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: 811-06113
The Caldwell & Orkin Funds, Inc.
(Exact name of registrant as specified in charter)
100 S. Ashley Drive, Suite 895, Tampa, Florida 33602
(Address of principal executive offices) (Zip code)
Linda J. Hoard
225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246
(Name and address of agent for service)
Copies to:
Jeffrey Skinner, Esq.
Kilpatrick Townsend & Stockton LLP
1001 West Fourth Street
Winston-Salem, North Carolina 27101
Registrant's telephone number, including area code: 813-282-7870
Date of fiscal year end: April 30
Date of reporting period: 07/01/21 - 06/30/22
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (Secs. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Sec. 3507.
ITEM 1. PROXY VOTING RECORD.
Investment Company Report
| READY CAPITAL CORPORATION | |||
| Security | 75574U101 | Meeting Type | Annual |
| Ticker Symbol | RC | Meeting Date | 14-Jul-2021 |
| ISIN | US75574U1016 | Agenda | 935443515 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Thomas E. Capasse | For | For | |||
| 2 | Jack J. Ross | For | For | |||
| 3 | Frank P. Filipps | For | For | |||
| 4 | Dominique Mielle | For | For | |||
| 5 | Gilbert E. Nathan | For | For | |||
| 6 | Andrea Petro | For | For | |||
| 7 | J. Mitchell Reese | For | For | |||
| 8 | Todd M. Sinai | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP | Management | For | For | ||
| as the Company’s independent registered public | ||||||
| accounting firm for the 2021 fiscal year. | ||||||
| 3. | Approval, on an advisory basis, the compensation of the | Management | For | For | ||
| Company’s named executive officers, as more described | ||||||
| in the proxy statement. | ||||||
| KINGSTONE COMPANIES, INC. | |||
| Security | 496719105 | Meeting Type | Annual |
| Ticker Symbol | KINS | Meeting Date | 10-Aug-2021 |
| ISIN | US4967191051 | Agenda | 935468024 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Barry B. Goldstein | For | For | |||
| 2 | Meryl S. Golden | For | For | |||
| 3 | Floyd R. Tupper | For | For | |||
| 4 | William L. Yankus | For | For | |||
| 5 | Carla A. D’Andre | For | For | |||
| 6 | Timothy P. McFadden | For | For | |||
| 2. | To ratify the selection of Marcum LLP as the Company’s | Management | For | For | ||
| independent registered public accounting firm for the | ||||||
| fiscal year ending December 31, 2021. | ||||||
| 3. | To approve the Kingstone Companies, Inc. Employee | Management | For | For | ||
| Stock Purchase Plan. | ||||||
| 4. | To hold a non-binding advisory vote to approve the | Management | For | For | ||
| Company’s executive compensation. | ||||||
| STERLING BANCORP | |||
| Security | 85917A100 | Meeting Type | Special |
| Ticker Symbol | STL | Meeting Date | 17-Aug-2021 |
| ISIN | US85917A1007 | Agenda | 935474015 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1. | Adoption of the Agreement and Plan of Merger, dated as | Management | For | For | |
| of April 18, 2021 (as it may be amended from time to | |||||
| time), by and between Sterling Bancorp (“Sterling”) and | |||||
| Webster Financial Corporation (“Webster”), pursuant to | |||||
| which Sterling will merge (the “Merger”) with and into | |||||
| Webster, with Webster surviving the merger (the “Sterling | |||||
| merger proposal”). | |||||
| 2. | Approval, on a non-binding advisory basis, of the | Management | For | For | |
| compensation that will or may be paid or become payable | |||||
| to Sterling’s named executive officers that is based on or | |||||
| otherwise relates to the Merger. | |||||
| 3. | Approval of the adjournment of the special meeting of | Management | For | For | |
| Sterling stockholders, if necessary or appropriate, to | |||||
| solicit additional proxies if, immediately prior to such | |||||
| adjournment, there are not sufficient votes to approve the | |||||
| Sterling merger proposal or to ensure that any | |||||
| supplement or amendment to the joint proxy | |||||
| statement/prospectus is timely provided to holders of | |||||
| Sterling common stock. |
| H&R BLOCK, INC. | |||
| Security | 093671105 | Meeting Type | Annual |
| Ticker Symbol | HRB | Meeting Date | 09-Sep-2021 |
| ISIN | US0936711052 | Agenda | 935477542 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Sean H. Cohan | Management | For | For | |
| 1B. | Election of Director: Robert A. Gerard | Management | For | For | |
| 1C. | Election of Director: Anuradha (Anu) Gupta | Management | For | For | |
| 1D. | Election of Director: Richard A. Johnson | Management | For | For | |
| 1E. | Election of Director: Jeffrey J. Jones II | Management | For | For | |
| 1F. | Election of Director: Mia F. Mends | Management | For | For | |
| 1G. | Election of Director: Yolande G. Piazza | Management | For | For | |
| 1H. | Election of Director: Victoria J. Reich | Management | For | For | |
| 1I. | Election of Director: Matthew E. Winter | Management | For | For | |
| 1J. | Election of Director: Christianna Wood | Management | For | For | |
| 2. | Ratification of the appointment of Deloitte & Touche LLP | Management | For | For | |
| as the Company’s independent registered public | |||||
| accounting firm for the fiscal year ending June 30, 2022. | |||||
| 3. | Advisory approval of the Company’s named executive | Management | For | For | |
| officer compensation. |
| AXOS FINANCIAL, INC. | |||
| Security | 05465C100 | Meeting Type | Annual |
| Ticker Symbol | AX | Meeting Date | 21-Oct-2021 |
| ISIN | US05465C1009 | Agenda | 935493825 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Gregory Garrabrants | For | For | |||
| 2 | Paul J. Grinberg | For | For | |||
| 3 | Uzair Dada | For | For | |||
| 2. | To approve the Amended and Restated 2014 Stock | Management | For | For | ||
| Incentive Plan. | ||||||
| 3. | To approve, in a non-binding and advisory vote, the | Management | For | For | ||
| compensation of the Company’s named executive | ||||||
| officers as disclosed in the Company’s proxy statement. | ||||||
| 4. | To ratify the selection of BDO USA, LLP as the | Management | For | For | ||
| Company’s independent public accounting firm for fiscal | ||||||
| year 2022. | ||||||
| VICTORY CAPITAL HOLDINGS, INC. | |||
| Security | 92645B103 | Meeting Type | Special |
| Ticker Symbol | VCTR | Meeting Date | 19-Nov-2021 |
| ISIN | US92645B1035 | Agenda | 935517738 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1. | Approval of the Amendment and Restatement of the | Management | For | For | |
| Company’s Amended and Restated Certificate of | |||||
| Incorporation. |
| HEWLETT PACKARD ENTERPRISE COMPANY | |||
| Security | 42824C109 | Meeting Type | Annual |
| Ticker Symbol | HPE | Meeting Date | 05-Apr-2022 |
| ISIN | US42824C1099 | Agenda | 935550346 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Daniel Ammann | Management | For | For | |
| 1B. | Election of Director: Pamela L. Carter | Management | For | For | |
| 1C. | Election of Director: Jean M. Hobby | Management | For | For | |
| 1D. | Election of Director: George R. Kurtz | Management | For | For | |
| 1E. | Election of Director: Raymond J. Lane | Management | For | For | |
| 1F. | Election of Director: Ann M. Livermore | Management | For | For | |
| 1G. | Election of Director: Antonio F. Neri | Management | For | For | |
| 1H. | Election of Director: Charles H. Noski | Management | For | For | |
| 1I. | Election of Director: Raymond E. Ozzie | Management | For | For | |
| 1J. | Election of Director: Gary M. Reiner | Management | For | For | |
| 1K. | Election of Director: Patricia F. Russo | Management | For | For | |
| 2. | Ratification of the appointment of the independent | Management | For | For | |
| registered public accounting firm for the fiscal year | |||||
| ending October 31, 2022. | |||||
| 3. | Approval of the increase of shares reserved under the | Management | For | For | |
| Hewlett Packard Enterprise 2021 Stock Incentive Plan. | |||||
| 4. | Advisory vote to approve executive compensation. | Management | For | For | |
| 5. | Stockholder proposal entitled: “Special Shareholder | Shareholder | Against | For | |
| Meeting Improvement” |
| BRIDGEWATER BANCSHARES, INC. | |||
| Security | 108621103 | Meeting Type | Annual |
| Ticker Symbol | BWB | Meeting Date | 26-Apr-2022 |
| ISIN | US1086211034 | Agenda | 935556867 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | James S. Johnson | For | For | |||
| 2 | Douglas J. Parish | For | For | |||
| 3 | David J. Volk | For | For | |||
| 2. | Ratify the appointment of CliftonLarsonAllen LLP as our | Management | For | For | ||
| independent registered public accounting firm for the year | ||||||
| ending December 31, 2022. | ||||||
| FIRST CITIZENS BANCSHARES, INC. | |||
| Security | 31946M103 | Meeting Type | Annual |
| Ticker Symbol | FCNCA | Meeting Date | 26-Apr-2022 |
| ISIN | US31946M1036 | Agenda | 935562151 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Ellen R. Alemany | For | For | |||
| 2 | John M. Alexander, Jr. | For | For | |||
| 3 | Victor E. Bell III | For | For | |||
| 4 | Peter M. Bristow | For | For | |||
| 5 | Hope H. Bryant | For | For | |||
| 6 | Michael A. Carpenter | For | For | |||
| 7 | H. Lee Durham, Jr. | For | For | |||
| 8 | Daniel L. Heavner | For | For | |||
| 9 | Frank B. Holding, Jr. | For | For | |||
| 10 | Robert R. Hoppe | For | For | |||
| 11 | Floyd L. Keels | For | For | |||
| 12 | Robert E. Mason IV | For | For | |||
| 13 | Robert T. Newcomb | For | For | |||
| 14 | Vice Adm John R. Ryan | For | For | |||
| 2. | Non-binding advisory resolution (“say-on-pay” resolution) | Management | For | For | ||
| to approve compensation paid or provided to | ||||||
| BancShares’ named executive officers as disclosed in the | ||||||
| proxy statement for the Annual Meeting. | ||||||
| 3. | Proposal to ratify the appointment of BancShares’ | Management | For | For | ||
| independent accountants for 2022. | ||||||
| UMB FINANCIAL CORPORATION | |||
| Security | 902788108 | Meeting Type | Annual |
| Ticker Symbol | UMBF | Meeting Date | 26-Apr-2022 |
| ISIN | US9027881088 | Agenda | 935562315 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Robin C. Beery | |||||
| 1B. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Janine A. Davidson | |||||
| 1C. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Kevin C. Gallagher | |||||
| 1D. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Greg M. Graves | |||||
| 1E. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Alexander C. Kemper | |||||
| 1F. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: J. Mariner Kemper | |||||
| 1G. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Gordon E. Landsford III | |||||
| 1H. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Timothy R. Murphy | |||||
| 1i. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Tamara M. Peterman | |||||
| 1J. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Kris A. Robbins | |||||
| 1K. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: L. Joshua Sosland | |||||
| 1L. | Election of Director for term ending at the 2023 Annual | Management | For | For | |
| meeting: Leroy J. Williams, Jr. | |||||
| 2. | An advisory vote (non-binding) on the compensation paid | Management | For | For | |
| to UMB’s named executive officers. | |||||
| 3. | The ratification of the Corporate Audit Committee’s | Management | For | For | |
| engagement of KPMG LLP as UMB’s independent | |||||
| registered public accounting firm for 2022. |
| UNITED STATES STEEL CORPORATION | |||
| Security | 912909108 | Meeting Type | Annual |
| Ticker Symbol | X | Meeting Date | 26-Apr-2022 |
| ISIN | US9129091081 | Agenda | 935564434 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Tracy A. Atkinson | Management | For | For | |
| 1B. | Election of Director: David B. Burritt | Management | For | For | |
| 1C. | Election of Director: Terry L. Dunlap | Management | For | For | |
| 1D. | Election of Director: John J. Engel | Management | For | For | |
| 1E. | Election of Director: John V. Faraci | Management | For | For | |
| 1F. | Election of Director: Murry S. Gerber | Management | For | For | |
| 1G. | Election of Director: Jeh C. Johnson | Management | For | For | |
| 1H. | Election of Director: Paul A. Mascarenas | Management | For | For | |
| 1I. | Election of Director: Michael H. McGarry | Management | For | For | |
| 1J. | Election of Director: David S. Sutherland | Management | For | For | |
| 1K. | Election of Director: Patricia A. Tracey | Management | For | For | |
| 2. | Approval, in a non-binding advisory vote, of the | Management | For | For | |
| compensation of our Named Executive Officers (Say-on- | |||||
| Pay) | |||||
| 3. | Ratification of appointment of PricewaterhouseCoopers | Management | For | For | |
| LLP as independent registered public accounting firm. |
| OFG BANCORP | |||
| Security | 67103X102 | Meeting Type | Annual |
| Ticker Symbol | OFG | Meeting Date | 27-Apr-2022 |
| ISIN | PR67103X1020 | Agenda | 935561781 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Julian S. Inclán | For | For | |||
| 2 | José Rafael Fernández | For | For | |||
| 3 | Jorge Colón-Gerena | For | For | |||
| 4 | Néstor de Jesús | For | For | |||
| 5 | Annette Franqui | For | For | |||
| 6 | Susan Harnett | For | For | |||
| 7 | Edwin Pérez | For | For | |||
| 8 | Rafael Vélez | For | For | |||
| 2. | To approve, on an advisory basis, the compensation of | Management | For | For | ||
| the Company’s Named Executive Officers as set forth in | ||||||
| the accompanying Proxy Statement. | ||||||
| 3. | To ratify the selection of the Company’s independent | Management | For | For | ||
| registered public accounting firm for 2022. | ||||||
| AMERIPRISE FINANCIAL, INC. | |||
| Security | 03076C106 | Meeting Type | Annual |
| Ticker Symbol | AMP | Meeting Date | 27-Apr-2022 |
| ISIN | US03076C1062 | Agenda | 935563975 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: James M. Cracchiolo | Management | For | For | |
| 1B. | Election of Director: Dianne Neal Blixt | Management | For | For | |
| 1C. | Election of Director: Amy DiGeso | Management | For | For | |
| 1D. | Election of Director: Lon R. Greenberg | Management | For | For | |
| 1E. | Election of Director: Robert F. Sharpe, Jr. | Management | For | For | |
| 1F. | Election of Director: Brian T. Shea | Management | For | For | |
| 1G. | Election of Director: W. Edward Walter III | Management | For | For | |
| 1H. | Election of Director: Christopher J. Williams | Management | For | For | |
| 2. | To approve the compensation of the named executive | Management | For | For | |
| officers by a nonbinding advisory vote. | |||||
| 3. | To ratify the Audit Committee’s selection of | Management | For | For | |
| PricewaterhouseCoopers LLP as the Company’s | |||||
| independent registered public accounting firm for 2022. |
| MGIC INVESTMENT CORPORATION | |||
| Security | 552848103 | Meeting Type | Annual |
| Ticker Symbol | MTG | Meeting Date | 28-Apr-2022 |
| ISIN | US5528481030 | Agenda | 935573938 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Analisa M. Allen | For | For | |||
| 2 | Daniel A. Arrigoni | For | For | |||
| 3 | C. Edward Chaplin | For | For | |||
| 4 | Curt S. Culver | For | For | |||
| 5 | Jay C. Hartzell | For | For | |||
| 6 | Timothy A. Holt | For | For | |||
| 7 | Jodeen A. Kozlak | For | For | |||
| 8 | Michael E. Lehman | For | For | |||
| 9 | Teresita M. Lowman | For | For | |||
| 10 | Timothy J. Mattke | For | For | |||
| 11 | Gary A. Poliner | For | For | |||
| 12 | Sheryl L. Sculley | For | For | |||
| 13 | Mark M. Zandi | For | For | |||
| 2. | Advisory Vote to Approve our Executive Compensation. | Management | For | For | ||
| 3. | Ratification of the appointment of | Management | For | For | ||
| PricewaterhouseCoopers LLP as our independent | ||||||
| registered public accounting firm for 2022. | ||||||
| FIRST BUSINESS FINANCIAL SERVICES, INC. | |||
| Security | 319390100 | Meeting Type | Annual |
| Ticker Symbol | FBIZ | Meeting Date | 29-Apr-2022 |
| ISIN | US3193901002 | Agenda | 935558227 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1.1 | Election of Class III Director: W. Kent Lorenz | Management | For | For | |
| 1.2 | Election of Class III Director: Carol P. Sanders | Management | For | For | |
| 2. | To approve, in a non-binding, advisory vote, the | Management | For | For | |
| compensation of the Company’s named executive | |||||
| officers. | |||||
| 3. | To ratify the appointment of Crowe LLP as the | Management | For | For | |
| Company’s independent registered public accounting firm | |||||
| for the fiscal year ending December 31, 2022. |
| ALLY FINANCIAL INC. | |||
| Security | 02005N100 | Meeting Type | Annual |
| Ticker Symbol | ALLY | Meeting Date | 03-May-2022 |
| ISIN | US02005N1000 | Agenda | 935564105 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Franklin W. Hobbs | Management | For | For | |
| 1B. | Election of Director: Kenneth J. Bacon | Management | For | For | |
| 1C. | Election of Director: Maureen A. Breakiron-Evans | Management | For | For | |
| 1D. | Election of Director: William H. Cary | Management | For | For | |
| 1E. | Election of Director: Mayree C. Clark | Management | For | For | |
| 1F. | Election of Director: Kim S. Fennebresque | Management | For | For | |
| 1G. | Election of Director: Melissa Goldman | Management | For | For | |
| 1H. | Election of Director: Marjorie Magner | Management | For | For | |
| 1I. | Election of Director: David Reilly | Management | For | For | |
| 1J. | Election of Director: Brian H. Sharples | Management | For | For | |
| 1K. | Election of Director: Michael F. Steib | Management | For | For | |
| 1L. | Election of Director: Jeffrey J. Brown | Management | For | For | |
| 2. | Advisory vote on executive compensation. | Management | For | For | |
| 3. | Ratification of the Audit Committee’s engagement of | Management | For | For | |
| Deloitte & Touche LLP as the Company’s independent | |||||
| registered public accounting firm for 2022. |
| REALOGY HOLDINGS CORP. | |||
| Security | 75605Y106 | Meeting Type | Annual |
| Ticker Symbol | RLGY | Meeting Date | 04-May-2022 |
| ISIN | US75605Y1064 | Agenda | 935568583 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Fiona P. Dias | |||||
| 1B. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Matthew J. Espe | |||||
| 1C. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| V. Ann Hailey | |||||
| 1D. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Bryson R. Koehler | |||||
| 1E. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Duncan L. Niederauer | |||||
| 1F. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Ryan M. Schneider | |||||
| 1G. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Enrique Silva | |||||
| 1H. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Sherry M. Smith | |||||
| 1I. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Christopher S. Terrill | |||||
| 1J. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Felicia Williams | |||||
| 1K. | Election of Director for a one-year term expiring in 2023: | Management | For | For | |
| Michael J. Williams | |||||
| 2. | Advisory Approval of the Compensation of Our Named | Management | For | For | |
| Executive Officers. | |||||
| 3. | Ratification of the Appointment of | Management | For | For | |
| PricewaterhouseCoopers LLP to serve as our | |||||
| Independent Registered Public Accounting Firm for 2022. |
| ARCH CAPITAL GROUP LTD. | |||
| Security | G0450A105 | Meeting Type | Annual |
| Ticker Symbol | ACGL | Meeting Date | 04-May-2022 |
| ISIN | BMG0450A1053 | Agenda | 935573748 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Class III Director for a term of three years: | Management | For | For | |
| John L. Bunce, Jr. | |||||
| 1B. | Election of Class III Director for a term of three years: | Management | For | For | |
| Marc Grandisson | |||||
| 1C. | Election of Class III Director for a term of three years: | Management | For | For | |
| Moira Kilcoyne | |||||
| 1D. | Election of Class III Director for a term of three years: | Management | For | For | |
| Eugene S. Sunshine | |||||
| 2. | Advisory vote to approve named executive officer | Management | For | For | |
| compensation. | |||||
| 3. | Approve the Arch Capital Group Ltd. 2022 Long-Term | Management | For | For | |
| Incentive and Share Award Plan. | |||||
| 4. | To appoint PricewaterhouseCoopers LLP as our | Management | For | For | |
| independent registered public accounting firm for the year | |||||
| ending December 31, 2022. | |||||
| 5A. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Robert Appleby | |||||
| 5B. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Matthew Dragonetti | |||||
| 5C. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Seamus Fearon | |||||
| 5D. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: H. Beau Franklin | |||||
| 5E. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Jerome Halgan | |||||
| 5F. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: James Haney | |||||
| 5G. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Chris Hovey | |||||
| 5H. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: W. Preston Hutchings | |||||
| 5I. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Pierre Jal | |||||
| 5J. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: François Morin | |||||
| 5K. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: David J. Mulholland | |||||
| 5L. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Chiara Nannini | |||||
| 5M. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Maamoun Rajeh | |||||
| 5N. | To Elect the nominee listed as Designated Company | Management | For | For | |
| Director so that they may be elected directors of certain | |||||
| of our non-U.S. subsidiaries: Christine Todd |
| BARCLAYS PLC | |||
| Security | 06738E204 | Meeting Type | Annual |
| Ticker Symbol | BCS | Meeting Date | 04-May-2022 |
| ISIN | US06738E2046 | Agenda | 935578027 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1. | To receive the reports of the Directors and Auditors and | Management | For | For | |
| the audited accounts of the Company for the year | |||||
| ended31 December 2021. | |||||
| 2. | To approve the Directors’ Remuneration Report for the | Management | For | For | |
| year ended 31 December 2021. | |||||
| 3. | That C.S. Venkatakrishnan be appointed a Director of the | Management | For | For | |
| Company. | |||||
| 4. | That Robert Berry be appointed a Director of the | Management | For | For | |
| Company. | |||||
| 5. | That Anna Cross be appointed a Director of the | Management | For | For | |
| Company. | |||||
| 6. | That Mike Ashley be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 7. | That Tim Breedon be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 8. | That Mohamed A. El-Erian be reappointed a Director of | Management | For | For | |
| the Company. | |||||
| 9. | That Dawn Fitzpatrick be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 10. | That Mary Francis be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 11. | That Crawford Gillies be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 12. | That Brian Gilvary be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 13. | That Nigel Higgins be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 14. | That Diane Schueneman be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 15. | That Julia Wilson be reappointed a Director of the | Management | For | For | |
| Company. | |||||
| 16. | To reappoint KPMG LLP as Auditors. | Management | For | For | |
| 17. | To authorise the Board Audit Committee to set the | Management | For | For | |
| remuneration of the Auditors. | |||||
| 18. | To authorise the Company and its subsidiaries to make | Management | For | For | |
| political donations and incur political expenditure. | |||||
| 19. | To authorise the Directors to allot shares and equity | Management | For | For | |
| securities. | |||||
| 20. | To authorise the Directors to allot equity securities for | Management | For | For | |
| cash and/or sell treasury shares other than on a pro rata | |||||
| basis to shareholders of no more than 5% of issued | |||||
| share capital. | |||||
| 21. | To authorise the Directors to allot equity securities for | Management | For | For | |
| cash and/or sell treasury shares other than on a pro rata | |||||
| basis to shareholders of no more than 5% of issued | |||||
| share capital in connection with an acquisition or | |||||
| specified capital investment. | |||||
| 22. | To authorise the Directors to allot equity securities in | Management | For | For | |
| relation to the issuance of contingent Equity Conversion | |||||
| Notes. | |||||
| 23. | To authorise the Directors to allot equity securities for | Management | For | For | |
| cash other than on a pro rata basis to shareholders in | |||||
| relation to the issuance of contingent Equity Conversion | |||||
| Notes. | |||||
| 24. | To authorise the Company to purchase its own shares. | Management | For | For | |
| 25. | To authorise the Directors to call general meetings (other | Management | For | For | |
| than an AGM) on not less than 14 clear days’ notice. | |||||
| 26. | To approve Barclays’ Climate Strategy, Targets and | Management | For | For | |
| Progress 2022. |
| AMPCO-PITTSBURGH CORPORATION | |||
| Security | 032037103 | Meeting Type | Annual |
| Ticker Symbol | AP | Meeting Date | 05-May-2022 |
| ISIN | US0320371034 | Agenda | 935566844 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Robert A. DeMichiei | For | For | |||
| 2 | Elizabeth A. Fessenden | For | For | |||
| 3 | William K. Lieberman | For | For | |||
| 4 | Laurence E. Paul | For | For | |||
| 2. | To approve, in a non-binding vote, the compensation of | Management | For | For | ||
| the named executive officers. | ||||||
| 3. | To ratify the appointment of BDO USA, LLP as the | Management | For | For | ||
| independent registered public accounting firm for 2022. | ||||||
| AUDACY, INC. | |||
| Security | 05070N103 | Meeting Type | Annual |
| Ticker Symbol | AUD | Meeting Date | 10-May-2022 |
| ISIN | US05070N1037 | Agenda | 935581606 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Mark R. LaNeve* | For | For | |||
| 2 | Sean R. Creamer# | For | For | |||
| 3 | Joel Hollander# | For | For | |||
| 4 | Monique L. Nelson# | For | For | |||
| 3. | To approve an amendment and restatement to the | Management | For | For | ||
| Audacy Employee Stock Purchase Plan to increase the | ||||||
| number of shares available for issuance thereunder. | ||||||
| 4. | To approve the Audacy 2022 Equity Compensation Plan. | Management | For | For | ||
| 5. | To ratify the selection of Grant Thornton LLP as the | Management | For | For | ||
| Company’s independent registered public accounting firm | ||||||
| for the year ending December 31, 2022. | ||||||
| SUNCOKE ENERGY, INC. | |||
| Security | 86722A103 | Meeting Type | Annual |
| Ticker Symbol | SXC | Meeting Date | 12-May-2022 |
| ISIN | US86722A1034 | Agenda | 935572746 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1.1 | Election of Director whose term expires in 2025: Arthur F. | Management | For | For | |
| Anton | |||||
| 1.2 | Election of Director whose term expires in 2025: Michael | Management | For | For | |
| W. Lewis | |||||
| 2. | To approve a new Omnibus Long-Term Incentive Plan, | Management | For | For | |
| including an increase in the number of shares of | |||||
| Common Stock to be reserved for awards thereunder. | |||||
| 3. | To hold a non-binding advisory vote to approve the | Management | For | For | |
| compensation of the Company’s named executive | |||||
| officers (“Say-on-Pay”). | |||||
| 4. | To ratify the appointment of KPMG LLP as the | Management | For | For | |
| Company’s independent registered public accounting firm | |||||
| for the fiscal year ending December 31, 2022. |
| POPULAR, INC. | |||
| Security | 733174700 | Meeting Type | Annual |
| Ticker Symbol | BPOP | Meeting Date | 12-May-2022 |
| ISIN | PR7331747001 | Agenda | 935575007 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A) | Election of Class 1 Director for a one year term: | Management | For | For | |
| Alejandro M. Ballester | |||||
| 1B) | Election of Class 1 Director for a one year term: Richard | Management | For | For | |
| L. Carrión | |||||
| 1C) | Election of Class 1 Director for a one year term: Betty | Management | For | For | |
| DeVita | |||||
| 1D) | Election of Class 1 Director for a one year term: Carlos A. | Management | For | For | |
| Unanue | |||||
| 1E) | Election of Class 2 Director for a one year term: Joaquín | Management | For | For | |
| E. Bacardí, III | |||||
| 1F) | Election of Class 2 Director for a one year term: Robert | Management | For | For | |
| Carrady | |||||
| 1G) | Election of Class 2 Director for a one year term: John W. | Management | For | For | |
| Diercksen | |||||
| 1H) | Election of Class 2 Director for a one year term: Myrna M. | Management | For | For | |
| Soto | |||||
| 1I) | Election of Class 3 Director for a one year term: José R. | Management | For | For | |
| Rodríguez | |||||
| 2) | Approve, on an advisory basis, the Corporation’s | Management | For | For | |
| executive compensation. | |||||
| 3) | Ratify the appointment of PricewaterhouseCoopers LLP | Management | For | For | |
| as Popular, Inc.’s independent registered public | |||||
| accounting firm for 2022. |
| NMI HOLDINGS, INC. | |||
| Security | 629209305 | Meeting Type | Annual |
| Ticker Symbol | NMIH | Meeting Date | 12-May-2022 |
| ISIN | US6292093050 | Agenda | 935577114 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Bradley M. Shuster | For | For | |||
| 2 | Adam S. Pollitzer | For | For | |||
| 3 | Michael Embler | For | For | |||
| 4 | Priya Huskins | For | For | |||
| 5 | James G. Jones | For | For | |||
| 6 | Lynn McCreary | For | For | |||
| 7 | Michael Montgomery | For | For | |||
| 8 | Regina Muehlhauser | For | For | |||
| 9 | Steven L. Scheid | For | For | |||
| 2. | Advisory approval of our executive compensation. | Management | For | For | ||
| 3. | Approval of the NMI Holdings, Inc. Amended and | Management | For | For | ||
| Restated 2014 Omnibus Incentive Plan. | ||||||
| 4. | Ratification of the appointment of BDO USA, LLP as NMI | Management | For | For | ||
| Holdings, Inc. independent auditors. | ||||||
| ENACT HOLDINGS, INC. | |||
| Security | 29249E109 | Meeting Type | Annual |
| Ticker Symbol | ACT | Meeting Date | 12-May-2022 |
| ISIN | US29249E1091 | Agenda | 935577760 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Dominic J. Addesso | For | For | |||
| 2 | Michael A. Bless | For | For | |||
| 3 | John D. Fisk | For | For | |||
| 4 | Rohit Gupta | For | For | |||
| 5 | Sheila Hooda | For | For | |||
| 6 | Thomas J. McInerney | For | For | |||
| 7 | Robert P. Restrepo, Jr. | For | For | |||
| 8 | Daniel J. Sheehan, IV | For | For | |||
| 9 | Debra W. Still | For | For | |||
| 10 | Westley V. Thompson | For | For | |||
| 11 | Anne G. Waleski | For | For | |||
| 2. | Advisory vote on the frequency of the Corporation | Management | 1 Year | For | ||
| seeking advisory votes on executive compensation. | ||||||
| 3. | Advisory vote to approve executive compensation. | Management | For | For | ||
| 4. | Ratification of the appointment of KPMG LLP as the | Management | For | For | ||
| Corporation’s independent registered public accounting | ||||||
| firm for fiscal year 2022. | ||||||
| LAS VEGAS SANDS CORP. | |||
| Security | 517834107 | Meeting Type | Annual |
| Ticker Symbol | LVS | Meeting Date | 12-May-2022 |
| ISIN | US5178341070 | Agenda | 935579207 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Irwin Chafetz | For | For | |||
| 2 | Micheline Chau | For | For | |||
| 3 | Patrick Dumont | For | For | |||
| 4 | Charles D. Forman | For | For | |||
| 5 | Robert G. Goldstein | For | For | |||
| 6 | Nora M. Jordan | For | For | |||
| 7 | Charles A. Koppelman | For | For | |||
| 8 | Lewis Kramer | For | For | |||
| 9 | David F. Levi | For | For | |||
| 10 | Yibing Mao | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP | Management | For | For | ||
| as the Company’s independent registered public | ||||||
| accounting firm for the year ending December 31, 2022. | ||||||
| 3. | An advisory (non-binding) vote to approve the | Management | For | For | ||
| compensation of the named executive officers. | ||||||
| FIRST INTERNET BANCORP | |||
| Security | 320557101 | Meeting Type | Annual |
| Ticker Symbol | INBK | Meeting Date | 16-May-2022 |
| ISIN | US3205571017 | Agenda | 935583282 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Aasif M. Bade | For | For | |||
| 2 | David B. Becker | For | For | |||
| 3 | Justin P. Christian | For | For | |||
| 4 | Ann Colussi Dee | For | For | |||
| 5 | Ana Dutra | For | For | |||
| 6 | John K. Keach, Jr. | For | For | |||
| 7 | David R. Lovejoy | For | For | |||
| 8 | Jean L. Wojtowicz | For | For | |||
| 2. | To approve, in an advisory (non-binding) vote, the | Management | For | For | ||
| compensation paid to our named executive officers. | ||||||
| 3. | To ratify the appointment of BKD, LLP as our | Management | For | For | ||
| independent registered public accounting firm for 2022. | ||||||
| 4. | To approve the First Internet Bancorp 2022 Equity | Management | For | For | ||
| Incentive Plan. | ||||||
| VICTORY CAPITAL HOLDINGS, INC. | |||
| Security | 92645B103 | Meeting Type | Annual |
| Ticker Symbol | VCTR | Meeting Date | 17-May-2022 |
| ISIN | US92645B1035 | Agenda | 935585224 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Class I Director: Lawrence Davanzo | Management | For | For | |
| 1B. | Election of Class I Director: Robert V. Delaney, Jr. | Management | For | For | |
| 1C. | Election of Class I Director: Karin Hirtler-Garvey | Management | For | For | |
| 2. | The ratification of the appointment of Ernst & Young LLP | Management | For | For | |
| as our independent registered public accounting firm for | |||||
| the fiscal year ending December 31, 2022. |
| FLUSHING FINANCIAL CORPORATION | |||
| Security | 343873105 | Meeting Type | Annual |
| Ticker Symbol | FFIC | Meeting Date | 17-May-2022 |
| ISIN | US3438731057 | Agenda | 935585452 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Class C Director for a term expiring in 2025: | Management | For | For | |
| John R. Buran | |||||
| 1B. | Election of Class C Director for a term expiring in 2025: | Management | For | For | |
| James D. Bennett | |||||
| 1C. | Election of Class C Director for a term expiring in 2025: | Management | For | For | |
| Alfred A. DelliBovi | |||||
| 1D. | Election of Class C Director for a term expiring in 2025: | Management | For | For | |
| Douglas C. Manditch | |||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |
| 3. | Ratification of appointment of BDO USA, LLP as the | Management | For | For | |
| Independent Registered Public Accounting Firm for the | |||||
| year ending December 31, 2022. |
| BBX CAPITAL, INC. | |||
| Security | 073319105 | Meeting Type | Annual |
| Ticker Symbol | BBXIA | Meeting Date | 17-May-2022 |
| ISIN | US0733191052 | Agenda | 935621171 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Alan B. Levan | For | For | |||
| 2 | Jarett S. Levan | For | For | |||
| 3 | Marcia Barry-Smith | For | For | |||
| 4 | Andrew R. Cagnetta, Jr. | For | For | |||
| 5 | Gregory A. Haile | For | For | |||
| 6 | Anthony P. Segreto | For | For | |||
| 7 | John E. Abdo | For | For | |||
| 8 | Seth M. Wise | For | For | |||
| 9 | Norman H. Becker | For | For | |||
| 10 | Steven M. Coldren | For | For | |||
| 11 | Willis N. Holcombe | For | For | |||
| 12 | Neil Sterling | For | For | |||
| 2. | Approval of an amendment to the BBX Capital, Inc. 2021 | Management | For | For | ||
| Incentive Plan to increase the number of shares of the | ||||||
| Company’s Class A Common Stock available for grant | ||||||
| under the plan from 900,000 shares to 1,700,000 shares, | ||||||
| resulting in an increase in the total number of shares of | ||||||
| the Company’s Class A Common Stock and Class B | ||||||
| Common Stock available for grant under the plan from | ||||||
| 1,200,000 shares to 2,000,000 shares. | ||||||
| SYNCHRONY FINANCIAL | |||
| Security | 87165B103 | Meeting Type | Annual |
| Ticker Symbol | SYF | Meeting Date | 19-May-2022 |
| ISIN | US87165B1035 | Agenda | 935586935 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Margaret M. Keane | Management | For | For | |
| 1B. | Election of Director: Fernando Aguirre | Management | For | For | |
| 1C. | Election of Director: Paget L. Alves | Management | For | For | |
| 1D. | Election of Director: Kamila Chytil | Management | For | For | |
| 1E. | Election of Director: Arthur W. Coviello, Jr. | Management | For | For | |
| 1F. | Election of Director: Brian D. Doubles | Management | For | For | |
| 1G. | Election of Director: William W. Graylin | Management | For | For | |
| 1H. | Election of Director: Roy A. Guthrie | Management | For | For | |
| 1I. | Election of Director: Jeffrey G. Naylor | Management | For | For | |
| 1J. | Election of Director: Bill Parker | Management | For | For | |
| 1K. | Election of Director: Laurel J. Richie | Management | For | For | |
| 1L. | Election of Director: Ellen M. Zane | Management | For | For | |
| 2. | Advisory Vote to Approve Named Executive Officer | Management | For | For | |
| Compensation | |||||
| 3. | Ratification of Selection of KPMG LLP as Independent | Management | For | For | |
| Registered Public Accounting Firm of the Company for | |||||
| 2022 |
| GENWORTH FINANCIAL, INC. | |||
| Security | 37247D106 | Meeting Type | Annual |
| Ticker Symbol | GNW | Meeting Date | 19-May-2022 |
| ISIN | US37247D1063 | Agenda | 935587266 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: G. Kent Conrad | Management | For | For | |
| 1B. | Election of Director: Karen E. Dyson | Management | For | For | |
| 1C. | Election of Director: Jill R. Goodman | Management | For | For | |
| 1D. | Election of Director: Melina E. Higgins | Management | For | For | |
| 1E. | Election of Director: Thomas J. McInerney | Management | For | For | |
| 1F. | Election of Director: Howard D. Mills, III | Management | For | For | |
| 1G. | Election of Director: Robert P. Restrepo, Jr. | Management | For | For | |
| 1H. | Election of Director: Elaine A. Sarsynski | Management | For | For | |
| 1I. | Election of Director: Ramsey D. Smith | Management | For | For | |
| 2. | Advisory vote to approve named executive officer | Management | For | For | |
| compensation. | |||||
| 3. | Ratification of the selection of KPMG LLP as the | Management | For | For | |
| independent registered public accounting firm for 2022. |
| FIRST BANCORP | |||
| Security | 318672706 | Meeting Type | Annual |
| Ticker Symbol | FBP | Meeting Date | 20-May-2022 |
| ISIN | PR3186727065 | Agenda | 935591429 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director: Juan Acosta Reboyras | Management | For | For | |
| 1B. | Election of Director: Aurelio Alemàn | Management | For | For | |
| 1C. | Election of Director: Luz A. Crespo | Management | For | For | |
| 1D. | Election of Director: Tracey Dedrick | Management | For | For | |
| 1E. | Election of Director: Patricia M. Eaves | Management | For | For | |
| 1F. | Election of Director: Daniel E. Frye | Management | For | For | |
| 1G. | Election of Director: John A. Heffern | Management | For | For | |
| 1H. | Election of Director: Roberto R. Herencia | Management | For | For | |
| 1I. | Election of Director: Félix M. Villamil | Management | For | For | |
| 2. | To approve on a non-binding basis the 2021 | Management | For | For | |
| compensation of First BanCorp’s named executive | |||||
| officers. | |||||
| 3. | To ratify the appointment of Crowe LLP as our | Management | For | For | |
| independent registered public accounting firm for our | |||||
| 2022 fiscal year. |
| CONNECTONE BANCORP, INC. | |||
| Security | 20786W107 | Meeting Type | Annual |
| Ticker Symbol | CNOB | Meeting Date | 24-May-2022 |
| ISIN | US20786W1071 | Agenda | 935604454 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Frank Sorrentino III | For | For | |||
| 2 | Stephen T. Boswell | For | For | |||
| 3 | Frank W. Baier | For | For | |||
| 4 | Frank Huttle III | For | For | |||
| 5 | Michael Kempner | For | For | |||
| 6 | Nicholas Minoia | For | For | |||
| 7 | Anson M. Moise | For | For | |||
| 8 | Katherin Nukk-Freeman | For | For | |||
| 9 | Joseph Parisi Jr. | For | For | |||
| 10 | Daniel Rifkin | For | For | |||
| 11 | Mark Sokolich | For | For | |||
| 12 | William A. Thompson | For | For | |||
| 2. | To vote, on an advisory basis, to approve the executive | Management | For | For | ||
| compensation of ConnectOne Bancorp, Inc.’s named | ||||||
| executive officers, as described in the proxy statement. | ||||||
| 3. | To ratify the appointment of Crowe LLP as the | Management | For | For | ||
| Company’s independent registered public accountants for | ||||||
| the fiscal year ending December 31, 2022. | ||||||
| PENNYMAC FINANCIAL SERVICES, INC | |||
| Security | 70932M107 | Meeting Type | Annual |
| Ticker Symbol | PFSI | Meeting Date | 24-May-2022 |
| ISIN | US70932M1071 | Agenda | 935607020 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1A. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: David A. Spector | |||||
| 1B. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: James K. Hunt | |||||
| 1C. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Jonathon S. Jacobson | |||||
| 1D. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Patrick Kinsella | |||||
| 1E. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Anne D. McCallion | |||||
| 1F. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Joseph Mazzella | |||||
| 1G. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Farhad Nanji | |||||
| 1H. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Jeffrey A. Perlowitz | |||||
| 1I. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Lisa M. Shalett | |||||
| 1J. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Theodore W. Tozer | |||||
| 1K. | Election of Director to serve for a one-year term expiring | Management | For | For | |
| at the 2023 Annual Meeting: Emily Youssouf | |||||
| 2. | To ratify the appointment of our independent registered | Management | For | For | |
| public accounting firm for the fiscal year ending | |||||
| December 31, 2022. | |||||
| 3. | To approve our 2022 Equity Incentive Plan. | Management | For | For | |
| 4. | To approve, by non-binding vote, our executive | Management | For | For | |
| compensation. |
| AMBAC FINANCIAL GROUP, INC. | |||
| Security | 023139884 | Meeting Type | Annual |
| Ticker Symbol | AMBC | Meeting Date | 24-May-2022 |
| ISIN | US0231398845 | Agenda | 935609668 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Ian D. Haft | For | For | |||
| 2 | David L. Herzog | For | For | |||
| 3 | Lisa G. Iglesias | For | For | |||
| 4 | Joan Lamm-Tennant | For | For | |||
| 5 | Claude LeBlanc | For | For | |||
| 6 | C. James Prieur | For | For | |||
| 7 | Jeffrey S. Stein | For | For | |||
| 2. | To approve, on an advisory basis, the compensation for | Management | For | For | ||
| our named executive officers. | ||||||
| 3. | To ratify the appointment of KPMG as Ambac’s | Management | For | For | ||
| independent registered public accounting firm for the | ||||||
| fiscal year ending December 31, 2022. | ||||||
| META PLATFORMS, INC. | |||
| Security | 30303M102 | Meeting Type | Annual |
| Ticker Symbol | FB | Meeting Date | 25-May-2022 |
| ISIN | US30303M1027 | Agenda | 935601559 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Peggy Alford | For | For | |||
| 2 | Marc L. Andreessen | For | For | |||
| 3 | Andrew W. Houston | For | For | |||
| 4 | Nancy Killefer | For | For | |||
| 5 | Robert M. Kimmitt | For | For | |||
| 6 | Sheryl K. Sandberg | For | For | |||
| 7 | Tracey T. Travis | For | For | |||
| 8 | Tony Xu | For | For | |||
| 9 | Mark Zuckerberg | For | For | |||
| 2. | To ratify the appointment of Ernst & Young LLP as Meta | Management | For | For | ||
| Platforms, Inc.’s independent registered public | ||||||
| accounting firm for the fiscal year ending December 31, | ||||||
| 2022. | ||||||
| 3. | To approve, on a non-binding advisory basis, the | Management | For | For | ||
| compensation program for Meta Platforms, Inc.’s named | ||||||
| executive officers as disclosed in Meta Platforms, Inc.’s | ||||||
| proxy statement. | ||||||
| 4. | A shareholder proposal regarding dual class capital | Shareholder | For | Against | ||
| structure. | ||||||
| 5. | A shareholder proposal regarding an independent chair. | Shareholder | Against | For | ||
| 6. | A shareholder proposal regarding concealment clauses. | Shareholder | Against | For | ||
| 7. | A shareholder proposal regarding report on external | Shareholder | Against | For | ||
| costs of misinformation. | ||||||
| 8. | A shareholder proposal regarding report on community | Shareholder | Against | For | ||
| standards enforcement. | ||||||
| 9. | A shareholder proposal regarding report and advisory | Shareholder | Against | For | ||
| vote on the metaverse. | ||||||
| 10. | A shareholder proposal regarding human rights impact | Shareholder | Against | For | ||
| assessment. | ||||||
| 11. | A shareholder proposal regarding child sexual | Shareholder | Against | For | ||
| exploitation online. | ||||||
| 12. | A shareholder proposal regarding civil rights and non- | Shareholder | Against | For | ||
| discrimination audit. | ||||||
| 13. | A shareholder proposal regarding report on lobbying. | Shareholder | Against | For | ||
| 14. | A shareholder proposal regarding assessment of audit & | Shareholder | Against | For | ||
| risk oversight committee. | ||||||
| 15. | A shareholder proposal regarding report on charitable | Shareholder | Against | For | ||
| donations. | ||||||
| DIME COMMUNITY BANCSHARES, INC. | |||
| Security | 25432X102 | Meeting Type | Annual |
| Ticker Symbol | DCOM | Meeting Date | 26-May-2022 |
| ISIN | US25432X1028 | Agenda | 935596277 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Kenneth J. Mahon | For | For | |||
| 2 | Marcia Z. Hefter | For | For | |||
| 3 | Rosemarie Chen | For | For | |||
| 4 | Michael P. Devine | For | For | |||
| 5 | Matthew A. Lindenbaum | For | For | |||
| 6 | Albert E. McCoy, Jr. | For | For | |||
| 7 | Raymond A. Nielsen | For | For | |||
| 8 | Kevin M. O’Connor | For | For | |||
| 9 | Vincent F. Palagiano | For | For | |||
| 10 | Joseph J. Perry | For | For | |||
| 11 | Kevin Stein | For | For | |||
| 12 | Dennis A. Suskind | For | For | |||
| 2. | Ratification of the appointment of Crowe LLP as the | Management | For | For | ||
| Company’s independent registered public accounting firm | ||||||
| for the year ending December 31, 2022. | ||||||
| 3. | Approval, by a non-binding advisory vote, of the | Management | For | For | ||
| compensation of the Company’s Named Executive | ||||||
| Officers. | ||||||
| LOYALTY VENTURES INC. | |||
| Security | 54911Q107 | Meeting Type | Annual |
| Ticker Symbol | LYLT | Meeting Date | 26-May-2022 |
| ISIN | US54911Q1076 | Agenda | 935605204 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1. | Re-election of Class I Director: Barbara L. Rayner | Management | For | For | |
| 2. | Ratification of the selection of Deloitte & Touche LLP as | Management | For | For | |
| the independent registered public accounting firm of | |||||
| Loyalty Ventures Inc. for 2022. |
| NEW RESIDENTIAL INVESTMENT CORP. | |||
| Security | 64828T201 | Meeting Type | Annual |
| Ticker Symbol | NRZ | Meeting Date | 26-May-2022 |
| ISIN | US64828T2015 | Agenda | 935606220 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Robert J. McGinnis | For | For | |||
| 2 | Andrew Sloves | For | For | |||
| 2. | To ratify the appointment of Ernst & Young LLP as | Management | For | For | ||
| independent registered public accounting firm for New | ||||||
| Residential Investment Corp. for fiscal year 2022. | ||||||
| NAVIENT CORPORATION | |||
| Security | 63938C108 | Meeting Type | Annual |
| Ticker Symbol | NAVI | Meeting Date | 02-Jun-2022 |
| ISIN | US63938C1080 | Agenda | 935619897 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1a. | Election of Director for one-year term: Frederick Arnold | Management | For | For | |
| 1b. | Election of Director for one-year term: Edward J. | Management | For | For | |
| Bramson | |||||
| 1c. | Election of Director for one-year term: Anna Escobedo | Management | For | For | |
| Cabral | |||||
| 1d. | Election of Director for one-year term: Larry A. Klane | Management | For | For | |
| 1e. | Election of Director for one-year term: Michael A. Lawson | Management | For | For | |
| 1f. | Election of Director for one-year term: Linda A. Mills | Management | For | For | |
| 1g. | Election of Director for one-year term: John F. Remondi | Management | For | For | |
| 1h. | Election of Director for one-year term: Jane J. Thompson | Management | For | For | |
| 1i. | Election of Director for one-year term: Laura S. Unger | Management | For | For | |
| 1j. | Election of Director for one-year term: David L. Yowan | Management | For | For | |
| 2. | Ratify the appointment of KPMG LLP as Navient’s | Management | For | For | |
| independent registered public accounting firm for 2022. | |||||
| 3. | Approve, in a non-binding advisory vote, the | Management | For | For | |
| compensation paid to Navient-named executive officers. |
| JACKSON FINANCIAL INC. | |||
| Security | 46817M107 | Meeting Type | Annual |
| Ticker Symbol | JXN | Meeting Date | 09-Jun-2022 |
| ISIN | US46817M1071 | Agenda | 935631449 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Lily Fu Claffee | For | For | |||
| 2 | Gregory T. Durant | For | For | |||
| 3 | Steven A. Kandarian | For | For | |||
| 4 | Derek G. Kirkland | For | For | |||
| 5 | Drew E. Lawton | For | For | |||
| 6 | Martin J. Lippert | For | For | |||
| 7 | Russell G. Noles | For | For | |||
| 8 | Laura L. Prieskorn | For | For | |||
| 9 | Esta E. Stecher | For | For | |||
| 2. | Ratification of the Appointment of KPMG LLP as Jackson | Management | For | For | ||
| Financial Inc.’s independent auditor for 2022 | ||||||
| 3. | Non-binding Advisory Vote to approve the frequency of | Management | 1 Year | For | ||
| an advisory vote on executive compensation | ||||||
| 4. | Non-binding Advisory Vote to approve executive | Management | For | For | ||
| compensation | ||||||
| 5. | Adoption of the Third Amended and Restated Certificate | Management | For | For | ||
| of Incorporation to eliminate the authorized Class B | ||||||
| Common Stock and to make other ministerial | ||||||
| amendments | ||||||
| ONEMAIN HOLDINGS, INC. | |||
| Security | 68268W103 | Meeting Type | Annual |
| Ticker Symbol | OMF | Meeting Date | 13-Jun-2022 |
| ISIN | US68268W1036 | Agenda | 935637085 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Valerie Soranno Keating | For | For | |||
| 2 | Aneek S. Mamik | For | For | |||
| 3 | Richard A. Smith | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers | Management | For | For | ||
| LLP as the independent registered public accounting firm | ||||||
| for OneMain Holdings, Inc. for the year ending December | ||||||
| 31, 2022. | ||||||
| WESTERN ALLIANCE BANCORPORATION | |||
| Security | 957638109 | Meeting Type | Annual |
| Ticker Symbol | WAL | Meeting Date | 14-Jun-2022 |
| ISIN | US9576381092 | Agenda | 935631615 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1a. | Election of Director: Patricia L. Arvielo | Management | For | For | |
| 1b. | Election of Director: Bruce D. Beach | Management | For | For | |
| 1c. | Election of Director: Juan Figuereo | Management | For | For | |
| 1d. | Election of Director: Howard Gould | Management | For | For | |
| 1e. | Election of Director: Marianne Boyd Johnson | Management | For | For | |
| 1f. | Election of Director: Robert Latta | Management | For | For | |
| 1g. | Election of Director: Adriane McFetridge | Management | For | For | |
| 1h. | Election of Director: Michael Patriarca | Management | For | For | |
| 1i. | Election of Director: Bryan Segedi | Management | For | For | |
| 1j. | Election of Director: Donald Snyder | Management | For | For | |
| 1k. | Election of Director: Sung Won Sohn, Ph.D. | Management | For | For | |
| 1l. | Election of Director: Kenneth A. Vecchione | Management | For | For | |
| 2. | Approve, on a non-binding advisory basis, executive | Management | For | For | |
| compensation. | |||||
| 3. | Ratify the appointment of RSM US LLP as the | Management | For | For | |
| Company’s independent auditor. |
| FINANCIAL INSTITUTIONS, INC. | |||
| Security | 317585404 | Meeting Type | Annual |
| Ticker Symbol | FISI | Meeting Date | 14-Jun-2022 |
| ISIN | US3175854047 | Agenda | 935633710 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Martin K. Birmingham | For | For | |||
| 2 | Samuel M. Gullo | For | For | |||
| 3 | Kim E. VanGelder | For | For | |||
| 2. | Advisory Vote to Approve Compensation of Our Named | Management | For | For | ||
| Executive Officers | ||||||
| 3. | Ratification of Appointment of RSM US LLP as our | Management | For | For | ||
| Independent Registered Public Accounting Firm | ||||||
| SLM CORPORATION | |||
| Security | 78442P106 | Meeting Type | Annual |
| Ticker Symbol | SLM | Meeting Date | 21-Jun-2022 |
| ISIN | US78442P1066 | Agenda | 935631843 - Management |
| Item | Proposal | Proposed | Vote | For/Against | |
| by | Management | ||||
| 1a. | Election of Director: Paul G. Child | Management | For | For | |
| 1b. | Election of Director: Mary Carter Warren Franke | Management | For | For | |
| 1c. | Election of Director: Marianne M. Keler | Management | For | For | |
| 1d. | Election of Director: Mark L. Lavelle | Management | For | For | |
| 1e. | Election of Director: Ted Manvitz | Management | For | For | |
| 1f. | Election of Director: Jim Matheson | Management | For | For | |
| 1g. | Election of Director: Samuel T. Ramsey | Management | For | For | |
| 1h. | Election of Director: Vivian C. Schneck-Last | Management | For | For | |
| 1i. | Election of Director: Robert S. Strong | Management | For | For | |
| 1j. | Election of Director: Jonathan W. Witter | Management | For | For | |
| 1k. | Election of Director: Kirsten O. Wolberg | Management | For | For | |
| 2. | Advisory approval of SLM Corporation’s executive | Management | For | For | |
| compensation. | |||||
| 3. | Ratification of the appointment of KPMG LLP as SLM | Management | For | For | |
| Corporation’s independent registered public accounting | |||||
| firm for 2022. |
| MERIDIAN CORPORATION | |||
| Security | 58958P104 | Meeting Type | Annual |
| Ticker Symbol | MRBK | Meeting Date | 23-Jun-2022 |
| ISIN | US58958P1049 | Agenda | 935643901 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | George C. Collier | For | For | |||
| 2 | Robert T. Holland | For | For | |||
| 3 | Denise Lindsay | For | For | |||
| 2. | To ratify the appointment of Crowe LLP as the | Management | For | For | ||
| Corporation’s independent registered public accounting | ||||||
| firm for the year ending December 31, 2022. | ||||||
| DELL TECHNOLOGIES INC. | |||
| Security | 24703L202 | Meeting Type | Annual |
| Ticker Symbol | DELL | Meeting Date | 27-Jun-2022 |
| ISIN | US24703L2025 | Agenda | 935647492 - Management |
| Item | Proposal | Proposed | Vote | For/Against | ||
| by | Management | |||||
| 1. | DIRECTOR | Management | ||||
| 1 | Michael S. Dell* | For | For | |||
| 2 | David W. Dorman* | For | For | |||
| 3 | Egon Durban* | Withheld | Against | |||
| 4 | David Grain* | For | For | |||
| 5 | William D. Green* | For | For | |||
| 6 | Simon Patterson* | For | For | |||
| 7 | Lynn V. Radakovich* | For | For | |||
| 8 | Ellen J. Kullman# | For | For | |||
| 2. | Ratification of the appointment of | Management | For | For | ||
| PricewaterhouseCoopers LLP as Dell Technologies Inc.’s | ||||||
| independent registered public accounting firm for fiscal | ||||||
| year ending February 3, 2023. | ||||||
| 3. | Approval, on an advisory basis, of the compensation of | Management | For | For | ||
| Dell Technologies Inc.’s named executive officers as | ||||||
| disclosed in the proxy statement. | ||||||
| 4. | Adoption of Sixth Amended and Restated Certificate of | Management | For | For | ||
| Incorporation of Dell Technologies Inc. as disclosed in | ||||||
| the proxy statement. | ||||||
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) The Caldwell & Orkin Funds, Inc.
By (Signature and Title)*
/s/ Derek Pilecki
Derek Pilecki, Director, President, and Principal Executive Officer
Date: July 29, 2022
* Print the name and title of each signing officer under his or her signature.
