0001580642-22-004010.txt : 20220809 0001580642-22-004010.hdr.sgml : 20220809 20220809170731 ACCESSION NUMBER: 0001580642-22-004010 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220809 DATE AS OF CHANGE: 20220809 EFFECTIVENESS DATE: 20220809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORONE FUNDS CENTRAL INDEX KEY: 0001029068 IRS NUMBER: 911788041 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-08037 FILM NUMBER: 221149327 BUSINESS ADDRESS: STREET 1: 17605 WRIGHT STREET CITY: OMAHA STATE: NE ZIP: 68130 BUSINESS PHONE: 631-470-2600 MAIL ADDRESS: STREET 1: 17605 WRIGHT STREET CITY: OMAHA STATE: NE ZIP: 68130 FORMER COMPANY: FORMER CONFORMED NAME: ORBITEX GROUP OF FUNDS DATE OF NAME CHANGE: 19980115 0001029068 S000010752 CLS Global Diversified Equity Fund C000029716 CLS Global Diversified Equity Fund Class N CLSAX C000205636 CLS Global Diversified Equity Fund Class T GDIVX 0001029068 S000010757 CLS Growth and Income Fund C000029725 CLS Growth and Income Fund Class N CLERX C000205637 CLS Growth and Income Fund Class T GINCX 0001029068 S000026622 CLS Flexible Income Fund C000079967 CLS Flexible Income Fund Class N Shares CLFLX C000205639 CLS Flexible Income Fund Class T FLEIX 0001029068 S000026623 CLS Global Aggressive Equity Fund C000079968 CLS Global Aggressive Equity Fund Class N Shares CLACX C000205640 CLS Global Aggressive Equity Fund Class T GLAGX 0001029068 S000027173 CLS Shelter Fund C000082001 CLS Shelter Fund Class N CLSHX C000205641 CLS Shelter Fund Class T SHELX N-PX 1 advisoronenpx.htm N-PX

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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, Suite 100, Omaha, NE 68130

(Address of principal executive offices) (Zip code)

 

Corporation Trust Company

Corporation Trust Center

1209 Orange Street

Wilmington, DE 19801

 

(Name and address of agent for service)

 

Registrant's telephone number, including area code: 402-493-3313

 

Date of fiscal year end: April 30

 

Date of reporting period: _July 1, 2021 to June 30, 2022

 

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 (17 CFR 239.24 and 274.5), 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 of1940 and rule 30bl-4 thereunder (17 CFR 270.30bl-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 0MB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 

GENERAL INSTRUCTIONS

 

A.Rule as to Use of Form N-PX.

 

Form N-PX is to be used for reports pursuant to Section 30 of the Investment Company Act of1940 (the "Act") and Rule 30bl-4 under the Act (17 CFR 270.30b1-4) by all registered management investment companies, other than small business investment companies registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file their complete proxy voting record not later than August 31 of each year for the most recent twelve-month period ended June 30.

 

B.Application of General Rules and Regulations.

 

The General Rules and Regulations under the Act contain certain general requirements that are applicable to reporting on any form under the Act. These general requirements should be carefully read and observed in the preparation and filing of reports on this form, except that any provision in the form or in these instructions shall be controlling.

 

 
 

 

C.Preparation of Report.

 

I.This Form is not to be used as a blank form to be filled in, but only as a guide in preparing the report in accordance with Rules Sb-I I (17 CFR 270.Sb-11) and Sb-12 (17 CFR 270.Sb-12) under the Act. The Commission does not furnish blank copies of this form to be filled in for filing.

 

2.       These general instructions are not to be filed with the report.

 

D.Incorporation by Reference.

 

No items of this Form shall be answered by incorporating any information by reference.

 

E.Definitions.

 

Unless the context clearly indicates the contrary, terms used in this Form N-PX have meanings as defined in the Act and the rules and regulations thereunder. Unless otherwise indicated, all references in the form to statutory sections or to rules are sections of the Act and the rules and regulations thereunder.

 

F.Signature and Filing of Report.

 

I.       If the report is filed in paper pursuant to a hardship exemption from electronic filing (see Item 201 et seq. of Regulation S-T (17 CFR 232.201 et seq.)), eight complete copies of the report shall be filed with the Commission. At least one complete copy of the report filed with the Commission must be manually signed. Copies not manually signed must bear typed or printed signatures.

 

2.(a) The report must be signed by the registrant, and on behalf of the registrant by its principal executive officer or officers.

 

(b) The name and title of each person who signs the report shall be typed or printed beneath his or her signature. Attention is directed to Rule 8b-l1 under the Act (17 CFR 270.Sb-11) concerning manual signatures and signatures pursuant to powers of attorney.

 

Item 1. Proxy Voting Record.

 

Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and 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;

 

(t) 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 (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, 2021 - June 30, 2022                
                   
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
  Exchange Traded Concepts Trust YMLP 301505640 24-Jan-22 Elect Linda Petrone Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Aggressive Eqty
  Exchange Traded Concepts Trust YMLP 301505640 24-Jan-22 Elect Stuart Strauss Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Aggressive Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Cheryl K. Beebe Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Lawrence Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect John F. Killian Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Steven D. Krichmar Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Linda A. Lang Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Cheryl K. Beebe Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Lawrence Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect John F. Killian Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Steven D. Krichmar Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Linda A. Lang Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Global Diversified Eqty
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Cheryl K. Beebe Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Lawrence Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect John F. Killian Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Steven D. Krichmar Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Linda A. Lang Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Cheryl K. Beebe Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Lawrence Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect John F. Killian Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Steven D. Krichmar Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Linda A. Lang Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Cheryl K. Beebe Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Lawrence Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect John F. Killian Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Steven D. Krichmar Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  Goldman Sachs ETF Trust GSIE 381430206 3-Dec-21 Elect Linda A. Lang Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Shelter
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect John F. Finn Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Stephen P. Fisher Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Gary L. French Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Kathleen M. Gallagher Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert J. Grassi Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Frankie D. Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Raymond Kanner Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Thomas P. Lemke Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Lawrence R. Maffia Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Mary E. Martinez Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Marilyn McCoy Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert A. Oden, Jr. Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Marian U. Pardo Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Emily Youssouf Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert F. Deutsch Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Nina O. Shenker Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Flexible Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect John F. Finn Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Stephen P. Fisher Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Gary L. French Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Kathleen M. Gallagher Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert J. Grassi Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Frankie D. Hughes Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Raymond Kanner Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Thomas P. Lemke Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Lawrence R. Maffia Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Mary E. Martinez Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Marilyn McCoy Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert A. Oden, Jr. Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Marian U. Pardo Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Emily Youssouf Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Robert F. Deutsch Mgmt Yes Echo Vote N/A CLS Investments, LLC - CLS Growth and Income
  J.P.Morgan Investment Management Inc. JPGE 46641Q191 27-Oct-21 Elect Nina O. Shenker Mgmt Yes 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/ Mike Forker

 

By:   Mike Forker, Secretary

 

Date:   August, 9 2022

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