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: 811-3790
PEAR TREE FUNDS
Pear Tree Polaris Small Cap Fund
55 Old Bedford Road
Lincoln, MA 01773
Willard L. Umphrey
Pear Tree Funds
55 Old Bedford Road
Lincoln, MA 01773
(Name and address of agent for service)
Registrant’s telephone number, including area code: 781-259-1144
Date of fiscal year end: MARCH 31
Date of reporting period: JULY 1, 2020 – JUNE 30, 2021
VOTE SUMMARY REPORT
July 1, 2020 - June 30, 2021
Pear Tree Polaris Small Cap Fund
Company Name | Ticker Symbol | ISIN/CUSIP | Meeting Date | Ballot Issues | Proponent | Vote | For/ Against Mgmt Rec |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’-ONLY FOR RESOLUTION NUMBERS 1.A TO 1.G AND 2. THANK YOU | Non-Voting | ||
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: EDWARD H. KERNAGHAN | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: DARREN M. KIRK | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: ROBERT B. MAGEE | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: COLLEEN M. MCMORROW | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: PAUL E. RIGANELLI | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: BRIAN A. ROBBINS | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | ELECTION OF DIRECTOR: ANNE MARIE TURNBULL | Management | For | For |
EXCO TECHNOLOGIES LTD | XTC | CA30150P1099 | 2-Feb-21 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITOR OF EXCO FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For |
FEDNAT HOLDING COMPANY | FNHC | US31431B1098 | 27-May-21 | Election of Director for term expiring in 2024: Bruce F. Simberg | Management | For | For |
FEDNAT HOLDING COMPANY | FNHC | US31431B1098 | 27-May-21 | Approve an amendment to the Company’s Second Restated Articles of Incorporation to increase the authorized common stock from 25,000,000 to 50,000,000 shares. | Management | For | For |
FEDNAT HOLDING COMPANY | FNHC | US31431B1098 | 27-May-21 | Non-binding advisory vote on the Company’s executive compensation. | Management | For | For |
FEDNAT HOLDING COMPANY | FNHC | US31431B1098 | 27-May-21 | Ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the 2021 fiscal year. | Management | For | For |
EPR PROPERTIES | EPR | US26884U1097 | 28-May-21 | DIRECTORS | Management | n/a | n/a |
EPR PROPERTIES | EPR | US26884U1097 | 28-May-21 | To approve, on a non-binding advisory basis, the compensation of the Company’s named executive officers as disclosed in these proxy materials | Management | n/a | n/a |
EPR PROPERTIES | EPR | US26884U1097 | 28-May-21 | To approve amendments to the Company’s 2016 Equity Incentive Plan, including an increase to the number of authorized shares issuable under the plan | Management | n/a | n/a |
EPR PROPERTIES | EPR | US26884U1097 | 28-May-21 | To ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for 2021 | Management | n/a | n/a |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Robert A. Bedingfield | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Carol A. Goode | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Garth N. Graham | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: John J. Hamre | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Yvette M. Kanouff | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Nazzic S. Keene | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Timothy J. Mayopoulos | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Katharina G. McFarland | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Donna S. Morea | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | Election of Nominee: Steven R. Shane | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | The approval of a non-binding, advisory vote on executive compensation. | Management | For | For |
SCIENCE APPLICATIONS INTERNATIONAL CORP | SAIC | US8086251076 | 2-Jun-21 | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 28, 2022. | Management | For | For |
CVR ENERGY | CVI | US12662P1084 | 2-Jun-21 | DIRECTORS | Management | For | For |
CVR ENERGY | CVI | US12662P1084 | 2-Jun-21 | To approve, by a non-binding, advisory vote, our named executive officer compensation (“Say-on-Pay”). | Management | For | For |
CVR ENERGY | CVI | US12662P1084 | 2-Jun-21 | To ratify the appointment of Grant Thornton LLP as CVR Energy’s independent registered public accounting firm for 2021 | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Dennis H. Chookaszian | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Kenda B. Gonzales | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Patrick W. Gross | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: William D. Hansen | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Gregory L. Jackson | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Thomas B. Lally | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Todd S. Nelson | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Leslie T. Thornton | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Election of Director: Alan D. Wheat | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Advisory Vote to Approve Executive Compensation Paid by the Company to its Named Executive Officers. | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Approval of the Perdoceo Education Corporation Amended and Restated 2016 Incentive Compensation Plan. | Management | For | For |
PERDOCEO EDUCATION CORPORATION | PRDO | US71363P1066 | 3-Jun-21 | Ratification of the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021. | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1090 | 3-Jun-21 | Election of Director: Steven E. West | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1091 | 3-Jun-21 | Election of Director: Travis D. Stice | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1092 | 3-Jun-21 | Election of Director: Vincent K. Brooks | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1093 | 3-Jun-21 | Election of Director: Michael P. Cross | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1094 | 3-Jun-21 | Election of Director: David L. Houston | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1095 | 3-Jun-21 | Election of Director: Stephanie K. Mains | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1096 | 3-Jun-21 | Election of Director: Mark L. Plaumann | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1097 | 3-Jun-21 | Election of Director: Melanie M. Trent | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1098 | 3-Jun-21 | Proposal to approve, on an advisory basis, the compensation paid to the Company’s named executive officers | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1099 | 3-Jun-21 | Proposal to approve an amendment to the Company’s amended and restated certificate of incorporation to increase the total number of authorized shares of common stock from 200,000,000 shares to 400,000,000 shares. | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1100 | 3-Jun-21 | Proposal to approve the Company’s 2021 Amended and Restated Equity Incentive Plan. | Management | For | For |
DIAMONDBACK ENERGY, INC. | FANG | US25278Z1101 | 3-Jun-21 | Proposal to ratify the appointment of Grant Thornton LLP as the Company’s independent auditors for the fiscal year ending December 31, 2021. | Management | For | For |
CROCS, INC | CROX | US2270461096 | 9-Jun-21 | DIRECTORS | Management | For | For |
CROCS, INC | CROX | US2270461096 | 9-Jun-21 | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal year 2021 | Management | For | For |
CROCS, INC | CROX | US2270461096 | 9-Jun-21 | An advisory vote to approve the compensation of our named executive officers | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: William I. Bowen, Jr. | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Rodney D. Bullard | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Wm. Millard Choate | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: R. Dale Ezzell | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Leo J. Hill | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Daniel B. Jeter | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Robert P. Lynch | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Elizabeth A. McCague | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: James B. Miller, Jr. | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Gloria A. O’Neal | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: H. Palmer Proctor, Jr. | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: William H. Stern | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Election of director to serve until the Company 2022 Annual Meeting: Jimmy D. Veal | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Ratification of the appointment of Crowe LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021 | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Advisory approval of the compensation of the Company’s named executive officers | Management | For | For |
AMERIS BANCORP | ABCB | US03076K1088 | 10-Jun-21 | Approval of the Ameris Bancorp 2021 Omnibus Equity Incentive Plan. | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Ilan Daskal | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Lisa Wipperman Heine | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Jonathan A. Kennedy | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Joshua H. Levine | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Barbara R. Paul | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Alice D. Schroeder | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Election of Director to serve until 2022 Annual meeting: Thomas J. Sullivan | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Approval of the Natus Medical Incorporated 2021 Equity Incentive Plan. | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Approval, on an advisory basis, of the named executive officer compensation disclosed in the attached Proxy Statement | Management | For | For |
NATUS MEDICAL INCORPORATED | NTUS | US6390501038 | 16-Jun-21 | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | For | For |
HERCULES CAPITAL INC | HTGC | US4270965084 | 24-Jun-21 | DIRECTORS | Management | For | For |
HERCULES CAPITAL INC | HTGC | US4270965084 | 24-Jun-21 | Approve, on an advisory basis, the compensation of the Company’s named executive officers | Management | For | For |
HERCULES CAPITAL INC | HTGC | US4270965084 | 24-Jun-21 | Ratify the selection of PricewaterhouseCoopers LLP to serve as our independent public accounting firm for the year ending December 31, 2021 | 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.
Pear Tree Funds | ||
(Registrant) | ||
By: | /s/ Willard L. Umphrey | |
Willard L. Umphrey, President | ||
Date: | August 20, 2021 |