UNITED STATES | |||
SECURITIES AND EXCHANGE COMMISSIO | |||
WASHINGTON, D.C. 20549 | |||
FORM N-PX | |||
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED | |||
MANAGEMENT INVESTMENT COMPANY | |||
| |||
INVESTMENT COMPANY ACT FILE NUMBER: | 811-23084 | ||
NAME OF REGISTRANT: | Series Portfolios Trust | ||
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: | 615 East Michigan Street Milwaukee, WI 53202 | ||
NAME AND ADDRESS OF AGENT FOR SERVICE: | Ryan Roell, President Series Portfolios Trust c/o U.S. Bancorp Fund Services, LLC 777 East Wisconsin Ave, 5th FL Milwaukee, WI 53202 | ||
REGISTRANT'S TELEPHONE NUMBER: | 414-765-6839 | ||
DATE OF FISCAL YEAR END: | 12/31 | ||
DATE OF REPORTING PERIOD: | 07/01/2019 to 06/30/2020 | ||
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Palm Valley Capital Fund | |||
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AMDOCS LIMITED | |||
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CUSIP: G02602103 | |||
Meeting Type: Annual | |||
Meeting Date: 31-January-2020 | |||
Ticker: DOX | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1A. Election of Director: Robert A. Minicucci | Mgmt | For | For |
1B. Election of Director: Adrian Gardner | Mgmt | For | For |
1C. Election of Director: James S. Kahan | Mgmt | For | For |
1D. Election of Director: Rafael de la Vega | Mgmt | For | For |
1E. Election of Director: Giora Yaron | Mgmt | For | For |
1F. Election of Director: Eli Gelman | Mgmt | For | For |
1G. Election of Director: Richard T.C. LeFave | Mgmt | For | For |
1H. Election of Director: John A. MacDonald | Mgmt | For | For |
1I. Election of Director: Shuky Sheffer | Mgmt | For | For |
1J. Election of Director: Yvette Kanouff | Mgmt | For | For |
2. To approve an amendment of the Amdocs Limited | Mgmt | For | For |
1998 Stock Option and Incentive Plan increasing | |||
the number of shares authorized for issuance under | |||
the plan and the sublimit on "full value" awards | |||
under the plan, in each case, by 3,000,000 shares | |||
(Proposal II). | |||
3. To approve an increase in the dividend rate under | Mgmt | For | For |
our quarterly cash dividend program from $0.285 | |||
per share to $0.3275 per share (Proposal III). | |||
4. To approve our Consolidated Financial Statements | Mgmt | For | For |
for the fiscal year ended September 30, 2019 | |||
(Proposal IV). | |||
5. To ratify and approve the appointment of Ernst & | Mgmt | For | For |
Young LLP as our independent registered public | |||
accounting firm for the fiscal year ending | |||
September 30, 2020, and until the next annual | |||
general meeting, and authorize the Audit | |||
Committee of the Board of Directors to fix the | |||
remuneration of such independent registered public | |||
accounting firm in accordance with the nature and | |||
extent of its services (Proposal V). | |||
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ALAMOS GOLD INC. | |||
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CUSIP: 011532108 | |||
Meeting Type: Annual | |||
Meeting Date: 20-May-2020 | |||
Ticker: AGI | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Elaine Ellingham | Mgmt | For | For |
David Fleck | Mgmt | For | For |
David Gower | Mgmt | For | For |
Claire M. Kennedy | Mgmt | For | For |
John A. McCluskey | Mgmt | For | For |
Monique Mercier | Mgmt | For | For |
Paul J. Murphy | Mgmt | For | For |
J. Robert S. Prichard | Mgmt | For | For |
Ronald E. Smith | Mgmt | For | For |
Kenneth Stowe | Mgmt | For | For |
2. Appointment of KPMG LLP as auditors of the | Mgmt | For | For |
Company for the ensuing year and authorizing the | |||
directors to fix their remuneration. | |||
3. To consider, and if deemed advisable, pass a | Mgmt | For | For |
�� resolution to approve an advisory resolution on the | |||
Company's approach to executive compensation. | |||
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BENCHMARK ELECTRONICS, INC. | |||
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CUSIP: 08160H101 | |||
Meeting Type: Annual | |||
Meeting Date: 13-May-2020 | |||
Ticker: BHE | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Bruce A. Carlson | Mgmt | For | For |
Douglas G. Duncan | Mgmt | For | For |
Robert K. Gifford | Mgmt | For | For |
Kenneth T. Lamneck | Mgmt | For | For |
Jeffrey S. McCreary | Mgmt | For | For |
Merilee Raines | Mgmt | For | For |
David W. Scheible | Mgmt | For | For |
Jeffrey W. Benck | Mgmt | For | For |
Anne De Greef-Safft | Mgmt | For | For |
2. Approve the compensation of the Company's | Mgmt | For | For |
named executive officers. | |||
3. Ratify the appointment of KPMG LLP as | Mgmt | For | For |
independent registered public accounting firm. | |||
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BONANZA CREEK ENERGY INC. | |||
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CUSIP: 097793400 | |||
Meeting Type: Annual | |||
Meeting Date: 3-June-2020 | |||
Ticker: BCEI | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Carrie L. Hudak | Mgmt | For | For |
Eric T. Greager | Mgmt | For | For |
Paul Keglevic | Mgmt | For | For |
Brian Steck | Mgmt | For | For |
Jack E. Vaughn | Mgmt | For | For |
Scott D. Vogel | Mgmt | For | For |
Jeffrey E. Wojahn | Mgmt | For | For |
2. Ratify the selection of Deloitte & Touche LLP as the | Mgmt | For | For |
Company's independent registered public | |||
accountant for 2020. | |||
3. To approve, on an advisory basis, the | Mgmt | For | For |
compensation of our named executive officers. | |||
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CARTER'S INC. | |||
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CUSIP: 146229109 | |||
Meeting Type: Annual | |||
Meeting Date: 14-May-2020 | |||
Ticker: CRI | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1A. Election of Director: Hali Borenstein | Mgmt | For | For |
1B. Election of Director: Amy Woods Brinkley | Mgmt | For | For |
1C. Election of Director: Giuseppina Buonfantino | Mgmt | For | For |
1D. Election of Director: Michael D. Casey | Mgmt | For | For |
1E. Election of Director: A. Bruce Cleverly | Mgmt | For | For |
1F. Election of Director: Jevin S. Eagle | Mgmt | For | For |
1G. Election of Director: Mark P. Hipp | Mgmt | For | For |
1H. Election of Director: William J. Montgoris | Mgmt | For | For |
1I. Election of Director: Richard A. Noll | Mgmt | For | For |
1J. Election of Director: Gretchen W. Price | Mgmt | For | For |
1K. Election of Director: David Pulver | Mgmt | For | For |
1L. Election of Director: Thomas E. Whiddon | Mgmt | For | For |
2. Advisory approval of executive compensation. | Mgmt | For | For |
3. Ratification of the appointment of | Mgmt | For | For |
PricewaterhouseCoopers LLP as the Company's | |||
independent registered public accounting firm for | |||
fiscal 2020. | |||
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CRAWFORD & COMPANY | |||
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CUSIP: 224633107 | |||
Meeting Type: Annual | |||
Meeting Date: 15-May-2020 | |||
Ticker: CRD.B | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
H. V. Agadi | Mgmt | Withhold | Against |
I. K. Beale | Mgmt | Withhold | Against |
J. C. Crawford | Mgmt | Withhold | Against |
J. C. Crawford, Jr. | Mgmt | Withhold | Against |
L. G. Hannusch | Mgmt | Withhold | Against |
M. E. Jarrard | Mgmt | Withhold | Against |
C. H. Ogburn | Mgmt | Withhold | Against |
R. Patel | Mgmt | Withhold | Against |
D. R. Williams | Mgmt | Withhold | Against |
2. Proposal to approve an amendment to the Crawford | Mgmt | For | For |
& Company International Employee Stock Purchase | |||
Plan. | |||
3. Proposal to ratify the appointment of Ernst & Young | Mgmt | For | For |
LLP as independent auditor for the Company for | |||
the 2020 fiscal year. | |||
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CRIMSON WINE GROUP, LTD. | |||
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CUSIP: 22662X100 | |||
Meeting Type: Annual | |||
Meeting Date: 26-July-2019 | |||
Ticker: CWGL | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
John D. Cumming | Mgmt | For | For |
Joseph S. Steinberg | Mgmt | For | For |
Avraham N. Neikrug | Mgmt | For | For |
Douglas M. Carlson | Mgmt | For | For |
Craig D. Williams | Mgmt | For | For |
Colby A. Rollins | Mgmt | For | For |
Luanne D. Tierney | Mgmt | For | For |
2. Ratification of the selection of BPM LLP as | Mgmt | For | For |
independent auditors of the company for the year | |||
ending December 31, 2019. | |||
3. To approve, on an advisory basis, the | Mgmt | For | For |
compensation of the Company's named executive | |||
officers ("say-on-pay"). | |||
4. To vote, on an advisory basis, on the frequency of | Mgmt | 1 Year | Against |
future say-on-pay votes ("say-on-frequency"). | |||
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DICK'S SPORTING GOODS, INC. | |||
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CUSIP: 253393102 | |||
Meeting Type: Annual | |||
Meeting Date: 10-June-2020 | |||
Ticker: DKS | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Edward W. Stack | Mgmt | For | For |
Lauren R. Hobart | Mgmt | For | For |
Lawrence J. Schorr | Mgmt | For | For |
2. Ratification of the appointment of Deloitte & Touche | Mgmt | For | For |
LLP as the Company's independent registered | |||
public accounting firm for fiscal 2020. | |||
3. Non-binding advisory vote to approve | Mgmt | For | For |
compensation of named executive officers, as | |||
disclosed in the Company's 2020 proxy statement. | |||
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EURONET WORLDWIDE, INC. | |||
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CUSIP: 298736109 | |||
Meeting Type: Annual | |||
Meeting Date: 21-May-2020 | |||
Ticker: EEFT | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Andrzej Olechowski | Mgmt | For | For |
Eriberto R. Scocimara | Mgmt | For | For |
Mark R. Callegari | Mgmt | For | For |
2. Ratification of the appointment of KPMG LLP as | Mgmt | For | For |
Euronet's independent registered public accounting | |||
firm for the year ending December 31, 2020. | |||
3. Advisory vote on executive compensation. | Mgmt | For | For |
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FAF TREASURY OBLIGATIONS FUND | |||
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CUSIP: 31846V328 | |||
Meeting Type: Special | |||
Meeting Date: 29-August-2019 | |||
Ticker: FXFXX | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
David K. Baumgardner | Mgmt | For | For |
Mark E. Gaumond | Mgmt | For | For |
Roger A. Gibson | Mgmt | For | For |
Jennifer J. McPeek | Mgmt | For | For |
C. David Myers | Mgmt | For | For |
Richard K. Riederer | Mgmt | For | For |
P. Kelly Tompkins | Mgmt | For | For |
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HEALTHCARE SERVICES GROUP, INC. | |||
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CUSIP: 421906108 | |||
Meeting Type: Annual | |||
Meeting Date: 26-May-2020 | |||
Ticker: HCSG | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Theodore Wahl | Mgmt | For | For |
John M. Briggs | Mgmt | For | For |
Robert L. Frome | Mgmt | For | For |
Dino D. Ottaviano | Mgmt | For | For |
Michael E. McBryan | Mgmt | For | For |
Diane S. Casey | Mgmt | For | For |
John J. McFadden | Mgmt | For | For |
Jude Visconto | Mgmt | For | For |
Daniela Castagnino | Mgmt | For | For |
Laura Grant | |||
2. To approve and ratify the selection of Grant | Mgmt | For | For |
Thornton LLP as the independent registered public | |||
accounting firm of the Company for the current | |||
fiscal year ending December 31, 2020. | |||
3. To consider an advisory vote on executive | Mgmt | For | For |
compensation. | |||
4. To approve and adopt the Company's 2020 | Mgmt | For | For |
Omnibus Incentive Plan. | |||
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OSISKO GOLD ROYALTIES LTD | |||
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CUSIP: 68827L101 | |||
Meeting Type: Annual | |||
Meeting Date: 22-June-2020 | |||
Ticker: OR | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
The Hon. John R. Baird | Mgmt | For | For |
Françoise Bertrand | Mgmt | For | For |
John Burzynski | Mgmt | For | For |
Christopher C. Curfman | Mgmt | For | For |
Joanne Ferstman | Mgmt | For | For |
William Murray John | Mgmt | For | For |
Pierre Labbé | Mgmt | For | For |
Charles E. Page | Mgmt | For | For |
Sean Roosen | Mgmt | For | For |
2. To appoint PricewaterhouseCoopers LLP as the | Mgmt | For | For |
Corporation's independent auditor for the ensuing | |||
year and to authorize the directors to fix its | |||
remuneration. | |||
3. Ordinary resolution to approve the unallocated | Mgmt | For | For |
options and amendments to the Stock Option Plan, | |||
as more fully described in the Circular. | |||
4. Ordinary resolution to approve the amendments to | Mgmt | For | For |
the Employee Share Purchase Plan, as more fully | |||
described in the Circular. | |||
5. Ordinary resolution to approve the amendments to | Mgmt | For | For |
the Restricted Share Unit Plan, as more fully | |||
described in the Circular. | |||
6. Ordinary resolution to approve the continuation of | Mgmt | For | For |
the Amended and Restated Shareholder Rights | |||
Plan, as more fully described in the Circular. | |||
7. Advisory resolution accepting Osisko's approach to | Mgmt | For | For |
executive compensation, the full text of which is | |||
reproduced in the accompanying Circular. | |||
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UNITED-GUARDIAN, INC. | |||
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CUSIP: 910571108 | |||
Meeting Type: Annual | |||
Meeting Date: 20-May-2020 | |||
Ticker: UG | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | |||
Robert S. Rubinger | Mgmt | For | For |
Kenneth H. Globus | Mgmt | For | For |
Lawrence F. Maietta | Mgmt | For | For |
Arthur M. Dresne | Mgmt | For | For |
Andrew A. Boccone | Mgmt | For | For |
S. Ari Papoulias | Mgmt | For | For |
2. APPROVAL ON AN ADVISORY BASIS TO HOLD A | Mgmt | For | For |
VOTE EVERY YEAR ON THE COMPENSATION | |||
PAID TO THE COMPANY'S NAMED EXECUTIVE | |||
OFFICERS | |||
3. APPROVAL ON AN ADVISORY BASIS, OF THE | Mgmt | For | For |
COMPENSATION OF THE COMPANY'S NAMED | |||
EXECUTIVE OFFICERS. | |||
4. PROPOSAL TO RATIFY THE APPOINTMENT OF | Mgmt | For | For |
BAKER TILLY VIRCHOW KRAUSE, LLP AS THE | |||
INDEPENDENT PUBLIC ACCOUNTANTS OF THE | |||
COMPANY FOR THE FISCAL YEAR ENDING | |||
DECEMBER 31, 2020. | |||
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WEIS MARKETS, INC. | |||
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CUSIP: 948849104 | |||
Meeting Type: Annual | |||
Meeting Date: 30-April-2020 | |||
Ticker: WMK | |||
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Prop.# Proposal | Proposal | Proposal | For/Against |
Type | Vote | Management | |
1. DIRECTOR | Mgmt | For | For |
Jonathan H. Weis | Mgmt | For | For |
Harold G. Graber | Mgmt | For | For |
Dennis G. Hatchell | Mgmt | For | For |
Edward J. Lauth III | Mgmt | For | For |
Gerrald B. Silverman | Mgmt | For | For |
2. Proposal to ratify the appointment of RSM US LLP | Mgmt | For | For |
as the independent registered public accounting | |||
firm of the corporation. | |||
3. Proposal to provide an advisory vote to approve the | Mgmt | For | For |
executive compensation of the Company's named | |||
executive officers. | |||
4. Proposal to provide an advisory vote on the | Mgmt | 1 Year | Against |
frequency of the advisory vote to approve executive | |||
compensation. | |||
5. Shareholder proposal to amend the Company's | Shareholder | Abstain | Abstain |
articles of incorporation and/or bylaws to provide | |||
that directors shall be elected by the affirmative | |||
vote of the majority of votes cast at an annual | |||
meeting of shareholders in uncontested elections. | |||
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: | Series Portfolios Trust | |||
Signature: | /s/ Ryan Roell | |||
Name: | Ryan Roell | |||
Title: | President | |||
Date: | August 7, 2020 |