Executive Officer and Managing Director for FY 2019-2020. | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | Approval for payment of Minimum Remuneration to Mr. Guenter Butschek, chief executive officer and Managing Director in case of no/inadequacy of profits during FY 2020-2021. | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | Appointment of Branch Auditors | Mgmt | Yes | For | For |
TATA MOTORS LIMITED | TTM | 876568502 | 8/25/2020 | Ratification of Cost Auditor's Remuneration. | Mgmt | Yes | For | For |
Mgmt | Yes | For | For | |||||
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Thomas E.. Faust Jr. | Mgmt | Yes | For | For |
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Cynthia E. Frost | Mgmt | Yes | For | For |
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Susan J. Sutherland | Mgmt | Yes | For | For |
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Stephen G. Flanagan | Mgmt | Yes | For | For |
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Frederic Gabriel | Mgmt | Yes | For | For |
EATON VANCE SENIOR INCOME TRUST - COMMON | EVF | 27826S103 | 11/12/2020 | Election of Director: Christopher A. Klepps | Mgmt | Yes | For | For |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst Enhanced Income Srategy Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst Energy Infrastructure Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
(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 or Against Management |
Nextdecade Corporation | NEXT | 65342K105 | 6/15/2021 | Q.1 Election of directors | MGMT | Y | FOR | FOR |
Nextdecade Corporation | NEXT | 65342K106 | 6/15/2021 | Q.2 potential issuance of number of shares | MGMT | Y | FOR | FOR |
Nextdecade Corporation | NEXT | 65342K107 | 6/15/2021 | Q.3 Amend the company 2017 Omnibus Incentive Plan | MGMT | Y | FOR | FOR |
Nextdecade Corporation | NEXT | 65342K108 | 6/15/2021 | Q.4 Advisory basic compensation company name | MGMT | Y | FOR | FOR |
Nextdecade Corporation | NEXT | 65342K109 | 6/15/2021 | Q.5 Non Binding advisory basics | MGMT | Y | FOR | FOR |
Nextdecade Corporation | NEXT | 65342K110 | 6/15/2021 | Q.6 Ratify reapointment Grant Thornton | MGMT | Y | FOR | FOR |
Tellurian | TELL | 294600101 | 6/9/2021 | Vote for nominees & accounting firm | MGMT | Y | FOR | FOR |
Plain GP Holdings L.P. | PAGP | 559080106 | 5/19/2021 | Directors, accounting firm,excecutive officer & Incentive Plan | MGMT | Y | FOR | FOR |
Pembina Pipeline Corporation | PBA | 706327103 | 7/29/2021 | Inter Pipeline Acquisition | MGMT | Y | FOR | FOR |
Pembina Pipeline Corporation | PBA | 706327103 | 7/29/2021 | Inter Pipeline Acquisition | MGMT | Y | FOR | FOR |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Warrington Strategic Program | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period |
Registrant: Mutual Fund Series Trust | Fund Name - | EAVOL NASDAQ 100 Volatility Overlay Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Lyons Tactical Allocation Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
(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 or Against Management |
United Health Group | UNH | 91324P102 | 6/7/2021 | 1a. Election of directors - Richard T. Burke | MGMT | Y | FOR | WITH |
1b. Election of directors - Timothy P. Flynn | MGMT | Y | FOR | WITH | ||||
1c. Election of directors - Stephen J. Hemsley | MGMT | Y | FOR | WITH | ||||
1d. Election of directors - Michele J. Hooper | MGMT | Y | FOR | WITH | ||||
1e. Election of directors - F. William McNabb III | MGMT | Y | FOR | WITH | ||||
1f. Election of directors - Valerie C. Montgomery Rice, M.D. | MGMT | Y | FOR | WITH | ||||
1g Election of directors - John H. Noseworthy, MD | MGMT | Y | FOR | WITH | ||||
1h Election of directors - Gail R. Wilensky, PhD | MGMT | Y | FOR | WITH | ||||
1i Election of directors - Andrew Witty | MGMT | Y | FOR | WITH | ||||
2. Advisory approval of Company's exec comp | MGMT | Y | FOR | WITH | ||||
3. Ratification of Deloitte & Touche LLP as independent accounting firm for year ending 12/31/21 | MGMT | Y | FOR | WITH | ||||
4. Approval of amendment to company's 1993 Employee Stock Purchase Plan | MGMT | Y | FOR | WITH | ||||
5. Shareholder proposal requesting reduction of share ownership threshold for calling a special meeting of shareholders | SHAREHOLDER | Y | AGAINST | WITH | ||||
Advance Auto Parts | AAP | 00751Y106 | 5/26/2021 | 1a. Election of directors - Carla J Bailo | MGMT | Y | FOR | WITH |
1b. Election of directors - John F Ferraro | MGMT | Y | FOR | WITH | ||||
1c. Election of directors - Thomas R Greco | MGMT | Y | FOR | WITH | ||||
1d. Election of directors - Jeffrey J Jones II | MGMT | Y | FOR | WITH | ||||
1e. Election of directors - Eugene I Lee Jr | MGMT | Y | FOR | WITH | ||||
1f. Election of directors - Sharon L McCollam | MGMT | Y | FOR | WITH | ||||
1g. Election of directors - Douglas A Pertz | MGMT | Y | FOR | WITH | ||||
1h. Election of directors - Nigel Travis | MGMT | Y | FOR | WITH | ||||
1i. Election of directors - Arthur L Valdez Jr | MGMT | Y | FOR | WITH | ||||
2. Approve exec compensation | MGMT | Y | FOR | WITH | ||||
3. Ratify Deloitte & Touche LLP as independent accounting firm for 2021 | MGMT | Y | FOR | WITH | ||||
4. Shareholder proposal amending proxy access rights to remove the shareholder aggregation limit | SHAREHOLDER | Y | AGAINST | WITH |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Millburn Dynamic Commodity Strategy Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Millburn Hedged Strategy Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst Small Cap Insider Buying Fund | |||||||
Investment Company 1940 Act File # 811-21872 | |||||||||
Reporting Period: July 1, 2020 - April 9, 2021 (Fund was then merged into Catalyst Insider Buying Fund) | |||||||||
N-PX Form Requirements | |||||||||
(a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | Annual/ Special | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For or Against Management |
Inphi Corporation | IPHI | 45772F107 | 4/15/2021 | Special | Approvethe adoption of Plan of Merger and Reorganization | MGMT | Y | FOR | FOR |
Solicit additional proxies if there are not sufficient votes | MGMT | Y | FOR | FOR | |||||
Approval of Compensation | MGMT | Y | FOR | FOR | |||||
New Relic Inc | NEWR | 64829B100 | 8/19/2020 | Annual | To elect the two nominees for director named in the Proxy Statement accompanying this Notice to the Board of Directors to hold office until the 2023 Annual Meeting of Stockholders. | MGMT | N | n/a | n/a |
To approve, on an advisory basis, the compensation of the Company’s named executive officers, as disclosed in the Proxy Statement accompanying this Notice. | MGMT | N | n/a | n/a | |||||
To ratify the selection by the Audit Committee of the Board of Directors of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending March 31, 2021. | MGMT | N | n/a | n/a | |||||
Take-Two Interactive Software Inc | TTWO | 874054109 | 9/16/2020 | Annual | Election of Directors | mgmt. | N | n/a | n/a |
non-binding advisory basis, of the companesation of the Company's named executive officers' | mgmt. | N | n/a | n/a | |||||
approval of the amended and Restate 2017 stock incentive plan | mgmt. | N | n/a | n/a | |||||
Ratification of E&Y as aditors fye 3-31-2021 | mgmt. | N | n/a | n/a | |||||
Mimecast Ltd | MIME | G14838109 | 10/8/2020 | Annual | re-elect of Directors | mgmt. | N | n/a | n/a |
Auditors | mgmt. | N | n/a | n/a | |||||
Advisory, Non Binding | mgmt. | N | n/a | n/a | |||||
Fiverr International Ltd | FVRR | M4R82T106 | 8/20/2020 | Annual | Reelect Philippe Botteri as Director | mgmt. | N | n/a | n/a |
Reelect Jonathan Kolber as Director | mgmt. | N | n/a | n/a | |||||
Approve Employee Stock Purchase Plan | mgmt. | N | n/a | n/a | |||||
Reappoint Kost Forer Gabbay & Kasierer as Auditors and Authorize Board to Fix Their Remuneration | mgmt. | N | n/a | n/a | |||||
Paysign Inc. | PAYS | 70451A104 | 12/11/2020 | Annual | To elect the seven nominees named in this proxy statement for director to hold office until the 2021 annual meeting of our stockholders. | mgmt. | N | n/a | n/a |
To ratify the selection of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | mgmt. | N | n/a | n/a | |||||
Hilton Grand Vacations Inc. | HGV | 43283X105 | 5/4/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Ernst & Young LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
GEO Group Inc. (The) | GEO | 36162J106 | 4/28/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Grant Thornton LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Approve Stock Incentive Plan | MGMT | Y | FOR | FOR | |||||
Approve Employee Stock Purchase Plan | MGMT | Y | FOR | FOR | |||||
Shareholder proposal regarding a lobbying report | Shareholder | Y | AGAINST | AGAINST | |||||
Paylocity Holding Corporation | PCTY | 70438V106 | 12/3/2020 | Annual | To elect three Class I directors to hold office for three-year terms or until their respective successors are elected and qualified, or their earlier death, resignation or removal. | mgmt. | N | n/a | n/a |
To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2021. | mgmt. | N | n/a | n/a | |||||
To vote on a non-binding basis to approve the compensation of our named executive officers. | mgmt. | N | n/a | n/a | |||||
Cerence Inc. | CRNC | 156727109 | 2/11/2021 | Annual | Election of the two Class II directors named in the proxy statement | mgmt. | N | n/a | n/a |
Ratification of the appointment of BDO USA, LLP as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 202 | mgmt. | N | n/a | n/a | |||||
Stitch Fix Inc | SFIX | 860897107 | 12/16/2020 | Annual | To elect our three nominees for director named in the accompanying Proxy Statement to hold office until the 2023 Annual Meeting of Stockholders. | mgmt. | N | n/a | n/a |
To approve, on an advisory basis, the compensation of the Company’s named executive officers, as disclosed in the accompanying Proxy Statement. | mgmt. | N | n/a | n/a | |||||
To ratify the selection by the Audit Committee of the Board of Directors of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for its fiscal year ending July 31, 2021. | mgmt. | N | n/a | n/a | |||||
Everbridge Inc. | EVBG | 29978A104 | 5/20/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Ernst & Young LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Approve declassification of board of directors | MGMT | Y | FOR | FOR | |||||
Repligen Corporation | EVBG | 29978A104 | 5/20/2021 | Annual | Approve the supermajority voting requirement | MGMT | Y | FOR | FOR |
Approve all directors | MGMT | Y | FOR | FOR | |||||
Ratify appointment of Ernst & Young LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Zynex Inc. | ZYXI | 98986M103 | 5/20/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Plante & Moran, PLLC | MGMT | Y | FOR | FOR | |||||
XPEL Inc. | XPEL | 98379L100 | 5/27/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Baker Tilly US, LLP | MGMT | Y | FOR | FOR | |||||
Exponent Inc. | EXPO | 30214U102 | 6/3/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of KPMG LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Red Violet Inc. | RDVT | 75704L104 | 5/26/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Grant Thornton LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Joint Corporation (The) | JYNT | 47973J102 | 5/28/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Ratify appointment of BDO USA, LLP | MGMT | Y | FOR | FOR | |||||
At Home Group Inc. | HOME | 04650Y100 | 6/16/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Ratify appointment of Ernst & Young LLP | MGMT | Y | FOR | FOR | |||||
Approve Equity Incentive Plan | MGMT | Y | FOR | FOR | |||||
RingCentral Inc. | RNG | 76680R206 | 6/4/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of KPMG LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR | |||||
Upland Software Inc. | UPLD | 91544A109 | 6/9/2021 | Annual | Approve all directors | MGMT | Y | FOR | FOR |
Ratify appointment of Ernst & Young LLP | MGMT | Y | FOR | FOR | |||||
Approve executive comp | MGMT | Y | FOR | FOR |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/SMH High Income Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst SMH Total Return Income Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period. |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Stone Beach Income Opportunity Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the reporting period. |
Registrant: Mutual Fund Series Trust | Fund Name - | AlphaCentric Municipal Opportunities Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst/Teza Algorithmic Allocation Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
No proxies voted during the Reporting Period |
Registrant: Mutual Fund Series Trust | Fund Name - | Catalyst Dynamic Alpha Fund | ||||||
Investment Company 1940 Act File # 811-21872 | ||||||||
Reporting Period: July 1, 2020 - June 30, 2021 | ||||||||
N-PX Form 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 or Against Management |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Edward Barnholt | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Robert Calderoni | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Jeneanne Hanley | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Emiko Higashi | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Kevin Kennedy | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Gary Moore | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Marie Myers | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one year term: Kiran Patel | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Victor Peng | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one-year term: Robert Rango | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Election of Director for a one year-term: Richard Wallace | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Ratification of the apppointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2021. | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Approval on a non-binding, advisory basis of our named executive officer compensation. | MGMT | Y | FOR | FOR |
KLA CORPORATION | KLAC | 482480100 | ANNUAL - 11/4/2020 | Stockholder proposal regarding proxy access, if properly submitted at the Annual Meeting. | SHAREHOLD | Y | AGAINST | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | SPECIAL - 12/22/2020 | Approval of the issuance of shares of Builders FirstSource, Inc. common stock to the stockholders of BMC Stock Holdings, Inc. pursuant to the merger agreement. | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | SPECIAL - 12/22/2020 | Adoption of an amendment to the charter to increase the number of authorized shares of common stock. | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | SPECIAL - 12/22/2020 | Approval of the adjournment of the Builders FirstSource, Inc. stockholder meeting in accordance with the merger agreement, including to solicit additional proxies if there are not sufficient votes. | MGMT | Y | FOR | FOR |
ROCKWELL AUTOMATION, INC. | ROK | 773903109 | ANNUAL - 2/2/2021 | Director William P. Gipson, J. Phillip Holloman,Steven R. Kalmanson. Lawrence D. Kingsley, Lisa A. Payne. | MGMT | Y | FOR | FOR |
ROCKWELL AUTOMATION, INC. | ROK | 773903109 | ANNUAL - 2/2/2021 | To approve, on an advisory basis, the compensation of the Corporation's named executive officers. | MGMT | Y | FOR | FOR |
ROCKWELL AUTOMATION, INC. | ROK | 773903109 | ANNUAL - 2/2/2021 | To approve the selection of Deloitte & Touche LLP as the Corporation's independent registered public accounting firm. | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: James Bell | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Tim Cook | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Al Gore | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Andrea Jung | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Art Levinson | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Monica Lozano | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Ron Sugar | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Election of Director: Sue Wagner | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for fiscal 2021 | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | Advisory vote to approve executive compensation | MGMT | Y | FOR | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | SHAREHOLDER | Y | AGAINST | FOR |
APPLE INC. | AAPL | 037833100 | ANNUAL - 2/23/2021 | A shareholder proposal entitled "Shareholder Proposal to Improve Executive Compensation Program" | SHAREHOLDER | Y | AGAINST | FOR |
BAIDU, INC. | BIDU | 056752108 | SPECIAL - 3/1/2021 | Change of Authorised Share Capital by One-to-Eighty Subdivision of Shares: By an Ordinary Resolution that each share classified as Class A ordinary shares, Class B ordinary shares and preferred shares of a par value of US $0.00005 each in the share capital of the Company (including authorised issued and unissued class A ordinary shares, class B ordinary shares and preferred shares) be sub-divided into 80 shares of a par value of US$0.000000625 each (the "Subdivision"), such that, following ...(due to space limits, see proxy material for full proposal). | MGMT | Y | FOR | AGAINST |
IHS MARKIT LTD | INFO | G47567105 | SPECIAL - 3/11/2021 | Approval and Adoption of the Merger Agreement, the Statutory Merger Agreement and the Transactions Contemplated Thereby. To vote on a proposal to approve and adopt the Agreement and Plan of Merger, dated as of November 29, 2020, as amended by Amendment No .1, dated as of January 20, 2021, and as it may further be amended from time to time, by and among S&P Global Inc., Sapphire Subsidiary, Ltd., and IHS Markit Ltd., the statutory merger agreement among the same, and the transactions contemplated thereby. | MGMT | Y | FOR | FOR |
IHS MARKIT LTD | INFO | G47567105 | SPECIAL - 3/11/2021 | IHS Markit Ltd. Merger-Related Compensation. To vote on a proposal to approve, by advisory (non-binding) vote, certain compensation arrangements that may be paid or become payable to IHS Markit Ltd.'s named executive officers in connection with the merger. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Approve the Company's annual accounts for the financial year ended December 31, 2020 and the Company's consolidated financial statements for the financial year ended December 31, 2020. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Approve allocation of the Company's annual results for the financial year ended December 31, 2020. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Grant discharge of the liability of the members of the Board of Directors for, and in connection with, the financial year ended December 31, 2020. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Daniel Ek (A Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Martin Lorentzon (A Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Shishir Samir Mehrotra (A Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Christopher Marshall (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Barry McCarthy (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Ms. Heidi O'Neill (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Ted Sarandos (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Mr. Thomas Owen Staggs (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Ms. Cristina Mayville Stenbeck (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Ms. Mona Sutphen (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Election of Director: Ms. Padmasree Warrior (B Director) | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Appoint Ernst & Young S.A. (Luxembourg) as the independent auditor for the period ending at the general meeting approving the annual accounts for the financial year ending on December 31, 2021. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Approve the directors' remuneration for the year 2021. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Authorize the Board to repurchase 10,000,000 shares issued by the Company during a period of five years, for a price that will be determined by the Board within the following limits: at least the par value and at the most the fair market value. | MGMT | Y | FOR | FOR |
SPOTIFY TECHNOLOGY S.A. | SPOT | L8681T102 | ANNUAL - 4/21/2021 | Authorize and empower each of Mr. Guy Harles and Mr. Alexandre Gobert to execute and deliver, under their sole signature, on behalf of the Company and with full power of substitution, any documents necessary or useful in connection with the annual filing and registration required by the Luxembourg laws. | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Mark C. Pigott | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Dame Alison J. Carnwath | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Franklin L. Feder | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: R. Preston Feight | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Beth E. Ford | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Kirk S. Hachigian | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Roderick C. McGeary | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: John M. Pigott | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Ganesh Ramaswamy | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Mark A. Schulz | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Election of Director: Gregory M.E. Spierkel | MGMT | Y | FOR | FOR |
PACCAR INC | PCAR | 693718108 | ANNUAL - 4/27/2021 | Stockholder proposal regarding supermajority voting provision if properly presented at the meeting. | SHAREHOLDER | Y | FOR | AGAINST |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Kevin P. Clark | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Richard L. Clemmer | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Nancy E. Cooper | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Nicholas M. Donofrio | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Rajiv L. Gupta | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Joseph L. Hooley | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Merit E. Janow | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Sean O. Mahoney | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Paul M. Meister | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Robert K. Ortberg | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Colin J. Parris | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Election of Director: Ana G. Pinczuk | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Proposal to re-appoint auditors, ratify independent public accounting firm and authorize the directors to determine the fees paid to the auditors | MGMT | Y | FOR | FOR |
APTIV PLC | APTV | G6095L109 | ANNUAL - 4/30/2021 | Say-on-Pay - To approve, by advisory note, executive compensation | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | To approve the non-binding advisory resolution approving the compensation of our named executive officers | MGMT | Y | AGAINST | AGAINST |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Mary Lauren Brlas | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: J. Kent Masters, Jr. | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Glenda J. Minor | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: James J. O'Brien | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Diarmuid B. O'Connell | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Dean L. Seavers | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Gerald A. Steiner | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Holly A. Van Deursen | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | Elect nominee to the Board of Director: Alejandro D. Wolff | MGMT | Y | FOR | FOR |
ALBEMARLE CORPORATION | ALB | 012653101 | ANNUAL - 5/4/2021 | To ratify the appointment of PricewaterhouseCoopers LLP as Albemarle's independent registered public accounting firm for the fiscal year ending December 31, 2021 | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Election of Director: Roxanne S. Austin | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Election of Director: Richard A. Gonzalez | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Election of Director: Rebecca B. Roberts | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Election of Director: Glenn F. Tilton | MGMT | Y | WITHHOLD | AGAINST |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2021. | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Say on Pay - An advisory vote on the approval of executive compensation. | MGMT | Y | AGAINST | AGAINST |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Approval of the Amended and Restated 2013 Incentive Stock Program. | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Approval of the Amended and Restated 2013 Employee Stock Purchase Plan for non-U.S. employees. | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | MGMT | Y | FOR | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Stockholder Proposal - to issue an Annual Report on Lobbying. | SHAREHOLDER | Y | AGAINST | FOR |
ABBVIE INC. | ABBV | 00287Y109 | ANNUAL - 5/7/2021 | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman. | SHAREHOLDER | Y | AGAINST | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Michael A. Bradley | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Edwin J. Gillis | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Timothy E. Guertin | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Peter Herweck | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Mark E. Jagiela | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Mercedes Johnson | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Marilyn Matz | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | Election of Director to serve for a one year term: Paul J. Tufano | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To approve, in a non-binding, advisory vote, the compensation of the Company's named executive officers. | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To approve an amendment to the Company's Articles of Organization to lower the voting requirement for shareholder approval of mergers, share exchanges and substantial sales of Company assets from a super-majority to a simple majority. | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To approve an amendment to the Company's Articles of Organization to permit shareholders to act by a simple majority written consent, rather than by unanimous written consent. | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To approve an amendment to the 1996 Employee Stock Purchase Plan to increase the aggregate number of shares of common stock that may be issued pursuant to the plan by 3,000,000 shares. | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To approve the 2006 Equity and Cash Compensation Incentive Plan, as amended, to include, among other changes, a new total annual compensation cap for non-employee directors. | MGMT | Y | FOR | FOR |
TERADYNE, INC. | TER | 880770102 | ANNUAL - 5/7/2021 | To ratify the selection of the firm of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Election of Director: Matthew Holt | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Election of Director: Christi Shaw | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Election of Director: Michael Severino | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Election of Director: Gregory Summe | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Amendment to the Certificate of Incorporation to permit stockholders of record representing at least 20% of the relevant voting power continuously for one year to call a special meeting of stockholders. | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Amendment to the Certificate of Incorporation to remove supermajority voting standards for stockholder approval of future amendments to the Certificate of Incorporation and Bylaws. | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Ratification of the Appointment of Deloitte & Touche LLP as the Company's independent registered accounting firm for 2021. | MGMT | Y | FOR | FOR |
AVANTOR, INC. | AVTR | 05352A100 | ANNUAL - 5/13/2021 | Approve, on an Advisory Basis, Named Executive Officer Compensation. | MGMT | Y | FOR | FOR |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Vote Board of Directors: Election of Director: Lizanne Galbreath | MGMT | Y | FOR | FOR |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Election of Director: Melquiades R. Martinez | MGMT | Y | WITHHOLD | AGAINST |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Election of Director: Stephen R. Quazzo | MGMT | Y | FOR | FOR |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Election of Director: Stephen P. Weisz | MGMT | Y | FOR | FOR |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for its 2021 fiscal year. | MGMT | Y | FOR | FOR |
MARRIOTT VACATIONS WORLDWIDE CORPORATION | VAC | 57164Y107 | ANNUAL - 5/14/2021 | Advisory vote to approve named executive officer compensation. | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Elizabeth Corley | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Alistair Darling | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Thomas H. Glocer | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: James P. Gorman | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Robert H. Herz | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Nobuyuki Hirano | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Hironori Kamezawa | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Shelley B. Leibowitz | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Stephen J. Luczo | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Jami Miscik | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Dennis M. Nally | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Mary L. Schapiro | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Perry M. Traquina | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | Election of Director: Rayford Wilkins, Jr. | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | To ratify the appointment of Deloitte & Touche LLP as independent auditor. | MGMT | Y | FOR | FOR |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory vote). | MGMT | Y | AGAINST | AGAINST |
MORGAN STANLEY | MS | 617446448 | ANNUAL - 5/20/2021 | To approve the amended and restated Equity Incentive Compensation Plan. | MGMT | Y | FOR | FOR |
ZENDESK, INC. | ZEN | 98936J101 | ANNUAL - 5/18/2021 | Election of Class I Director: Archana Agrawal | MGMT | Y | FOR | FOR |
ZENDESK, INC. | ZEN | 98936J101 | ANNUAL - 5/18/2021 | Election of Class I Director: Hilarie Koplow-McAdams | MGMT | Y | FOR | FOR |
ZENDESK, INC. | ZEN | 98936J101 | ANNUAL - 5/18/2021 | Election of Class I Director: Michelle Wilson | MGMT | Y | FOR | FOR |
ZENDESK, INC. | ZEN | 98936J101 | ANNUAL - 5/18/2021 | To ratify the appointment of Ernst & Young LLP as Zendesk's independent registered public accounting firm for the fiscal year ending December 31, 2021. | MGMT | Y | FOR | FOR |
ZENDESK, INC. | ZEN | 98936J101 | ANNUAL - 5/18/2021 | Non-binding advisory vote to approve the compensation of our Named Executive Officers. | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Atsushi Abe | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Alan Campbell | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Susan K. Carter | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Thomas L. Deitrich | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Gilles Delfassy | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Hassane S. El-Khoury | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Bruce E. Kiddoo | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Paul A. Mascarenas | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Gregory L. Waters | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Election of Director to serve until 2022 Annual Meeting: Christine Y. Yan | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Advisory (non-binding) resolution to approve the compensation of our named executive officers. | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year ending December 31, 2021. | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Approval of an amendment to the ON Semiconductor Corporation 2000 Employee Stock Purchase Plan. | MGMT | Y | FOR | FOR |
ON SEMICONDUCTOR | ON | 682189105 | ANNUAL - 5/20/2021 | Approval of Amendments to the ON Semiconductor Corporation Amended and Restated Stock Incentive Plan. | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Jeffrey P. Bezos | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Keith B. Alexander | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Jamie S. Gorelick | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Daniel P. Huttenlocher | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Judith A. McGrath | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Indra K. Nooyi | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Jonathan J. Rubinstein | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Thomas O. Ryder | MGMT | Y | AGAINST | AGAINST |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Patricia Q. Stonesifer | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Election of Director: Wendell P. Weeks | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Ratifcation of the appointment of Ernst & Young LLP as independent auditors. | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Advisory vote to apporve executive compensation. | MGMT | Y | FOR | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a report on customer due diligence. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a mandatory independent board chair policy. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal regarding additional reporting on gender/racial pay. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a report on promotion data. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a report on packaging materials. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a diversity and equity audit report. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting an alternative director candidate policy. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a report on competition strategy and risk. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting an additional reduction in threshold for calling special shareholder meetings. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting additional reporting on lobbying. | SHAREHOLDER | Y | AGAINST | FOR |
AMAZON | AMZN | 023135106 | ANNUAL - 5/26/2021 | Shareholder proposal requesting a report on customer use of certain technologies. | SHAREHOLDER | Y | AGAINST | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Earl C. (Duke) Austin, Jr. | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Doyle N. Beneby | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Vincent D. Foster | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Bernard Fried | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Worthing F. Jackman | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: David M. McClanahan | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Margaret B. Shannon | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Pat Wood, III | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Election of Director: Martha B. Wyrsch | MGMT | Y | FOR | FOR |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Approval, by non-binding advisory vote, of Quanta's executive compensation. | MGMT | Y | AGAINST | AGAINST |
QUANTA SERVICES, INC. | PWR | 74762E102 | ANNUAL - 5/27/2021 | Ratification of the appointment of PricewaterhouseCoopers LLP as Quanta's independent registered public accounting firm for fiscal year 2021. | MGMT | Y | FOR | FOR |
PINTEREST, INC. | PINS | 72352L106 | ANNUAL - 5/27/2021 | Election of Class II Director to hold office until the 2024 annual meeting: Fredric Reynolds | MGMT | Y | FOR | FOR |
PINTEREST, INC. | PINS | 72352L106 | ANNUAL - 5/27/2021 | Election of Class II Director to hold office until the 2024 annual meeting: Evan Sharp | MGMT | Y | FOR | FOR |
PINTEREST, INC. | PINS | 72352L106 | ANNUAL - 5/27/2021 | Election of Class II Director to hold office until the 2024 annual meeting: Andrea Wishom | MGMT | Y | FOR | FOR |
PINTEREST, INC. | PINS | 72352L106 | ANNUAL - 5/27/2021 | Ratify the audit committee's selection of Ernst & Young LLP as the company's independent registered public accounting firm for the fiscal year 2021. | MGMT | Y | FOR | FOR |
PINTEREST, INC. | PINS | 72352L106 | ANNUAL - 5/27/2021 | Approve, on an advisory non-binding basis, the compensation of our named executive officers. | MGMT | Y | FOR | FOR |
COMCAST CORPORATION | CMCSA | 20030N101 | ANNUAL - 6/2/2021 | Vote Board of Directors: Election of Director: Kenneth J. Bacon Election of Director: Madeline S. Bell Election of Director: Naomi M. Bergman Election of Director: Edward D. Breen Election of Director: Gerald L. Hassell Election of Director: Jeffrey A. Honickman Election of Director: Maritza G. Montiel Election of Director: Asuka Nakahara Election of Director: David C. Novak Election of Director: Brian L. Roberts | MGMT | Y | FOR | FOR |
COMCAST CORPORATION | CMCSA | 20030N101 | ANNUAL - 6/2/2021 | Advisory vote on executive compensation. | MGMT | Y | AGAINST | AGAINST |
COMCAST CORPORATION | CMCSA | 20030N101 | ANNUAL - 6/2/2021 | Ratification of the appointment of our independent auditors. | MGMT | Y | FOR | FOR |
COMCAST CORPORATION | CMCSA | 20030N101 | ANNUAL - 6/2/2021 | Shareholder Proposal: To conduct independent investigation and report on risks posed by failing to prevent sexual harassment. | SHAREHOLDER | Y | AGAINST | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Richard T. Burke | MGMT | Y | AGAINST | AGAINST |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Timothy P. Flynn | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Stephen J. Hemsley | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Michele J. Hooper | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: F. William McNabb III | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Valerie C. Montgomery Rice, M.D. | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: John H. Noseworthy, M.D. | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Gail R. Wilensky, Ph.D. | MGMT | Y | AGAINST | AGAINST |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Election of Director: Andrew Witty | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Advisory approval of the Company's executive compensation. | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2021. | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | Approval of an amendment to the UnitedHealth Group 1993 Employee Stock Purchase Plan. | MGMT | Y | FOR | FOR |
UNITED HEALTH GROUP | UNH | 91324P102 | ANNUAL - 6/7/2021 | If properly presented at the 2021 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold fo calling a special meeting of shareholders. | MGMT | Y | AGAINST | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: David P. Abney | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: Richard C. Adkerson | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: Robert W. Dudley | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: Lydia H. Kennard | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: Dustan E. McCoy | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: John J. Stephens | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Election of Director: Frances Fragos Townsend | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2021. | MGMT | Y | FOR | FOR |
FREEPORT-MCMORAN INC. | FCX | 35671D857 | ANNUAL - 6/8/2021 | Approval, on an advisory basis, of the compensation of our named executive officers. | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Douglas M. Baker, Jr. | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: George S. Barrett | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Brian C. Cornell | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Robert L. Edwards | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Melanie L. Healey | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Donald R. Knauss | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Christine A. Leahy | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Monica C. Lozano | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Mary E. Minnick | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Derica W. Rice | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Kenneth L. Salazar | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Election of Director: Dmitri L. Stockton | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Company proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm. | MGMT | Y | FOR | FOR |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Company proposal to approve, on an advisory basis, our executive compensation (Say on Pay). | MGMT | Y | AGAINST | AGAINST |
TARGET | TGT | 87612E106 | ANNUAL 6/9/2021 | Shareholder proposal to amend the proxy access bylaw to remove the shareholder group limit. | SHAREHOLDER | Y | FOR | AGAINST |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Pamela M. Arway | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Charles G. Berg | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Barbara J. Desoer | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Paul J. Diaz | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Shawn M. Guertin | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: John M. Nehra | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Paula A. Price | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Javier J. Rodriguez | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Election of Director: Phyllis R. Yale | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for fiscal year 2021. | MGMT | Y | FOR | FOR |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | To appove, on an advisory basis, the compensation of our named executive officers. | MGMT | Y | AGAINST | AGAINST |
DAVITA INC. | DVA | 23918K108 | ANNUAL 6/10/2021 | Stockholder proposal regarding political contributions disclosure, if properly presented at the meeting. | SHAREHOLDER | Y | AGAINST | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Vote Board of Directors: Election of Director: Cleveland A. Christophe | MGMT | Y | WITHHOLD | AGAINST |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Election of Director: David E. Flitman | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Election of Director: W. Bradley Hayes | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Election of Director: Brett N. Milgrim | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Advisory vote on the compensation of the named executive officers. | MGMT | Y | FOR | FOR |
BUILDERS FIRSTSOURCE, INC. | BLDR | 12008R107 | ANNUAL 6/15/2021 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year 2021. | MGMT | Y | 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): Mutual Fund Series Trust
By (Signature and Title) /s/Jerry Szilagyi President and Principal Executive Officer
Date: August 30, 2021