N-PX 1 piofloatingratetrust.htm FORM N-PX




UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
 
Investment Company Act file number 811-21654
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Pioneer Floating Rate Trust
----------------------------------------------------
(Exact name of registrant as specified in charter)
 
60 State Street Boston, MA  02109
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(Address of principal executive offices)
 
Terrence J. Cullen
60 State Street
Boston, MA  02109
----------------------------------------------------
(Name and address of agent for service)
 
Registrant's telephone number, including area code:  (617) 742-7825
 
Date of fiscal year end:  November 30
 
Date of reporting period:  July 1, 2019 to June 30, 2020

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.
 
(Registrant)  Pioneer Floating Rate Trust

 
By (Signature and Title)  /s/ Lisa Jones
                         -------------------------
                         Lisa Jones, Chief Executive Officer
                         & President
 

Date: August 25, 2020










============================= Floating Rate Trust ==============================


BLACKROCK FLOATING RATE INCOME STRATEGIES FUND, INC.

Ticker:       FRA            Security ID:  09255X100
Meeting Date: JUL 29, 2019   Meeting Type: Annual
Record Date:  MAY 30, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1.1   Elect Director Richard E. Cavanagh      For       For          Management
1.2   Elect Director Frank J. Fabozzi         For       For          Management
1.3   Elect Director Robert Fairbairn         For       For          Management
1.4   Elect Director Henry Gabbay             For       For          Management


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EATON VANCE FLOATING-RATE INCOME TRUST

Ticker:       EFT            Security ID:  278279104
Meeting Date: MAR 19, 2020   Meeting Type: Annual
Record Date:  JAN 07, 2020

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1a    Elect Director Thomas E. Faust, Jr.     For       For          Management
1b    Elect Director Cynthia E. Frost         For       For          Management
1c    Elect Director Scott E. Wennerholm      For       For          Management


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FIRST TRUST SENIOR FLOATING RATE INCOME FUND II

Ticker:       FCT            Security ID:  33733U108
Meeting Date: SEP 09, 2019   Meeting Type: Annual
Record Date:  JUL 26, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1.1   Elect Director James A. Bowen           For       Withhold     Management
1.2   Elect Director Robert F. Keith          For       For          Management


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INVESCO EXCHANGE-TRADED FUND TRUST II

Ticker:       PTRP           Security ID:  46138G508
Meeting Date: AUG 19, 2019   Meeting Type: Special
Record Date:  JUN 25, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1.1   Elect Director Ronn R. Bagge            For       For          Management
1.2   Elect Director Todd J. Barre            For       For          Management
1.3   Elect Director Kevin M. Carome          For       For          Management
1.4   Elect Director Edmund P. Giambastiani,  For       For          Management
      Jr.
1.5   Elect Director Victoria J. Herget       For       For          Management
1.6   Elect Director Marc M. Kole             For       For          Management
1.7   Elect Director Yung Bong Lim            For       For          Management
1.8   Elect Director Joanne Pace              For       For          Management
1.9   Elect Director Gary R. Wicker           For       For          Management
1.10  Elect Director Donald H. Wilson         For       For          Management


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INVESCO SENIOR INCOME TRUST

Ticker:       VVR            Security ID:  46131H107
Meeting Date: AUG 23, 2019   Meeting Type: Annual
Record Date:  MAY 13, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1a.1  Elect Director Cynthia Hostetler        For       For          Management
1a.2  Elect Director Eli Jones                For       For          Management
1a.3  Elect Director Ann Barnett Stern        For       For          Management
1a.4  Elect Director Raymond Stickel, Jr.     For       For          Management


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PROGENICS PHARMACEUTICALS, INC.

Ticker:       PGNX           Security ID:  743187106
Meeting Date: JUL 11, 2019   Meeting Type: Proxy Contest
Record Date:  MAY 13, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
      Management Proxy (White Proxy Card)     None
1a    Elect Director Peter J. Crowley         For       Against      Management
1b    Elect Director Mark R. Baker            For       For          Management
1c    Elect Director Bradley L. Campbell      For       For          Management
1d    Elect Director Karen J. Ferrante        For       For          Management
1e    Elect Director Michael D. Kishbauch     For       Against      Management
1f    Elect Director David A. Scheinberg      For       For          Management
1g    Elect Director Nicole S. Williams       For       For          Management
2     Ratify Ernst & Young LLP as Auditors    For       For          Management
3     Advisory Vote to Ratify Named           For       For          Management
      Executive Officers' Compensation
#     Proposal                                Diss Rec  Vote Cast    Sponsor
      Dissident Proxy (Green Proxy Card)      None
      FOR is Not a Valid Vote Option for      None
      Items 1.1 to 1.3
1.1   Management Nominee Peter J. Crowley     Against   Did Not Vote Shareholder
1.2   Management Nominee Michael D. Kishbauch Against   Did Not Vote Shareholder
1.3   Management Nominee Mark R. Baker        None      Did Not Vote Shareholder
1.4   Management Nominee Bradley L. Campbell  None      Did Not Vote Shareholder
1.5   Management Nominee Karen J. Ferrante    None      Did Not Vote Shareholder
1.6   Management Nominee David A. Scheinberg  None      Did Not Vote Shareholder
1.7   Management Nominee Nicole S. Williams   None      Did Not Vote Shareholder
2     Ratify Ernst & Young LLP as Auditors    None      Did Not Vote Management
3     Advisory Vote to Ratify Named           Against   Did Not Vote Management
      Executive Officers' Compensation


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PROGENICS PHARMACEUTICALS, INC.

Ticker:       PGNX           Security ID:  743187106
Meeting Date: NOV 17, 2019   Meeting Type: Proxy Contest
Record Date:  OCT 07, 2019

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
      Management Proxy (White Proxy Card)     None
1     Revoke Consent to By-Law Repeal         For       Did Not Vote Shareholder
      Provision
2.1   Revoke Consent to Remove Mark R. Baker  For       Did Not Vote Shareholder
      as Director
2.2   Revoke Consent to Remove David A.       For       Did Not Vote Shareholder
      Scheinberg as Director
2.3   Revoke Consent to Remove Nicole S.      For       Did Not Vote Shareholder
      Williams as Director
2.4   Revoke Consent to Remove Any Person     For       Did Not Vote Shareholder
      Elected or Appointed to the Board
      During the Consent Solicitation
3     Revoke Consent to Amend Bylaws to       For       Did Not Vote Shareholder
      Allow Stockholders and Majority of
      Directors to Have the Ability to Fill
      Any Vacancies on the Board
4     Revoke Consent to Fix Board of          For       Did Not Vote Shareholder
      Directors at Seven
5.1   Revoke Consent to Elect Gerard Ber as   For       Did Not Vote Shareholder
      Director
5.2   Revoke Consent to Elect Eric J. Ende    For       Did Not Vote Shareholder
      as Director
5.3   Revoke Consent to Elect Ann MacDougall  For       Did Not Vote Shareholder
      as Director
5.4   Revoke Consent to Elect Heinz Mausli    For       Did Not Vote Shareholder
      as Director
5.5   Revoke Consent to Elect David W. Mims   For       Did Not Vote Shareholder
      as Director
#     Proposal                                Diss Rec  Vote Cast    Sponsor
      Dissident Proxy (Green Proxy Card)      None
1     Consent to By-Law Repeal Provision      For       For          Shareholder
2.1   Consent to Remove Mark R. Baker as      For       For          Shareholder
      Director
2.2   Consent to Remove David A. Scheinberg   For       Against      Shareholder
      as Director
2.3   Consent to Remove Nicole S. Williams    For       Against      Shareholder
      as Director
2.4   Consent to Remove Any Person Elected    For       For          Shareholder
      or Appointed to the Board During the
      Consent Solicitation
3     Consent to Amend Bylaws to Allow        For       For          Shareholder
      Stockholders and Majority of Directors
      to Have the Ability to Fill Any
      Vacancies on the Board
4     Consent to Fix Board of Directors at    For       For          Shareholder
      Seven
5.1   Consent to Elect Gerard Ber as Director For       For          Shareholder
5.2   Consent to Elect Eric J. Ende as        For       For          Shareholder
      Director
5.3   Consent to Elect Ann MacDougall as      For       Against      Shareholder
      Director
5.4   Consent to Elect Heinz Mausli as        For       Against      Shareholder
      Director
5.5   Consent to Elect David W. Mims as       For       For          Shareholder
      Director


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WINDSTREAM SERVICES LLC

Ticker:                      Security ID:  97381LAB4
Meeting Date: JUN 17, 2020   Meeting Type: Written Consent
Record Date:  MAY 07, 2020

#     Proposal                                Mgt Rec   Vote Cast    Sponsor
1     Vote On The Plan (For = Accept,         None      For          Management
      Against = Reject; Abstain Votes Do Not
      Count)
2     Opt Out Of The Third-party Release      None      For          Management
      (For = Opt Out, Against Or Abstain =
      Do Not Opt Out)

========== END NPX REPORT