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 No. 811-22452
FIRST TRUST SERIES FUND
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
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Date of reporting period: July 1, 2010 - June 30, 2011
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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 (ss.ss. 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, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
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FIRST TRUST PREFERRED SECURITIES AND INCOME FUND
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First Trust Preferred Securities and Income Fund, a series of the Registrant,
did not receive any proxies and accordingly did not vote any proxies during the
reporting period.
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FIRST TRUST/CONFLUENCE SMALL CAP VALUE FUND
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From Inception: 1/11/11 - 6/30/11
COMPANY NAME MEETING CUSIP TICKER
DATE
Scotts Miracle-Gro 19-Jan-11 810186-106 SMG
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
1) Elect directors: Issuer
For For .1) James Hagedorn (CEO & Chairman) Issuer
For For .2) William Jurgensen Issuer
For For .3) Nancy Mistretta Issuer
For For .4) Stephanie Shern Issuer
For For Ratification of Deloitte & Touche as independent public Issuer
accounting firm
For For Approval of material terms of the performance criteria Issuer
under the Scotts Miracle-Gro amended and restated 2006
long term incentive plan
For For Approval of material terms of the performance criteria under
the Scotts Miracle-Gro amended and restated executive
incentive plan
COMPANY NAME MEETING CUSIP TICKER
DATE
PennantPark Investment 1-Feb-11 708062-104 PNNT
Corp.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Marshall Brozost as director Issuer
For For 1.2) Elect Samuel Katz as director Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 3) Consider and vote upon a proposal to authorize Issuer
flexibility, with the approval of Board of Directors, to
sell shares of common stock (during the next 12 months) at
a price below the then current net asset value per share,
subject to certain limitations described in the proxy
statement.
COMPANY NAME MEETING CUSIP TICKER
DATE
Sanderson Farms Inc. 17-Feb-11 800013-104 SAFM
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
1) Elect directors: Issuer
For For .1) Lampkin Butts (COO) Issuer
For For .2) Beverly Hogan Issuer
For For .3) Phil Livingston Issuer
For For .4) Charles Ritter Issuer
For For .5) Joe Sanderson (CEO & Chairman) Issuer
For For 2)Proposal to approve the SAFM amnded and restated stock Issuer
incentive plan
For For 3) Proposal to approve a non-binding advisory vote on the Issuer
compensation of company's executive officers
3 years 3 years 4) Frequency with which the company should hold future Issuer
non-binding advisroy note on executive compensation
For For 5) Ratify selection of Ernsy & Young LLP as company's Issuer
independent public accounting firm
COMPANY NAME MEETING CUSIP TICKER
DATE
MVC Capital, Inc. 10-Mar-11 553829-102 MVC
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
1) Elect directors:
For For .1) Emilio Dominianni Issuer
For For .2) Gerald Hellerman Issuer
For For .3) Robert Knapp Issuer
For For .4) William Taylor Issuer
For For .5) Warren Holtsberg (interested director) Issuer
For For .6) Michael Tokarz (Chairman) Issuer
For For 2) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
COMPANY NAME MEETING CUSIP TICKER
DATE
Graco Inc. 21-Apr-11 384109-104 GGG
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Patrick McHale (CEO) as director for term Issuer
ending 2014
For For 1.2) Elect Lee Mitau as director for term ending 2014 Issuer
For For 1.3) Elect Marti Morfitt as director for term ending 2014 Issuer
For For 2) Ratify the selection of Deloitte & Touche LLP as Issuer
independent registered public accounting firm
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers
For Against 5) Amend the company's articles of incorporation and/or Shareholder
bylaws to provide that director nominees shall be elected
by the affirmative vote of the majority of votes cast at
an annual meeting of shareowners in uncontested elections.
A plurality vote standard, however, will apply to
contested director elections; that is, when the number of
director nominees exceeds the number of board seats.
Page 1
COMPANY NAME MEETING CUSIP TICKER
DATE
Simpson Manufacturing 26-Apr-11 829073-105 SSD
Co., Inc.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
1) Elect directors:
For For .1) Thomas Fitzmyers (CEO) for a 3-year term Issuer
For For .2) Earl Cheit (Lead Independent Director) for a 3-year Issuer
term
For For .3) Barry Lawson Williams for a 3-year term Issuer
For For 2) Approve the company's 2011 Incentive Plan Issuer
For For 3) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
For For 4) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 5) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers
COMPANY NAME MEETING CUSIP TICKER
DATE
Brown & Brown 27-Apr-11 115236-101 BRO
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect J. Hyatt Brown (Chairman) as director Issuer
For For 1.2) Elect Samuel Bell III as director Issuer
For For 1.3) Elect Hugh Brown as director Issuer
For For 1.4) Elect J. Powell Brown (CEO) as director Issuer
For For 1.5) Elect Bradley Currey, Jr. as director Issuer
For For 1.6) Elect Theodore Hoepner as director Issuer
For For 1.7) Elect Toni Jennings as director Issuer
For For 1.8) Elect Timothy Main as director Issuer
For For 1.9) Elect Wendell Reilly as director Issuer
For For 1.10) Elect John Riedman as director Issuer
For For 1.11) Elect Chilton Varner as director Issuer
For For 2) Ratify the selection of Deloitte & Touche LLP as Issuer
independent registered public accounting firm
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers
COMPANY NAME MEETING CUSIP TICKER
DATE
Ritchie Bros. Auctioneers 28-Apr-11 767744-105 RBA
Vote Management Proposals at "Annual & Special Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1) Set the number of directors at 7
For For 2.1) Elect Robert Waugh Murdoch (Chairman) as director Issuer
For For 2.2) Elect Peter James Blake (CEO) as director Issuer
For For 2.3) Elect Christopher Zimmerman as director Issuer
For For 2.4) Elect Eric Patel as director Issuer
For For 2.5) Elect Edward Baltazar Pitoniak as director Issuer
For For 2.6) Elect Beverley Anne Briscoe as director Issuer
For For 2.7) Elect James Michael Micali as director Issuer
For For 3) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 4) Confirm an amendment to the company bylaws approved by Issuer
the directors to allow and provide for the use of
electronic participation at shareholders' meetings
COMPANY NAME MEETING CUSIP TICKER
DATE
Sigma-Aldrich Corporation 3-May-11 826552-101 SIAL
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Rebecca Bergman as director Issuer
For For 1.2) Elect George Church as director Issuer
For For 1.3) Elect David Harvey (ex-Chairman & ex-CEO) as director Issuer
For For 1.4) Elect W. Lee McCollum as director Issuer
For For 1.5) Elect Avi Nash as director Issuer
For For 1.6) Steven Paul as director Issuer
For For 1.7) Elect J. Pedro Reinhard as director Issuer
For For 1.8) Elect Rakesh Sachdev (President & CEO) as director Issuer
For For 1.9) Elect D. Dean Spatz as director Issuer
For For 1.10) Elect Barrett Toan (Chairman) as director Issuer
For For 2) Approve the Sigma-Aldrich Corporation Long-Term Issuer
Incentive Plan Performance Goals.
For For 3) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 5) Amend Article Eleventh of the Company's Certificate of Issuer
Incorporation, to replace references to supermajority
voting with a simple majority of outstanding shares.
For For 6) Amend Article Twelfth of the Company's Certificate of Issuer
Incorporation, to replace references to supermajority
voting with a simple majority of outstanding shares.
For For 7) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 5) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers
Page 2
COMPANY NAME MEETING CUSIP TICKER
DATE
West Pharmaceutical 3-May-11 955306-105 WST
Services, Inc.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Donald Morel, JR. (Chairman & CEO) as director Issuer
for term ending 2014
For For 1.2) Elect John Weiland as director for term ending 2014 Issuer
For For 1.3) Elect Robert Young as director for term ending 2014 Issuer
For For 1.4) Elect Mark Buthman as director for term ending 2014 Issuer
For For 1.5) Elect Douglas Michels as director for term ending Issuer
2013
For For 2) Amend the amended and restated Articles of Issuer
Incorporation to declassify board of directors.
For For 3) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
For For 4) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 5) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers
For For 6) Approve the adoption of the West Pharmaceutical Issuer
Services, Ince. 2011 Omnibus Incentive Compensation Plan,
to provide for the award of compensation to both key
employees and directors.
COMPANY NAME MEETING CUSIP TICKER
DATE
Heartland Express 5-May-11 422347-104 HTLD
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Russell Gerdin (Chairman & CEO) as director Issuer
For For 1.2) Elect Michael Gerdin (President) as director Issuer
For For 1.3) Elect Richard Jacobson as director Issuer
For For 1.4) Elect Benjamin Allen as director Issuer
For For 1.5) Elect Lawrence Crouse as director Issuer
For For 1.6) Elect James Pratt as director Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
COMPANY NAME MEETING CUSIP TICKER
DATE
Gladstone Commercial 5-May-11 376536-108 GOOD
Corporation
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Michela English as director Issuer
For For 1.2) Elect Anthony Parker as director Issuer
For For 1.3) Elect George Stelljes III as director Issuer
For For 2) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
COMPANY NAME MEETING CUSIP TICKER
DATE
RLI Corp. 5-May-11 749607-107 RLI
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Kaj Ahlmann as director Issuer
For For 1.2) Elect Barbara Allen as director Issuer
For For 1.3) Elect John Baily as director Issuer
For For 1.4) Elect Jordan Graham as director Issuer
For For 1.5) Elect Gerald Lenrow as director Issuer
For For 1.6) Elect Charles Linke as director Issuer
For For 1.7) Elect F. Lynn McPheeters as director Issuer
For For 1.8) Elect Jonathan Michael (Chairman & CEO) as director Issuer
For For 1.9) Elect Robert Viets as director Issuer
For For 2) Approve the company's Annual Incentive Compensation Issuer
Plan.
For For 3) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 4) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 5) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
Page 3
COMPANY NAME MEETING CUSIP TICKER
DATE
Forward Air 9-May-11 349853-101 FWRD
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Ronald Allen as director Issuer
For For 1.2) Elect Bruce Campbell (Chairman & CEO) as director Issuer
For For 1.3) Elect C. Robert Campbell as director Issuer
For For 1.4) Elect Richard Hanselman (ex-Chairman) as director Issuer
For For 1.5) Elect C. John Langley Jr. as director Issuer
For For 1.6) Elect Tracy Leinbach as director Issuer
For For 1.7) Elect Larry Leinweber as director Issuer
For For 1.8) Elect G. Michael Lynch as director Issuer
For For 1.9) Elect Ray Mundy as director Issuer
For For 1.10) Elect Gary Paxton as director Issuer
For For 2) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
For For 3) Approve revised performance criteria which may apply to Issuer
performance-based stock awards granted under the amended
and restated Stock Option and Incentive Plan.
For For 4) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 5) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
COMPANY NAME MEETING CUSIP TICKER
DATE
Mercury General 11-May-11 589400-100 MCY
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect George Joseph (Chairman) as director Issuer
For For 1.2) Elect Martha Marcon as director Issuer
For For 1.3) Elect Donald Spuehler as director Issuer
For For 1.4) Elect Richard Grayson as director Issuer
For For 1.5) Elect Donald Newell as director Issuer
For For 1.6) Elect Bruce Bunner as director Issuer
For For 1.7) Elect Nathan Bessin as director Issuer
For For 1.8) Elect Michael Curtius as director Issuer
For For 1.9) Elect Gabriel Tirador (CEO) as director Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 3) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
COMPANY NAME MEETING CUSIP TICKER
DATE
Ambassadors Group 12-May-11 023177-108 EPAX
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Daniel Byrne as director for a term ending 2014 Issuer
For For 1.2) Elect Rafer Johnson as director for a term ending Issuer
2014
For For 2) Ratify the selection of BDO USA LLP as the independent Issuer
registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
COMPANY NAME MEETING CUSIP TICKER
DATE
Franklin Street 16-May-11 35471R-106 FSP
Properties
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect George Carter (President & CEO) as director for Issuer
a term ending 2014
For For 1.2) Elect Georgia Murray as director for a term ending Issuer
2014
For For 2) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For Against 5) Eliminate classification of terms of the Board of Shareholder
Directors to require that all Directors stand for election
annually.
Page 4
COMPANY NAME MEETING CUSIP TICKER
DATE
Morningstar, Inc. 17-May-11 617700-109 MORN
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Joe Mansueto (Chairman & CEO) as director Issuer
For For 1.2) Elect Donald Phillips (President) as director Issuer
For For 1.3) Elect Cheryl Francis as director Issuer
For For 1.4) Elect Steve Kaplan as director Issuer
For For 1.5) Elect Bill Lyons as director Issuer
For For 1.6) Elect Jack Noonan as director Issuer
For For 1.7) Elect Paul Sturm as director Issuer
For For 1.8) Elect Hugh Zentmyer as director Issuer
For For 2) Approve the Morningstar, Inc. 2011 Stock Incentive Issuer
Plan.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 5) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
COMPANY NAME MEETING CUSIP TICKER
DATE
Rayonier, Inc. 19-May-11 754907-103 RYN
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Paul Boynton (President & COO) as director for Issuer
a term ending 2014
For For 1.2) Elect Mark Gaumond as director for a term ending 2014 Issuer
For For 1.3) Elect David Oskin as director for a term ending 2014 Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 3) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 4) Ratify the selection of Deloitte & Touche LLP as Issuer
independent registered public accounting firm
For Against 5) Eliminate classification of terms of the Board of Shareholder
Directors to require that all Directors stand for election
annually.
COMPANY NAME MEETING CUSIP TICKER
DATE
Zebra Technologies 19-May-11 989207-105 ZBRA
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Anders Gustafsson (CEO) as director for a term Issuer
ending 2014
For For 1.2) Elect Andrew Ludwick as director for a term ending Issuer
2014
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 3) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 4) Approve the 2011 Long-Term Incentive Plan Issuer
For For 5) Approve the 2011 Short-Term Incentive Plan Issuer
For For 6) Approve the 2011 Employee Stock Purchase Plan Issuer
For For 7) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
Page 5
COMPANY NAME MEETING CUSIP TICKER
DATE
Landstar System Inc. 26-May-11 515098-101 LSTR
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Jeffrey Crowe (ex-CEO & ex-Chairman) as Issuer
director
For For 1.2) Elect David Bannister as director for term ending Issuer
2014
For For 1.3) Elect Michael Henning as director for term ending Issuer
2014
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years N/A 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 5) Approve the 2011 Landstar System, Inc. Equity Incentive Issuer
Plan.
COMPANY NAME MEETING CUSIP TICKER
DATE
Hibbett Sports, Inc. 26-May-11 428567-101 HIBB
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Albert Johnson as director for a term ending Issuer
2014
For For 1.2) Elect Ralph Parks as director for a term ending 2014 Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 5) Re-approve performance-based compensation under the Issuer
amended and restated 2006 Executive Officer Cash Bonus
Plan.
COMPANY NAME MEETING CUSIP TICKER
DATE
Affiliated Managers 31-May-11 008252-108 AMG
Group, Inc.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect Samuel Byrne as director Issuer
For For 1.2) Elect Dwight Churchill as director Issuer
For For 1.3) Elect Sean Healy (CEO) as director Issuer
For For 1.4) Elect Harold Meyerman as director Issuer
For For 1.5) Elect William Nutt (Chairman) as director Issuer
For For 1.6) Elect Rita Rodriguez as director Issuer
For For 1.7) Elect Patrick Ryan as director Issuer
For For 1.8) Elect Jide Zaitlin as director Issuer
For For 2) Approve the 2011 Stock Option and Incentive Plan Issuer
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
1 year 1 year 4) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
For For 5) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
COMPANY NAME MEETING CUSIP TICKER
DATE
VCA Antech Inc. 6-Jun-11 918194-101 WOOF
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Security Holder
Against
For For 1.1) Elect John Chickering, Jr. as director for a term Issuer
ending 2014
For For 1.2) Elect John Heil as director for a term ending 2014 Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
For For 3) Re-approve the material terms of the performance goals Issuer
under the VCA Antech, Inc. 2006 Equity Incentive Plan.
For For 4) Re-approve the material terms of the performance goals Issuer
under the VCA Antech, Inc.2007 Cash Incentive Plan.
For For 5) Approve, on an advisory basis, the compensation of Issuer
named executive officers, as disclosed in the company's
Proxy Statement for the 2011 Annual Meeting of
Shareholders pursuant to the compensation disclosure rules
of the Securities and Exchange Commission.
2 years 3 years 6) Select the preferred voting frequency -- one year, two Issuer
years, three years or abstain -- as to when the company
shall hold a shareholder vote to approve the compensation
of the named executive officers.
Page 6
SIGNATURES
[See General Instruction F]
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) First Trust Series Fund
-----------------------------------------
By (Signature and Title)* /s/ James A. Bowen
---------------------------------
James A. Bowen, President
Date August 31, 2011
-------------------------
* Print the name and title of each signing officer under his or her signature.