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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 | 811-22960 | |
Eubel Brady & Suttman Mutual Fund Trust |
(Exact name of registrant as specified in charter) |
225 Pictoria Drive, Suite 450 Cincinnati, Ohio | 45246 |
(Address of principal executive offices) | (Zip code) |
Carol J. Highsmith
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) 869-4300 | |
Date of fiscal year end: | July 31 | |
| | |
Date of reporting period: | July 1, 2018 – June 30, 2019 | |
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, 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) | Eubel Brady & Suttman Mutual Fund Trust | |
By (Signature and Title)* | /s/ Scott E. Lundy | |
| Scott E. Lundy, President | |
| * | Print the name and title of each signing officer under his or her signature. |
EXHIBIT A
EUBEL BRADY & SUTTMAN INCOME & APPRECIATION FUND |
Proxy Voting Record - July 1, 2018 to June 30, 2019 |
Issuer | Ticker | CUSIP | Meeting Date | Matter Voted On | Proposed By | Fund Vote | For/Against Mgmt |
| | | | | | | |
Air Industries | AIRI | 00912N205 | 11/29/2018 | Elect Director Michael N. Taglich | Management | Withhold | |
| | | | Elect Director Peter D. Rettaliata | Management | Withhold | |
| | | | Elect Director Robert F. Taglich | Management | Withhold | |
| | | | Elect Director David J. Buonanno | Management | Withhold | |
| | | | Elect Director Robert C. Schroeder | Management | Withhold | |
| | | | Elect Director Michael Brand | Management | For | For |
| | | | Elect Director Michael D. Porcelain | Management | Withhold | |
| | | | Approve Issuance of Shares for a Private Placement | Management | For | For |
| | | | Ratify Rotenberg Meril Solomon Bertiger & Guttilla, P.C. as Auditors | Management | For | For |
| | | | | | | |
Air Industries | AIRI | 00912N205 | 6/25/2019 | Elect Director Michael N. Taglich | Management | Withhold | |
| | | | Elect Director Peter D. Rettaliata | Management | Withhold | |
| | | | Elect Director Robert F. Taglich | Management | Withhold | |
| | | | Elect Director David J. Buonanno | Management | Withhold | |
| | | | Elect Director Robert C. Schroeder | Management | Withhold | |
| | | | Elect Director Michael Brand | Management | Withhold | |
| | | | Elect Director Michael D. Porcelain | Management | Withhold | |
| | | | Increase Authorized Common Stock | Management | For | For |
| | | | Ratify Rotenberg Meril Solomon Bertiger & Guttilla, P.C. as Auditors | Management | For | For |
| | | | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| | | | Advisory Vote on Say on Pay Frequency | Management | One Year | |
| | | | | | | |
Capital One Financial Corporation | COF | 14040H105 | 5/2/2019 | Elect Director Richard D. Fairbank | Management | | |
| | | | Elect Director Aparna Chennapragada | Management | | |
| | | | Elect Director Ann Fritz Hackett | Management | | |
| | | | Elect Director Peter Thomas Killalea | Management | | |
| | | | Elect Director Cornelis Petrus Adrianus Joseph "Eli" Leenaars | Management | | |
| | | | Elect Director Pierre E. Leroy | Management | | |
| | | | Elect Director Francois Locoh-Donou | Management | | |
| | | | Elect Director Peter E. Raskind | Management | | |
| | | | Elect Director Mayo A. Shattuck, III | Management | | |
| | | | Elect Director Bradford H. Warner | Management | | |
| | | | Elect Director Catherine G. West | Management | | |
| | | | Ratify Ernst & Young LLP as Auditors | Management | | |
| | | | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | | |
| | | | Amend Omnibus Stock Plan | Management | | |
| | | | Provide Right to Act by Written Consent | Shareholder | | |
EUBEL BRADY & SUTTMAN INCOME FUND |
Proxy Voting Record - July 1, 2018 to June 30, 2019 |
| | | | | | | |
The Fund held no securities that were entitled to vote during the reporting period. | | | |