UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File Number811-21726
360 Funds
(Exact name of registrant as specified in charter)
| 4300 SHAWNEE MISSION PARKWAY, SUITE 100 FAIRWAY, KANSAS | 66205 |
| (Address of principal executive offices) | (Zip code) |
M3SIXTY ADMINISTRATION, LLC
4300 SHAWNEE MISSION PARKWAY, SUITE 100
FAIRWAY, KANSAS 66205
(Name and address of agent for service)
Registrant’s telephone number, including area code:816.787.0723
Date of fiscal year end:April 30, 2019
Date of reporting period:07/01/2018 to 06/30/2019
| ITEM 1. | PROXY VOTING RECORD: |
The filing for Crow Point Alternatives Fund, a series of 360 Funds Trust, is attached.
| Meeting Date Range: 01-Jul-2018 To 30-Jun-2019 | |
| Selected Accounts | |
| EXACT SCIENCES CORPORATION | | | | |
| Security: | 30063P105 | | Meeting Type: | Annual | |
| Ticker: | EXAS | | Meeting Date: | 26-Jul-2018 | |
| ISIN | US30063P1057 | | Vote Deadline Date: | 25-Jul-2018 | |
| Agenda | 934851456 | Management | | | Total Ballot Shares: | 1650 | |
| Last Vote Date: | 25-Jun-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Thomas D. Carey | | | 446 | 0 | 0 | 0 |
| | 2 | Daniel J. Levangie | | | 446 | 0 | 0 | 0 |
| | 3 | Michael S. Wyzga | | | 446 | 0 | 0 | 0 |
| 2 | Proposal to ratify the selection of BDO USA, LLP
as our independent registered public accounting
firm for 2018. | For | None | 446 | 0 | 0 | 0 |
| 3 | Proposal to approve on an advisory basis the
compensation of the Company’s named executive
officers. | For | None | 446 | 0 | 0 | 0 |
| QORVO, INC. | | | | |
| Security: | 74736K101 | | Meeting Type: | Annual | |
| Ticker: | QRVO | | Meeting Date: | 07-Aug-2018 | |
| ISIN | US74736K1016 | | Vote Deadline Date: | 06-Aug-2018 | |
| Agenda | 934851052 | Management | | | Total Ballot Shares: | 1672 | |
| Last Vote Date: | 27-Jun-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Ralph G. Quinsey | | | 305 | 0 | 0 | 0 |
| | 2 | Robert A. Bruggeworth | | | 305 | 0 | 0 | 0 |
| | 3 | Daniel A. DiLeo | | | 305 | 0 | 0 | 0 |
| | 4 | Jeffery R. Gardner | | | 305 | 0 | 0 | 0 |
| | 5 | Charles Scott Gibson | | | 305 | 0 | 0 | 0 |
| | 6 | John R. Harding | | | 305 | 0 | 0 | 0 |
| | 7 | David H. Y. Ho | | | 305 | 0 | 0 | 0 |
| | 8 | Roderick D. Nelson | | | 305 | 0 | 0 | 0 |
| | 9 | Dr. Walden C. Rhines | | | 305 | 0 | 0 | 0 |
| | 10 | Susan L. Spradley | | | 305 | 0 | 0 | 0 |
| | 11 | Walter H. Wilkinson, Jr | | | 305 | 0 | 0 | 0 |
| 2 | To approve, on an advisory basis, the
compensation of our Named Executive Officers
(as defined in the proxy statement). | For | None | 305 | 0 | 0 | 0 |
| 3 | To ratify the appointment of Ernst & Young LLP
as our independent registered public accounting
firm for the fiscal year ending March 30, 2019. | For | None | 305 | 0 | 0 | 0 |
| ABIOMED, INC. | | | | |
| Security: | 003654100 | | Meeting Type: | Annual | |
| Ticker: | ABMD | | Meeting Date: | 08-Aug-2018 | |
| ISIN | US0036541003 | | Vote Deadline Date: | 07-Aug-2018 | |
| Agenda | 934851468 | Management | | | Total Ballot Shares: | 491 | |
| Last Vote Date: | 25-Jun-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Eric A. Rose | | | 62 | 0 | 0 | 0 |
| | 2 | Jeannine M. Rivet | | | 62 | 0 | 0 | 0 |
| 2 | Approval, by non-binding advisory vote, of
executive Compensation. | For | None | 62 | 0 | 0 | 0 |
| 3 | Amend and restate the ABIOMED, Inc. Amended
and Restated 2015 Omnibus Incentive Plan to,
among other things, increase the number of
shares of common stock available for the
issuance thereunder by 1,725,000 shares to
4,985,000 shares. | For | None | 62 | 0 | 0 | 0 |
| 4 | Ratify the appointment of Deloitte & Touche LLP
as our independent registered public accounting
firm for the fiscal year ending March 31, 2019. | For | None | 62 | 0 | 0 | 0 |
| NEW RELIC, INC. | | | | |
| Security: | 64829B100 | | Meeting Type: | Annual | |
| Ticker: | NEWR | | Meeting Date: | 21-Aug-2018 | |
| ISIN | US64829B1008 | | Vote Deadline Date: | 20-Aug-2018 | |
| Agenda | 934852965 | Management | | | Total Ballot Shares: | 1496 | |
| Last Vote Date: | 12-Jul-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Sohaib Abbasi | | | 296 | 0 | 0 | 0 |
| | 2 | Hope Cochran | | | 296 | 0 | 0 | 0 |
| | 3 | Adam Messinger | | | 296 | 0 | 0 | 0 |
| 2 | To approve, on an advisory basis, the
compensation of the Company’s Named
Executive Officers as disclosed in the Proxy
Statement. | For | None | 296 | 0 | 0 | 0 |
| 3 | To ratify the selection by the Audit Committee of
the Board of Directors of Deloitte & Touche LLP
as the independent registered public accounting
firm of the Company for its fiscal year ending
March 31, 2019. | For | None | 296 | 0 | 0 | 0 |
| POLARITYTE, INC. | | | | |
| Security: | 731094108 | | Meeting Type: | Annual | |
| Ticker: | COOL | | Meeting Date: | 20-Sep-2018 | |
| ISIN | US7310941080 | | Vote Deadline Date: | 19-Sep-2018 | |
| Agenda | 934869388 | Management | | | Total Ballot Shares: | 9996 | |
| Last Vote Date: | 24-Aug-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Jeff Dyer | | | 496 | 0 | 0 | 0 |
| | 2 | Jon Mogford | | | 496 | 0 | 0 | 0 |
| 2 | Advisory vote on the compensation of the
Company’s named executive officers. | For | None | 496 | 0 | 0 | 0 |
| 3 | To approve the Company’s 2019 Employee Stock
Purchase Plan. | For | None | 496 | 0 | 0 | 0 |
| 4 | To approve the Company’s 2019 Equity Incentive
Plan. | For | None | 496 | 0 | 0 | 0 |
| 5 | The ratification of the appointment of
EisnerAmper LLP to serve as the Company’s as
the independent registered public accounting firm
for fiscal year ending October 31, 2018. | For | None | 496 | 0 | 0 | 0 |
| ROYCE VALUE TRUST, INC. | | | | |
| Security: | 780910105 | | Meeting Type: | Annual | |
| Ticker: | RVT | | Meeting Date: | 24-Sep-2018 | |
| ISIN | US7809101055 | | Vote Deadline Date: | 21-Sep-2018 | |
| Agenda | 934865746 | Management | | | Total Ballot Shares: | 38131 | |
| Last Vote Date: | 24-Aug-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Charles M. Royce | | | 6845 | 0 | 0 | 0 |
| | 2 | G. Peter O’Brien | | | 6845 | 0 | 0 | 0 |
| | 3 | David L. Meister | | | 6845 | 0 | 0 | 0 |
| MFS MULTIMARKET INCOME TRUST | | | | |
| Security: | 552737108 | | Meeting Type: | Annual | |
| Ticker: | MMT | | Meeting Date: | 04-Oct-2018 | |
| ISIN | US5527371083 | | Vote Deadline Date: | 03-Oct-2018 | |
| Agenda | 934870521 | Management | | | Total Ballot Shares: | 115269 | |
| Last Vote Date: | 24-Aug-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | John A. Caroselli | | | 45969 | 0 | 0 | 0 |
| | 2 | Clarence Otis, Jr. | | | 45969 | 0 | 0 | 0 |
| | 3 | Robin A. Stelmach | | | 45969 | 0 | 0 | 0 |
| LUMENTUM HOLDINGS INC | | | | |
| Security: | 55024U109 | | Meeting Type: | Annual | |
| Ticker: | LITE | | Meeting Date: | 09-Nov-2018 | |
| ISIN | US55024U1097 | | Vote Deadline Date: | 08-Nov-2018 | |
| Agenda | 934877525 | Management | | | Total Ballot Shares: | 2687 | |
| Last Vote Date: | 08-Oct-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | Election of director: Martin A. Kaplan | For | None | 200 | 0 | 0 | 0 |
| 2 | Election of director: Harold L. Covert | For | None | 200 | 0 | 0 | 0 |
| 3 | Election of director: Penelope A. Herscher | For | None | 200 | 0 | 0 | 0 |
| 4 | Election of director: Julia S. Johnson | For | None | 200 | 0 | 0 | 0 |
| 5 | Election of director: Brian J. Lillie | For | None | 200 | 0 | 0 | 0 |
| 6 | Election of director: Alan S. Lowe | For | None | 200 | 0 | 0 | 0 |
| 7 | Election of director: Samuel F. Thomas | For | None | 200 | 0 | 0 | 0 |
| 8 | To approve, on a non-binding advisory basis, the
compensation of our named executive officers | For | None | 200 | 0 | 0 | 0 |
| 9 | To ratify the appointment of Deloitte & Touche
LLP as our independent registered public
accounting firm for the fiscal year ending June 29,
2019 | For | None | 200 | 0 | 0 | 0 |
| EATON VANCE LIMITED DURATION INCOME FD | | | | |
| Security: | 27828H105 | | Meeting Type: | Annual | |
| Ticker: | EVV | | Meeting Date: | 17-Jan-2019 | |
| ISIN | US27828H1059 | | Vote Deadline Date: | 16-Jan-2019 | |
| Agenda | 934909512 | Management | | | Total Ballot Shares: | 66045 | |
| Last Vote Date: | 04-Dec-2018 | | | | | | | | |
| Item | Proposal | Recommendation | Default Vote | For | Against | Abstain | Take No Action |
| 1 | DIRECTOR | For | None | | | | |
| | 1 | Cynthia E. Frost | | | 35475 | 0 | 0 | 0 |
| | 2 | Valerie A. Mosley | | | 35475 | 0 | 0 | 0 |
| | 3 | Scott E. Wennerholm | | | 35475 | 0 | 0 | 0 |
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.
360 Funds
| /s/ Randy Linscott | |
| By Randy Linscott | |
| President |
| Date: July 20, 2019 | |
