UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number: 811-22747
ALPS SERIES TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
JoEllen L. Legg, Esq., Secretary
ALPS Series Trust
1290 Broadway, Suite 1100
Denver, CO 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: September 30
Date of reporting period: January 1, 2013 - June 30, 2013
Item 1 – Proxy Voting Record.
COGNIOS MARKET NEUTRAL LARGE CAP FUND
Investment Company Report
| ABBOTT LABORATORIES
| ||||||||
| Security | 002824100 | Meeting Type | Annual | |||||
| Ticker Symbol | ABT | Meeting Date | 26-Apr-2013 | |||||
| ISIN | US0028241000 | Agenda | 933743672 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1. | Election of Directors | Management | ||||||||||
| 1 R.J. ALPERN |
For | For | ||||||||||
| 2 R.S. AUSTIN |
For | For | ||||||||||
| 3 S.E. BLOUNT |
For | For | ||||||||||
| 4 W.J. FARRELL |
For | For | ||||||||||
| 5 E.M. LIDDY |
For | For | ||||||||||
| 6 N. MCKINSTRY |
For | For | ||||||||||
| 7 P.N. NOVAKOVIC |
For | For | ||||||||||
| 8 W.A. OSBORN |
For | For | ||||||||||
| 9 S.C. SCOTT III |
For | For | ||||||||||
| 10 G.F. TILTON |
For | For | ||||||||||
| 11 M.D. WHITE |
For | For | ||||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
| 4. | S/H Proposal - Report on Gene Engineered Products | Shareholder | Against | For | ||||||||
| 5. | S/H Proposal - Political/Government | Shareholder | Against | For | ||||||||
| 6. | S/H Proposal - Establish Independent Chairman | Shareholder | Against | For | ||||||||
| 7. | S/H Proposal - Executive Compensation | Shareholder | Against | For | ||||||||
| 8. | S/H Proposal - Executive Compensation | Shareholder | Against | For | ||||||||
| 9. | S/H Proposal - Executive Compensation | Shareholder | Against | For | ||||||||
|
Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date
| |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 9,124 | 0 | 21-Mar-2013 | 21-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,463 | 0 | 21-Mar-2013 | 21-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 949 | 0 | 21-Mar-2013 | 21-Mar-2013 | |||||||||||
| L-3 COMMUNICATIONS HOLDINGS, INC.
| ||||||||
| Security | 502424104 | Meeting Type | Annual | |||||
| Ticker Symbol | LLL | Meeting Date | 30-Apr-2013 | |||||
| ISIN | US5024241045 | Agenda | 933750146 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Amend Stock Compensation Plan | Management | For | For | ||||||||
| 3. | Declassify Board | Management | For | For | ||||||||
| 4. | Adopt Supermajority Requirements | Management | For | For | ||||||||
| 5. | Limit/Eliminate Written Consent | Management | For | For | ||||||||
| 6. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 7. | 14A Executive Compensation | Management | For | For | ||||||||
|
Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date
| |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,072 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,438 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 423 | 0 | 22-Mar-2013 | 22-Mar-2013 | |||||||||||
|
DIRECTV
| ||||||||
| Security | 25490A309 | Meeting Type | Annual | |||||
| Ticker Symbol | DTV | Meeting Date | 02-May-2013 | |||||
| ISIN | US25490A3095 | Agenda | 933751910 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1J. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1K. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
| 4. | S/H Proposal - Executive Compensation | Shareholder | Against | For | ||||||||
| 5. | S/H Proposal - Establish Independent Chairman | Shareholder | Against | For | ||||||||
| 6. | S/H Proposal - Corporate Governance | Shareholder | Against | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 6,066 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 3,621 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 606 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
|
BRISTOL-MYERS SQUIBB COMPANY
| ||||||||
| Security | 110122108 | Meeting Type | Annual | |||||
| Ticker Symbol | BMY | Meeting Date | 07-May-2013 | |||||
| ISIN | US1101221083 | Agenda | 933756794 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1J. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,365 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,408 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 762 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| GANNETT CO., INC.
| ||||||||
| Security | 364730101 | Meeting Type | Annual | |||||
| Ticker Symbol | GCI | Meeting Date | 07-May-2013 | |||||
| ISIN | US3647301015 | Agenda | 933746096 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
| 4. | S/H Proposal - Corporate Governance | Shareholder | Against | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 13,566 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 8,120 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,404 | 0 | 23-Mar-2013 | 23-Mar-2013 | |||||||||||
| LABORATORY CORP. OF AMERICA HOLDINGS
| ||||||||
| Security | 50540R409 | Meeting Type | Annual | |||||
| Ticker Symbol | LH | Meeting Date | 08-May-2013 | |||||
| ISIN | US50540R4092 | Agenda | 933756643 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1J. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | 14A Executive Compensation | Management | For | For | ||||||||
| 3. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,073 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 1,839 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 318 | 0 | 29-Mar-2013 | 29-Mar-2013 | |||||||||||
| CF INDUSTRIES HOLDINGS, INC.
| ||||||||
| Security | 125269100 | Meeting Type | Annual | |||||
| Ticker Symbol | CF | Meeting Date | 14-May-2013 | |||||
| ISIN | US1252691001 | Agenda | 933772724 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 2A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1. | Approve Charter Amendment | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
| 4. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 5. | S/H Proposal - Election of Directors By Majority Vote | Shareholder | Against | For | ||||||||
| 6. | S/H Proposal - Add Women & Minorities to Board | Shareholder | Against | For | ||||||||
| 7. | S/H Proposal - Political/Government | Shareholder | Against | For | ||||||||
| 8. | S/H Proposal - Environmental | Shareholder | Against | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 1,356 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 811 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 140 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| DIAMOND OFFSHORE DRILLING, INC.
| ||||||||
| Security | 25271C102 | Meeting Type | Annual | |||||
| Ticker Symbol | DO | Meeting Date | 15-May-2013 | |||||
| ISIN | US25271C1027 | Agenda | 933772902 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1J | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2 | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3 | 14A Executive Compensation | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 3,907 | 0 | 06-Apr-2013 | 06-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,339 | 0 | 06-Apr-2013 | 06-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 404 | 0 | 06-Apr-2013 | 06-Apr-2013 | |||||||||||
| INTEL CORPORATION
| ||||||||
| Security | 458140100 | Meeting Type | Annual | |||||
| Ticker Symbol | INTC | Meeting Date | 16-May-2013 | |||||
| ISIN | US4581401001 | Agenda | 933758611 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1E. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1F. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1G. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1H. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1I. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | 14A Executive Compensation | Management | For | For | ||||||||
| 4. | Approve Stock Compensation Plan | Management | For | For | ||||||||
| 5. | S/H Proposal - Executive Compensation | Shareholder | Against | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 13,040 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 7,805 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 1,350 | 0 | 04-Apr-2013 | 04-Apr-2013 | |||||||||||
| QUEST DIAGNOSTICS INCORPORATED
| ||||||||
| Security | 74834L100 | Meeting Type | Annual | |||||
| Ticker Symbol | DGX | Meeting Date | 21-May-2013 | |||||
| ISIN | US74834L1008 | Agenda | 933784806 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1.1 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1.2 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1.3 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 3. | Amend Articles-Board Related | Management | For | For | ||||||||
| 4. | Approve Charter Amendment | Management | For | For | ||||||||
| 5. | 14A Executive Compensation | Management | For | For | ||||||||
| 6. | S/H Proposal - Simple Majority Voting | Shareholder | Against | |||||||||
| 7. | S/H Proposal - Report on Executive Compensation | Shareholder | Against | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,847 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,901 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 502 | 0 | 12-Apr-2013 | 12-Apr-2013 | |||||||||||
| THE WESTERN UNION COMPANY
| ||||||||
| Security | 959802109 | Meeting Type | Annual | |||||
| Ticker Symbol | WU | Meeting Date | 30-May-2013 | |||||
| ISIN | US9598021098 | Agenda | 933793867 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1A. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1B. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1C. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1D. | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | 14A Executive Compensation | Management | For | For | ||||||||
| 3. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 4. | Restore Right to Call a Special Meeting | Management | For | For | ||||||||
| 5. | S/H Proposal - Political/Government | Shareholder | Against | For | ||||||||
|
Account Number |
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date
|
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 19,406 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 11,616 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 2,008 | 0 | 18-Apr-2013 | 18-Apr-2013 | |||||||||||
| GARMIN LTD
| ||||||||
| Security | H2906T109 | Meeting Type | Annual | |||||
| Ticker Symbol | GRMN | Meeting Date | 07-Jun-2013 | |||||
| ISIN | CH0114405324 | Agenda | 933808214 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 5A | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 5B | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1 | Approve Financial Statements, Allocation of Income, and Discharge Directors | Management | For | For | ||||||||
| 2 | Approve Allocation of Dividends on Shares Held By Company | Management | For | For | ||||||||
| 3 | Approve Allocation of Dividends on Shares Held By Company | Management | For | For | ||||||||
| 4 | Approve Director Liability Insurance | Management | For | For | ||||||||
| 6 | Approve Stock Compensation Plan | Management | For | For | ||||||||
| 7 | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
| 8 | 14A Executive Compensation | Management | For | For | ||||||||
| 9 | Transact Other Business | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 7,762 | 0 | 27-Apr-2013 | 27-Apr-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 4,648 | 0 | 27-Apr-2013 | 27-Apr-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 805 | 0 | 27-Apr-2013 | 27-Apr-2013 | |||||||||||
| EXPEDIA, INC.
| ||||||||
| Security | 30212P303 | Meeting Type | Annual | |||||
| Ticker Symbol | EXPE | Meeting Date | 18-Jun-2013 | |||||
| ISIN | US30212P3038 | Agenda | 933818265 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1. | Election of Directors | Management | ||||||||||
| 1 GEORGE “SKIP” BATTLE* |
For | For | ||||||||||
| 2 PAMELA L. COE |
For | For | ||||||||||
| 3 BARRY DILLER |
For | For | ||||||||||
| 4 JONATHAN L. DOLGEN |
For | For | ||||||||||
| 5 CRAIG A. JACOBSON* |
For | For | ||||||||||
| 6 VICTOR A. KAUFMAN |
For | For | ||||||||||
| 7 PETER M. KERN* |
For | For | ||||||||||
| 8 DARA KHOSROWSHAHI |
For | For | ||||||||||
| 9 JOHN C. MALONE |
For | For | ||||||||||
| 10 JOSE A. TAZON |
For | For | ||||||||||
| 2. | Amend Stock Compensation Plan | Management | For | For | ||||||||
| 3. | Adopt Employee Stock Purchase Plan | Management | For | For | ||||||||
| 4. | Ratify Appointment of Independent Auditors | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 4,274 | 0 | 07-May-2013 | 07-May-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 2,560 | 0 | 07-May-2013 | 07-May-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 443 | 0 | 07-May-2013 | 07-May-2013 | |||||||||||
| GAMESTOP CORP.
| ||||||||
| Security | 36467W109 | Meeting Type | Annual | |||||
| Ticker Symbol | GME | Meeting Date | 25-Jun-2013 | |||||
| ISIN | US36467W1099 | Agenda | 933837758 - Management | |||||
| Item | Proposal | Type | Vote |
For/Against
|
||||||||
| 1.1 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1.2 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1.3 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 1.4 | Election of Directors (Majority Voting) | Management | For | For | ||||||||
| 2. | 14A Executive Compensation | Management | For | For | ||||||||
| 3. | Declassify Board | Management | For | For | ||||||||
| 4. | Amend Stock Compensation Plan | Management | For | For | ||||||||
|
Account Number
|
Account Name | Internal Account |
Custodian | Ballot Shares | Unavailable Shares |
Vote Date |
Date Confirmed | |||||||||||
| 6734305560 | 6734305560 | 6734305560 | UNION BANK | 9,172 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
| 6734305561 | 6734305561 | 6734305561 | UNION BANK | 5,492 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
| 6734305562 | 6734305562 | 6734305562 | UNION BANK | 951 | 0 | 30-May-2013 | 30-May-2013 | |||||||||||
SIGNATURE
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.
| ALPS Series Trust | ||
| By: | /s/ Jeremy O. May | |
| Jeremy O. May | ||
| President | ||
| Date: | August 29, 2013 | |