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 : | 811-02280 | ||||||||
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: | Robert T. Burns | ||||||||
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 | ||||||||
Date of reporting period: | 07/01/2016 - 06/30/2017 |
Registrant: | Putnam Convertible Securities Fund | |||||||
Fund Name: | Putnam Convertible Securities Fund | |||||||
Date of Fiscal Year End: | 10/31 | |||||||
Bank of America Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
BAC | CUSIP 060505104 | 04/26/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Sharon L. Allen | Mgmt | For | For | For | |||
2 | Elect Susan S. Bies | Mgmt | For | For | For | |||
3 | Elect Jack O. Bovender, Jr. | Mgmt | For | For | For | |||
4 | Elect Frank P. Bramble, Sr. | Mgmt | For | For | For | |||
5 | Elect Pierre J. P. de Weck | Mgmt | For | For | For | |||
6 | Elect Arnold W. Donald | Mgmt | For | For | For | |||
7 | Elect Linda P. Hudson | Mgmt | For | For | For | |||
8 | Elect Monica C. Lozano | Mgmt | For | For | For | |||
9 | Elect Thomas J. May | Mgmt | For | For | For | |||
10 | Elect Brian T. Moynihan | Mgmt | For | For | For | |||
11 | Elect Lionel L. Nowell, III | Mgmt | For | For | For | |||
12 | Elect Michael D. White | Mgmt | For | For | For | |||
13 | Elect Thomas D. Woods | Mgmt | For | For | For | |||
14 | Elect R. David Yost | Mgmt | For | For | For | |||
15 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
16 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
17 | Ratification of Auditor | Mgmt | For | For | For | |||
18 | Shareholder Proposal Regarding Amendment to Clawback Policy | ShrHoldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Study Session to Address Divestiture of Non-Core Banking Assets | ShrHoldr | Against | Against | For | |||
20 | Shareholder Proposal Regarding Independent Board Chair | ShrHoldr | Against | Against | For | |||
21 | Shareholder Proposal Regarding Gender Pay Equity Report | ShrHoldr | Against | Against | For | |||
Cincinnati Bell Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CBB | CUSIP 171871403 | 05/04/2017 | Take No Action | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Phillip R. Cox | Mgmt | For | TNA | N/A | |||
2 | Elect John W. Eck | Mgmt | For | TNA | N/A | |||
3 | Elect Jakki L. Haussler | Mgmt | For | TNA | N/A | |||
4 | Elect Craig F. Maier | Mgmt | For | TNA | N/A | |||
5 | Elect Russel P. Mayer | Mgmt | For | TNA | N/A | |||
6 | Elect Lynn A. Wentworth | Mgmt | For | TNA | N/A | |||
7 | Elect Martin J. Yudkovitz | Mgmt | For | TNA | N/A | |||
8 | Elect John M. Zrno | Mgmt | For | TNA | N/A | |||
9 | Elect Theodore H Torbeck | Mgmt | For | TNA | N/A | |||
10 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | TNA | Against | |||
11 | Advisory Vote on Executive Compensation | Mgmt | For | TNA | N/A | |||
12 | Approval of the 2017 Long-Term Incentive Plan | Mgmt | For | TNA | N/A | |||
13 | Approval of the 2017 Stock Plan for Non-Employee Directors | Mgmt | For | TNA | N/A | |||
14 | Ratification of Auditor | Mgmt | For | TNA | N/A | |||
Comcast Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CMCSA | CUSIP 20030N101 | 06/08/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Kenneth J. Bacon | Mgmt | For | For | For | |||
1.2 | Elect Madeline S. Bell | Mgmt | For | For | For | |||
1.3 | Elect Sheldon M. Bonovitz | Mgmt | For | For | For | |||
1.4 | Elect Edward D. Breen | Mgmt | For | For | For | |||
1.5 | Elect Gerald L. Hassell | Mgmt | For | For | For | |||
1.6 | Elect Jeffrey A. Honickman | Mgmt | For | For | For | |||
1.7 | Elect Asuka Nakahara | Mgmt | For | For | For | |||
1.8 | Elect David C. Novak | Mgmt | For | For | For | |||
1.9 | Elect Brian L. Roberts | Mgmt | For | For | For | |||
1.10 | Elect Johnathan A. Rodgers | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | ADVISORY VOTE ON EXECUTIVE COMPENSATION | Mgmt | For | For | For | |||
4 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
5 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | Against | For | |||
6 | Shareholder Proposal Regarding Recapitalization | ShrHoldr | Against | Against | For | |||
Danaher Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
DHR | CUSIP 235851102 | 05/09/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Donald J. Ehrlich | Mgmt | For | For | For | |||
2 | Elect Linda P. Hefner Filler | Mgmt | For | For | For | |||
3 | Elect Robert J. Hugin | Mgmt | For | Against | Against | |||
4 | Elect Thomas P. Joyce, Jr. | Mgmt | For | For | For | |||
5 | Elect Teri List-Stoll | Mgmt | For | For | For | |||
6 | Elect Walter G. Lohr, Jr. | Mgmt | For | For | For | |||
7 | Elect Mitchell P. Rales | Mgmt | For | For | For | |||
8 | Elect Steven M. Rales | Mgmt | For | For | For | |||
9 | Elect John T. Schwieters | Mgmt | For | For | For | |||
10 | Elect Alan G. Spoon | Mgmt | For | For | For | |||
11 | Elect Raymond C. Stevens | Mgmt | For | For | For | |||
12 | Elect Elias A. Zerhouni | Mgmt | For | For | For | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Amendment to the 2007 Omnibus Incentive Plan | Mgmt | For | For | For | |||
15 | Amendment to the 2007 Executive Incentive Compensation Plan | Mgmt | For | For | For | |||
16 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
17 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
18 | Shareholder Proposal Regarding Reporting and Reducing Greenhouse Gas Emissions | ShrHoldr | Against | Against | For | |||
JPMorgan Chase & Co. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
JPM | CUSIP 46625H100 | 05/16/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Linda B. Bammann | Mgmt | For | For | For | |||
2 | Elect James A. Bell | Mgmt | For | For | For | |||
3 | Elect Crandall C. Bowles | Mgmt | For | For | For | |||
4 | Elect Stephen B. Burke | Mgmt | For | For | For | |||
5 | Elect Todd A. Combs | Mgmt | For | For | For | |||
6 | Elect James S. Crown | Mgmt | For | For | For | |||
7 | Elect James Dimon | Mgmt | For | For | For | |||
8 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||
9 | Elect Laban P. Jackson, Jr. | Mgmt | For | For | For | |||
10 | Elect Michael A. Neal | Mgmt | For | For | For | |||
11 | Elect Lee R. Raymond | Mgmt | For | For | For | |||
12 | Elect William C. Weldon | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Ratification of Auditor | Mgmt | For | For | For | |||
15 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
16 | Shareholder Proposal Regarding Independent Board Chair | ShrHoldr | Against | Against | For | |||
17 | Shareholder Proposal Regarding Government Service Vesting | ShrHoldr | Against | Against | For | |||
18 | Shareholder Proposal Regarding Amendment to Clawback Policy | ShrHoldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Gender Pay Equity Report | ShrHoldr | Against | Against | For | |||
20 | Shareholder Proposal Regarding Counting Abstentions | ShrHoldr | Against | Against | For | |||
21 | Shareholder Proposal Regarding Right to Call a Special Meeting | ShrHoldr | Against | Against | For | |||
Live Nation Entertainment, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
LYV | CUSIP 538034109 | 06/06/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Mark D. Carleton | Mgmt | For | For | For | |||
2 | Elect Jonathan L. Dolgen | Mgmt | For | For | For | |||
3 | Elect Ariel Z. Emanuel | Mgmt | For | For | For | |||
4 | Elect R. Ted Enloe, III | Mgmt | For | For | For | |||
5 | Elect Jeffrey T. Hinson | Mgmt | For | For | For | |||
6 | Elect Jimmy Iovine | Mgmt | For | For | For | |||
7 | Elect Peggy Johnson | Mgmt | For | For | For | |||
8 | Elect James S. Kahan | Mgmt | For | For | For | |||
9 | Elect Gregory B. Maffei | Mgmt | For | For | For | |||
10 | Elect Randall T. Mays | Mgmt | For | For | For | |||
11 | Elect Michael Rapino | Mgmt | For | For | For | |||
12 | Elect Mark S. Shapiro | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 3 Years | 1 Year | Against | |||
15 | Ratification of Auditor | Mgmt | For | For | For | |||
NVIDIA Corporation | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NVDA | CUSIP 67066G104 | 05/23/2017 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Robert K. Burgess | Mgmt | For | For | For | |||
2 | Elect Tench Coxe | Mgmt | For | For | For | |||
3 | Elect Persis S. Drell | Mgmt | For | For | For | |||
4 | Elect James C. Gaither | Mgmt | For | For | For | |||
5 | Elect Jen-Hsun Huang | Mgmt | For | For | For | |||
6 | Elect Dawn Hudson | Mgmt | For | For | For | |||
7 | Elect Harvey C. Jones | Mgmt | For | For | For | |||
8 | Elect Michael G. McCaffery | Mgmt | For | For | For | |||
9 | Elect William J. Miller | Mgmt | For | For | For | |||
10 | Elect Mark L. Perry | Mgmt | For | For | For | |||
11 | Elect A. Brooke Seawell | Mgmt | For | For | For | |||
12 | Elect Mark A. Stevens | Mgmt | For | For | For | |||
13 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
14 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
15 | Ratification of Auditor | 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 16, 2017 | |