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, 2018 – June 30, 2019
Item 1. Proxy Voting Record.
Name of Fund: | CWA Income ETF | ||
Period: | July 1, 2018 - June 30, 2019 | ||
Company Name | Meeting Date | CUSIP | Ticker |
CISCO SYSTEMS, INC. | 12/12/2018 | 17275R102 | CSCO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1A. Elect Director M. Michele Burns | Issuer |
For | For | 1B. Elect Director Michael D. Capellas | Issuer |
For | For | 1C. Elect Director Mark Garrett | Issuer |
For | For | 1D. Elect Director Kristina M. Johnson | Issuer |
For | For | 1E. Elect Director Roderick C. McGeary | Issuer |
For | For | 1F. Elect Director Charles H. Robbins | Issuer |
For | For | 1G. Elect Director Arun Sarin | Issuer |
For | For | 1H. Elect Director Brenton L. Saunders | Issuer |
For | For | 1I. Elect Director Steven M. West | Issuer |
For | For | 2. Amend Qualified Employee Stock Purchase Plan | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 4. Ratify PricewaterhouseCoopers LLP as Auditors | Issuer |
Against | Against | 5. Require Independent Board Chairman | Stockholder |
Against | Against | 6. Adjust Executive Compensation Metrics for Share Buybacks | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
PFIZER INC. | 4/25/2019 | 717081103 | PFE |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Ronald E. Blaylock | Issuer |
For | For | 1.2 Elect Director Albert Bourla | Issuer |
For | For | 1.3 Elect Director W. Don Cornwell | Issuer |
For | For | 1.4 Elect Director Joseph J. Echevarria | Issuer |
For | For | 1.5 Elect Director Helen H. Hobbs | Issuer |
For | For | 1.6 Elect Director James M. Kilts | Issuer |
For | For | 1.7 Elect Director Dan R. Littman | Issuer |
For | For | 1.8 Elect Director Shantanu Narayen | Issuer |
For | For | 1.9 Elect Director Suzanne Nora Johnson | Issuer |
For | For | 1.1. Elect Director Ian C. Read | Issuer |
For | For | 1.11 Elect Director James C. Smith | Issuer |
For | For | 2. Ratify KPMG LLP as Auditor | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 4. Amend Omnibus Stock Plan | Issuer |
Against | Against | 5. Provide Right to Act by Written Consent | Stockholder |
For | Against | 6. Report on Lobbying Payments and Policy | Stockholder |
Against | Against | 7. Require Independent Board Chairman | Stockholder |
For | Against | 8. Report on Integrating Risks Related to Drug Pricing into Senior Executive Compensation | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
INTERNATIONAL BUSINESS MACHINES CORP. | 4/30/2019 | 459200101 | IBM |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Michael L. Eskew | Issuer |
For | For | 1.2 Elect Director David N. Farr | Issuer |
For | For | 1.3 Elect Director Alex Gorsky | Issuer |
For | For | 1.4 Elect Director Michelle J. Howard | 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 Martha E. Pollack | Issuer |
For | For | 1.8 Elect Director Virginia M. Rometty | Issuer |
For | For | 1.9 Elect Director Joseph R. Swedish | Issuer |
For | For | 1.10 Elect Director Sidney Taurel | Issuer |
For | For | 1.11 Elect Director Peter R. Voser | Issuer |
For | For | 1.12 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 | For | 4. Amend Executive Incentive Bonus Plan | Issuer |
For | Against | 5. Provide Right to Act by Written Consent | Stockholder |
For | Against | 6. Require Independent Board Chairman | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
PHILIP MORRIS INTERNATIONAL INC. | 5/1/2019 | 718172109 | PM |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.1 Elect Director Andre Calantzopoulos | Issuer |
For | For | 1.2 Elect Director Louis C. Camilleri | Issuer |
For | For | 1.3 Elect Director Massimo Ferragamo | Issuer |
For | For | 1.4 Elect Director Werner Geissler | Issuer |
For | For | 1.5 Elect Director Lisa A. Hook | Issuer |
For | For | 1.6 Elect Director Jennifer Li | Issuer |
For | For | 1.7 Elect Director Jun Makihara | Issuer |
For | For | 1.8 Elect Director Kalpana Morparia | Issuer |
For | For | 1.9 Elect Director Lucio A. Noto | Issuer |
For | For | 1.10 Elect Director Frederik Paulsen | Issuer |
For | For | 1.11 Elect Director Robert B. Polet | Issuer |
For | For | 1.12 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 |
DUKE ENERGY CORPORATION | 5/2/2019 | 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 Annette K. Clayton | Issuer |
For | For | 1.3 Elect Director Theodore F. Craver, Jr. | Issuer |
For | For | 1.4 Elect Director Robert M. Davis | Issuer |
For | For | 1.5 Elect Director Daniel R. DiMicco | 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 William E. Kennard | Issuer |
For | For | 1.9 Elect Director E. Marie McKee | Issuer |
For | For | 1.10 Elect Director Charles W. Moorman, IV | Issuer |
For | For | 1.11 Elect Director Marya M. Rose | 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 | Against | 4. Report on Political Contributions | Stockholder |
For | Against | 5. Report on Benefits of Lobbying | Stockholder |
For | Against | 6. Report on Mitigating Health and Climate Impacts of Duke Energy's Coal Use | Stockholder |
Against | Against | 7. Report on Costs and Benefits of Voluntary Environment-Related Activities | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
VERIZON COMMUNICATIONS INC. | 5/2/2019 | 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 Vittorio Colao | Issuer |
For | For | 1.4 Elect Director Melanie L. Healey | Issuer |
For | For | 1.5 Elect Director Clarence Otis, Jr. | Issuer |
For | For | 1.6 Elect Director Daniel H. Schulman | Issuer |
For | For | 1.7 Elect Director Rodney E. Slater | Issuer |
For | For | 1.8 Elect Director Kathryn A. Tesija | Issuer |
For | For | 1.9 Elect Director Hans E. Vestberg | Issuer |
For | For | 1.10 Elect Director Gregory G. Weaver | Issuer |
For | For | 2. Ratify Ernst & Young LLP as Auditors | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | Against | 4. Eliminate Above-Market Earnings in Executive Retirement Plans | Stockholder |
Against | Against | 5. Require Independent Board Chairman | Stockholder |
For | Against | 6. Report on Online Child Exploitation | Stockholder |
Against | Against | 7. Assess Feasibility of Cyber Security and Data Privacy as a Performance Measure for Senior Executive Compensation | Stockholder |
For | Against | 8. Submit Severance Agreement (Change-in-Control) to Shareholder vote | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
ALTRIA GROUP, INC. | 5/16/2019 | 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 Auditor | Issuer |
For | For | 3. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
Against | Against | 4. Reduce Nicotine Levels in Tobacco Products | Stockholder |
For | Against | 5. Report on Lobbying Payments and Policy | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
BP | 5/21/2019 | 055622104 | BP |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1. Accept Financial Statements and Statutory Reports | Issuer |
For | For | 2. Approve Remuneration Report | Issuer |
For | For | 3. Re-elect Bob Dudley as Director | Issuer |
For | For | 4. Re-elect Brian Gilvary as Director | Issuer |
For | For | 5. Re-elect Nils Andersen as Director | Issuer |
For | For | 6. Re-elect Dame Alison Carnwath as Director | Issuer |
For | For | 7. Elect Pamela Daley as Director | Issuer |
For | For | 8. Re-elect Ian Davis as Director | Issuer |
For | For | 9. Re-elect Dame Ann Dowling as Director | Issuer |
For | For | 10. Elect Helge Lund as Director | Issuer |
For | For | 11. Re-elect Melody Meyer as Director | Issuer |
For | For | 12. Re-elect Brendan Nelson as Director | Issuer |
For | For | 13. Re-elect Paula Reynolds as Director | Issuer |
For | For | 14. Re-elect Sir John Sawers as Director | Issuer |
For | For | 15. Reappoint Deloitte LLP as Auditors and Authorize Their Remuneration | Issuer |
For | For | 16. Authorize EU Political Donations and Expendutre | Issuer |
For | For | 17. Authorize Issue of Equity | Issuer |
For | For | 18. Authorize Issue of Equity without Pre-emptive Rights | Issuer |
For | For | 19. Authorize Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment | Issuer |
For | For | 20. Authorize Market Purchase of Ordinary Shares | Issuer |
For | For | 21. Authorize the Company to Call General Meeting with Two Weeks' Notice | Issuer |
For | For | 22. Approve the Climate Action 100+ Shareholder Resolution on Climate Change Disclosures | Stockholder |
Against | Against | 23. Approve the Follow This Shareholder Resolution on Climate Change Targerts | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
THE SOUTHERN COMPANY | 5/22/2019 | 842587107 | SO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1.A Elect Director Janaki Akella | Issuer |
For | For | 1.B Elect Director Juanita Powell Baranco | Issuer |
For | For | 1.C Elect Director Jon A. Boscia | Issuer |
For | For | 1.D Elect Director Henry A. "Hal" Clark, III | |
For | For | 1.E Elect Director Anthony F. "Tony" Earley, Jr. | Issuer |
For | For | 1.F Elect Director Thomas A. Fanning | Issuer |
For | For | 1.G Elect Director David J. Grain | 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 | For | 4. Reduce Supermajority Vote Requirement | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CHEVRON CORPORATION | 5/29/2019 | 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 Debra Reed-Klages | Issuer |
For | For | 1.H Elect Director Ronald D. Sugar | Issuer |
For | For | 1.I Elect Director Inge G. Thulin | Issuer |
For | For | 1.J Elect Director D. James Umpleby, III | Issuer |
For | For | 1.K 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 Human Right to Water | Stockholder |
For | Against | 5. Report on Plans to Reduce Carbon Footprint Aligned with Paris Agreement Goals | Stockholder |
Against | Against | 6. Establish Environmental Issue Board Committee | Stockholder |
Against | Against | 7. Require Independent Board Chairman | Stockholder |
For | Against | 8. Reduce Ownership Threshold for Shareholders to Call Special Meeting | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
EXXON MOBIL CORPORATION | 5/29/2019 | 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 |
Against | 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 |
For | 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 |
For | Against | 6. Disclose a Board Diversity and Qualifications Matrix | Stockholder |
Against | Against | 7. Establish Environmental/Social Issue Board Committee | Stockholder |
Against | Against | 8. Report on Risks of Petrochemical Operations in Flood Pone Areas | Stockholder |
For | Against | 9. Report on Political Contributions | Stockholder |
For | Against | 10. Report on Lobbying Payments and Policy | Stockholder |
Company Name | Meeting Date | CUSIP | Ticker |
GARMIN LTD | 6/7/2019 | H2906T109 | GRMN |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | For | 1. Accept Consolidated Financial Statements and Statutory Reports | Issuer |
For | For | 2. Approve Allocation of Income and Dividends | Issuer |
For | For | 3. Approve Dividends | Issuer |
For | For | 4. Approve Discharge of Board and Senior Management | Issuer |
For | For | 5.1 Elect Director Min H. Kao | Issuer |
For | For | 5.2 Elect Director Jonathan C. Burrell | |
For | For | 5.3 Elect Director Joseph J. Hartnett | Issuer |
For | For | 5.4 Elect Director Charles W. Peffer | Issuer |
For | For | 5.5 Elect Director Clifton A. Pemble | Issuer |
For | For | 5.6 Elect Director Rebecca R. Tilden | Issuer |
For | For | 6. Elect Min H. Kao as Board Chairman | Issuer |
For | For | 7.1 Appoint Joseph J. Hartnett as Member of the Compensation Committee | Issuer |
For | For | 7.2 Appoint Charles W. Peffer as Member of the Compensation Committee | Issuer |
For | For | 7.3 Appoint Jonathan C. Burrell as Member of the Compensation Committee | Issuer |
For | For | 7.4 Appoint Catherine A. Lewis as Member of the Compensation Committee | Issuer |
For | For | 8. Designate Wuersch & Gering LLP as Independent Proxy | Issuer |
For | For | 9. Ratify Ernst & Young LLP as Auditors | Issuer |
For | For | 10. Advisory Vote to Ratify Named Executive Officers' Compensation | Issuer |
For | For | 11. Approve Fiscal Year 2020 Maximum Aggregate Compensation for the Executive Management | Issuer |
For | For | 12. Approve Maximum Aggregate Compensation for the Board of Directors for the Period Between the 2019 AGM and the 2020 AGM | Issuer |
For | For | 13. Amend Qualified Employee Stock Purchase Plan | Issuer |
For | For | 14. Amend Omnibus Stock Plan | 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 12, 2019 |
* Print the name and title of each signing officer under his or her signature.