As filed with the Securities and Exchange Commission on August 5, 2016
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
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 811-22509
LoCorr Investment Trust
(Exact name of registrant as specified in charter)
(Exact name of registrant as specified in charter)
261 School Avenue, 4th Floor
Excelsior, MN 55331
(Address of principal executive offices) (Zip code)
(Address of principal executive offices) (Zip code)
CT Corporation System
1300 East Ninth Street
Cleveland, OH 44114
(Name and address of agent for service)
(Name and address of agent for service)
Registrant’s telephone number, including area code: 952.767.2920
Date of fiscal year end: December 31
Date of reporting period: July 1, 2015 - June 30, 2016
Item 1. Proxy Voting Record.
The LoCorr Managed Futures Strategy Fund, the LoCorr Long/Short Commodities Strategy Fund and the LoCorr Market Trend Fund Proxy Voting Record for the period from July 1, 2015 through June 30, 2016:
SubAdviser: Nuveen Asset Management, LLC | |||||
Vote Summary Report | |||||
Reporting Period: 07/01/2015 to 06/30/2016 Location(s): All Locations | |||||
Institution Account(s): LoCorr Managed Futures Strategy Fund, LoCorr Long/Short Commodities Strategy Fund | |||||
and LoCorr Market Trend Fund | |||||
Fidelity Newbury Street Trust | |||||
Meeting Date: 12/16/2015 | |||||
Record Date: 09/21/2015 | |||||
Country: USA | |||||
Meeting Type: Special | |||||
Primary Security ID: 316175868 | |||||
Ticker: N/A | |||||
Shares Voted: 17,724,027 | |||||
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
1.1 | Elect Director Elizabeth S. Acton | Mgmt | For | For | For |
1.2 | Elect Director John Engler | Mgmt | For | For | For |
1.3 | Elect Director Albert R. Gamper, Jr. | Mgmt | For | For | For |
1.4 | Elect Director Robert F. Gartland | Mgmt | For | For | For |
1.5 | Elect Director Abigail P. Johnson | Mgmt | For | For | For |
1.6 | Elect Director Arthur E. Johnson | Mgmt | For | For | For |
1.7 | Elect Director Michael E. Kenneally | Mgmt | For | For | For |
1.8 | Elect Director James H. Keyes | Mgmt | For | For | For |
1.9 | Elect Director Marie L. Knowles | Mgmt | For | For | For |
1.10 | Elect Director Geoffrey A. von Kuhn | Mgmt | For | For | For |
Item 1. Proxy Voting Record.
LoCorr Long/Short Equity Fund Proxy Voting Record for the period from July 1, 2015 through June 30, 2016: | ||||||||
Sub-Adviser: Billings Capital Management, LLC | ||||||||
Proxy Voting for LoCorr Long/Short Equity Fund for time frame July 1, 2015 - June 30, 2016: | ||||||||
Security Name | Exchange Ticker | Cusip | Shareholder Meeting Date | Who Proposed matter | Vote Cast On | How the Fund Voted | For or Against Management | |
DIAMOND RESORTS INTERNATIONAL, INC | DRII | 25272T104 | 5/24/2016 | ELECTION OF DIRECTORS | Issuer | 4/25/2016 | For all nominees | For |
PROPOSAL TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS | Issuer | 4/25/2016 | For | For | ||||
PROPOSAL TO RATIFY THE APPOINTMENT BY THE BOARD OF DIRECTORS OF INDEPENDENT REGISTERED | ||||||||
PUBLIC ACCOUNTING FIRM BDO USA, LLP AS THE INDEPENDENT AUDITORS OF THE COMPANY’S | ||||||||
FINANCIAL STATEMENTS FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 4/25/2016 | For | For | ||||
NEXSTAR BROADCASTING GROUP, INC | NXST | 65336K103 | 6/8/2016 | ELECTION OF DIRECTORS | Issuer | 5/16/2016 | For all nominees | For |
TO APPROVE THE ISSUANCE OF SHARES OF NEXSTAR | ||||||||
BROADCASTING GROUP, INC (NEXSTAR) CLASS A | ||||||||
COMMON STOCK TO MEDIA GENERAL, INC (MEDIA | ||||||||
GENERAL) SHAREHOLDERS AS CONTEMPLATED BY | ||||||||
THE AGREEMENT AND PLAN OF MERGER, DATED | ||||||||
AS OF JANUARY 27, 2016, BY AND AMONG NEXSTAR, | ||||||||
NEPTUNE MERGER SUB, INC. AND MEDIA GENERAL | Issuer | 5/16/2016 | For | For | ||||
TO APPROVE ONE OR MORE ADJOURNMENTS OF THE NEXSTAR ANNUAL MEETING, IF NECESSARY | ||||||||
OR APPROPRIATE, INCLUDING ADJOURNMENTS TO PERMIT FURTHER SOLICIATION OF PROXIES IN | ||||||||
FAVOR OF THE PROPOSAL TO APPROVE THE ISSUANCE OF NEXSTAR CLASS A COMMON STOCK | Issuer | 5/16/2016 | For | For | ||||
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS NEXSTAR’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING | ||||||||
FIRM FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 5/16/2016 | For | For | ||||
SINCLAIR BROADCAST GROUP, INC | SBGI | 829226109 | 6/2/2016 | ELECTION OF DIRECTORS | Issuer | 5/10/2016 | For all nominees | For |
RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED | ||||||||
PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE AMENDMENT TO THE 1998 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF | ||||||||
CLASS A COMMON STOCK AVAILABLE FOR ISSUANCE BY 1,000,000 SHARES | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE AMENDMENT OF THE DEFINITION OF “PERMITTED TRANSFEREE” IN THE AMENDED AND RESTATED | ||||||||
ARTICLES OF INCORPORATION WITH RESPECT TO CLASS B COMMON STOCK | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE STOCKHOLDER PROPOSAL RELATING TO SUSTAINABILITY REPORTING | Issuer | 5/10/2016 | Against | For | ||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/17/2016 | ELECTION OF DIRECTORS | Issuer | 5/10/2016 | For all nominees | For |
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Issuer | 5/10/2016 | For | For | ||||
RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer | 5/10/2016 | For | For | ||||
INDEPENDENT BOARD CHAIRMAN - REQUIRE AN INDEPENDENT CHAIR | Issuer | 5/10/2016 | Against | For | ||||
HOW VOTES ARE COUNTED - COUNT VOTES USING ONLY FOR AND AGAINST AND IGNORE ABSTENTIONS | Issuer | 5/10/2016 | Against | For | ||||
VESTING FOR GOVERNMENT SERVICE - PROHIBIT VESTING OF EQUITY-BASED AWARDS FOR SENIOR EXECUTIVES | ||||||||
DUE TO VOLUNTARY RESIGNATION TO ENTER GOVERNMENT SERVICE | Issuer | 5/10/2016 | Against | For | ||||
APPOINT A STOCKHOLDER VALUE COMMITTEE - ADDRESS WHETHER DIVESTITURE OF ALL NON-CORE BANKING | ||||||||
BUSINESS SEGMENTS WOULD ENHANCE SHAREHOLDER VALUE | Issuer | 5/10/2016 | Against | For | ||||
CLAWBACK AMENDMENT - DEFER COMPENSATION FOR 10 YEARS TO HELP SATISY ANY MONETARY PENALTY | ||||||||
ASSOCIATED WITH VIOLATION OF LAW | Issuer | 5/10/2016 | Against | For | ||||
EXECUTIVE COMPENSATION PHILOSOPHY - ADOPT A BALANCED EXECUTIVE COMPENSATION PHILOSOPHY WITH | ||||||||
SOCIAL FACTORS TO IMPROVE THE FIRMS’S ETHICAL CONDUCT AND PUBLIC REPUTATION | Issuer | 5/10/2016 | Against | For | ||||
UNITED RENTALS, INC | URI | 911363109 | 5/3/2016 | ELECTION OF DIRECTORS | Issuer | 3/28/2016 | For all nominees | For |
RATIFICATION OF APPOINTMENT OF PUBLIC ACCOUNTING FIRM | Issuer | 3/28/2016 | For | For | ||||
ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Issuer | 3/28/2016 | For | For | ||||
STOCKHOLDER PROPOSAL TO ADOPT SIMPE MAJORITY VOTE | Issuer | 3/28/2016 | Against | For | ||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/26/2016 | ELECTION OF DIRECTORS | Issuer | 3/22/2016 | For all nominees | For |
VOTE ON AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Issuer | 3/22/2016 | For | For | ||||
RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016 | ||||||||
Issuer | 3/22/2016 | For | For | |||||
STOCKHOLDER PROPOSAL TO ADOPT A POLICY TO REQUIRE AN INDEPENDENT CHAIRMAN | Issuer | 3/22/2016 | Against | For | ||||
STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON THE COMPANY’S LOBBYING POLICIES AND PRACTICES | Issuer | 3/22/2016 | Against | For | ||||
MASTEC, INC | MTZ | 576323109 | 10/15/2015 | ELECTION OF DIRECTORS | Issuer | 9/15/2015 | For all nominees | For |
TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUT INDEPENDENT REGISTERED PUBLIC ACCOUNTING | ||||||||
FIRM FOR 2015. | Issuer | 9/15/2015 | For | For | ||||
TO APPROVE THE AMENDED AND RESTATED 2011 EMPLOYEE STOCK PURCHASE PLAN, TO INCREASE THE | ||||||||
MAXIMUM NUMBER OF SHARES ISSUABLE THEREUNDER FROM 1,000,000 TO 2,000,000 | Issuer | 9/15/2015 | For | For | ||||
MONEY MARKET PORTFOLIO: CL I | 316175207 | 11/18/2015 | ELECTION OF DIRECTORS | Issuer | 10/21/2015 | For all nominees | For | |
CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 6/9/2016 | ELECTION OF DIRECTORS | Issuer | 5/3/2016 | For all nominees | For |
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | Issuer | 5/3/2016 | For | For | ||||
RATIFICATION OF THE SELECTION OF GRANT THORNTON LLP AS CREDIT ACCEPTANCE CORPORATION’S | ||||||||
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016 | Issuer | 5/3/2016 | For | For | ||||
Sub-Adviser: Kettle Hill Capital Management, LLC | ||||||||
Proxy Voting for LoCorr Long/Short Equity Fund for timeframe July 1, 2015 - June 30, 2016: | ||||||||
Exchange | Shareholder | Who Proposed | How the | For or Against | ||||
Security Name | Ticker | Cusip | Meeting Date | Matter Voted On | matter | Vote Cast On | Fund Voted | Management |
INCONTACT INC | SAAS | 45336E109 | 08-Jun-2016 | Election of Directors | Issuer | 7-Jun-16 | FOR All NOMINEES | FOR |
INCONTACT INC | SAAS | 45336E109 | 08-Jun-2016 | Amend Stock Compensation Plan | Issuer | 7-Jun-16 | FOR | FOR |
INCONTACT INC | SAAS | 45336E109 | 08-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 7-Jun-16 | FOR | FOR |
ZIX CORPORATION | ZIXI | 98974P100 | 08-Jun-2016 | Election of Directors | Issuer | 8-Jun-16 | FOR All NOMINEES | FOR |
ZIX CORPORATION | ZIXI | 98974P100 | 08-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 8-Jun-16 | FOR | FOR |
ZIX CORPORATION | ZIXI | 98974P100 | 08-Jun-2016 | Approval of Executive Compensation | Issuer | 8-Jun-16 | FOR | FOR |
HARMONIC INC. | HLIT | 413160102 | 09-Jun-2016 | Election of Directors | Issuer | 9-Jun-16 | FOR All NOMINEES | FOR |
HARMONIC INC. | HLIT | 413160102 | 09-Jun-2016 | Approval, on Advisory Basis, Executive Compensation | Issuer | 9-Jun-16 | FOR | FOR |
HARMONIC INC. | HLIT | 413160102 | 09-Jun-2016 | Amend Employee Stock Purchase Plan | Issuer | 9-Jun-16 | FOR | FOR |
HARMONIC INC. | HLIT | 413160102 | 09-Jun-2016 | Amend Stock Plan | Issuer | 9-Jun-16 | FOR | FOR |
HARMONIC INC. | HLIT | 413160102 | 09-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 9-Jun-16 | FOR | FOR |
ZYNGA INC. | ZNGA | 98986T108 | 09-Jun-2016 | Election of Directors | Issuer | 9-Jun-16 | FOR All NOMINEES | FOR |
ZYNGA INC. | ZNGA | 98986T108 | 09-Jun-2016 | Approval, on Advisory Basis, Executive Compensation | Issuer | 9-Jun-16 | FOR | FOR |
ZYNGA INC. | ZNGA | 98986T108 | 09-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 9-Jun-16 | FOR | FOR |
OOMA INC | OOMA | 683416101 | 16-Jun-2016 | Election of Directors | Issuer | 16-Jun-16 | FOR All NOMINEES | FOR |
OOMA INC | OOMA | 683416101 | 16-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 16-Jun-16 | FOR | FOR |
SEMTECH CORPORATION | SMTC | 816850101 | 16-Jun-2016 | Election of Directors | Issuer | 16-Jun-16 | FOR All NOMINEES | FOR |
SEMTECH CORPORATION | SMTC | 816850101 | 16-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 16-Jun-16 | FOR | FOR |
SEMTECH CORPORATION | SMTC | 816850101 | 16-Jun-2016 | Approval of Executive Compensation | Issuer | 16-Jun-16 | FOR | FOR |
DURECT CORPORATION | DRRX | 266605104 | 22-Jun-2016 | Election of Directors | Issuer | 22-Jun-16 | FOR All NOMINEES | FOR |
DURECT CORPORATION | DRRX | 266605104 | 22-Jun-2016 | Amend Stock Compensation Plan | Issuer | 22-Jun-16 | FOR | FOR |
DURECT CORPORATION | DRRX | 266605104 | 22-Jun-2016 | Approval, on Advisory Basis, Executive Compensation | Issuer | 22-Jun-16 | FOR | FOR |
DURECT CORPORATION | DRRX | 266605104 | 22-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 22-Jun-16 | FOR | FOR |
GRAN TIERRA ENERGY INC. | GTE | 38500T101 | 23-Jun-2016 | Election of Directors (Majority Voting) | Issuer | 23-Jun-16 | FOR All NOMINEES | FOR |
GRAN TIERRA ENERGY INC. | GTE | 38500T101 | 23-Jun-2016 | Approval, on Advisory Basis, Executive Compensation | Issuer | 23-Jun-16 | FOR | FOR |
GRAN TIERRA ENERGY INC. | GTE | 38500T101 | 23-Jun-2016 | Ratify Appointment of Independent Auditors | Issuer | 23-Jun-16 | FOR | FOR |
GRAN TIERRA ENERGY INC. | GTE | 38500T101 | 23-Jun-2016 | Approve Reincorporation | Issuer | 23-Jun-16 | FOR | FOR |
Item 1. Proxy Voting Record.
LoCorr Spectrum Income Fund Proxy Voting Record for the period from July 1, 2015 through June 30, 2016: | ||||||||
Sub-Adviser: Trust and Fiduciary Income Partners, LLC | ||||||||
Proxy Voting for LoCorr Spectrum Income Fund for timeframe July 1, 2015 - June 30, 2016: | ||||||||
Exchange | Shareholder | Who Proposed | How the | For or Against | ||||
Security Name | Ticker | Cusip | Meeting Date | Matter Voted On | matter | Vote Cast On | Fund Voted | Management |
PROSPECT CAPITAL CORP | PSEC | 74348T102 | 1/8/2016 | To authorize the company with Board approval to sell shares of common stack below the companys then current NAV per share in one or more offerings (was postponed because didn’t achieve sufficient voting participation) | Issuer | 11/4/2015 | FOR | FOR |
Item 1. Proxy Voting Record.
LoCorr Multi-Strategy Fund Proxy Voting Record for the period from July 1, 2015 through June 30, 2016: | ||||||||
Sub-Adviser: Billings Capital Management, LLC | ||||||||
Proxy Voting for LoCorr Multi-Strategy Fund for timeframe July 1, 2015 - June 30, 2016: | ||||||||
Exchange | Shareholder | Who Proposed | How the | For or Against | ||||
Security Name | Ticker | Cusip | Meeting Date | Matter Voted On | matter | Vote Cast On | Fund Voted | Management |
DIAMOND RESORTS INTERNATIONAL, INC | DRII | 25272T104 | 5/24/2016 | ELECTION OF DIRECTORS | Issuer | 4/28/2016 | For all nominees | For |
PROPOSAL TO APPROVE, IN A NON-BINDING ADVISORY VOTE, THE COMPENSATION PAID TO THE | ||||||||
COMPANY’S NAMED EXECUTIVE OFFICERS | Issuer | 4/28/2016 | For | For | ||||
PROPOSAL TO RATIFY THE APPOINTMENT BY THE BOARD OF DIRECTORS OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM BDO USA, LLP AS THE | ||||||||
INDEPENDENT AUDITORS OF THE COMPANY’S | ||||||||
FINANCIAL STATEMENTS FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 4/28/2016 | For | For | ||||
NEXSTAR BROADCASTING GROUP, INC | NXST | 65336K103 | 6/8/2016 | ELECTION OF DIRECTORS | Issuer | 5/16/2016 | For all nominees | For |
TO APPROVE THE ISSUANCE OF SHARES OF NEXSTAR BROADCASTING GROUP, INC (NEXSTAR) CLASS A | ||||||||
COMMON STOCK TO MEDIA GENERAL, INC (MEDIA GENERAL) SHAREHOLDERS AS CONTEMPLATED BY | ||||||||
THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JANUARY 27, 2016, BY AND AMONG NEXSTAR, | ||||||||
NEPTUNE MERGER SUB, INC. AND MEDIA GENERAL | Issuer | 5/16/2016 | For | For | ||||
TO APPROVE ONE OR MORE ADJOURNMENTS OF THE NEXSTAR ANNUAL MEETING, IF NECESSARY | ||||||||
OR APPROPRIATE, INCLUDING ADJOURNMENTS TO PERMIT FURTHER SOLICIATION OF PROXIES IN | ||||||||
FAVOR OF THE PROPOSAL TO APPROVE THE ISSUANCE OF NEXSTAR CLASS A COMMON STOCK | Issuer | 5/16/2016 | For | For | ||||
TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS NEXSTAR’S INDEPENDENT REGISTERED | ||||||||
PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 5/16/2016 | For | For | ||||
SINCLAIR BROADCAST GROUP, INC | SBGI | 829226109 | 6/2/2016 | ELECTION OF DIRECTORS | Issuer | 5/10/2016 | For all nominees | For |
RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED | ||||||||
PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2016 | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE AMENDMENT TO THE 1998 EMPLOYEE STOCK PURCHASE PLAN TO INCREASE THE NUMBER OF | ||||||||
CLASS A COMMON STOCK AVAILABLE FOR ISSUANCE BY 1,000,000 SHARES | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE AMENDMENT OF THE DEFINITION OF“PERMITTED TRANSFEREE” IN THE AMENDED AND RESTATED | ||||||||
ARTICLES OF INCORPORATION WITH RESPECT TO CLASS B COMMON STOCK | Issuer | 5/10/2016 | For | For | ||||
APPROVE THE STOCKHOLDER PROPOSAL RELATING TO SUSTAINABILITY REPORTING | Issuer | 5/10/2016 | Against | For | ||||
JPMORGAN CHASE & CO. | JPM | 46625H100 | 5/17/2016 | ELECTION OF DIRECTORS | Issuer | 4/14/2016 | For all nominees | For |
ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Issuer | 4/14/2016 | For | For | ||||
RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer | 4/14/2016 | For | For | ||||
INDEPENDENT BOARD CHAIRMAN - REQUIRE AN INDEPENDENT CHAIR | Issuer | 4/14/2016 | Against | For | ||||
HOW VOTES ARE COUNTED - COUNT VOTES USING ONLY FOR AND AGAINST AND IGNORE ABSTENTIONS | Issuer | 4/14/2016 | Against | For | ||||
VESTING FOR GOVERNMENT SERVICE - PROHIBIT VESTING OF EQUITY-BASED AWARDS FOR SENIOR EXECUTIVES | ||||||||
DUE TO VOLUNTARY RESIGNATION TO ENTER GOVERNMENT SERVICE | Issuer | 4/14/2016 | Against | For | ||||
APPOINT A STOCKHOLDER VALUE COMMITTEE - ADDRESS WHETHER DIVESTITURE OF ALL NON-CORE BANKING | ||||||||
BUSINESS SEGMENTS WOULD ENHANCE SHAREHOLDER VALUE | Issuer | 4/14/2016 | Against | For | ||||
CLAWBACK AMENDMENT - DEFER COMPENSATION FOR 10 YEARS TO HELP SATISY ANY MONETARY PENALTY | ||||||||
ASSOCIATED WITH VIOLATION OF LAW | Issuer | 4/14/2016 | Against | For | ||||
EXECUTIVE COMPENSATION PHILOSOPHY - ADOPT A BALANCED EXECUTIVE COMPENSATION PHILOSOPHY WITH | ||||||||
SOCIAL FACTORS TO IMPROVE THE FIRMS’S ETHICAL CONDUCT AND PUBLIC REPUTATION | Issuer | 4/14/2016 | Against | For | ||||
UNITED RENTALS, INC | URI | 911363109 | 5/3/2016 | ELECTION OF DIRECTORS | Issuer | 3/28/2016 | For all nominees | For |
RATIFICATION OF APPOINTMENT OF PUBLIC ACCOUNTING FIRM | Issuer | 3/28/2016 | For | For | ||||
ADVISORY APPROVAL OF EXECUTIVE COMPENSATION | Issuer | 3/28/2016 | For | For | ||||
STOCKHOLDER PROPOSAL TO ADOPT SIMPE MAJORITY VOTE | Issuer | 3/28/2016 | Against | For | ||||
WELLS FARGO & COMPANY | WFC | 949746101 | 4/26/2016 | ELECTION OF DIRECTORS | Issuer | 3/22/2016 | For all nominees | For |
VOTE ON AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION | Issuer | 3/22/2016 | For | For | ||||
RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING | ||||||||
FIRM FOR 2016 | Issuer | 3/22/2016 | For | For | ||||
STOCKHOLDER PROPOSAL TO ADOPT A POLICY TO REQUIRE AN INDEPENDENT CHAIRMAN | Issuer | 3/22/2016 | Against | For | ||||
STOCKHOLDER PROPOSAL TO PROVIDE A REPORT ON THE COMPANY’S LOBBYING POLICIES AND PRACTICES | Issuer | 3/22/2016 | Against | For | ||||
MASTEC, INC | MTZ | 576323109 | 10/15/2015 | ELECTION OF DIRECTORS | Issuer | 9/15/2015 | For all nominees | For |
TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUT INDEPENDENT REGISTERED PUBLIC | ||||||||
ACCOUNTING FIRM FOR 2015. | Issuer | 9/15/2015 | For | For | ||||
TO APPROVE THE AMENDED AND RESTATED 2011 EMPLOYEE STOCK PURCHASE PLAN, TO | ||||||||
INCREASE THE MAXIMUM NUMBER OF SHARES ISSUABLE THEREUNDER FROM 1,000,000 TO 2,000,000 | Issuer | 9/15/2015 | For | For | ||||
MONEY MARKET PORTFOLIO: CL I | 316175207 | 11/18/2015 | ELECTION OF DIRECTORS | Issuer | 10/21/2015 | For all nominees | For |
Sub-Adviser: Trust and Fiduciary Income Partners, LLC | ||||||||
Proxy Voting for LoCorr Multi-Strategy Fund for time frame July 1, 2015 - June 30, 2016: | ||||||||
Security Name | Exchange Ticker | Cusip | Shareholder Meeting Date | Matter Voted On | Who Proposed Matter | Vote Cast On | How the Fund Voted | For or Against Management |
PROSPECT CAPITAL CORP | PSEC | 74348T102 | 1/8/2016 | To authorize the company with Board approval to sell shares of common stack below the companys then current NAV per share in one or more offerings (was postponed because didn’t achieve sufficient voting participation) | Issuer | 11/4/2015 | FOR | FOR |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) LoCorr Investment Trust
By (Signature and Title) /s/ Kevin Kinzie
Kevin Kinzie, President
Date 08/04/2016