UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
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 811-23196
131 Plantation Ridge Drive, Suite 100
Mooresville, NC 28117
(Address of principal executive offices) (Zip code)
(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)
(Name and address of agent for service)
Registrant's telephone number, including area code: 402-829-9405
Date of fiscal year end: December 31
Date of reporting period: July 1, 2017 – June 30, 2018
Item 1. Proxy Voting Record.
Name of Fund: | CWA Income ETF | ||
Period: | July 1, 2017 - June 30, 2018 | ||
Company Name | Meeting Date | CUSIP | Ticker |
CISCO SYSTEMS, INC. | 12/11/2017 | 17275R102 | CSCO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1A. Elect Director Carol A. Bartz | Issuer |
For | For | 1B. Elect Director M. Michele Burns | Issuer |
For | For | 1C. Elect Director Michael D. Capellas | Issuer |
For | For | 1D. Elect Director Amy L. Chang | Issuer |
For | For | 1E. Elect Director John L. Hennessy | Issuer |
For | For | 1F. Elect Director Kristina M. Johnson | Issuer |
For | For | 1G. Elect Director Roderick C. McGeary | Issuer |
For | For | 1H. Elect Director Charles H. Robbins | Issuer |
For | For | 1I. Elect Director Arun Sarin | Issuer |
For | For | 1J. Elect Director Brenton L. Saunders | Issuer |
For | For | 1K. Elect Director Steven M. West | Issuer |
For | For | 2. Amend Omnibus Stock Plan | Issuer |
For | For | 3. Amend Executive Incentive Bonus Plan | Issuer |
For | For | 4. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
One Year | One Year | 5. Advisory Vote on Say on Pay Frequency | Issuer |
For | For | 6. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
For | Against | 7. Report on Lobbying Payments and Policy | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
INTERNATIONAL BUSINESS MACHINES CORP. | 4/24/2018 | 459200101 | IBM |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Kenneth I. Chenault | Issuer |
For | For | 1.2 Elect Director Michael L. Eskew | Issuer |
For | For | 1.3 Elect Director David N. Farr | Issuer |
For | For | 1.4 Elect Director Alex Gorsky | Issuer |
For | For | 1.5 Elect Director Shirley Ann Jackson | Issuer |
For | For | 1.6 Elect Director Andrew N. Liveris | Issuer |
For | For | 1.7 Elect Director Hutham S. Olayan | Issuer |
For | For | 1.8 Elect Director James W. Owens | Issuer |
For | For | 1.9 Elect Director Virginia M. Rometty | Issuer |
For | For | 1.10 Elect Director Joseph R. Swedish | Issuer |
For | For | 1.11 Elect Director Sidney Taurel | Issuer |
For | For | 1.12 Elect Director Peter R. Voser | Issuer |
For | For | 1.13 Elect Director Frederick H. Waddell | Issuer |
For | For | 2. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | Against | 4. Report on Lobbying Payments and Policy | Stockholder |
For | Against | 5. Reduce Ownership Threshold for Shareholders to Call Special Meeting | Stockholder |
For | Against | 6. Require Independent Board Chairman | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
PFIZER INC. | 4/26/2018 | 717081103 | PFE |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Dennis A. Ausiello | Issuer |
For | For | 1.2 Elect Director Ronald E. Blaylock | Issuer |
For | For | 1.3 Elect Director Albert Bourla | Issuer |
For | For | 1.4 Elect Director W. Don Cornwell | Issuer |
For | For | 1.5 Elect Director Joseph J. Echevarria | Issuer |
For | For | 1.6 Elect Director Helen H. Hobbs | Issuer |
For | For | 1.7 Elect Director James M. Kilts | Issuer |
For | For | 1.8 Elect Director Dan R. Littman | Issuer |
For | For | 1.9 Elect Director Shantanu Narayen | Issuer |
For | For | 1.10 Elect Director Suzanne Nora Johnson | Issuer |
For | For | 1.11 Elect Director Ian C. Read | Issuer |
For | For | 1.12 Elect Director James C. Smith | Issuer |
For | For | 2. Ratify KPMG LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 4. Amend Omnibus Stock Plan | Issuer |
For | Against | 5. Provide Right to Act by Written Consent | Stockholder |
Against | Against | 6. Require Independent Board Chairman | Stockholder |
For | Against | 7. Report on Lobbying Payments and Policy | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
DUKE ENERGY CORPORATION | 5/3/2018 | 26441C204 | DUK |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Michael G. Browning | Issuer |
For | For | 1.2 Elect Director Theodore F. Craver, Jr. | Issuer |
For | For | 1.3 Elect Director Robert M. Davis | Issuer |
For | For | 1.4 Elect Director Daniel R. DiMicco | Issuer |
For | For | 1.5 Elect Director John H. Forsgren | Issuer |
For | For | 1.6 Elect Director Lynn J. Good | Issuer |
For | For | 1.7 Elect Director John T. Herron | Issuer |
For | For | 1.8 Elect Director James B. Hyler, Jr. | Issuer |
For | For | 1.9 Elect Director William E. Kennard | Issuer |
For | For | 1.10 Elect Director E. Marie McKee | Issuer |
For | For | 1.11 Elect Director Charles W. Moorman, IV | Issuer |
For | For | 1.12 Elect Director Carlos A. Saladrigas | Issuer |
For | For | 1.13 Elect Director Thomas E. Skains | Issuer |
For | For | 1.14 Elect Director William E. Webster, Jr. | Issuer |
For | For | 2. Ratify Deloitte & Touche LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' CompensationAdvisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 4. Eliminate Supermajority Vote Requirement | Issuer |
For | Against | 5. Report on Benefits of Lobbying | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
VERIZON COMMUNICATIONS INC. | 5/3/2018 | 92343V104 | VZ |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Shellye L. Archambeau | Issuer |
For | For | 1.2 Elect Director Mark T. Bertolini | Issuer |
For | For | 1.3 Elect Director Richard L. Carrión | Issuer |
For | For | 1.4 Elect Director Melanie L. Healey | Issuer |
For | For | 1.5 Elect Director M. Frances Keeth | Issuer |
For | For | 1.6 Elect Director Lowell C. McAdam | Issuer |
For | For | 1.7 Elect Director Clarence Otis, Jr. | Issuer |
For | For | 1.8 Elect Director Rodney E. Slater | Issuer |
For | For | 1.9 Elect Director Kathryn A. Tesija | Issuer |
For | For | 1.10 Elect Director Gregory D. Wasson | Issuer |
For | For | 1.11 Elect Director Gregory G. Weaver | Issuer |
For | For | 2. Ratify Ernst & Young as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | Against | 4. Amend Bylaws -- Call Special Meetings | Stockholder |
For | Against | 5. Report on Lobbying Payments and Policy | Stockholder |
For | Against | 6. Require Independent Board Chairman | Stockholder |
Against | Against | 7. Assess Feasibility of Cyber Security and Data Privacy as a Performance Measure for Senior Executive Compensation | Stockholder |
For | Against | 8. Clawback of Incentive Payments | Stockholder |
For | Against | 9. Eliminate Above-Market Earnings in Executive Retirement Plans | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
PHILIP MORRIS INTERNATIONAL INC. | 5/9/2018 | 718172109 | PM |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Harold Brown | Issuer |
For | For | 1.2 Elect Director Andre Calantzopoulos | Issuer |
For | For | 1.3 Elect Director Louis C. Camilleri | Issuer |
For | For | 1.4 Elect Director Massimo Ferragamo | Issuer |
For | For | 1.5 Elect Director Werner Geissler | Issuer |
For | For | 1.6 Elect Director Lisa A. Hook | Issuer |
For | For | 1.7 Elect Director Jennifer Li | Issuer |
For | For | 1.8 Elect Director Jun Makihara | Issuer |
Against | For | 1.9 Elect Director Sergio Marchionne | Issuer |
For | For | 1.10 Elect Director Kalpana Morparia | Issuer |
For | For | 1.11 Elect Director Lucio A. Noto | Issuer |
For | For | 1.12 Elect Director Frederik Paulsen | Issuer |
For | For | 1.13 Elect Director Robert B. Polet | Issuer |
For | For | 1.14 Elect Director Stephen M. Wolf | Issuer |
For | For | 2. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 3. Ratify PricewaterhouseCoopers SA as Auditors | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CORECIVIC, INC. | 5/10/2018 | 21871N101 | CXW |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.A Elect Director Donna M. Alvarado | Issuer |
For | For | 1.B Elect Director Robert J. Dennis | Issuer |
Against | For | 1.C Elect Director Mark A. Emkes | Issuer |
For | For | 1.D Elect Director Damon T. Hininger | Issuer |
Against | For | 1.E Elect Director Stacia A. Hylton | Issuer |
For | For | 1.F Elect Director Harley G. Lappin | Issuer |
For | For | 1.G Elect Director Anne L. Mariucci | Issuer |
Against | For | 1.H Elect Director Thurgood Marshall, Jr. | Issuer |
Against | For | 1.I Elect Director Charles L. Overby | Issuer |
For | For | 1.J Elect Director John R. Prann, Jr. | Issuer |
For | For | 2. Ratify Ernst & Young LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
ALTRIA GROUP, INC. | 5/17/2018 | 02209S103 | MO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director John T. Casteen, III | Issuer |
For | For | 1.2 Elect Director Dinyar S. Devitre | Issuer |
For | For | 1.3 Elect Director Thomas F. Farrell, II | Issuer |
For | For | 1.4 Elect Director Debra J. Kelly-Ennis | Issuer |
For | For | 1.5 Elect Director W. Leo Kiely, III | Issuer |
For | For | 1.6 Elect Director Kathryn B. McQuade | Issuer |
For | For | 1.7 Elect Director George Munoz | Issuer |
For | For | 1.8 Elect Director Mark E. Newman | Issuer |
For | For | 1.9 Elect Director Nabil Y. Sakkab | Issuer |
For | For | 1.10 Elect Director Virginia E. Shanks | Issuer |
For | For | 1.11 Elect Director Howard A. Willard, III | Issuer |
For | For | 2. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
Against | Against | 4. Reduce Nicotine Levels in Tobacco Products | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
THE SOUTHERN COMPANY | 5/23/2018 | 842587107 | SO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.A Elect Director Juanita Powell Baranco | Issuer |
For | For | 1.B Elect Director Jon A. Boscia | Issuer |
For | For | 1.C Elect Director Henry A. "Hal" Clark, III | Issuer |
For | For | 1.D Elect Director Thomas A. Fanning | Issuer |
For | For | 1.E Elect Director David J. Grain | Issuer |
For | For | 1.F Elect Director Veronica M. Hagen | Issuer |
For | For | 1.G Elect Director Linda P. Hudson | Issuer |
For | For | 1.H Elect Director Donald M. James | Issuer |
For | For | 1.I Elect Director John D. Johns | Issuer |
For | For | 1.J Elect Director Dale E. Klein | Issuer |
For | For | 1.K Elect Director Ernest J. Moniz | Issuer |
For | For | 1.L Elect Director William G. Smith, Jr. | Issuer |
For | For | 1.M Elect Director Steven R. Specker | Issuer |
For | For | 1.N Elect Director Larry D. Thompson | Issuer |
For | For | 1.O Elect Director E. Jenner Wood, III | Issuer |
For | For | 2. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 3. Ratify Deloitte & Touche LLP as Auditors | Issuer |
For | Against | 4. Amend Proxy Access Right | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
CHEVRON CORPORATION | 5/30/2018 | 166764100 | CVX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.A Elect Director Wanda M. Austin | Issuer |
For | For | 1.B Elect Director John B. Frank | Issuer |
For | For | 1.C Elect Director Alice P. Gast | Issuer |
For | For | 1.D Elect Director Enrique Hernandez, Jr. | Issuer |
For | For | 1.E Elect Director Charles W. Moorman, IV | Issuer |
For | For | 1.F Elect Director Dambisa F. Moyo | Issuer |
For | For | 1.G Elect Director Ronald D. Sugar | Issuer |
For | For | 1.H Elect Director Inge G. Thulin | Issuer |
For | For | 1.I Elect Director D. James Umpleby, III | Issuer |
For | For | 1.J Elect Director Michael K. Wirth | Issuer |
For | For | 2. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | Against | 4. Report on Lobbying Payments and Policy | Stockholder |
Against | Against | 5. Report on Risks of Doing Business in Conflict-Affected Areas | Stockholder |
Against | Against | 6. Report on Transition to a Low Carbon Business Model | Stockholder |
For | Against | 7. Report on Methane Emissions | Stockholder |
Against | Against | 8. Require Independent Board Chairman | Stockholder |
For | Against | 9. Require Director Nominee with Environmental Experience | Stockholder |
For | Against | 10. Reduce Ownership Threshold for Shareholders to Call Special Meeting | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
EXXON MOBIL CORPORATION | 5/30/2018 | 30231G102 | XOM |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Susan K. Avery | Issuer |
For | For | 1.2 Elect Director Angela F. Braly | Issuer |
For | For | 1.3 Elect Director Ursula M. Burns | Issuer |
For | For | 1.4 Elect Director Kenneth C. Frazier | Issuer |
For | For | 1.5 Elect Director Steven A. Kandarian | Issuer |
For | For | 1.6 Elect Director Douglas R. Oberhelman | Issuer |
For | For | 1.7 Elect Director Samuel J. Palmisano | Issuer |
For | For | 1.8 Elect Director Steven S Reinemund | Issuer |
For | For | 1.9 Elect Director William C. Weldon | Issuer |
For | For | 1.10 Elect Director Darren W. Woods | Issuer |
For | For | 2. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
Against | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | Against | 4. Require Independent Board Chairman | Stockholder |
For | Against | 5. Amend Bylaws -- Call Special Meetings | Stockholder |
Against | Against | 6. Disclose a Board Diversity and Qualifications Matrix | Stockholder |
For | Against | 7. Report on lobbying Payments and Policy | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
GARMIN LTD | 6/8/2018 | H2906T109 | GRMN |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1. Elect Chairman of Meeting Andrew R. Etkind | Issuer |
For | For | 2. Accept Consolidated Financial Statements and Statutory Reports | Issuer |
For | For | 3. Approve Allocation of Income and Dividends | Issuer |
For | For | 4. Approve Dividends | Issuer |
For | For | 5. Approve Discharge of Board and Senior Management | Issuer |
For | For | 6.1 Elect Director Min H. Kao | Issuer |
For | For | 6.2 Elect Director Joseph J. Hartnett | Issuer |
For | For | 6.3 Elect Director Charles W. Peffer | Issuer |
For | For | 6.4 Elect Director Clifton A. Pemble | Issuer |
For | For | 6.5 Elect Director Rebecca R. Tilden | Issuer |
For | For | 6.6 Elect Director Jonathan C. Burrell | Issuer |
For | For | 7. Elect Min H. Kao as Board Chairman | Issuer |
For | For | 8.1 Appoint Joseph J. Hartnett as Member of the Compensation Committee | Issuer |
For | For | 8.2 Appoint Charles W. Peffer as Member of the Compensation Committee | Issuer |
For | For | 8.3 Appoint Rebecca R. Tilden as Member of the Compensation Committee | Issuer |
For | For | 8.4 Appoint Jonathan C. Burrell as Member of the Compensation Committee | Issuer |
For | For | 9. Designate Reiss + Preuss LLP as Independent Proxy | Issuer |
For | For | 10. Ratify Ernst & Young LLP as Auditors | Issuer |
For | For | 11. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 12. Approve Fiscal Year 2019 Maximum Aggregate Compensation for the Executive Management | Issuer |
For | For | 13. Approve Maximum Aggregate Compensation for the Board of Directors for the Period Between the 2018 AGM and the 2019 AGM | Issuer |
For | For | 14. Amend Articles of Association to Add Persons Who Can Act As Chairman of Shareholder Meetings | Issuer |
For | For | 15. Approve CHF 3.96 Million Authorized Capital Increase without Preemptive Rights | Issuer |
Against | For | 16. Transact Other Business (Voting) | Issuer |
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) StrongVest ETF Trust
By (Signature and Title)* /s/ D. Kyle Cerminara
D. Kyle Cerminara
Principal Executive Officer
Date: August 9, 2018
* Print the name and title of each signing officer under his or her signature.