0000891804-16-001639.txt : 20160817 0000891804-16-001639.hdr.sgml : 20160817 20160817152814 ACCESSION NUMBER: 0000891804-16-001639 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160817 DATE AS OF CHANGE: 20160817 EFFECTIVENESS DATE: 20160817 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND CENTRAL INDEX KEY: 0001219120 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-21309 FILM NUMBER: 161838470 BUSINESS ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-827-0100 MAIL ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 N-PX 1 gug65105avk-npx.txt AVK 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 811-21309 Advent Claymore Convertible Securities and Income Fund ------------------------------------------------------ (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor --------------------------------------- New York, NY 10020 ------------------ (Address of principal executive offices) (Zip code) Edward C. Delk -------------- 1271 Avenue of the Americas, 45th Floor --------------------------------------- New York, NY 10020 ------------------ (Name and address of agent for service) Registrant's telephone number, including area code: 212-482-1600 Date of fiscal year end: October 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 (ss.ss. 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. ss. 3507. Item 1. Proxy Voting Record. ******************************* FORM N-Px REPORT ******************************* ICA File Number: 811-21309 Reporting Period: 07/01/2015 - 06/30/2016 ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ CEMPRA, INC. Ticker: CEMP Security ID: 15130J109 Meeting Date: MAY 18, 2016 Meeting Type: Annual Record Date: MAR 28, 2016 # Proposal Mgt Rec Vote Cast Sponsor 1. DIRECTOR For For Management 1. DIRECTOR For For Management 2. TO APPROVE ON A NON-BINDING ADVISORY For For Management BASIS THE COMPANY'S 2015 EXECUTIVE COMPENSATION. 3. TO APPROVE ON A NON-BINDING ADVISORY 3 Years 3 Years Management BASIS THE FREQUENCY WITH WHICH FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION SHOULD BE HELD. 4. TO RATIFY THE APPOINTMENT OF For For Management PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. -------------------------------------------------------------------------------- MYLAN N.V. Ticker: MYL Security ID: N59465109 Meeting Date: AUG 28, 2015 Meeting Type: Special Record Date: JUL 31, 2015 # Proposal Mgt Rec Vote Cast Sponsor 1. APPROVAL UNDER ARTICLE 2:107A OF THE For For Management DUTCH CIVIL CODE OF THE ACQUISITION, DIRECTLY OR INDIRECTLY (WHETHER BY WAY OF AN OFFER (AND SUBSEQUENT COMPULSORY ACQUISITION) OR ANY OTHER LEGAL ARRANGEMENT) OF ALL OR ANY PORTION OF THE ORDINARY SHARES OF PERRIGO CO -------------------------------------------------------------------------------- MYLAN N.V. Ticker: MYL Security ID: N59465109 Meeting Date: JAN 07, 2016 Meeting Type: Special Record Date: DEC 10, 2015 # Proposal Mgt Rec Vote Cast Sponsor 1. PROPOSED RESOLUTION TO REDEEM ALL For For Management ISSUED PREFERRED SHARES, PAR VALUE 0. 01 EURO PER SHARE, IN THE CAPITAL OF MYLAN N.V. -------------------------------------------------------------------------------- PERRIGO COMPANY PLC Ticker: PRGO Security ID: G97822103 Meeting Date: NOV 04, 2015 Meeting Type: Annual Record Date: SEP 08, 2018 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: LAURIE BRLAS For For Management 1B. ELECTION OF DIRECTOR: GARY M. COHEN For For Management 1C. ELECTION OF DIRECTOR: MARC COUCKE For For Management 1D. ELECTION OF DIRECTOR: JACQUALYN A. For For Management FOUSE 1E. ELECTION OF DIRECTOR: ELLEN R. HOFFING For For Management 1F. ELECTION OF DIRECTOR: MICHAEL J. For For Management JANDERNOA 1G. ELECTION OF DIRECTOR: GERARD K. For For Management KUNKLE, JR. 1H. ELECTION OF DIRECTOR: HERMAN MORRIS, For For Management JR. 1I. ELECTION OF DIRECTOR: DONAL O'CONNOR For For Management 1J. ELECTION OF DIRECTOR: JOSEPH C. PAPA For For Management 1K. ELECTION OF DIRECTOR: SHLOMO YANAI For For Management 2. RATIFY THE APPOINTMENT OF ERNST & For For Management YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE PERIOD ENDING DECEMBER 31, 2015, AND AUTHORIZE THE BOARD OF DIRECTORS, ACTING THROUGH THE AUDIT COMMITTEE, TO FIX THE REMUNERATION OF THE AUDITORS. 3. AN ADVISORY VOTE TO APPROVE THE For For Management COMPANY'S EXECUTIVE COMPENSATION. 4. AUTHORIZE PERRIGO COMPANY PLC AND/OR For For Management ANY SUBSIDIARY OF PERRIGO COMPANY PLC TO MAKE MARKET PURCHASES OF PERRIGO COMPANY PLC'S ORDINARY SHARES. 5. DETERMINE THE REISSUE PRICE RANGE FOR For For Management PERRIGO COMPANY PLC TREASURY SHARES. 6. APPROVE AMENDMENTS TO THE MEMORANDUM For For Management OF ASSOCIATION OF THE COMPANY. 7. ADOPT REVISED ARTICLES OF ASSOCIATION For For Management OF THE COMPANY. -------------------------------------------------------------------------------- QUALCOMM INCORPORATED Ticker: QCOM Security ID: 747525103 Meeting Date: MAR 08, 2016 Meeting Type: Annual Record Date: JAN 11, 2016 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: BARBARA T. ALEXANDER 1B. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: RAYMOND V. DITTAMORE 1C. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: JEFFREY W. HENDERSON 1D. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: THOMAS W. HORTON 1E. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: PAUL E. JACOBS 1F. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: HARISH MANWANI 1G. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: MARK D. MCLAUGHLIN 1H. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: STEVE MOLLENKOPF 1I. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: CLARK T. RANDT, JR. 1J. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: FRANCISCO ROS 1K. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: JONATHAN J. RUBINSTEIN 1L. ELECTION OF DIRECTOR TO HOLD OFFICE For For Management UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS HAVE BEEN ELECTED AND QUALIFIED: ANTHONY J. VINCIQUERRA 2. TO RATIFY THE SELECTION OF For For Management PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT PUBLIC ACCOUNTANTS FOR OUR FISCAL YEAR ENDING SEPTEMBER 25, 2016. 3. TO APPROVE THE 2016 LONG-TERM For For Management INCENTIVE PLAN. 4. TO APPROVE OUR EXECUTIVE COMPENSATION. For For Management 5. A STOCKHOLDER PROPOSAL, IF PROPERLY Against Against Shareholder PRESENTED AT THE ANNUAL MEETING. ========== END NPX REPORT 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. Advent Claymore Convertible Securities and Income Fund ------------------------------------------------------ By: /s/ Tracy V. Maitland --------------------- Name: Tracy V. Maitland ----------------- Title: President and Chief Executive Officer ------------------------------------- Date: August 17, 2016 ---------------