N-PX 1 d577239dnpx.htm FORM N-PX Form 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, 2017 – June 30, 2018

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.

PROXY VOTING RECORD

FOR PERIOD JULY 1, 2017 TO JUNE 30, 2018

FORM N-PX SPREADSHEET*

REGISTRANT NAME: Metropolitan West Funds

INVESTMENT COMPANY ACT FILE NUMBER: 811-07989

REPORTING PERIOD: 07/01/2017 - 06/30/2018

REGISTRANT ADDRESS: 865 S. Figueroa Street, Los Angeles, CA 90017

NAME OF SERIES (AS APPLICABLE): Metropolitan West Total Return Bond Fund

 

                 

    Issuer of Portfolio    

Security

   

    Exchange    
Ticker

Symbol

   

    CUSIP #    

   

Shareholder
    Meeting Date    

     

    Summary of Matter Voted On    

   

    Who Proposed    
Matter: Issuer
/ Shareholder

   

    Whether    
Fund Cast
Vote on
Matter

   

    Fund’s Vote For    

or Against

Proposal, or
Abstain; For or
Withhold

Regarding
Election of

Directors

 

   

    Whether Vote    
Was For or
Against
Management

Ocean Rig UDW Inc.

    ORIG    G66964100      3/5/2018      Appointment of Auditor    Mgmt    Voted    Abstain    Against

Ocean Rig UDW Inc.

    ORIG    G66964100      3/5/2018      Amend Indemnity and Insurance Section of Articles    Mgmt    Voted    For    For
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
*Complete

for each series of the Registrant, as applicable.

FORM N-PX SPREADSHEET*

REGISTRANT NAME: Metropolitan West Funds

INVESTMENT COMPANY ACT FILE NUMBER: 811-07989

REPORTING PERIOD: 07/01/2017 - 06/30/2018

REGISTRANT ADDRESS: 865 S. Figueroa Street, Los Angeles, CA 90017

NAME OF SERIES (AS APPLICABLE): Metropolitan West High Yield Bond Fund

 

                 
    Issuer of Portfolio    
Security		        Exchange    
Ticker
Symbol		        CUSIP #        Shareholder
    Meeting Date    		          Summary of Matter Voted On            Who Proposed    
Matter: Issuer
/Shareholder		    Whether
    Fund Cast    
Vote on
Matter		   

    Fund’s Vote For    
or Against

Proposal, or
Abstain; For or
Withhold

Regarding

Election of

Directors

 

        Whether Vote    
Was For or
Against
Management

Ocean Rig UDW Inc.

    ORIG    G66964100      3/5/2018      Appointment of Auditor    Mgmt    Voted    Abstain    Against

Ocean Rig UDW Inc.

    ORIG    G66964100      3/5/2018      Amend Indemnity and Insurance Section of Articles    Mgmt    Voted    For    For
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
                                             
*Complete

for each series of the Registrant, as applicable.

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 AlphaTrak 500 Fund

Metropolitan West Floating Rate Income Fund

Metropolitan West Corporate Bond Fund

Metropolitan West Investment Grade Credit Fund

Metropolitan West Strategic Income Fund

Metropolitan West Unconstrained Bond 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

  

    August 9, 2018

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