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, 2012 - June 30, 2013
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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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ISSUER NAME TKT SYMBOL CUSIP SH MEETING DATE
BB&T Corporation BBT/PE 54937404 4/23/2013
MATTER VOTED UPON PROPOSED BY VOTE CAST FOR/AGAINST MGMT? REASON
To approve amendments to the Restated Issuer Abstain N/A Stonebridge abstained
Articles of Incorporation, as amended, because the change in
of BB&T to change the payment dates of record date was
its Preferred Stock dividends to immaterial to
conform with the payment date of its preferred holders.
Common Stock dividends and conform
Preferred Stock record dates.
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FIRST TRUST/CONFLUENCE SMALL CAP VALUE FUND
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COMPANY NAME MEETING DATE CUSIP TICKER
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Haemonetics Corporation 27-Jul-12 405024-100 HAE
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1) TO APPROVE AN AMENDMENT TO THE HAEMONETICS CORPORATION Issuer
BY-LAWS TO ALLOW A MAXIMUM OF 12 MEMBERS OF THE BOARD
OF DIRECTORS.
2) Elect Directors:
For For 2.1) PAUL BLACK Issuer
For For 2.2) RONALD GELBMAN Issuer
For For 2.3) RICHARD MEELIA Issuer
For For 2.4) ELLEN ZANE Issuer
For For 3) TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF Issuer
THE CORPORATION'S EXECUTIVES.
For For 4) TO RATIFY ERNST & YOUNG LLP AS INDEPENDENT REGISTERED Issuer
PUBLIC ACCOUNTING FIRM TO AUDIT THE
CONSOLIDATED FINANCIAL STATEMENTS OF
CORPORATION AND ITS SUBSIDIARIES FOR THE
FISCAL YEAR ENDING MARCH 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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Patterson Companies Inc. 10-Sep-12 703395-103 PDCO
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) SCOTT P. ANDERSON* Issuer
For For 1.2) ELLEN A. RUDNICK* Issuer
For For 1.3) HAROLD C. SLAVKIN* Issuer
For For 1.4) JAMES W. WILTZ* Issuer
For For 1.5) JODY H. FERAGEN** Issuer
For For 2) TO APPROVE THE AMENDMENT TO OUR BYLAWS. Issuer
For For 3) TO APPROVE THE AMENDMENT TO OUR AMENDED AND RESTATED Issuer
EQUITY INCENTIVE PLAN.
For For 4) TO APPROVE THE AMENDMENT TO OUR AMENDED AND RESTATED Issuer
EMPLOYEE STOCK PURCHASE PLAN.
For For 5) ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. Issuer
For For 6) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING APRIL 27, 2013.
Against Against TO APPROVE THE SHAREHOLDER Shareholder
PROPOSAL REGARDING THE ADOPTION OF
CUMULATIVE VOTING.
COMPANY NAME MEETING DATE CUSIP TICKER
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John Wiley & Sons, Inc. 20-Sep-12 968223-206 JWA
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) Elect Mari Baker as Class A director Issuer
For For 1.2) Elect Raymond McDaniel, Jr. as Class A director Issuer
For For 1.3) Elect William Plummer as Class A director Issuer
For For 1.4) Elect Kalpana Raina as Class A 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.
COMPANY NAME MEETING DATE CUSIP TICKER
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Techne Corporation 25-Oct-12 878377-100 TECH
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) Elect Thomas Oland (Chairman & CEO) as director Issuer
For For 1.2) Elect Roger Lucas (Vice Chairman) as director Issuer
For For 1.3) Elect Howard O'Connell as director Issuer
For For 1.4) Elect Randolph Steer as director Issuer
For For 1.5) Elect Robert Baumgartner as director Issuer
For For 1.6) Elect Charles Dinarello as director Issuer
For For 1.7) Elect Karen Holbrook as director Issuer
For For 1.8) Elect John Higgins as director Issuer
For For 1.9) Elect Roeland Nusse as director Issuer
For For 2) Set the number of directors at nine Issuer
For For 3) AN ADVISORY NON-BINDING VOTE ON NAMED EXECUTIVE OFFICER Issuer
COMPENSATION.
For For 4) AMEND TECHNE CORPORATION'S ARTICLES OF INCORPORATION TO Issuer
IMPLEMENT A MAJORITY VOTING STANDARD FOR UNCONTESTED
DIRECTOR ELECTIONS.
For For 5) RATIFY THE APPOINTMENT OF KPMG LLP AS REGISTERED PUBLIC Issuer
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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Scotts Miracle-Gro 17-Jan-13 810186-106 SMG
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) ADAM HANFT Issuer
For For 1.2) STEPHEN L. JOHNSON Issuer
For For 1.3) K.H. LITTLEFIELD Issuer
For For 1.4) MICHAEL E. PORTER, PH.D Issuer
For For 2) APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF Issuer
THE COMPANY'S NAMED EXECUTIVE OFFICERS.
For For 3) APPROVAL OF AN AMENDMENT AND RESTATEMENT OF THE SCOTTS Issuer
MIRACLE-GRO COMPANY AMENDED AND RESTATED 2006 LONG-TERM
INCENTIVE PLAN TO, AMONG OTHER THINGS, INCREASE THE
MAXIMUM NUMBER OF COMMON SHARES AVAILABLE FOR GRANT TO
PARTICIPANTS UNDER THE PLAN.
For For 4) RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLP Issuer
AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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Sanderson Farms Inc. 14-Feb-13 800013-104 SAFM
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) FRED BANKS, JR. Issuer
For For 1.2) TONI D. COOLEY Issuer
For For 1.3) ROBERT C. KHAYAT Issuer
For For 1.4) DIANNE MOONEY Issuer
For For 1.5) GAIL JONES PITTMAN Issuer
For For 2) Ratify selection of Ernst & Young LLP as company's Issuer
independent public accounting firm
COMPANY NAME MEETING DATE CUSIP TICKER
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PennantPark Investment 26-Feb-13 708062-104 PNNT
Corp.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) ARTHUR H. PENN Issuer
For For 2) Ratify the selection of KPMG as the independent Issuer
registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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PennantPark Investment 26-Feb-13 708062-104 PNNT
Corp.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer
FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF
THE COMPANY'S BOARD OF DIRECTORS, TO SELL SHARES OF THE
COMPANY'S 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 JOINT
PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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MVC Capital, Inc. 03-Apr-13 553829-102 MVC
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) Elect Emilio Dominianni as director Issuer
For For 1.2) Elect Phillip Goldstein as director Issuer
For For 1.3) Elect Gerald Hellerman as director Issuer
For For 1.4) Elect Warren Holtsberg as director Issuer
For For 1.5) Elect Robert Knapp as director Issuer
For For 1.6) Elect William Taylor as director Issuer
For For 1.7) Elect Michael Tokarz (Chairman) as director Issuer
For For 2) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Cubic Corporation 16-Apr-13 229669-106 CUB
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) WALTER C. ZABLE Issuer
For For 1.2) BRUCE G. BLAKLEY Issuer
For For 1.3) WILLIAM W. BOYLE Issuer
For For 1.4) EDWIN A. GUILES Issuer
For For 1.5) DR. ROBERT S. SULLIVAN Issuer
For For 1.6) DR. JOHN H. WARNER, JR. Issuer
For For 2) CONFIRM ERNST & YOUNG LLP AS INDEPENDENT PUBLIC Issuer
ACCOUNTANTS OF THE CORPORATION FOR FISCAL YEAR 2013.
For For 3) TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE Issuer
COMPENSATION.
COMPANY NAME MEETING DATE CUSIP TICKER
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Ritchie Bros. Auctioneers 25-Apr-13 767744-105 RBA
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1) Set the number of directors at 7 Issuer
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 Eric Patel as director Issuer
For For 2.4) Elect Beverley Anne Briscoe as director Issuer
For For 2.5) Elect Edward Baltazar Pitoniak as director Issuer
For For 2.6) Elect Christopher Zimmerman as director Issuer
For For 2.7) Elect Robert George Elton as director Issuer
For For 3) APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE Issuer
COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE
DIRECTORS TO FIX THEIR REMUNERATION.
For For 4) APPROVAL OF THE RECONFIRMATION OF THE SHAREHOLDER Issuer
RIGHTS PLAN IN ACCORDANCE WITH THE SHAREHOLDER RIGHTS
PLAN AGREEMENT DATED AS OF FEBRUARY 27, 2007 BETWEEN
THE COMPANY AND COMPUTERSHARE INVESTOR SERVICES INC.,
THE FULL TEXT OF WHICH RESOLUTION IS SET OUT IN
SCHEDULE "A" TO THE INFORMATION CIRCULAR OF THE COMPANY
DATED MARCH 21, 2013.
COMPANY NAME MEETING DATE CUSIP TICKER
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Graco Inc. 26-Apr-13 384109-104 GGG
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) ERIC P. ETCHART Issuer
For For 1.2) J. KEVIN GILLIGAN Issuer
For For 1.3) WILLIAM G. VAN DYKE Issuer
For For 2) RATIFICATION OF APPOINTMENT OF DELOITTE & TOUCHE LLP AS Issuer
THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
For For 3) APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION Issuer
PAID TO OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED IN
THE PROXY STATEMENT.
For For 4) APPROVAL OF AN AMENDMENT TO THE RESTATED ARTICLES OF Issuer
INCORPORATION TO ADOPT MAJORITY VOTING FOR THE ELECTION
OF DIRECTORS.
COMPANY NAME MEETING DATE CUSIP TICKER
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EnPro Industries, Inc. 01-May-13 29355X-107 NPO
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) STEPHEN E. MACADAM Issuer
For For 1.2) THOMAS M. BOTTS Issuer
For For 1.3) PETER C. BROWNING Issuer
For For 1.4) B. BERNARD BURNS, JR. Issuer
For For 1.5) DIANE C. CREEL Issuer
For For 1.6) GORDON D. HARNETT Issuer
For For 1.7) DAVID L. HAUSER Issuer
For For 1.8) WILBUR J. PREZZANO, JR. Issuer
For For 1.9) KEES VAN DER GRAAF Issuer
For For 2) ON AN ADVISORY BASIS, TO APPROVE THE COMPENSATION TO Issuer
OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY
STATEMENT.
For For 3) TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Issuer
AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
COMPANY NAME MEETING DATE CUSIP TICKER
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Douglas Dynamics, Inc. 01-May-13 25960R-105 PLOW
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) JAMES L. JANIK Issuer
For For 1.2) DONALD W. STURDIVANT Issuer
For For 1.3) MARGARET S. DANO Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
For For 3) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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RLI Corp. 02-May-13 749607-107 RLI
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
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 Michael Stone as director Issuer
For For 1.10) Elect Robert Viets 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.
COMPANY NAME MEETING DATE CUSIP TICKER
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Gladstone Commercial 02-May-13 376536-108 GOOD
Corporation
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) DAVID GLADSTONE Issuer
For For 1.2) PAUL W. ADELGREN Issuer
For For 1.3) JOHN H. OUTLAND Issuer
For For 1.4) TERRY EARHART Issuer
For For 2) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Mueller Industries, Inc. 02-May-13 624756-102 MLI
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) GREGORY L. CHRISTOPHER Issuer
For For 1.2) PAUL J. FLAHERTY Issuer
For For 1.3) GENNARO J. FULVIO Issuer
For For 1.4) GARY S. GLADSTEIN Issuer
For For 1.5) SCOTT J. GOLDMAN Issuer
For For 1.6) TERRY HERMANSON Issuer
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.
COMPANY NAME MEETING DATE CUSIP TICKER
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Franklin Electric Co., 03-May-13 353514-102 FELE
Inc.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) R. SCOTT TRUMBULL Issuer
For For 1.2) THOMAS L. YOUNG Issuer
For For 2) TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE, LLP AS Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE 2013
FISCAL YEAR.
For For 3) TO APPROVE, ON AN ADVISORY BASIS, THE EXECUTIVE Issuer
COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS DISCLOSED
IN THE PROXY STATEMENT.
COMPANY NAME MEETING DATE CUSIP TICKER
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West Pharmaceutical 07-May-13 955306-105 WST
Services, Inc.
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) Elect Mark Buthman as director Issuer
For For 1.2) Elect William Feehery as director Issuer
For For 1.3) Elect Thomas Hofman as director Issuer
For For 1.4) Elect L. Robert Johnson as director Issuer
For For 1.5) Elect Paula Johnson as director Issuer
For For 1.6) Elect Douglas Michels as director Issuer
For For 1.7) Elect Donald Morel, JR. (Chairman & CEO) as director Issuer
For For 1.8) Elect John Weiland as director Issuer
For For 1.9) Elect Anthony Welters as director Issuer
For For 1.10) Elect Patrick Zenner as director Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
For For 3) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Deckers Outdoor Corp. 08-May-13 243537-107 DECK
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) ANGEL R. MARTINEZ Issuer
For For 1.2) REX A. LICKLIDER Issuer
For For 1.3) JOHN M. GIBBONS Issuer
For For 1.4) JOHN G. PERENCHIO Issuer
For For 1.5) MAUREEN CONNERS Issuer
For For 1.6) KARYN O. BARSA Issuer
For For 1.7) MICHAEL F. DEVINE, III Issuer
For For 1.8) JAMES QUINN Issuer
For For 1.9) LAURI SHANAHAN Issuer
For For 2) TO RATIFY THE APPOINTMENT OF KPMG LLP AS OUR Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR
ENDING DECEMBER 31, 2013.
For For 3) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
COMPANY NAME MEETING DATE CUSIP TICKER
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Brown & Brown, Inc. 08-May-13 115236-101 BRO
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect directors:
For For .1) J. Hyatt Brown (Chairman & acting CEO) Issuer
For For .2) Samuel Bell, III Issuer
For For .3) Hugh Brown (unrelated) Issuer
For For .4) J. Powell Brown (CEO) Issuer
For For .5) Bradley Curry Issuer
For For .6) Theodore Hoepner Issuer
For For .7) James Hunt Issuer
For For .8) Toni Jennings Issuer
For For .9) Timothy Main Issuer
For For .10) H. Palmer Proctor, Jr. Issuer
For For .11) Wendell Reilly Issuer
For For .12) Chilton Varner 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.
COMPANY NAME MEETING DATE CUSIP TICKER
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Heartland Express 09-May-13 422347-104 HTLD
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) Elect Michael Gerdin (President) as director Issuer
For For 1.2) Elect Richard Jacobson as director Issuer
For For 1.3) Elect Benjamin Allen as director Issuer
For For 1.4) Elect Lawrence Crouse as director Issuer
For For 1.5) Elect James Pratt as director Issuer
For For 1.6) Elect T. Hira as director Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Morningstar, Inc. 14-May-13 617700-109 MORN
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
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 Gail Landis as director Issuer
For For 1.6) Elect Bill Lyons as director Issuer
For For 1.7) Elect Jack Noonan as director Issuer
For For 1.8) Elect Paul Sturm as director Issuer
For For 1.9) Elect Hugh Zentmyer as director Issuer
For For 2) Ratify the selection of KPMG LLP as the independent Issuer
registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Hittite Microwave Corp. 15-May-13 43365Y-104 HITT
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) Elect Ernest Godshalk as director Issuer
For For 1.2) Elect Rick Hess as director Issuer
For For 1.3) Elect Adrienne Markham as director Issuer
For For 1.4) Elect Brian McAloon as director Issuer
For For 1.5) Elect Cosmo Trapani as director Issuer
For For 1.6) Elect Franklin Weigold as director Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
For For 3) Ratify the selection of PwC (PricewaterhouseCoopers Issuer
LLP) as the independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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Franklin Street 16-May-13 35471R-106 FSP
Properties
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) BRIAN N. HANSEN Issuer
For For 1.2) DENNIS J. MCGILLICUDDY Issuer
For For 1.3) JANET P. NOTOPOULOS Issuer
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.
COMPANY NAME MEETING DATE CUSIP TICKER
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Rayonier, Inc. 16-May-13 754907-103 RYN
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
For For 1.1) ELECTION OF DIRECTOR: C. DAVID BROWN, II Issuer
For For 1.2) ELECTION OF DIRECTOR: JOHN E. BUSH Issuer
For For 1.3) ELECTION OF DIRECTOR: THOMAS I. MORGAN Issuer
For For 2) REAPPROVAL OF THE MATERIAL TERMS OF PERFORMANCE-BASED Issuer
AWARDS UNDER THE RAYONIER NON-EQUITY INCENTIVE PLAN
For For 3) APPROVAL, IN A NON-BINDING VOTE, OF THE COMPENSATION OF Issuer
OUR NAMED
EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT
For For 4) RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS Issuer
THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
COMPANY
COMPANY NAME MEETING DATE CUSIP TICKER
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Zebra Technologies 16-May-13 989207-105 ZBRA
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) GERHARD CLESS Issuer
For For 1.2) MICHAEL A. SMITH Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
For For 3) Ratify the selection of Ernst & Young LLP as the Issuer
independent registered public accounting firm.
COMPANY NAME MEETING DATE CUSIP TICKER
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VCA Antech Inc. 20-May-13 918194-101 WOOF
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) ROBERT L. ANTIN 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.
COMPANY NAME MEETING DATE CUSIP TICKER
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C&J Energy Services Inc. 20-May-13 12467B-304 CJES
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) JOSHUA E. COMSTOCK Issuer
For For 1.2) RANDALL C. MCMULLEN, JR Issuer
For For 1.3) DARREN M. FRIEDMAN Issuer
For For 1.4) MICHAEL ROEMER Issuer
For For 1.5) HH "TRIPP" WOMMACK, III Issuer
For For 1.6) C. JAMES STEWART, III Issuer
For For 1.7) ADRIANNA MA Issuer
For For 2) Approve, on an advisory basis, the compensation of Issuer
named executive officers.
For For 3) RATIFICATION OF THE APPOINTMENT OF UHY LLP AS THE Issuer
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF C&J
ENERGY SERVICES, INC. FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2013
COMPANY NAME MEETING DATE CUSIP TICKER
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Landstar System Inc. 23-May-13 515098-101 LSTR
Vote Management Proposals at "Annual Meeting of Shareholders" Proposed by Issuer or
For / Against Security Holder
1) Elect Directors:
For For 1.1) HOMAIRA AKBARI Issuer
For For 1.2) DIANA M. MURPHY Issuer
For For 1.3) LARRY J. THOELE 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.
For For 4) APPROVAL OF THE COMPANY'S 2013 DIRECTORS STOCK Issuer
COMPENSATION PLAN.
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FIRST TRUST SHORT DURATION HIGH INCOME FUND
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The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
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/ Mark R. Bradley
---------------------------------
Mark R. Bradley, President
Date July 25, 2013
-------------------------
* Print the name and title of each signing officer under his or her signature.