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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, 2013 - June 30, 2014
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, 2014 |
* Print the name and title of each signing officer under his or her signature.
EXHIBIT A
INVESTMENT COMPANY REPORT
ALPHAMARK LARGE CAP GROWTH FUND (AMLCX) | |||||||||
PROXY VOTING RECORD: July 1, 2013 to June 30, 2014 | |||||||||
Issuer Name | Ticker 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? |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 3 | Approval of amendment to the long term incentive plan | Issuer | Yes | For | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 4 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 5 | Stockholder proposal regarding establishing a Board Committee on human rights | Shareholder | Yes | Against | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 6 | Stockholder proposal regarding independent Board Chairman | Shareholder | Yes | Against | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 7 | Stockholder proposal regarding vote tabulation | Shareholder | Yes | Against | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 8 | Stockholder proposal regarding multiple preformance metrics | Shareholder | Yes | Against | For |
Oracle Corp. | ORCL | 68389X105 | 10/31/2013 | 9 | Stockholder proposal regarding quantifiable performance metrics | Shareholder | Yes | Against | For |
KLA-Tencor Corp. | KLAC | 482480100 | 11/6/2013 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
KLA-Tencor Corp. | KLAC | 482480100 | 11/6/2013 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors ending June 30, 2014 | Issuer | Yes | For | For |
KLA-Tencor Corp. | KLAC | 482480100 | 11/6/2013 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
KLA-Tencor Corp. | KLAC | 482480100 | 11/6/2013 | 4 | Approval and restatement of the 2004 equity incentive plan | Issuer | Yes | For | For |
KLA-Tencor Corp. | KLAC | 482480100 | 11/6/2013 | 5 | Reapproval of the material terms of the Company's performance bonus plan | Issuer | Yes | For | For |
The Estee Lauder Companies Inc. | EL | 518439104 | 11/12/2013 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
The Estee Lauder Companies Inc. | EL | 518439104 | 11/12/2013 | 2 | Approves KPMG LLP as the auditor for 2014 | Issuer | Yes | For | For |
The Estee Lauder Companies Inc. | EL | 518439104 | 11/12/2013 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
The Estee Lauder Companies Inc. | EL | 518439104 | 11/12/2013 | 4 | Aprove the Executive Annual Incentive Plan pursuant to Section 162(m) of the Internal Revenue Code | Issuer | Yes | For | For |
The Estee Lauder Companies Inc. | EL | 518439104 | 11/12/2013 | 5 | Vote on stockholder proposal concerning substainable palm oil | Shareholder | Yes | Against | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 1 | Adopting the transaction agreement and approving the merger | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 2 | Approving the creation of distributable services | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 3 | Voting upon specified compensatory arrangements between the officers and Perrigo | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 4 | Re-approving the performance goals in incentive plan | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 5 | Approving the amendment and restatement of the 2008 long term incentive plan | Issuer | Yes | For | For |
Perrigo Company | PRGO | 714290103 | 11/18/2013 | 6 | Approving any motion to adjourn the special meeting to another time or place if necessary | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 1/28/2014 | 1 | Approve the issuance of up to approximately 1.28 billion shares of Verizon common stock to Vodafone ordinary shareholders in connection with Verizon's acquisition of Vodafone's indirect 45% interest in Verizon Wire | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 1/28/2014 | 2 | Approve an amendment to Article 4(A) of Verizon's restated certificate of incorporation to increase Verizon's authorized shares of common stock by 2 billion shares to an aggregate of 6.25 billion authorized shares of common stock | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 1/28/2014 | 3 | Approve the adjournment of the special meeting to solicit additional votes and proxies if there are insufficient votes at the time of the special meeting to approve the proposals | Issuer | Yes | For | For |
Rockwell Automation Inc. | ROK | 773903109 | 2/4/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Rockwell Automation Inc. | ROK | 773903109 | 2/4/2014 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Rockwell Automation Inc. | ROK | 773903109 | 2/4/2014 | 3 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
Rockwell Automation Inc. | ROK | 773903109 | 2/4/2014 | 4 | Shareholder proposal requesting majority voting in elections of Directors | Shareholder | Yes | Abstain | Yes |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 1 | Election of Directors | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 2 | Amend the Company's Restated Articles of Incorporation to eliminate Article VII | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 3 | Amend the Company's Articles to eliminate the "blank check" authority of the Board to issue preferred stock | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 4 | Amend the Company's Articles of Incorporation to establish a par value for the Company's common stock of $0.00001 per share | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 5 | Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2014 | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 6 | Vote on a non-binding advisory resolution to approve executive compensation | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 7 | Approval of Apple Inc. 2014 Employee Stock Plan | Issuer | Yes | For | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 8 | Shareholder proposal entitled "Board Committee on Human Rights" to amend the Company's By-Laws | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 9 | Shareholder proposal of a non-binding advisory resolution entitled "Report on Company Membership and Involvement with Certain Trade Associations and Business Organizations" | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 10 | Shareholder proposal of a non-binding advisory resolution that the Company commit to completing not less than $50 billion of share repurchases during its 2014 fiscal year | Shareholder | Yes | Against | For |
Apple Inc. | AAPL | 037833100 | 2/28/2014 | 11 | Shareholder proposal of a non-binding advisory resolution entitled "Proxy Access for Shareholders" | Shareholder | Yes | Against | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 3 | To Approve the name change to Keurig Green Mountain Inc. | Issuer | Yes | For | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 4 | To approve the 2014 Omnibus Incentive Plan | Issuer | Yes | For | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 5 | To approve the Amended and Restated Employee Stock Purchase Plan | Issuer | Yes | For | For |
Green Mountain Coffee Roasters, Inc. | GMCR | 393122106 | 3/6/2014 | 6 | Ratification of PricewaterhouseCoopers LLP as auditors for fiscal 2014 | Issuer | Yes | For | For |
Mylan Inc. | MYL | 628530107 | 4/11/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Mylan Inc. | MYL | 628530107 | 4/11/2014 | 2 | Ratification of Deloitte Touche LLP as auditors | Issuer | Yes | For | For |
Mylan Inc. | MYL | 628530107 | 4/11/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Mylan Inc. | MYL | 628530107 | 4/11/2014 | 4 | Shareholder proposal to adopt a policy that the Chairman of the Board be an independent Director | Shareholder | Yes | Against | For |
Polaris Industries Inc. | PII | 731068102 | 4/24/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Polaris Industries Inc. | PII | 731068102 | 4/24/2014 | 2 | Approval of the amended and restated Senior Executive Annual Incentive Compensation Plan | Issuer | Yes | For | For |
Polaris Industries Inc. | PII | 731068102 | 4/24/2014 | 3 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Polaris Industries Inc. | PII | 731068102 | 4/24/2014 | 4 | Advisory vote on compensation of Named Executive Officers | ||||
Tesoro Corp. | TSO | 881609101 | 4/29/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Tesoro Corp. | TSO | 881609101 | 4/29/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Tesoro Corp. | TSO | 881609101 | 4/29/2014 | 3 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
EMC Corp. | EMC | 268648102 | 4/30/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
EMC Corp. | EMC | 268648102 | 4/30/2014 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
EMC Corp. | EMC | 268648102 | 4/30/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
EMC Corp. | EMC | 268648102 | 4/30/2014 | 4 | Shareholder proposal relating to an independent Board Chairman | Shareholder | Yes | Against | For |
EMC Corp. | EMC | 268648102 | 4/30/2014 | 5 | Shareholder proposal relating to political contributions | Shareholder | Yes | Against | For |
Eastman Chemical Co. | EMN | 277432100 | 5/1/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Eastman Chemical Co. | EMN | 277432100 | 5/1/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Eastman Chemical Co. | EMN | 277432100 | 5/1/2014 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 5/1/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 5/1/2014 | 2 | Ratification of Deloitte Touche LLP as auditors for 2014 | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 5/1/2014 | 3 | Vote on executive compensation | Issuer | Yes | For | For |
EOG Resources Inc. | EOG | 26875P101 | 5/1/2014 | 4 | Stockholder proposal regarding quantitative risk management reporting for hydraulic fracturing operations | Shareholder | Yes | Against | For |
EOG Resources Inc. | EOG | 26875P101 | 5/1/2014 | 5 | Stockholder proposal regarding methane emissions report | Shareholder | Yes | Against | For |
Starwood Hotels & Resorts Worldwide, Inc. | HOT | 85590A401 | 5/1/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide, Inc. | HOT | 85590A401 | 5/1/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Starwood Hotels & Resorts Worldwide, Inc. | HOT | 85590A401 | 5/1/2014 | 3 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 2 | Ratification of appt of independent registered public accounting firm | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 3 | To approve executive compensation | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 4 | Proposal to implement proxy access | Issuer | Yes | For | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 5 | Proposal regarding Network Neutrality | Shareholder | Yes | Against | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 6 | Proposal regarding Lobbying Activities | Shareholder | Yes | Against | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 7 | Proposal regarding Severance Approval Policy | Shareholder | Yes | Against | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 8 | Proposal regarding shareholder right to call a Special Meeting | Shareholder | Yes | Against | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 9 | Proposal regarding shareholder right to act by written consent | Shareholder | Yes | Against | For |
Verizon Communications Inc. | VZ | 92343V104 | 5/1/2014 | 10 | Proposal regarding proxy voting authority | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for 2014 | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 4 | Shareholder proposal relating to annual disclosure of EEO-1 Data | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 5 | Shareholder proposal relating to report on privacy, data security and government requests | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 6 | Shareholder proposal relating to action by written consent | Shareholder | Yes | Against | For |
American Express Company | AXP | 025816109 | 5/12/2014 | 7 | Shareholder proposal for executives to retain significant stock | Shareholder | Yes | Against | For |
Packaging Corp. of America | PKG | 68389X105 | 5/13/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Packaging Corp. of America | PKG | 68389X105 | 5/13/2014 | 2 | Approval on executive compensation | Issuer | Yes | For | For |
Packaging Corp. of America | PKG | 68389X105 | 5/13/2014 | 3 | Ratification of KPMG LLP as auditors | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/13/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/13/2014 | 2 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/13/2014 | 3 | To approve executive compensation | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/13/2014 | 4 | Approval of 2014 stock incentive plan | Issuer | Yes | For | For |
Waste Management, Inc. | WM | 94106L109 | 5/13/2014 | 5 | Stockholder proposal regarding disclosure of political contributions | Shareholder | Yes | Against | For |
Akamai Technologies, Inc. | AKAM | 00971T101 | 5/14/2014 | 1 | Election of Directors | Issuer | Yes | For | For |
Akamai Technologies, Inc. | AKAM | 00971T101 | 5/14/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Akamai Technologies, Inc. | AKAM | 00971T101 | 5/14/2014 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors for 2014 | Issuer | Yes | For | For |
Akamai Technologies, Inc. | AKAM | 00971T101 | 5/14/2014 | 4 | Proposal to repeal classified Board of Directors | Shareholder | Abstain | Abstain | For |
Amgen Inc. | AMGN | 031162100 | 5/15/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/15/2014 | 2 | Ratification of Ernst & Young LLP as auditors ending December 31, 2014 | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/15/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Amgen Inc. | AMGN | 031162100 | 5/15/2014 | 4 | Stockholder proposal regarding vote tabulation | Shareholder | Yes | Against | For |
Discovery Communications Inc. | DISCA | 231021106 | 5/16/2014 | 1 | Election of Directors | Issuer | Yes | For | For |
Discovery Communications Inc. | DISCA | 231021106 | 5/16/2014 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors ending December 31, 2014 | Issuer | Yes | For | For |
Discovery Communications Inc. | DISCA | 231021106 | 5/16/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45865V100 | 5/16/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45865V100 | 5/16/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45865V100 | 5/16/2014 | 3 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
IntercontinentalExchange Group, Inc. | ICE | 45865V100 | 5/16/2014 | 4 | To approve the change of name to IntercontinentalExchange, Inc | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 5/21/2014 | 1 | Election of Directors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 5/21/2014 | 2 | Ratification of Deloitte & Touche LLP as auditors | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 5/21/2014 | 3 | Advisory vote on Executive Incentive Plan | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 5/21/2014 | 4 | Ratify and approve amended 2009 Stock Purchase and Option Plan | Issuer | Yes | For | For |
Amphenol Corporation | APH | 032095101 | 5/21/2014 | 5 | Advisory vote to approve compensation of named executive officers | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/21/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/21/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Ross Stores Inc. | ROST | 778296103 | 5/21/2014 | 3 | Ratification of Deloitte Touche LLP as auditors for fiscal year ending January 31, 2015 | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 5/22/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 5/22/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 5/22/2014 | 3 | Ratification of PricewaterhouseCoopers LLP as auditors for 2014 | Issuer | Yes | For | For |
Flowserve Corporation | FLS | 34354P105 | 5/22/2014 | 4 | Shareholder proposal for Directors to implement confidential voting in uncontested proxy solicitations | Shareholder | Yes | Against | For |
McDonald's Corporation | MCD | 580135101 | 5/22/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
McDonald's Corporation | MCD | 580135101 | 5/22/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
McDonald's Corporation | MCD | 580135101 | 5/22/2014 | 3 | Approval of awards under the 2009 cash incentive plan | Issuer | Yes | For | For |
McDonald's Corporation | MCD | 580135101 | 5/22/2014 | 4 | Approval of Ernst & Young LLP as auditors for fiscal 2014 | Issuer | Yes | For | For |
McDonald's Corporation | MCD | 580135101 | 5/22/2014 | 5 | Advisory vote for the ability for shareholders to act by written consent | Shareholder | Yes | Against | For |
Continental Resources, Inc. | CLR | 212015101 | 5/23/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Continental Resources, Inc. | CLR | 212015101 | 5/23/2014 | 2 | Approval of executive compensation | Issuer | Yes | For | For |
Continental Resources, Inc. | CLR | 212015101 | 5/23/2014 | 3 | Ratification of Grant Thornton LLP as auditors | Issuer | Yes | For | For |
CenturyLink, Inc. | CTL | 156700106 | 5/28/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
CenturyLink, Inc. | CTL | 156700106 | 5/28/2014 | 2 | Ratification of KPMG LLP as auditors for fiscal year 2014 | Issuer | Yes | For | For |
CenturyLink, Inc. | CTL | 156700106 | 5/28/2014 | 3 | Ratify a proxy access bylaw amendment | Issuer | Yes | For | For |
CenturyLink, Inc. | CTL | 156700106 | 5/28/2014 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
CenturyLink, Inc. | CTL | 156700106 | 5/28/2014 | 5 | Shareholder proposal on equity retention | Shareholder | Yes | Against | For |
Delta Air Lines, Inc. | DAL | 247361702 | 6/27/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Delta Air Lines, Inc. | DAL | 247361702 | 6/27/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Delta Air Lines, Inc. | DAL | 247361702 | 6/27/2014 | 3 | Ratification of Ernst & Young LLP as auditors for the year ending December 31, 2014 | Issuer | Yes | For | For |
Delta Air Lines, Inc. | DAL | 247361702 | 6/27/2014 | 4 | Approve an increase of max number of Directors | Issuer | Yes | For | For |
Delta Air Lines, Inc. | DAL | 247361702 | 6/27/2014 | 5 | Stockholder proposal request to adopt a stock retention policy for executives | Shareholder | Yes | Against | For |
Cirrus Logic Inc. | CRUS | 172755100 | 7/28/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 7/28/2014 | 2 | Ratification of Ernst & Young LLP as auditors for the fiscal year ending March 28, 2015 | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 7/28/2014 | 3 | Advisory vote to approve named executive compensation | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 7/28/2014 | 4 | Approval and restatement of the 2006 Stock Incentive Plan | Issuer | Yes | For | For |
Cirrus Logic Inc. | CRUS | 172755100 | 7/28/2014 | 5 | Approval of material terms of the 2006 Stock Incentive Plan, as amended and restated, for purposes of complying with the requirements of Section 162(m) of the Internal Revenue Code | Issuer | Yes | For | For |
Jazz Pharmaceuticals PLC | JAZZ | G50871105 | 7/31/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Jazz Pharmaceuticals PLC | JAZZ | G50871105 | 7/31/2014 | 2 | Approves KPMG LLP as auditors for the fiscal year ending December 31, 2014 and to authorize the Audit Committee of the Board of Directors to determine the auditors' remuneration | Issuer | Yes | For | For |
Jazz Pharmaceuticals PLC | JAZZ | G50871105 | 7/31/2014 | 3 | Authorize the Company and/or any subsidiary of the Company to make market purchases of the Company's ordinary shares | Issuer | Yes | For | For |
Jazz Pharmaceuticals PLC | JAZZ | G50871105 | 7/31/2014 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
INVESTMENT COMPANY REPORT
ALPHAMARK SMALL CAP GROWTH FUND (AMSCX) | |||||||||
PROXY VOTING RECORD: July 1, 2013 to June 30, 2014 | |||||||||
Issuer Name | Ticker Symbol | CUSIP | Shareholder Meeting | 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? |
Omnivision Technologies Inc. | OVTI | 682128103 | 9/26/2013 | 1 | Election of nominee Director | Issuer | Yes | For | For |
Omnivision Technologies Inc. | OVTI | 682128103 | 9/26/2013 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year the fiscal year ending April 30, 2014 | Issuer | Yes | For | For |
Omnivision Technologies Inc. | OVTI | 682128103 | 9/26/2013 | 3 | Approval of certain amendments to the 2007 Equity Incentive Plan, including an amendment to increase the number of shares available for issuance thereunder by 4,900,000 shares | Issuer | Yes | For | For |
Omnivision Technologies Inc. | OVTI | 682128103 | 9/26/2013 | 4 | Approval of an amendment to the 2009 Employee Stock Purchase Plan to increase the number of shares available for issuance thereunder by 2,500,000 shares | Issuer | Yes | For | For |
Omnivision Technologies Inc. | OVTI | 682128103 | 9/26/2013 | 5 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cooper Tire & Rubber Company | CTB | 216831107 | 9/30/2013 | 1 | Adopt the Agreement and Plan of Merger, dated as of June 12, 2013, which we refer to as the merger agreement, by and among Cooper Tire, Apollo Holdings Pvt. Ltd., Apollo Tyres B.V., a wholly owned subsidiary of Parent ("Dutch Holdco"), and Apollo Acquisition Corp., a wholly owned subsidiary of Dutch Holdco | Issuer | Yes | For | For |
Cooper Tire & Rubber Company | CTB | 216831107 | 9/30/2013 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cooper Tire & Rubber Company | CTB | 216831107 | 9/30/2013 | 3 | Approve adjournment of special meeting if there are not sufficient votes | Issuer | Yes | For | For |
Silicon Graphics International Corp. | SIMO | 82706C108 | 12/9/2013 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Silicon Graphics International Corp. | SIMO | 82706C108 | 12/9/2013 | 2 | Ratify the selection of Deloitte & Touche as independent auditors for the fiscal year ending June 27, 2014 | Issuer | Yes | For | For |
Silicon Graphics International Corp. | SIMO | 82706C108 | 12/9/2013 | 3 | Advisory vote on executive officer compensation | ||||
Multimedia Games Holding Company, Inc. | MGAM | 625453105 | 1/30/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Multimedia Games Holding Company, Inc. | MGAM | 625453105 | 1/30/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Multimedia Games Holding Company, Inc. | MGAM | 625453105 | 1/30/2014 | 3 | Ratification of BDO USA, LLP as auditors for the fiscal year ending September 30, 2014 | Issuer | Yes | For | For |
Altra Industrial Motion Corp. | AIMC | 021441100 | 4/24/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Altra Industrial Motion Corp. | AIMC | 021441100 | 4/24/2014 | 2 | Ratify appt of Deloitte & Touche for fiscal year ending December 31, 2014 | Issuer | Yes | For | For |
Altra Industrial Motion Corp. | AIMC | 021441100 | 4/24/2014 | 3 | To approve the adoption of the 2014 Omnibus Incentive Plan | Issuer | Yes | For | For |
Altra Industrial Motion Corp. | AIMC | 021441100 | 4/24/2014 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Astronics Corp. | ATRO | 046433108 | 5/13/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Astronics Corp. | ATRO | 046433108 | 5/13/2014 | 2 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Astronics Corp. | ATRO | 046433108 | 5/13/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 5/14/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 5/14/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Cynosure Inc | CYNO | 232577205 | 5/14/2014 | 3 | Ratification of Ernst & Young LLP as auditors for the fiscal year ending December 31, 2014 | Issuer | Yes | For | For |
Computer Programs and Systems Inc. | CPSI | 205306103 | 5/15/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Computer Programs and Systems Inc. | CPSI | 205306103 | 5/15/2014 | 2 | Approve the adoption of the 2014 incentive plan | Issuer | Yes | For | For |
Computer Programs and Systems Inc. | CPSI | 205306103 | 5/15/2014 | 3 | Approve the amendment and restatement of the 2005 restricted stock plan | Issuer | Yes | For | For |
Computer Programs and Systems Inc. | CPSI | 205306103 | 5/15/2014 | 4 | Ratification of Grant Thornton LLP as auditors for the year ending December 31, 2014 | Issuer | Yes | For | For |
Computer Programs and Systems Inc. | CPSI | 205306103 | 5/15/2014 | 5 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Credit Acceptance Corp. | CACC | 225310101 | 5/15/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Credit Acceptance Corp. | CACC | 225310101 | 5/15/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Credit Acceptance Corp. | CACC | 225310101 | 5/15/2014 | 3 | Ratification of Grant Thornton LLP as auditors for 2014 | Issuer | Yes | For | For |
HFF, Inc. | HF | 40418F108 | 5/22/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
HFF, Inc. | HF | 40418F108 | 5/22/2014 | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
HFF, Inc. | HF | 40418F108 | 5/22/2014 | 3 | Ratification of public accounting firm | Issuer | Yes | For | For |
Belden Inc. | BDC | 077454106 | 5/28/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Belden Inc. | BDC | 077454106 | 5/28/2014 | 2 | Ratification of Ernst & Young LLP as auditors for 2014 | Issuer | Yes | For | For |
Belden Inc. | BDC | 077454106 | 5/28/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
The Ensign Group, Inc. | ENSG | 29358P101 | 5/29/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
The Ensign Group, Inc. | ENSG | 29358P101 | 5/29/2014 | 2 | Ratify appointment of Deloitte & Touche for fiscal year 2014 | Issuer | Yes | For | For |
The Ensign Group, Inc. | ENSG | 29358P101 | 5/29/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
The Ensign Group, Inc. | ENSG | 29358P101 | 5/29/2014 | 4 | Re-approval of the compensationany 2007 omnibus incentive plan | Issuer | Yes | For | For |
The Ensign Group, Inc. | ENSG | 29358P101 | 5/29/2014 | 5 | Stockholder proposal for majority voting in uncontested Director elections | Shareholder | Yes | For | For |
Vaalco Energy, Inc. | EGY | 91851C201 | 6/4/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Vaalco Energy, Inc. | EGY | 91851C201 | 6/4/2014 | 2 | Approve and ratify the 2014 Long Term Incentive Plan | Issuer | Yes | For | For |
Vaalco Energy, Inc. | EGY | 91851C201 | 6/4/2014 | 3 | Ratify the selection of Deloitte & Touche as independent auditors for 2014 | Issuer | Yes | For | For |
Vaalco Energy, Inc. | EGY | 91851C201 | 6/4/2014 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
MarketAxess Holdings Inc. | MKTX | 57060D108 | 6/5/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
MarketAxess Holdings Inc. | MKTX | 57060D108 | 6/5/2014 | 2 | Ratification of PricewaterhouseCoopers LLP as auditors for year ending December 31, 2014 | Issuer | Yes | For | For |
MarketAxess Holdings Inc. | MKTX | 57060D108 | 6/5/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Natus Medical Incorporated | BABY | 639050103 | 6/6/2014 | 1 | Election of nominee Director | Issuer | Yes | For | For |
Natus Medical Incorporated | BABY | 639050103 | 6/6/2014 | 2 | Ratification of KPMG LLP as auditors for the year ending December 31, 2014 | Issuer | Yes | For | For |
Natus Medical Incorporated | BABY | 639050103 | 6/6/2014 | 3 | Approve an amendment to the 2011 Stock Awards Plan | Issuer | Yes | For | For |
Natus Medical Incorporated | BABY | 639050103 | 6/6/2014 | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Momenta Pharmaceuticals, Inc. | MNTA | 60877T100 | 6/11/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Momenta Pharmaceuticals, Inc. | MNTA | 60877T100 | 6/11/2014 | 2 | Ratification of Ernst & Young LLP as auditors for the year ending December 31, 2014 | Issuer | Yes | For | For |
Momenta Pharmaceuticals, Inc. | MNTA | 60877T100 | 6/11/2014 | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
Momenta Pharmaceuticals, Inc. | MNTA | 60877T100 | 6/11/2014 | 4 | Approve the amendment and restatement of the Employee Stock Purchase Plan | Issuer | Yes | For | For |
Momenta Pharmaceuticals, Inc. | MNTA | 60877T100 | 6/11/2014 | 5 | Approve the amendment and restatement of the 2013 Incentive Award Plan that increases the number of shares authorized for issuance by 1,800,000 shares | Issuer | Yes | For | For |
PVH Corp. | PVH | 718592108 | 6/19/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
PVH Corp. | PVH | 718592108 | 6/19/2014 | 2 | Advisory vote on executive officer compensation | Issuer | Yes | For | For |
PVH Corp. | PVH | 718592108 | 6/19/2014 | 3 | Ratification of auditors | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 6/26/2014 | 1 | Election of nominee Directors | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 6/26/2014 | 2 | Say on pay - Advisory vote on executive officer compensation | Issuer | Yes | For | For |
Genesco Inc. | GCO | 371532102 | 6/26/2014 | 3 | Ratification of public accounting firm | Issuer | Yes | For | For |