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, 2014 - June 30, 2015
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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/CONFLUENCE SMALL CAP VALUE FUND
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HAEMONETICS CORPORATION
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Security: 405024100 Meeting Type: Annual
Ticker: HAE Meeting Date: 23-Jul-2014
ISIN US4050241003 Vote Deadline Date: 22-Jul-2014
Agenda 934046156 Management Total Ballot Shares: 15128
Last Vote Date: 13-Jun-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 BRIAN P. CONCANNON 3515 0 0 0
2 RONALD L. MERRIMAN 3515 0 0 0
3 CHARLES J. DOCKENDORFF 3515 0 0 0
2 TO APPROVE AMENDMENTS TO THE For None 3515 0 0 0
HAEMONETICS CORPORATION 2005 LONG-
TERM INCENTIVE COMPENSATION PLAN
WHICH (I) INCREASE THE TOTAL NUMBER OF
SHARES AVAILABLE FOR GRANT, (II) EXTEND
THE TERM OF THE PLAN, AND (III) ALTER THE
RATE AT WHICH CERTAIN AWARDS ARE
COUNTED TOWARD PLAN LIMITS.
3 TO CONSIDER AND ACT UPON AN ADVISORY For None 3515 0 0 0
VOTE REGARDING THE COMPENSATION OF
OUR NAMED EXECUTIVE OFFICERS.
4 TO RATIFY ERNST & YOUNG LLP AS For None 3515 0 0 0
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE
CONSOLIDATED FINANCIAL STATEMENTS OF
THE COMPANY AND ITS SUBSIDIARIES FOR
THE FISCAL YEAR ENDED MARCH 28, 2015.
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THERMON GROUP HOLDINGS, INC.
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Security: 88362T103 Meeting Type: Annual
Ticker: THR Meeting Date: 31-Jul-2014
ISIN US88362T1034 Vote Deadline Date: 30-Jul-2014
Agenda 934043100 Management Total Ballot Shares: 20641
Last Vote Date: 10-Jun-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 RODNEY L. BINGHAM 4687 0 0 0
2 MARCUS J. GEORGE 4687 0 0 0
3 RICHARD E. GOODRICH 4687 0 0 0
4 KEVIN J. MCGINTY 4687 0 0 0
5 JOHN T. NESSER, III 4687 0 0 0
6 MICHAEL W. PRESS 4687 0 0 0
7 STEPHEN A. SNIDER 4687 0 0 0
8 CHARLES A. SORRENTINO 4687 0 0 0
2 TO RATIFY THE APPOINTMENT OF KPMG LLP For None 4687 0 0 0
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING MARCH 31,
2015.
3 TO APPROVE, ON A NON-BINDING ADVISORY For None 4687 0 0 0
BASIS, THE COMPENSATION OF THE
COMPANY'S EXECUTIVE OFFICERS AS
DESCRIBED IN THE PROXY STATEMENT.
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PATTERSON COMPANIES, INC.
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Security: 703395103 Meeting Type: Annual
Ticker: PDCO Meeting Date: 08-Sep-2014
ISIN US7033951036 Vote Deadline Date: 05-Sep-2014
Agenda 934061615 Management Total Ballot Shares: 16968
Last Vote Date: 06-Aug-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 JOHN D. BUCK 2790 0 0 0
2 JODY H. FERAGEN 2790 0 0 0
3 SARENA S. LIN 2790 0 0 0
4 NEIL A. SCHRIMSHER 2790 0 0 0
5 LES C. VINNEY 2790 0 0 0
2 APPROVAL OF OUR 2014 SHARESAVE PLAN. For None 2790 0 0 0
3 ADVISORY APPROVAL OF EXECUTIVE For None 2790 0 0 0
COMPENSATION.
4 TO RATIFY THE SELECTION OF ERNST & For None 2790 0 0 0
YOUNG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING APRIL 25,
2015.
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CULP, INC.
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Security: 230215105 Meeting Type: Annual
Ticker: CFI Meeting Date: 17-Sep-2014
ISIN US2302151053 Vote Deadline Date: 16-Sep-2014
Agenda 934067732 Management Total Ballot Shares: 24067
Last Vote Date: 19-Aug-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 ROBERT G. CULP, III 6300 0 0 0
2 PATRICK B. FLAVIN 6300 0 0 0
3 KENNETH R. LARSON 6300 0 0 0
4 KENNETH W. MCALLISTER 6300 0 0 0
5 FRANKLIN N. SAXON 6300 0 0 0
2 PROPOSAL TO RATIFY THE APPOINTMENT For None 6300 0 0 0
OF GRANT THORNTON LLP AS THE
COMPANY'S INDEPENDENT AUDITORS FOR
FISCAL 2015.
3 SAY ON PAY - AN ADVISORY VOTE ON For None 6300 0 0 0
EXECUTIVE COMPENSATION.
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TECHNE CORPORATION
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Security: 878377100 Meeting Type: Annual
Ticker: TECH Meeting Date: 30-Oct-2014
ISIN US8783771004 Vote Deadline Date: 29-Oct-2014
Agenda 934077288 Management Total Ballot Shares: 5764
Last Vote Date: 20-Sep-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO SET THE NUMBER OF DIRECTORS AT For None 1365 0 0 0
TEN.
2 ELECTION OF DIRECTOR: CHARLES R. For None 1365 0 0 0
KUMMETH
3 ELECTION OF DIRECTOR: ROBERT V. For None 1365 0 0 0
BAUMGARTNER
4 ELECTION OF DIRECTOR: ROGER C. LUCAS, PH.D. For None 1365 0 0 0
5 ELECTION OF DIRECTOR: HOWARD V. O'CONNELL For None 1365 0 0 0
6 ELECTION OF DIRECTOR: RANDOLPH C. STEER, M.D., PH.D. For None 1365 0 0 0
7 ELECTION OF DIRECTOR: CHARLES A. DINARELLO, M.D. For None 1365 0 0 0
8 ELECTION OF DIRECTOR: KAREN A. HOLBROOK, PH.D. For None 1365 0 0 0
9 ELECTION OF DIRECTOR: JOHN L. HIGGINS For None 1365 0 0 0
10 ELECTION OF DIRECTOR: ROELAND NUSSE, PH.D. For None 1365 0 0 0
11 ELECTION OF DIRECTOR: HAROLD J. WIENS For None 1365 0 0 0
12 A NON-BINDING ADVISORY VOTE ON NAMED For None 1365 0 0 0
EXECUTIVE OFFICER COMPENSATION.
13 RATIFY THE APPOINTMENT OF KPMG LLP AS For None 1365 0 0 0
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE FISCAL YEAR ENDING JUNE 30,
2015.
14 APPROVE THE 2014 EMPLOYEE STOCK For None 1365 0 0 0
PURCHASE PLAN.
15 AMEND THE ARTICLES OF INCORPORATION For None 1365 0 0 0
TO CHANGE THE NAME OF THE COMPANY
FROM TECHNE CORPORATION TO BIO-
TECHNE CORPORATION.
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PENNANTPARK INVESTMENT CORPORATION
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Security: 708062104 Meeting Type: Special
Ticker: PNNT Meeting Date: 03-Feb-2015
ISIN US7080621045 Vote Deadline Date: 02-Feb-2015
Agenda 934109388 Management Total Ballot Shares: 729187
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 TO CONSIDER AND VOTE UPON A PROPOSAL For None 7948 2547 145 0
TO AUTHORIZE 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.
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MTS SYSTEMS CORPORATION
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Security: 553777103 Meeting Type: Annual
Ticker: MTSC Meeting Date: 10-Feb-2015
ISIN US5537771033 Vote Deadline Date: 09-Feb-2015
Agenda 934113159 Management Total Ballot Shares: 3623
Last Vote Date: 31-Dec-2014
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 DAVID J. ANDERSON 807 0 0 0
2 JEFFREY A. GRAVES 807 0 0 0
3 DAVID D. JOHNSON 807 0 0 0
4 EMILY M. LIGGETT 807 0 0 0
5 RANDY J. MARTINEZ 807 0 0 0
6 BARB J. SAMARDZICH 807 0 0 0
7 MICHAEL V. SCHROCK 807 0 0 0
8 GAIL P. STEINEL 807 0 0 0
9 CHUN HUNG (KENNETH) YU 807 0 0 0
2 TO RATIFY THE APPOINTMENT OF KPMG LLP For None 807 0 0 0
AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR FISCAL 2015.
3 A NON-BINDING, ADVISORY VOTE TO For None 807 0 0 0
APPROVE THE COMPENSATION OF THE
COMPANY'S NAMED EXECUTIVE OFFICERS.
4 TO APPROVE THE COMPANY'S EXECUTIVE For None 807 0 0 0
VARIABLE COMPENSATION PLAN.
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C&J ENERGY SERVICES INC
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Security: 12467B304 Meeting Type: Special
Ticker: CJES Meeting Date: 20-Mar-2015
ISIN US12467B3042 Vote Deadline Date: 19-Mar-2015
Agenda 934126891 Management Total Ballot Shares: 25143
Last Vote Date: 19-Feb-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 APPROVAL OF THE AGREEMENT AND PLAN For None 4755 0 0 0
OF MERGER, DATED AS OF JUNE 25, 2014,
AMONG C&J ENERGY SERVICES, INC.,
NABORS INDUSTRIES LTD. AND NABORS
RED LION LIMITED (AS AMENDED FROM TIME
TO TIME, THE "MERGER AGREEMENT").
2 APPROVAL OF A PROVISION IN THE For None 4755 0 0 0
AMENDED AND RESTATED BYE-LAWS OF
NABORS RED LION LIMITED THAT
CLASSIFIES THE RED LION BOARD OF
DIRECTORS INTO THREE SEPARATE
CLASSES WITH STAGGERED TERMS.
APPROVAL OF THIS PROPOSAL IS A
CONDITION TO THE COMPLETION OF THE
MERGER CONTEMPLATED BY THE MERGER
AGREEMENT.
3 APPROVAL, ON A NON-BINDING, ADVISORY For None 4755 0 0 0
BASIS, OF THE COMPENSATION PAYABLE TO
C&J ENERGY SERVICES, INC.'S NAMED
EXECUTIVE OFFICERS IN CONNECTION WITH
THE MERGER CONTEMPLATED BY THE
MERGER AGREEMENT.
4 APPROVAL OF THE ADJOURNMENT OF THE For None 4755 0 0 0
SPECIAL MEETING, IF NECESSARY OR
APPROPRIATE, TO SOLICIT ADDITIONAL
PROXIES IN THE EVENT THERE ARE NOT
SUFFICIENT VOTES AT THE TIME OF THE
SPECIAL MEETING TO APPROVE THE
MERGER AGREEMENT.
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PENNANTPARK INVESTMENT CORPORATION
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Security: 708062104 Meeting Type: Annual
Ticker: PNNT Meeting Date: 30-Mar-2015
ISIN US7080621045 Vote Deadline Date: 27-Mar-2015
Agenda 934108300 Management Total Ballot Shares: 729187
Last Vote Date: 30-Jan-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 ADAM BERNSTEIN 10184 0 456 0
2 JEFFREY FLUG 10345 0 295 0
2 TO RATIFY THE SELECTION OF MCGLADREY For None 10449 118 73 0
LLP TO SERVE AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING SEPTEMBER 30, 2015.
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VCA INC.
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Security: 918194101 Meeting Type: Annual
Ticker: WOOF Meeting Date: 16-Apr-2015
ISIN US9181941017 Vote Deadline Date: 15-Apr-2015
Agenda 934133973 Management Total Ballot Shares: 15391
Last Vote Date: 07-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 JOHN M. BAUMER 3395 0 0 0
2 FRANK REDDICK 3395 0 0 0
2 RATIFICATION OF THE APPOINTMENT OF For None 3395 0 0 0
KPMG LLP AS OUR INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE YEAR ENDING DECEMBER 31, 2015.
3 VOTE TO APPROVE THE VCA INC. 2015 For None 3395 0 0 0
ANNUAL CASH INCENTIVE PLAN.
4 VOTE TO APPROVE THE VCA INC. 2015 For None 3395 0 0 0
EQUITY INCENTIVE PLAN.
5 ADVISORY VOTE TO APPROVE THE For None 3395 0 0 0
COMPENSATION OF OUR NAMED EXECUTIVE
OFFICERS.
6 VOTE ON STOCKHOLDER PROPOSAL Against None 0 3395 0 0
REGARDING PROXY ACCESS.
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GRACO INC.
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Security: 384109104 Meeting Type: Annual
Ticker: GGG Meeting Date: 24-Apr-2015
ISIN US3841091040 Vote Deadline Date: 23-Apr-2015
Agenda 934135751 Management Total Ballot Shares: 171808.25
Last Vote Date: 11-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 ELECTION OF DIRECTOR: WILLIAM J. CARROLL For None 1900 0 0 0
2 ELECTION OF DIRECTOR: JACK W. EUGSTER For None 1900 0 0 0
3 ELECTION OF DIRECTOR: R. WILLIAM VAN SANT For None 1900 0 0 0
4 RATIFICATION OF APPOINTMENT OF For None 1900 0 0 0
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM.
5 APPROVAL, ON AN ADVISORY BASIS, OF THE For None 1900 0 0 0
COMPENSATION PAID TO OUR NAMED
EXECUTIVE OFFICERS AS DISCLOSED IN THE
PROXY STATEMENT.
6 APPROVAL OF THE GRACO INC. 2015 STOCK For None 1900 0 0 0
INCENTIVE PLAN.
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HALYARD HEALTH, INC.
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Security: 40650V100 Meeting Type: Annual
Ticker: HYH Meeting Date: 30-Apr-2015
ISIN US40650V1008 Vote Deadline Date: 29-Apr-2015
Agenda 934148291 Management Total Ballot Shares: 6904
Last Vote Date: 21-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 GARY D. BLACKFORD 1497 0 0 0
2 PATRICK J. O'LEARY 1497 0 0 0
2 RATIFICATION OF THE SELECTION OF For None 1497 0 0 0
DELOITTE & TOUCHE LLP AS THE
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE
CORPORATION'S 2015 FINANCIAL
STATEMENTS.
3 ADVISORY VOTE TO APPROVE NAMED For None 1497 0 0 0
EXECUTIVE OFFICER COMPENSATION.
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE 1 YEAR 2 YEARS 3 YEARS ABSTAIN ACTION
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4 ADVISORY VOTE ON THE FREQUENCY OF None 1497 0 0 0 0
ADVISORY VOTES ON NAMED EXECUTIVE
OFFICER COMPENSATION.
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RITCHIE BROS. AUCTIONEERS INCORPORATED
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Security: 767744105 Meeting Type: Annual and Special Meeting
Ticker: RBA Meeting Date: 04-May-2015
ISIN CA7677441056 Vote Deadline Date: 29-Apr-2015
Agenda 934168661 Management Total Ballot Shares: 22225
Last Vote Date: 07-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 BEVERLEY ANNE BRISCOE 5420 0 0 0
2 ROBERT GEORGE ELTON 5420 0 0 0
3 ERIK OLSSON 5420 0 0 0
4 ERIC PATEL 5420 0 0 0
5 EDWARD B. PITONIAK 5420 0 0 0
6 RAVICHANDRA K. SALIGRAM 5420 0 0 0
7 CHRISTOPHER ZIMMERMAN 5420 0 0 0
8 LISA ANNE POLLINA 5420 0 0 0
2 APPOINTMENT OF ERNST & YOUNG LLP AS For None 5420 0 0 0
AUDITORS OF THE COMPANY FOR THE
ENSUING YEAR AND AUTHORIZING THE
DIRECTORS TO FIX THEIR REMUNERATION.
3 TO CONSIDER, AND IF DEEMED For None 5420 0 0 0
APPROPRIATE, TO PASS WITH OR WITHOUT
VARIATION, AMENDMENTS TO THE
COMPANY'S AMENDED AND RESTATED BY-
LAW NO. 1 TO INCREASE THE QUORUM
REQUIREMENT FOR MEETINGS OF
SHAREHOLDERS, ELIMINATE THE ABILITY OF
THE CHAIRMAN OF DIRECTORS' MEETINGS
TO HAVE A CASTING VOTE AND ADD AN
ADVANCE NOTICE PROVISION FOR
NOMINATIONS OF DIRECTORS BY
SHAREHOLDERS, IN CERTAIN
CIRCUMSTANCES, AS MORE PARTICULARLY
DESCRIBED IN THE ACCOMPANYING
MANAGEMENT INFORMATION CIRCULAR.
4 ADVISORY RESOLUTION TO ACCEPT THE For None 5420 0 0 0
APPROACH TO EXECUTIVE COMPENSATION
DISCLOSED IN THE ACCOMPANYING
MANAGEMENT INFORMATION CIRCULAR.
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WEST PHARMACEUTICAL SERVICES, INC.
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Security: 955306105 Meeting Type: Annual
Ticker: WST Meeting Date: 05-May-2015
ISIN US9553061055 Vote Deadline Date: 04-May-2015
Agenda 934145435 Management Total Ballot Shares: 11287
Last Vote Date: 25-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 MARK A. BUTHMAN 2500 0 0 0
2 WILLIAM F. FEEHERY 2500 0 0 0
3 THOMAS W. HOFMANN 2500 0 0 0
4 PAULA A. JOHNSON 2500 0 0 0
5 MYLA P. LAI-GOLDMAN 2500 0 0 0
6 DOUGLAS A. MICHELS 2500 0 0 0
7 DONALD E. MOREL, JR. 2500 0 0 0
8 JOHN H. WEILAND 2500 0 0 0
9 ANTHONY WELTERS 2500 0 0 0
10 PATRICK J. ZENNER 2500 0 0 0
2 ADVISORY VOTE TO APPROVE NAMED For None 2500 0 0 0
EXECUTIVE OFFICER COMPENSATION.
3 APPROVAL OF AMENDMENTS TO OUR For None 2500 0 0 0
AMENDED AND RESTATED ARTICLES OF
INCORPORATION TO ADOPT A MAJORITY
VOTING STANDARD FOR UNCONTESTED
DIRECTOR ELECTIONS.
4 TO RATIFY THE APPOINTMENT OF For None 2500 0 0 0
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE 2015 YEAR.
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BROWN & BROWN, INC.
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Security: 115236101 Meeting Type: Annual
Ticker: BRO Meeting Date: 06-May-2015
ISIN US1152361010 Vote Deadline Date: 05-May-2015
Agenda 934151743 Management Total Ballot Shares: 114278.0831
Last Vote Date: 28-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
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1 DIRECTOR For None
1 J. HYATT BROWN 4620 0 0 0
2 SAMUEL P. BELL, III 4620 0 0 0
3 HUGH M. BROWN 4620 0 0 0
4 J. POWELL BROWN 4620 0 0 0
5 BRADLEY CURREY, JR. 4620 0 0 0
6 THEODORE J. HOEPNER 4620 0 0 0
7 JAMES S. HUNT 4620 0 0 0
8 TONI JENNINGS 4620 0 0 0
9 TIMOTHY R.M. MAIN 4620 0 0 0
10 H. PALMER PROCTOR, JR. 4620 0 0 0
11 WENDELL S. REILLY 4620 0 0 0
12 CHILTON D. VARNER 4620 0 0 0
2 THE RATIFICATION OF THE APPOINTMENT For None 4620 0 0 0
OF DELOITTE & TOUCHE LLP AS BROWN &
BROWN, INC.'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTANTS FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2015.
3 TO APPROVE, ON AN ADVISORY BASIS, THE For None 4620 0 0 0
COMPENSATION OF NAMED EXECUTIVE
OFFICERS.
4 TO REAPPROVE BROWN & BROWN, INC'S For None 4620 0 0 0
2010 STOCK INCENTIVE PLAN PURSUANT TO
INTERNAL REVENUE CODE SECTION 162(M)
5 TO APPROVE THE AMENDMENT OF BROWN & For None 4620 0 0 0
BROWN, INC'S 1990 EMPLOYEE STOCK
PURCHASE PLAN.
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SNYDER'S-LANCE, INC.
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Security: 833551104 Meeting Type: Annual
Ticker: LNCE Meeting Date: 06-May-2015
ISIN US8335511049 Vote Deadline Date: 05-May-2015
Agenda 934174727 Management Total Ballot Shares: 20407
Last Vote Date: 08-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JEFFREY A. ATKINS 4541 0 0 0
2 PETER P. BRUBAKER 4541 0 0 0
3 LAWRENCE V. JACKSON 4541 0 0 0
4 CARL E. LEE, JR. 4541 0 0 0
5 DAVID C. MORAN 4541 0 0 0
6 ISAIAH TIDWELL 4541 0 0 0
2 ADVISORY VOTE TO APPROVE EXECUTIVE For None 4541 0 0 0
COMPENSATION.
3 RATIFY SELECTION OF For None 4541 0 0 0
PRICEWATERHOUSECOOPERS LLP AS
INDEPENDENT PUBLIC ACCOUNTING FIRM.
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GLADSTONE COMMERCIAL CORPORATION
----------------------------------------------------------------------------------------
Security: 376536108 Meeting Type: Annual
Ticker: GOOD Meeting Date: 07-May-2015
ISIN US3765361080 Vote Deadline Date: 06-May-2015
Agenda 934141792 Management Total Ballot Shares: 30826
Last Vote Date: 21-Mar-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 TERRY L. BRUBAKER 7250 0 0 0
2 CAREN D. MERRICK 7250 0 0 0
3 WALTER H. WILKINSON, JR 7250 0 0 0
2 TO RATIFY OUR AUDIT COMMITTEE'S For None 7250 0 0 0
SELECTION OF
PRICEWATERHOUSECOOPERS LLP AS OUR
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR OUR FISCAL YEAR
ENDING DECEMBER 31, 2015.
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MUELLER INDUSTRIES, INC.
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Security: 624756102 Meeting Type: Annual
Ticker: MLI Meeting Date: 07-May-2015
ISIN US6247561029 Vote Deadline Date: 06-May-2015
Agenda 934169586 Management Total Ballot Shares: 17940
Last Vote Date: 16-Apr-2015
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RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 GREGORY L. CHRISTOPHER 4154 0 0 0
2 PAUL J. FLAHERTY 4154 0 0 0
3 GENNARO J. FULVIO 4154 0 0 0
4 GARY S. GLADSTEIN 4154 0 0 0
5 SCOTT J. GOLDMAN 4154 0 0 0
6 JOHN B. HANSEN 4154 0 0 0
7 TERRY HERMANSON 4154 0 0 0
2 APPROVE THE APPOINTMENT OF ERNST & For None 4154 0 0 0
YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
3 TO APPROVE, ON AN ADVISORY BASIS BY For None 4154 0 0 0
NON-BINDING VOTE, EXECUTIVE
COMPENSATION.
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RE/MAX HOLDINGS, INC.
----------------------------------------------------------------------------------------
Security: 75524W108 Meeting Type: Annual
Ticker: RMAX Meeting Date: 07-May-2015
ISIN US75524W1080 Vote Deadline Date: 06-May-2015
Agenda 934150690 Management Total Ballot Shares: 75523
Last Vote Date: 28-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 KATHLEEN CUNNINGHAM 4513 0 0 0
2 GAIL LINIGER 4513 0 0 0
3 CHRISTINE RIORDAN 4513 0 0 0
2 RATIFICATION OF THE APPOINTMENT OF For None 4513 0 0 0
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2015.
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RLI CORP.
----------------------------------------------------------------------------------------
Security: 749607107 Meeting Type: Annual
Ticker: RLI Meeting Date: 07-May-2015
ISIN US7496071074 Vote Deadline Date: 06-May-2015
Agenda 934147871 Management Total Ballot Shares: 11999
Last Vote Date: 27-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 KAJ AHLMANN 3199 0 0 0
2 BARBARA R. ALLEN 3199 0 0 0
3 MICHAEL E. ANGELINA 3199 0 0 0
4 JOHN T. BAILY 3199 0 0 0
5 JORDAN W. GRAHAM 3199 0 0 0
6 GERALD I. LENROW 3199 0 0 0
7 CHARLES M. LINKE 3199 0 0 0
8 F. LYNN MCPHEETERS 3199 0 0 0
9 JONATHAN E. MICHAEL 3199 0 0 0
10 JAMES J. SCANLAN 3199 0 0 0
11 MICHAEL J. STONE 3199 0 0 0
12 ROBERT O. VIETS 3199 0 0 0
2 APPROVE AMENDMENT TO THE COMPANY'S For None 3199 0 0 0
2005 OMNIBUS STOCK PLAN.
3 APPROVE AMENDMENT TO THE COMPANY'S For None 3199 0 0 0
2010 LONG-TERM INCENTIVE PLAN.
4 APPROVE THE COMPANY'S 2015 LONG-TERM For None 3199 0 0 0
INCENTIVE PLAN.
5 RATIFICATION OF THE APPOINTMENT OF For None 3199 0 0 0
KPMG AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM.
6 APPROVE THE ADVISORY RESOLUTION ON For None 3199 0 0 0
EXECUTIVE COMPENSATION.
----------------------------------------------------------------------------------------
FRANKLIN ELECTRIC CO., INC.
----------------------------------------------------------------------------------------
Security: 353514102 Meeting Type: Annual
Ticker: FELE Meeting Date: 08-May-2015
ISIN US3535141028 Vote Deadline Date: 07-May-2015
Agenda 934145219 Management Total Ballot Shares: 16409
Last Vote Date: 25-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: JEROME D. BRADY For None 3870 0 0 0
2 ELECTION OF DIRECTOR: GREGG C. SENGSTACK For None 3870 0 0 0
3 ELECTION OF DIRECTOR: DAVID M. WATHEN For None 3870 0 0 0
4 REAPPROVE THE FRANKLIN ELECTRIC CO., For None 3870 0 0 0
INC. MANAGEMENT INCENTIVE PLAN.
5 RATIFY THE APPOINTMENT OF DELOITTE & For None 3870 0 0 0
TOUCHE LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE 2015 FISCAL
YEAR.
6 APPROVE, ON AN ADVISORY BASIS, THE For None 3870 0 0 0
EXECUTIVE COMPENSATION OF THE NAMED
EXECUTIVE OFFICERS AS DISCLOSED IN THE
PROXY STATEMENT.
----------------------------------------------------------------------------------------
FORWARD AIR CORPORATION
----------------------------------------------------------------------------------------
Security: 349853101 Meeting Type: Annual
Ticker: FWRD Meeting Date: 12-May-2015
ISIN US3498531017 Vote Deadline Date: 11-May-2015
Agenda 934155537 Management Total Ballot Shares: 12259
Last Vote Date: 16-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 BRUCE A. CAMPBELL 2885 0 0 0
2 C. ROBERT CAMPBELL 2885 0 0 0
3 C. JOHN LANGLEY 2885 0 0 0
4 TRACY A. LEINBACH 2885 0 0 0
5 LARRY D. LEINWEBER 2885 0 0 0
6 G. MICHAEL LYNCH 2885 0 0 0
7 GARY L. PAXTON 2885 0 0 0
8 RONALD W. ALLEN 2885 0 0 0
2 TO RATIFY THE APPOINTMENT OF ERNST & For None 2885 0 0 0
YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF
THE COMPANY.
3 TO APPROVE, ON AN ADVISORY BASIS, THE For None 2885 0 0 0
COMPENSATION OF THE NAMED EXECUTIVE
OFFICERS.
----------------------------------------------------------------------------------------
MORNINGSTAR, INC.
----------------------------------------------------------------------------------------
Security: 617700109 Meeting Type: Annual
Ticker: MORN Meeting Date: 12-May-2015
ISIN US6177001095 Vote Deadline Date: 11-May-2015
Agenda 934145980 Management Total Ballot Shares: 46262
Last Vote Date: 16-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: JOE MANSUETO For None 2224 0 0 0
2 ELECTION OF DIRECTOR: DON PHILLIPS For None 2224 0 0 0
3 ELECTION OF DIRECTOR: CHERYL FRANCIS For None 2224 0 0 0
4 ELECTION OF DIRECTOR: STEVE KAPLAN For None 2224 0 0 0
5 ELECTION OF DIRECTOR: GAIL LANDIS For None 2224 0 0 0
6 ELECTION OF DIRECTOR: BILL LYONS For None 2224 0 0 0
7 ELECTION OF DIRECTOR: JACK NOONAN For None 2224 0 0 0
8 ELECTION OF DIRECTOR: PAUL STURM For None 2224 0 0 0
9 ELECTION OF DIRECTOR: HUGH ZENTMYER For None 2224 0 0 0
10 RATIFICATION OF THE APPOINTMENT OF For None 2224 0 0 0
KPMG LLP AS MORNINGSTAR'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2015.
----------------------------------------------------------------------------------------
BANK OF MARIN BANCORP
----------------------------------------------------------------------------------------
Security: 063425102 Meeting Type: Annual
Ticker: BMRC Meeting Date: 14-May-2015
ISIN US0634251021 Vote Deadline Date: 13-May-2015
Agenda 934187445 Management Total Ballot Shares: 11681
Last Vote Date: 15-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 RUSSELL A. COLOMBO 2575 0 0 0
2 JAMES C. HALE, III 2575 0 0 0
3 ROBERT HELLER 2575 0 0 0
4 NORMA J. HOWARD 2575 0 0 0
5 KEVIN R. KENNEDY 2575 0 0 0
6 STUART D. LUM 2575 0 0 0
7 WILLIAM H. MCDEVITT, JR 2575 0 0 0
8 MICHAELA K. RODENO 2575 0 0 0
9 JOEL SKLAR, MD 2575 0 0 0
10 BRIAN M. SOBEL 2575 0 0 0
11 J. DIETRICH STROEH 2575 0 0 0
2 TO APPROVE, BY NON-BINDING VOTE, For None 2575 0 0 0
EXECUTIVE COMPENSATION
3 RATIFICATION OF THE BOARD OF For None 2575 0 0 0
DIRECTORS' SELECTION OF INDEPENDENT
AUDITORS
----------------------------------------------------------------------------------------
POTBELLY CORPORATION
----------------------------------------------------------------------------------------
Security: 73754Y100 Meeting Type: Annual
Ticker: PBPB Meeting Date: 14-May-2015
ISIN US73754Y1001 Vote Deadline Date: 13-May-2015
Agenda 934149623 Management Total Ballot Shares: 48941
Last Vote Date: 25-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 SUSAN CHAPMAN-HUGHES 10603 0 0 0
2 DAN LEVITAN 10603 0 0 0
2 RATIFICATION OF THE APPOINTMENT OF For None 10603 0 0 0
DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 27, 2015
----------------------------------------------------------------------------------------
RAYONIER INC.
----------------------------------------------------------------------------------------
Security: 754907103 Meeting Type: Annual
Ticker: RYN Meeting Date: 14-May-2015
ISIN US7549071030 Vote Deadline Date: 13-May-2015
Agenda 934148948 Management Total Ballot Shares: 387839.5
Last Vote Date: 31-Mar-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: RICHARD D. KINCAID For None 5013 0 0 0
2 ELECTION OF DIRECTOR: JOHN A. BLUMBERG For None 5013 0 0 0
3 ELECTION OF DIRECTOR: DOD A. FRASER For None 5013 0 0 0
4 ELECTION OF DIRECTOR: SCOTT R. JONES For None 5013 0 0 0
5 ELECTION OF DIRECTOR: BERNARD LANIGAN, JR. For None 5013 0 0 0
6 ELECTION OF DIRECTOR: BLANCHE L. LINCOLN For None 5013 0 0 0
7 ELECTION OF DIRECTOR: V. LARKIN MARTIN For None 5013 0 0 0
8 ELECTION OF DIRECTOR: DAVID L. NUNES For None 5013 0 0 0
9 ELECTION OF DIRECTOR: ANDREW G. WILTSHIRE For None 5013 0 0 0
10 APPROVAL, IN A NON-BINDING VOTE, OF THE For None 5013 0 0 0
COMPENSATION OF OUR NAMED EXECUTIVE
OFFICERS AS DISCLOSED IN THE PROXY
STATEMENT
11 RATIFICATION OF THE APPOINTMENT OF For None 5013 0 0 0
ERNST & YOUNG LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR 2015
----------------------------------------------------------------------------------------
JOHN BEAN TECHNOLOGIES CORPORATION
----------------------------------------------------------------------------------------
Security: 477839104 Meeting Type: Annual
Ticker: JBT Meeting Date: 15-May-2015
ISIN US4778391049 Vote Deadline Date: 14-May-2015
Agenda 934150741 Management Total Ballot Shares: 16455
Last Vote Date: 02-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 C. MAURY DEVINE 4117 0 0 0
2 JAMES M. RINGLER 4117 0 0 0
2 RE-APPROVE THE PERFORMANCE For None 4117 0 0 0
MEASURES WE USE FOR PERFORMANCE-
BASED AWARDS UNDER OUR INCENTIVE
COMPENSATION PLAN.
3 APPROVE ON AN ADVISORY BASIS THE For None 4117 0 0 0
COMPENSATION OF NAMED EXECUTIVE
OFFICERS.
4 RATIFY THE APPOINTMENT OF KPMG LLP AS For None 4117 0 0 0
OUR INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR 2015.
----------------------------------------------------------------------------------------
LANDSTAR SYSTEM, INC.
----------------------------------------------------------------------------------------
Security: 515098101 Meeting Type: Annual
Ticker: LSTR Meeting Date: 19-May-2015
ISIN US5150981018 Vote Deadline Date: 18-May-2015
Agenda 934170224 Management Total Ballot Shares: 15701
Last Vote Date: 08-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JAMES B. GATTONI 2106 0 0 0
2 RATIFICATION OF THE APPOINTMENT OF For None 2106 0 0 0
KPMG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR 2015.
3 ADVISORY VOTE TO APPROVE EXECUTIVE For None 2106 0 0 0
COMPENSATION.
----------------------------------------------------------------------------------------
ONEBEACON INSURANCE GROUP, LTD.
----------------------------------------------------------------------------------------
Security: G67742109 Meeting Type: Annual
Ticker: OB Meeting Date: 20-May-2015
ISIN BMG677421098 Vote Deadline Date: 19-May-2015
Agenda 934164803 Management Total Ballot Shares: 31472
Last Vote Date: 11-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 RAYMOND BARRETTE 8345 0 0 0
2 REID T. CAMPBELL 8345 0 0 0
3 MORGAN W. DAVIS 8345 0 0 0
2 TO AUTHORIZE THE ELECTION OF THE For None 8345 0 0 0
BOARD OF DIRECTORS OF SPLIT ROCK
INSURANCE, LTD.
3 TO APPROVE THE APPOINTMENT OF For None 8345 0 0 0
PRICEWATERHOUSECOOPERS LLP AS THE
COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2015.
----------------------------------------------------------------------------------------
RAVEN INDUSTRIES, INC.
----------------------------------------------------------------------------------------
Security: 754212108 Meeting Type: Annual
Ticker: RAVN Meeting Date: 21-May-2015
ISIN US7542121089 Vote Deadline Date: 20-May-2015
Agenda 934190175 Management Total Ballot Shares: 26124
Last Vote Date: 16-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 DIRECTOR For None
1 JASON M. ANDRINGA 7305 0 0 0
2 THOMAS S. EVERIST 7305 0 0 0
3 MARK E. GRIFFIN 7305 0 0 0
4 KEVIN T. KIRBY 7305 0 0 0
5 MARC E. LEBARON 7305 0 0 0
6 CYNTHIA H. MILLIGAN 7305 0 0 0
7 DANIEL A. RYKHUS 7305 0 0 0
2 TO APPROVE IN A NON-BINDING ADVISORY For None 7305 0 0 0
VOTE THE COMPENSATION OF OUR
EXECUTIVE OFFICERS DISCLOSED IN THE
PROXY STATEMENT.
3 APPROVAL OF AMENDMENT TO THE RAVEN For None 7305 0 0 0
INDUSTRIES, INC. AMENDED & RESTATED
2010 STOCK INCENTIVE PLAN.
4 PROPOSAL TO RATIFY THE APPOINTMENT For None 7305 0 0 0
OF PRICEWATERHOUSECOOPERS LLP AS
THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM
FOR THE COMPANY'S CURRENT FISCAL
YEAR.
----------------------------------------------------------------------------------------
EXPONENT, INC.
----------------------------------------------------------------------------------------
Security: 30214U102 Meeting Type: Annual
Ticker: EXPO Meeting Date: 28-May-2015
ISIN US30214U1025 Vote Deadline Date: 27-May-2015
Agenda 934181506 Management Total Ballot Shares: 6966
Last Vote Date: 17-Apr-2015
------------------------------------------------------------------------------------------------------------------------------------
RECOMMEN- DEFAULT TAKE NO
ITEM PROPOSAL DATION VOTE FOR AGAINST ABSTAIN ACTION
------------------------------------------------------------------------------------------------------------------------------------
1 ELECTION OF DIRECTOR: MICHAEL R. GAULKE For None 1709 0 0 0
2 ELECTION OF DIRECTOR: PAUL R. JOHNSTON, PH.D. For None 1709 0 0 0
3 ELECTION OF DIRECTOR: KAREN A. RICHARDSON For None 1709 0 0 0
4 ELECTION OF DIRECTOR: STEPHEN C. RIGGINS For None 1709 0 0 0
5 ELECTION OF DIRECTOR: JOHN B. SHOVEN, PH.D. For None 1709 0 0 0
6 ELECTION OF DIRECTOR: DEBRA L. ZUMWALT For None 1709 0 0 0
7 TO RATIFY THE APPOINTMENT OF KPMG LLP For None 1709 0 0 0
AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE YEAR ENDED
JANUARY 1, 2016.
8 TO APPROVE, CONTINGENT UPON THE For None 1709 0 0 0
APPROVAL OF THE TWO-FOR-ONE STOCK
SPLIT OF THE COMPANY'S COMMON STOCK,
AN AMENDMENT TO THE COMPANY'S
CERTIFICATE OF INCORPORATION TO (I)
CHANGE THE NUMBER OF AUTHORIZED
SHARES OF COMMON STOCK TO 80,000,000
AND (II) CHANGE THE NUMBER OF
AUTHORIZED SHARES OF PREFERRED
STOCK TO 2,000,000.
9 TO APPROVE, CONTINGENT UPON THE For None 1709 0 0 0
APPROVAL OF THE CHANGE IN THE NUMBER
OF AUTHORIZED SHARES OF THE
COMPANY'S CAPITAL STOCK, AN
AMENDMENT TO THE COMPANY'S
CERTIFICATE OF INCORPORATION TO
EFFECT A TWO-FOR-ONE STOCK SPLIT OF
THE COMPANY'S COMMON STOCK.
10 ADVISORY VOTE TO APPROVE THE For None 1709 0 0 0
COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS FOR FISCAL 2014.
--------------------------------------------------------------------------------
FIRST TRUST PREFERRED SECURITIES AND INCOME FUND
--------------------------------------------------------------------------------
The Registrant did not receive any proxies and accordingly did not vote
any proxies during the reporting period.
--------------------------------------------------------------------------------
FIRST TRUST SHORT DURATION HIGH INCOME FUND
--------------------------------------------------------------------------------
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 29, 2015
-------------------------
* Print the name and title of each signing officer under his or her signature.