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 811-07989
Metropolitan West Funds
(Exact name of registrant as specified in charter)
865 South Figueroa Street
Los Angeles, CA 90017
(Address of principal executive offices) (Zip code)
David B. Lippman
Metropolitan West Funds
865 South Figueroa Street
Los Angeles, CA 90017
(Name and address of agent for service)
Registrant’s telephone number, including area code: (213)-244-0000
Date of fiscal year end: March 31
Date of reporting period: July 1, 2015 – June 30, 2016
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 (§§ 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 roles.
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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2015 TO JUNE 30, 2016
Company Name | Meeting Date | Record Date | Ticker | CUSIP | Agenda Item Description | Mgmt or SH Proposal | Mgmt Rec./ Ballot Status | Fund Vote | For Against | Fund Name | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Elizabeth S. Acton | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect John M. Engler | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Albert R. Gamper, Jr. | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Robert F. Gartland | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Abigail P. Johnson | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Arthur E. Johnson | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Michael E. Kenneally | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect James H. Keyes | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Marie L. Knowles | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Geoffrey A. Von Kuhn | Mgmt | Take No Action | TNA | Against | MW High Yield Bond Fund | ||||||||||
Company Name | Meeting Date | Record Date | Ticker | CUSIP | Agenda Item Description | Mgmt or SH Proposal | Mgmt Rec./ Ballot Status | Fund Vote | For Against | Fund Name | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Malon Wilkus | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect John R. Erickson | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Samuel A. Flax | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Alvin N. Puryear | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Robert M. Couch | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Morris A. Davis | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Randy E. Dobbs | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Larry K. Harvey | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Prue B. Larocca | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Amendment to the Equity Incentive Plan for Independent Directors | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Permit Removal of Directors Without Cause | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Ratification of Auditor | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Gary Kain | Mgmt | Voted | For | For | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Elizabeth S. Acton | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect John M. Engler | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Albert R. Gamper, Jr. | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Robert F. Gartland | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Abigail P. Johnson | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Arthur E. Johnson | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Michael E. Kenneally | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect James H. Keyes | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Marie L. Knowles | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Geoffrey A. Von Kuhn | Mgmt | Take No Action | TNA | Against | MW Strategic Income Fund |
Company Name | Meeting Date | Record Date | Ticker | CUSIP | Agenda Item Description | Mgmt or SH Proposal | Mgmt Rec./ Ballot Status | Fund Vote | For Against | Fund Name | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Malon Wilkus | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect John R. Erickson | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Samuel A. Flax | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Alvin N. Puryear | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Robert M. Couch | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Morris A. Davis | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Randy E. Dobbs | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Larry K. Harvey | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Prue B. Larocca | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Amendment to the Equity Incentive Plan for Independent Directors | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Permit Removal of Directors Without Cause | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Ratification of Auditor | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
American Capital Agency Corp. | 04/19/2016 | 02/25/2016 | AGNC | 02503X105 | Elect Gary Kain | Mgmt | Voted | For | For | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Elizabeth S. Acton | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect John M. Engler | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Albert R. Gamper, Jr. | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Robert F. Gartland | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Abigail P. Johnson | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Arthur E. Johnson | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Michael E. Kenneally | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect James H. Keyes | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Marie L. Knowles | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund | ||||||||||
Fidelity Covington Trust | 02/12/2016 | 09/21/2015 | FTYXX | 316175108 | Elect Geoffrey A. Von Kuhn | Mgmt | Take No Action | TNA | Against | MW Unconstrained Bond Fund |
The following series of the Metropolitan West Funds did not own any voting security for which a proxy instruction for a meeting of security holders was given by the series or solicited from the series during the time the series held the security.
Metropolitan West Ultra Short Bond Fund
Metropolitan West Low Duration Bond Fund
Metropolitan West Intermediate Bond Fund
Metropolitan West Total Return Bond Fund
Metropolitan West AlphaTrak 500 Fund
Metropolitan West Floating Rate Income Fund
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 | Metropolitan West Funds |
By (Signature and Title)* | /s/ David B. Lippman | |
David B. Lippman, President and Principal Executive Officer | ||
(principal executive officer) |
Date | 8/15/2016 |
*Print the name and title of each signing officer under his or her signature.