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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 811-22213
AlphaMark Investment Trust
(Exact name of registrant as specified in charter)
250 Grandview Drive, Suite 175 Ft. Mitchell, Kentucky | 41017 |
(Address of principal executive offices) | (Zip code) |
Wade R. Bridge
Ultimus Fund Solutions, LLC 225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246
(Name and address of agent for service)
Registrant's telephone number, including area code: (513) 587-3400
Date of fiscal year end: August 31
Date of reporting period: July 1, 2010 - June 30, 2011
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 (ss.ss. 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. ss. 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. |
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) AlphaMark Investment Trust
By (Signature and Title)* | /s/ Michael L. Simon | ||
Michael L. Simon, President | |||
Date | August 26, 2010 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
INVESTMENT COMPANY REPORT
AlphaMark Large Cap Growth Fund
Issuer Name | Symbol | CUSIP | Shareholder Meeting Date | Agenda Item # | Brief Identification of the Matter Voted On | Proposed by Issuer or Shareholder? | Did the Fund Vote? | How did the Fund Cast its Vote? For, Against, Abstain | Did the Fund vote For or Against Management? |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 2 | Ratification of Ernst & Young LLP as auditors fiscal year 2011. | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 5 | Shareholder prop on succession planning | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 02/23/11 | 6 | Shareholder prop on majority voting | Shareholder | Yes | Against | For |
Autoliv, Inc. | ALV | 052800109 | 05/10/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Autoliv, Inc. | ALV | 052800109 | 05/10/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Autoliv, Inc. | ALV | 052800109 | 05/10/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 3 Years | For |
Autoliv, Inc. | ALV | 052800109 | 05/10/11 | 4 | Ratification of Ernst & Young LLP as auditors ending 12/31/11 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/20/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/20/11 | 2 | Ratification of Ernst & Young LLP as auditors ending 12/31/11 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/20/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/20/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1Year | For |
Amgen Inc. | AMGN | 031162100 | 05/20/11 | 5 | Shareholder prop "Action by Written Consent" | Shareholder | Yes | Against | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1Year | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 4 | Long-trm incentive plan reapproval of the perf based comp measures | Issuer | Yes | For | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 5 | Mgmt incentive plan reapproval of the perf based comp measures | Issuer | Yes | For | For |
TD Ameritrade | AMTD | 87236Y108 | 02/16/11 | 6 | Ratification of Ernst & Young LLP as auditors ending 09/30/11 | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/25/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/25/11 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/25/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/25/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
American Express Company | AXP | 025816109 | 05/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 05/02/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 2011. | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 05/02/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 05/02/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
American Express Company | AXP | 025816109 | 05/02/11 | 5 | Shareholder prop relating to cumulative voting for directors | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 05/02/11 | 6 | Shareholder prop relating to the calling of spc. Shareholder meetings. | Shareholder | Yes | Against | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/02/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 12/31/2011. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/02/11 | 3 | Advisory vote on Say on pay exec comp. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/02/11 | 4 | Advisory vote on say when on pay on freq. of advisory vote comp. | Issuer | Yes | 1 Year | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/02/11 | 5 | Approve amend. Eliminating the classification of the board of directors. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 1 | Rec and consider audited stmt of accts together with directors and independent auditor's report. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 2 | To declare a final dividend for year ended 12/31/10. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 3 | Election of nominee directors | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 4 | To authorize the board of dir to fix the remuneration of each director | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 5 | To re-appoint the indendent auditors and board of directors to fix their remuneration. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 5 | To grant a general mandate to the directors to repurchase shares in the cap. of the company. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 7 | To grant a general mandate to the directors to allot, issue and deal with add'l shs in the cap of the company. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 05/27/11 | 8 | To extend the gen'l mandate granted to the directors to allot, issue and deal with shares in the cap. of the company | Issuer | Yes | For | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors ending 07/31/2011. | Issuer | Yes | For | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 4 | Shareholder proposal to amend Cisco's bylaws to establish a board on environmental sustainability. | Shareholder | Yes | Against | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 5 | Shareholder proposal to publish report concerning human rights | Shareholder | Yes | Against | For |
Cisco Systems | CSCO | 17275R102 | 11/18/10 | 6 | Shareholder proposal for the board to implement a policy restricting sales to china and adopt. oversight with respect to human rights impacts. | Shareholder | Yes | Against | For |
Corning Incorporated | GLW | 219350105 | 04/28/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Corning Incorporated | GLW | 219350105 | 04/28/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Corning Incorporated | GLW | 219350105 | 04/28/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Corning Incorporated | GLW | 219350105 | 04/28/11 | 4 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/11. | Issuer | Yes | For | For |
Corning Incorporated | GLW | 219350105 | 04/28/11 | 5 | Shareholder prop concerning special meetings. | Shareholder | Yes | Against | For |
Discovery Communications | DISCA | 25470F104 | 05/17/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/17/11 | 2 | Approval of the 2011 Empolyee stk purchase plan | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/17/11 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/11. | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/17/11 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/17/11 | 5 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 3 Years | For |
Dolby Laboratories, Inc. | DLB | 25659T107 | 02/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Dolby Laboratories, Inc. | DLB | 25659T107 | 02/02/11 | 2 | To amend and restate the companys 2005 stk plan. | Issuer | Yes | For | For |
Dolby Laboratories, Inc. | DLB | 25659T107 | 02/02/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Dolby Laboratories, Inc. | DLB | 25659T107 | 02/02/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 2 years | For |
Dolby Laboratories, Inc. | DLB | 25659T107 | 02/02/11 | 5 | Ratification of KPMG LLP as auditors for fiscal year ending 9/30/2011. | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/28/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/28/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/28/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
EBAY Inc. | EBAY | 278642103 | 04/28/11 | 4 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/2011. | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/28/11 | 5 | Stockholder prop. Regarding supermajority stockholders voting standards. | Shareholder | Yes | Against | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 3 | Approval of 2003 stock plan. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 4 | Approval to reduce percentage of shs req. for shareholders to call a special meeting. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 5 | Advisory vote on executive compensation | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 03/07/11 | 6 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 2 | Ratification of independent auditors | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 3 Years | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 5 | Independent chairman | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 6 | Report on political contributions. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 7 | Amendment of EEO policy. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 8 | Policy on water. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 9 | Report on canadian oil sands | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 10 | Report on natural gas production | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 11 | Report on energy technology | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/25/11 | 12 | Greenhouse gas emissions goals. | Shareholder | Yes | Against | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 4 | Approve article eighth of the amended and restate certif. of incoration | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 5 | Approve article ninth of the amended and restate certif. of incoration | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/25/11 | 6 | Ratification of PricewaterhouseCoopers LLP as auditors for 2011 | Issuer | Yes | For | For |
Lauder (Estee) Companies, Inc. | EL | 518439104 | 11/09/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Lauder (Estee) Companies, Inc. | EL | 518439104 | 11/09/10 | 2 | Approval of amendment to the 2002 sh. Incentive plan. | Issuer | Yes | For | For |
Lauder (Estee) Companies, Inc. | EL | 518439104 | 11/09/10 | 3 | Ratification of KPMG LLP as auditors for fiscal year 2011 | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2011 | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 3 | Approval of plan to increase no of shares | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 5 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | 3 Years | For | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 6 | Shareholder prop board comm on sustainability. | Shareholder | Yes | Against | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 7 | Shareholder prop regarding simple majority voting standard. | Shareholder | Yes | Against | For |
Google Inc. | GOOG | 38259P508 | 06/02/11 | 8 | Shareholder prop regarding conflict of interest and code of conduct. | Shareholder | Yes | Against | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/20/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/20/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/20/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | 3 Years | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/20/11 | 4 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2011 | Issuer | Yes | For | For |
Janus Capital Group Inc | JNS | 47102X105 | 04/28/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Janus Capital Group Inc | JNS | 47102X105 | 04/28/11 | 2 | Ratification of Deloitte Touche LLP as auditors ending 2011. | Issuer | Yes | For | For |
Janus Capital Group Inc | JNS | 47102X105 | 04/28/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Janus Capital Group Inc | JNS | 47102X105 | 04/28/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | 1 Year | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/08/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/08/11 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2011 | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/08/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/08/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Joy Global Inc. | JOYG | 481165108 | 03/08/11 | 5 | Approval of Employee stock purchase plan. | Issuer | Yes | For | For |
L-3 Communications Holdings Inc | LLL | 502424104 | 04/26/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
L-3 Communications Holdings Inc | LLL | 502424104 | 04/26/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
L-3 Communications Holdings Inc | LLL | 502424104 | 04/26/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
L-3 Communications Holdings Inc | LLL | 502424104 | 04/26/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 2 | To consider approval by-law12 | Issuer | Yes | For | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 3 | To consider approval by-law14 | Issuer | Yes | For | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 4 | To consider approval of exec comp plan | Issuer | Yes | For | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 5 | To consider approval 1995 stock option plan | Issuer | Yes | For | For |
Marvell Technology Group | MRVL | G5876H105 | 07/08/10 | 6 | Ratification of PricewaterhouseCoopers LLP as auditors for fiscal year ending 1/29/11 | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 2 | Approve appointment of public accounting firm to audit 2011 | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 3 | Advisory vote on exec comp | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 5 | Eliminate super-majority voting requirements in article twelfth | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 6 | Eliminate super-majority voting requirements in article thirteenth | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 7 | Eliminate super-majority voting requirements in article fourteenth | Issuer | Yes | For | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 8 | Shareholder prop relating to classified board. | Shareholder | Yes | Against | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 9 | Shareholder prop relating to use of controlled atmosphere stunning. | Shareholder | Yes | Against | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 10 | Shareholder prop relating to a report on children's nutrition. | Shareholder | Yes | Against | For |
McDonalds Corp. | MCD | 580135101 | 05/19/11 | 11 | Shareholder prop relating to beverage containers. | Shareholder | Yes | Against | For |
Medtronic | MDT | 585055106 | 08/25/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Medtronic | MDT | 585055106 | 08/25/10 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 2 | Approval on exec bonus plan | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 3 | Approve long-term incentive plan | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 4 | Ratification of Ernst & Young LLP as auditors ending 5/31/11 | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 5 | Stockholder prop regarding electing board committee on sustainability | Shareholder | Yes | Against | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 6 | Stockholder prop regarding director elections | Shareholder | Yes | Against | For |
Oracle Corporation | ORCL | 68389X105 | 10/06/10 | 7 | Stockholder prop regarding equity retention | Shareholder | Yes | Against | For |
Potash Corporation of Saskatchewan | POT | 73755L107 | 05/12/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Potash Corporation of Saskatchewan | POT | 73755L107 | 05/12/11 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Potash Corporation of Saskatchewan | POT | 73755L107 | 05/12/11 | 3 | To consider approval of new performance option plan | Issuer | Yes | For | For |
Potash Corporation of Saskatchewan | POT | 73755L107 | 05/12/11 | 4 | To consider approval of corp approach to executive compensation | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 10/27/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 10/27/10 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal 2011. | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/01/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/01/11 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/01/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/01/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 3 Years | For |
Staples, Inc. | SPLS | 855030102 | 06/07/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Staples, Inc. | SPLS | 855030102 | 06/07/11 | 2 | Ratification of Ernst & Young LLP as auditors for the current fiscal year | Issuer | Yes | For | For |
Staples, Inc. | SPLS | 855030102 | 06/07/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Staples, Inc. | SPLS | 855030102 | 06/07/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Staples, Inc. | SPLS | 855030102 | 06/07/11 | 5 | Shareholder proposal regarding ability of shareholders to act by majority written consent. | Shareholder | Yes | Against | For |
Texas Instruments | TXN | 882508104 | 04/21/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Texas Instruments | TXN | 882508104 | 04/21/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Texas Instruments | TXN | 882508104 | 04/21/11 | 3 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 3 Years | For |
Texas Instruments | TXN | 882508104 | 04/21/11 | 4 | Ratification of Ernst & Young LLP as auditors | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 2 | Ratification of appt of independent reg. public accting firm | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 5 | Disclose prior govt service | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 6 | Performance stock unit perf. Thesholds | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 7 | Cumulative voting | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/05/11 | 8 | Shareholder reight to call a spc meeting | Shareholder | Yes | Against | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 1 | To amend the company's certificate of inc. to declassify the board of directors. | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 2 | To amend the company's certificate of inc. to implement a maj. vote standard. | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 3 | If prop 1 to decassified is approved, to elect the 10 directors nominated | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 4 | If prop 1 to decassified is not approved, to elect the 3 class 1 directors nominated | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 5 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 6 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 7 | Approve Visa incentive plan | Issuer | Yes | For | For |
Visa Inc Cl A | V | 92826C839 | 01/27/11 | 8 | Ratification of KPMG LLP as auditors for fiscal year ending 2011. | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 03/16/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 03/16/11 | 2 | Ratification of Ernst & Young LLP as auditors for 2011 | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 03/16/11 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 03/16/11 | 4 | Advisory vote of the frequency of adv vote on exec comp. | Issuer | Yes | 1 Year | For |
Waste Management | WM | 94106L109 | 03/16/11 | 5 | Shareholder who own 25% net long pos for one year right to call special meetings | Issuer | Yes | For | For |
AlphaMark Small Cap Growth Fund
Issuer Name | Symbol | CUSIP | Shareholder Meeting Date | Agenda Item # | Brief Identification of the Matter Voted On | Proposed by Issuer or by Security Holder? | Did the Fund Vote? | How did the Fund Cast its Vote? For, Against, Abstain | Did the Fund vote for or Against Management? |
AZZ Incorporated | AZZ | 002474104 | 07/13/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
AZZ Incorporated | AZZ | 002474104 | 07/13/10 | 2 | Ratification of BDO Seidman LLP auditors ending 2/28/11 | Issuer | Yes | For | For |
Acacia Research | ACTG | 003881307 | 05/17/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Acacia Research | ACTG | 003881307 | 05/17/11 | 2 | Ratify appt of Grant Thornton as public accounting firm ending 12/31/11 | Issuer | Yes | For | For |
Acacia Research | ACTG | 003881307 | 05/17/11 | 3 | Approve compensation of named execs | Issuer | Yes | For | For |
Acacia Research | ACTG | 003881307 | 05/17/11 | 4 | Recommend the frequency of compensation for execs | Issuer | Yes | 3 Years | For |
Balchem Corporation | BCPC | 057665200 | 06/16/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Balchem Corporation | BCPC | 057665200 | 06/16/11 | 2 | Prop to increase no of authorized shs | Issuer | Yes | For | For |
Balchem Corporation | BCPC | 057665200 | 06/16/11 | 3 | Ratification of McGladrey and Pullen LLP as auditors for year 2010 | Issuer | Yes | For | For |
Balchem Corporation | BCPC | 057665200 | 06/16/11 | 4 | Advisory vote on exec. Officers comp. | Issuer | Yes | For | For |
Balchem Corporation | BCPC | 057665200 | 06/16/11 | 5 | Vote on freq. of exec comp. | Issuer | Yes | 3 Years | For |
Berry Petroleum Company | BRY | 085789105 | 05/11/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Berry Petroleum Company | BRY | 085789105 | 05/11/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Berry Petroleum Company | BRY | 085789105 | 05/11/11 | 3 | Advisory vote on exec. Officer comp. | Issuer | Yes | For | For |
Berry Petroleum Company | BRY | 085789105 | 05/11/11 | 4 | Vote on freq. of exec officer comp. | Issuer | Yes | 1 Year | For |
Chindex International | CHDX | 169467107 | 06/11/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Chindex International | CHDX | 169467107 | 06/11/11 | 2 | Advisory vote on exec. Officer comp. | Issuer | Yes | For | For |
Chindex International | CHDX | 169467107 | 06/11/11 | 3 | Vote on freq. of exec officer comp. | Issuer | Yes | 3 Years | For |
Chindex International | CHDX | 169467107 | 06/11/11 | 4 | Ratification of BDO USA as auditors | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/19/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/19/11 | 2 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/19/11 | 3 | Vote on freq. of exec officer comp. | Issuer | Yes | 1 Year | For |
Credit Acceptance Corp | CACC | 225310101 | 05/19/11 | 4 | Ratification of Grant Thornton as auditors | Issuer | Yes | For | For |
Deckers Outdoor Corporation | DECK | 243537107 | 05/31/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Deckers Outdoor Corporation | DECK | 243537107 | 05/31/11 | 2 | Ratification of KPMG LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Deckers Outdoor Corporation | DECK | 243537107 | 05/31/11 | 3 | Approve performance goals | Issuer | Yes | For | For |
Deckers Outdoor Corporation | DECK | 243537107 | 05/31/11 | 4 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Deckers Outdoor Corporation | DECK | 243537107 | 05/31/11 | 5 | Vote on freq. of exec comp. | Issuer | Yes | 1 Year | For |
Ebix | EBIX | 278715206 | 11/17/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Ebix | EBIX | 278715206 | 11/17/10 | 2 | Ratification of Cherry Bekaert & Holland as auditors | Issuer | Yes | For | For |
Ebix | EBIX | 278715206 | 11/17/10 | 3 | Approve 2010 EBIX exec plan | Issuer | Yes | For | For |
Inter Parfums Inc. | IPAR | 458334109 | 07/23/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Masimo Corporation | MASI | 574795100 | 06/01/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Masimo Corporation | MASI | 574795100 | 06/01/11 | 2 | Ratification of Grant Thornton as auditors for fiscal year 2011 | Issuer | Yes | For | For |
Masimo Corporation | MASI | 574795100 | 06/01/11 | 3 | Advisory vote on exec. Officer comp. | Issuer | Yes | For | For |
Masimo Corporation | MASI | 574795100 | 06/01/11 | 4 | Vote on freq. of exec officer comp. | Issuer | Yes | 3 Years | For |
Masimo Corporation | MASI | 574795100 | 06/01/11 | 5 | Proposal to adopt majority voting standards for director elections | Shareholders | Yes | Against | For |
Medidata Solutions | MDSO | 58471A105 | 05/31/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/31/11 | 2 | Advisory vote on exec. officer comp. - say on pay vote | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/31/11 | 3 | Vote on freq. of exec officer comp. for say on pay vote | Issuer | Yes | 3 Years | For |
Medidata Solutions | MDSO | 58471A105 | 05/31/11 | 4 | Ratify appt of Deloitte & Touche for fiscal year 2011 | Issuer | Yes | For | For |
Netlogic Microsystems Inc | NETL | 64118B100 | 05/20/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Netlogic Microsystems Inc | NETL | 64118B100 | 05/20/11 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Netlogic Microsystems Inc | NETL | 64118B100 | 05/20/11 | 3 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Netlogic Microsystems Inc | NETL | 64118B100 | 05/20/11 | 4 | Vote on freq. of exec officer comp. | Issuer | Yes | 3 Years | For |
Netlogic Microsystems Inc | NETL | 64118B100 | 05/20/11 | 5 | Stockholder Proposal to provide uncontested dir nominees shall be elected by the affirmative vote of the maj. Of votes cast at an ann. Meeting | Stockholders | Yes | Against | For |
NIC | EGOV | 62914B100 | 05/03/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
NIC | EGOV | 62914B100 | 05/03/11 | 2 | Advisory vote on exec.comp. | Issuer | Yes | For | For |
NIC | EGOV | 62914B100 | 05/03/11 | 3 | Vote on freq. of exec comp. for say on pay vote | Issuer | Yes | 3 Years | For |
NIC | EGOV | 62914B100 | 05/03/11 | 4 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Odyssey Healthcare | ODSY | 67611V101 | 08/09/10 | 1 | Approve merger of Gentiva (GTIV) with Odyssey | Issuer | Yes | For | For |
Odyssey Healthcare | ODSY | 67611V101 | 08/09/10 | 2 | To adjourn special meeting to solicite additional proxies if not sufficient voted on merger | Issuer | Yes | For | For |
Open Text Corporation | OTEX | 683715106 | 12/02/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Open Text Corporation | OTEX | 683715106 | 12/02/10 | 2 | Re-appoint KPMG LLP as auditors | Issuer | Yes | For | For |
Open Text Corporation | OTEX | 683715106 | 12/02/10 | 3 | Schedule A to the mgmt info circular dtd 10/26/10, approving the continuation, amendment and restatement of the shareholder's rights plan. | Issuer | Yes | For | For |
Open Text Corporation | OTEX | 683715106 | 12/02/10 | 4 | Schedule C to the mgmt info circular dtd 10/26/10, approving the continuation, amendment and ratifying and confirming certain amendments to the company's by-laws. | Issuer | Yes | For | For |
Power-One | PWER | 73930R102 | 05/03/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Power-One | PWER | 73930R102 | 05/03/11 | 2 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Power-One | PWER | 73930R102 | 05/03/11 | 3 | Vote on freq. of exec officer comp. | Issuer | Yes | 2 Years | For |
Power-One | PWER | 73930R102 | 05/03/11 | 4 | Amendment to amend and restate 2004 stk incentive plan. | Issuer | Yes | For | For |
Power-One | PWER | 73930R102 | 05/03/11 | 5 | Ratify appt of Deloitte & Touche for fiscal year 2011 | Issuer | Yes | For | For |
STEC | STEC | 784774101 | 05/19/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
STEC | STEC | 784774101 | 05/19/11 | 2 | Amendment to increase sh reserve | Issuer | Yes | For | For |
STEC | STEC | 784774101 | 05/19/11 | 3 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
STEC | STEC | 784774101 | 05/19/11 | 4 | Vote on freq. of exec officer comp. | Issuer | Yes | 3 Years | For |
STEC | STEC | 784774101 | 05/19/11 | 5 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Synaptics | SYNA | 87157D109 | 10/19/10 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Synaptics | SYNA | 87157D109 | 10/19/10 | 2 | Amendment to increase shares | Issuer | Yes | For | For |
Synaptics | SYNA | 87157D109 | 10/19/10 | 3 | Prop to approve 2010 incentive plan | Issuer | Yes | For | For |
Synaptics | SYNA | 87157D109 | 10/19/10 | 4 | Prop to approve employee 2010 stk purchase plan | Issuer | Yes | For | For |
Synaptics | SYNA | 87157D109 | 10/19/10 | 5 | Ratification of KPMG LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Triqunt Semiconductor | TQNT | 89674K103 | 05/13/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Triqunt Semiconductor | TQNT | 89674K103 | 05/13/11 | 2 | Ratification of KPMG LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Triqunt Semiconductor | TQNT | 89674K103 | 05/13/11 | 3 | Approve Triquint 2009 incentive plan | Issuer | Yes | For | For |
Triqunt Semiconductor | TQNT | 89674K103 | 05/13/11 | 4 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Triqunt Semiconductor | TQNT | 89674K103 | 05/13/11 | 5 | Vote on freq. of exec comp. | Issuer | Yes | 3 Years | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 1 | Approval of Annual Rpt, Finl stmts, external auditors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 2 | Approval of Profit Distribution/Divd Policy | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 3 | Election of nominee directors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 4 | Designate the independent accountants that will exercise the function of external auditors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 5 | Set the compensation for board of directors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 6 | Set compensation for the board's committees | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 7 | Determine the newspaper in which notice of the next shareholders meeting will be published | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 8 | Report on company transactions as stipulated in article 146 and law 18.046 | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/25/11 | 9 | Approval of other matters relevant to the ordinary shareholders meetings. | Issuer | Yes | For | For |
W & T Offshore | WTO | 92922P106 | 4/26/2011 | 1 | Election of nominee directors | Issuer | Yes | For | For |
W & T Offshore | WTO | 92922P106 | 4/26/2011 | 2 | Proposal to increase shares of preferred stk. | Issuer | Yes | For | For |
W & T Offshore | WTO | 92922P106 | 4/26/2011 | 3 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
W & T Offshore | WTO | 92922P106 | 4/26/2011 | 4 | Vote on freq. of exec comp. | Issuer | Yes | 3 Years | For |
W & T Offshore | WTO | 92922P106 | 4/26/2011 | 5 | Proposal to ratify the appt of Ernst & Young as public accountants | Issuer | Yes | For | For |