OMB APPROVAL |
OMB Number: 3235-0582 |
Expires: March 31, 2018 |
Estimated average burden hours per response 7.2 |
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 | 811-22858 |
WST Investment Trust |
(Exact name of registrant as specified in charter) |
150 W. Main Street, Suite 1700 Norfolk, Virginia | 23510-1666 |
(Address of principal executive offices) | (Zip code) |
Simon Berry, Esq.
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: | (866) 515-4626 |
Date of fiscal year end: | August 31 | |
Date of reporting period: | July 1, 2016 – June 30, 2017 |
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) WST Investment Trust
By (Signature and Title)* | /s/ Wayne F. Wilbanks | ||
Wayne F. Wilbanks, President | |||
Date | August 14, 2017 |
* | Print the name and title of each signing officer under his or her signature. |
EXHIBIT A
WSTCM Sector Select Risk-Managed Fund
PROXY VOTING RECORD - July 1, 2016 - June 30, 2017
Vote Summary
INVESCO SHORT-TERM INVESTMENTS TRUST | |||||||||||||||
Security | 825252406 | Meeting Type | Special | ||||||||||||
Ticker Symbol | TRPXX | Meeting Date | 06-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | DAVID C. ARCH | For | For | For | None | ||||||||||
2 | JAMES T. BUNCH | For | For | For | None | ||||||||||
3 | BRUCE L. CROCKETT | For | For | For | None | ||||||||||
4 | JACK M. FIELDS | For | For | For | None | ||||||||||
5 | MARTIN L. FLANAGAN | For | For | For | None | ||||||||||
6 | CYNTHIA HOSTETLER | For | For | For | None | ||||||||||
7 | DR. ELI JONES | For | For | For | None | ||||||||||
8 | DR. PREMA MATHAI-DAVIS | For | For | For | None | ||||||||||
9 | TERESA M. RESSEL | For | For | For | None | ||||||||||
10 | DR. LARRY SOLL | For | For | For | None | ||||||||||
11 | ANN BARNETT STERN | For | For | For | None | ||||||||||
12 | RAYMOND STICKEL, JR. | For | For | For | None | ||||||||||
13 | PHILIP A. TAYLOR | For | For | For | None | ||||||||||
14 | ROBERT C. TROCCOLI | For | For | For | None | ||||||||||
15 | CHRISTOPHER L. WILSON | For | For | For | None | ||||||||||
2. | TO APPROVE AN AMENDMENT TO EACH TRUST'S AGREEMENT AND DECLARATION OF TRUST THAT WOULD PERMIT FUND MERGERS AND OTHER SIGNIFICANT TRANSACTIONS UPON THE BOARD'S APPROVAL BUT WITHOUT SHAREHOLDER APPROVAL OF SUCH TRANSACTIONS. | Management | For | For | For | None | |||||||||
3. | TO APPROVE CHANGING THE FUNDAMENTAL INVESTMENT RESTRICTION REGARDING THE PURCHASE OR SALE OF PHYSICAL COMMODITIES. | Management | For | For | For | None | |||||||||
4A. | TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB- ADVISORY CONTRACT TO ADD INVESCO POWERSHARES CAPITAL MANAGEMENT LLC. | Management | For | For | For | None | |||||||||
4B. | TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB- ADVISORY CONTRACT TO ADD INVESCO ASSET MANAGEMENT (INDIA) PRIVATE LIMITED. | Management | For | For | For | None | |||||||||
ISHARES MSCI FUND | |||||||||||||||
Security | 46429B655 | Meeting Type | Special | ||||||||||||
Ticker Symbol | FLOT | Meeting Date | 19-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | JANE D. CARLIN | For | For | For | None | ||||||||||
2 | RICHARD L. FAGNANI | For | For | For | None | ||||||||||
3 | DREW E. LAWTON | For | For | For | None | ||||||||||
4 | MADHAV V. RAJAN | For | For | For | None | ||||||||||
5 | MARK WIEDMAN | For | For | For | None | ||||||||||
ISHARES TRUST | |||||||||||||||
Security | 464287226 | Meeting Type | Special | ||||||||||||
Ticker Symbol | AGG | Meeting Date | 19-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | JANE D. CARLIN | For | For | For | None | ||||||||||
2 | RICHARD L. FAGNANI | For | For | For | None | ||||||||||
3 | DREW E. LAWTON | For | For | For | None | ||||||||||
4 | MADHAV V. RAJAN | For | For | For | None | ||||||||||
5 | MARK WIEDMAN | For | For | For | None |
WSTCM Credit Select Risk-Managed Fund
PROXY VOTING RECORD - July 1, 2016 - June 30, 2017
Vote Summary
HENDERSON GLOBAL FUNDS | |||||||||||||||
Security | 425067360 | Meeting Type | Special | ||||||||||||
Ticker Symbol | HYOIX | Meeting Date | 15-May-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | TO APPROVE THE PROPOSED AGREEMENT AND PLAN OF REORGANIZATION THAT PROVIDES FOR THE REORGANIZATION OF THE HENDERSON HIGH YIELD OPPORTUNITIES FUND INTO THE T. ROWE PRICE U.S. HIGH YIELD FUND. | Management | For | For | For | None | |||||||||
JANUS INVESTMENT FUND | |||||||||||||||
Security | 47103C571 | Meeting Type | Special | ||||||||||||
Ticker Symbol | JHYFX | Meeting Date | 17-May-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE TRUST, ON BEHALF OF YOUR FUND, AND JANUS CAPITAL MANAGEMENT LLC ("JANUS CAPITAL" OR THE "ADVISER"). | Management | For | For | For | None | |||||||||
4. | DIRECTOR | Management | |||||||||||||
1 | DIANE L. WALLACE | For | For | For | None | ||||||||||
5. | TO APPROVE A PROPOSAL THAT WOULD AUTHORIZE THE ADVISER TO ENTER INTO AND MATERIALLY AMEND SUB-ADVISORY AGREEMENTS IN THE FUTURE WITH WHOLLY-OWNED SUB- ADVISERS AND UNAFFILIATED SUB- ADVISERS, WITH THE APPROVAL OF THE BOARD OF TRUSTEES OF THE TRUST, BUT WITHOUT OBTAINING ADDITIONAL SHAREHOLDER APPROVAL (THE "MANAGER OF MANAGERS PROPOSAL"). | Management | For | For | For | None | |||||||||
INVESCO SHORT-TERM INVESTMENTS TRUST | |||||||||||||||
Security | 825252406 | Meeting Type | Special | ||||||||||||
Ticker Symbol | TRPXX | Meeting Date | 06-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | DAVID C. ARCH | For | For | For | None | ||||||||||
2 | JAMES T. BUNCH | For | For | For | None | ||||||||||
3 | BRUCE L. CROCKETT | For | For | For | None | ||||||||||
4 | JACK M. FIELDS | For | For | For | None | ||||||||||
5 | MARTIN L. FLANAGAN | For | For | For | None | ||||||||||
6 | CYNTHIA HOSTETLER | For | For | For | None | ||||||||||
7 | DR. ELI JONES | For | For | For | None | ||||||||||
8 | DR. PREMA MATHAI-DAVIS | For | For | For | None | ||||||||||
9 | TERESA M. RESSEL | For | For | For | None | ||||||||||
10 | DR. LARRY SOLL | For | For | For | None | ||||||||||
11 | ANN BARNETT STERN | For | For | For | None | ||||||||||
12 | RAYMOND STICKEL, JR. | For | For | For | None | ||||||||||
13 | PHILIP A. TAYLOR | For | For | For | None | ||||||||||
14 | ROBERT C. TROCCOLI | For | For | For | None | ||||||||||
15 | CHRISTOPHER L. WILSON | For | For | For | None | ||||||||||
2. | TO APPROVE AN AMENDMENT TO EACH TRUST'S AGREEMENT AND DECLARATION OF TRUST THAT WOULD PERMIT FUND MERGERS AND OTHER SIGNIFICANT TRANSACTIONS UPON THE BOARD'S APPROVAL BUT WITHOUT SHAREHOLDER APPROVAL OF SUCH TRANSACTIONS. | Management | For | For | For | None | |||||||||
3. | TO APPROVE CHANGING THE FUNDAMENTAL INVESTMENT RESTRICTION REGARDING THE PURCHASE OR SALE OF PHYSICAL COMMODITIES. | Management | For | For | For | None | |||||||||
4A. | TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB- ADVISORY CONTRACT TO ADD INVESCO POWERSHARES CAPITAL MANAGEMENT LLC. | Management | For | For | For | None | |||||||||
4B. | TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB- ADVISORY CONTRACT TO ADD INVESCO ASSET MANAGEMENT (INDIA) PRIVATE LIMITED. | Management | For | For | For | None | |||||||||
ISHARES | |||||||||||||||
Security | 46434V407 | Meeting Type | Special | ||||||||||||
Ticker Symbol | SHYG | Meeting Date | 19-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | JANE D. CARLIN | For | For | For | None | ||||||||||
2 | RICHARD L. FAGNANI | For | For | For | None | ||||||||||
3 | DREW E. LAWTON | For | For | For | None | ||||||||||
4 | MADHAV V. RAJAN | For | For | For | None | ||||||||||
5 | MARK WIEDMAN | For | For | For | None | ||||||||||
ISHARES MORNINGSTAR FUND | |||||||||||||||
Security | 464288513 | Meeting Type | Special | ||||||||||||
Ticker Symbol | HYG | Meeting Date | 19-Jun-2017 | ||||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | For/Against Preferred Provider Recommendation | |||||||||
1. | DIRECTOR | Management | |||||||||||||
1 | JANE D. CARLIN | For | For | For | None | ||||||||||
2 | RICHARD L. FAGNANI | For | For | For | None | ||||||||||
3 | DREW E. LAWTON | For | For | For | None | ||||||||||
4 | MADHAV V. RAJAN | For | For | For | None | ||||||||||
5 | MARK WIEDMAN | For | For | For | None |