UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-23475
ALTSHARES TRUST
(exact name of registrant as specified in charter)
41 Madison Avenue, 42nd Floor, New York, NY 10010
(Address of principal executive offices) (Zip code)
John S. Orrico
Water Island Capital, LLC
41 Madison Avenue
42nd Floor
New York, NY 10010
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: 855-955-1607
Date of fiscal year end: May 31
Date of reporting period: May 7, 2020 - June 30, 2020
Item 1 – Proxy Voting Record.
ALTSHARES MERGER ARBITRAGE ETF
Investment Company Report
TAUBMAN CENTERS, INC.
Security | 876664103 | Meeting Type | Special |
Ticker Symbol | TCO | Meeting Date | 25-Jun-2020 |
ISIN | US8766641034 | Agenda | 935233255 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | To adopt and approve the Agreement and Plan of Merger, dated as of February 9, 2020, by and among Simon Property Group, Inc., Simon Property Group, L.P., Silver Merger Sub 1, LLC (“Merger Sub 1”), Silver Merger Sub 2, LLC, Taubman Centers, Inc. (“Taubman”) and The Taubman Realty Group Limited Partnership, and the transactions contemplated thereby (the “Transactions”), including the merger of Taubman with and into Merger Sub 1 (the “REIT Merger”), as more particularly described in the Proxy Statement. | Management | For | For | |||||
2. | To approve, on a non-binding, advisory basis, specified compensation that may become payable to Taubman’s named executive officers in connection with the REIT Merger and the other Transactions, as more particularly described in the Proxy Statement. | Management | For | For | |||||
3. | To approve an adjournment of the special meeting, even if a quorum is present, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve Proposal 1. | Management | For | For |
TAUBMAN CENTERS, INC.
Security | 876664103 | Meeting Type | Special |
Ticker Symbol | TCO | Meeting Date | 25-Jun-2020 |
ISIN | US8766641034 | Agenda | 935238065 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | To adopt and approve the Agreement and Plan of Merger, dated as of February 9, 2020, by and among Simon Property Group, Inc., Simon Property Group, L.P., Silver Merger Sub 1, LLC (“Merger Sub 1”), Silver Merger Sub 2, LLC, Taubman Centers, Inc. (“Taubman”) and The Taubman Realty Group Limited Partnership, and the transactions contemplated thereby (the “Transactions”), including the merger of Taubman with and into Merger Sub 1 (the “REIT Merger”), as more particularly described in the Proxy Statement. | Management | For | For | |||||
2. | To approve, on a non-binding, advisory basis, specified compensation that may become payable to Taubman’s named executive officers in connection with the REIT Merger and the other Transactions, as more particularly described in the Proxy Statement. | Management | For | For | |||||
3. | To approve an adjournment of the special meeting, even if a quorum is present, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve Proposal 1. | Management | For | For |
QIAGEN N.V.
Security | N72482123 | Meeting Type | Annual |
Ticker Symbol | QGEN | Meeting Date | 30-Jun-2020 |
ISIN | NL0012169213 | Agenda | 935236085 - Management |
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1 | Proposal to adopt the Annual Accounts for the year ended December 31, 2019 (“Calendar Year 2019”). | Management | For | For | |||||
2 | Proposal to cast a favorable non-binding advisory vote in respect of the Remuneration Report 2019. | Management | For | For | |||||
3 | Proposal to discharge from liability the Managing Directors for the performance of their duties during Calendar Year 2019. | Management | For | For | |||||
4 | Proposal to discharge from liability the Supervisory Directors for the performance of their duties during Calendar Year 2019. | Management | For | For | |||||
5A | Re-appointment of the Supervisory Director: Mr. Stéphane Bancel | Management | For | For | |||||
5B | Re-appointment of the Supervisory Director: Dr. Håkan Björklund | Management | For | For | |||||
5C | Re-appointment of the Supervisory Director: Dr. Metin Colpan | Management | For | For | |||||
5D | Re-appointment of the Supervisory Director: Prof. Dr. Ross L. Levine | Management | For | For | |||||
5E | Re-appointment of the Supervisory Director: Prof. Dr. Elaine Mardis | Management | For | For | |||||
5F | Re-appointment of the Supervisory Director: Mr. Lawrence A. Rosen | Management | For | For | |||||
5G | Re-appointment of the Supervisory Director: Ms. Elizabeth E. Tallett | Management | For | For | |||||
6A | Reappointment of the Managing Director: Mr. Roland Sackers | Management | For | For | |||||
6B | Reappointment of the Managing Director: Mr. Thierry Bernard | Management | For | For | |||||
7 | Proposal to adopt the Remuneration Policy with respect to the Managing Board. | Management | For | For | |||||
8A | Remuneration of the Supervisory Board: Proposal to adopt the Remuneration Policy with respect to the Supervisory Board. | Management | For | For | |||||
8B | Remuneration of the Supervisory Board: Proposal to determine the remuneration of members of the Supervisory Board. | Management | For | For |
9 | Proposal to reappoint KPMG Accountants N.V. as auditors of the Company for the calendar year ending December 31, 2020. | Management | For | For | |||||
10A | Proposal to authorize the Supervisory Board, until December 30, 2021 to: Issue a number of ordinary shares and financing preference shares and grant rights to subscribe for such shares of up to 50% of the aggregate par value of all shares issued and outstanding. | Management | For | For | |||||
10B | Proposal to authorize the Supervisory Board, until December 30, 2021 to: Restrict or exclude the pre- emptive rights with respect to issuing ordinary shares or granting subscription rights of up to 10% of the aggregate par value of all shares issued and outstanding. | Management | For | For | |||||
10C | Proposal to authorize the Supervisory Board, until December 30, 2021 to: Solely for the purpose of strategic transactions such as mergers, acquisitions or strategic alliances, to restrict or exclude the pre-emptive rights with respect to issuing additional ordinary shares or granting subscription rights of up to 10% of the aggregate par value of all shares issued and outstanding. | Management | For | For | |||||
11 | Proposal to authorize the Managing Board, until December 30, 2021, to acquire shares in the Company’s own share capital. | Management | For | For | |||||
12 | Proposal to resolve upon the conditional amendment of the Company’s Articles of Association (Part I). | Management | For | For | |||||
13 | Proposal to resolve upon the conditional Back-End Resolution. | Management | For | For | |||||
14A | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Dr. Håkan Björklund | Management | For | For | |||||
14B | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Mr. Michael A. Boxer | Management | For | For | |||||
14C | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Mr. Paul G. Parker | Management | For | For | |||||
14D | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Mr. Gianluca Pettiti | Management | For | For | |||||
14E | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Mr. Anthony H. Smith | Management | For | For | |||||
14F | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Ms. Barbara W. Wall | Management | For | For | |||||
14G | Conditional (re)appointment of the Supervisory Director with effect as from the Settlement: Mr. Stefan Wolf | Management | For | For | |||||
15 | Proposal to resolve upon the conditional acceptance of the resignation of, and discharge from liability of the resigning Supervisory Directors up to the date of the Annual General Meeting. | Management | For | For | |||||
16 | Proposal to resolve upon the conditional amendment of the Company’s Articles of Association (Part III). | Management | 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.
AltShares Trust | ||
By: | /s/ John S. Orrico | |
John S. Orrico | ||
President (Principal Executive Officer) | ||
Date: | August 17, 2020 |