UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-21309
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Advent Convertible Securities and Income Fund
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(Exact name of registrant as specified in charter)
888 Seventh Avenue, 31st Floor
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New York, NY 10019
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(Address of principal executive offices) (Zip code)
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Edward C. Delk
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888 Seventh Avenue, 31st Floor
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New York, NY 10019
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(Name and address of agent for service)
Registrant's telephone number, including area code: 212-482-1600
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Date of fiscal year end: October 31
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Date of reporting period: July 1, 2019 - June 30, 2020
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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, 450 Fifth Street,
NW, Washington, DC 20549-0609. The OMB has reviewed this collection of
information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-21309
Reporting Period: 07/01/2019 - 06/30/2020
Advent Convertible and Income Fund
====================== Advent Convertible and Income Fund ======================
ALIBABA GROUP HOLDING LIMITED
Ticker: BABA Security ID: 01609W102
Meeting Date: JUL 15, 2019 Meeting Type: Annual
Record Date: JUN 07, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Effect an increase in the number of F F Management
authorized Ordinary Shares to
32,000,000,000 and effect a
one-to-eight share subdivision of the
Company's Ordinary Shares.
2 Election of Director for a three year F F Management
term: DANIEL ZHANG
3 Election of Director for a three year F F Management
term: CHEE HWA TUNG
4 Election of Director for a three year F F Management
term: JERRY YANG
5 Election of Director for a three year F F Management
term: WAN LING MARTELLO
6 Ratify the appointment of F F Management
PricewaterhouseCoopers as the
independent registered public
accounting firm of the Company.
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CARNIVAL CORPORATION
Ticker: CCL Security ID: 143658300
Meeting Date: APR 06, 2020 Meeting Type: Annual
Record Date: FEB 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 To re-elect Micky Arison as a Director F F Management
of Carnival Corporation and as a
Director of Carnival plc.
2 To re-elect Sir Jonathon Band as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
3 To re-elect Jason Glen Cahilly as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
4 To re-elect Helen Deeble as a Director F F Management
of Carnival Corporation and as a
Director of Carnival plc.
5 To re-elect Arnold W. Donald as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
6 To re-elect Richard J. Glasier as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
7 To re-elect Katie Lahey as a Director F F Management
of Carnival Corporation and as a
Director of Carnival plc.
8 To re-elect Sir John Parker as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
9 To re-elect Stuart Subotnick as a F F Management
Director of Carnival Corporation and
as a Director of Carnival plc.
10 To re-elect Laura Weil as a Director F F Management
of Carnival Corporation and as a
Director of Carnival plc.
11 To re-elect Randall J. Weisenburger as F F Management
a Director of Carnival Corporation and
as a Director of Carnival plc.
12 To hold a (non-binding) advisory vote F F Management
to approve executive compensation (in
accordance with legal requirements
applicable to U.S. companies).
13 To hold a (non-binding) advisory vote F F Management
to approve the Carnival plc Directors'
Remuneration Report (other than the
Carnival plc Directors' Remuneration
Policy set out in Section B of Part II
of the Carnival plc Directors'
Remuneration Report) (in accordance
14 To approve the Carnival plc Directors' F F Management
Remuneration Policy set out in the
Section B of Part II of the Carnival
plc Directors' Remuneration Report (in
accordance with legal requirements
applicable to UK companies).
15 To re-appoint the UK firm of F F Management
PricewaterhouseCoopers LLP as
independent auditors for Carnival plc
and to ratify the selection of the U.S.
firm of PricewaterhouseCoopers LLP as
the independent registered public
accounting firm for Carnival
Corporation.
16 To authorize the Audit Committee of F F Management
Carnival plc to determine the
remuneration of the independent
auditors of Carnival plc (in
accordance with legal requirements
applicable to UK companies).
17 To receive the UK accounts and reports F F Management
of the Directors and auditors of
Carnival plc for the year ended
November 30, 2019 (in accordance with
legal requirements applicable to UK
companies).
18 To approve the giving of authority for F F Management
the allotment of new shares by
Carnival plc (in accordance with
customary practice for UK companies).
19 To approve the disapplication of F F Management
pre-emption rights in relation to the
allotment of new shares by Carnival
plc (in accordance with customary
practice for UK companies).
20 To approve a general authority for F F Management
Carnival plc to buy back Carnival plc
ordinary shares in the open market (in
accordance with legal requirements
applicable to UK companies desiring to
implement share buy back programs).
21 To approve the Carnival Corporation F F Management
2020 Stock Plan.
22 To approve the Carnival plc UK F F Management
Employee Share Purchase Plan.
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CITIGROUP INC.
Ticker: C Security ID: 172967424
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Michael L. Corbat F F Management
2 Election of Director: Ellen M. Costello F F Management
3 Election of Director: Grace E. Dailey F F Management
4 Election of Director: Barbara J. Desoer F F Management
5 Election of Director: John C. Dugan F F Management
6 Election of Director: Duncan P. Hennes F F Management
7 Election of Director: Peter B. Henry F F Management
8 Election of Director: S. Leslie Ireland F F Management
9 Election of Director: Lew W. (Jay) F F Management
Jacobs, IV
10 Election of Director: Renee J. James F F Management
11 Election of Director: Gary M. Reiner F F Management
12 Election of Director: Diana L. Taylor F F Management
13 Election of Director: James S. Turley F F Management
14 Election of Director: Deborah C. Wright F F Management
15 Election of Director: Alexander R. F F Management
Wynaendts
16 Election of Director: Ernesto Zedillo F F Management
Ponce de Leon
17 Proposal to ratify the selection of F F Management
KPMG LLP as Citi's independent
registered public accounting firm for
2020.
18 Advisory vote to approve Citi's 2019 F F Management
Executive Compensation.
19 Approval of Additional Authorized F F Management
Shares Under the Citigroup 2019 Stock
Incentive Plan.
20 Stockholder proposal requesting an N A Shareholder
amendment to Citi's proxy access
by-law provisions pertaining to the
aggregation limit.
21 Stockholder proposal requesting that N A Shareholder
the Board review Citi's governance
documents and make recommendations to
shareholders on how the "Purpose of a
Corporation" signed by Citi's CEO can
be fully implemented.
22 Stockholder proposal requesting a N A Shareholder
report disclosing information
regarding Citi's lobbying policies and
activities.
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GAMING AND LEISURE PROPERTIES, INC.
Ticker: GLPI Security ID: 36467J108
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Peter M. Carlino F F Management
2 Election of Director: Carol ("Lili") F F Management
Lynton
3 Election of Director: Joseph W. F F Management
Marshall, III
4 Election of Director: James B. Perry F F Management
5 Election of Director: Barry F. Schwartz F F Management
6 Election of Director: Earl C. Shanks F F Management
7 Election of Director: E. Scott Urdang F F Management
8 To approve the Company's Second F F Management
Amended and Restated 2013 Long-Term
Incentive Compensation Plan.
9 To ratify the appointment of Deloitte F F Management
& Touche LLP as the Company's
independent registered public
accounting firm for the current fiscal
year.
10 To approve, on a non-binding advisory F F Management
basis, the Company's executive
compensation.
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HCA HEALTHCARE, INC.
Ticker: HCA Security ID: 40412C101
Meeting Date: MAY 01, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Thomas F. Frist F F Management
III
2 Election of Director: Samuel N. Hazen F F Management
3 Election of Director: Meg G. Crofton F F Management
4 Election of Director: Robert J. Dennis F F Management
5 Election of Director: Nancy-Ann DeParle F F Management
6 Election of Director: William R. Frist F F Management
7 Election of Director: Charles O. F F Management
Holliday, Jr.
8 Election of Director: Michael W. F F Management
Michelson
9 Election of Director: Wayne J. Riley, F F Management
M.D.
10 To ratify the appointment of Ernst & F F Management
Young LLP as our independent
registered public accounting firm for
the year ending December 31, 2020.
11 Advisory vote to approve named F F Management
executive officer compensation.
12 To approve the 2020 Stock Incentive F F Management
Plan for Key Employees of HCA
Healthcare, Inc. and its Affiliates.
13 To approve an amendment to our amended F F Management
and restated certificate of
incorporation to allow stockholders
owning an aggregate of 15% of our
outstanding common stock to request
special meetings of stockholders.
14 Stockholder proposal, if properly N N Shareholder
presented at the meeting, requesting
that the Board of Directors take the
steps necessary to allow stockholders
to act by written consent.
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HUMANA INC.
Ticker: HUM Security ID: 444859102
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Kurt J. Hilzinger F F Management
2 Election of Director: Frank J. F F Management
Bisignano
3 Election of Director: Bruce D. F F Management
Broussard
4 Election of Director: Frank A. D'Amelio F F Management
5 Election of Director: W. Roy Dunbar F F Management
6 Election of Director: Wayne A. I. F F Management
Frederick, M.D.
7 Election of Director: John W. Garratt F F Management
8 Election of Director: David A. Jones, F F Management
Jr.
9 Election of Director: Karen W. Katz F F Management
10 Election of Director: William J. F F Management
McDonald
11 Election of Director: James J. O'Brien F F Management
12 Election of Director: Marissa T. F F Management
Peterson
13 The ratification of the appointment of F F Management
PricewaterhouseCoopers LLP as the
Company's independent registered
public accounting firm.
14 Non-binding advisory vote for the F F Management
approval of the compensation of the
named executive officers as disclosed
in the 2020 proxy statement.
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LAS VEGAS SANDS CORP.
Ticker: LVS Security ID: 517834107
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
1 DIRECTOR F F Management
2 Ratification of the appointment of F F Management
Deloitte & Touche LLP as the Company's
independent registered public
accounting firm for the year ending
December 31, 2020.
3 An advisory (non-binding) vote to F F Management
approve the compensation of the named
executive officers.
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MERCK & CO., INC.
Ticker: MRK Security ID: 58933Y105
Meeting Date: MAY 26, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Leslie A. Brun F F Management
2 Election of Director: Thomas R. Cech F F Management
3 Election of Director: Mary Ellen Coe F F Management
4 Election of Director: Pamela J. Craig F F Management
5 Election of Director: Kenneth C. F F Management
Frazier
6 Election of Director: Thomas H. Glocer F F Management
7 Election of Director: Risa F F Management
Lavizzo-Mourey
8 Election of Director: Paul B. Rothman F F Management
9 Election of Director: Patricia F. Russo F F Management
10 Election of Director: Christine E. F F Management
Seidman
11 Election of Director: Inge G. Thulin F F Management
12 Election of Director: Kathy J. Warden F F Management
13 Election of Director: Peter C. Wendell F F Management
14 Non-binding advisory vote to approve F F Management
the compensation of our named
executive officers.
15 Ratification of the appointment of the F F Management
Company's independent registered
public accounting firm for 2020.
16 Shareholder proposal concerning N N Shareholder
shareholder right to act by written
consent.
17 Shareholder proposal regarding N A Shareholder
allocation of corporate tax savings.
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MICROCHIP TECHNOLOGY INCORPORATED
Ticker: MCHP Security ID: 595017104
Meeting Date: AUG 20, 2019 Meeting Type: Annual
Record Date: JUN 25, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Steve Sanghi F F Management
2 Election of Director: Matthew W. F F Management
Chapman
3 Election of Director: L.B. Day F F Management
4 Election of Director: Esther L. Johnson F F Management
5 Election of Director: Wade F. Meyercord F F Management
6 Proposal to approve a French sub-plan F F Management
under our 2004 Equity Incentive Plan.
7 Proposal to ratify the appointment of F F Management
Ernst & Young LLP as the independent
registered public accounting firm of
Microchip for the fiscal year ending
March 31, 2020.
8 Proposal to approve, on an advisory F F Management
(non-binding) basis, the compensation
of our named executives.
9 Stockholder proposal requesting our N A Shareholder
Board to report on our processes for
identifying and analyzing human rights
risks to workers in our operations and
supply chain.
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PFIZER INC.
Ticker: PFE Security ID: 717081103
Meeting Date: APR 23, 2020 Meeting Type: Annual
Record Date: FEB 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Ronald E. F F Management
Blaylock
2 Election of Director: Albert Bourla F F Management
3 Election of Director: W. Don Cornwell F F Management
4 Election of Director: Joseph J. F F Management
Echevarria
5 Election of Director: Scott Gottlieb F F Management
6 Election of Director: Helen H. Hobbs F F Management
7 Election of Director: Susan Hockfield F F Management
8 Election of Director: James M. Kilts F F Management
9 Election of Director: Dan R. Littman F F Management
10 Election of Director: Shantanu Narayen F F Management
11 Election of Director: Suzanne Nora F F Management
Johnson
12 Election of Director: James Quincey F F Management
13 Election of Director: James C. Smith F F Management
14 Ratify the selection of KPMG LLP as F F Management
independent registered public
accounting firm for 2020
15 2020 advisory approval of executive F F Management
compensation
16 Shareholder proposal regarding right N N Shareholder
to act by written consent
17 Shareholder proposal regarding N N Shareholder
enhancing proxy access
18 Shareholder proposal regarding report N A Shareholder
on lobbying activities
19 Shareholder proposal regarding N N Shareholder
independent chair policy
20 Shareholder proposal regarding gender N A Shareholder
pay gap
21 Election of Director: Susan F Not Voted Management
Desmond-Hellmann
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TARGET CORPORATION
Ticker: TGT Security ID: 87612E106
Meeting Date: JUN 10, 2020 Meeting Type: Annual
Record Date: APR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Douglas M. F F Management
Baker, Jr.
2 Election of Director: George S. Barrett F F Management
3 Election of Director: Brian C. Cornell F F Management
4 Election of Director: Calvin Darden F F Management
5 Election of Director: Robert L. Edwards F F Management
6 Election of Director: Melanie L. Healey F F Management
7 Election of Director: Donald R. Knauss F F Management
8 Election of Director: Monica C. Lozano F F Management
9 Election of Director: Mary E. Minnick F F Management
10 Election of Director: Kenneth L. F F Management
Salazar
11 Election of Director: Dmitri L. F F Management
Stockton
12 Company proposal to ratify the F F Management
appointment of Ernst & Young LLP as
our independent registered public
accounting firm.
13 Company proposal to approve, on an F F Management
advisory basis, our executive
compensation (Say on Pay).
14 Company proposal to approve the Target F F Management
Corporation 2020 Long-Term Incentive
Plan.
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VERIZON COMMUNICATIONS INC.
Ticker: VZ Security ID: 92343V104
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Shellye L. F F Management
Archambeau
2 Election of Director: Mark T. Bertolini F F Management
3 Election of Director: Vittorio Colao F F Management
4 Election of Director: Melanie L. Healey F F Management
5 Election of Director: Clarence Otis, F F Management
Jr.
6 Election of Director: Daniel H. F F Management
Schulman
7 Election of Director: Rodney E. Slater F F Management
8 Election of Director: Hans E. Vestberg F F Management
9 Election of Director: Gregory G. Weaver F F Management
10 Advisory Vote to Approve Executive F F Management
Compensation
11 Ratification of Appointment of F F Management
Independent Registered Public
Accounting Firm
12 Nonqualified Savings Plan Earnings N N Shareholder
13 Special Shareholder Meetings N A Shareholder
14 Lobbying Activities Report N A Shareholder
15 User Privacy Metric N N Shareholder
16 Amend Severance Approval Policy N A Shareholder
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WESTERN DIGITAL CORPORATION
Ticker: WDC Security ID: 958102105
Meeting Date: NOV 14, 2019 Meeting Type: Annual
Record Date: SEP 16, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Election of Director: Kimberly E. Alexy F F Management
2 Election of Director: Martin I. Cole F F Management
3 Election of Director: Kathleen A. Cote F F Management
4 Election of Director: Tunc Doluca F F Management
5 Election of Director: Len J. Lauer F F Management
6 Election of Director: Matthew E. F F Management
Massengill
7 Election of Director: Stephen D. F F Management
Milligan
8 Election of Director: Stephanie A. F F Management
Streeter
9 To approve on an advisory basis the F F Management
named executive officer compensation
disclosed in the Proxy Statement.
10 To approve an amendment and F F Management
restatement of our 2017 Performance
Incentive Plan that would, among other
things, increase by 6 million the
number of shares of our common stock
available for issuance under the plan.
11 To ratify the appointment of KPMG LLP F F Management
as our independent registered public
accounting firm for fiscal 2020.
========== END NPX REPORT
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
Advent Convertible Securities and Income Fund
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By: /s/ Tracy V. Maitland
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Name: Tracy V. Maitland
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Title: President and Chief Executive Officer
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Date: August 19, 2020
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