0000891804-19-000277.txt : 20190731 0000891804-19-000277.hdr.sgml : 20190731 20190731092322 ACCESSION NUMBER: 0000891804-19-000277 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190731 DATE AS OF CHANGE: 20190731 EFFECTIVENESS DATE: 20190731 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CONVERTIBLE & 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: 19987537 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 FORMER COMPANY: FORMER CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND DATE OF NAME CHANGE: 20030219 N-PX 1 gug77292avk-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) 888 Seventh Avenue, 31st Floor ------------------------------ New York, NY 10019 ------------------ (Address of principal executive offices) (Zip code) --------------------------------------------------- Edward C. Delk -------------- 888 Seventh Avenue, 31st Floor ------------------------------ New York, NY 10019 ------------------ (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, 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 (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: 07/01/2018 - 06/30/2019 ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ BP P.L.C. Ticker: BP Security ID: 055622104 Meeting Date: MAY 21, 2019 Meeting Type: Annual Record Date: MAR 15, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Adopt Accounts for Past Year For For Management 2 Approve Remuneration of Directors and For For Management Auditors 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Election of Directors (Majority Voting) For For Management 13 Election of Directors (Majority Voting) For For Management 14 Election of Directors (Majority Voting) For For Management 15 Ratify Appointment of Independent For For Management Auditors 16 Approve Charter Amendment For For Management 17 Allot Securities For For Management 18 Eliminate Pre-Emptive Rights For For Management 19 Eliminate Pre-Emptive Rights For For Management 20 Stock Repurchase Plan For For Management 21 Approve Charter Amendment For For Management 22 Approve Charter Amendment For For Management 23 S/H Proposal - Environmental Against Abstain Shareholder -------------------------------------------------------------------------------- BUNGE LIMITED Ticker: BG Security ID: G16962105 Meeting Date: MAY 23, 2019 Meeting Type: Annual Record Date: MAR 28, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors (Majority Voting) For For Management 2 Election of Directors (Majority Voting) For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Ratify Appointment of Independent For For Management Auditors 12 14A Executive Compensation For For Management -------------------------------------------------------------------------------- FIAT CHRYSLER AUTOMOBILES N.V. Ticker: FCAU Security ID: N31738102 Meeting Date: APR 12, 2019 Meeting Type: Annual Record Date: MAR 15, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Adopt Accounts for Past Year For For Management 2 Dividends For For Management 3 Approve Discharge of Board and For For Management President 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Election of Directors (Majority Voting) For For Management 13 Election of Directors (Majority Voting) For For Management 14 Election of Directors (Majority Voting) For For Management 15 Election of Directors (Majority Voting) For For Management 16 Ratify Appointment of Independent For For Management Auditors 17 Stock Issuance For For Management 18 Eliminate Pre-Emptive Rights For For Management 19 Eliminate Pre-Emptive Rights For For Management 20 Authorize Directors to Repurchase For For Management Shares 21 Miscellaneous Corporate Actions For For Management 22 14A Extraordinary Transaction For For Management Executive Compensation 23 Approve Option Grants For For Management 1 Adopt Accounts for Past Year For For Management 2 Dividends For For Management 3 Approve Discharge of Board and For For Management President 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Election of Directors (Majority Voting) For For Management 13 Election of Directors (Majority Voting) For For Management 14 Election of Directors (Majority Voting) For For Management 15 Election of Directors (Majority Voting) For For Management 16 Ratify Appointment of Independent For For Management Auditors 17 Stock Issuance For For Management 18 Eliminate Pre-Emptive Rights For For Management 19 Eliminate Pre-Emptive Rights For For Management 20 Authorize Directors to Repurchase For For Management Shares 21 Miscellaneous Corporate Actions For For Management 22 14A Extraordinary Transaction For For Management Executive Compensation 23 Approve Option Grants For For Management -------------------------------------------------------------------------------- FIAT CHRYSLER AUTOMOBILES N.V. Ticker: FCAU Security ID: N31738102 Meeting Date: APR 12, 2019 Meeting Type: Annual Record Date: FEB 21, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Adopt Accounts for Past Year For For Management 2 Dividends For For Management 3 Approve Discharge of Board and For For Management President 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Election of Directors (Majority Voting) For For Management 13 Election of Directors (Majority Voting) For For Management 14 Election of Directors (Majority Voting) For For Management 15 Election of Directors (Majority Voting) For For Management 16 Ratify Appointment of Independent For For Management Auditors 17 Stock Issuance For For Management 18 Eliminate Pre-Emptive Rights For For Management 19 Eliminate Pre-Emptive Rights For For Management 20 Authorize Directors to Repurchase For For Management Shares 21 Miscellaneous Corporate Actions For For Management 22 14A Extraordinary Transaction For For Management Executive Compensation 23 Approve Option Grants For For Management -------------------------------------------------------------------------------- GLAXOSMITHKLINE PLC Ticker: GSK Security ID: 37733W105 Meeting Date: MAY 08, 2019 Meeting Type: Annual Record Date: MAR 29, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Adopt Accounts for Past Year For For Management 2 Adopt Accounts for Past Year For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Full Slate) For For Management 5 Election of Directors (Full Slate) For For Management 6 Election of Directors (Full Slate) For For Management 7 Election of Directors (Full Slate) For For Management 8 Election of Directors (Full Slate) For For Management 9 Election of Directors (Full Slate) For For Management 10 Election of Directors (Full Slate) For For Management 11 Election of Directors (Full Slate) For For Management 12 Election of Directors (Full Slate) For For Management 13 Election of Directors (Full Slate) For For Management 14 Ratify Appointment of Independent For For Management Auditors 15 Approve Remuneration of Directors and For For Management Auditors 16 Miscellaneous Corporate Actions For Abstain Management 17 Allot Securities For For Management 18 Eliminate Pre-Emptive Rights For For Management 19 Eliminate Pre-Emptive Rights For For Management 20 Stock Repurchase Plan For For Management 21 Miscellaneous Corporate Actions For For Management 22 Miscellaneous Corporate Actions For For Management 23 Miscellaneous Corporate Actions For For Management -------------------------------------------------------------------------------- GLENCORE PLC Ticker: Security ID: G39420107 Meeting Date: MAY 09, 2019 Meeting Type: Annual Record Date: FEB 20, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Management Proposal For For Management 2 Management Proposal For For Management 3 Management Proposal For For Management 4 Management Proposal For For Management 5 Management Proposal For For Management 6 Management Proposal For For Management 7 Management Proposal For For Management 8 Management Proposal For For Management 9 Management Proposal For For Management 10 Management Proposal For For Management 11 Management Proposal For For Management 12 Management Proposal For For Management 13 Management Proposal For For Management 14 Management Proposal For For Management 15 Management Proposal For For Management 16 Management Proposal For For Management 17 Management Proposal For For Management 1 Management Proposal For For Management 2 Management Proposal For For Management 3 Management Proposal For For Management 4 Management Proposal For For Management 5 Management Proposal For For Management 6 Management Proposal For For Management 7 Management Proposal For For Management 8 Management Proposal For For Management 9 Management Proposal For For Management 10 Management Proposal For For Management 11 Management Proposal For For Management 12 Management Proposal For For Management 13 Management Proposal For For Management 14 Management Proposal For For Management 15 Management Proposal For For Management 16 Management Proposal For For Management 17 Management Proposal For For Management -------------------------------------------------------------------------------- LAZARD LTD Ticker: LAZ Security ID: G54050102 Meeting Date: APR 23, 2019 Meeting Type: Annual Record Date: MAR 04, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 2 14A Executive Compensation For For Management 3 Ratify Appointment of Independent For For Management Auditors -------------------------------------------------------------------------------- MACY'S INC. Ticker: M Security ID: 55616P104 Meeting Date: MAY 17, 2019 Meeting Type: Annual Record Date: MAR 21, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors (Majority Voting) For For Management 2 Election of Directors (Majority Voting) For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Ratify Appointment of Independent For For Management Auditors 13 14A Executive Compensation For For Management 14 S/H Proposal - Political/Government Against Against Shareholder 15 S/H Proposal - Human Rights Related Against Abstain Shareholder -------------------------------------------------------------------------------- PFIZER INC. Ticker: PFE Security ID: 717081103 Meeting Date: APR 25, 2019 Meeting Type: Annual Record Date: FEB 26, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors (Majority Voting) For For Management 2 Election of Directors (Majority Voting) For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Ratify Appointment of Independent For For Management Auditors 13 14A Executive Compensation For For Management 14 Approve Stock Compensation Plan For For Management 15 S/H Proposal - Corporate Governance Against Abstain Shareholder 16 S/H Proposal - Political/Government Against Abstain Shareholder 17 S/H Proposal - Establish Independent Against Abstain Shareholder Chairman 18 S/H Proposal - Corporate Governance Against Abstain Shareholder -------------------------------------------------------------------------------- SIX FLAGS ENTERTAINMENT CORPORATION Ticker: SIX Security ID: 83001A102 Meeting Date: MAY 01, 2019 Meeting Type: Annual Record Date: MAR 06, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 2 Ratify Appointment of Independent For For Management Auditors 3 14A Executive Compensation For For Management -------------------------------------------------------------------------------- TELADOC HEALTH, INC. Ticker: TDOC Security ID: 87918A105 Meeting Date: MAY 30, 2019 Meeting Type: Annual Record Date: APR 05, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 1 Election of Directors For For Management 2 14A Executive Compensation For For Management 3 Ratify Appointment of Independent For For Management Auditors -------------------------------------------------------------------------------- TPG PACE ENERGY HOLDINGS CORP Ticker: TPGEU Security ID: 872656202 Meeting Date: JUL 17, 2018 Meeting Type: Special Record Date: JUN 25, 2018 # Proposal Mgt Rec Vote Cast Sponsor 1 Miscellaneous Corporate Actions For For Management 2 Miscellaneous Corporate Actions For For Management 3 Approve New Class of Stock For For Management 4 Authorize Common Stock Increase For For Management 5 Amend Articles-Board Related For For Management 6 Limit/Eliminate Written Consent For For Management 7 Approve Reincorporation For For Management 8 Approve Charter Amendment For For Management 9 Stock Issuance For For Management 10 Approve Stock Compensation Plan For For Management 11 Approve Motion to Adjourn Meeting For For Management -------------------------------------------------------------------------------- UNITED PARCEL SERVICE, INC. Ticker: UPS Security ID: 911312106 Meeting Date: MAY 09, 2019 Meeting Type: Annual Record Date: MAR 11, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors (Majority Voting) For For Management 2 Election of Directors (Majority Voting) For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 Election of Directors (Majority Voting) For For Management 12 Election of Directors (Majority Voting) For For Management 13 Ratify Appointment of Independent For For Management Auditors 14 S/H Proposal - Political/Government Against Against Shareholder 15 S/H Proposal - Corporate Governance Against Against Shareholder 16 S/H Proposal - Report on Executive Against Against Shareholder Compensation -------------------------------------------------------------------------------- WEYERHAEUSER COMPANY Ticker: WY Security ID: 962166104 Meeting Date: MAY 17, 2019 Meeting Type: Annual Record Date: MAR 22, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Directors (Majority Voting) For For Management 2 Election of Directors (Majority Voting) For For Management 3 Election of Directors (Majority Voting) For For Management 4 Election of Directors (Majority Voting) For For Management 5 Election of Directors (Majority Voting) For For Management 6 Election of Directors (Majority Voting) For For Management 7 Election of Directors (Majority Voting) For For Management 8 Election of Directors (Majority Voting) For For Management 9 Election of Directors (Majority Voting) For For Management 10 Election of Directors (Majority Voting) For For Management 11 14A Executive Compensation For For Management 12 Ratify Appointment of Independent For For Management Auditors ========== 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: July 31, 2019 ----------------------------------------------