N-PX 1 advisor1npx.htm N-PX

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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: 811-08037

 

ADVISORONE FUNDS

(Exact name of registrant as specified in charter)

 

 

17605 Wright Street, Omaha, NE        68130

(Address of principal executive offices) (Zip code)

 

ADVISORONE FUNDS

17605 Wright Street

Omaha, NE 68130

(402) 493-3313

Brian Nielsen, Secretary

________________________________________________________________________

(Name and address of agent for service)

 

Registrant's telephone number, including area code: (866) 811-0225

 

Date of fiscal year end: April 30th

 

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, 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.

 

ITEM 1. PROXY VOTING RECORD: (see attached table)

 

Appended hereto as Exhibit A 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, 2016 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:  AdvisorOne Funds                                               Item 1, Exhibit A          
Investment Company Act file number:  811-08037                  
Reporting Period:  July 1, 2015 - June 30, 2016                  
                     
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS
  (a) Issuer's Name (b) Exchange Ticker Symbol (c)"CUSIP" # (d) Shareholder Meeting Date (e) Matter Identification (f) Proposal Type (g) Voted (h) Vote Cast (i) For/Against Management (j) Fund Name
1                    
                     
2 The CLS Global Diversified Equity Fund, CLS Domestic Equity Fund, CLS International Equity Fund, CLS Global Aggressive Equity Fund and the CLS Enhanced Long/Short Fund did not receive nor vote proxies during the reporting period.                  
                     
  The Milestone Treasury Obligations Fund is a money market and therefore there are no proxy votes to report during the period.                  
                     

 

 

Registrant:  AdvisorOne Funds                                                   Item 1, Exhibit A
Investment Company Act file number:  811-08037            
Reporting Period: July 1, 2015 - June 30, 2016            
                     
FORM N-PX - PROXY VOTING RECORD REQUIREMENTS
  (a) Issuer's Name (b) Exchange Ticker Symbol (c)"CUSIP" # (d) Shareholder Meeting Date (e) Matter Identification (f) Proposal Type (g) Voted (h) Vote Cast (i) For/Against Management (j) Fund Name
1 Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 1. Elect John T. Collins MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 2. Elect Maureen Lally-Green MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 3. Elect P. Jerome Richey MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 4. Elect G. Thomas Hough MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 5. Permit Involuntary Redemptions MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 6. Reorganizations and Dissolution or Redomicile of the Trust or a Fund MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 7. Future Amendments to Declaration of Trust MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 1. Elect John T. Collins MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 2. Elect Maureen Lally-Green MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 3. Elect P. Jerome Richey MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 4. Elect G. Thomas Hough MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 5. Permit Involuntary Redemptions MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 6. Reorganizations and Dissolution or Redomicile of the Trust or a Fund MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 7. Future Amendments to Declaration of Trust MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 1. Elect John T. Collins MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 2. Elect Maureen Lally-Green MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 3. Elect P. Jerome Richey MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 4. Elect G. Thomas Hough MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 5. Permit Involuntary Redemptions MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 6. Reorganizations and Dissolution or Redomicile of the Trust or a Fund MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 7. Future Amendments to Declaration of Trust MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 1. Elect John T. Collins MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 2. Elect Maureen Lally-Green MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 3. Elect P. Jerome Richey MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 4. Elect G. Thomas Hough MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 5. Permit Involuntary Redemptions MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 6. Reorganizations and Dissolution or Redomicile of the Trust or a Fund MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Money Market Obligations Trust GOIXX 60934N625 Special ; 8/12/2015 7. Future Amendments to Declaration of Trust MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Shelter
2 Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 1. Elect Elizabeth S. Acton MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 2. Elect John M. Engler MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 3. Elect Albert R. Gamper, Jr. MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 4. Elect Robert F. Gartland MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 5. Elect Abigail P. Johnson MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 6. Elect Arthur E. Johnson MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 7. Elect Michael E. Kenneally MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 8. Elect James H. Keyes MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 9. Elect Marie L. Knowles MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Fidelity Covington Trust FTYXX 316188309 Special ; 2/12/2016 10. Elect Geoffrey A. Von Kuhn MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
3 GreenHaven Commodity Services, LLC GCC 395258106 Consent ; 12/17/2015 1. Substitution Related to Managing Owner MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  GreenHaven Commodity Services, LLC GCC 395258106 Consent ; 12/17/2015 2. Waiver of Advance Notice Provision MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
4 PCM Fund Inc PCM 72202D106 Annual ; 4/29/2016 1. Elect Deborah A. DeCotis MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  PCM Fund Inc PCM 72202D106 Annual ; 4/29/2016 2. Elect John C. Maney MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
5 Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 1. Elect Walter W. Bettinger II MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 2. Elect Marie A. Chandoha MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 3. Elect Joseph  R. Martinetto MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 4. Elect Robert W. Burns MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 5. Elect John F. Cogan MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 6. Elect Stephen T. Kochis MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 7. Elect David L. Mahoney MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 8. Elect Kiran M. Patel MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 9. Elect Kimberly S. Patmore MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 10. Elect Charles A. Ruffel MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 11. Elect Gerald B. Smith MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524870 Special ; 12/11/2015 12. Elect Joseph H. Wender MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 1. Elect Walter W. Bettinger II MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 2. Elect Marie A. Chandoha MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 3. Elect Joseph  R. Martinetto MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 4. Elect Robert W. Burns MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 5. Elect John F. Cogan MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 6. Elect Stephen T. Kochis MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 7. Elect David L. Mahoney MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 8. Elect Kiran M. Patel MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 9. Elect Kimberly S. Patmore MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 10. Elect Charles A. Ruffel MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 11. Elect Gerald B. Smith MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
  Schwab Strategic Trust SCHB 808524805 Special ; 12/11/2015 12. Elect Joseph H. Wender MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Global Growth
6 Templeton Global Income Fund Inc GIM 880198106 Annual ; 3/1/2016 1. Elect Frank J. Crothers MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Templeton Global Income Fund Inc GIM 880198106 Annual ; 3/1/2016 2. Elect Larry D. Thompson MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Templeton Global Income Fund Inc GIM 880198106 Annual ; 3/1/2016 3. Elect Rupert H. Johnson, Jr. MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Templeton Global Income Fund Inc GIM 880198106 Annual ; 3/1/2016 4. Elect Gregory E. Johnson MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Templeton Global Income Fund Inc GIM 880198106 Annual ; 3/1/2016 5. Ratification of Auditor MGMT Y Echo Vote N/A CLS Investments, LLC - CLS Growth and Income

 

 

 
 

SIGNATURES

 

See General Instruction F

 

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)             ADVISORONE FUNDS                         

 

 

By (Signature and Title)*   /s/ Ryan Beach                                

Ryan Beach, President

 

Date: August 12, 2016

 

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