ANNUAL REPORT OF PROXY VOTING RECORDS OF REGISTERED MANAGEMENT INVESTMENT COMPANY
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibit 1 is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2015 with respect to which the Registrant was entitled to vote:
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
Whether the Registrant cast its vote for or against management.
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Registrant: IPO ETF Renaissance Capital Greenwich Funds - Renaissance IPO ETF
| Item 1, Exhibit 1 |
Investment Company Act file number: 811-08049 |
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Reporting Period: July 1, 2014 through June 30, 2015
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
1 | King Digital Entertainment, Inc. | KING | G5258J-109 | 9/26/2014 | 1 | Receive and consider King's financial statements for year ended December 31, 2013 | Issuer | Yes | For | For |
| | | | | 2 | Authorize the Board to fix the renumeration of auditors of King Digital | Issuer | Yes | For | For |
| | | | | 3 | Approve holding of the next annual general meeting | Issuer | Yes | For | For |
| | | | | 4 | Authorize King to make market purchases and overseas market purchases of shares of any class of King | Issuer | Yes | For | For |
| | | | | 5 | Approve re-issue price range at which treasury shares held by the company may be issued off-market | Issuer | Yes | For | For |
2 | Mobileye NV | MBLY | N51488-117 | 12/12/2014 | 1 | To adopt Dutch statutory annual accounts for year ended 2013 | Issuer | Yes | For | For |
| | | | | 2 | To discharge sole member of management board for liability in respect to duties in 2013 | Issuer | Yes | Against | Against |
| | | | | 3 | To discharge former members of supervisory board from liability in respect to duties in 2013 | Issuer | Yes | Against | Against |
| | | | | 4 | To amend articles of association to lower supermajority shareholder vote for acquisitions by company | Issuer | Yes | For | For |
3 | King Digital Entertainment | KING | G5258J-109 | 1/29/2015 | 1 | To approve increase of percentage of King Shares held by Bellaria as a result of repurchases/redemptions on basis that Bellaria is not obliged to make offer to shareholders under Irish takeover rules | Issuer | Yes | For | For |
| | | | | 2 | To approve increse in percentage of shares held by Bellaria/Board Concert Party as a result of repurchases, redemptions, or exercise of options by relevant directors | Issuer | Yes | For | For |
| | | | | 3 | To approve King's acquisition or redemption of shares held by or on behalf of any director or person connected with a director | Issuer | Yes | For | For |
4 | Aramark Holdings Corp. | ARMK | 03852U-106 | 2/3/2015 | 1 | Vote for Election of Directors (11) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of KPMG as independent public accountant for year ending October 2015 | Issuer | Yes | For | For |
| | | | | 3 | Approve, in non-binding advisory vote, compensation of executed officers | Issuer | Yes | For | For |
| | | | | 4 | Whether non-binding advisory vote on officer compensation should occur every one, two, or three years | Issuer | Yes | 1 year | For |
5 | Frank's International N.V. | FI | N33462107 | 1/23/2015 | 1 | Vote for Election of Director (1) | Issuer | Yes | For | For |
6 | IMS Health Holdings, Inc. | IMS | 44970B-109 | 4/21/2015 | 1 | Vote for election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of PWC as independent public accountant | Issuer | Yes | For | For |
| | | | | 3 | Approve, in non-binding advisory vote, compensation of executed officers | Issuer | Yes | For | For |
| | | | | 4 | Recommend in non-binding advisory vote the frequency of vote on executive compensation | Issuer | Yes | 3 years | For |
7 | Commscope Holding Company | COMM | 20337X-109 | 5/1/2015 | 1 | Vote for election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Approve in advisory vote compensation of named executives | Issuer | Yes | For | For |
| | | | | 3 | Ratify appointment of Ernst and Young as independent public accountant for year ending October 2015 | Issuer | Yes | For | For |
8 | Zoetis Inc. | ZTS | 98978V-103 | 5/1/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Say on Pay - Advisory Vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Proposal to ratfiy KPMG as Independent Public Accounting Firm for 2015 | Issuer | Yes | For | For |
9 | Sprout Farmers Market, Inc. | SFM | 85208M-102 | 5/1/2015 | 1 | Election of directors (2) | Issuer | Yes | For All | For |
| | | | | 2 | Say on Pay - Advisory Vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Approval performance goals under 2013 incentive plan for IRS purposes | Issuer | Yes | For | For |
| | | | | 4 | Ratify appointment of PWC as independent public accountant for year ending January 3, 2016 | Issuer | Yes | For | For |
10 | Servicemaster Global Holdings Inc. | SERV | 81761R109 | 4/27/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of Executive Annual Bonus Plan | Issuer | Yes | For | For |
| | | | | 3 | Approval of Omnibus Incentive Plan | Issuer | Yes | For | For |
| | | | | 4 | Approval of employee stock repurchase plan | Issuer | Yes | For | For |
| | | | | 5 | Nonbinding advisory vote approving executive compensation | Issuer | Yes | For | For |
| | | | | 6 | Nonbinding advisory vote on frequency of future votes approving executive compensation | Issuer | Yes | For | For |
| | | | | 7 | Ratification of Deloitte & Touche as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
11 | Quintiles Transnational Holdings | Q | 74876Y-101 | 5/7/2015 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Ratification of PWC as independent public accountant for year ended December 31, 2015 | Issuer | Yes | For | For |
12 | Axalta Coating Systems Ltd. | AXTA | G0750C-108 | 5/13/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Approve frequency of future advisory votes on compensation paid to exec officers | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratification of appointment of PWC as independent public accounting firm until conclusion of 2016 annual meeting and to delegate authority to Board to fix terms and renumeration thereof | Issuer | Yes | For | For |
13 | Hilton Worldwide Holdings Inc. | HLT | 43300A-104 | 5/6/2015 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as independent public accountant for fiscal year 2015 | Issuer | Yes | For | For |
| | | | | 3 | Say on Pay - Advisory Vote on executive compensation | Issuer | Yes | For | For |
14 | EP Energy Corporation | EPE | 268785-102 | 5/7/2015 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of adivsory vote on say on pay | Issuer | Yes | For | for |
| | | | | 3 | Vote on frequency of say on pay vote | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratification of apponintment of Ernst and Young as independent accountant for fiscal year 2015 | Issuer | Yes | For | for |
15 | Markit Ltd. | MRKT | G58249-106 | | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of PWC as independent public accounting firm until conclusion of 2016 annual meeting and to delegate authority to Board to fix terms and renumeration thereof | Issuer | Yes | For | For |
16 | CDW Corp | CDW | 12514G-108 | 5/13/2015 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as independent public accounting firm for year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
17 | HD Supply Holdings, Inc | HDS | 40416M-105 | 5/15/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of PWC as independent public accountant for year ending January 3 2016 | Issuer | Yes | For | For |
| | | | | 3 | Stockoholder proposal that the company adopt quantitative company-widegoals for reducing GHG emissions from operations and products and report on its plans to achieve these goals by September 2015 | Shareholder | Yes | Against | For |
18 | Tableau Software Inc. | DATA | 87336U-105 | 5/11/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on compensation of executive officers | Issuer | Yes | for | For |
| | | | | 3 | Indiciate on advisory basis the frequency of advisory votes on executive compensation | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratify selection of PWC as independent registered public accounting firm for fiscal year ended Dec 31 2015 | Issuer | Yes | For | For |
19 | Houghton Mifflin Harcourt company | HMHC | 44157R-109 | 5/19/2015 | 1 | Election of directors | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Approval of employee stock purchase plan | Issuer | Yes | For | For |
| | | | | 4 | Approval of 2015 omnibus incentive plan | Issuer | Yes | For | For |
| | | | | 5 | Stockholder proposal to require company to consider issuing dividend of repurchasing shares with extra cash | Shareholder | Yes | Abstain | Against |
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| | 6 | Ratification of independent public accountant for fiscal year 2015 | Issuer | Yes | For | For |
20 | American Homes 4 Rent | AMH | 02665T-306 | 5/7/2015 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of BDO USA as independent public accountants for fiscal year ended Dec 31 2015 | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on frequency of say on pay vote | Issuer | Yes | 1 year | For |
21 | Citizens Financial Group | CFG | 174610-105 | 5/5/2015 | 1 | Election of directors (12) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of independent registered accountant firm | Issuer | Yes | For | for |
| | | | | 3 | Advisory vote on executive comepnsation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on frequency of say on pay vote | Issuer | Yes | 1 year | for |
| | | | | 5 | Approve material terms of CFG performance formula and incentive plan for IRC | Issuer | Yes | For | For |
| | | | | 6 | Approve material terms of issuer's omnibus incentive plan for IRC including performance goals and individual award limitations | Issuer | Yes | For | For |
22 | Paramount Group Inc. | PGRE | 69924R-108 | 5/21/2015 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of Deloitte and Touche as independent registered public accountant for fiscal year ending Dec 31 2015 | Issuer | Yes | For | For |
23 | Frank's International N.V. | FI | N33462-107 | 5/20/2015 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Adopt company's annual accounts for fsical year ended December 31 2014 and authorize preparation of company's dutch statutory annual accounts and annual report | Issuer | Yes | For | For |
| | | | | 3 | Discharge sole member of management board from liability in respect of his exercise of his duties during the fiscal year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 4 | Discharge members of supervisory board from liability in respect of the exercise of their duties during the fiscal year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 5 | Ratify apopintment of PwC as auditor who will audit statutory annual accounts of the company for fiscal year ended Dec 31, 2015 | Issuer | Yes | For | for |
| | | | | 6 | Ratify appointment of PWC as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 7 | Ratify and approve renumeration of members of supervisory board | Issuer | Yes | For | For |
| | | | | 8 | Authorize share repurchases / company to make sales / ratify past repurcahse of common shares by company (3) | Issuer | Yes | For all | For |
| | | | | 9 | Approve material terms of performance goals in compnany's long term incentive plan in accordance with section 162(M) of internal revenue code | Issuer | Yes | For | for |
24 | La Quinta Holdings Inc. | LQ | 50420D-108 | 5/8/2015 | 1 | Election of directors (9) | Issuer | Yes | For All | For |
| | | | | 2 | Ratify appointment of Deloitte and Touche as independent public accounting firm for fiscal 2015 | Issuer | Yes | for | For |
| | | | | 3 | Approve la quinta holdings 2015 employee stock purchase plan | Issuer | Yes | For | For |
25 | Grubhub Inc. | GRUB | 400110-102 | 5/20/2015 | 1 | Election of directors (3) | Issuer | Yes | For | For |
| | | | | 2 | Ratify appointment of Crowe Horwath LLP as the independent registered accounting firm for fiscal year ending Dec 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Approve adoption of grubhub Inc long-term incentive plan | Issuer | Yes | For | For |
26 | Memorial Resource Development Corp. | MRD | 58605Q-109 | 5/15/2015 | 1 | Election of directors (7) | Issuer | Yes | For | For |
| | | | | 2 | Ratification of appointment of KPMG as independent auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on frequency of say on pay vote | Issuer | Yes | 3 years | For |
27 | VWR Corporation | VWR | 91843L-103 | 5/12/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of KPMG as independent auditor for 2015 | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on frequency of say on pay vote | Issuer | Yes | 1 year | For |
28 | Ally Financial Inc | ALLY | 02005N-100 | 5/28/2015 | 1 | Election of directors (10) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote to approve frequency of vote on executive compensation | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratification of action of the audit committee in appointing Deloitte and Touche as independent registered public accountant for 2015 | Issuer | Yes | For | For |
| | | | | 5 | Ratification of protective amendment to company's amended and restated certificate of incorporation and the existing tax asset protection plan | Issuer | Yes | For | For |
29 | Synchrony Financial | SYF | 87165B-103 | 5/21/2015 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote to approve named executive officer compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on frequency of say on pay vote | Issuer | Yes | For | For |
| | | | | 4 | Approval of synchrony financial annual incentive plan | Issuer | Yes | For | For |
| | | | | 5 | Approval of 2014 synchrony long term incentive-plan | Issuer | Yes | For | For |
| | | | | 6 | Ratification of KPMG as certified public account for year ending 2015 | Issuer | Yes | For | For |
30 | Voya Financial, Inc. | VOYA | 929089100 | 5/28/2015 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Say on pay - advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Ratification of Ernst and Young as registered public accounting firm for fiscal year 2015 | Issuer | Yes | For | For |
| | | | | 4 | Shareholder proposal to adopt procedures to avoid holding or recommending investments that contribute to human rights violations | Shareholder | Yes | Against | For |
31 | Sabre Corporation | SABR | 78573M-104 | 5/28/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as independent auditor for year ended December 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 4 | Frequency of advisory vote on copensation of named executive officers | Issuer | Yes | 3 years | For |
32 | BrixMor Property Group Inc | BRX | 11120U-105 | 6/3/2015 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as independent auditor for 2015 | Issuer | Yes | For | For |
| | | | | 3 | Approve on nonbinding advisory basis the compensation paid to named executives | Issuer | Yes | For | For |
33 | Rice Energy Inc. | RICE | 762760-106 | 6/3/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of annual incentive bonus plan | Issuer | Yes | For | For |
| | | | | 3 | Advisory approval of the company's executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory approval on the frequency of future advisory votes on executive compensation | Issuer | Yes | 1 year | For |
| | | | | 5 | Ratification of Ernst and Young as registered public accounting firm for fiscal year 2015 | Issuer | Yes | For | For |
34 | Springleaf Holdings, Inc. | LEAF | 85172J-101 | 5/19/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify selection of PWC as independent registered public accounting firm for 2015 | Issuer | Yes | For | For |
35 | Extended Stay America, Inc. | STAY | 30224P-200 | 5/21/2015 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Proposal for ratification of appointment of Deloitte & Touche LLP as independent registered public acccounting firm for 2015 | Issuer | Yes | For | For |
| | | | | 3 | Proposal for approval of amended and restated long-term incentive plan | Issuer | Yes | For | For |
| | | | | 4 | Proposal for approval of annual incentive plan | Issuer | Yes | For | For |
36 | ESH Hospitality, Inc. | STAY | 30224P-211 | 5/21/2015 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Proposal for ratification of appointment of Deloitte & Touche LLP as independent registered public acccounting firm for 2015 | Issuer | Yes | For | For |
| | | | | 3 | Proposal for the approval of the amended and restated company long-term incentive plan | Issuer | Yes | For | For |
37 | Envision Healthcare Holdings, Inc. | EVHC | 29413U-103 | 5/21/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of the company 2015 employee stock purchase plan | Issuer | Yes | For | For |
| | | | | 3 | Approval of company 2015 provider stock purchase plan | Issuer | Yes | For | For |
| | | | | 4 | Ratification of selection of Ernst and Young as independent registered public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
38 | Norwegian Cruise Line Holdings Ltd. | NCLH | G66721-104 | 5/20/2015 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Approval on a non-binding advisory basis of the compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 3 | Ratification of appointment of PWC as independent public accountant for year ending December 31, 2015 and renumeration by Audit Committee | Issuer | Yes | For | For |
| | | | | 4 | Approval of amendment to company bylaws to clarify notice provisions | Issuer | Yes | For | For |
39 | Juno Therapeutics Inc. | JUNO | 48205A-109 | 6/11/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young LLP as the independent registered public accountant for company's fiscal year ended December 31, 2015 | Issuer | Yes | For | For |
40 | Arista Networks, Inc. | ANET | 040413-106 | 6/1/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as independent registered public accountant for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
41 | Twitter, Inc. | TWTR | 90184L-102 | 6/3/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approve on advisory basis the frequency of future stockholder advisory votes on executive compensation | Issuer | Yes | 1 year | For |
| | | | | 3 | Ratification of the appointment of PwC LLP as Company's independent registered public accounting firm for year ending December 31, 2015 | Issuer | Yes | For | For |
42 | Antero Resources Corporation | AR | 03674X-106 | 6/3/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of KPMG as independent public accountant for year ending December 31 2015 | Issuer | Yes | For | For |
43 | Outfront Media, Inc. | OUT | 69007J-106 | 6/9/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of PwC as independent registered public accountant for fisal year 2015 | Issuer | Yes | For | For |
| | | | | 3 | Approval on non-binding advisory basis of compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 4 | Determination on non-binding advisory basis as to frequency of future votes on executive compensation | Issuer | Yes | 1 year | For |
| | | | | 5 | Approval of Outfront Media's amended and restated omnibus stock incentive plan | Issuer | Yes | For | For |
| | | | | 6 | Approval of Outfront Media's amended and restated executive bonus plan | Issuer | Yes | For | For |
44 | The Michaels Companies | MIK | 59408Q-106 | 6/3/2015 | 1 | Vote for Election of Directors (10) | Issuer | Yes | For all | For |
| | | | | 2 | Approve on advisory basis the compensation paid to named executives | Issuer | Yes | For | For |
| | | | | 3 | Recommend on advisory basis frequency of future votes on executive compensation | Issuer | Yes | 3 years | For |
| | | | | 4 | Approve Michaels 2014 omnibus long-term incentive plan to comply with Internal Revenue Code | Issuer | Yes | For | For |
| | | | | 5 | Ratify appointment of Ernst and Young as Michaels' independent registered public accountant for fiscal year ended January 30, 2016 | Issuer | Yes | For | For |
45 | Fireeye Inc. | FEYE | 31816Q-101 | 6/11/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Deloitte and Touche as independent public accounting firm for fiscal 2015 | Issuer | Yes | For | For |
46 | Abengoa Yield PLC | ABY | G00349103 | 5/8/2015 | 1 | Receive the accounts and reports of the Directors and auditors for year ended 31 December 2014 | Issuer | Yes | For | For |
| | | | | 2 | Approve Director's renumeration report other than the Director's renumeration policy for year ended 31 December 2014 | Issuer | Yes | For | For |
| | | | | 3 | To approve Director's Renumeration Policy | Issuer | Yes | For | For |
| | | | | 4 | Election of director (1) | Issuer | Yes | For | For |
| | | | | 5 | To reappoint Deloitte LLP and Deloitte S.L as auditors of the company | Issuer | Yes | For | For |
| | | | | 6 | To authorize audit committee to determine the auditor's renumeration | Issuer | Yes | For | For |
| | | | | 7 | To authorize the directors to allot shares | Issuer | Yes | For | For |
| | | | | 8 | To disapply statutory pre-emption rights | Issuer | Yes | Against | Against |
| | | | | 9 | To authorize company to purcahse its own shares | Issuer | Yes | For | For |
| | | | | 10 | To amend Article 64 of the company's articles of association | Issuer | Yes | For | For |
47 | CNOVA N.V. | CNV | N20947-102 | 5/20/2015 | 1 | Adoption of the annual accounts for financial year 2014 | Issuer | Yes | For | For |
| | | | | 2 | Release from liability of the members of the board with respect to performance of their duties during finacnial year 2014 | Issuer | Yes | Against | Against |
| | | | | 3 | Instruction to Ernst and Young for the external audit of the company's annual accounts for financial year 2015 | Issuer | Yes | For | For |
| | | | | 4 | Reappointment of Didier Leveque as non-executive director | Issuer | Yes | For | For |
| | | | | 5 | Appointment of Silvio Jose Genesini Jr. as non-executive director | Issuer | Yes | For | For |
| | | | | 6 | Appointment of Antoine Giscard D'estaing as non-executive officer | Issuer | Yes | For | For |
| | | | | 7 | Reappointment of German Pasquale Quiroga Vilardo as executive director | Issuer | Yes | For | For |
| | | | | 8 | Authorization of the Board to acquire ordinary shares in the capital of the company | Issuer | Yes | For | For |
| | | | | 9 | Delegation of the authority to issue ordinary shares and special voting shares and to grant rights to subscribe for such shares | Issuer | Yes | Against | Against |
| | | | | 10 | Delegation to limit and exclude pre-emption rights in respect to any issue of ordinary shares or any granting of rights to subscribe for such shares | Issuer | Yes | Against | Against |
48 | LendingClub Corporation | LC | 52603A-109 | 5/10/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approve on non-binding advisory basis the compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 3 | Approve on non-binding advisory basis the frequency of future votes on advisory compensation | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratify appointment of Deloitte and Touche as independent public accounting firm for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
49 | Intrexon Corporation | XON | 46122T-102 | 5/11/2015 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Approve in non-binding advisory vote resolution approving compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 3 | Provide non-binding advisory vote as to frequency of future shareholder advisory votes to approve executive compensation | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratify appointment by the audit committee of PwC LLP as independent registered public accounting firm for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 5 | Approve amendment to Amended and Restated Intrexon Corporation 2013 Omnibus Incentive Plan, providing for issuance of an additioanl three million shares | Issuer | Yes | For | For |
| | | | | 6 | Approve theIntrexon Corporation Annual Exectuvie Incentive Plan | Issuer | Yes | For | For |
50 | Criteo SA | CRTO | 226718-104 | 6/23/2015 | 1 | Approval of statutory financial statements for fiscal year ended December 31 2014 | Issuer | Yes | For | For |
| | | | | 2 | Approval of consolidated financial statements for fiscal year ended December 31, 2014 | Issuer | Yes | For | For |
| | | | | 3 | Discharge of liability of members of the board of directors and auditors for performance of duties for year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 4 | Allocation of profits for year ended December 31, 2014 | Issuer | Yes | For | For |
| | | | | 5 | Approval of agreements referred to in Articles L.225-38 Et Seq. of the French Commercial Code | Issuer | Yes | For | For |
| | | | | 6 | Renewal of the term of office of Dana Evan as Director | Issuer | Yes | For | For |
| | | | | 7 | Renewal of term of office of Hubert de Pesquidoux as Director | Issuer | Yes | For | For |
| | | | | 8 | Delegation of authority to Board of Directors to execute a buyback of company stock within French Commercial Code | Issuer | Yes | For | For |
| | | | | 9 | Delegation of authority to the board of directors to increase company's share capital by issuing ordinary shares, or any securities granting access to company's share capital, through a public offering, without shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 10 | Delegation of authority to the Board to increase company's share capital by issuing ordinary shares or any securities granting access to the company's share capital thorugh a public offering without regard to shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 11 | Delegation of authority to the Board to increase number of securities to be issued as a result of a share capital increase pursuant to delegations in Resolutions 9 and 10 | Issuer | Yes | For | For |
| | | | | 12 | Determination of overall financial limits applicable to the issuances to be completed pursuant to delegations in resolutions 9 to 11 | Issuer | Yes | For | For |
| | | | | 13 | Delegation of authority to the Board to increase share capital through incorproration of premiums, reserves, profits, or any other amounts that may be capitalized | Issuer | Yes | For | For |
| | | | | 14 | Delegation of authority to the Board to reduce the company's share capital by cancelling shares as part of the authorization to the board allowing company to buy back its own shares in accordance with provisions of the French Commercial Code | Issuer | Yes | For | For |
| | | | | 15 | Delegation of authority to board to issue and grant warrants for the benefit of a category of persons meeting predetermiend criteria without shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 16 | Delegation of authority to Board to increase company's share capital by way of issuing shars and securities for the benefit of members of a company savings plan | Shareholder | Yes | Against | For |
51 | Nimble Storage, Inc. | NMBL | 65440R-101 | 7/16/2015 | 1 | Vote for election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst and Young as registered public accounting firm for fiscal year ending January 31 2016 | Issuer | Yes | For | For |
52 | Mobileye N.V. | MBLY | N51488-117 | 6/25/2015 | 1 | Adopt dutch statutory annual accounts for year ended December 31, 2014 | Issuer | Yes | For | For |
| | | | | 2 | Discharge present and former directors from liability in respect of the exercise of their duties during year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 3 | Discharge the former members of supervisory board from liability in respect of the exercise of their duties during year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 4 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 5 | Approve the grant of authority to the Board of Directors to repurchase up to 10 percent of issued share capital until December 25, 2016 on the open market, through privately negotiated transactions, or in one or more self-tender offers for a price per share not less than the nominal value of a share | Issuer | Yes | For | For |
| | | | | 6 | Appoint Price Waterhouse Coopers accountants to audit the company's dutch statutory accounts for year ending December 31, 2015 | Issuer | Yes | For | For |
53 | Burlington Stores, Inc. | BURL | 122017-106 | 7/17/2015 | 1 | Vote for election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Deloitte & Touche LLP as the independent public registered accounting firm for fiscal year ending January 30, 2016 | Issuer | Yes | For | For |
| | | | | 3 | Approve on an advisory basis the compensation of named executive officers | Issuer | Yes | For | For |
54 | Satander Consumer USA Holdings Inc. | | 80283M-101 | 7/15/2015 | 1 | Vote for election of directors (12) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of Deloitte and Touche as independent registered public accountant for current fiscal year | Issuer | Yes | For | For |
| | | | | 3 | Say on pay - advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Frequency of advisory vote on compensation of named executive officers | Issuer | Yes | 3 years | For |
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| CONTENT KEY: | | | | | | | | |
A. | Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) |
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B. | Ticker - e.g., MSFT |
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C. | Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130) |
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D. | Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY |
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E. | Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. |
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F. | Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) |
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G. | Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. |
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H. | Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors |
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I. | Management Recommendation - FOR or AGAINST | | | | | | |
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Registrant: Renaissance Capital Greenwich Funds - Global IPO Fund |
| Item 1, Exhibit 2 |
Investment Company Act file number: 811-08049
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Reporting Period: July 1, 2014 through June 30, 2015
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FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
1 | Autohome, Inc. | ATHM | 05278C107 | 11/21/2014 | 1 | Vote for election of director | Issuer | Yes | For | For |
2 | Palo Alto Networks, Inc. | PANW | 697435105 | 12/12/2014 | 1 | Vote for Election of Directors (2) | Issuer | Yes | For all | For |
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| | | 2 | Ratify appointment of Ernst and Young as independent accounting firm | Issuer | Yes | For | For |
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| | | 3 | Advisory vote on Executive Compensation | Issuer | Yes | For | For |
3 | Mobileye NV | MBLY | N51488-117 | 12/12/2014 | 1 | To adopt Dutch statutory annual accounts for year ended 2013 | Issuer | Yes | For | For |
| | | | | 2 | To discharge sole member of management board for liability in respect to duties in 2013 | Issuer | Yes | Against | Against |
| | | | | 3 | To discharge former members of supervisory board from liability in respect to duties in 2013 | Issuer | Yes | Against | Against |
| | | | | 4 | To amend articles of association to lower supermajority shareholder vote for acquisitions by company | Issuer | Yes | For | For |
4 | Berry Plastics Group | BERY | 08579W103 | 3/4/2015 | 1 | Vote for Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | To act upon proposal to amend the certificate of incorporation to delete obsolete provisions | Issuer | Yes | For | For |
| | | | | 3 | To consider and act upon proposal to approve adoption of 2015 long-term incentive plan | Issuer | Yes | For | For |
| | | | | 4 | To ratify appointment of Ernst and Young LLP as independent public accountant for fiscal year ending September 26, 2015 | Issuer | Yes | For | For |
5 | Zoetis Inc | ZTS | 98978V103 | 5/1/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
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| | | | 2 | To approve advisory vote on approval of executive compensation | Issuer | Yes | For | For |
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| | | | 3 | Ratify appointment of KPMG as independent public accounting firm | Issuer | Yes | For | For |
6 | Servicemaster Global Holdings Inc. | SERV | 81761R109 | 4/27/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of Executive Annual Bonus Plan | Issuer | Yes | For | For |
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| | | | 3 | Approval of Omnibus Incentive Plan | Issuer | Yes | For | For |
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| | | | 4 | Approval of employee stock repurchase plan | Issuer | Yes | For | For |
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| | | | 5 | Nonbinding advisory vote approving executive compensation | Issuer | Yes | For | For |
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| | | | 6 | Nonbinding advisory vote on frequency of future votes approving executive compensation | Issuer | Yes | For | For |
| | | | | 7 | Ratification of Deloitte & Touche as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
7 | Quintile Transnational Holdings Inc. | Q | 74876Y101 | 5/7/2015 | 1 | Election of Directors (4) | Issuer | Yes | For all | For |
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| | | | 2 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
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| | | | 3 | Ratification of PWC as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
8 | Hilton Worldwide Holdings Inc. | HLT | 43300A104 | 5/6/2015 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
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| | | | 2 | Ratify appointment of Ernst and Young as independent accounting firm for fiscal year 2015 | Issuer | Yes | For | For |
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| | | | 3 | Advisory vote to approve executive compensation | Issuer | Yes | For | For |
9 | Virgin America Inc. | VA | 92765X208 | 5/14/2015 | 1 | Vote for Election of Directors (3) | Issuer | Yes | For All | For |
| | | | | 2 | Ratification of Ernst and Young as registered public accounting firm for fiscal year ending December 31 2015 | Issuer | Yes | for | For |
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| | | | 3 | Approve on an advisory basis the executive officer compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on frequency of future say on pay votes | Issuer | Yes | 1 year | For |
10 | Whitewave Foods Company | WWAV | 966244105 | 5/14/2015 | 1 | Vote for Election of Directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approve amendment and restatement of the company's 2012 stock incentive plan | Issuer | Yes | for | For |
| | | | | 3 | Ratify appointment of Deloitte and Touche as independent auditor for 2015 | Issuer | Yes | For | For |
11 | Synchrony Financial | SYF | 87165B103 | 5/21/2015 | 1 | Election of direcotors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
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| | | | 3 | Advisory vote on frequency of future say on pay votes | Issuer | Yes | 1 year | for |
| | | | | 4 | Approval of financial annual incentive plan | Issuer | Yes | for | for |
| | | | | 5 | Approval of long term incentive plan | Issuer | Yes | For | For |
| | | | | 6 | Ratification of KPMG as independent registered public accountant for 2015 | Issuer | Yes | For | For |
12 | Paramount Group, Inc. | PGRE | 69924R108 | 5/21/2015 | 1 | Vote for election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of Deloitte & Touche as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
13 | GrubHub Inc. | GRUB | 400110102 | 5/20/2015 | 1 | Vote for election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Crowe Horwath LLP as independent public accountant for year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Approve adoption of Grubhub Inc 2015 long-term incentive plan | Issuer | Yes | For | For |
14 | Voya Financial, Inc. | VOYA | 929089100 | 5/28/2015 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Say on pay - advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Ratification of Ernst and Young as registered public accounting firm for fiscal year 2015 | Issuer | Yes | For | For |
| | | | | 4 | Shareholder proposal to adopt procedures to avoid holding or recommending investments that contribute to human rights violations | Shareholder | Yes | Against | For |
15 | Fibrogen, Inc. | FGEN | 31572Q808 | 6/3/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of PWC as independent registered public accountant for year ending December 31 2015 | Issuer | Yes | For | For |
16 | Envision Healthcare Holdings Inc | EVHC | 29413U103 | 5/21/2015 | 1 | Election of Directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of company employee stock purchase plan | Issuer | Yes | For | For |
| | | | | 3 | Approval of company provider stock purchase plan | Issuer | Yes | For | For |
| | | | | 4 | Ratification of selection of Ernst and Young as company's independent registered public accounting firm for year ending December 31, 2015 | Issuer | Yes | For | For |
17 | Store Capital Corporation | STOR | 862121100 | 6/4/2015 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of selection of Ernst and Young as company's independent registered public accounting firm for year ending December 31, 2015 | Issuer | Yes | For | For |
18 | Juno Therapeutics, Inc. | JUNO | 48205A109 | 6/11/2015 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of selection of Ernst and Young as company's independent registered public accounting firm for year ending December 31, 2015 | Issuer | Yes | For | For |
19 | Twitter, Inc. | TWTR | 90184L102 | 6/3/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approve on an advisory basis the frequency of future votes on compensation of named executives | Issuer | Yes | 1 year | For |
| | | | | 3 | Ratification of appointment of PWC as independent registered public accounting firm for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
20 | Diplomat Pharmacy Inc | DPLO | 25456K101 | 6/5/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of appointment of BDO USA LLP as company's independent registered public accounting firm for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Advisory approval of compensation of named executive officers | Issuer | Yes | For | For |
| | | | | 4 | Advisory approval of frequency of future votes on named executive compensation | Issuer | Yes | 1 year | For |
21 | INC Research Holdings, Inc. | INCR | 45329R109 | 6/5/2015 | 1 | Vote for election of directors (2) | Issuer | Yes | For all | For |
22 | LendingClub Corporation | LC | 52603A109 | 6/10/2015 | 1 | Vote for election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Say on pay - advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on frequency of future say on pay votes | Issuer | Yes | 1 year | For |
| | | | | 4 | Ratify appointment of Deloitte and Touche as independent auditor for 2015 | Issuer | Yes | For | For |
23 | Facebook Inc. | FB | 30303M102 | 6/11/2015 | 1 | Vote for election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of Ernst & Young as independent registered public accounting firm for fiscal year ending December 31, 2015 | Issuer | Yes | For | For |
| | | | | 3 | Reapprove the internal revenue code limits of 2012 equity incentive plan to reserve ability to receive corporate income tax deductions that may become available | Issuer | Yes | For | For |
| | | | | 4 | Change structure to allow each stockholder one vote per share | Shareholder | Yes | Against | For |
| | | | | 5 | Require company to make annual sustainability report | Shareholder | Yes | Against | For |
| | | | | 6 | Require company to perform human rights risk assessment | Shareholder | Yes | Against | For |
24 | Zoe's Kitchen, Inc. | ZOES | 98979J109 | 6/18/2015 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratify appointment of PWC as independent registered public accountant for year ending December 28 2015 | Issuer | Yes | For | For |
25 | Criteo SA | CRTO | 226718-104 | 6/23/2015 | 1 | Approval of statutory financial statements for fiscal year ended December 31 2014 | Issuer | Yes | For | For |
| | | | | 2 | Approval of consolidated financial statements for fiscal year ended December 31, 2014 | Issuer | Yes | For | For |
| | | | | 3 | Discharge of liability of members of the board of directors and auditors for performance of duties for year ended December 31, 2014 | Issuer | Yes | Against | Against |
| | | | | 4 | Allocation of profits for year ended December 31, 2014 | Issuer | Yes | For | For |
| | | | | 5 | Approval of agreements referred to in Articles L.225-38 Et Seq. of the French Commercial Code | Issuer | Yes | For | For |
| | | | | 6 | Renewal of the term of office of Dana Evan as Director | Issuer | Yes | For | For |
| | | | | 7 | Renewal of term of office of Hubert de Pesquidoux as Director | Issuer | Yes | For | For |
| | | | | 8 | Delegation of authority to Board of Directors to execute a buyback of company stock within French Commercial Code | Issuer | Yes | For | For |
| | | | | 9 | Delegation of authority to the board of directors to increase company's share capital by issuing ordinary shares, or any securities granting access to company's share capital, through a public offering, without shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 10 | Delegation of authority to the Board to increase company's share capital by issuing ordinary shares or any securities granting access to the company's share capital thorugh a public offering without regard to shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 11 | Delegation of authority to the Board to increase number of securities to be issued as a result of a share capital increase pursuant to delegations in Resolutions 9 and 10 | Issuer | Yes | For | For |
| | | | | 12 | Determination of overall financial limits applicable to the issuances to be completed pursuant to delegations in resolutions 9 to 11 | Issuer | Yes | For | For |
| | | | | 13 | Delegation of authority to the Board to increase share capital through incorproration of premiums, reserves, profits, or any other amounts that may be capitalized | Issuer | Yes | For | For |
| | | | | 14 | Delegation of authority to the Board to reduce the company's share capital by cancelling shares as part of the authorization to the board allowing company to buy back its own shares in accordance with provisions of the French Commercial Code | Issuer | Yes | For | For |
| | | | | 15 | Delegation of authority to board to issue and grant warrants for the benefit of a category of persons meeting predetermiend criteria without shareholder's preferential subscription rights | Issuer | Yes | For | For |
| | | | | 16 | Delegation of authority to Board to increase company's share capital by way of issuing shars and securities for the benefit of members of a company savings plan | Shareholder | Yes | Against | For |
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| CONTENT KEY: | | | | | | | | | |
| Company Name - Company Name as it appeared on the ballot (e.g., Microsoft) |
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| Ticker - e.g., MSFT |
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| Security ID (cusip, isin, sedol) - as it appears on the ballot (e.g., 2383130) |
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| Meeting Type & Date - e.g., ANNUAL, SPECIAL; MM/DD/YYYY |
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| Agenda Item Number & Description - as it appeared on the ballot (e.g., 2. Approve Employee Stock Purchase Plan); identify each director considered for election. | |
| Management or Shareholder Proposal - identify whether the matter was proposed by the issuer or by a security holder (MGMT or SHAREHOLD) |
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| Voted - identify whether or not the registrant has voted on the matter (Y or N); if the matter was not voted include a footnote describing why the matter was not voted on. | |
| Fund Vote - FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | | | | | | | | | |
| Management Recommendation - FOR or AGAINST |
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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.
William K. Smith, President
