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GABELLI EQUITY SERIES FUNDS INC Form N-PX Filed 2019-08-23

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GABELLI EQUITY SERIES FUNDS INC Form N-PX Filed 2019-08-23 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: 2019-08-23 | Period of Report: 2019-06-30 SEC Accession No. 0001144204-19-041482 (HTML Version on secdatabase.com) FILER GABELLI EQUITY SERIES FUNDS INC Mailing Address Business Address ONE CORPORATE CENTER ONE CORPORATE CENTER CIK:877670| IRS No.: 000000000 | State of Incorp.:MD | Fiscal Year End: 0930 RYE NY 10580 RYE NY 10580 Type: N-PX | Act: 40 | File No.: 811-06367 | Film No.: 191048182 2123098448 Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 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 811-06367 Gabelli Equity Series Funds, Inc. (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of principal executive offices) (Zip code) Bruce N. Alpert Gabelli Funds, LLC One Corporate Center Rye, New York 10580-1422 (Name and address of agent for service) Registrant's telephone number, including area code: 1-800-422-3554 Date of fiscal year end: September 30 Date of reporting period: July 1, 2018 – June 30, 2019 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 (§§ 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. § 3507. Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document PROXY VOTING RECORD FOR PERIOD JULY 1, 2018 TO JUNE 30, 2019 ProxyEdge Report Date: 07/01/2019 Meeting Date Range: 07/01/2018 - 06/30/2019 1 The Gabelli Small Cap Growth Fund Investment Company Report AZZ INC. Security 002474104 Meeting TypeAnnual Ticker Symbol AZZ Meeting Date 10-Jul-2018 ISIN US0024741045 Agenda 934833218 - Management Item Proposal Proposed Vote For/Against by Management 1. DIRECTOR Management 1 Daniel E. Berce For For 2 Paul Eisman For For 3 Daniel R. Feehan For For 4 Thomas E. Ferguson For For 5 Kevern R. Joyce For For 6 Venita McCellon-Allen For For 7 Ed McGough For For 8 Stephen E. Pirnat For For 9 Steven R. Purvis For For 2. Approval of advisory vote on AZZ's executive Management For For compensation program. 3. Approval of the AZZ Inc. 2018 Employee Stock Purchase Management For For Plan. 4. Ratification of the appointment of BDO USA, LLP as Management For For AZZ's independent registered public accounting firm for the fiscal year ending February 28, 2019. CAVCO INDUSTRIES, INC. Security 149568107 Meeting TypeAnnual Ticker Symbol CVCO Meeting Date 10-Jul-2018 ISIN US1495681074 Agenda 934842027 - Management Item Proposal Proposed Vote For/Against by Management 1 DIRECTOR Management 1 Steven G. Bunger For For 2 Jack Hanna For For 2. Ratification of the appointment of independent auditor for Management For For fiscal 2019. 3. Proposal to approve the advisory (non-binding) resolution Management For For relating to executive compensation. PETS AT HOME GROUP PLC Security G7041J107 Meeting TypeAnnual General Meeting Ticker Symbol Meeting Date 12-Jul-2018 ISIN GB00BJ62K685 Agenda 709617281 - Management Item Proposal Proposed Vote For/Against by Management 1 TO RECEIVE THE COMPANY'S AUDITED FINANCIAL Management For For STATEMENTS FOR THE FINANCIAL YEAR ENDED 29 Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document MARCH 2018, TOGETHER WITH THE DIRECTORS' REPORTS AND THE AUDITORS' REPORTS SET OUT IN THE ANNUAL REPORT FOR THE YEAR ENDED 29 MARCH 2018 ('2018 ANNUAL REPORT') 2 TO APPROVE THE DIRECTORS' REMUNERATION Management For For REPORT FOR THE YEAR ENDED 29 MARCH 2018 AS SET OUT IN PAGES 95 TO 101 OF THE 2018 ANNUAL REPORT 3 TO DECLARE A FINAL DIVIDEND RECOMMENDED BY Management For For THE DIRECTORS OF 5 PENCE PER ORDINARY SHARE FOR THE YEAR ENDED 29 MARCH 2018 4.A TO RE-ELECT TONY DENUNZIO AS A DIRECTOR OF Management For For THE COMPANY 4.B TO RE-ELECT PAUL MOODY AS A DIRECTOR OF Management For For THE COMPANY 4.C TO RE-ELECT DENNIS MILLARD AS A DIRECTOR OF Management For For THE COMPANY 4.D TO RE-ELECT SHARON FLOOD AS A DIRECTOR OF Management For For THE COMPANY 4.E TO RE-ELECT STANISLAS LAURENT AS A DIRECTOR Management For For OF THE COMPANY 4.F TO RE-ELECT MIKE IDDON AS A DIRECTOR OF THE Management For For COMPANY 5.A TO ELECT PETER PRITCHARD AS A DIRECTOR OF Management For For THE COMPANY 5.B TO ELECT PROFESSOR SUSAN DAWSON AS A Management For For DIRECTOR OF THE COMPANY 6 TO RE-APPOINT KPMG LLP AS AUDITOR OF THE Management For For COMPANY TO HOLD OFFICE FROM THE CONCLUSION OF THIS MEETING UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AT WHICH THE ACCOUNTS ARE LAID 7 TO AUTHORISE THE DIRECTORS TO SET THE FEES Management For For PAID TO THE AUDITOR OF THE COMPANY 8 AUTHORITY TO ALLOT SHARES Management For For 9 AUTHORITY TO MAKE POLITICAL DONATIONS AND Management For For EXPENDITURE 10 PARTIAL DISAPPLICATION OF PRE-EMPTION Management For For RIGHTS 11 ADDITIONAL PARTIAL DISAPPLICATION OF PRE- Management For For EMPTION RIGHTS 12 AUTHORITY TO PURCHASE OWN SHARES Management For For 13 THAT A GENERAL MEETING, OTHER THAN AN Management For For ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE SPECTRUM BRANDS HOLDINGS INC Security 84763R101 Meeting TypeSpecial Ticker Symbol SPB Meeting Date 13-Jul-2018 ISIN US84763R1014 Agenda 934848649 - Management Item Proposal Proposed Vote For/Against by Management 1. Adopt the Agreement and Plan of Merger, dated as of Management For For February 24, 2018, as amended, by and among Spectrum, HRG Group, Inc. ("HRG"), HRG SPV Sub I, Inc. and HRG SPV Sub II, LLC. Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 2. Adjournment of Meeting to another date & place if Management For For necessary or appropriate to solicit additional votes in favor of Proposal 1. 3. Amendment of the HRG certificate of incorporation to Management For For cause each outstanding share of HRG common stock to, by means of a reverse stock split, be combined into a fraction of a share of HRG common stock equal to number of shares of Spectrum common stock currently held by HRG divided by the number of outstanding shares of HRG common stock on a fully diluted basis. 4. To approve, on a non-binding, advisory basis, the Management For For amendment of the HRG certificate of incorporation to subject HRG to Section 203 of the General Corporation Law of the State of Delaware. 5. Amendment of the HRG certificate of incorporation to Management For For decrease the number of authorized shares of HRG common stock. 6. To approve, on a non-binding, advisory basis, the Management For For amendment of the HRG certificate of incorporation to increase the number of authorized shares of HRG preferred stock from 10 million to 100 million. 7. To approve, on a non-binding, advisory basis, the Management For For amendment of the HRG certificate of incorporation to amend the Internal Revenue Code Section 382 transfer provisions. 8. Amendment of the HRG certificate of incorporation to Management For For make other amendments related or incidental to the foregoing. WILLAMETTE VALLEY VINEYARDS, INC. Security 969136100 Meeting TypeAnnual Ticker Symbol WVVI Meeting Date 15-Jul-2018 ISIN US9691361003 Agenda 934847926 - Management Item Proposal Proposed Vote For/Against by Management 1. DIRECTOR Management 1 Craig Smith For For 2 Stan Turel For For 2. Ratification of appointment of Moss-Adams, LLP as the Management For For independent registered public accounting firm of Willamette Valley Vineyards, Inc. for the year ending December 31, 2018. WRIGHT INVESTORS' SERVICE HOLDINGS, INC. Security 982345100 Meeting TypeAnnual Ticker Symbol WISH Meeting Date 16-Jul-2018 ISIN US9823451003 Agenda 934846621 - Management Item Proposal Proposed Vote For/Against by Management 1 Approval of the sale of all of the issued and outstanding Management For For stock of the Company's wholly-owned subsidiary, The Winthrop Corporation. 2 DIRECTOR Management 1 Harvey P. Eisen For For 2 Marshall S. Geller For For 3 Richard C. Pfenniger Jr For For 4 Lawrence G. Schafran For For 3 Advisory approval of the Company's executive Management For For compensation. Copyright © 2019 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document 4 Proposal to approve an advisory vote on the frequency of Management 1 Year For future advisor votes on executive compensation.
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