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 811-23306
Collaborative Investment Series Trust
(Exact name of registrant as specified in charter)
500 Damonte Ranch, Parkway
Building 700, Unit 700
Reno, NV 89521
(Address of principal executive offices) (Zip code)
Northwest Registered Agent Service, Inc.
8 The Green, Suite B
Dover, Delaware 19901
(Name and address of agent for service)
With copy to:
JoAnn M. Strasser, Thompson Hine LLP
41 S. High Street, Suite 1700
Columbus, Ohio 43215
Registrant's telephone number, including area code: (203) 622-6000
Date of fiscal year end: September 30
Date of reporting period: July 1, 2020 through June 30, 2021
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 (Sections 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 notes.
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. Section 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.
| GREENWICH IVY LONG-SHORT FUND (GIVYX ) |
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| Company Name | Ticker | Provider Security ID | Meeting Type | Meeting Date | Record Date | Proposal Type | Proposal Number | Proposal | Proposal Vote | For/Against Management |
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| ABN AMRO BANK NV | ABN.AS | BYQP136 | Annual Meeting | 12/15/2020 | 11/17/2020 | Management | 1 | Opening remarks and announcements. | For | For |
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| Management | 2 | Appointment of Mariken Tannemaat as member of the Supervisory Board. | For | For |
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| Management | 2i | Announcement to the General Meeting of the Supervisory Board's nomination for appointment. | For | For |
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| Management | 2ii | Explanation and motivation by Mariken Tannemaat. | For | For |
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| Management | 2iii | Proposal to the Extraordinary General Meeting to appoint Mariken Tannemaat as member of the Supervisory Board. | For | For |
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| ABN AMRO BANK NV | ABN.AS | BYQP136 | Annual Meeting | 4/21/2021 | 3/24/2021 | Management | 2e | Remuneration report over 2020 (advisory voting item. | For | For |
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| Management | 2g | Adoption of the audited 2020 Annual Financial Statements (voting item) | For | For |
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| Management | 4a | Discharge of each member of the Executive Board in office during the financial year 2020 for the performance of his or her duties during 2020 (voting item) | For | For |
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| Management | 4b | Discharge of each member of the Supervisory Board in office during the financial year 2020 for the performance of his or her duties during 2020 (voting item) | For | For |
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| Management | 5b | Reappointment of Ernst & Young Accountants LLP as external auditor for the financial years 2022 and 2023 (voting item) | For | For |
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| Management | 7a | Authorisation to issue shares and/or grant rights to subscribe for shares (voting item). | For | For |
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| Management | 7b | Authorisation to limit or exclude pre-emptive rights (voting item). | For | For |
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| Management | 7c | Authorisation to acquire (depositary receipts for) shares in ABN AMRO's own capital (voting item). | For | For |
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| Management | 8 | CANCELLATION OF (DEPOSITARY RECEIPTS FOR) SHARES IN THE ISSUED SHARE CAPITAL OF ABN AMRO (voting item) | For | For |
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| ASTON MARTIN LAGONDA GLOBAL HO | AML.L | BFXZC44 | Annual Meeting | 12/4/2020 | 11/19/2020 | Management | 1 | TO AUTHORISE THE DIRECTORS TO IMPLEMENT THE STRATEGIC COOPERATION AND ALLOT THE CONSIDERATION SHARES | For | For |
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| Management | 2 | TO AUTHORISE THE DIRECTORS TO ALLOT THE PLACING SHARES | For | For |
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| Management | 3 | TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS IN CONNECTION WITH THE PLACING | For | For |
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| Management | 4 | TO APPROVE THE RELATED PARTY TRANSACTION IN CONNECTION WITH THE PLACING | For | For |
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| Management | 5 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES IN CONNECTION WITH THE WARRANTS ISSUE | For | For |
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| Management | 6 | TO AUTHORISE THE SUBDIVISION AND CONSOLIDATION OF SHARES IN CONNECTION WITH THE CAPITAL REORGANISATION | For | For |
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| Management | 7 | TO RENEW EXISTING SHARE ALLOTMENT AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION | For | For |
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| Management | 8 | TO RENEW EXISTING PRE-EMPTION DISAPPLICATION AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION | For | For |
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| Management | 9 | TO RENEW EXISTING ADDITIONAL PRE-EMPTION DISAPPLICATION AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION | For | For |
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| Management | 10 | TO RENEW EXISTING SHARE BUYBACK AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION | For | For |
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| ASTON MARTIN LAGONDA GLOBAL HOLDINGS PLC | AML.L | BFXZC44 | Annual Meeting | 5/25/2021 | 4/16/2021 | Management | 1 | Company's Annual Report and Accounts 2020. | For | For |
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| Management | 2 | To approve the Directors' Remuneration Report. | For | For |
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| Management | 3 | To re-elect Lawrence Stroll as a Director. | For | For |
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| Management | 4 | To elect Tobias Moers as a Director. | For | For |
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| Management | 5 | To elect Kenneth Gregor as a Director. | For | For |
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| Management | 6 | To elect Robin Freestone as a Director. | For | For |
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| Management | 7 | To elect Antony Sheriff as a Director. | For | For |
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| Management | 8 | To elect Anne Stevens as a Director. | For | For |
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| Management | 9 | To re-elect Michael de Picciotto as a Director. | For | For |
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| Management | 10 | To elect Stephan Unger as a Director. | For | For |
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| Management | 11 | To re-appoint Ernst & Young LLP as auditor. | For | For |
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| Management | 12 | To authorise the Audit & Risk Committee to determine the remuneration of the auditor. | For | For |
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| Management | 13 | To authorise limited political donations. | For | For |
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| Management | 14 | To authorise the Directors to allot shares. | For | For |
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| Management | 15 | To authorise the Directors to disapply pre-emption rights. | For | For |
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| Management | 16 | To authorise Directors to further disapply pre-emption rights for acquisitions and specified capital investments. | For | For |
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| Management | 17 | To authorise the Company to purchase own shares. | For | For |
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| Management | 18 | To reduce the notice of general meetings. | For | For |
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| ECN CAPITAL CORP | ECN.TO | 26829L107 | Annual Meeting | 4/1/2021 | 2/23/2021 | Management | 1a | Election of Directors-William W. Lovatt | For | For |
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| Management | 1b | Election of Directors-Steven K. Hudson | For | For |
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| Management | 1c | Election of Directors-Paul Stoyan | For | For |
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| Management | 1d | Election of Directors-Pierre Lortie | For | For |
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| Management | 1e | Election of Directors-David Morris | For | For |
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| Management | 1f | Election of Directors-Carol Goldman | For | For |
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| Management | 1g | Election of Directors-Karen Martin | For | For |
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| Management | 2 | Re-appointment of Ernst & Young LLP as auditors of ECN Capital Corp. to hold office until the next annual meeting of shareholders or until a successor is appointed and the authorization of the board of directors to fix the remuneration of the auditors. | For | For |
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| Management | 3 | Advisory vote approving the approach to executive compensation disclosed in the Management Information Circular delivered in advance of the 2021 annual meeting of shareholders of the Corporation. | For | For |
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| FERGUSON PLC | FERG.L | BJVNSS4 | Annual Meeting | 7/29/2020 | 6/26/2020 | Management | 1 | To adopt new articles of association of the company. | For | For |
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| GLENCORE PLC | GLEN.L | B4T3BW6 | Annual Meeting | 4/29/2021 | 2/26/2021 | Management | 1 | To receive the Company's accounts and the reports of the Directors and auditors for the year ended 31 December 2020. | For | For |
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| Management | 2 | To approve that the Company's capital contribution reserves(forming part of its share premium account) be reduced and be repaid to shareholders as per the terms set out in the notice of meeting. | For | For |
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| Management | 3 | To re-elect Anthony Hayward as a Director. | For | For |
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| Management | 4 | To re-elect Ivan Glasenberg as a Director, for a term expiring on 30 June 2021. | For | For |
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| Management | 5 | To re-elect Peter Coates as a Director. | For | For |
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| Management | 6 | To re-elect Martin Gilbert as a Director. | For | For |
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| Management | 7 | To re-elect Gill Marcus as a Director. | For | For |
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| Management | 8 | To re-elect Patrice Merrin as a Director. | For | For |
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| Management | 9 | To re-elect Kalidas Madhavpeddi as a Director. | For | For |
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| Management | 10 | To elect Cynthia Carroll as a Director. | For | For |
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| Management | 11 | To reappoint Deloitte LLP as the Company's auditors to hold office until the conclusion of the next general meeting at which accounts are laid or a date to be determined by the Directors. | For | For |
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| Management | 12 | To authorise the audit committee to fix the remuneration of the auditors. | For | For |
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| Management | 13 | To approve rules of the Glencore plc Incentive Plan. | For | For |
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| Management | 14 | To approve Company's Climate Action Transition Plan dated 4th December 2020 | For | For |
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| Management | 15 | To approve the Directors' Remuneration Policy as set out in the 2020 Annual Report. | For | For |
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| Management | 16 | To approve the Directors' Remuneration Report as set out in the 2020 Annual Report. | For | For |
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| Management | 17 | To renew the authority conferred on the directors pursuant to Article 10.2 of the Company's Articles of Association. | For | For |
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| Management | 18 | Subject to the passing of resolution 17, to renew the authority conferred on the Directors pursuant to Article 10.3 of the Company's articles of association to allot equity securities for cash for an Allotment Period. | For | For |
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| Management | 19 | Subject to the passing of resolution 17, and in addition to any authority granted under resolution 18, to empower the Directors pursuant to Article 10.3 of the Articles to allot equity securities for cash for an Allotment Period. | For | For |
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| Management | 20 | To authorise the Company to make market purchases of ordinary shares. | For | For |
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| INDUSTRIA DE DISENO TEXTIL S.A | ITX.MAC | BP9DL90 | Annual Meeting | 7/14/2020 | 6/8/2021 | Management | 1 | Review and approval, where appropriate, of the Annual Accounts (Balance Sheet, Income Statement, Statement of Changes in Equity, Statement of Cash Flows and Notes to the accounts) and Directors' Report of Industria de DiseC1o Textil, Sociedad AnC3nima, (Inditex, S.A.) for financial year 2019, ended 31 January 2020. | For | For |
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| Management | 2 | Review and approval, where appropriate, of the Consolidated Annual Accounts (Consolidated Balance Sheet, Consolidated Income Statement, Consolidated Statement of Comprehensive Income, Consolidated Statement of Changes in Equity, Consolidated Statement of Cash Flows and Notes to the consolidated accounts) and Consolidated Directors' Report of the consolidated group (Inditex Group) for financial year 2019, ended 31 January 2020, and of the management of the company. | For | For |
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| Management | 3 | Review and approval, where appropriate, of the Statement on Non-financial Information (Act 11/2018 of 28 December on mandatory disclosure of non-financial information). | For | For |
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| Management | 4 | Distribution of the income or loss of the financial year. | For | For |
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| Management | 5 | Declaration of a dividend in the gross amount of 0.35 per share charged to unrestricted reserves. | For | For |
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| Management | 6a | Re-election, ratification and appointment of members of the Board of Directors: Re-election of Pontegadea Inversiones, S.L. (represented by Ms Flora PC)rez Marcote) to the Board of Directors as non-executive proprietary director. | For | For |
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| Management | 6b | Re-election, ratification and appointment of members of the Board of Directors: Re-election of Bns. Denise Patricia Kingsmill to the Board of Directors as non-executive independent director. | For | For |
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| Management | 6c | Re-election, ratification and appointment of members of the Board of Directors: Ratification and appointment of Ms Anne Lange to the Board of Directors as non-executive independent director. | For | For |
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| Management | 7 | Re-election of Deloitte, S.L. as Statutory Auditor of the Company and its Group for financial year 2020. | For | For |
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| Management | 8a | Amendment of the Articles of Association in order to expressly provide for the possibility of remote attendance at the Annual General Meeting via:Approval of the amendment of article 16 (Eligibility to attend the General Meetings of Shareholders. Right to vote) and article 17 (Representation at the General Meeting of Shareholders) in Part I (General Meeting of Shareholders) of Chapter III (Governing Bodies of the Company). | For | For |
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| Management | 8b | Amendment of the Articles of Association in order to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the revised text of the Articles of Association. | For | For |
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| Management | 9a | Amendment of the Regulations of the General Meeting of Shareholders in order to include the approval of the Statement on Non-financial Information among the powers of the General Meeting of Shareholders and to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the amendment of article 6 (Powers of the General Meeting of Shareholders) in Chapter II (The General Meeting of Shareholders). | For | For |
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| Management | 9b | Amendment of the Regulations of the General Meeting of Shareholders in order to include the approval of the Statement on Non-financial Information among the powers of the General Meeting of Shareholders and to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the addition of article 11 is (Remote Attendance) in Part I (Attendance and proxies) and the amendment of article 12 (Proxy Representation at the General Meeting of Shareholders) in Part I (bAttendance and proxies), article 19 (Quorum) in Part II (The General Meeting of Shareholders) and article 20 (Request by shareholders to take the floor. Identification) in Part III (Use of the floor by Shareholders), all of them in Chapter IV (Holding of the General Meeting of Shareholders). | For | For |
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| Management | 10 | Advisory vote (say on pay) of the Annual Report on the Remuneration of Directors. | For | For |
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| Management | 11 | Granting of powers to implement resolutions. | For | For |
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| Management | 12 | Reporting to the Annual General Meeting on the amendment of the Board of Directors' Regulations. | For | For |
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| POLLARD BANKNOTE LTD | PBL.TO | 73150R105 | Annual Meeting | 5/14/2021 | 3/19/2021 | Management | 1.1 | ELECTION OF DIRECTOR:DAVE BROWN | For | For |
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| Management | 1.2 | ELECTION OF DIRECTOR:GARY LEACH | For | For |
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| Management | 1.3 | ELECTION OF DIRECTOR:LEE MEAGHER | For | For |
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| Management | 1.4 | ELECTION OF DIRECTOR:GORDON POLLARD | For | For |
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| Management | 1.5 | ELECTION OF DIRECTOR:JOHN POLLARD | For | For |
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| Management | 1.6 | ELECTION OF DIRECTOR:DOUGLAS POLLARD | For | For |
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| Management | 2 | TO APPOINT KPMG LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. | 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.
Collaborative Investment Series Trust
By /s/ Gregory Skidmore
* Gregory Skidmore
Trustee and President/Chief Executive Officer of the Trust
Date: August 6, 2021
By /s/ Adam Snitkoff
* Adam Snitkoff
Treasurer /Chief Financial/Principal Accounting Officer of the Trust
Date: August 6, 2021
*Print the name and title of each signing officer under his or her signature.