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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, 2012 - June 30, 2013
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, 2013 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
INVESTMENT COMPANY REPORT
7/1/2012 - 6/30/2013
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? |
NetEase.com | NTES | 64110W102 | 07/25/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
NetEase.com | NTES | 64110W102 | 07/25/12 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/12. | Issuer | Yes | For | For |
Cnooc Limited | CEO | 126132109 | 08/21/12 | 1 | Approve, ratify and confirm the non-exempt revised caps, as described in the circular dated 10/24/12 | Issuer | Yes | For | For |
Green Mountain Coffee Roasters | GMCR | 393122106 | 01/11/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Green Mountain Coffee Roasters | GMCR | 393122106 | 01/11/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Green Mountain Coffee Roasters | GMCR | 393122106 | 01/11/13 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/05/13 | A | Election of directors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/05/13 | B | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Rockwell Automation | ROK | 773903109 | 02/05/13 | C | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 1 | Election of directors | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 2 | Amendment of Apple's restated Art. Of Inc. | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 3 | Ratification of Ernst & Young LLP as auditors fiscal year 2013 | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 5 | Shareholder proposal "Executives to retain significant stock" | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 02/27/13 | 6 | Shareholder proposal "Board Committee on human rights" | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 2 | Ratification of appointment of independent registered public accounting firm | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 4 | Approval of long-term incentive plan | Issuer | Yes | For | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 5 | Network Neutrality | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 6 | Lobbying Activities | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 7 | Proxy Access Bylaw | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 8 | Severance Approval Policy | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 9 | Shareholder Right to Call a Special Meeting | Shareholder | Yes | Against | For |
Verizon Communications Inc | VZ | 92343V104 | 03/04/13 | 10 | Shareholder Right to Act by Written Consent | Shareholder | Yes | Against | For |
Joy Global Inc. | JOYG | 481165108 | 03/05/13 | 1 | Election of directors | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/05/13 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal year 2013 | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/05/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Joy Global Inc. | JOYG | 481165108 | 03/05/13 | 4 | Advisory vote if board of directors should adopt a majority voting standard for uncontested elections of directors | Issuer | No | Abstain | NA |
IntercontinentalExchange Inc | ICE | 45865V100 | 03/19/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 03/19/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 03/19/13 | 3 | Approve 2013 omnibus employee incentive plan | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 03/19/13 | 4 | Approve 2013 omnibus non-employee director incentive plan | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 03/19/13 | 5 | Ratification of Ernst & Young LLP as auditors for fiscal year ending 12/31/2012 | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 03/25/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 03/25/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 03/25/13 | 3 | Approval of Ernst & Young LLP as auditors for fiscal 2012. | Issuer | Yes | For | For |
McDonalds | MCD | 580135101 | 03/25/13 | 4 | Shareholder proposal on annual report executive compensation | Shareholder | Yes | Against | For |
McDonalds | MCD | 580135101 | 03/25/13 | 5 | Shareholder proposal executive stock retention policy | Shareholder | Yes | Against | For |
McDonalds | MCD | 580135101 | 03/25/13 | 6 | Shareholder proposal on human rights report | Shareholder | Yes | Against | For |
McDonalds | MCD | 580135101 | 03/25/13 | 7 | Shareholder proposal on nutrition | Shareholder | Yes | Against | For |
Flowserve Corporation | FLS | 34354P105 | 03/28/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/28/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/28/13 | 3 | Approve amendment to increase the number of shares of common stock | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/28/13 | 4 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 03/28/13 | 5 | Advisory vote on stockholder proposal requesting the board take steps to permit stockholders to act by written consent. | Shareholder | Yes | Against | For |
EBAY Inc. | EBAY | 278642103 | 04/18/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/18/13 | 2 | Advisory approval of executive compensation | Issuer | Yes | For | For |
EBAY Inc. | EBAY | 278642103 | 04/18/13 | 3 | Stockholder proposal regarding corporate lobbying disclosure | Shareholder | Yes | Against | For |
EBAY Inc. | EBAY | 278642103 | 04/18/13 | 4 | Stockholder proposal regarding privacy and data security | Shareholder | Yes | Against | For |
EBAY Inc. | EBAY | 278642103 | 04/18/13 | 5 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/2012. | Issuer | Yes | For | For |
Polaris Industries | PII | 731068102 | 04/25/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Polaris Industries | PII | 731068102 | 04/25/13 | 2 | Ratification of Ernst & Young LLP as auditors | Issuer | Yes | For | For |
Polaris Industries | PII | 731068102 | 04/25/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/29/13 | 1 | Election of directors | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/29/13 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 2013. | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/29/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 04/29/13 | 4 | Shareholder proposal relating to separation of chairman and CEO | Shareholder | Yes | Against | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/12. | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 4 | Approval of 2003 stock plan | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 5 | Approval of 1989 stock plan | Issuer | Yes | For | For |
EMC Corporation | EMC | 268648102 | 05/01/13 | 6 | Approval to allow shareholders to act by written consent by less than unanimous approval | Shareholder | Yes | Against | For |
Packaging Corp of America | PKG | 68389X105 | 05/01/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Packaging Corp of America | PKG | 68389X105 | 05/01/13 | 2 | Approval of 1999 long-term equity incentive plan | Issuer | Yes | For | For |
Packaging Corp of America | PKG | 68389X105 | 05/01/13 | 3 | Approval on executive compensation | Issuer | Yes | For | For |
Packaging Corp of America | PKG | 68389X105 | 05/01/13 | 4 | Ratification of Ernst & Young LLP as auditors | Issuer | Yes | For | For |
EOG Resources | EMC | 26875P101 | 05/02/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
EOG Resources | EOG | 26875P101 | 05/02/13 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
EOG Resources | EOG | 26875P101 | 05/02/13 | 3 | Approve restated 2008 omnibus equity comp plan | Issuer | Yes | For | For |
EOG Resources | EOG | 26875P101 | 05/02/13 | 4 | Approve compensation of the executive officers | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/02/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/02/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/02/13 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
Eastman Chemical Company | EMN | 277432100 | 05/02/13 | 4 | Advisory vote on stockholder proposal requesting the board take steps to permit stockholders to act by written consent. | Shareholder | Yes | Against | For |
Waste Management | WM | 94106L109 | 05/10/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/13 | 2 | Ratification of Ernst & Young LLP as auditors for 2013 | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/13 | 3 | To approve on executive compensation | Issuer | Yes | For | For |
Waste Management | WM | 94106L109 | 05/10/13 | 4 | Stockholder proposal request Senior executives to hold a significant % of equity awards until retirement | Shareholder | Yes | Against | For |
Waste Management | WM | 94106L109 | 05/10/13 | 5 | Stockholder proposal disclosure of political contributions | Shareholder | Yes | Against | For |
Waste Management | WM | 94106L109 | 05/10/13 | 6 | Stockholder proposal regarding compensation benchmarking cap | Shareholder | Yes | Against | For |
Broadcom Corporation | BRCM | 111320107 | 05/14/13 | 1 | Election of directors | Issuer | Yes | For | For |
Broadcom Corporation | BRCM | 111320107 | 05/14/13 | 2 | Ratification of KPMG LLP as auditors for fiscal year 2012 | Issuer | Yes | For | For |
Discovery Communications Inc | CMI | 231021106 | 05/14/13 | 1 | Election of directors | Issuer | Yes | For | For |
Discovery Communications Inc | CMI | 231021106 | 05/14/13 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors ending 12/31/12. | Issuer | Yes | For | For |
Discovery Communications Inc | CMI | 231021106 | 05/14/13 | 3 | Approval of the 2013 stock incentive plan | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 1A | Election of director | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 1B | Election of director | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 1C | Election of director | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 1D | Election of director | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 2 | Adopt 2013 stock incentive plan | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 3A | To approve to declassify the Board | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 3B | Adopt certificate of inc to provide dir. removal | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 3C | To adopt and approve amendments to our Certificate of Incorporation to (a) declassify our Board of Directors; (b) provide for director removal with or without cause following declassification of our Board of Directors; and (c) eliminate the supermajority voting requirement for amending or repealing Article TENTH of our Certificate of Incorporation as described in the accompanying proxy statement; | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Akamai Technologies | AKAM | 00971T101 | 05/15/13 | 5 | Ratification of PricewaterhouseCoopers LLP as auditors for 2013. | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/22/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/22/13 | 2 | Ratification of Ernst & Young LLP as auditors ending 12/31/13 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/22/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 05/22/13 | 4 | Approval of proposed amended and restated 2009 equity incentive plan | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/22/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/22/13 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/22/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 05/22/13 | 4 | Stockholder proposal for special shareowner meeting right | Shareholder | Yes | Against | For |
CenturyLink Inc. | CTL | 156700106 | 05/22/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/22/13 | 2 | Ratification of KPMG LLP as auditors for fiscal year 2012 | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/22/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
CenturyLink Inc. | CTL | 156700106 | 05/22/13 | 4A-D | Shareholder proposal on equity comp, bonus deferrals, Proxy access and confidential voting. | Shareholder | Yes | Against | For |
Rost Stores Inc. | ROST | 778296103 | 05/22/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/22/13 | 2 | Approval of 2008 equity incentive plan | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/22/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Rost Stores Inc. | ROST | 778296103 | 05/22/13 | 4 | Ratification of Deloitte Touche LLP as auditors for fiscal year ending 2/02/13 | Issuer | Yes | For | For |
Continental Resources | CLR | 212015101 | 05/27/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Continental Resources | CLR | 212015101 | 05/27/13 | 2 | Approval of company's 2013 long term incentive plan | Issuer | Yes | For | For |
Continental Resources | CLR | 212015101 | 05/27/13 | 3 | Ratification of Grant Thornton LLP as auditors | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide Inc | HOT | 85590A401 | 05/30/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide Inc | HOT | 85590A401 | 05/30/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide Inc | HOT | 85590A401 | 05/30/13 | 3 | Approval of 2013 long-term incentive plan | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide Inc | HOT | 85590A401 | 05/30/13 | 4 | Ratification of Ernst & Young LLP as auditors for 2013 | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 05/31/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 05/31/13 | 2 | Ratification of Ernst & Young LLP as auditors ending 3/29/14 | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 05/31/13 | 3 | Advisory vote to approve named executive compensation. | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 05/31/13 | 4 | Approval of the material terms of the amended 2007 mgmt and key individual incentive plan. | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 06/03/13 | 1 | To adopt plan of merger | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 06/03/13 | 2 | Approve provisions related to amt and classes of stock, limitations of ownership, disqualification of off and directors, considerations of board of directors, certificate of inc amendments | Issuer | Yes | For | For |
IntercontinentalExchange Inc | ICE | 45865V100 | 06/03/13 | 3 | To approve adjournments of special meeting of stockholders | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 12/31/2013. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 3 | Advisory vote on Say on pay exec comp. | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 4 | Reapprove the material terms of performance goals under 2008 performance based mgt plan | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 5 | Reapprove the material terms of performance goals under 2008 omnibus equity plan | Issuer | Yes | For | For |
Biogen Idec Inc. | BIIB | 09062X103 | 06/12/13 | 6 | Shareholder proposal regarding share retention | Shareholder | Yes | Against | For |
INVESTMENT COMPANY REPORT
7/1/2012 - 6/30/2013
AlphaMark Small Cap Growth Fund (AMSCX)
Issuer Name | Ticker Symbol | CUSIP | Shareholder Meeting Date | Agenda Item # | Brief Identification of the Matter Voted On | Proposed by Issuer or Security Holder? | Did the Fund Vote? | How did the Fund Cast its Vote? For, Against, Abstain | Did the Fund vote For or Against Management? |
Silicon Motion Technology Corp | SIMO | 82706C108 | 09/26/12 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Silicon Motion Technology Corp | SIMO | 82706C108 | 09/26/12 | 2 | Ratify the selection of Deloitte & Touche as independent auditors | Issuer | Yes | For | For |
Cantel Medical Corp | CMN | 138098108 | 01/11/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Cantel Medical Corp | CMN | 138098108 | 01/11/13 | 2 | Approval to increase number of shares | Issuer | Yes | For | For |
Cantel Medical Corp | CMN | 138098108 | 01/11/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cantel Medical Corp | CMN | 138098108 | 01/11/13 | 4 | Ratification of Ernst & Young LLP as auditors for 7/31/2013 | Issuer | Yes | For | For |
Liquidity Services Inc | LQDT | 53635B107 | 02/28/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Liquidity Services Inc | LQDT | 53635B107 | 02/28/13 | 2 | Ratification of Ernst & Young LLP as auditors for fiscal 2013 | ||||
Liquidity Services Inc | LQDT | 53635B107 | 02/28/13 | 3 | Advisory vote on executive officer compensation | ||||
Cooper Tire & Rubber Co | CTB | 216831107 | 05/10/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Cooper Tire & Rubber Co | CTB | 216831107 | 05/10/13 | 2 | Ratification of the independent public accounting firm for the year ending 12/31/13 | Issuer | Yes | For | For |
Cooper Tire & Rubber Co | CTB | 216831107 | 05/10/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Acacia Research Corp | ACTG | 003881307 | 05/16/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Acacia Research Corp | ACTG | 003881307 | 05/16/13 | 2 | Ratification of Grant Thornton LLP as auditors ending 12/31/13. | Issuer | Yes | For | For |
Acacia Research Corp | ACTG | 003881307 | 05/16/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Acacia Research Corp | ACTG | 003881307 | 05/16/13 | 4 | Approve adoption of the 2013 stock incentive plan | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/16/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/16/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Credit Acceptance Corp | CACC | 225310101 | 05/16/13 | 3 | Ratification of Grant Thornton LLP as auditors ending 2013. | Issuer | Yes | For | For |
HFF Inc | HF | 40418F108 | 05/23/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
HFF Inc | HF | 40418F108 | 05/23/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
HFF Inc | HF | 40418F108 | 05/23/13 | 3 | Ratification of public accounting firm | Issuer | Yes | For | For |
Belden Inc | BDC | 077454106 | 05/30/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Belden Inc | BDC | 077454106 | 05/30/13 | 2 | Ratification of Ernst & Young LLP as auditors for 2013 | Issuer | Yes | For | For |
Belden Inc | BDC | 077454106 | 05/30/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Belden Inc | BDC | 077454106 | 05/30/13 | 4 | Re-approve perf metrix to seek a deduction for annual cash incentive awards. | Issuer | Yes | For | For |
US Ecology Inc | ECOL | 91732J102 | 05/31/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
US Ecology Inc | ECOL | 91732J102 | 05/31/13 | 2 | Ratify the selection of Deloitte & Touche as independent auditors ending 12/31/13. | Issuer | Yes | For | For |
US Ecology Inc | ECOL | 91732J102 | 05/31/13 | 3 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
Allegiant Travel Company | ALGT | 01748X102 | 06/04/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Allegiant Travel Company | ALGT | 01748X102 | 06/04/13 | 2 | Ratification of Ernst & Young LLP as auditors | Issuer | Yes | For | For |
American Railcar Industries Inc | ARII | 02916P103 | 06/04/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
American Railcar Industries Inc | ARII | 02916P103 | 06/04/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Vaalco Energy Inc | EGY | 91851C201 | 06/05/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Vaalco Energy Inc | EGY | 91851C201 | 06/05/13 | 2 | Ratify the selection of Deloitte & Touche as independent auditors | Issuer | Yes | For | For |
Vaalco Energy Inc | EGY | 91851C201 | 06/05/13 | 3 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
MarketAxess Holdings | MKTX | 57060D108 | 06/06/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
MarketAxess Holdings | MKTX | 57060D108 | 06/06/13 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending 12/31/13 | Issuer | Yes | For | For |
MarketAxess Holdings | MKTX | 57060D108 | 06/06/13 | 3 | Advisory vote on executive compensation disclosed in the 2013 proxy statement | Issuer | Yes | For | For |
ACI Worldwide Inc | ACIW | 893416107 | 06/11/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
ACI Worldwide Inc | ACIW | 893416107 | 06/11/13 | 2 | Ratify appointment of Deloitte & Touche for fiscal year 2013 | Issuer | Yes | For | For |
ACI Worldwide Inc | ACIW | 893416107 | 06/11/13 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
ACI Worldwide Inc | ACIW | 893416107 | 06/11/13 | 4 | Approval of the 2013 executive management incentive compensation plan | Issuer | Yes | For | For |
ACI Worldwide Inc | ACIW | 893416107 | 06/11/13 | 5 | Approve 2013 amended and restated certificate of inc to inc number of commonshares | Issuer | Yes | For | For |
Exlservice Holdings Inc | EXLS | 302081104 | 06/14/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Exlservice Holdings Inc | EXLS | 302081104 | 06/14/13 | 2 | Ratification of Ernst & Young LLP as auditors | Issuer | Yes | For | For |
Exlservice Holdings Inc | EXLS | 302081104 | 06/14/13 | 3 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
IXIA | XXIA | 45071R109 | 06/19/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
IXIA | XXIA | 45071R109 | 06/19/13 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IXIA | XXIA | 45071R109 | 06/19/13 | 3 | Approval of 2008 equity incentive plan | Issuer | Yes | For | For |
IXIA | XXIA | 45071R109 | 06/19/13 | 4 | Approval of 2010 emp stock purchase plan | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/20/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/20/13 | 2 | Vote to continue the performance incentive bonus plan. | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/20/13 | 3 | Vote to continue company's long-term incentive plan. | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/20/13 | 4 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
PVH Corporation | PVH | 718592108 | 06/20/13 | 5 | Ratification of auditors | ||||
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 1 | Approval of common stock merger in proxy stmt | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 2 | Election of nominee directors | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 3 | Approval 2005 stock incentive plan | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 5 | Ratification of Ernst & Young LLP as auditors for 12/31/2013 | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 06/24/13 | 6 | Approval of additional proxies if insufficient votes at the time of adjournment | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 06/27/13 | 1 | Election of nominee directors | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 06/27/13 | 2 | Say on pay - Advisory vote on executive officer compensation | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 06/27/13 | 3 | Ratification of public accounting firm | Issuer | Yes | For | For |