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 811-23155
IVY NEXTSHARES
(Exact Name as Specified in Charter)
6300 Lamar Avenue, Overland Park, Kansas 66202-4200
(Address of Principal Executive Office) (Zip Code)
Philip A. Shipp, 6300 Lamar Avenue, Overland Park, Kansas 66202-4200
(Name and Address of Agent for Service)
Registrant’s Telephone Number, including Area Code: (913) 236-2000
Date of fiscal year end: June 30
Date of reporting period: July 1, 2019 to June 30, 2020
IVY FOCUSED ENERGY NEXTSHARES
(This fund was liquidated effective September 20, 2019.)
Proxy Voting Record
There was no proxy voting for Ivy Focused Energy NextShares, a series of the Registrant, for the period covered by this report, pursuant to Section 30 of the Investment Company Act of 1940, as amended, and Rule 30b1-4 thereunder.
IVY FOCUSED GROWTH NEXTSHARES
(This fund was liquidated effective September 20, 2019.)
Proxy Voting Record
Vote Summary Report
Reporting Period: 07/01/2019 to 06/30/2020
Location(s): All Locations
Institution Account(s): 2002 Ivy Focused Growth NextShares
VF Corporation
Meeting Date: | 07/16/2019 | Country: | USA | Primary Security ID: | 918204108 | |||||
Record Date: | 05/22/2019 | Meeting Type: | Annual | Ticker: | VFC | |||||
Shares Voted: | 4,346 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Richard T. Carucci | Mgmt | For | For | For | |||||
1.2 | Elect Director Juliana L. Chugg | Mgmt | For | For | For | |||||
1.3 | Elect Director Benno Dorer | Mgmt | For | For | For | |||||
1.4 | Elect Director Mark S. Hoplamazian | Mgmt | For | For | For | |||||
1.5 | Elect Director Laura W. Lang | Mgmt | For | For | For | |||||
1.6 | Elect Director W. Alan McCollough | Mgmt | For | For | For | |||||
1..7 | Elect Director W. Rodney McMullen | Mgmt | For | For | For | |||||
1.8 | Elect Director Clarence Otis, Jr. | Mgmt | For | For | For | |||||
1.9 | Elect Director Steven E. Rendle | Mgmt | For | For | For | |||||
1.10 | Elect Director Carol L. Roberts | Mgmt | For | For | For | |||||
1.11 | Elect Director Matthew J. Shattock | Mgmt | For | For | For | |||||
1.12 | Elect Director Veronica B. Wu | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For |
Electronic Arts Inc.
Meeting Date: | 08/08/2019 | Country: | USA | Primary Security ID: | 285512109 | |||||
Record Date: | 06/14/2019 | Meeting Type: | Annual | Ticker: | EA | |||||
Shares Voted: | 3,965 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Leonard S. Coleman | Mgmt | For | For | For | |||||
1b | Elect Director Jay C. Hoag | Mgmt | For | For | For | |||||
1c | Elect Director Jeffrey T. Huber | Mgmt | For | For | For | |||||
1d | Elect Director Lawrence F. Probst, III | Mgmt | For | For | For | |||||
1e | Elect Director Talbott Roche | Mgmt | For | For | For | |||||
1f | Elect Director Richard A. Simonson | Mgmt | For | For | For | |||||
1g | Elect Director Luis A. Ubinas | Mgmt | For | For | For | |||||
1h | Elect Director Heidi J. Ueberroth | Mgmt | For | For | For | |||||
1i | Elect Director Andrew Wilson | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
4 | Approve Omnibus Stock Plan | Mgmt | For | For | For | |||||
5 | Provide Right for Shareholders Holding 25% or More of the Common Stock to Call Special Meetings | Mgmt | For | For | For | |||||
6 | Provide Right for Shareholders Holding 15% or More of the Common Stock to Call Special Meetings | SH | Against | For | For |
IVY FOCUSED VALUE NEXTSHARES
(This fund was liquidated effective September 20, 2019.)
Proxy Voting Record
Vote Summary Report
Reporting Period: 07/01/2019 to 06/30/2020
Location(s): All Locations
Institution Account(s): 2003 Ivy Focused Value NextShares
NetApp, Inc.
Meeting Date: | 09/12/2019 | Country: | USA | Primary Security ID: | 64110D104 | |||||
Record Date: | 07/17/2019 | Meeting Type: | Annual | Ticker: | NTAP | |||||
Shares Voted: | 5,900 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director T. Michael Nevens | Mgmt | For | For | For | |||||
1b | Elect Director Gerald Held | Mgmt | For | For | For | |||||
1c | Elect Director Kathryn M. Hill | Mgmt | For | For | For | |||||
1d | Elect Director Deborah L. Kerr | Mgmt | For | For | For | |||||
1e | Elect Director George Kurian | Mgmt | For | For | For | |||||
1f | Elect Director Scott F. Schenkel | Mgmt | For | For | For | |||||
1g | Elect Director George T. Shaheen | Mgmt | For | For | For | |||||
2 | Amend Omnibus Stock Plan | Mgmt | For | Refer | For | |||||
3 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
5 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For |
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.
IVY NEXTSHARES | ||
(Registrant) | ||
By: | /s/ Philip A. Shipp | |
Philip A. Shipp, Assistant Secretary | ||
Date: August 31, 2020 | ||
By: | /s/ Philip J. Sanders | |
Philip J. Sanders, President and Principal Executive Officer | ||
Date: August 31, 2020 |