UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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 811-22298
Starboard Investment Trust
(Exact name of registrant as specified in charter)
(Exact name of registrant as specified in charter)
116 South Franklin Street, Rocky Mount, North Carolina 27804
(Address of principal executive offices) (Zip code)
Paracorp Inc.
2140 South Dupont Hwy, Camden, DE 19934
(Name and address of agent for service)
2140 South Dupont Hwy, Camden, DE 19934
(Name and address of agent for service)
Registrant's telephone number, including area code: 252-972-9922
Date of fiscal year end: August 31
Date of reporting period: July 1, 2019 - June 30, 2020
Roumell Opportunistic Value Fund Proxy Voting Records | ||||||||||||||||
SEACHANGE INTERNATIONAL INC. | ||||||||||||||||
Security | 811699107 | Meeting Type | ANNUAL | |||||||||||||
Ticker Symbol | SEAC | Meeting Date | 11-Jul-19 | |||||||||||||
Record Date | 21-May-19 | | ||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | ||||||||||||
1. | DIRECTOR | MANAGEMENT | For | |||||||||||||
A | ROBERT M. PONS | No Vote | ||||||||||||||
B | ANDREW SRIUBAS | No Vote | ||||||||||||||
2. | TO APPROVE THE TAX BENEFITS PRESERVATION PLAN | MANAGEMENT | No Vote | For | ||||||||||||
3 | TO ADOPT , ON AN ADVISORY BASIS, A RESOLUTION APPROVING THE COMPENSATION OF SEACHANGE'S NAMED EXECUTIVE OFFICERS | MANAGEMENT | No Vote | For | ||||||||||||
4 | TO RATIFY THE APPOINTMENT OF SEACHANGE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM, GRANT THORTON LLP | MANAGEMENT | No Vote | For | ||||||||||||
INTERMOLECULAR INC. | ||||||||||||||||
Security | 45882D109 | Meeting Type | SPECIAL | |||||||||||||
Ticker Symbol | IMI | Meeting Date | 17-Jul-19 | |||||||||||||
Record Date | 4-Jun-19 | |||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | ||||||||||||
1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER BY AND AMONG EMD GROUP HOLDING II, INC. ("PARENT"), AN INDIRECT WHOLLY OWNED SUBSIDIARY OF MERCK KGAA, DARMSTADT, GERMANY. EMD PERFORMANCE MATERIALS SEMICONDUCTOR SERVICES CORP., A WHOLLY OWNED SUBSIDIARY OF PARENT AND INTERMOLECULAR, INC. (THE "COMPANY"), DATED MAY 6, 2019 (THE "MERGER AGREEMENT"), AND APPROVE THE TRANSACTIONS CONTEMPLATED THEREIN | MANAGEMENT | For | For | ||||||||||||
2 | TO APPROVE AN ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES TO ADOPT THE MERGER AGREEMENT AND APPROVE THE TRANSACTIONS CONTEMPLATED THEREIN AT THE TIME OF THE SPECIAL MEETING | MANAGEMENT | For | For | ||||||||||||
3 | TO APPROVE, ON AN ADVISORY, NON-BINDING BASIS, COMPENSATION THAT WILL OR MAY BECOME PAYABLE TO THE COMPANY'S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE MERGER | MANAGEMENT | For | For | ||||||||||||
GLADSTONE INVESTMENT COMPANY | ||||||||||||||||
Security | 376546602 | Meeting Type | ANNUAL | |||||||||||||
Ticker Symbol | GAINL | Meeting Date | 1-Aug-19 | |||||||||||||
Record Date | 3-Jun-19 | |||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | ||||||||||||
1. | DIRECTOR | MANAGEMENT | For | |||||||||||||
1. | PAUL ADELGREN | No Vote | For | |||||||||||||
2. | DAVID GLADSTONE | No Vote | For | |||||||||||||
3. | JOHN OUTLAND | No Vote | For | |||||||||||||
2. | TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH SUBSEQUENT APPROVAL OF ITS BOARD OF DIRECTORS, TO ISSUE & SELL SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH STOCKHOLDER APPROVAL) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN PROXY STATEMENT (INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES ISSUED & SOLD PURSUANT TO SUCH STOCKHOLDER APPROVAL DOES NOT EXCEED 25% OF COMPANY'S THEN OUTSTANDING COMMON STOCK IMMEDIATELY PRIOR TO EACH SUCH SALE) | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
DESTINATION XL GROUP INC. | |||||||||||||||||||||
Security | 25065K104 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | DXLG | Meeting Date | 8-Aug-19 | ||||||||||||||||||
Record Date | |||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
A | JOHN E. KYEES | No Vote | |||||||||||||||||||
B | HARVEY S KANTER | No Vote | |||||||||||||||||||
C | JACK BOYLE | No Vote | |||||||||||||||||||
D | LIONEL F. CONACHER | No Vote | |||||||||||||||||||
E | SEYMOUR HOLTZMAN | No Vote | |||||||||||||||||||
F | WILLEM MESDAG | No Vote | |||||||||||||||||||
G | WARD K. MOONEY | No Vote | |||||||||||||||||||
H | MITCHELL S. PRESSER | No Vote | |||||||||||||||||||
I | IVY ROSS | No Vote | |||||||||||||||||||
2. | TO APPROVE, ON AN ADVISORY BASIS, NAMED EXECUTIVE OFFICER COMPENSATION | MANAGEMENT | No Vote | For | |||||||||||||||||
2. | TO APPROVE AMENDMENTS TO THE COMPANY'S 2016 INCENTIVE COMPENSATION PLAN TO INCREASE THE TOTAL NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE PLAN BY 2,800,000 SHARES | MANAGEMENT | For | For | |||||||||||||||||
GSI TECHNOLOGY INC. | |||||||||||||||||||||
Security | 36241U106 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | GSIT | Meeting Date | 29-Aug-19 | ||||||||||||||||||
Record Date | 8-Jul-19 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | LEE-LEAN SHU | No Vote | For | ||||||||||||||||||
2 | JACK A. BRADLEY | No Vote | For | ||||||||||||||||||
3 | E. THOMAS HART | No Vote | For | ||||||||||||||||||
4 | HAYDN HSIEH | No Vote | For | ||||||||||||||||||
5 | RUEY L. LU | No Vote | For | ||||||||||||||||||
6 | ARTHUR O. WHIPPLE | No Vote | For | ||||||||||||||||||
7 | ROBERT YAU | No Vote | For | ||||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MARCH 31, 2020 | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | TO APPROVE THE COMPENSATION OF THE EXECUTIVE OFFICERS NAMED IN THE SUMMARY COMPENSATION TABLE, AS DISCLOSED IN THE PROXY STATEMENT FOR THE ANNUAL MEETING | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENT OR POSTPONEMENT OF THE MEETING | MANAGEMENT | No Vote | For | |||||||||||||||||
ALITHYA GROUP INC. | |||||||||||||||||||||
Security | 01643B106 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | ALYA | Meeting Date | 18-Sep-19 | ||||||||||||||||||
Record Date | 22-Jul-19 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1. | DANA ADES-LANDY | No Vote | For | ||||||||||||||||||
2. | ROBERT COMEAU | No Vote | For | ||||||||||||||||||
3. | FREDERICK DISANTO | No Vote | For | ||||||||||||||||||
4. | LUCIE MARTEL | No Vote | For | ||||||||||||||||||
5. | PAUL RAYMOND | No Vote | For | ||||||||||||||||||
6. | GHYSLAIN RIVARD | No Vote | For | ||||||||||||||||||
7. | JEFFREY RUTHERFORD | No Vote | For | ||||||||||||||||||
8. | C. LEE THOMAS | No Vote | For | ||||||||||||||||||
9. | PIERRE TURCOTTE | No Vote | For | ||||||||||||||||||
2. | TO APPOINT RAYMOND CHABOT GRANT THORTON LLP AS AUDITORS OF THE COMPNAY AND AUTHORIZE THE BOARD TO FIX THEIR RENUMERATION | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
A10 NETWORKS INC. | |||||||||||||||||||||
Security | 002121101 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | ATEN | Meeting Date | 4-Dec-19 | ||||||||||||||||||
Record Date | 10-Oct-19 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
a. | TOR R. BRAHAM | No Vote | For | ||||||||||||||||||
b. | PETER Y. CHUNG | No Vote | For | ||||||||||||||||||
c. | DR. PHILLIP J. SALSBURY | No Vote | For | ||||||||||||||||||
d. | ERIC SINGER | No Vote | For | ||||||||||||||||||
2 | TO APPROVE OUR AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE SUPERMAJORITY VOTING PROVISIONS RELATING TO: | MANAGEMENT | For | ||||||||||||||||||
a. | AMENDMENTS TO THE CERTIFICATE OF INCORPORATION AND BYLAWS; AND | No Vote | For | ||||||||||||||||||
b. | REMOVAL OF DIRECTORS | No Vote | For | ||||||||||||||||||
3 | TO RATIFY THE APPOINTMENT OF ARMANINO LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
LIQUIDITY SERVICES INC. | |||||||||||||||||||||
Security | 53635B107 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | LQDT | Meeting Date | 20-Feb-20 | ||||||||||||||||||
Record Date | 7-Jan-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1 | DIRECTORS | MANAGEMENT | For | ||||||||||||||||||
1 | PHILLIP A. CLOUGH | Withhold | For | ||||||||||||||||||
2 | GEORGE H. ELLIS | Withhold | For | ||||||||||||||||||
3 | JAIME MATEUS-TIQUE | Withhold | For | ||||||||||||||||||
2 | RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | APPROVAL OF AN ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION | MANAGEMENT | Against | For | |||||||||||||||||
4 | APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE COMPANY'S SECOND AMENDED AND RESTATED 2006 OMNIBUS LONG-TERM INCENTIVE PLAN | MANAGEMENT | No Vote | For | |||||||||||||||||
AKAZOO SA | |||||||||||||||||||||
Security | L0164E108 | Meeting Type | SPECIAL | ||||||||||||||||||
Ticker Symbol | SONG | Meeting Date | 17-Mar-20 | ||||||||||||||||||
Record Date | 18-Feb-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | ADDITION OF NEW PARAGRAPH 6.12 TO ARTICLE 6 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
2 | ADDITION OF NEW PARAGRAPH 8.3 TO ARTICLE 8 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | ADDITION OF NEW PARAGRAPH 8.5 TO ARTICLE 8 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | ADDITION OF NEW PARAGRAPH 9.6 TO ARTICLE 9 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
5 | ADDITION OF NEW PARAGRAPH 9.7 TO ARTICLE 9 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
6 | ADDITION OF NEW PARAGRAPH 9.8 TO ARTICLE 9 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
7 | ADDITION OF NEW PARAGRAPH 9.9 TO ARTICLE 9 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
8 | ADDITION OF NEW PARAGRAPH 20.5 TO ARTICLE 20 OF THE COMPANY'S ARTICLES OF ASSOCIATION | MANAGEMENT | No Vote | For | |||||||||||||||||
9 | RATIFICATION OF ALL CONVENING AND HOLDING PROCEDURES AND FORMALITIES WITH RESPECT TO THE SPECIAL GENERAL MEETING AND THE EXTRAORDINARY GENERAL MEETING | MANAGEMENT | No Vote | For | |||||||||||||||||
2 | APPROVAL OF THE OMINBUS EQUITY INCENTIVE PLAN | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | INCREASE OF THE NUMBER OF DIRECTORS OF THE COMPANY FROM SEVEN TO NINE AND APPOINTMENT OF ASIT MEHRA AND COLIN MILES AS NEW DIRECTORS OF THE COMPANY FOR A PERIOD ENDING AT THE ANNUAL GENERAL MEETING OF THE SHAREHOLDERS APPROVING THE ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR ON 31 DECEMBER 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | REMOVAL OF CROWE UK LLP AS THE COMPANY'S STAUTORY AUDITOR (COMMISSAIRE), WITHOUT CAUSE | MANAGEMENT | No Vote | For | |||||||||||||||||
5 | APPOINTMENT OF BDO AUDIT SA AS THE COMPANY'S INDEPENDENT AUDITOR (REVISSEUR D'ENTREPRISES AGREE) FOR A PERIOD ENDING AT THE ANNUAL GENERAL MEETING OF THE SHAREHOLDERS APPROVING THE ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR ENDING ON 31 DECEMBER 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
6 | AUTHORIZATION TO THE COMPANY'S BOARD OF DIRECTORS (OR AN AGENT, INCLUDING WITHOUT LIMITATION, THE COMPANY'S CEO OR CFO, TO BE APPOINTED BY THE BOARD OF DIRECTORS FOR THIS PURPOSE) TO CAUSE THE COMPANY TO REPURCHASE SHARES IN THE COMPNAY FROM TIME TO TIME | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
LIBERTY OILFIELD SERVICES INC. | |||||||||||||||||||||
Security | 53115L104 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | LBRT | Meeting Date | 21-Apr-20 | ||||||||||||||||||
Record Date | 24-Feb-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | GALE A NORTON | No Vote | For | ||||||||||||||||||
2 | JESAL SHAH | ||||||||||||||||||||
3 | CARY D STEINBECK | No Vote | For | ||||||||||||||||||
2 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | No Vote | For | ||||||||||||||||||
3 | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS | No Vote | For | ||||||||||||||||||
HOUSTON WIRE & CABLE CO. | |||||||||||||||||||||
Security | 44244K109 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | HWCC | Meeting Date | 2-May-2020 | ||||||||||||||||||
Record Date | 31-Mar-2020 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTORS | MANAGEMENT | For | ||||||||||||||||||
1 | JAMES L. POKLUDA III | For | For | ||||||||||||||||||
2 | ROY W. HALEY | For | For | ||||||||||||||||||
3 | MARGARET S. LAIRD | For | For | ||||||||||||||||||
4 | DAVID NIERENBERG | For | For | ||||||||||||||||||
5 | SANDFORD W. ROTHE | For | For | ||||||||||||||||||
6 | WILLIAM H. SHEFFIELD | For | For | ||||||||||||||||||
7 | G. GARY YETMAN | For | For | ||||||||||||||||||
2 | TO APPROVE THE COMPANY'S EXECUTIVE COMPENSATION ON AN ADVISORY BASIS | MANAGEMENT | Abstain | For | |||||||||||||||||
3 | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | Abstain | For | |||||||||||||||||
4 | TO APPROVE AN AMENDMENT TO THE 2017 STOCK PLAN TO AUTHORIZE ADDITIONAL SHARES | MANAGEMENT | For | For | |||||||||||||||||
CIT GROUP INC. | |||||||||||||||||||||
Security | 125581801 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | CIT | Meeting Date | 12-May-20 | ||||||||||||||||||
Record Date | 19-Mar-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTORS | MANAGEMENT | For | ||||||||||||||||||
A | ELLEN R. ALEMANY | No Vote | For | ||||||||||||||||||
B | MICHAEL L. BROSNAN | No Vote | For | ||||||||||||||||||
C | MICHAEL A. CARPENTER | No Vote | For | ||||||||||||||||||
D | DORENE C. DOMINGUEZ | No Vote | For | ||||||||||||||||||
E | ALAN FRANK | No Vote | For | ||||||||||||||||||
F | WILLIAM M. FREEMAN | No Vote | For | ||||||||||||||||||
G | R. BRAD OATES | No Vote | For | ||||||||||||||||||
H | GERALD ROSENFELD | No Vote | For | ||||||||||||||||||
I | VICE ADMIRAL JOHN R, RYAN, USN (RET.) | No Vote | For | ||||||||||||||||||
J | SHEILA A. STAMPS | No Vote | For | ||||||||||||||||||
K | KHANH T. TRAN | No Vote | For | ||||||||||||||||||
L | LAURA S. UNGER | No Vote | For | ||||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS CIT'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM AND EXTERNAL AUDITORS FOR 2020 | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | TO RECOMMEND, BY NON-BINDING VOTE, THE COMPENSATION OF CIT'S NAMED EXECUTIVE OFFICERS | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
LEAF GROUP LTD | |||||||||||||||||||||
Security | 52177G102 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | LEAF | Meeting Date | 18-May-20 | ||||||||||||||||||
Record Date | 31-Mar-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | CHARLES (LANNY) BAKER | Withhold | For | ||||||||||||||||||
2. | JENNIFER SCHULZ | Withhold | For | ||||||||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | Abstain | For | |||||||||||||||||
3 | NON-BINDING ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | MANAGEMENT | Against | For | |||||||||||||||||
SIERRA WIRELESS INC. | |||||||||||||||||||||
Security | 826516106 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | SWIR | Meeting Date | 21-May-20 | ||||||||||||||||||
Record Date | 13-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1 | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | GREGORY D. AASEN | No Vote | For | ||||||||||||||||||
2. | ROBIN A. ABRAMS | No Vote | For | ||||||||||||||||||
3. | JAMES R. ANDERSON | No Vote | For | ||||||||||||||||||
4. | RUSSELL N. JONES | No Vote | For | ||||||||||||||||||
5. | LORI M. O'NEILL | No Vote | For | ||||||||||||||||||
6 | THOMAS SIEBER | No Vote | For | ||||||||||||||||||
7 | KENT P. THEXTON | No Vote | For | ||||||||||||||||||
8 | GREGORY L. WATERS | No Vote | For | ||||||||||||||||||
9 | KARIMA BAWA | No Vote | For | ||||||||||||||||||
2 | APPOINTMENT OF ERNST & YOUNG LLP, CHARTERED PROFESSIONAL ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR RENUMERATION | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | TO CONSIDER AND, IF DEEMED ADVISABLE, PASS AN ORDINARY RESOLUTION TO APPROVE CERTAIN AMENDMENTS TO THE CORPORATION'S AMENDED AND RESTATED 1997 STOCK OPTION PLAN AND TO APPROVE ALL UNALLOCATED ENTITLEMENTS THEREUNDER | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | TO CONSIDER AND, IF DEEMED ADVISABLE, PASS AN ORDINARY RESOLUTION TO APPROVE CERTAIN AMENDMENTS TO THE CORPORATION'S 2011 TREASURY BASED RESTRICTED SHARE UNIT PLAN | MANAGEMENT | No Vote | For | |||||||||||||||||
5 | TO CONSIDER AND, IF DEEMED ADVISABLE, APPROVE AN ADVISORY RESOLUTION TO ACCEPT THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | MANAGEMENT | No Vote | For | |||||||||||||||||
6 | TO CONSIDER AND, IF DEEMED ADVISABLE, PASS AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING AN AMENDMENT TO, AND THE RESTATEMENT OF, THE CORPORATION'S AMENDED AND RESTATED BY-LAW NO. 1 | MANAGEMENT | No Vote | For | |||||||||||||||||
7 | TO CONSIDER AND, IF DEEMED ADVISABLE, PASS A SPECIAL RESOLUTION TO AUTHORIZE THE CORPORATION TO AMEND ITS ARTICLES TO INCREASE THE MAXIMUM NUMBER OF DIRECTORS OF THE CORPORATION FROM NINE TO TWELVE | MANAGEMENT | No Vote | For | |||||||||||||||||
A10 NETWORKS INC. | |||||||||||||||||||||
Security | 002121101 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | ATEN | Meeting Date | 27-May-20 | ||||||||||||||||||
Record Date | 2-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
a. | TOR R. BRAHAM | No Vote | For | ||||||||||||||||||
b. | PETER Y. CHUNG | No Vote | For | ||||||||||||||||||
c. | J MICHAEL DODSON | No Vote | For | ||||||||||||||||||
d. | ERIC SINGER | No Vote | For | ||||||||||||||||||
d. | DHRUPAD TRIVEDI | No Vote | For | ||||||||||||||||||
2 | TO APPROVE, ON AN ADVISORY AND NON-BINDING BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | TO PROVIDE AN ADVISORY VOTE REGARDING THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | TO RATIFY THE APPOINTMENT OF ARMANINO LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
AMYRIS INC. | |||||||||||||||||||||
Security | 03236M200 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | HWCC | Meeting Date | 29-May-20 | ||||||||||||||||||
Record Date | 3-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTORS | MANAGEMENT | For | ||||||||||||||||||
1 | GEOFFREY DUYK M.D. | No Vote | For | ||||||||||||||||||
2 | STEVEN MILLS | No Vote | For | ||||||||||||||||||
3 | CAROLE PIWNICA | No Vote | For | ||||||||||||||||||
4 | JAMES MCCANN | No Vote | For | ||||||||||||||||||
2 | RATIFICATION OF THE APPOINTMENT OF MACIAS GINI & OCONNELL LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | A NON-BINDING ADVISORY RESOLUTION TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS (COMMONLY REFERRED TO AS A STOCKHOLDER SAY-ON-PAY VOTE) | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | APPROVAL OF THE COMPANY'S 2020 EQUITY INCENTIVE PLAN | MANAGEMENT | No Vote | For | |||||||||||||||||
5 | APPROVAL OF THE ISSUANCE OF SHARES OF THE COMPANY'S COMMON STOCK IN ACCORDANCE WITH THE NASDAQ LISTING STANDARD RULE 5635(D): (I) UPON THE COMPANY'S ELECTION, AND AT ITS DISCRETION, TO PAY INTEREST AND AMORTIZATION ON THE SENIOR CONVERTIBLE NOTES DUE 2022 IN SHARES OF THE COMPANY'S COMMON STOCK, AND (II) UPON EXERCISE OF THE RIGHTS AND WARRANTS ISSUED IN CONNECTION THERETO, IN EACH CASE, RATHER THAN BEING REQUIRED TO PAY CASH IN LIEU OF ANY SUCH ISSUANCES IN EXCESS OF THE LIMITATIONS IMPOSED BY SUCH NASDAQ RULE | MANAGEMENT | No Vote | For | |||||||||||||||||
6 | APPROVAL OF AN AMENDMENT TO THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION TO EFFECT AN INCREASE IN THE TOTAL NUMBER OF THE COMPANY'S AUTHORIZED SHARES FROM 255,000,000 TO 355,000,000 AND IN THE TOTAL NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 250,000,000 TO 350,000,000 | MANAGEMENT | No Vote | For | |||||||||||||||||
SANDRIDGE ENERGY INC. | |||||||||||||||||||||
Security | 80007P869 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | SD | Meeting Date | 5-Jun-20 | ||||||||||||||||||
Record Date | 28-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | |||||||||||||||||||
a. | PATRICIA A. AGNELLO | No Vote | For | ||||||||||||||||||
b. | JONATHAN CHRISTODORO | No Vote | For | ||||||||||||||||||
c. | JONATHAN FRATES | No Vote | For | ||||||||||||||||||
d. | JOHN "JACK" LIPINSKI | No Vote | For | ||||||||||||||||||
e | RANDOLPH C. READ | No Vote | For | ||||||||||||||||||
2 | RATIFY THE SELECTION OF DELOITTE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | No Vote | For | |||||||||||||||||
2 | APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PROVIDED TO THE COMPANY'S NAMED EXECUTIVE OFFICERS | MANAGEMENT | No Vote | For | |||||||||||||||||
ZAGG INC. | |||||||||||||||||||||
Security | 98884U108 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | ZAGG | Meeting Date | 11-Jun-20 | ||||||||||||||||||
Record Date | 17-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1 | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | CHRIS AHERN | For | For | ||||||||||||||||||
2 | MICHAEL T. BIRCH | For | For | ||||||||||||||||||
3 | CHERYL A. LARABEE | For | For | ||||||||||||||||||
4 | DANIEL R. MAURER | For | For | ||||||||||||||||||
5 | P. SCOTT STUBBS | For | For | ||||||||||||||||||
6 | RONALD G. Garriques | For | For | ||||||||||||||||||
7 | EDWARD TERINO | For | For | ||||||||||||||||||
2 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY | MANAGEMENT | For | For | |||||||||||||||||
3 | NON-ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS IN 2019 | MANAGEMENT | For | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
RICEBRAN TECHNOLOGIES | |||||||||||||||||||||
Security | 762831204 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | RIBT | Meeting Date | 17-Jun-20 | ||||||||||||||||||
Record Date | 27-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | BRENT R. RYSTROM | No vote | For | ||||||||||||||||||
2 | BRENT D. ROSENTHAL | No vote | For | ||||||||||||||||||
3 | PETER G. BRADLEY | No vote | For | ||||||||||||||||||
4 | BETH L. BRONNER | No vote | For | ||||||||||||||||||
5 | DAVID CHEMEROW | No vote | For | ||||||||||||||||||
6 | ARI GENDASON | No vote | For | ||||||||||||||||||
2. | TO APPROVE AN AMENDMENT TO OUR ARTICLES OF INCORPORATION TO INCREASE THE AUTHORIZED NUMBER OF SHARES OF COMMON STOCK FRO 50,000,000 TO 150,000,000 | MANAGEMENT | No vote | For | |||||||||||||||||
3 | TO APPROVE THE AMENDED AND RESTATED 2014 EQUITY INCENTIVE PLAN | MANAGEMENT | No vote | For | |||||||||||||||||
4 | TO APPROVE, ON A NONBINDING ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | MANAGEMENT | No vote | For | |||||||||||||||||
5 | TO RATIFY OUR APPOINTMENT OF RSM US LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2020 | MANAGEMENT | No vote | For | |||||||||||||||||
NEXTIER OILFIELD SOLUTIONS INC. | |||||||||||||||||||||
Security | 65290C105 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | NEX | Meeting Date | 18-Jun-20 | ||||||||||||||||||
Record Date | 23-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1. | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
A | ROBERT W. DRUMMOND | No vote | For | ||||||||||||||||||
B | STUART BRIGHTMAN | No vote | For | ||||||||||||||||||
C | GARY HALVERSON | No vote | For | ||||||||||||||||||
D | PATRICK MURRAY | No vote | For | ||||||||||||||||||
E | AMY H. NELSON | No vote | For | ||||||||||||||||||
F | MEL G. RIGGS | No vote | For | ||||||||||||||||||
G | MICHAEL ROEMER | No vote | For | ||||||||||||||||||
H | JAMES C. STEWART | No vote | For | ||||||||||||||||||
I | SCOTT WILLE | No vote | For | ||||||||||||||||||
2. | TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | No vote | For | |||||||||||||||||
3 | TO APPROVE, IN AN ADVISORY VOTE, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS | MANAGEMENT | No vote | For | |||||||||||||||||
4 | TO APPROVE AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE STOCK SPLIT OF THE COMPANY'S COMMON STOCK, BY A RATIO OF NOT LESS THAN 1-FOR-5 AND NOT MORE THAN 1-FOR-25, AND A PROPORTIONATE REDUCTION IN THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK, SUCH RATIO AND THE IMPLEMENTATION AND TIMING OF SUCH REVERSE STOCK SPLIT TO BE DETERMINED IN THE DISCRETION OF THE BOARD OF DIRECTORS OF THE COMPANY | MANAGEMENT | No vote | For | |||||||||||||||||
PORTMAN RIDGE FINANCE CORP. | |||||||||||||||||||||
Security | 73688F102 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | PTMN | Meeting Date | 24-Jun-20 | ||||||||||||||||||
Record Date | 27-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1 | DIRECTOR | MANAGEMENT | For | ||||||||||||||||||
1 | GRAEME DELL | No Vote | For | ||||||||||||||||||
2 | ROBERT WARSHAUER | No Vote | For | ||||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTANT OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020 | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Voting Records | |||||||||||||||||||||
CRITEO S.A. | |||||||||||||||||||||
Security | 226718104 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | CRTO | Meeting Date | 25-Jun-20 | ||||||||||||||||||
Record Date | 3-Apr-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Mgt. Rec. | |||||||||||||||||
1 | RENEWAL OF TERM OF OFFICE OFJEAN-BAPTISTE RUDELLE AS DIRECTOR | MANAGEMENT | No Vote | For | |||||||||||||||||
2 | RENEWAL OF TERM OF OFFICE OFJJAMES WARNER AS DIRECTOR | MANAGEMENT | No Vote | For | |||||||||||||||||
3 | RENEWAL OF TERM OF OFFICE OFEDMOND MESROBIAN AS DIRECTOR | MANAGEMENT | No Vote | For | |||||||||||||||||
4 | RENEWAL OF TERM OF OFFICE OFMARIE LALLEMAN AS DIRECTOR | MANAGEMENT | No Vote | For | |||||||||||||||||
5 | NON-BINDING ADVISORY VOTE TO APPROVE THE COMPENSATION FOR THE NAMED EXECUTIVE OFFICERS OF THE COMPANY | MANAGEMENT | No Vote | For | |||||||||||||||||
6 | APPROVAL OF THE STATUTORY FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
7 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
8 | APPROVAL OF THE ALLOCATION OF PROFITS FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 | MANAGEMENT | No Vote | For | |||||||||||||||||
9 | APPROVAL OF AN AGREEMENT REFERRED TO IN ARTICLES I. 228-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE (INDEMNIFICATION AGREEMENT ENTERED INTO WITH MS. MARIE LALLEMAN) | MANAGEMENT | No Vote | For | |||||||||||||||||
10 | APPROVAL OF AN AGREEMENT REFERRED TO IN ARTICLES I. 228-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE (INDEMNIFICATION AGREEMENT ENTERED INTO WITH MS. MEGAN CLARKEN) | MANAGEMENT | No Vote | For | |||||||||||||||||
11 | APPROVAL OF AN AGREEMENT REFERRED TO IN ARTICLES I. 228-38 ET SEQ. OF THE FRENCH COMMERCIAL CODE (INDEMNIFICATION AGREEMENT ENTERED INTO WITH THE COMPANY ROCABELLA) | MANAGEMENT | No Vote | For | |||||||||||||||||
12 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO EXECUTE A BUYBACK OF COMPANY STOCK IN ACCORDANCE WITH ARTICLE I. 225-209-2 OF THE FRENCH COMMERCIAL CODE | MANAGEMENT | No Vote | For | |||||||||||||||||
MEDLEY CAPITAL CORP | |||||||||||||||||||||
Security | 58503F106 | Meeting Type | ANNUAL | ||||||||||||||||||
Ticker Symbol | MCC | Meeting Date | 30-Jun-20 | ||||||||||||||||||
Record Date | 11-May-20 | ||||||||||||||||||||
Item | Proposal | Type | Vote | Alt. Rec. | |||||||||||||||||
1 | DIRECTOR | ACTIVIST | For | ||||||||||||||||||
1 | BROOK TAUBE | No Vote | For | ||||||||||||||||||
2 | KARIN HIRTLER-GARVEY | No Vote | For | ||||||||||||||||||
3 | LOWELL W. ROBINSON | No Vote | For | ||||||||||||||||||
2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2020 | No Vote | For | ||||||||||||||||||
2 | TO GRANT DISCRETIONARY AUTHORITY TO THE BOARD OF DIRECTORS OF THE COMPANY (THE "BOARD") TO AMEND THE COMPANY'S CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE STOCK SPLIT OF ITS COMMON STOCK OF 1-20 AND WITH THE REVERSE STOCK SPLIT TO BE EFFECTIVE AT SUCH TIME AND DATE, IF AT ALL, AS DETERMINED BY THE BOARD, BUT NOT LATER THAN 60 DAYS AFTER STOCKHOLDER APPROVAL THEREOF AND, IF AND WHEN THE REVERSE STOCK SPLIT IS EFFECTIVE, REDUCE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK BY THE APRROVED REVERSE STOCK SPLIT RATIO | No Vote | 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.
STARBOARD INVESTMENT TRUST | ||
/s/ Katherine M. Honey | ||
By: | Katherine M. Honey President and Principal Executive Officer | |
Date: | July 15, 2020 |