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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, 2011 - June 30, 2012
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 28, 2012 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
INVESTMENT COMPANY REPORT
7/1/2011 - 6/30/2012
AlphaMark Large Cap Growth Fund (AMLCX)
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 | 02/23/12 | 1 | Election of directors | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 2 | Ratification of Ernst & Young LLP as auditors fiscal year 2012. | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 4 | Shareholder prop "Conflict of interest report" | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 5 | Shareholder prop "Shareholder say on director pay" | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 6 | Shareholder prop "report on political contributions and expenditures" | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 02/23/12 | 7 | Shareholder prop "adopt a majority voting standard for director elections" | Shareholder | Yes | Against | For |
Autoliv, Inc. | ALV | 052800109 | 05/08/12 | 1 | Election of directors | Issuer | Yes | For | For |
Autoliv, Inc. | ALV | 052800109 | 05/08/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Autoliv, Inc. | ALV | 052800109 | 05/08/12 | 3 | Approval of the amendment to the 1997 stock incentive plan | Issuer | Yes | For | For |
Autoliv, Inc. | ALV | 052800109 | 05/08/12 | 4 | Ratification of Ernst & Young LLP as auditors ending 12/31/12 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 2 | Ratification of Ernst & Young LLP as auditors ending 12/31/12 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 4 | Approve incorporation to authorize stockholder action by written consent | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 5 | Shareholder proposals Independent Chairman of the Board. | Shareholder | Yes | Against | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 5 | Shareholder proposal Transparency in Animal Use. | Shareholder | Yes | Against | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 5 | Shareholder proposal on disclosure of lobbying policies and practices. | Shareholder | Yes | Against | For |
Amgen Inc. | AMGN | 031162100 | 05/23/12 | 5 | Shareholder proposal - CEO to serve on a maximum of one other board. | Shareholder | Yes | Against | For |
TD Ameritrade Inc. | AMTD | 87236Y108 | 02/14/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
TD Ameritrade Inc. | AMTD | 87236Y108 | 02/14/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
TD Ameritrade Inc. | AMTD | 87236Y108 | 02/14/12 | 3 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 09/30/2012 | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 4 | To approve to declassify the Board | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 5 | To approve to eliminate supermajority voting. | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 6 | To approve 2012 restricted stock plan for directors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/23/12 | 7 | Stockholder prop to eliminate supermajority voting. | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 04/30/12 | 1 | Election of directors | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/30/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 2012. | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/30/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/30/12 | 4 | Approval of performance goals and award limits under 2007 incentive compensation plan. | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/30/12 | 5 | Shareholder prop relating to cumulative voting for directors | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 04/30/12 | 6 | Shareholder prop relating to separation of chairman and CEO roles. | Shareholder | Yes | Against | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/08/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/08/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 12/31/2012. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/08/12 | 3 | Advisory vote on Say on pay exec comp. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/08/12 | 4 | Approve an amedment to Biogen IDEC's amended and restated. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/08/12 | 5 | Approve amendment to Biogen IDEC's second amended and restated by laws permitting holders of at least 25% of common stock. | Issuer | Yes | For | For |
Broadcom Corporation | BRCM | 111320107 | 05/15/12 | 1 | Election of directors | Issuer | Yes | For | For |
Broadcom Corporation | BRCM | 111320107 | 05/15/12 | 2 | To approve employee stock purchase plan. | Issuer | Yes | For | For |
Broadcom Corporation | BRCM | 111320107 | 05/15/12 | 3 | To approve 2012 stock incentive plan | Issuer | Yes | For | For |
Broadcom Corporation | BRCM | 111320107 | 05/15/12 | 4 | Ratification of KPMG LLP as auditors for fiscal year 2012 | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 1 | Election of directors | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 2 | To add a provision to allow board to amend regulations without shareholder approval | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 3 | To approve executive compensation, say on pay | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 4 | A proposal to approve the 2012 incentive equity plan. | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 5 | A proposal to approve the 2012 exec mgmt perf incentive plan | Issuer | Yes | For | For |
Cliffs Natural Resources | CLF | 185896107 | 05/08/12 | 6 | Ratification of Deloitte Touche LLP as auditors ending 2012. | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 1 | Approve to declassify Board & increase authorized shares | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 2 | Election of nominee directors | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 3 | Ratification of KPMG LLP as auditors for fiscal year 2012 | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 5 | Shareholder proposal on bonus deferrals | Shareholder | Yes | Against | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 5 | Shareholder proposal on performance-based restricted stock | Shareholder | Yes | Against | For |
CenturyLink Inc. | CTL | 156700106 | 05/23/12 | 5 | Shareholder proposal on political contributions report | Shareholder | Yes | Against | For |
Cummins Inc. | CMI | 231021106 | 05/08/12 | 1-9 | Election of directors | Issuer | Yes | For | For |
Cummins Inc. | CMI | 231021106 | 05/08/12 | 10 | Advisory Vote to approve the compensation of executive officers | Issuer | Yes | For | For |
Cummins Inc. | CMI | 231021106 | 05/08/12 | 11 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/12. | Issuer | Yes | For | For |
Cummins Inc. | CMI | 231021106 | 05/08/12 | 12 | Proposal to approve the 2012 Omnibus incentive plan | Issuer | Yes | For | For |
Cummins Inc. | CMI | 231021106 | 05/08/12 | 13 | Proposal to approve the employee stock purchase plan | Issuer | Yes | For | For |
Cummins Inc. | CMI | 231021107 | 05/08/12 | 14 | Proposal to amend by-laws to allow shareholders who have a 25% net long position to call special shareholder meetings. | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/15/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Discovery Communications | DISCA | 25470F104 | 05/15/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/12. | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 3 | Approve 2008 equity incentive plan | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 4 | To approve employee stock purchase plan. | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 5 | To adopt and approve to declassify our Board of Directors and provide for an annual election | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 6 | To provide stockholders with the right to call a special meeting | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/26/12 | 7 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/2012. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/12. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 3 | Approval of 2012 Omnibus Stock Plan | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 4 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 5 | Approval of amendment to certificate of inc to eliminate certain supermajority voting provisions. | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/03/12 | 6 | Advisory vote on stockholder proposal requesting the board take steps to permit stockholders to act by written consent. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 2 | Ratification of independent auditors | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 4 | Independent chairman | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 5 | Majority Vote for Directors | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 6 | Report on political contributions. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 7 | Amendment of EEO policy. | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 8 | Report on Natural Gas Production | Shareholder | Yes | Against | For |
Exxon Mobil Corporation | XOM | 30231G102 | 05/30/12 | 9 | Greenhouse Gas Emissions Goals | Shareholder | Yes | Against | For |
Flowserve Corporation | FLS | 34354P105 | 05/17/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 05/17/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 05/17/12 | 3 | Approve elimination of classified structure of the Board | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 05/17/12 | 4 | Approve to provide shareholders the right to call a special meeting | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 05/17/12 | 5 | Ratification of PricewaterhouseCoopers LLP as auditors for 2012 | Issuer | Yes | For | For |
Estee Lauder Companies | EL | 518439104 | 11/11/11 | 1 | Election of directors | Issuer | Yes | For | For |
Estee Lauder Companies | EL | 518439104 | 11/11/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Estee Lauder Companies | EL | 518439104 | 11/11/11 | 3 | Advisory vote on the frequency of executive compensation | Issuer | Yes | For | For |
Estee Lauder Companies | EL | 518439104 | 11/11/11 | 4 | Ratification of KPMG LLP as auditors for fiscal year 2012 | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2012 | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 3 | Approval to establish class C of capital stock, increase class A to 9 Billion and to provide for the treatment of shs of class A that is a least as favorable as class B. | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 4 | Approval of 2012 stock plan. | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 5 | Approval of incentive compensation plan for employees and consultants of motorola mobility. | Issuer | Yes | For | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 6 | Shareholder prop on advisory vote on political contributions | Shareholder | Yes | Against | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 7 | Shareholder prop regarding mandatory arbitration of certain shareholder claims | Shareholder | Yes | Against | For |
Google Inc. | GOOG | 38259P508 | 06/21/12 | 8 | Shareholder prop regarding equal shareholder voting | Shareholder | Yes | Against | For |
Humana Inc. | HUM | 444859102 | 04/26/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Humana Inc. | HUM | 444859102 | 04/26/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 2012 | Issuer | Yes | For | For |
Humana Inc. | HUM | 444859102 | 04/26/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/18/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/18/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 05/18/12 | 3 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2012 | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/06/12 | 1 | Election of directors | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/06/12 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2012 | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/06/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/06/12 | 4 | Approval of the amendment and restatement of the corporations amended and restated certificate of incorporation. | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/06/12 | 5 | Reapproval of the performance goals under the Joy Global 2007 stock incentive plan. | Issuer | Yes | For | For |
Lam Research Corp | LRCX | 512807108 | 05/10/12 | 1 | Approval of issuance of shares of LAM research to Novellus Systems pursuant to the merger. | Issuer | Yes | For | For |
Lam Research Corp | LRCX | 512807108 | 05/10/12 | 2 | Adjournment of the special meeting to solicit addl proxies if there are not sufficient votes to approve proposal 1. | Issuer | Yes | For | For |
Las Vegas Sands Corp | LVS | 517834107 | 06/07/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Las Vegas Sands Corp | LVS | 517834107 | 06/07/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Las Vegas Sands Corp | LVS | 517834107 | 06/07/12 | 3 | To consider and act upon an advisory proposal on the compensation of the named executive officers. | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 2 | Advisory vote on exec comp | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 3 | Approval of the 2012 Omnibus Stock Ownership Plan | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 4 | Approval of declassification of the board of directors | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 5 | Approval of shareholders right to call special meetings | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 6 | Approval of Ernst & Young LLP as auditors for fiscal 2012. | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 05/24/12 | 7 | Shareholder prop requesting a nutrition report | Shareholder | Yes | Against | For |
Medtronic | MDT | 585055106 | 08/25/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Medtronic | MDT | 585055106 | 08/25/11 | 2 | Ratify independent auditor | Issuer | Yes | For | For |
Medtronic | MDT | 585055106 | 08/25/11 | 3 | Non binding advisory vote on executive compensation | Issuer | Yes | For | For |
Medtronic | MDT | 585055106 | 08/25/11 | 4 | Non binding advisory vote on the frequency of say on pay votes | Issuer | Yes | 1 Year | For |
Oracle Corporation | ORCL | 68389X105 | 10/12/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/12/11 | 2 | Approval on exec compensation | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/12/11 | 3 | Approval of the frequency of future votes on exec compensation | Issuer | Yes | None | No Vote |
Oracle Corporation | ORCL | 68389X105 | 10/12/11 | 4 | Ratification of Ernst & Young LLP as auditors for fiscal 2012. | Issuer | Yes | For | For |
Oracle Corporation | ORCL | 68389X105 | 10/12/11 | 5 | Stockholder prop regarding equity retention | Shareholder | Yes | Against | For |
Perrigo Company | PRGO | 714290103 | 09/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 09/02/11 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 09/02/11 | 3 | Advisory vote on the frequency of executive compensation | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 09/02/11 | 4 | Ratification of Ernst & Young LLP as auditors for fiscal 2012. | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/07/12 | 1 | Election of directors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/07/12 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/07/12 | 3 | To approve 2012 Long-term incentives plan | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/07/12 | 4 | To approve compensation of the exective officers | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/16/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/16/12 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/16/12 | 3 | Ratification of Deloitte Touche LLP as auditors for fiscal year ending 2/02/13 | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/16/12 | 4 | Stockholder proposal by the sheet metal workers national pension fund | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 2 | Ratification of appt of independent reg. public accting firm | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 4 | Disclosure of prior govt service | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 5 | Disclosure of lobbying activities | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 6 | Vesting of Performance Stock Units | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 7 | Shareholder Right to Call a Special Meeting | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 8 | Shareholder Action by Written Consent | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 05/03/12 | 9 | Network Neutrality for Wireless Broadband | Shareholder | Yes | Against | For |
Waste Management | WM | 94106L109 | 05/10/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/12 | 2 | Ratification of Ernst & Young LLP as auditors for 2012 | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/12 | 3 | To approve on executive compensation | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/12 | 4 | To amend employee stock puprchase plan to increase the number of shares | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/12 | 5 | Shareholder proposal relating to stock retention policy for sr. execs | Shareholder | Yes | Against | For |
Waste Management | WM | 94106L109 | 05/10/12 | 6 | Shareholder proposal to amend by laws to give stockholders lowest % of outstanding comm stock | Shareholder | Yes | Against | For |
INVESTMENT COMPANY REPORT
7/1/2011 - 6/30/2012
AlphaMark Small Cap Growth Fund (AMSCX)
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? |
Berry Petroleum Company | BRY | 085789105 | 05/16/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Berry Petroleum Company | BRY | 085789105 | 05/16/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Berry Petroleum Company | BRY | 085789105 | 05/16/12 | 3 | Approval in a non-binding advisory vote for the executive compensation program | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/17/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/17/12 | 2 | Approval of the restated incentive compensation plan | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/17/12 | 3 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/17/12 | 4 | Ratification of Grant Thornton as auditors for 2012 | Issuer | Yes | For | For |
3D Systems Corporation | DDD | 88554D205 | 05/15/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
3D Systems Corporation | DDD | 88554D205 | 05/15/12 | 2 | Ratification of BDO USA as auditors | Issuer | Yes | For | For |
Ebix Inc | EBIX | 278715206 | 12/02/11 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Ebix Inc | EBIX | 278715206 | 12/02/11 | 2 | Ratification of Cherry Bekaert & Holland as auditors | Issuer | Yes | For | For |
Ebix Inc | EBIX | 278715206 | 12/02/11 | 3 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Ebix Inc | EBIX | 278715206 | 12/02/11 | 4 | Shareholder Vote on executive compensation fequency | Shareholders | Yes | 1 Year | For |
Genesco Inc. | GCO | 371532102 | 06/27/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 06/27/12 | 2 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 06/27/12 | 3 | Ratification of public accounting firm | Issuer | Yes | For | For |
KapStone Paper and Packaging | KS | 48562P103 | 05/16/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
KapStone Paper and Packaging | KS | 48562P103 | 05/16/12 | 2 | Ratification of Ernst & Young LLP as auditors ending 12/31/12 | Issuer | Yes | For | For |
KapStone Paper and Packaging | KS | 48562P103 | 05/16/12 | 3 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/16/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/16/12 | 2 | To approve the compensation of executive officers | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/16/12 | 3 | To approve 2009 long-term incentive plan | Issuer | Yes | For | For |
Medidata Solutions | MDSO | 58471A105 | 05/16/12 | 4 | Ratify appt of Deloitte & Touche for fiscal year 2012 | Issuer | Yes | For | For |
MKS Instruments Inc | MKSI | 55306N104 | 05/07/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
MKS Instruments Inc | MKSI | 55306N104 | 05/07/12 | 2 | To approve the compensation of executive officers | Issuer | Yes | For | For |
MKS Instruments Inc | MKSI | 55306N104 | 05/07/12 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Mitcham Industries | MIND | 606501104 | 05/29/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Mitcham Industries | MIND | 606501104 | 05/29/12 | 2 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Mitcham Industries | MIND | 606501104 | 05/29/12 | 3 | Vote on freq. of exec officer comp. | Issuer | Yes | 1 Year | For |
Mitcham Industries | MIND | 606501104 | 05/29/12 | 4 | Ratification of Hein & Assoc. LLP as auditors for fiscal year ending 1/31/2013 | Issuer | Yes | For | For |
Netgear Inc. | NTGR | 64111Q104 | 06/06/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Netgear Inc. | NTGR | 64111Q104 | 06/06/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/11 | Issuer | Yes | For | For |
Netgear Inc. | NTGR | 64111Q104 | 06/06/12 | 3 | Approving compensation of executive officers | Issuer | Yes | For | For |
Netgear Inc. | NTGR | 64111Q104 | 06/06/12 | 4 | Approve restated 2006 Long-term incentive plan. | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/21/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/21/12 | 2 | Approval of 2006 stock incentive plan | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/21/12 | 3 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/21/12 | 4 | Ratification of auditors | Issuer | Yes | For | For |
Questcor Pharmaceuticals | QCOR | 74835Y101 | 05/10/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Questcor Pharmaceuticals | QCOR | 74835Y101 | 05/10/12 | 2 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Questcor Pharmaceuticals | QCOR | 74835Y101 | 05/10/12 | 3 | Ratification of BDO USA LLP auditors ending 12/31/12 | Issuer | Yes | For | For |
Sciclone Pharmaceuticals | SCLN | 80862K104 | 06/07/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Sciclone Pharmaceuticals | SCLN | 80862K104 | 06/07/12 | 2 | Advisory vote on exec. officer comp. | Issuer | Yes | For | For |
Sciclone Pharmaceuticals | SCLN | 80862K104 | 06/07/12 | 3 | To approve amendment to 2005 equity incentive plan to 13.6 million shs | Issuer | Yes | For | For |
Sciclone Pharmaceuticals | SCLN | 80862K104 | 06/07/12 | 4 | Ratification of Ernst & Young LLP as auditors ending 12/31/12 | Issuer | Yes | For | For |
Monotype Imaging Holdings | TYPE | 61022P100 | 05/10/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Monotype Imaging Holdings | TYPE | 61022P100 | 05/10/12 | 2 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Monotype Imaging Holdings | TYPE | 61022P100 | 05/10/12 | 3 | Ratification of Ernst & Young LLP as auditors ending 12/31/12 | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 1 | Approval of Annual Rpt, Finl stmts, external auditors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 2 | Approval of Profit Distribution/Divd Policy | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 3 | Designate the independent accountants that will exercise the function of external auditors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 4 | Set the compensation for board of directors | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 5 | Set compensation for the board's committees | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 6 | Determine the newspaper in which notice of the next shareholders meeting will be published | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 7 | Report on company transactions as stipulated in article 146 and law 18.046 | Issuer | Yes | For | For |
Vina Concha y Toro | VCO | 927191106 | 04/05/12 | 8 | Approval of other matters relevant to the ordinary shareholders meeting | Issuer | Yes | For | For |
Wright Express Corporation | WXS | 98233Q105 | 5/18/2012 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Wright Express Corporation | WXS | 98233Q105 | 5/18/2012 | 2 | Advisory vote on exec. comp. | Issuer | Yes | For | For |
Wright Express Corporation | WXS | 98233Q105 | 5/18/2012 | 3 | Ratify appt of Deloitte & Touche for fiscal year 2012 | Issuer | Yes | For | For |