N-PX 1 advisoronenpx.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

Mike Forker, 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, 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.

 

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, 2019 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, 2018 - June 30, 2019              
                     
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
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Approval of a new investment advisory agreement between the Funds and Cambria Investments Managment, L.P. Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Aggressive Eqty
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Election of Trustees Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Aggressive Eqty
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Elect Mebane Faber Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Aggressive Eqty
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Approval of a new investment advisory agreement between the Funds and Cambria Investments Managment, L.P. Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Election of Trustees Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Cambria Investment Management LP SYLD ‎132061839 8/7/2018 Elect Mebane Faber Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Global X Funds CHII 37954Y632 8/10/2018 Approval of a New Investment Advisory Agreement Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Global X Funds CHII 37954Y632 8/10/2018 Election of Trustees Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Global X Funds CHII 37954Y632 8/10/2018 Elect Charles A. Baker Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Global X Funds CHII 37954Y632 8/10/2018 Elect Luis Berruga Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Global X Funds CHII 37954Y632 8/10/2018 Elect Sanjay Ram Bharwani Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Global X Funds CHII 37954Y632 8/10/2018 Elect Clifford J. Weber Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  ALPS Funds JEF 00162T829 8/21/2018 Approve New Investment Advisory Agreements between the Trust, on behalf of each Fund, and ALPS Advisors Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  ALPS Funds JEF 00162T829 8/21/2018 Approval of a Manager of Managers Structure for the Funds Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  ALPS Funds JEF 00162T829 8/21/2018 Approve New Investment Advisory Agreements between the Trust, on behalf of each Fund, and ALPS Advisors Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  ALPS Funds JEF 00162T829 8/21/2018 Approval of a Manager of Managers Structure for the Funds Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P107 8/27/2018 Election of Directors Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P107 8/27/2018 Elect Robert Fairbairn Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P107 8/27/2018 Elect R. Glenn Hubbard Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P107 8/27/2018 Elect W. Carl Kester Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P107 8/27/2018 Elect John M. Perlowski Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  BlackRock Corporation High Yield Fund III Inc HYT 09255P108 8/27/2018 Elect Karen P. Robards Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Royce Funds RVT 780910105 9/24/2018 Election of Directors Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Royce Funds RVT 780910105 9/24/2018 Elect Charles M. Royce Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Royce Funds RVT 780910105 9/24/2018 Elect G. Peter O'Brien Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  Royce Funds RVT 780910105 9/24/2018 Elect David L. Meister Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  USAA ETF Trust ULVM 90291F303 4/18/2019 Approval of a New Investment Advisory Agreement Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Oppenheimer Revenue Weighted ETF Trust RWL 68386C716 5/9/2019 Reorganization of the Oppenheimer Funds into the Invesco Funds Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Morgan Stanley China A Share Fund Inc CAF 617468103 6/25/2019 Election of Directors Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Morgan Stanley China A Share Fund Inc CAF 617468103 6/25/2019 Elect Frank L. Bowman Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Morgan Stanley China A Share Fund Inc CAF 617468103 6/25/2019 Elect Jakki L. Haussler Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Morgan Stanley China A Share Fund Inc CAF 617468103 6/25/2019 Elect Manuel H. Johnson Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  Morgan Stanley China A Share Fund Inc CAF 617468103 6/25/2019 Elect Patricia Maleski Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income

 

 

Registrant:  AdvisorOne Funds : CLS Strategic Global Equity Fund                                    Item 1, Exhibit A          
Investment Company Act file number:  811-08037                  
Reporting Period:  July 1, 2018 - June 30, 2019                  
                     
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                    
  The Fund commenced operations on May 15, 2019 and did not vote any proxies during the reporting period.                
2                    
                     

 

 

Registrant:  AdvisorOne Funds : CLS Shelter Fund                                       Item 1, Exhibit A          
Investment Company Act file number:  811-08037                  
Reporting Period:  July 1, 2018 - June 30, 2019                  
                     
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 Shelter Fund did not vote any poxies during the reporting period.                  
                     

 

 

Registrant:  AdvisorOne Funds : Milestone Treasury Obligation Fund                                  Item 1, Exhibit A          
Investment Company Act file number:  811-08037                  
Reporting Period:  July 1, 2018 - June 30, 2019                  
                     
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 Milestone Treasury Obligations Fund is a money market and therefore there are no proxy votes to report during the period.                  
                     

 

 

 

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 1, 2019

 

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