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 number811-04704
Sims Total Return Fund, Inc.
(Exact name of registrant as specified in charter)
225 East Mason Street, Suite 802, Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)
David C. Sims, President
Sims Capital Management LLC
225 East Mason Street, Suite 802
Milwaukee, WI, 53202
(Name and address of agent for service)
Registrant's telephone number, including area code:(414) 765-1107
Date of fiscal year end:June 30
Date of reporting period:July 1, 2018 – June 30, 2019
Item 1. Proxy Voting Record
PROXY VOTING RECORD
Name of Fund: Sims Total Return Fund
Period: July 1, 2018 - June 30, 2019
Company Name | Meeting Date | Shares Voted | CUSIP | Ticker |
Abbott Laboratories | 4/26/2019 | 7,000 | 002824100 | ABT |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 12 Nominees | Issuer | |
For | For | 2. Proposal to reappoint Ernst & Young LLP as the independent registered public accounting firm for the Company for the fiscal year 2019. | Issuer | |
Against | For | 3. Proposal on advisory vote to approve executive compensation | Issuer | |
For | Against | 4. Proposal on Independent Board Chairman | Security Holder | |
AutoZone, Inc. | 12/19/2018 | 375 | 053332102 | AZO |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 11 Nominees | Issuer | |
For | For | 2. Proposal to reappoint Ernst & Young LLP as the independent registered public accounting firm for the Company for the fiscal year 2019. | Issuer | |
For | For | 3. Proposal on advisory vote to approve executive compensation | Issuer | |
Berkshire Hathaway Inc. | 5/4/2019 | 1,750 | 084670702 | BRKB |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 14 Nominees | Issuer | |
Cisco Systems, Inc. | 12/12/2018 | 5,000 | 17275R102 | CSCO |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 9 Nominees | Issuer | |
For | For | 2. Proposal on amendment to incentive plan. | Issuer | |
For | For | 3. Proposal on advisory vote to approve executive compensation | Issuer | |
For | For | 4. Proposal to reappoint PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Company for the fiscal year 2019. | Issuer | |
For | Against | 5. Proposal on independent board chairman | Shareholder | |
For | Against | 6. Proposal on executive compensation metrics | Shareholder | |
Diamond Hill Investment Group | 5/1/2019 | 2,000 | 25264R207 | DHFT |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 7 Nominees | Issuer | |
For | For | 2. Proposal to ratify the appointment of auditors. | Issuer | |
Against | For | 3. Proposal for advisory vote for executive compensation. | Issuer | |
Franklin Resources, Inc. | 2/12/2019 | 8,000 | 354613101 | BEN |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 10 Nominees | Issuer | |
For | For | 2. Proposal to ratify the appointment of auditors. | Issuer | |
For | For | 3. Proposal to ratify the special meeting amendment. | Issuer | |
Against | Against | 4. Proposal on genocide-free investing procedures. | Shareholder | |
O'Reilly Automotive, Inc. | 5/7/2019 | 1,000 | 053332102 | ORLY |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 9 Nominees | Issuer | |
Against | For | 2. Proposal for approval of executive compensation. | Issuer | |
For | For | 3. Proposal to ratify the appointment of auditors. | Issuer | |
For | Against | 4. Proposal entitled "Special Shareholder Meetings". | Shareholder | |
Pfizer Inc. | 4/25/2019 | 7,000 | 717081103 | PFE |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 11 Nominees | Issuer | |
For | For | 2. Ratification of the Independent Auditor | Issuer | |
Against | For | 3. Proposal for approval of executive compensation. | Issuer | |
Against | For | 4. Proposal to approve the stock plan. | Issuer | |
Against | Against | 5. Shareholder proposal regarding action by written consent. | Shareholder | |
For | Against | 6. Proposal regarding report on lobbying activities. | Shareholder | |
For | Against | 7. Shareholder proposal regarding independent chairman. | Shareholder | |
Against | Against | 8. Proposal regarding drug pricing. | Shareholder | |
Procter & Gamble | 10/9/2018 | 4,600 | 742718109 | PG |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 13 Nominees | Issuer | |
For | For | 2. Ratification of the Independent Auditor | Issuer | |
For | For | 3. Proposal for approval of executive compensation. | Issuer | |
Starbucks | 3/20/2019 | 6,000 | 855244109 | SBUX |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 10 Nominees | Issuer | |
For | For | 2. Proposal for approval of executive compensation. | Issuer | |
For | For | 3. Ratification of the Independent Auditor | Issuer | |
Against | Against | 4. Proposal on true diversity board policy. | Shareholder | |
Against | Against | 5. Proposal on sustainable packaging report. | Shareholder | |
US Bancorp | 4/16/2019 | 5,000 | 902973304 | USB |
Vote Cast | Management Vote | Proposal | Proposed by Issuer or Security Holder | |
For | For | 1. DIRECTORS / All 17 Nominees | Issuer | |
For | For | 2. Ratification of the Independent Auditor | Issuer | |
Against | For | 3. Proposal for approval of executive compensation. | 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)Sims Total Return Fund, Inc.
By (Signature and Title) | /s/David C. Sims, Principal Financial Officer |
Date07/10/2019