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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: 811-08037
ADVISORONE FUNDS
(Exact name of registrant as specified in charter)
17605 Wright Street, Omaha, NE 68130
(Address of principal executive offices) (Zip code)
ADVISORONE FUNDS
17605 Wright Street
Omaha, NE 68130
(402) 493-3313
Mike Forker, Secretary
(Name and address of agent for service)
Registrant's telephone number, including area code: (866) 811-0225
Date of fiscal year end: April 30th
Date of reporting period: July 1, 2018 - June 30, 2019
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, 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. §. 3507.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibit A 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, 2019 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.
Registrant: AdvisorOne Funds | Item 1, Exhibit A | |||||||||
Investment Company Act file number: 811-08037 | ||||||||||
Reporting Period: | July 1, 2018 - June 30, 2019 | |||||||||
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 | (j) Fund Name | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Approval of a new investment advisory agreement between the Funds and Cambria Investments Managment, L.P. | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Aggressive Eqty | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Election of Trustees | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Aggressive Eqty | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Elect Mebane Faber | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Aggressive Eqty | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Approval of a new investment advisory agreement between the Funds and Cambria Investments Managment, L.P. | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Election of Trustees | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty | |
Cambria Investment Management LP | SYLD | 132061839 | 8/7/2018 | Elect Mebane Faber | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Approval of a New Investment Advisory Agreement | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Election of Trustees | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Elect Charles A. Baker | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Elect Luis Berruga | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Elect Sanjay Ram Bharwani | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Global X Funds | CHII | 37954Y632 | 8/10/2018 | Elect Clifford J. Weber | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
ALPS Funds | JEF | 00162T829 | 8/21/2018 | Approve New Investment Advisory Agreements between the Trust, on behalf of each Fund, and ALPS Advisors | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
ALPS Funds | JEF | 00162T829 | 8/21/2018 | Approval of a Manager of Managers Structure for the Funds | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
ALPS Funds | JEF | 00162T829 | 8/21/2018 | Approve New Investment Advisory Agreements between the Trust, on behalf of each Fund, and ALPS Advisors | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
ALPS Funds | JEF | 00162T829 | 8/21/2018 | Approval of a Manager of Managers Structure for the Funds | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P107 | 8/27/2018 | Election of Directors | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P107 | 8/27/2018 | Elect Robert Fairbairn | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P107 | 8/27/2018 | Elect R. Glenn Hubbard | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P107 | 8/27/2018 | Elect W. Carl Kester | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P107 | 8/27/2018 | Elect John M. Perlowski | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
BlackRock Corporation High Yield Fund III Inc | HYT | 09255P108 | 8/27/2018 | Elect Karen P. Robards | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
Royce Funds | RVT | 780910105 | 9/24/2018 | Election of Directors | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
Royce Funds | RVT | 780910105 | 9/24/2018 | Elect Charles M. Royce | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
Royce Funds | RVT | 780910105 | 9/24/2018 | Elect G. Peter O'Brien | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
Royce Funds | RVT | 780910105 | 9/24/2018 | Elect David L. Meister | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Flexible Income | |
USAA ETF Trust | ULVM | 90291F303 | 4/18/2019 | Approval of a New Investment Advisory Agreement | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty | |
Oppenheimer Revenue Weighted ETF Trust | RWL | 68386C716 | 5/9/2019 | Reorganization of the Oppenheimer Funds into the Invesco Funds | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Global Diversified Eqty | |
Morgan Stanley China A Share Fund Inc | CAF | 617468103 | 6/25/2019 | Election of Directors | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Morgan Stanley China A Share Fund Inc | CAF | 617468103 | 6/25/2019 | Elect Frank L. Bowman | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Morgan Stanley China A Share Fund Inc | CAF | 617468103 | 6/25/2019 | Elect Jakki L. Haussler | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Morgan Stanley China A Share Fund Inc | CAF | 617468103 | 6/25/2019 | Elect Manuel H. Johnson | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income | |
Morgan Stanley China A Share Fund Inc | CAF | 617468103 | 6/25/2019 | Elect Patricia Maleski | Mgmt | Yes | Echo Vote | N/A | CLS Investments, LLC - CLS Growth and Income |
Registrant: AdvisorOne Funds : CLS Strategic Global Equity Fund | Item 1, Exhibit A | |||||||||
Investment Company Act file number: 811-08037 | ||||||||||
Reporting Period: July 1, 2018 - June 30, 2019 | ||||||||||
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 | (j) Fund Name | |
1 | ||||||||||
The Fund commenced operations on May 15, 2019 and did not vote any proxies during the reporting period. | ||||||||||
2 | ||||||||||
Registrant: AdvisorOne Funds : CLS Shelter Fund | Item 1, Exhibit A | |||||||||
Investment Company Act file number: 811-08037 | ||||||||||
Reporting Period: July 1, 2018 - June 30, 2019 | ||||||||||
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 | (j) Fund Name | |
1 | ||||||||||
2 | The CLS Shelter Fund did not vote any poxies during the reporting period. | |||||||||
Registrant: AdvisorOne Funds : Milestone Treasury Obligation Fund | Item 1, Exhibit A | |||||||||
Investment Company Act file number: 811-08037 | ||||||||||
Reporting Period: July 1, 2018 - June 30, 2019 | ||||||||||
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 | (j) Fund Name | |
1 | ||||||||||
2 | The Milestone Treasury Obligations Fund is a money market and therefore there are no proxy votes to report during the period. | |||||||||
SIGNATURES
See General Instruction F
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)ADVISORONE FUNDS
By (Signature and Title)* /s/ Ryan Beach
Ryan Beach, President
Date: August 1, 2019
* Print the name and title of each signing officer under his or her signature.