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, 2021 - June 30, 2022
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
STREAMLINE HEALTH SOLUTIONS, INC. | |||||||||||||||||||||||
Security | 86323X106 | Meeting Type | SPECIAL | ||||||||||||||||||||
Ticker Symbol | STRM | Meeting Date | 29-Jul-21 | ||||||||||||||||||||
Record Date | 20-May-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | To ratify the approval, filing and effectiveness of the Certificate of Amendment to our Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on May 24, 2021, and the increase in the total number of authorized shares of common stock from 45,000,000 shares to 65,000,000 shares, which became effective on May 24, 2021. | MANAGEMENT | For | For | |||||||||||||||||||
2 | To ratify the approval and effectiveness of an amendment to our Third Amended and Restated 2013 Stock Incentive Plan increasing the number of authorized shares available for issuance undedr the plan, which was filed with the U.S. Securities and Exchange Commission on May 24, 2021 and became effective as of the same date, conditioned upon the ratification of Proposal 1. | MANAGEMENT | For | For | |||||||||||||||||||
3 | To approve an adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes in favor of the ramifications. | MANAGEMENT | For | For | |||||||||||||||||||
COLLPLANT BIOTECHNOLOGIES LTD. | |||||||||||||||||||||||
Security | M2R51X116 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | CLGN | Meeting Date | 4-Aug-21 | ||||||||||||||||||||
Record Date | 1-Jul-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | Dr. Roger Pomerantz | ||||||||||||||||||||||
B. | Dr. Abraham (Avri) Havron | ||||||||||||||||||||||
C. | Joseph Zarzewsky | ||||||||||||||||||||||
D. | Hugh Evans | ||||||||||||||||||||||
2. | To approve the re-appointment of Kost Forer Gabbay & Kasierer, a member firm of Ernst & Young Global, as the independent auditors of the Company for the period ending at the close of the next annual general meeting. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To approve the grant of options exercisable into ordinary shares of the Company to Hugh Evans, subject to Mr. Evans' election as a member of the Board of Directors as detailed in Proposal No. 1. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3A | Do you have a personal interest in the approval of Proposal 3 or are you a controlling shareholder of the Company (please note: if you do not mark either Yes or No, your shares will not be voted for Proposal 3)? | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
4 | To approve a bonus grant to Yehiel Tal, the Company's Chief Executive Officer. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4A | Do you have a personal interest in the approval of Proposal 4 or are you a controlling shareholder of the Company (please note: if you do not mark either Yes or No, your shares will not be voted for Proposal 4)? | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
5 | To approve a bonus grant to Eran Rotem, the Company's Deputy Chief Executive Officer and CFO. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5A | Do you have a personal interest in the approval of Proposal 5 or are you a controlling shareholder of the Company (please note: if you do not mark either Yes or No, your shares will not be voted for Proposal 5)? | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
6 | To approve an amendment to the Company's compensation policy in connection with the provisions relating to the purchase of directors' and officers' liability insurance policies. | MANAGEMENT | No Vote | For | |||||||||||||||||||
6A | Do you have a personal interest in the approval of Proposal 6 or are you a controlling shareholder of the Company (please note: if you do not mark either Yes or No, your shares will not be voted for Proposal 6)? | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
GSI TECHNOLOGY INC. | |||||||||||||||||||||||
Security | 36241U106 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | GSIT | Meeting Date | 26-Aug-21 | ||||||||||||||||||||
Record Date | 7-Jul-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | For | ||||||||||||||||||||
1 | Lee-Lean Shu | Withhold | |||||||||||||||||||||
2 | Jack A. Bradley | Withhold | |||||||||||||||||||||
3 | Elizabeth Cholawsky | Withhold | |||||||||||||||||||||
4 | Haydn Hsieh | Withhold | |||||||||||||||||||||
5 | Kim Le | Withhold | |||||||||||||||||||||
4 | Barbara Nelson | Withhold | |||||||||||||||||||||
5 | Ruey L. Lu | Withhold | |||||||||||||||||||||
6 | Robert Yau | Withhold | |||||||||||||||||||||
2 | To ratify the appointment of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2022. | MANAGEMENT | Abstain | For | |||||||||||||||||||
3 | To vote on an advisory (non-binding) resolution regarding the fiscal 2021 compensation of the executive officers named in the Summary Compensation Table included in the proxy statement for the annual meeting. | MANAGEMENT | Abstain | For | |||||||||||||||||||
4 | To approve the amendment and restatement of our 2016 Equity Incentive PlaN. | MANAGEMENT | Abstain | For | |||||||||||||||||||
5 | To transact such other business as may properly come before the meeting or any adjournment or postponement of the meeting. | MANAGEMENT | Abstain | For | |||||||||||||||||||
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
QUANTUM CORP. | |||||||||||||||||||||||
Security | 747906501 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | QMCO | Meeting Date | 21-Sep-21 | ||||||||||||||||||||
Record Date | 26-Jul-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Rebecca J. Jacoby | ||||||||||||||||||||||
2 | James J. Lerner | ||||||||||||||||||||||
3 | Raghavendra Rau | ||||||||||||||||||||||
4 | Marc E. Rothman | ||||||||||||||||||||||
5 | Yue Zhou | ||||||||||||||||||||||
2 | To ratify the appointment of Armanino LLP as the independent registered public accounting firm of the Company for the fiscal year ending March 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To adopt a resolution approving, on an advisory basis, the compensation of the Company’s named executive officers. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To approve an amendment and restatement to the Company’s 2012 Long-Term Incentive Plan | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To transact such other business as may properly come before the Annual Meeting or any adjournment or postponement thereof. | MANAGEMENT | No Vote | For | |||||||||||||||||||
BARNES & NOBLE EDUCATION INC. | |||||||||||||||||||||||
Security | 06777U101 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | BNED | Meeting Date | 23-Oct-21 | ||||||||||||||||||||
Record Date | 27-Jul-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | Emily C. Chiu | ||||||||||||||||||||||
B | Daniel A. DeMatteo | ||||||||||||||||||||||
C | David G. Golden | ||||||||||||||||||||||
D | Michael P. Huseby | ||||||||||||||||||||||
E | Zachary D. Levenick | ||||||||||||||||||||||
F | Lowell W. Robinson | ||||||||||||||||||||||
G | John R. Ryan | ||||||||||||||||||||||
H | Jerry Sue Thornton | ||||||||||||||||||||||
2 | To vote to approve the Company’s Amended and Restated Equity Incentive Plan to increase the number of shares authorized to be issued under the Plan; | MANAGEMENT | No Vote | ||||||||||||||||||||
3 | To vote on an advisory (non-binding) basis to approve executive compensation. | MANAGEMENT | No Vote | ||||||||||||||||||||
4 | To ratify the appointment of Ernst & Young LLP as the independent registered public accountants for the Company’s fiscal year ending April 30, 2022. | MANAGEMENT | No Vote | ||||||||||||||||||||
5 | To transact such other business as may be properly brought before the Annual Meeting and any adjournment or postponement thereof. | MANAGEMENT | No Vote | ||||||||||||||||||||
ALLOT LTD. | |||||||||||||||||||||||
Security | M0854Q105 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | ALLT | | Meeting Date | 30-Nov-21 | |||||||||||||||||||
Record Date | 25-Oct-21 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | To approve an amendment to the Company’s Articles of Association, effective immediately upon the approval of this Proposal 1, to provide for the elimination of the different classes of members of the Board of Directors of the Company (the “Board”), so that after completion of their current term, the term of each director who is elected or reelected at or after the Annual Meeting (other than Outside Directors, who shall continue to serve for fixed three-year terms in accordance with the Israel Companies Law, 5759-1999, as amended (the “Israel Companies Law”)) shall be one (1) year. | MANAGEMENT | No Vote | For | |||||||||||||||||||
2. | To reelect Manuel Echanove as a Class III director to serve until the 2024 annual meeting of shareholders (or, if Proposal 1 is approved, to serve until the 2022 annual meeting of shareholders), and until his successor has been duly elected and qualified, or until his office is vacated in accordance with the Company’s Articles of Association or the Israel Companies Law. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To reelect Yigal Jacoby as a Class III director and Chairman of the Board, to serve until the 2024 annual meeting of shareholders (or, if Proposal 1 is approved, to serve until the 2022 annual meeting of shareholders), and until his successor has been duly elected and qualified, or until his office is vacated in accordance with the Company’s Articles of Association or the Israel Companies Law. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To elect Efrat Makov as an Outside Director (as defined in the Israel Companies Law) of the Company, to serve for a term of three years commencing as of the Annual Meeting, or until her office is vacated in accordance with the Company’s Articles of Association or the Israel Companies Law. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To approve a grant of 40,000 RSUs of the Company to Erez Antebi, the Company’s President and Chief Executive Officer. | MANAGEMENT | No Vote | For | |||||||||||||||||||
6 | To approve the reappointment of Kost Forer Gabbay & Kasierer, a member of Ernst & Young Global, as Allot’s independent registered public accounting firm for the fiscal year ending December 31, 2021 and until the next annual meeting of shareholders, and to authorize the Board, upon recommendation of the audit committee, to fix the remuneration of said independent registered public accounting firm. | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
7 | To report on the business of the Company for the fiscal year ended December 31, 2020, including a review of the fiscal 2020 financial statements. | MANAGEMENT | No Vote | Yes | |||||||||||||||||||
8 | To act upon any other matters that may properly come before the Annual Meeting or any adjournment or postponement thereof. | MANAGEMENT | No Vote | Yes |
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
ENZO BIOCHEM INC. | |||||||||||||||||||||||
Security | 294100102 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | ENZ | Meeting Date | 25-Feb-22 | ||||||||||||||||||||
Record Date | 31-Mar-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | To amend the Company’s certificate of incorporation, as amended (“Certificate of Incorporation”), as indicated in the six sub-proposals below (collectively, the “Charter Proposals”). The Charter Proposals are being presented separately in accordance with U.S. Securities and Exchange Commission (“SEC”) guidance to give shareholders the opportunity to present their separate views on important corporate governance provisions | MANAGEMENT | For | For | |||||||||||||||||||
A | to change the purpose of the Company to carry on any lawful business. | For | For | ||||||||||||||||||||
B | to declassify the Company’s board of directors (the “Board”). | For | For | ||||||||||||||||||||
C | to remove Article 7 regarding the Company’s first accounting period for 197to change the purpose of the Company to carry on any lawful business. | For | For | ||||||||||||||||||||
D | to change the required shareholder vote for approval of mergers, asset sales, and dissolution from two-thirds vote to majority vote. | For | For | ||||||||||||||||||||
E | to change the required shareholder vote for amendments to the Certificate of Incorporation to a majority vote. | For | For | ||||||||||||||||||||
F | to change the required vote for amendments to our Amended and Restated By-Laws (“By-Laws”) to either majority board approval or majority shareholder approval. | For | For | ||||||||||||||||||||
2 | If the shareholders approve Proposal 1(b) to eliminate classification of the Board, to elect Hamid Erfanian and Bradley L. Radoff each to serve on our Board for a term ending as of our 2022 annual meeting of shareholders, and until each such director’s successor is duly elected and qualified, or if the shareholders do not approve Proposal 1(b) to eliminate classification of the Board, to elect Hamid Erfanian and Bradley L. Radoff each to serve as the Class I Directors, to hold office for a term of three (3) years or until their successors have been duly elected and qualified (the “Director Proposal”). | MANAGEMENT | For | For | |||||||||||||||||||
3 | To approve, by a nonbinding advisory vote, the compensation of the Company’s Named Executive Officers (the “Advisory Proposal”). | MANAGEMENT | For | For | |||||||||||||||||||
4 | To ratify the Company’s appointment of EisnerAmper LLP to serve as the Company’s independent registered public accounting firm for the Company’s fiscal year ending July 31, 2022 (the “Auditor Proposal”). | MANAGEMENT | For | For | |||||||||||||||||||
5 | To transact such other business as may properly come before the Annual Meeting. | MANAGEMENT | For | For | |||||||||||||||||||
SONIC FOUNDRY, INC. | |||||||||||||||||||||||
Security | 83545R207 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | SOFO | Meeting Date | 10-Mar-22 | ||||||||||||||||||||
Record Date | 21-Jan-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Brian T. Wiegand | For | |||||||||||||||||||||
2 | To vote on a Proposal to amend the 2020 Equity Incentive Plan to increase the number of shares of common stock subject to the plan from 1,000,000 to 2,000,000. | No Vote | For | ||||||||||||||||||||
3 | To ratify the appointment of Wipfli LLP as our independent auditors for the fiscal year ending September 30, 2022. | No Vote | For | ||||||||||||||||||||
4 | To transact such other business as may properly come before the meeting or any adjournments thereof. | No Vote | For | ||||||||||||||||||||
FLYHT AEROSPACE SOLUTIONS LTD. | |||||||||||||||||||||||
Security | 30252U303 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | FLY-CN | Meeting Date | 4-May-22 | ||||||||||||||||||||
Record Date | 26-Mar-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | To receive the audited financial statements of the Corporation for the fiscal year ended December 31, 2021, together with the report of the auditors thereon. | MANAGEMENT | No Vote | For | |||||||||||||||||||
2 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Jonina Jonsson | For | |||||||||||||||||||||
2 | William T. Tempany | For | |||||||||||||||||||||
3 | Brent Rosenthal | For | |||||||||||||||||||||
4 | Douglas G. Marlin | For | |||||||||||||||||||||
5 | Jack Olcott | For | |||||||||||||||||||||
6 | Captain Mary McMillan | For | |||||||||||||||||||||
7 | Michael Brown | For | |||||||||||||||||||||
8 | Paul Takalo | For | |||||||||||||||||||||
3 | To appoint KPMG LLP as the auditors of the Corporation for the ensuing year and to authorize the board of directors to fix the auditors' remuneration. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To consider and, if deemed advisable, to pass with or without variation, an ordinary resolution approving the 2022 stock option plan, as more particularly described in the accompanying Management Proxy Circular. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To transact such other business as may be properly brought before the meeting or any adjournment thereof. | MANAGEMENT | No Vote | For | |||||||||||||||||||
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
DUNDEE CORP. | |||||||||||||||||||||||
Security | 265269209 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | DPMLF | Meeting Date | 5-May-22 | ||||||||||||||||||||
Record Date | 18-Mar-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Jaime Donovan | ||||||||||||||||||||||
2 | R. Peter Gillin | ||||||||||||||||||||||
3 | Nicole Adshead-Bell | ||||||||||||||||||||||
4 | Kalidas Madhavpeddi | ||||||||||||||||||||||
5 | Juanita Montalvo | ||||||||||||||||||||||
6 | David Rae | ||||||||||||||||||||||
7 | Marie-Anne Tawil | ||||||||||||||||||||||
8 | Anthony P. Walsh | ||||||||||||||||||||||
2 | Appointment of PricewaterhouseCoopers LLP, Chartered Professional Accountants, as auditor of the Company for the ensuing year and authorizing the directors to set the auditor’s remuneration. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To consider and, if deemed appropriate, pass, with or without variation, an ordinary resolution approving the 2022 stock option plan of the Company as more particularly described under the heading "Meeting Business – Approval of the 2022 Stock Option Plan" in the accompanying management information circular. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To consider, and if deemed appropriate, to pass a non-binding, advisory resolution accepting the Company’s approach to executive compensation,as more particularly described in the accompanying management information circular. | MANAGEMENT | No Vote | For | |||||||||||||||||||
TETRA TECHNOLOGIES, INC. | |||||||||||||||||||||||
Security | 88162F105 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | TTI | Meeting Date | 24-May-22 | ||||||||||||||||||||
Record Date | 28-Mar-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Mark E. Baldwin | For | |||||||||||||||||||||
2 | Thomas R. Bates, Jr. | For | |||||||||||||||||||||
3 | John F. Glick | For | |||||||||||||||||||||
4 | Gina A. Luna | For | |||||||||||||||||||||
5 | Brady M. Murphy | For | |||||||||||||||||||||
6 | Sharon B. McGee | For | |||||||||||||||||||||
7 | Shawn D. Williams | For | |||||||||||||||||||||
2 | Ratification of the appointment of Grant Thornton LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | Advisory vote to approve executive compensation. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | Vote on a stockholder proposal entitled, “Proposal 4 – Simple Majority Vote,” if properly presented at the Annual Meeting. | MANAGEMENT | No Vote | For | |||||||||||||||||||
NI HOLDINGS, INC. | |||||||||||||||||||||||
Security | 65342T106 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | NODK | Meeting Date | 24-May-22 | ||||||||||||||||||||
Record Date | 4-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | Erik K. Aasmundstad | ||||||||||||||||||||||
B | Cindy L. Launer | ||||||||||||||||||||||
C | Stephen V. Marlow | ||||||||||||||||||||||
2. | To ratify the selection of Mazars USA LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022 | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To consider such other business as may properly come before the Annual Meeting and any adjournments or postponements thereof. | MANAGEMENT | No Vote | For | |||||||||||||||||||
AMYRIS INC. | |||||||||||||||||||||||
Security | 03236M200 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | AMRS | Meeting Date | 27-May-22 | ||||||||||||||||||||
Record Date | 30-Mar-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | John Doerr | ||||||||||||||||||||||
B | Ryan Panchadsaram | ||||||||||||||||||||||
C | Lisa Qi | ||||||||||||||||||||||
2 | To ratify the appointment of the firm of Macias Gini & O’Connell LLP to serve as our independent registered public accounting firm for fiscal year 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To approve an amendment (the “Amendment”) to Article IV of our restated Certificate of Incorporation to increase the total number of our authorized shares from 455,000,000 to 555,000,000 and the number of authorized shares of common stock from 450,000,000 to 550,000,000 (the “Authorized Share Increase”). | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
QUMU CORP. | |||||||||||||||||||||||
Security | 749063103 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | QUMU | Meeting Date | 2-Jun-22 | ||||||||||||||||||||
Record Date | 25-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Rose Bentley | ||||||||||||||||||||||
2 | Neil E. Cox | ||||||||||||||||||||||
3 | Mary E. Chowning | ||||||||||||||||||||||
4 | Daniel R. Fishback | ||||||||||||||||||||||
5 | Edward D. Horowitz | ||||||||||||||||||||||
6 | Kenan Lucas | ||||||||||||||||||||||
7 | Robert F. Olson | ||||||||||||||||||||||
2 | To approve, on a non-binding advisory basis, the compensation paid to our named executive officers. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To approve an amendment to the Qumu Corporation Second Amended and Restated 2007 Stock Incentive Plan to increase the number of shares authorized for issuance by 1,200,000 shares. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To ratify the appointment of KPMG LLP as the independent registered public accounting firm for Qumu Corporation for the year ending December 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To act on a shareholder proposal relating to the engagement of an investment bank for the sale of Qumu, if properly presented. | MANAGEMENT | No Vote | For | |||||||||||||||||||
ARIDIS PHARMACEUTICALS INC. | |||||||||||||||||||||||
Security | 040334104 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | ARDS | Meeting Date | 2-Jun-22 | ||||||||||||||||||||
Record Date | 4-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Craig Gibbs, Ph.D. | ||||||||||||||||||||||
2 | John Hamilton | ||||||||||||||||||||||
3 | Robert R. Ruffolo, Ph.D. | ||||||||||||||||||||||
2 | To ratify the appointment of Mayer Hoffman McCann P.C. as our independent registered public accounting firm for our fiscal year ending December 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | A non-binding advisory vote to approve the compensation of our principal executive officer, principal financial officer and each of our three other most highly compensated executive officers as of December 31, 2021 (collectively, the “Named Executive Officers”). | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | A non-binding advisory vote on the frequency of the vote to approve the compensation of our Named Executive Officers. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | The approval of the amendment and restatement of the 2014 Equity Incentive Plan. | MANAGEMENT | No Vote | For | |||||||||||||||||||
6 | To transact such other matters as may properly come before the Annual Meeting and any adjournment or postponement thereof. | MANAGEMENT | No Vote | For | |||||||||||||||||||
MAGNITE, INC. | |||||||||||||||||||||||
Security | 55955D100 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | MGNI | Meeting Date | 7-Jun-22 | ||||||||||||||||||||
Record Date | 14-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | Michael Barrett | ||||||||||||||||||||||
B | Rachael Lam | ||||||||||||||||||||||
C | Robert Spillane | ||||||||||||||||||||||
2. | To ratify of the selection of Deloitte and Touche LLP as the company’s independent registered public accounting firm for the current fiscal year. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To approve, on an advisory basis, of the compensation of the company’s named executive officers. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To transact such other business as may properly come before the meeting or any postponement or adjournment thereof. | MANAGEMENT | No Vote | For | |||||||||||||||||||
KVH INDUSTRIES, INC. | |||||||||||||||||||||||
Security | 482738101 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | KVHI | Meeting Date | 8-Jun-22 | ||||||||||||||||||||
Record Date | 18-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Charles R. Trimble | ||||||||||||||||||||||
2 | To approve the KVH Industries, Inc. Amended and Restated 2016 Equity and Incentive Plan, which increases the number of shares reserved for issuance under the Plan. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To approve, on an advisory (non-binding) basis, the compensation of our named executive officers in 2021. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To transact such other business as may properly come before the annual meeting or any adjournment or postponement of the meeting. | MANAGEMENT | No Vote | For |
Roumell Opportunistic Value Fund Proxy Vote Records | |||||||||||||||||||||||
ETON PHARMACEUTICALS, INC. | |||||||||||||||||||||||
Security | 29772L108 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | ETON | Meeting Date | 14-Jun-22 | ||||||||||||||||||||
Record Date | 2-May-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1 | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
1 | Paul V. Maier | ||||||||||||||||||||||
2 | To ratify the appointment of KMJ Corbin & Company LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To transact any other business that properly comes before the Annual Meeting (including adjournments and postponements thereof). | MANAGEMENT | No Vote | For | |||||||||||||||||||
COMSCORE INC. | |||||||||||||||||||||||
Security | 20564W105 | Meeting Type | ANNUAL | ||||||||||||||||||||
Ticker Symbol | SCOR | Meeting Date | 15-Jun-22 | ||||||||||||||||||||
Record Date | 19-Apr-22 | ||||||||||||||||||||||
Item | Proposal | Type | Vote | Management Recommendation | |||||||||||||||||||
1. | Director | MANAGEMENT | No Vote | For | |||||||||||||||||||
A | Itzhak Fisher | ||||||||||||||||||||||
B | Pierre Liduena | ||||||||||||||||||||||
C | Marty Patterson | ||||||||||||||||||||||
2. | To approve, on a non-binding advisory basis, the compensation paid to our named executive officers. | MANAGEMENT | No Vote | For | |||||||||||||||||||
3 | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. | MANAGEMENT | No Vote | For | |||||||||||||||||||
4 | To approve an amendment to our Amended and Restated 2018 Equity and Incentive Compensation Plan to increase the number of shares of our common stock available for grant by 7,600,000. | MANAGEMENT | No Vote | For | |||||||||||||||||||
5 | To transact any other business that is properly brought before the meeting or any adjournment or postponement thereof. | MANAGEMENT | 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 | |
___________________________ | |
By: | Katherine M. Honey President and Principal Executive Officer |
Date: | August 24, 2022 |