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 : | 811-2280 | ||||||||
Name of Registrant: | Putnam Convertible Securities Fund | ||||||||
Address of Principal Executive Offices: | One Post Office Square | ||||||||
Boston, Massachusetts 02109 | |||||||||
Name and address of agent of service: | James P. Pappas, Vice President | ||||||||
Putnam Convertible Securities Fund | |||||||||
One Post Office Square | |||||||||
Boston, Massachusetts 02109 | |||||||||
CC: | Bryan Chegwidden, Esq. | ||||||||
Ropes & Gray LLP | |||||||||
1211 Avenue of the Americas | |||||||||
New York, New York 10036 | |||||||||
Registrant's telephone number including area code: | (617) 292-1000 | ||||||||
Date of fiscal year end: | 10/31/13 | ||||||||
Date of reporting period: | 07/01/2013 - 06/30/2014 |
Registrant : | Putnam Convertible Securities Fund | |||||||
Fund Name : | Putnam Convertible Securities Fund | |||||||
Date of fiscal year end: | 10/31/2013 | |||||||
Actavis plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ACT | CUSIP 00507K103 | 09/10/2013 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Special | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Acquisition | Mgmt | For | For | For | |||
2 | Reduction in Share Premium Account to Create Distributable Reserves | Mgmt | For | For | For | |||
3 | Advisory Vote on Golden Parachutes | Mgmt | For | For | For | |||
4 | Right to Adjourn Meeting | Mgmt | For | For | For | |||
Actavis plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ACT | CUSIP G0083B108 | 05/09/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Paul M. Bisaro | Mgmt | For | For | For | |||
2 | Elect James H. Bloem | Mgmt | For | For | For | |||
3 | Elect Christopher W. Bodine | Mgmt | For | For | For | |||
4 | Elect Tamar D. Howson | Mgmt | For | For | For | |||
5 | Elect John A. King | Mgmt | For | For | For | |||
6 | Elect Catherine M. Klema | Mgmt | For | For | For | |||
7 | Elect Jiri Michal | Mgmt | For | For | For | |||
8 | Elect Sigurdur Olafsson | Mgmt | For | For | For | |||
9 | Elect Patrick J. O'Sullivan | Mgmt | For | For | For | |||
10 | Elect Ronald R. Taylor | Mgmt | For | For | For | |||
11 | Elect Andrew L. Turner | Mgmt | For | For | For | |||
12 | Elect Fred G. Weiss | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Ratification of Auditor | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Sustainability Report | ShrHldr | Against | Against | For | |||
Actavis plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ACT | CUSIP G0083B108 | 06/17/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Special | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Merger with Forest Laboratories, Inc. | Mgmt | For | For | For | |||
2 | Right to Adjourn Meeting | Mgmt | For | For | For | |||
Apple Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AAPL | CUSIP 037833100 | 02/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect William V. Campbell | Mgmt | For | For | For | |||
1.2 | Elect Timothy D. Cook | Mgmt | For | For | For | |||
1.3 | Elect Millard S. Drexler | Mgmt | For | For | For | |||
1.4 | Elect Albert A. Gore, Jr. | Mgmt | For | For | For | |||
1.5 | Elect Robert A. Iger | Mgmt | For | For | For | |||
1.6 | Elect Andrea Jung | Mgmt | For | For | For | |||
1.7 | Elect Arthur D. Levinson | Mgmt | For | For | For | |||
1.8 | Elect Ronald D. Sugar | Mgmt | For | For | For | |||
2 | Technical Amendment to Articles | Mgmt | For | For | For | |||
3 | Eliminate Blank Check Authority to Issue Preferred Stock | Mgmt | For | For | For | |||
4 | Establish a Par Value for the Company's Common Stock of $0.00001 Per Share | Mgmt | For | For | For | |||
5 | Ratification of Auditor | Mgmt | For | For | For | |||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
7 | 2014 Employee Stock Plan | Mgmt | For | For | For | |||
8 | Shareholder Proposal Regarding Formation of Human Rights Committee | ShrHldr | Against | Against | For | |||
9 | Shareholder Proposal Regarding Sustainability-Related Trade Association Memberships | ShrHldr | Against | Against | For | |||
10 | Shareholder Proposal Regarding Share Buybacks | ShrHldr | N/A | Abstain | N/A | |||
11 | Shareholder Proposal Regarding Proxy Access | ShrHldr | Against | Against | For | |||
Celgene Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CELG | CUSIP 151020104 | 06/18/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Robert J. Hugin | Mgmt | For | Withhold | Against | |||
1.2 | Elect Richard W. Barker | Mgmt | For | Withhold | Against | |||
1.3 | Elect Michael D. Casey | Mgmt | For | Withhold | Against | |||
1.4 | Elect Carrie S. Cox | Mgmt | For | Withhold | Against | |||
1.5 | Elect Rodman L. Drake | Mgmt | For | Withhold | Against | |||
1.6 | Elect Michael A. Friedman | Mgmt | For | Withhold | Against | |||
1.7 | Elect Gilla Kaplan | Mgmt | For | Withhold | Against | |||
1.8 | Elect James J. Loughlin | Mgmt | For | Withhold | Against | |||
1.9 | Elect Ernest Mario | Mgmt | For | Withhold | Against | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Increase of Authorized Common Stock | Mgmt | For | For | For | |||
4 | Amendment to the 2008 Stock Incentive Plan | Mgmt | For | For | For | |||
5 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
6 | Shareholder Proposal Regarding Lobbying Report | ShrHldr | Against | Against | For | |||
Exxon Mobil Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
XOM | CUSIP 30231G102 | 05/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Michael J. Boskin | Mgmt | For | For | For | |||
1.2 | Elect Peter Brabeck-Letmathe | Mgmt | For | For | For | |||
1.3 | Elect Ursula M. Burns | Mgmt | For | For | For | |||
1.4 | Elect Larry R. Faulkner | Mgmt | For | For | For | |||
1.5 | Elect Jay S. Fishman | Mgmt | For | For | For | |||
1.6 | Elect Henrietta H. Fore | Mgmt | For | For | For | |||
1.7 | Elect Kenneth C. Frazier | Mgmt | For | For | For | |||
1.8 | Elect William W. George | Mgmt | For | For | For | |||
1.9 | Elect Samuel J. Palmisano | Mgmt | For | For | For | |||
1.10 | Elect Steven S. Reinemund | Mgmt | For | For | For | |||
1.11 | Elect Rex W. Tillerson | Mgmt | For | For | For | |||
1.12 | Elect William C. Weldon | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
4 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHldr | Against | For | Against | |||
5 | Shareholder Proposal Regarding Multiple Board Service | ShrHldr | Against | Against | For | |||
6 | Shareholder Proposal Regarding Adopting Sexual Orientation and Gender Identity Anti-Bias Policy | ShrHldr | Against | Against | For | |||
7 | Shareholder Proposal Regarding Lobbying Report | ShrHldr | Against | Against | For | |||
8 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHldr | Against | Against | For | |||
Ford Motor Company | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
F | CUSIP 345370860 | 05/08/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Stephen G. Butler | Mgmt | For | For | For | |||
2 | Elect Kimberly A. Casiano | Mgmt | For | For | For | |||
3 | Elect Anthony F. Earley, Jr. | Mgmt | For | For | For | |||
4 | Elect Edsel B. Ford II | Mgmt | For | For | For | |||
5 | Elect William C. Ford, Jr. | Mgmt | For | For | For | |||
6 | Elect Richard A. Gephardt | Mgmt | For | For | For | |||
7 | Elect James P. Hackett | Mgmt | For | For | For | |||
8 | Elect James H. Hance, Jr. | Mgmt | For | For | For | |||
9 | Elect William W. Helman IV | Mgmt | For | For | For | |||
10 | Elect Jon M. Huntsman, Jr. | Mgmt | For | For | For | |||
11 | Elect John C. Lechleiter | Mgmt | For | For | For | |||
12 | Elect Ellen R. Marram | Mgmt | For | For | For | |||
13 | Elect Alan Mulally | Mgmt | For | For | For | |||
14 | Elect Homer A. Neal | Mgmt | For | For | For | |||
15 | Elect Gerald L. Shaheen | Mgmt | For | For | For | |||
16 | Elect John L. Thornton | Mgmt | For | For | For | |||
17 | Ratification of Auditor | Mgmt | For | For | For | |||
18 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
19 | 2014 Stock Plan for Non-Employee Directors | Mgmt | For | For | For | |||
20 | Shareholder Proposal Regarding Recapitalization | ShrHldr | Against | Against | For | |||
21 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHldr | Against | Against | For | |||
General Motors Co. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
GM | CUSIP 37045V100 | 06/10/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Joseph J. Ashton | Mgmt | For | For | For | |||
2 | Elect Mary T. Barra | Mgmt | For | For | For | |||
3 | Elect Erroll B. Davis, Jr. | Mgmt | For | For | For | |||
4 | Elect Stephen J. Girsky | Mgmt | For | For | For | |||
5 | Elect E. Neville Isdell | Mgmt | For | For | For | |||
6 | Elect Kathryn V. Marinello | Mgmt | For | For | For | |||
7 | Elect Michael G. Mullen | Mgmt | For | For | For | |||
8 | Elect James J. Mulva | Mgmt | For | For | For | |||
9 | Elect Patricia F. Russo | Mgmt | For | For | For | |||
10 | Elect Thomas M. Schoewe | Mgmt | For | For | For | |||
11 | Elect Theodore M. Solso | Mgmt | For | For | For | |||
12 | Elect Carol M. Stephenson | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
15 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
16 | 2014 Short-Term Incentive Plan | Mgmt | For | For | For | |||
17 | 2014 Long-Term Incentive Plan | Mgmt | For | For | For | |||
18 | Shareholder Proposal Regarding Cumulative Voting | ShrHldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Independent Board Chairman | ShrHldr | Against | For | Against | |||
Hartford Financial Services Group, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
HIG | CUSIP 416515104 | 05/21/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Robert B. Allardice III | Mgmt | For | For | For | |||
2 | Elect Trevor Fetter | Mgmt | For | For | For | |||
3 | Elect Liam E. McGee | Mgmt | For | For | For | |||
4 | Elect Kathryn A. Mikells | Mgmt | For | For | For | |||
5 | Elect Michael G. Morris | Mgmt | For | For | For | |||
6 | Elect Thomas A. Renyi | Mgmt | For | For | For | |||
7 | Elect Julie G. Richardson | Mgmt | For | For | For | |||
8 | Elect Virginia P. Ruesterholz | Mgmt | For | For | For | |||
9 | Elect Charles B. Strauss | Mgmt | For | For | For | |||
10 | Elect H. Patrick Swygert | Mgmt | For | For | For | |||
11 | Ratification of Auditor | Mgmt | For | For | For | |||
12 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
13 | 2014 Incentive Stock Plan | Mgmt | For | For | For | |||
14 | Executive Bonus Program | Mgmt | For | For | For | |||
MetLife, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MET | CUSIP 59156R108 | 04/22/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Cheryl W. Grise | Mgmt | For | For | For | |||
2 | Elect Carlos M. Gutierrez | Mgmt | For | For | For | |||
3 | Elect R. Glenn Hubbard | Mgmt | For | For | For | |||
4 | Elect Steven A. Kandarian | Mgmt | For | For | For | |||
5 | Elect John M. Keane | Mgmt | For | For | For | |||
6 | Elect Alfred F. Kelly, Jr. | Mgmt | For | For | For | |||
7 | Elect William E. Kennard | Mgmt | For | For | For | |||
8 | Elect James M. Kilts | Mgmt | For | For | For | |||
9 | Elect Catherine R. Kinney | Mgmt | For | For | For | |||
10 | Elect Denise M. Morrison | Mgmt | For | For | For | |||
11 | Elect Kenton J. Sicchitano | Mgmt | For | For | For | |||
12 | Elect Lulu C. Wang | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
15 | 2015 Stock and Incentive Compensation Plan | Mgmt | For | For | For | |||
16 | Non-Management Director Stock Compensation Plan | Mgmt | For | For | For | |||
PulteGroup, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
PHM | CUSIP 745867101 | 05/07/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Brian P. Anderson | Mgmt | For | For | For | |||
1.2 | Elect Bryce Blair | Mgmt | For | For | For | |||
1.3 | Elect Richard J. Dugas, Jr. | Mgmt | For | For | For | |||
1.4 | Elect Thomas J. Folliard | Mgmt | For | For | For | |||
1.5 | Elect Cheryl W. Grise | Mgmt | For | For | For | |||
1.6 | Elect Andre J. Hawaux | Mgmt | For | For | For | |||
1.7 | Elect Debra J. Kelly-Ennis | Mgmt | For | For | For | |||
1.8 | Elect Patrick J. O'Leary | Mgmt | For | For | For | |||
1.9 | Elect James J. Postl | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
4 | Shareholder Proposal Regarding Majority Vote for Election of Directors | ShrHldr | Against | For | Against | |||
5 | Shareholder Proposal Regarding Performance-Based Equity Compensation | ShrHldr | Against | Against | For | |||
Putnam Short Term Investment Fund | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CUSIP 74676P664 | 02/27/2014 | Voted | ||||||
Meeting Type | Country of Trade | |||||||
Special | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Approving a new management contract for your fund | Mgmt | For | For | For | |||
2 | Elect Liaquat Ahamed | Mgmt | For | For | For | |||
3 | Elect Ravi Akhoury | Mgmt | For | For | For | |||
4 | Elect Barbara M. Baumann | Mgmt | For | For | For | |||
5 | Elect Jameson A. Baxter | Mgmt | For | For | For | |||
6 | Elect Charles B. Curtis | Mgmt | For | For | For | |||
7 | Elect Robert J. Darretta | Mgmt | For | For | For | |||
8 | Elect Katinka Domotorffy | Mgmt | For | For | For | |||
9 | Elect John A. Hill | Mgmt | For | For | For | |||
10 | Elect Paul L. Joskow | Mgmt | For | For | For | |||
11 | Elect Kenneth R. Leibler | Mgmt | For | For | For | |||
12 | Elect Robert E. Patterson | Mgmt | For | For | For | |||
13 | Elect George Putnam, III | Mgmt | For | For | For | |||
14 | Elect Robert L. Reynolds | Mgmt | For | For | For | |||
15 | Elect W. Thomas Stephens | Mgmt | For | For | For | |||
16 | Approving an Amended and Restated Declaration of Trust for your fund | Mgmt | For | For | For | |||
Suncor Energy Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SU | CUSIP 867224107 | 04/29/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Mel E. Benson | Mgmt | For | For | For | |||
1.2 | Elect Dominic D'Alessandro | Mgmt | For | For | For | |||
1.3 | Elect W. Douglas Ford | Mgmt | For | For | For | |||
1.4 | Elect John D. Gass | Mgmt | For | For | For | |||
1.5 | Elect Paul Haseldonckx | Mgmt | For | For | For | |||
1.6 | Elect John R. Huff | Mgmt | For | For | For | |||
1.7 | Elect Jacques Lamarre | Mgmt | For | For | For | |||
1.8 | Elect Maureen McCaw | Mgmt | For | For | For | |||
1.9 | Elect Michael W. O'Brien | Mgmt | For | For | For | |||
1.10 | Elect James W. Simpson | Mgmt | For | For | For | |||
1.11 | Elect Eira Thomas | Mgmt | For | For | For | |||
1.12 | Elect Steven W. Williams | Mgmt | For | For | For | |||
1.13 | Elect Michael M. Wilson | Mgmt | For | For | For | |||
2 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
United Technologies Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
UTX | CUSIP 913017109 | 04/28/2014 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Louis Chenevert | Mgmt | For | For | For | |||
2 | Elect John V. Faraci | Mgmt | For | For | For | |||
3 | Elect Jean-Pierre Garnier | Mgmt | For | For | For | |||
4 | Elect Jamie S. Gorelick | Mgmt | For | For | For | |||
5 | Elect Edward A. Kangas | Mgmt | For | For | For | |||
6 | Elect Ellen J. Kullman | Mgmt | For | For | For | |||
7 | Elect Marshall O. Larsen | Mgmt | For | For | For | |||
8 | Elect Harold W. McGraw III | Mgmt | For | For | For | |||
9 | Elect Richard B. Myers | Mgmt | For | For | For | |||
10 | Elect H. Patrick Swygert | Mgmt | For | For | For | |||
11 | Elect Andre Villeneuve | Mgmt | For | For | For | |||
12 | Elect Christine Todd Whitman | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Amendment to the 2005 Long-Term Incentive Plan | Mgmt | For | For | For | |||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Any ballot marked 'Abstain' is considered to have been voted. Ballots marked 'Abstain' are considered to have been voted against management's recommendation if management's recommendation is 'For' or 'Against,' and for management’s recommendation if management’s recommendation is ‘Abstain.’ Where management has recommended that shareholders 'Abstain' from voting on a ballot item, a ballot marked 'For' or 'Against' is considered to have been voted against management's recommendation to 'Abstain.' | ||
Where management has made no recommendation on a ballot item, 'N/A' is used to indicate that there is no management recommendation that a shareholder may vote 'For' or 'Against.' | ||
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: | Putnam Convertible Securities Fund | |
By: | /s/ Jonathan S. Horwitz | |
Name: | Jonathan S. Horwitz | |
Title: | Executive Vice President, Principal Executive Officer and Compliance Liaison | |
Date: | August 8, 2014 | |