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 811-23306
Collaborative Investment Series Trust
(Exact name of registrant as specified in charter)
500 Damonte Ranch, Parkway
Building 700, Unit 700
Reno, NV 89521
(Address of principal executive offices) (Zip code)
Northwest Registered Agent Service, Inc.
8 The Green, Suite B
Dover, Delaware 19901
(Name and address of agent for service)
With copy to:
JoAnn M. Strasser, Thompson Hine LLP
41 S. High Street, Suite 1700
Columbus, Ohio 43215
Registrant's telephone number, including area code: (646) 360-0204
Date of fiscal year end: September 30
Date of reporting period: July 1, 2022 through June 30, 2023
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 (Sections 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 notes.
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. Section 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.
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PORTFOLIO SYMBOL | ISSUER'S NAME | EXCHANGE TICKER SYMBOL | CUSIP | SHAREHOLDER MEETING TYPE | SHAREHOLDER MEETING DATE | MATTER IDENTIFICATION | PROPOSAL TYPE | VOTED (Y/N) | VOTES CAST (SHARES) | VOTE FOR (F) OR AGAINST (A) MANAGEMENT | PROXY SUBMISSION DEADLINE | VOTE COMPLETION DATE |
SPCX | VALUENCE MERGER CORP. I | VMCAU | KYG9R16L1008 | SPECIAL | 5/25/2023 | PROPOSALS | SPECIAL | Y | 14,885 | F | 5/24/2023 | 5/15/2023 |
SPCX | BANYAN ACQUISITION CORPORATION | BYN | 06690B107 | SPECIAL | 4/18/2023 | PROPOSALS | SPECIAL | Y | 22,349 | F | 4/17/2023 | 5/15/2023 |
SPCX | CHURCHILL CAPITAL CORP VII | CVII | 17144M102 | SPECIAL | 5/11/2023 | PROPOSALS | SPECIAL | Y | 41,762 | F | 5/10/2023 | 5/15/2023 |
SPCX | PONO CAPITAL TWO, INC. | PTWO | 732450101 | SPECIAL | 5/5/2023 | PROPOSALS | SPECIAL | Y | 14,369 | F | 5/4/2023 | 5/15/2023 |
SPCX | ATHENA TECHNOLOGY ACQUISITION CORP. II | ATEK | 04687C105 | SPECIAL | 6/12/2023 | PROPOSALS | SPECIAL | Y | 19,219 | F | 6/11/2023 | 6/1/2023 |
SPCX | TARGET GLOBAL ACQUISITION I CORP. | TGAA | KYG8675N1097 | SPECIAL | 6/2/2023 | PROPOSALS | SPECIAL | Y | 13,333 | F | 6/2/2023 | 6/1/2023 |
SPCX | METALS ACQUISITION CORP | MTAL | KYG604051006 | SPECIAL | 6/5/2023 | PROPOSALS | SPECIAL | Y | 95,612 | F | 6/4/2023 | 6/1/2023 |
SPCX | SPREE ACQUISITION CORP. 1 LIMITED | SHAP | KYG837451023 | SPECIAL | 6/12/2023 | PROPOSALS | SPECIAL | Y | 57,800 | F | 6/11/2023 | 6/1/2023 |
SPCX | THUNDER BRIDGE CAPITAL PARTNERS IV, INC. | THCP | 88605L107 | SPECIAL | 6/21/2023 | PROPOSALS | SPECIAL | Y | 27,640 | F | 6/20/2023 | 6/5/2023 |
SPCX | ACROPOLIS INFR ACQUISITION CORP. | ACRO | 5029103 | SPECIAL | 6/23/2023 | PROPOSALS | SPECIAL | Y | 74,315 | F | 6/22/2023 | 6/13/2023 |
SPCX | COLISEUM ACQUISITION CORP. | MITA | KYG2263T1233 | SPECIAL | 6/20/2023 | PROPOSALS | SPECIAL | N | 52,694 | F | 6/19/2023 | N/A |
SPCX | AURA FAT PROJECTS ACQUISITION CORP | AFAR | KYG063621000 | SPECIAL | 7/17/2023 | PROPOSALS | SPECIAL | Y | 44,897 | F | 7/16/2023 | 6/30/2023 |
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.
Collaborative Investment Series Trust
By /s/ Gregory Skidmore
* Gregory Skidmore
Trustee and President/Chief Executive Officer of the Trust
Date: August 2, 2023
By /s/ William McCormick
* William McCormick
Treasurer /Chief Financial/Principal Accounting Officer of the Trust
Date: August 2, 2023
*Print the name and title of each signing officer under his or her signature.
