Compass EMP Funds Trust Form N-PX Filed 2013-08-30
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SECURITIES AND EXCHANGE COMMISSION FORM N-PX Annual report of proxy voting record of registered management investment companies filed on Form N-PX Filing Date: 2013-08-30 | Period of Report: 2013-06-30 SEC Accession No. 0000910472-13-003608 (HTML Version on secdatabase.com) FILER Compass EMP Funds Trust Mailing Address Business Address 450 WIRESLESS BLVD 450 WIRESLESS BLVD CIK:1547580| IRS No.: 000000000 | State of Incorp.:DE HAUPPAUGE NY 11788 HAUPPAUGE NY 11788 Type: N-PX | Act: 40 | File No.: 811-22696 | Film No.: 131072456 631-470-2600 Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0582 Expires: January 31, 2015 Estimated average burden hours per response 7.2 --------------------------- 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- 22696 Compass EMP Funds Trust (Exact name of registrant as specified in charter) 17605 Wright Street, Omaha, NE 68130 ________________________________________________________________________ (Address of principal executive offices) (Zip code) The Corporation Trust Company 1209 Orange Street Wilmington, DE 19801 ________________________________________________________________________ (Name and address of agent for service) Registrant's telephone number, including area code: (402) 895-1600 Date of fiscal year end: June 30 and November 30 Date of reporting period: July 1, 2012 - June 30, 2013 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. Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 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: (see attached table) Appended hereto as Exhibits A through UU is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2013 with respect to which the Registrant was entitled to vote: (a) The name of the issuer of the portfolio security; (b) The exchange ticker symbol of the portfolio security; (c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security; (d) The shareholder meeting date; (e) A brief identification of the matter voted on; (f) Whether the matter was proposed by the issuer or by a security holder; (g) Whether the Registrant cast its vote on the matter; (h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and (i) Whether the Registrant cast its vote for or against management. Registrant: Compass EMP International 500 Enhanced Volatility Weighted Fund Item 1, Exhibit 16 Investment Company Act file number: 811-22616 Reporting Period: July 1, 2012 through June 30, 2013 Vote Summary WESTERN AREAS NL, WEST PERTH WA Security Q9618L100 Meeting Type Ordinary General Meeting Ticker Symbol Meeting Date 21-Feb-2013 ISIN AU000000WSA9 Agenda 704243966 - Management Record Date Holding Recon Date 19-Feb-2013 City / Country PERTH / Australia Vote Deadline Date 14-Feb-2013 SEDOL(s) 6261243 - B04KBZ7 - B0TBGV6 - B1RL615 Quick Code Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Item Proposal Type Vote For/Against Preferred Provider Management Recommendation CMMT VOTING EXCLUSION APPLY TO THIS Non-Voting None MEETING FOR PROPOSAL 1 AND VOTES CAST BY ANY-INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF THE PROPOSAL/S-WILL BE DISREGARDED BY THE COMPANY. HENCE, IF YOU HAVE OBTAINED BENEFIT OR- EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT VOTE (OR VOTE ABSTAIN) ON THE-RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU ACKNOWLEDGE THAT YOU HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE PASSING OF THE RELEVANT-PROPOSAL/S. BY VOTING (FOR OR AGAINST) ON PROPOSAL (1), YOU ACKNOWLEDGE THAT-YOU HAVE NOT OBTAINED BENEFIT NEITHER EXPECT TO OBTAIN BENEFIT BY THE PASSING-OF THE RELEVANT PROPOSAL/S AND YOU COMPLY WITH THE VOTING EXCLUSION. Comments-Non Voting Agenda Item 1 Approval of placement shares Management For For For NOVARTIS AG, BASEL Security H5820Q150 Meeting Type Annual General Meeting Ticker Symbol Meeting Date 22-Feb-2013 ISIN CH0012005267 Agenda 704248803 - Management Record Date 19-Feb-2013 Holding Recon Date 19-Feb-2013 City / Country BASEL / Switzerland Vote Deadline Date 18-Feb-2013 SEDOL(s) 7103065 - 7105083 - B01DMY5 - B10S3M3 Quick Code Item Proposal Type Vote For/Against Preferred Provider Management Recommendation CMMT BLOCKING OF REGISTERED SHARES IS NOT Non-Voting None A LEGAL REQUIREMENT IN THE SWISS MARKET,-SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF T-HE VOTING INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHAR- ES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. IF YOU H-AVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT SERVICE REPRE-SENTATIVE. Comments-Non Voting Agenda Item CMMT PLEASE NOTE THAT THIS IS THE PART II OF Non-Voting None THE MEETING NOTICE SENT UNDER MEETING-151755, INCLUDING THE AGENDA. TO VOTE IN THE UPCOMING MEETING, YOUR NAME MUST-BE NOTIFIED TO THE COMPANY REGISTRAR AS BENEFICIAL OWNER BEFORE THE RE-REGISTR-ATION DEADLINE. PLEASE NOTE THAT THOSE INSTRUCTIONS THAT ARE SUBMITTED AFTER T-HE CUTOFF DATE WILL BE PROCESSED ON A BEST EFFORT BASIS. THANK YOU. Comments-Non Voting Agenda Item A.1 Approval of the Annual Report, the Financial Management For For For Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2012: Under this item, the Board of Directors proposes approval of the Annual Report the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the Business Year 2012 A.2 Discharge from Liability of the Members of the Management For For For Board of Directors and the Executive Committee: Copyright © 2013 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Under this item, the Board of Directors proposes discharge from liability of its members and those of the Executive Committee for the business year 2012 A.3 Appropriation of Available Earnings of Novartis Management For For For AG and Declaration of Dividend: Under this item, the Board of Directors proposes to use the available earnings of Novartis AG of 2012 for the purpose of distributing a gross dividend of CHF 2.30 per share as follows This will result in a payout ratio of 65% of the Group's consolidated net income expressed in USD.(as specified) Payout ratio is calculated by converting into USD the proposed total gross dividend amount in CHF at the CHF-USD exchange rate of December 31, 2012 based on an estimated number of shares outstanding on dividend payment date and dividing it by the USD consolidated net income attributable to shareholders of Novartis AG based on the 2012 Novartis Group consolidated financial statements. No dividend will be declared on treasury shares held by Novartis AG and certain other treasury shares held by other Group companies A.4 Consultative Vote on the Compensation System: Management For For For Under this item, the Board of Directors proposes that the newly proposed Compensation System of Novartis be endorsed (non-binding consultative vote) A.5.1 Election of Verena A. Briner, M.D: Under this Management For For Against item, the Board of Directors proposes the election of Verena A. Briner, M.D., for a three-year term A.5.2 Election of Joerg Reinhardt, Ph.D: Under this Management For For Against item, the Board of Directors proposes the election of Joerg Reinhardt Ph.D., for a term of office beginning on August 1, 2013 and ending on the day of the Annual General Meeting in 2016 A.5.3 Election of Charles L. Sawyers, M.D: Under this Management Against Against For item, the Board of Directors proposes the election of Charles L. Sawyers, M.D., for a three-year term Comments-Nominee has served on the board for at least one year and has attended less than 75% of the meetings. A.5.4 Election of William T. Winters: Under this item, Management Against Against Abstain the Board of Directors proposes the election of William T. Winters for a three-year term Comments-Nominee has served on the board for at least one year and has attended less than 75% of the meetings. A.6 Appointment of the Auditor: Under this item, the Management For For None Board of Directors proposes the re-election of PricewaterhouseCoopers AG as auditor of Novartis AG for one year B If additional and/or counter-proposals are Management Abstain For None proposed at the Annual General Meeting Comments-No Shareholder Proposals CMMT PLEASE NOTE THAT THIS IS A REVISION Non-Voting None DUE TO MODIFICATION IN RESOLUTION A.3.