| UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
FORM N-PX |
|
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number | 811-22135 |
Academy Funds Trust | ||
(Exact name of registrant as specified in charter) | ||
325 Chestnut Street Suite 512 | ||
Philadelphia PA | 19106 | |
(Address of principal executive offices) | (Zip code) | |
Jonathan Kopcsik Stradley Ronon Stevens & Young, LLP 2600 One Commerce Square Philadelphia, PA 19103 | ||
(Name and address of agent for service) | ||
Registrant’s telephone number, including area code: | 215-979-3753 |
Date of fiscal year end: | November 30 |
Date of reporting period: | 07/01/14 - 6/30/15 |
Item 1. Proxy Voting Record.
Investment Company Report | |||||||||||||||||||
MORGAN STANLEY EMERGING MKTS | |||||||||||||||||||
Security | 617477104 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EDD | Meeting Date | 01-Jul-2014 | ||||||||||||||||
ISIN | US6174771047 | Agenda | 934015214 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | KATHLEEN A. DENNIS | Split | Split | ||||||||||||||||
2 | JOSEPH J. KEARNS | Split | Split | ||||||||||||||||
3 | MICHAEL E. NUGENT | Split | Split | ||||||||||||||||
4 | FERGUS REID | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley | 19-0067 | U.S. BANK | 348,500 | 0 | 16-Jun-2014 | 30-Jun-2014 | ||||||||||||
ACTAVIS PLC | |||||||||||||||||||
Security | G0083B108 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | ACT | Meeting Date | 05-Jun-2015 | ||||||||||||||||
ISIN | IE00BD1NQJ95 | Agenda | 934199286 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | ELECTION OF DIRECTOR: PAUL M. BISARO | Management | For | For | |||||||||||||||
1B. | ELECTION OF DIRECTOR: NESLI BASGOZ, M.D. | Management | For | For | |||||||||||||||
1C. | ELECTION OF DIRECTOR: JAMES H. BLOEM | Management | For | For | |||||||||||||||
1D. | ELECTION OF DIRECTOR: CHRISTOPHER W. BODINE | Management | For | For | |||||||||||||||
1E. | ELECTION OF DIRECTOR: CHRISTOPHER J. COUGHLIN | Management | For | For | |||||||||||||||
1F. | ELECTION OF DIRECTOR: MICHAEL R. GALLAGHER | Management | For | For | |||||||||||||||
1G. | ELECTION OF DIRECTOR: CATHERINE M. KLEMA | Management | For | For | |||||||||||||||
1H. | ELECTION OF DIRECTOR: PETER J. MCDONNELL, M.D. | Management | For | For | |||||||||||||||
1I. | ELECTION OF DIRECTOR: PATRICK J. O'SULLIVAN | Management | For | For | |||||||||||||||
1J. | ELECTION OF DIRECTOR: BRENTON L. SAUNDERS | Management | For | For | |||||||||||||||
1K. | ELECTION OF DIRECTOR: RONALD R. TAYLOR | Management | For | For | |||||||||||||||
1L. | ELECTION OF DIRECTOR: FRED G. WEISS | Management | For | For | |||||||||||||||
2. | TO APPROVE, IN A NON-BINDING VOTE, NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | |||||||||||||||
3. | TO RATIFY, IN A NON-BINDING VOTE, THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015 AND TO AUTHORIZE, IN A BINDING VOTE, THE BOARD OF DIRECTORS, ACTING THROUGH THE AUDIT AND COMPLIANCE COMMITTEE, TO DETERMINE PRICEWATERHOUSECOOPERS LLP'S REMUNERATION. | Management | For | For | |||||||||||||||
4. | TO PASS A SPECIAL RESOLUTION TO APPROVE, SUBJECT TO THE APPROVAL OF THE REGISTRAR OF COMPANIES IN IRELAND, THE CHANGE IN NAME OF THE COMPANY FROM ACTAVIS PLC TO ALLERGAN PLC. | Management | For | For | |||||||||||||||
5. | TO APPROVE THE AMENDED AND RESTATED 2013 INCENTIVE AWARD PLAN OF ACTAVIS PLC. | Management | For | For | |||||||||||||||
6. | TO VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THE COMPANY TO ISSUE A SUSTAINABILITY REPORT. | Shareholder | Against | For | |||||||||||||||
7. | TO VOTE ON A SHAREHOLDER PROPOSAL REQUESTING THE COMPANY TO ADOPT SUCH SHAREHOLDER'S POLICY REGARDING EXECUTIVE STOCK RETENTION. | Shareholder | Against | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 244 | 0 | 09-Jun-2015 | |||||||||||||
AMERICAN CAP MTG INVT CORP | |||||||||||||||||||
Security | 02504A104 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | MTGE | Meeting Date | 21-Apr-2015 | ||||||||||||||||
ISIN | US02504A1043 | Agenda | 934142617 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | ROBERT M. COUCH | For | For | ||||||||||||||||
2 | MORRIS A. DAVIS | For | For | ||||||||||||||||
3 | RANDY E. DOBBS | For | For | ||||||||||||||||
4 | LARRY K. HARVEY | For | For | ||||||||||||||||
5 | PRUE B. LAROCCA | For | For | ||||||||||||||||
6 | ALVIN N. PURYEAR | For | For | ||||||||||||||||
7 | MALON WILKUS | For | For | ||||||||||||||||
8 | JOHN R. ERICKSON | For | For | ||||||||||||||||
9 | SAMUEL A. FLAX | For | For | ||||||||||||||||
2. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 172,105 | 0 | 02-Apr-2015 | 22-Apr-2015 | ||||||||||||
APOLLO COMMERCIAL REAL ESTATE FINANCE | |||||||||||||||||||
Security | 03762U105 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | ARI | Meeting Date | 28-Apr-2015 | ||||||||||||||||
ISIN | US03762U1051 | Agenda | 934144116 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1 | DIRECTOR | Management | |||||||||||||||||
1 | JEFFREY M. GAULT | For | For | ||||||||||||||||
2 | MARK C. BIDERMAN | For | For | ||||||||||||||||
3 | ROBERT A. KASDIN | For | For | ||||||||||||||||
4 | ERIC L. PRESS | For | For | ||||||||||||||||
5 | SCOTT S. PRINCE | For | For | ||||||||||||||||
6 | STUART A. ROTHSTEIN | For | For | ||||||||||||||||
7 | MICHAEL E. SALVATI | For | For | ||||||||||||||||
2 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2015 FISCAL YEAR. | Management | For | For | |||||||||||||||
3 | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.'S NAMED EXECUTIVE OFFICERS, AS MORE FULLY DESCRIBED IN THE 2015 PROXY STATEMENT. | Management | For | For | |||||||||||||||
4 | VOTE, ON AN ADVISORY BASIS, ON A STOCKHOLDER PROPOSAL REGARDING MAJORITY VOTING IN UNCONTESTED ELECTIONS OF DIRECTORS, IF PROPERLY PRESENTED AT THE ANNUAL MEETING. | Shareholder | For | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 110,545 | 0 | 27-Apr-2015 | 29-Apr-2015 | ||||||||||||
ARES CAPITAL CORPORATION | |||||||||||||||||||
Security | 04010L103 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | ARCC | Meeting Date | 29-Apr-2015 | ||||||||||||||||
ISIN | US04010L1035 | Agenda | 934143051 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | ELECTION OF DIRECTOR: STEVE BARTLETT | Management | Split | Split | |||||||||||||||
1.2 | ELECTION OF DIRECTOR: ROBERT L. ROSEN | Management | Split | Split | |||||||||||||||
1.3 | ELECTION OF DIRECTOR: BENNETT ROSENTHAL | Management | Split | Split | |||||||||||||||
2. | TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015. | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 229,100 | 0 | 28-Apr-2015 | 30-Apr-2015 | ||||||||||||
ARES CAPITAL CORPORATION | |||||||||||||||||||
Security | 04010L103 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | ARCC | Meeting Date | 29-Apr-2015 | ||||||||||||||||
ISIN | US04010L1035 | Agenda | 934144914 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING OF STOCKHOLDERS | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 229,100 | 0 | 28-Apr-2015 | 30-Apr-2015 | ||||||||||||
AVENUE INCOME CREDIT STRATEGIES FUND | |||||||||||||||||||
Security | 05358E106 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | ACP | Meeting Date | 14-May-2015 | ||||||||||||||||
ISIN | US05358E1064 | Agenda | 934185201 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | DARREN THOMPSON | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 54,980 | 0 | 13-May-2015 | 15-May-2015 | ||||||||||||
BANCO SANTANDER, S.A. | |||||||||||||||||||
Security | 05964H105 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | SAN | Meeting Date | 15-Sep-2014 | ||||||||||||||||
ISIN | US05964H1059 | Agenda | 934064419 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | RESOLUTION 1A | Management | For | ||||||||||||||||
1B. | RESOLUTION 1B | Management | For | ||||||||||||||||
1C. | RESOLUTION 1C | Management | For | ||||||||||||||||
1D. | RESOLUTION 1D | Management | For | ||||||||||||||||
1E. | RESOLUTION 1E | Management | For | ||||||||||||||||
1F. | RESOLUTION 1F | Management | For | ||||||||||||||||
2A. | RESOLUTION 2A | Management | For | ||||||||||||||||
2B. | RESOLUTION 2B | Management | For | ||||||||||||||||
2C. | RESOLUTION 2C | Management | For | ||||||||||||||||
2D. | RESOLUTION 2D | Management | For | ||||||||||||||||
3. | RESOLUTION 3 | Management | For | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 254,226 | 0 | 21-Aug-2014 | 21-Aug-2014 | ||||||||||||
BIOGEN INC. | |||||||||||||||||||
Security | 09062X103 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | BIIB | Meeting Date | 10-Jun-2015 | ||||||||||||||||
ISIN | US09062X1037 | Agenda | 934202956 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | ELECTION OF DIRECTOR: ALEXANDER J. DENNER | Management | For | For | |||||||||||||||
1B. | ELECTION OF DIRECTOR: CAROLINE D. DORSA | Management | For | For | |||||||||||||||
1C. | ELECTION OF DIRECTOR: NANCY L. LEAMING | Management | For | For | |||||||||||||||
1D. | ELECTION OF DIRECTOR: RICHARD C. MULLIGAN | Management | For | For | |||||||||||||||
1E. | ELECTION OF DIRECTOR: ROBERT W. PANGIA | Management | For | For | |||||||||||||||
1F. | ELECTION OF DIRECTOR: STELIOS PAPADOPOULOS | Management | For | For | |||||||||||||||
1G. | ELECTION OF DIRECTOR: BRIAN S. POSNER | Management | For | For | |||||||||||||||
1H. | ELECTION OF DIRECTOR: ERIC K. ROWINSKY | Management | For | For | |||||||||||||||
1I. | ELECTION OF DIRECTOR: GEORGE A. SCANGOS | Management | For | For | |||||||||||||||
1J. | ELECTION OF DIRECTOR: LYNN SCHENK | Management | For | For | |||||||||||||||
1K. | ELECTION OF DIRECTOR: STEPHEN A. SHERWIN | Management | For | For | |||||||||||||||
2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS BIOGEN INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | For | For | |||||||||||||||
3. | SAY ON PAY - AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | For | |||||||||||||||
4. | TO APPROVE THE BIOGEN INC. 2015 EMPLOYEE STOCK PURCHASE PLAN. | Management | For | For | |||||||||||||||
5. | TO APPROVE AN AMENDMENT TO THE BIOGEN INC. 2006 NON-EMPLOYEE DIRECTORS EQUITY PLAN. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 55,561 | 0 | 08-Jun-2015 | |||||||||||||
BLACKROCK CORPORATE HIGH YIELD FD VI INC | |||||||||||||||||||
Security | 09255P107 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | HYT | Meeting Date | 30-Jul-2014 | ||||||||||||||||
ISIN | US09255P1075 | Agenda | 934046726 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | PAUL L. AUDET | Split | Split | ||||||||||||||||
2 | MICHAEL J. CASTELLANO | Split | Split | ||||||||||||||||
3 | RICHARD E. CAVANAGH | Split | Split | ||||||||||||||||
4 | FRANK J. FABOZZI | Split | Split | ||||||||||||||||
5 | KATHLEEN F. FELDSTEIN | Split | Split | ||||||||||||||||
6 | JAMES T. FLYNN | Split | Split | ||||||||||||||||
7 | HENRY GABBAY | Split | Split | ||||||||||||||||
8 | JERROLD B. HARRIS | Split | Split | ||||||||||||||||
9 | R. GLENN HUBBARD | Split | Split | ||||||||||||||||
10 | W. CARL KESTER | Split | Split | ||||||||||||||||
11 | KAREN P. ROBARDS | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 153,243 | 0 | 29-Jul-2014 | 29-Jul-2014 | ||||||||||||
CAPSTEAD MORTGAGE CORPORATION | |||||||||||||||||||
Security | 14067E506 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | CMO | Meeting Date | 27-May-2015 | ||||||||||||||||
ISIN | US14067E5069 | Agenda | 934189540 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | ELECTION OF DIRECTOR: JACK BERNARD | Management | For | For | |||||||||||||||
1.2 | ELECTION OF DIRECTOR: JACK BIEGLER | Management | For | For | |||||||||||||||
1.3 | ELECTION OF DIRECTOR: MICHELLE P. GOOLSBY | Management | For | For | |||||||||||||||
1.4 | ELECTION OF DIRECTOR: ANDREW F. JACOBS | Management | For | For | |||||||||||||||
1.5 | ELECTION OF DIRECTOR: GARY KEISER | Management | For | For | |||||||||||||||
1.6 | ELECTION OF DIRECTOR: CHRISTOPHER W. MAHOWALD | Management | For | For | |||||||||||||||
1.7 | ELECTION OF DIRECTOR: MICHAEL G. O'NEIL | Management | For | For | |||||||||||||||
1.8 | ELECTION OF DIRECTOR: MARK S. WHITING | Management | For | For | |||||||||||||||
2. | TO CONDUCT AN ADVISORY (NONBINDING) VOTE TO APPROVE OUR 2014 NAMED EXECUTIVE OFFICERS' COMPENSATION. | Management | For | For | |||||||||||||||
3. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 136,125 | 0 | 14-May-2015 | 28-May-2015 | ||||||||||||
CAVIUM, INC. | |||||||||||||||||||
Security | 14964U108 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | CAVM | Meeting Date | 18-Jun-2015 | ||||||||||||||||
ISIN | US14964U1088 | Agenda | 934211981 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | SANJAY MEHROTRA | For | For | ||||||||||||||||
2 | MADHAV V. RAJAN | For | For | ||||||||||||||||
2 | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT AUDITORS OF CAVIUM, INC. FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
3 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF CAVIUM, INC.'S NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 701 | 0 | 09-Jun-2015 | |||||||||||||
CRITEO SA | |||||||||||||||||||
Security | 226718104 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | CRTO | Meeting Date | 23-Jun-2015 | ||||||||||||||||
ISIN | US2267181046 | Agenda | 934239434 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | APPROVAL OF THE STATUTORY FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 | Management | For | For | |||||||||||||||
2. | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 | Management | For | For | |||||||||||||||
3. | DISCHARGE (QUITUS) OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE STATUTORY AUDITORS FOR THE PERFORMANCE OF THEIR DUTIES FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 | Management | For | For | |||||||||||||||
4. | ALLOCATION OF PROFITS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 | Management | For | For | |||||||||||||||
5. | APPROVAL OF THE AGREEMENTS REFERRED TO IN ARTICLES L.225-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE | Management | For | For | |||||||||||||||
6. | RENEWAL OF THE TERM OF OFFICE OF MRS. DANA EVAN AS DIRECTOR | Management | For | For | |||||||||||||||
7. | RENEWAL OF THE TERM OF OFFICE OF MR. HUBERT DE PESQUIDOUX AS DIRECTOR | Management | For | For | |||||||||||||||
8. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO EXECUTE A BUYBACK OF COMPANY STOCK IN ACCORDANCE WITH ARTICLE L. 225-209-2 OF THE FRENCH COMMERCIAL CODE | Management | For | For | |||||||||||||||
9. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL BY ISSUING ORDINARY SHARES, OR ANY SECURITIES GRANTING ACCESS TO THE COMPANY'S SHARE CAPITAL, FOR THE BENEFIT OF A CATEGORY OF PERSONS MEETING PREDETERMINED CRITERIA, WITHOUT SHAREHOLDERS' PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | |||||||||||||||
10. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL BY ISSUING ORDINARY SHARES, OR ANY SECURITIES GRANTING ACCESS TO THE COMPANY'S SHARE CAPITAL, THROUGH A PUBLIC OFFERING, WITHOUT SHAREHOLDERS' PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | |||||||||||||||
11. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED AS A RESULT OF A SHARE CAPITAL INCREASE PURSUANT TO THE DELEGATIONS IN RESOLUTIONS 9 AND 10, WITH OR WITHOUT SHAREHOLDERS' PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | |||||||||||||||
12. | DETERMINATION OF THE OVERALL FINANCIAL LIMITS APPLICABLE TO THE ISSUANCES TO BE COMPLETED PURSUANT TO THE DELEGATIONS IN RESOLUTIONS 9 TO 11 | Management | For | For | |||||||||||||||
13. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL THROUGH INCORPORATION OF PREMIUMS, RESERVES, PROFITS, OR ANY OTHER AMOUNTS THAT MAY BE CAPITALIZED | Management | For | For | |||||||||||||||
14. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO REDUCE THE COMPANY'S SHARE CAPITAL BY CANCELLING SHARES AS PART OF THE AUTHORIZATION TO THE BOARD OF DIRECTORS ALLOWING THE COMPANY TO BUY BACK ITS OWN SHARES IN ACCORDANCE WITH THE PROVISIONS OF ARTICLE L.225-209-2 OF THE FRENCH COMMERCIAL CODE | Management | For | For | |||||||||||||||
15. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO ISSUE AND GRANT WARRANTS (BONS DE SOUSCRIPTION D'ACTIONS) FOR THE BENEFIT OF A CATEGORY OF PERSONS MEETING PREDETERMINED CRITERIA, WITHOUT SHAREHOLDERS' PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | |||||||||||||||
16. | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL BY WAY OF ISSUING SHARES AND SECURITIES FOR THE BENEFIT OF MEMBERS OF A COMPANY SAVINGS PLAN (PLAN D'EPARGNE D'ENTREPRISE) | Management | Against | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 13,865 | 0 | 03-Jun-2015 | 16-Jun-2015 | ||||||||||||
EPAM SYSTEMS INC | |||||||||||||||||||
Security | 29414B104 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EPAM | Meeting Date | 11-Jun-2015 | ||||||||||||||||
ISIN | US29414B1044 | Agenda | 934204859 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | ARKADIY DOBKIN | For | For | ||||||||||||||||
2 | ROBERT E. SEGERT | For | For | ||||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
3. | TO APPROVE, ON AN ADVISORY AND NON- BINDING BASIS, THE COMPENSATION FOR OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THIS PROXY STATEMENT. | Management | For | For | |||||||||||||||
4. | TO APPROVE, ON AN ADVISORY AND NON- BINDING BASIS, THE FREQUENCY WITH WHICH STOCKHOLDERS ARE PROVIDED AN ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | 1 Year | For | |||||||||||||||
5. | TO APPROVE THE EPAM SYSTEMS, INC. 2015 LONG TERM INCENTIVE PLAN. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 1,178 | 0 | 08-Jun-2015 | |||||||||||||
EPR PROPERTIES | |||||||||||||||||||
Security | 26884U109 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EPR | Meeting Date | 13-May-2015 | ||||||||||||||||
ISIN | US26884U1097 | Agenda | 934153622 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | JACK A. NEWMAN, JR.@ | For | For | ||||||||||||||||
2 | THOMAS M. BLOCH@ | For | For | ||||||||||||||||
3 | GREGORY K. SILVERS# | For | For | ||||||||||||||||
2. | PROPOSAL TO APPROVE, ON A NON- BINDING ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THESE PROXY MATERIALS. | Management | For | For | |||||||||||||||
3. | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 27,490 | 0 | 01-May-2015 | 14-May-2015 | ||||||||||||
FACEBOOK INC. | |||||||||||||||||||
Security | 30303M102 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | FB | Meeting Date | 11-Jun-2015 | ||||||||||||||||
ISIN | US30303M1027 | Agenda | 934204378 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | MARC L. ANDREESSEN | For | For | ||||||||||||||||
2 | ERSKINE B. BOWLES | For | For | ||||||||||||||||
3 | S.D. DESMOND-HELLMANN | For | For | ||||||||||||||||
4 | REED HASTINGS | For | For | ||||||||||||||||
5 | JAN KOUM | For | For | ||||||||||||||||
6 | SHERYL K. SANDBERG | For | For | ||||||||||||||||
7 | PETER A. THIEL | For | For | ||||||||||||||||
8 | MARK ZUCKERBERG | For | For | ||||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS FACEBOOK, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015 | Management | For | For | |||||||||||||||
3. | TO RE-APPROVE THE INTERNAL REVENUE CODE OF 1986, AS AMENDED, SECTION 162(M) LIMITS OF OUR 2012 EQUITY INCENTIVE PLAN TO PRESERVE OUR ABILITY TO RECEIVE CORPORATE INCOME TAX DEDUCTIONS THAT MAY BECOME AVAILABLE PURSUANT TO SECTION 162(M) | Management | For | For | |||||||||||||||
4. | A STOCKHOLDER PROPOSAL REGARDING CHANGE IN STOCKHOLDER VOTING | Shareholder | Against | For | |||||||||||||||
5. | A STOCKHOLDER PROPOSAL REGARDING AN ANNUAL SUSTAINABILITY REPORT | Shareholder | Against | For | |||||||||||||||
6. | A STOCKHOLDER PROPOSAL REGARDING A HUMAN RIGHTS RISK ASSESSMENT | Shareholder | Against | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 296 | 0 | 09-Jun-2015 | |||||||||||||
FIFTH STREET FINANCE CORP. | |||||||||||||||||||
Security | 31678A103 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | FSC | Meeting Date | 18-Mar-2015 | ||||||||||||||||
ISIN | US31678A1034 | Agenda | 934122778 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | ELECTION OF DIRECTOR: BERNARD D. BERMAN | Management | Split | Split | |||||||||||||||
1B. | ELECTION OF DIRECTOR: JAMES CASTRO- BLANCO | Management | Split | Split | |||||||||||||||
1C. | ELECTION OF DIRECTOR: SANDEEP K. KHORANA | Management | Split | Split | |||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2015. | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 167,400 | 0 | 17-Mar-2015 | 17-Mar-2015 | ||||||||||||
FRONTIER COMMUNICATIONS CORP | |||||||||||||||||||
Security | 35906A108 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | FTR | Meeting Date | 13-May-2015 | ||||||||||||||||
ISIN | US35906A1088 | Agenda | 934155549 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | LEROY T. BARNES, JR. | For | For | ||||||||||||||||
2 | PETER C.B. BYNOE | For | For | ||||||||||||||||
3 | DIANA S. FERGUSON | For | For | ||||||||||||||||
4 | EDWARD FRAIOLI | For | For | ||||||||||||||||
5 | DANIEL J. MCCARTHY | For | For | ||||||||||||||||
6 | PAMELA D.A. REEVE | For | For | ||||||||||||||||
7 | VIRGINIA P. RUESTERHOLZ | For | For | ||||||||||||||||
8 | HOWARD L. SCHROTT | For | For | ||||||||||||||||
9 | LARRAINE D. SEGIL | For | For | ||||||||||||||||
10 | MARK SHAPIRO | For | For | ||||||||||||||||
11 | MYRON A. WICK, III | For | For | ||||||||||||||||
12 | MARY AGNES WILDEROTTER | For | For | ||||||||||||||||
2. | TO CONSIDER AND VOTE UPON AN ADVISORY PROPOSAL ON EXECUTIVE COMPENSATION. | Management | For | For | |||||||||||||||
3. | TO RATIFY THE SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 202,810 | 0 | 01-May-2015 | 14-May-2015 | ||||||||||||
GENTHERM INCORPORATED | |||||||||||||||||||
Security | 37253A103 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | THRM | Meeting Date | 28-May-2015 | ||||||||||||||||
ISIN | US37253A1034 | Agenda | 934211018 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | LEWIS BOOTH | For | For | ||||||||||||||||
2 | FRANCOIS CASTAING | For | For | ||||||||||||||||
3 | DANIEL COKER | For | For | ||||||||||||||||
4 | SOPHIE DESORMIERE | For | For | ||||||||||||||||
5 | MAURICE GUNDERSON | For | For | ||||||||||||||||
6 | OSCAR B. MARX III | For | For | ||||||||||||||||
7 | CARLOS MAZZORIN | For | For | ||||||||||||||||
8 | FRANZ SCHERER | For | For | ||||||||||||||||
9 | BYRON SHAW | For | For | ||||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP TO ACT AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
3. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||||||||
4. | TO APPROVE AN AMENDMENT TO THE RESTATED ARTICLES OF INCORPORATION TO ELIMINATE CUMULATIVE VOTING IN DIRECTOR ELECTIONS. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 986 | 0 | 08-Jun-2015 | |||||||||||||
HOSPITALITY PROPERTIES TRUST | |||||||||||||||||||
Security | 44106M102 | Meeting Type | Contested-Annual | ||||||||||||||||
Ticker Symbol | HPT | Meeting Date | 01-Jun-2015 | ||||||||||||||||
ISIN | US44106M1027 | Agenda | 934169497 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | ELECTION OF INDEPENDENT TRUSTEE IN GROUP II: BRUCE M. GANS, M.D. | Management | |||||||||||||||||
1.2 | ELECTION OF MANAGING TRUSTEE IN GROUP II: ADAM D. PORTNOY | Management | |||||||||||||||||
2. | APPROVAL OF A PROPOSAL REQUIRING SHAREHOLDER RATIFICATION OF ANY ELECTION BY THE COMPANY TO BE SUBJECT TO THE MARYLAND UNSOLICITED TAKEOVERS ACT. | Management | |||||||||||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | |||||||||||||||||
4. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS TO SERVE FOR THE 2015 FISCAL YEAR. | Management | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 106,250 | 0 | ||||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 106,250 | 0 | ||||||||||||||
HOSPITALITY PROPERTIES TRUST | |||||||||||||||||||
Security | 44106M102 | Meeting Type | Contested-Annual | ||||||||||||||||
Ticker Symbol | HPT | Meeting Date | 01-Jun-2015 | ||||||||||||||||
ISIN | US44106M1027 | Agenda | 934204354 - Opposition | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A | ELECTION OF TRUSTEE: BRUCE M. GANS, M.D. | Management | Against | For | |||||||||||||||
1B | ELECTION OF TRUSTEE: ADAM D. PORTNOY | Management | Against | For | |||||||||||||||
02 | TO APPROVE MANAGEMENT'S PROPOSAL TO ALLOW MANAGEMENT TO OPT-IN TO MUTA ANTI-TAKEOVER MEASURES AND WAIT UP TO 18 MONTHS BEFORE HAVING A SHAREHOLDER VOTE ON SUCH OPT-IN. | Management | Against | For | |||||||||||||||
03 | ANNUAL ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Management | For | ||||||||||||||||
04 | TO APPROVE THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS FOR THE 2015 FISCAL YEAR. | Management | For | ||||||||||||||||
05 | TO APPROVE SHAREHOLDER PROPOSAL TO OPT-OUT OF MUTA'S ANTI-TAKEOVER MEASURES AND REQUIRE PRIOR SHAREHOLDER APPROVAL TO OPT BACK IN. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 106,250 | 0 | 28-May-2015 | 02-Jun-2015 | ||||||||||||
INVESCO MORTGAGE CAPITAL INC. | |||||||||||||||||||
Security | 46131B100 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | IVR | Meeting Date | 06-May-2015 | ||||||||||||||||
ISIN | US46131B1008 | Agenda | 934147237 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | ELECTION OF DIRECTOR: G. MARK ARMOUR | Management | For | For | |||||||||||||||
1.2 | ELECTION OF DIRECTOR: JAMES S. BALLOUN | Management | For | For | |||||||||||||||
1.3 | ELECTION OF DIRECTOR: JOHN S. DAY | Management | For | For | |||||||||||||||
1.4 | ELECTION OF DIRECTOR: KAREN DUNN KELLEY | Management | For | For | |||||||||||||||
1.5 | ELECTION OF DIRECTOR: EDWARD J. HARDIN | Management | For | For | |||||||||||||||
1.6 | ELECTION OF DIRECTOR: JAMES R. LIENTZ, JR. | Management | For | For | |||||||||||||||
2. | ADVISORY VOTE TO APPROVE THE COMPANY'S 2014 EXECUTIVE COMPENSATION | Management | For | For | |||||||||||||||
3. | APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 107,730 | 0 | 27-Apr-2015 | 07-May-2015 | ||||||||||||
LEGG MASON | |||||||||||||||||||
Security | 95766B109 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EHI | Meeting Date | 26-Sep-2014 | ||||||||||||||||
ISIN | US95766B1098 | Agenda | 934072480 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | CAROL L. COLMAN | Split | Split | ||||||||||||||||
2 | DANIEL P. CRONIN | Split | Split | ||||||||||||||||
3 | PAOLO M. CUCCHI | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 179,227 | 0 | 25-Sep-2014 | 25-Sep-2014 | ||||||||||||
NAVIOS MARITIME PARTNERS L.P. | |||||||||||||||||||
Security | Y62267102 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | NMM | Meeting Date | 21-Nov-2014 | ||||||||||||||||
ISIN | MHY622671029 | Agenda | 934087102 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | SERAFEIM KRIEMPARDIS | For | For | ||||||||||||||||
2. | PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS AS THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 189,185 | 0 | 30-Oct-2014 | 30-Oct-2014 | ||||||||||||
NEW RESIDENTIAL INVESTMENT CORP. | |||||||||||||||||||
Security | 64828T201 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | NRZ | Meeting Date | 28-May-2015 | ||||||||||||||||
ISIN | US64828T2015 | Agenda | 934188459 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | ELECTION OF DIRECTOR: MICHAEL NIERENBERG | Management | For | For | |||||||||||||||
1.2 | ELECTION OF DIRECTOR: KEVIN J. FINNERTY | Management | For | For | |||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR NEW RESIDENTIAL INVESTMENT CORP. FOR FISCAL YEAR 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 145,285 | 0 | 14-May-2015 | 29-May-2015 | ||||||||||||
NEXPOINT FUNDS | |||||||||||||||||||
Security | 65340G106 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | NHF | Meeting Date | 06-Mar-2015 | ||||||||||||||||
ISIN | US65340G1067 | Agenda | 934129683 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | TO APPROVE THE TERMS OF AN ADVISORY AGREEMENT (THE "NXRT ADVISORY AGREEMENT") TO BE ENTERED INTO AMONG NEXPOINT RESIDENTIAL TRUST, INC., A SUBSIDIARY OF THE FUND ("NXRT"), NEXPOINT RESIDENTIAL TRUST OPERATING PARTNERSHIP, L.P., NXRT'S OPERATING PARTNERSHIP, AND NEXPOINT REAL ESTATE ADVISORS, L.P. ("NXRT ADVISER"), AN AFFILIATE OF NHF ADVISER (THE "PROPOSAL"). | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 176,840 | 0 | 05-Mar-2015 | 05-Mar-2015 | ||||||||||||
NEXPOINT FUNDS | |||||||||||||||||||
Security | 65340G106 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | NHF | Meeting Date | 05-Jun-2015 | ||||||||||||||||
ISIN | US65340G1067 | Agenda | 934222263 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1.1 | TO ELECT TERRENCE O. JONES AS A CLASS III TRUSTEE OF THE FUND, TO SERVE FOR A THREE-YEAR TERM EXPIRING AT THE 2018 ANNUAL MEETING OR UNTIL HIS SUCCESSOR IS DULY ELECTED AND QUALIFIED. | Management | Split | Split | |||||||||||||||
1.2 | TO ELECT JOHN HONIS AS A CLASS III TRUSTEE OF THE FUND, TO SERVE FOR A THREE-YEAR TERM EXPIRING AT THE 2018 ANNUAL MEETING OR UNTIL HIS SUCCESSOR IS DULY ELECTED AND QUALIFIED. | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 165,550 | 0 | 04-Jun-2015 | 08-Jun-2015 | ||||||||||||
NORTHSTAR REALTY FINANCE CORP. | |||||||||||||||||||
Security | 66704R704 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | NRF | Meeting Date | 28-Nov-2014 | ||||||||||||||||
ISIN | US66704R7044 | Agenda | 934093953 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | THE ISSUANCE OF SHARES OF THE COMPANY'S COMMON STOCK TO THE STOCKHOLDERS OF GRIFFIN-AMERICAN HEALTHCARE REIT II, INC., AND TO THE LIMITED PARTNERS OF GRIFFIN-AMERICAN HEALTHCARE REIT II HOLDINGS, LP, PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 5, 2014 ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) | Management | For | For | |||||||||||||||
2. | TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE PROPOSAL TO APPROVE THE ISSUANCE OF SHARES OF COMPANY COMMON STOCK TO GRIFFIN- AMERICAN COMMON STOCKHOLDERS AND GRIFFIN-AMERICAN OPERATING PARTNERSHIP LIMITED PARTNERS PURSUANT TO THE MERGER AGREEMENT | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 250,225 | 0 | 10-Nov-2014 | 10-Nov-2014 | ||||||||||||
NORTHSTAR REALTY FINANCE CORP. | |||||||||||||||||||
Security | 66704R704 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | NRF | Meeting Date | 27-May-2015 | ||||||||||||||||
ISIN | US66704R7044 | Agenda | 934199008 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | DAVID T. HAMAMOTO | For | For | ||||||||||||||||
2 | JUDITH A. HANNAWAY | For | For | ||||||||||||||||
3 | WESLEY D. MINAMI | For | For | ||||||||||||||||
4 | LOUIS J. PAGLIA | For | For | ||||||||||||||||
5 | CHARLES W. SCHOENHERR | For | For | ||||||||||||||||
2. | ADOPTION OF A RESOLUTION APPROVING, ON A NON-BINDING, ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION AS MORE PARTICULARLY DESCRIBED IN THE PROXY STATEMENT. | Management | For | For | |||||||||||||||
3. | RATIFICATION OF THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 202,330 | 0 | 14-May-2015 | 28-May-2015 | ||||||||||||
NUVEEN PREFERRED AND CONVERTIBLE INCOME | |||||||||||||||||||
Security | 67073B106 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | JPC | Meeting Date | 07-Nov-2014 | ||||||||||||||||
ISIN | US67073B1061 | Agenda | 934049378 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN THE FUND AND NUVEEN FUND ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE FUND'S INVESTMENT ADVISER. | Management | Split | Split | |||||||||||||||
2A. | TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS AND NUVEEN ASSET MANAGEMENT, LLC. | Management | Split | Split | |||||||||||||||
2B. | TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS AND NWQ INVESTMENT MANAGEMENT COMPANY, LLC. | Management | Split | Split | |||||||||||||||
3B. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | THOMAS S. SCHREIER, JR. | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 258,882 | 0 | 04-Aug-2014 | 05-Nov-2014 | ||||||||||||
NUVEEN PREFERRED AND CONVERTIBLE INCOME | |||||||||||||||||||
Security | 67073B106 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | JPC | Meeting Date | 26-Mar-2015 | ||||||||||||||||
ISIN | US67073B1061 | Agenda | 934128415 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | JACK B. EVANS | Split | Split | ||||||||||||||||
2 | WILLIAM J. SCHNEIDER | Split | Split | ||||||||||||||||
3 | THOMAS S. SCHREIER, JR. | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 207,565 | 0 | 25-Mar-2015 | 25-Mar-2015 | ||||||||||||
PROSPECT CAPITAL CORPORATION | |||||||||||||||||||
Security | 74348T102 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | PSEC | Meeting Date | 05-Dec-2014 | ||||||||||||||||
ISIN | US74348T1025 | Agenda | 934079066 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | WILLIAM J. GREMP | Split | Split | ||||||||||||||||
2. | TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT. | Management | Split | Split | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 444,239 | 0 | 04-Dec-2014 | 04-Dec-2014 | ||||||||||||
SEADRILL LIMITED | |||||||||||||||||||
Security | G7945E105 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | SDRL | Meeting Date | 19-Sep-2014 | ||||||||||||||||
ISIN | BMG7945E1057 | Agenda | 934062706 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1 | TO RE-ELECT JOHN FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
2 | TO RE-ELECT TOR OLAV TROIM AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
3 | TO RE-ELECT KATE BLANKENSHIP AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
4 | TO RE-ELECT KATHRINE FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
5 | TO RE-ELECT CARL ERIK STEEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
6 | TO RE-ELECT BERT BEKKER AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
7 | TO RE-ELECT PAUL LEAND, JR. AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
8 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP, AS AUDITOR AND TO AUTHORIZE THE DIRECTORS TO DETERMINE THEIR REMUNERATION. | Management | For | For | |||||||||||||||
9 | TO APPROVE THE REMUNERATION OF THE COMPANY'S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US $1,500,000 FOR THE YEAR ENDED DECEMBER 31, 2014. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 106,536 | 0 | 03-Sep-2014 | 03-Sep-2014 | ||||||||||||
SENIOR HOUSING PROPERTIES TRUST | |||||||||||||||||||
Security | 81721M109 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | SNH | Meeting Date | 19-May-2015 | ||||||||||||||||
ISIN | US81721M1099 | Agenda | 934135763 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1A. | ELECTION OF TRUSTEE (FOR INDEPENDENT TRUSTEE IN GROUP I): JEFFREY P. SOMERS | Management | For | For | |||||||||||||||
1B. | ELECTION OF TRUSTEE (FOR MANAGING TRUSTEE IN GROUP I): BARRY M. PORTNOY | Management | For | For | |||||||||||||||
2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | |||||||||||||||
3. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS TO SERVE FOR THE 2015 FISCAL YEAR. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 85,270 | 0 | 01-May-2015 | 20-May-2015 | ||||||||||||
SHIP FINANCE INTERNATIONAL LIMITED | |||||||||||||||||||
Security | G81075106 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | SFL | Meeting Date | 19-Sep-2014 | ||||||||||||||||
ISIN | BMG810751062 | Agenda | 934063619 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | TO RE-ELECT HANS PETTER AAS AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
2. | TO RE-ELECT PAUL LEAND JR. AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
3. | TO RE-ELECT KATE BLANKENSHIP AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
4. | TO RE-ELECT CECILIE FREDRIKSEN AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
5. | TO RE-ELECT HARALD THORSTEIN AS A DIRECTOR OF THE COMPANY. | Management | For | For | |||||||||||||||
6A. | THAT THE ISSUED AND PAID-UP SHARE CAPITAL OF THE COMPANY AS OF THE EFFECTIVE DATE BE REDUCED BY CANCELLING THE PAID-UP CAPITAL OF THE COMPANY TO THE EXTENT OF US$0.99 ON EACH OF THE ISSUED SHARES OF PAR VALUE US$1.00 IN THE SHARE CAPITAL OF THE COMPANY AS AT THE EFFECTIVE DATE SO THAT EACH ISSUED SHARE OF US$1.00 SHALL FROM THE EFFECTIVE DATE HAVE A PAR VALUE OF US$0.01 AND BE TREATED IN ALL RESPECTS AS ONE (1) FULLY PAID-UP SHARE OF PAR VALUE US$0.01 (THE "CAPITAL REDUCTION). | Management | For | For | |||||||||||||||
6B. | THAT SUBJECT TO AND FORTHWITH UPON THE CAPITAL REDUCTION TAKING EFFECT, THE AMOUNT OF CREDIT ARISING THEREFROM BE CREDITED TO THE CONTRIBUTED SURPLUS ACCOUNT OF THE COMPANY AND THAT THE DIRECTORS OF THE COMPANY BE AUTHORIZED TO APPLY ANY CREDIT BALANCE IN THE CONTRIBUTED SURPLUS ACCOUNT OF THE COMPANY IN ACCORDANCE WITH THE BYE- LAWS OF THE COMPANY AND ALL APPLICABLE LAWS. | Management | For | For | |||||||||||||||
6C. | THAT SUBJECT TO AND FORTHWITH UPON THE CAPITAL REDUCTION TAKING EFFECT, ALL THE AUTHORIZED BUT UNISSUED SHARES OF US$1.00 EACH IN THE COMPANY AS OF THE EFFECTIVE DATE BE CANCELLED AND THE AUTHORIZED SHARE CAPITAL OF THE COMPANY OF US$125,000,000.00 BE DIMINISHED BY THE AMOUNT REPRESENTING THE AMOUNT OF SHARES SO CANCELLED AND FORTHWITH UPON SUCH CANCELLATION, THE AUTHORIZED SHARE CAPITAL OF THE COMPANY BE RESTORED TO US$125,000,000.00 BY CREATING THE REQUISITE NUMBER OF SHARES OF PAR VALUE US$0.01 EACH. | Management | For | For | |||||||||||||||
6D. | THAT SUBJECT TO AND FORTHWITH UPON THE CAPITAL REDUCTION TAKING EFFECT, THE REGISTER OF SHAREHOLDERS (AND EACH BRANCH REGISTER AND SUB- REGISTER) SHALL BE AMENDED SUCH THAT THE SHARES IN ISSUE ON THE EFFECTIVE DATE SHALL BE RECORDED AS HAVING A PAR VALUE OF US$0.01 EACH. | Management | For | For | |||||||||||||||
7. | PROPOSAL TO RE-APPOINT MOORE STEPHENS, P.C. AS AUDITORS AND TO AUTHORISE THE DIRECTORS TO DETERMINE THEIR REMUNERATION. | Management | For | For | |||||||||||||||
8. | PROPOSAL TO APPROVE THE REMUNERATION OF THE COMPANY'S BOARD OF DIRECTORS OF A TOTAL AMOUNT OF FEES NOT TO EXCEED US$550,000 FOR THE YEAR ENDING DECEMBER 31, 2014. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 133,429 | 0 | 03-Sep-2014 | 03-Sep-2014 | ||||||||||||
STARWOOD PROPERTY TRUST INC | |||||||||||||||||||
Security | 85571B105 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | STWD | Meeting Date | 21-Apr-2015 | ||||||||||||||||
ISIN | US85571B1052 | Agenda | 934157620 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | RICHARD D. BRONSON | For | For | ||||||||||||||||
2 | JEFFREY G. DISHNER | For | For | ||||||||||||||||
3 | CAMILLE J. DOUGLAS | For | For | ||||||||||||||||
4 | SOLOMON J. KUMIN | For | For | ||||||||||||||||
5 | BARRY S. STERNLICHT | For | For | ||||||||||||||||
6 | STRAUSS ZELNICK | For | For | ||||||||||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, THE COMPANY'S EXECUTIVE COMPENSATION AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT. | Management | For | For | |||||||||||||||
3. | TO RATIFY THE AUDIT COMMITTEE'S APPOINTMENT OF DELOITTE & TOUCHE LLP AS STARWOOD PROPERTY TRUST, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CALENDAR YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
4. | THE STOCKHOLDER PROPOSAL REGARDING AN INDEPENDENT CHAIRMAN OF THE BOARD OF DIRECTORS AS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT. | Shareholder | For | Against | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 166,805 | 0 | 20-Apr-2015 | 22-Apr-2015 | ||||||||||||
STONE HARBOR FUND | |||||||||||||||||||
Security | 86164T107 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EDF | Meeting Date | 20-Feb-2015 | ||||||||||||||||
ISIN | US86164T1079 | Agenda | 934121257 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | THOMAS K. FLANAGAN | Split | Split | ||||||||||||||||
2 | ALAN BROTT | Split | Split | ||||||||||||||||
3 | GLENN MARCHAK | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 49,765 | 0 | 19-Feb-2015 | 19-Feb-2015 | ||||||||||||
STONEMOR PARTNERS L.P. | |||||||||||||||||||
Security | 86183Q100 | Meeting Type | Special | ||||||||||||||||
Ticker Symbol | STON | Meeting Date | 13-Nov-2014 | ||||||||||||||||
ISIN | US86183Q1004 | Agenda | 934087568 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF STONEMOR PARTNERS L.P. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2014. | Management | For | For | |||||||||||||||
2. | APPROVAL OF THE STONEMOR PARTNERS L.P. 2014 LONG-TERM INCENTIVE PLAN. | Management | For | For | |||||||||||||||
3. | APPROVAL OF THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE THE STONEMOR PARTNERS L.P. 2014 LONG- TERM INCENTIVE PLAN. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 99,572 | 0 | 24-Oct-2014 | 24-Oct-2014 | ||||||||||||
STUDENT TRANSPORTATION INC. | |||||||||||||||||||
Security | 86388A108 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | STB | Meeting Date | 06-Nov-2014 | ||||||||||||||||
ISIN | CA86388A1084 | Agenda | 934086011 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
01 | DIRECTOR | Management | |||||||||||||||||
1 | DENIS GALLAGHER | For | For | ||||||||||||||||
2 | IRVING GERSTEIN | For | For | ||||||||||||||||
3 | KENNETH NEEDLER | For | For | ||||||||||||||||
4 | GRACE PALOMBO | For | For | ||||||||||||||||
5 | GEORGE ROSSI | For | For | ||||||||||||||||
6 | DAVID SCOPELLITI | For | For | ||||||||||||||||
7 | VICTOR WELLS | For | For | ||||||||||||||||
8 | WENDI STURGIS | For | For | ||||||||||||||||
02 | THE RE-APPOINTMENT OF ERNST & YOUNG LLP AS THE AUDITORS OF THE ISSUER AND THE AUTHORIZATION OF THE ISSUER'S BOARD OF DIRECTORS TO FIX SUCH AUDITORS' REMUNERATION. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 185,931 | 0 | 24-Oct-2014 | 24-Oct-2014 | ||||||||||||
UNITED THERAPEUTICS CORPORATION | |||||||||||||||||||
Security | 91307C102 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | UTHR | Meeting Date | 26-Jun-2015 | ||||||||||||||||
ISIN | US91307C1027 | Agenda | 934218644 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | KATHERINE KLEIN | For | For | ||||||||||||||||
2 | RAYMOND KURZWEIL | For | For | ||||||||||||||||
3 | MARTINE ROTHBLATT | For | For | ||||||||||||||||
4 | LOUIS SULLIVAN | For | For | ||||||||||||||||
2. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | |||||||||||||||
3. | APPROVAL OF THE UNITED THERAPEUTICS CORPORATION 2015 STOCK INCENTIVE PLAN. | Management | For | For | |||||||||||||||
4. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS UNITED THERAPEUTICS CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0070 | INNOVATOR IBD 50 FUND | 19-0070 | U.S. BANK | 1,870 | 0 | 09-Jun-2015 | |||||||||||||
VANGUARD NATURAL RESOURCES, LLC | |||||||||||||||||||
Security | 92205F106 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | VNR | Meeting Date | 03-Jun-2015 | ||||||||||||||||
ISIN | US92205F1066 | Agenda | 934200762 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||
1 | W. RICHARD ANDERSON | For | For | ||||||||||||||||
2 | BRUCE W. MCCULLOUGH | For | For | ||||||||||||||||
3 | RICHARD A. ROBERT | For | For | ||||||||||||||||
4 | LOREN SINGLETARY | For | For | ||||||||||||||||
5 | SCOTT W. SMITH | For | For | ||||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015. | Management | For | For | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 117,245 | 0 | 20-May-2015 | 04-Jun-2015 | ||||||||||||
WESTERN ASSET EMERGING MARKETS INCOME FD | |||||||||||||||||||
Security | 95766E103 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | EMD | Meeting Date | 26-Sep-2014 | ||||||||||||||||
ISIN | US95766E1038 | Agenda | 934072492 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1. | DIRECTOR | Management | Split | Split | |||||||||||||||
1 | EILEEN A. KAMERICK | Split | Split | ||||||||||||||||
2 | KENNETH D. FULLER | Split | Split | ||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 99,570 | 0 | 25-Sep-2014 | 25-Sep-2014 | ||||||||||||
WHITESTONE REIT | |||||||||||||||||||
Security | 966084204 | Meeting Type | Annual | ||||||||||||||||
Ticker Symbol | WSR | Meeting Date | 11-May-2015 | ||||||||||||||||
ISIN | US9660842041 | Agenda | 934151616 - Management | ||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||
1 | DIRECTOR | Management | |||||||||||||||||
1 | JACK L. MAHAFFEY | For | For | ||||||||||||||||
2 | JAMES C. MASTANDREA | For | For | ||||||||||||||||
2 | RATIFICATION OF THE SELECTION OF PANNELL KERR FORSTER OF TEXAS, P.C, AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015. | Management | For | For | |||||||||||||||
3 | THE SHAREHOLDER PROPOSAL RELATING TO A RECOMMENDATION TO CHANGE THE VOTING STANDARD FOR TRUSTEE ELECTIONS, IF PROPERLY PRESENTED AT THE MEETING. | Shareholder | For | Against | |||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||
19-0067 | Innovator McKinley Income Fund | 19-0067 | U.S. BANK | 59,795 | 0 | 27-Apr-2015 | 12-May-2015 |
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) | Academy Funds Trust | |
By (Signature and Title)* | /s/ David Jacovini | |
David Jacovini, President | ||
Date | 7/22/2015 |
*Print the name and title of each signing officer under his or her signature.