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 | 811-22213 |
AlphaMark Investment Trust |
(Exact name of registrant as specified in charter) |
810 Wright’s Summit Parkway, Suite 100, Ft. Wright, Kentucky | 41011 |
(Address of principal executive offices) | (Zip code) |
Benjamin V. Mollozzi Esq.
Ultimus Fund Solutions, LLC 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246 |
(Name and address of agent for service) |
Registrant's telephone number, including area code: | (513) 587-3433 |
Date of fiscal year end: | August 31 | |
Date of reporting period: | July 1, 2017 – June 30, 2018 |
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and 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. |
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) AlphaMark Investment Trust
By (Signature and Title)* | /s/ Michael L. Simon | ||
Michael L. Simon, President | |||
Date | August 28, 2018 |
* | Print the name and title of each signing officer under his or her signature. |
ALPHAMARK LARGE CAP GROWTH FUND
PROXY VOTING RECORD: July 1, 2017 to June 30, 2018
Issuer Name | Ticker Symbol | CUSIP | Shareholder Meeting Date | Agenda Item # | Brief Identification of the Matter Voted On | Proposed by Issuer or Shareholder? | Did the Fund Vote? | How did the Fund Cast its Vote? For, Against, Abstain | Did the Fund vote For or Against Management? |
Amgen Inc. | AMGN | 031162100 | 5/22/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/22/2018 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/22/2018 | 3 | Ratification of Ernst & Young LLP as auditors ending December 31, 2018 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/22/2018 | 4 | Stockholder proposal for an annual report on the extent to which risks related to public concern over drug pricing | Shareholder | Yes | Against | For |
Amphenol Corp | APH | 032095101 | 5/17/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Amphenol Corp | APH | 032095101 | 5/17/2018 | 2 | Ratification of Deloitte and Touche LLP as independent accountants for the company | Issuer | Yes | For | For |
Amphenol Corp | APH | 032095101 | 5/17/2018 | 3 | To approve the compensation of named executive officers. | Issuer | Yes | For | For |
Amphenol Corp | APH | 032095101 | 5/17/2018 | 4 | Stockholder Proposal-Special shareholder meeting improvement | Shareholder | Yes | Against | For |
Andeavor | ANDV | 03349M105 | 5/4/2018 | 1 | Election of 10 Directors for Board of Directors | Issuer | Yes | For | For |
Andeavor | ANDV | 03349M105 | 5/4/2018 | 2 | To approve the compensation of named executive officers. | Issuer | Yes | For | For |
Andeavor | ANDV | 03349M105 | 5/4/2018 | 3 | Ratify the appointment of Ernst & Young as Independent registered public accountant firm | Issuer | Yes | For | For |
Andeavor | ANDV | 03349M105 | 5/4/2018 | 4 | To approve the Andeavor 2018 long term incentive plan | Issuer | Yes | For | For |
Broadcom Inc | AVGO | 11135F101 | 4/4/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Broadcom Inc | AVGO | 11135F101 | 4/4/2018 | 2 | Re-Appointment of PricewaterhouseCoopers LLP as public accounting firm and Singapore auditor for year ending 04/04/2018 | Issuer | Yes | For | For |
Broadcom Inc | AVGO | 11135F101 | 4/4/2018 | 3 | To approve the general authorization for the directors of Broadcom to allot and issue shares in its capital | Issuer | Yes | For | For |
Broadcom Inc | AVGO | 11135F101 | 4/4/2018 | 4 | A non-binding, advisory vote to approve the compensation of Broadcom's named executive officers in compensation discussion and analysis. | Issuer | Yes | For | For |
Cadence Design Systems, Inc | CDNS | 127387108 | 5/3/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Cadence Design Systems, Inc | CDNS | 127387108 | 5/3/2018 | 2 | Approval of the amendment of the omnibus equity incentive plan | Issuer | Yes | For | For |
Cadence Design Systems, Inc | CDNS | 127387108 | 5/3/2018 | 3 | Approval of the amendment of the employee stock purchase plan | Issuer | Yes | For | For |
Cadence Design Systems, Inc | CDNS | 127387108 | 5/3/2018 | 4 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
Cadence Design Systems, Inc | CDNS | 127387108 | 5/3/2018 | 5 | Ratification of the selection of KPMG LLP as the independent registered public accounting firm ending 12/29/2018 | Issuer | Yes | For | For |
Celanese | CE | 150870103 | 4/19/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Celanese | CE | 150870103 | 4/19/2018 | 2 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
Celanese | CE | 150870103 | 4/19/2018 | 3 | Ratification of the selection of KPMG LLP as the independent registered public accounting firm for 2017 | Issuer | Yes | For | For |
Celanese | CE | 150870103 | 4/19/2018 | 4 | Approval of the 2018 global incentive plan | Issuer | Yes | For | For |
Delta Airlines | DAL | 247361702 | 6/29/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Delta Airlines | DAL | 247361702 | 6/29/2018 | 2 | Approve the compensation of executive officers | Issuer | Yes | For | For |
Delta Airlines | DAL | 247361702 | 6/29/2018 | Ratification of Ernst & Young LLP as auditors ending December 31, 2018 | Issuer | Yes | For | For | |
EOG Resources Inc. | EOG | 26875P101 | 4/24/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 4/24/2018 | 2 | Ratification by the audit committee of the board of directors of Deloitte & Touche LLP as auditors for year ending 12/31/2018 | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 4/24/2018 | 3 | Approval of an amendment and restatement of the employee stock purchase plan and increase the number of authorized shares of Common Stock | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 4/24/2018 | 4 | Approve the compensation of executive officers | Issuer | Yes | For | For |
Estee Lauder Companies Inc | EL | 518439104 | 11/14/2017 | 1 | Election of directors | Issuer | Yes | For | For |
Estee Lauder Companies Inc | EL | 518439104 | 11/14/2017 | 2 | Ratification of the selection of KPMG LLP as the independent registered public accounting firm for 2018 | Issuer | Yes | For | For |
Estee Lauder Companies Inc | EL | 518439104 | 11/14/2017 | 3 | Approval of executive compensation | Issuer | Yes | For | For |
Estee Lauder Companies Inc | EL | 518439104 | 11/14/2017 | 4 | Advisory vote on the approval of frequency of the advisory vote on executive compensation | Issuer | Yes | For | For |
Fifth Third Bank | FITB | 316773100 | 4/17/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Fifth Third Bank | FITB | 316773100 | 4/17/2018 | 2 | Approval of Deloitte & Touche LLP as accounting firm for 2018 | Issuer | Yes | For | For |
Fifth Third Bank | FITB | 316773100 | 4/17/2018 | 3 | Advisory approval of the companies executive compensation | Issuer | Yes | For | For |
Fifth Third Bank | FITB | 316773100 | 4/17/2018 | 4 | Advisory vote to determine shareholder vote on executives compensation should happen every 1,2 or 3 yrs | Issuer | Yes | For | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 2 | Approval of executive compensation | Issuer | Yes | For | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 3 | Ratification of Ernst & Young LLP as auditors for 2018 | Issuer | Yes | For | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 4 | Shareholder Proposal Regarding Independent Board Chairman | Shareholder | Yes | Against | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 5 | Shareholder Proposal Regarding Shareholder Right to Act by Written Consent | Shareholder | Yes | Against | For |
General Motors Company | GM | 37045V100 | 6/12/2018 | 6 | Shareholder Proposal Regarding Report on Greenhouse Gas Emissions and CAFÉ Standards | Shareholder | Yes | Against | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 2 | Approval of executive compensation (Say on Pay) | Issuer | Yes | For | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 3 | Approval of the Goldman Sachs amended and restated stock incentive plan | Issuer | Yes | For | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 4 | Appointment of PricewaterhouseCoopers LLP as public accounting firm for 2018 | Issuer | Yes | For | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 5 | Shareholder proposal requesting a report on lobbying | Shareholder | Yes | Against | For |
Goldman Sachs Group, Inc | GS | 38141G104 | 5/2/2018 | 6 | Shareholder proposal regarding amendments to stockholder proxy access | Shareholder | Yes | Against | For |
IntercontinentalExchange Group, Inc. | ICE | 45866F104 | 3/28/2018 | 1 | Election of directors | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45866F104 | 3/28/2018 | 2 | Approval of the advisory resolution on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45866F104 | 3/28/2018 | 3 | Approve the Intercontinental Exchange, Inc 2018 Employee stock purchase plan | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45866F104 | 3/28/2018 | 4 | Ratify the appointment of Ernst & Young as auditor for fiscal year ending 12/31/2018 | Issuer | Yes | For | For |
KLA-Tencor Corp | KLAC | 482480100 | 11/1/2017 | 1 | Election of Directors | Issuer | Yes | For | For |
KLA-Tencor Corp | KLAC | 482480100 | 11/1/2017 | 2 | Ratification of approval of PricewaterhouseCoopers LLP as the companies public accounting firm for fiscal year ending 6/30/2018 | Issuer | Yes | For | For |
KLA-Tencor Corp | KLAC | 482480100 | 11/1/2017 | 3 | To approve the compensation of executive officers | Issuer | Yes | For | For |
KLA-Tencor Corp | KLAC | 482480100 | 11/1/2017 | 4 | Advisory vote on the approval of frequency of the advisory vote on executive compensation | Issuer | Yes | For | For |
Lear Corporation | LEA | 521865204 | 5/17/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Lear Corporation | LEA | 521865204 | 5/17/2018 | 2 | Ratification of the retention of Ernst & Young LLP as accounting firm for 2018 | Issuer | Yes | For | For |
Lear Corporation | LEA | 521865204 | 5/17/2018 | 3 | Approve executive compensation | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 1 | Election of Directors | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 2 | To approve the compensation of executive officers | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 3 | Adoption of the Dutch annual accounts for 2017 | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 4 | Approval of Deloitte & Touche LLP as accounting firm for fiscal year 2018 | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 5 | Introduction of Deloitte Accountants BV for the audit for the Dutch fiscal year 2018 | Issuer | Yes | For | For |
Mylan N.V. | MYL | N59465109 | 6/29/2018 | 6 | Authorization of the Board to acquire shares in the capital of the Company | Issuer | Yes | For | For |
New York Community Bancorp, Inc | NYCB | 649445103 | 6/5/2018 | 1 | Election of directors | Issuer | Yes | For | For |
New York Community Bancorp, Inc | NYCB | 649445103 | 6/5/2018 | 2 | Ratify appointment of KPMG LLP as public accounting firm for year ending 12/31/2018 | Issuer | Yes | For | For |
New York Community Bancorp, Inc | NYCB | 649445103 | 6/5/2018 | 3 | Approval of executive compensation | Issuer | Yes | For | For |
Packaging Corporation of America | PKG | 695156109 | 5/15/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Packaging Corporation of America | PKG | 695156109 | 5/15/2018 | 2 | Ratify appointment of KPMG LLP as auditors | Issuer | Yes | For | For |
Packaging Corporation of America | PKG | 695156109 | 5/15/2018 | 3 | Approval of executive compensation | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/23/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/23/2018 | 2 | Approval of executive compensation | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/23/2018 | 3 | Approval of Deloitte & Touche LLP as accounting firm for period ending 2/2/2019 | Issuer | Yes | For | For |
T-Mobile | TMUS | 872590104 | 6/13/2018 | 1 | Election of directors | Issuer | Yes | For | For |
T-Mobile | TMUS | 872590104 | 6/13/2018 | 2 | Ratify the selection of PricewaterhouseCoopers LLP as the accounting firm for the fiscal year 2018 | Issuer | Yes | For | For |
T-Mobile | TMUS | 872590104 | 6/13/2018 | 3 | Approval of an amendment to the 2013 Omnibus incentive plan | Issuer | Yes | For | For |
T-Mobile | TMUS | 872590104 | 6/13/2018 | 4 | Stockholder Proposal for implementation of Proxy Access | Shareholder | Yes | Against | For |
T-Mobile | TMUS | 872590104 | 6/13/2018 | 5 | Stockholder Proposal for limitations on accelerated vesting of equity awards in the event of a change in control | Shareholder | Yes | Against | For |
Total System Services, Inc | TSS | 891906109 | 4/26/2018 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Total System Services, Inc | TSS | 891906109 | 4/26/2018 | 2 | Appointment of KPMG LLP as auditor for 2018 | Issuer | Yes | For | For |
Total System Services, Inc | TSS | 891906109 | 4/26/2018 | 3 | Approval of executive compensation | Issuer | Yes | For | For |
Tyson Foods | TSN | 902494103 | 2/8/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Tyson Foods | TSN | 902494103 | 2/8/2018 | 2 | Ratify the selection of PricewaterhouseCoopers LLP as the accounting firm for the fiscal year ending 9/29/2018 | Issuer | Yes | For | For |
Tyson Foods | TSN | 902494103 | 2/8/2018 | 3 | Approval of the 2000 stock incentive plan | Issuer | Yes | For | For |
Tyson Foods | TSN | 902494103 | 2/8/2018 | 4 | Shareholder proposal to request a report disclosing the policy and procedures related to lobbying | Shareholder | Yes | Against | For |
Tyson Foods | TSN | 902494103 | 2/8/2018 | 5 | Shareholder proposal to adopt a water stewardship policy at company supplier facilities | Shareholder | Yes | Against | For |
United Therapeutics | UTHR | 91307C102 | 6/26/2018 | 1 | Election of directors | Issuer | Yes | For | For |
United Therapeutics | UTHR | 91307C102 | 6/26/2018 | 2 | Approval of executive compensation | Issuer | Yes | For | For |
United Therapeutics | UTHR | 91307C102 | 6/26/2018 | 3 | Approval of amendment and restatement of Company 2015 Stock Inventive Plan | Issuer | Yes | For | For |
United Therapeutics | UTHR | 91307C102 | 6/26/2018 | 4 | Ratification of the retention of Ernst & Young LLP as accounting firm for 2018 | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 2 | Appointment of independent accounting firm. | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 3 | Approval of executive compensation | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 4 | Special shareholder meetings | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 5 | Lobbying activities report | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 6 | Independent chair | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2015 | 7 | Report on cyber security and data privacy | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 8 | Executive compensation clawback policy | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/3/2018 | 9 | Nonqualified savings plan earnings | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/14/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/14/2018 | 2 | Ratification of Ernst & Young LLP as auditors for 2018 | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/14/2018 | 3 | To approve executive compensation | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/14/2018 | 4 | Stockholder proposal regarding policy restricting accelerated vesting of equity awards upon a change in control | Shareholder | Yes | Against | For |
Western Alliance | WAL | 957638109 | 6/12/2018 | 1 | Election of directors | Issuer | Yes | For | For |
Western Alliance | WAL | 957638109 | 6/12/2018 | 2 | To approve executive compensation | Issuer | Yes | For | For |
Western Alliance | WAL | 957638109 | 6/12/2018 | 3 | Vote on the frequency of executive compensation votes | Issuer | Yes | For | For |
Western Alliance | WAL | 957638109 | 6/12/2018 | 4 | Ratify the appointement of RSM US LLP as the company's independent auditor | Issuer | Yes | For | For |
XPO Logistics Inc | 983793100 | 12/20/2017 | 1 | Approve the adoption of employee stock purchase plan | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 12/20/2017 | 2 | Vote on a proposal to adjourn or postpone the special meeting, if necessary to solicit additional proxies | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 1 | Election of directors | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 2 | Ratification of independent auditors | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 3 | Approval of executive compensation | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 4 | Advisory vote on the approval of frequency of the advisory vote on executive compensation | Issuer | Yes | For | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 5 | Stockholder proposal regarding sustainability reporting | Shareholder | Yes | Against | For | |
XPO Logistics Inc | 983793100 | 5/17/2018 | 6 | Stockholder proposal regarding clawback policy | Shareholder | Yes | Against | For |