N-PX 1 d222403dnpx.htm METROPOLITAN WEST N-PX Metropolitan West N-PX

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  811-07989  

                                 Metropolitan West Funds                                

(Exact name of registrant as specified in charter)

865 South Figueroa Street

                                             Los Angeles, CA 90017                                             

(Address of principal executive offices) (Zip code)

David B. Lippman

Metropolitan West Funds

865 South Figueroa Street

                                 Los Angeles, CA 90017                                

(Name and address of agent for service)

Registrant’s telephone number, including area code:  (213)-244-0000

Date of fiscal year end:  March 31

Date of reporting period:  July 1, 2015 – June 30, 2016

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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.


PROXY VOTING RECORD

FOR PERIOD JULY 1, 2015 TO JUNE 30, 2016

 

Company Name   Meeting Date   Record Date   Ticker   CUSIP   Agenda Item Description   Mgmt or
SH Proposal
  Mgmt Rec./
Ballot Status
  Fund Vote   For Against   Fund Name
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Elizabeth S. Acton   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect John M. Engler   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Albert R. Gamper, Jr.   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Robert F. Gartland   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Abigail P. Johnson   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Arthur E. Johnson   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Michael E. Kenneally   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect James H. Keyes   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Marie L. Knowles   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Geoffrey A. Von Kuhn   Mgmt   Take No Action   TNA   Against   MW High Yield Bond Fund
                                         
Company Name   Meeting Date   Record Date   Ticker   CUSIP   Agenda Item Description   Mgmt or
SH Proposal
  Mgmt Rec./
Ballot Status
  Fund Vote   For Against   Fund Name
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Malon Wilkus   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect John R. Erickson   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Samuel A. Flax   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Alvin N. Puryear   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Robert M. Couch   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Morris A. Davis   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Randy E. Dobbs   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Larry K. Harvey   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Prue B. Larocca   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Amendment to the Equity Incentive Plan for Independent Directors   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Permit Removal of Directors Without Cause   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Ratification of Auditor   Mgmt   Voted   For   For   MW Strategic Income Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Gary Kain   Mgmt   Voted   For   For   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Elizabeth S. Acton   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect John M. Engler   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Albert R. Gamper, Jr.   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Robert F. Gartland   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Abigail P. Johnson   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Arthur E. Johnson   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Michael E. Kenneally   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect James H. Keyes   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Marie L. Knowles   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Geoffrey A. Von Kuhn   Mgmt   Take No Action   TNA   Against   MW Strategic Income Fund


Company Name   Meeting Date   Record Date   Ticker   CUSIP   Agenda Item Description   Mgmt or
SH Proposal
  Mgmt Rec./
Ballot Status
  Fund Vote   For Against   Fund Name
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Malon Wilkus   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect John R. Erickson   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Samuel A. Flax   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Alvin N. Puryear   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Robert M. Couch   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Morris A. Davis   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Randy E. Dobbs   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Larry K. Harvey   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Prue B. Larocca   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Amendment to the Equity Incentive Plan for Independent Directors   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Permit Removal of Directors Without Cause   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Ratification of Auditor   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
American Capital Agency Corp.   04/19/2016   02/25/2016   AGNC   02503X105   Elect Gary Kain   Mgmt   Voted   For   For   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Elizabeth S. Acton   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect John M. Engler   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Albert R. Gamper, Jr.   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Robert F. Gartland   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Abigail P. Johnson   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Arthur E. Johnson   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Michael E. Kenneally   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect James H. Keyes   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Marie L. Knowles   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund
Fidelity Covington Trust   02/12/2016   09/21/2015   FTYXX   316175108   Elect Geoffrey A. Von Kuhn   Mgmt   Take No Action   TNA   Against   MW Unconstrained Bond Fund


The following series of the Metropolitan West Funds did not own any voting security for which a proxy instruction for a meeting of security holders was given by the series or solicited from the series during the time the series held the security.

Metropolitan West Ultra Short Bond Fund

Metropolitan West Low Duration Bond Fund

Metropolitan West Intermediate Bond Fund

Metropolitan West Total Return Bond Fund

Metropolitan West AlphaTrak 500 Fund

Metropolitan West Floating Rate Income Fund


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.

 

Registrant  

      Metropolitan West Funds

By (Signature and Title)*  

    /s/ David B. Lippman

      David B. Lippman, President and Principal Executive Officer
      (principal executive officer)
Date  

  8/15/2016

*Print the name and title of each signing officer under his or her signature.