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 811-22732
ETF Series Trust
(Exact name of registrant as specified in charter)
145 Mason Street, 2nd Floor
Greenwich, CT 06830
(Address of principal executive offices) (Zip code)
Corporation Service Company
2711 Centerville Road, Suite 400
Wilmington, DE 19808
(Name and address of agent for service)
With a copy to:
Allison Fumai
Dechert LLP
1095 Avenue of the Americas
New York, New York 10036-6797
Registrant's telephone number, including area code: (203) 900-1400
Date of fiscal year end: October 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 (§§ 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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2013 TO JUNE 30, 2014
| MEETING DATE | HOLDING DATE | TICKER | COMPANY DESCRIPTION | PROXY DESCRIPTION | VOTE |
| 5-Mar | 10-Apr | PCLN | THE PRICELINE GROUP INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 28-Feb | 30-Dec | AAPL | APPLE INC. | ELECTION OF DIRECTORS, COMP, AUDITOR, ICAHN | ABSTAIN |
| 4-Mar | 6-Jan | QCOM | QUALCOMM INCORPORATED | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 6-Mar | 6-Jan | GMCR | GREEN MOUNTAIN COFFEE ROASTERS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR, ICAHN | ABSTAIN |
| 9-Apr | 11-Feb | AVGO | AVAGO TECHNOLOGIES LIMITED | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 11-Apr | 20-Feb | MYL | MYLAN INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 17-Apr | 18-Feb | TXI | TEXAS INSTRUMENTS INCORPORATED | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 22-Apr | 21-Feb | FAST | FASTENAL COMPANY | ELECTION OF DIRECTORS, AUDITOR | ABSTAIN |
| 24-Apr | 25-Feb | ISRG | INTUITIVE SURGICAL, INC | ELECTION OF DIRECTORS, COMP | ABSTAIN |
| 29-Apr | 4-Mar | PCAR | PACCAR INC | ELECTION OF DIRECTORS, SHARES OUT, COMP, AUDITOR | ABSTAIN |
| 29-Apr | 3-Mar | DTV | DIRECTV | ELECTION OF DIRECTORS, COMP, AUDITOR, VESTING, EXECUTIVE COMP RETAIN | ABSTAIN |
| 1-May | 6-Mar | TSCO | TRACTOR SUPPLY COMPANY | ELECTION OF DIRECTORS | ABSTAIN |
| 5-May | 17-Mar | ALXN | ALEXION PHARMACEUTICALS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 6-May | 7-Mar | CHTR | CHARTER COMMUNICATIONS, INC | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 6-May | 3-Mar | KRFT | KRAFT FOODS GOURP, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 6-May | 7-Mar | SIAL | SIGMA-ALDRICH CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 7-May | 10-Mar | ESRX | EXPRESS SCRIPTS HOLDING COMPANY | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 7-May | 6-Mar | EXPD | EXPEDITORS INT'L OF WASHINGTON, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR, STOCK PLANS | ABSTAIN |
| 7-May | 12-Mar | GILD | GILEAD SCIENCES, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 8-May | 14-Mar | SBAC | SBA COMMUNICATIONS CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 8-May | 11-Mar | CHRW | C.H. ROBINSON WORLDWIDE, INC. | ELECTION OF DIRECTORS, COMP | ABSTAIN |
| 9-May | 14-Mar | MAR | MARRIOTT INTERNATIONAL, INC | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 13-May | 17-Mar | BRCM | BROADCOM CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 13-May | 18-Mar | EBAY | EBAY INC. | ELECTION OF DIRECTORS, COMP, AUDITOR, SPINOFF PAYPAL | ABSTAIN |
| 13-May | 24-Mar | CTRX | CATAMARAN CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 13-May | 14-Mar | ALTR | ALTERA CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 14-May | 17-Mar | GOOG | GOOGLE INC. | ELECTION OF DIRECTORS, TAX, AUDIT, 2013 COMP, LOBBYING, VOTING RIGHTS, MAJORITY VOTES FOR DIRECTORS | ABSTAIN |
| 14-May | 26-Mar | AKAM | AKAMAI TECHNOLOGIES, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 15-May | 17-Mar | AMGN | AMGEN INC | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 15-May | 17-Mar | AMGN | AMGEN INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 16-May | 24-Mar | WYNN | WYNN RESORTS, LIMITED | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 16-May | 20-Mar | DISCA | DISCOVERY COMMUNICATIONS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 16-May | 21-Mar | MAT | MATTELL, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 19-May | 28-Mar | SIRI | SIRIUS XM HOLDINGS INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 21-May | 14-Mar | MDLZ | MONDELEZ INTERNATIONAL, INC | ELECTION OF DIRECTORS, COMP | ABSTAIN |
| 21-May | 21-Mar | CMCSA | COMCAST CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 21-May | 25-Mar | ROST | ROSS STORES, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 21-May | 31-Mar | AMZN | AMAZON.COM, INC. | ELECTION OF DIRECTORS, AUDITOR, POLITICAL AND CHARITABLE DONATIONS | ABSTAIN |
| 21-May | 24-Mar | VRSK | VERISK ANALYTICS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 21-May | 21-Mar | SRCL | STERICYCLE, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 22-May | 24-Mar | INTC | INTEL CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 22-May | 24-Mar | FB | FACEBOOK, INC. | ELECTION OF DIRECTORS, AUDITOR, POLITICAL AND CHARITABLE DONATIONS | ABSTAIN |
| 22-May | 1-Apr | CTXS | CITRIX SYSTEMS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 23-May | 25-Mar | NVDA | NVIDIA CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 28-May | 1-Apr | ILMN | ILLUMINA, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 28-May | 31-Mar | HSIC | HENRY SCHEIN, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 2-Jun | 9-Apr | MNST | MONSTER BEVERAGE CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 2-Jun | 7-Apr | SPLS | STAPLES, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 3-Jun | 10-Apr | TSLA | TESLA MOTORS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 3-Jun | 7-Apr | CTSH | COGNIZANT TECHNOLOGY SOLUTIONS CORP. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 4-Jun | 21-Apr | EQIX | EQUINIX, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 5-Jun | 7-Apr | ATVI | ACTIVISION BLIZZARD, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR, VIVENDI | ABSTAIN |
| 6-Jun | 11-Apr | GRMN | GARMIN LTD. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 9-Jun | 11-Apr | NFLX | NETFLIX, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 10-Jun | 11-Apr | ADSK | AUTODESK, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 12-Jun | 15-Apr | BIIB | BIOGEN IDEC INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 12-Jun | 21-Apr | TRIP | TRIPADVISOR, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 13-Jun | 17-Apr | REGN | REGENERON PHARMACEUTICALS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 17-Jun | 21-Apr | EXPE | EXPEDIA, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 18-Jun | 21-Apr | CELG | CELGENE CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 19-Jun | 21-Apr | SNDK | SANDISK CORPORATION | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 19-Jun | 11-Apr | DLTR | DOLLAR TREE, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 23-Jun | 9-May | AMAT | APPLIED MATERIALS, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 25-Jun | 28-Apr | YHOO | YAHOO! INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 26-Jun | 28-Apr | LBTYA | LIBERTY GLOBAL PLC-A | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 28-Jul | 25-Jun | VIP | VIMPELCOM LTD-SPON ADR | ELECTION OF DIRECTORS, AUDITOR | ABSTAIN |
| 29-Jul | 3-Jun | VOD | VODAFONE GROUP PLC-SP ADR | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 30-Jul | 5-Jun | CA | CA, INC. | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
| 4-Aug | 19-Jun | LMCA | LIBERTY MEDIA CORP - A | ELECTION OF DIRECTORS, AUDITOR | ABSTAIN |
| 4-Aug | 19-Jun | LINTA | LIBERTY INTERACTIVE CORP-A | ELECTION OF DIRECTORS, COMP, AUDITOR | ABSTAIN |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Registrant | ETF Series Trust |
| By (Signature and Title)* | /s/ Garrett Paolella |
| Garrett Paolella, President and Chief Executive Officer | |
| (principal executive officer) |
| Date | 8/29/2014 |
*Print the name and title of each signing officer under his or her signature.