UNITED STATES
|
|||
SECURITIES AND EXCHANGE COMMISSIO
|
|||
WASHINGTON, D.C. 20549
|
|||
FORM N-PX
|
|||
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
|
|||
MANAGEMENT INVESTMENT COMPANY
|
|||
|
|||
INVESTMENT COMPANY ACT FILE NUMBER:
|
811-23084 | ||
NAME OF REGISTRANT:
|
Series Portfolios Trust | ||
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES:
|
615 East Michigan Street
Milwaukee, WI 53202
|
||
NAME AND ADDRESS OF AGENT FOR SERVICE:
|
Ryan Roell, President
Series Portfolios Trust c/o
U.S. Bancorp Fund Services, LLC
777 East Wisconsin Ave, 5th FL
Milwaukee, WI 53202
|
||
REGISTRANT'S TELEPHONE NUMBER:
|
414-765-6839 | ||
DATE OF FISCAL YEAR END:
|
12/31 |
||
DATE OF REPORTING PERIOD:
|
07/01/2019 to 06/30/2020 | ||
<PAGE>
|
Palm Valley Capital Fund
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
AMDOCS LIMITED
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: G02602103
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 31-January-2020
|
|||
Ticker: DOX
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1A. Election of Director: Robert A. Minicucci
|
Mgmt
|
For
|
For
|
1B. Election of Director: Adrian Gardner
|
Mgmt
|
For
|
For
|
1C. Election of Director: James S. Kahan
|
Mgmt
|
For
|
For
|
1D. Election of Director: Rafael de la Vega
|
Mgmt
|
For
|
For
|
1E. Election of Director: Giora Yaron
|
Mgmt
|
For
|
For
|
1F. Election of Director: Eli Gelman
|
Mgmt
|
For
|
For
|
1G. Election of Director: Richard T.C. LeFave
|
Mgmt
|
For
|
For
|
1H. Election of Director: John A. MacDonald
|
Mgmt
|
For
|
For
|
1I. Election of Director: Shuky Sheffer
|
Mgmt
|
For
|
For
|
1J. Election of Director: Yvette Kanouff
|
Mgmt
|
For
|
For
|
2. To approve an amendment of the Amdocs Limited
|
Mgmt
|
For
|
For
|
1998 Stock Option and Incentive Plan increasing
|
|||
the number of shares authorized for issuance under
|
|||
the plan and the sublimit on "full value" awards
|
|||
under the plan, in each case, by 3,000,000 shares
|
|||
(Proposal II).
|
|||
3. To approve an increase in the dividend rate under
|
Mgmt
|
For
|
For
|
our quarterly cash dividend program from $0.285
|
|||
per share to $0.3275 per share (Proposal III).
|
|||
4. To approve our Consolidated Financial Statements
|
Mgmt
|
For
|
For
|
for the fiscal year ended September 30, 2019
|
|||
(Proposal IV).
|
|||
5. To ratify and approve the appointment of Ernst &
|
Mgmt
|
For
|
For
|
Young LLP as our independent registered public
|
|||
accounting firm for the fiscal year ending
|
|||
September 30, 2020, and until the next annual
|
|||
general meeting, and authorize the Audit
|
|||
Committee of the Board of Directors to fix the
|
|||
remuneration of such independent registered public
|
|||
accounting firm in accordance with the nature and
|
|||
extent of its services (Proposal V).
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
ALAMOS GOLD INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 011532108
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 20-May-2020
|
|||
Ticker: AGI
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Elaine Ellingham
|
Mgmt
|
For
|
For
|
David Fleck
|
Mgmt
|
For
|
For
|
David Gower
|
Mgmt
|
For
|
For
|
Claire M. Kennedy
|
Mgmt
|
For
|
For
|
John A. McCluskey
|
Mgmt
|
For
|
For
|
Monique Mercier
|
Mgmt
|
For
|
For
|
Paul J. Murphy
|
Mgmt
|
For
|
For
|
J. Robert S. Prichard
|
Mgmt
|
For
|
For
|
Ronald E. Smith
|
Mgmt
|
For
|
For
|
Kenneth Stowe
|
Mgmt
|
For
|
For
|
2. Appointment of KPMG LLP as auditors of the
|
Mgmt
|
For
|
For
|
Company for the ensuing year and authorizing the
|
|||
directors to fix their remuneration.
|
|||
3. To consider, and if deemed advisable, pass a
|
Mgmt
|
For
|
For
|
resolution to approve an advisory resolution on the
|
|||
Company's approach to executive compensation.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
BENCHMARK ELECTRONICS, INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 08160H101
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 13-May-2020
|
|||
Ticker: BHE
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Bruce A. Carlson
|
Mgmt
|
For
|
For
|
Douglas G. Duncan
|
Mgmt
|
For
|
For
|
Robert K. Gifford
|
Mgmt
|
For
|
For
|
Kenneth T. Lamneck
|
Mgmt
|
For
|
For
|
Jeffrey S. McCreary
|
Mgmt
|
For
|
For
|
Merilee Raines
|
Mgmt
|
For
|
For
|
David W. Scheible
|
Mgmt
|
For
|
For
|
Jeffrey W. Benck
|
Mgmt
|
For
|
For
|
Anne De Greef-Safft
|
Mgmt
|
For
|
For
|
2. Approve the compensation of the Company's
|
Mgmt
|
For
|
For
|
named executive officers.
|
|||
3. Ratify the appointment of KPMG LLP as
|
Mgmt
|
For
|
For
|
independent registered public accounting firm.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
BONANZA CREEK ENERGY INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 097793400
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 3-June-2020
|
|||
Ticker: BCEI
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Carrie L. Hudak
|
Mgmt
|
For
|
For
|
Eric T. Greager
|
Mgmt
|
For
|
For
|
Paul Keglevic
|
Mgmt
|
For
|
For
|
Brian Steck
|
Mgmt
|
For
|
For
|
Jack E. Vaughn
|
Mgmt
|
For
|
For
|
Scott D. Vogel
|
Mgmt
|
For
|
For
|
Jeffrey E. Wojahn
|
Mgmt
|
For
|
For
|
2. Ratify the selection of Deloitte & Touche LLP as the
|
Mgmt
|
For
|
For
|
Company's independent registered public
|
|||
accountant for 2020.
|
|||
3. To approve, on an advisory basis, the
|
Mgmt
|
For
|
For
|
compensation of our named executive officers.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CARTER'S INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 146229109
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 14-May-2020
|
|||
Ticker: CRI
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1A. Election of Director: Hali Borenstein
|
Mgmt
|
For
|
For
|
1B. Election of Director: Amy Woods Brinkley
|
Mgmt
|
For
|
For
|
1C. Election of Director: Giuseppina Buonfantino
|
Mgmt
|
For
|
For
|
1D. Election of Director: Michael D. Casey
|
Mgmt
|
For
|
For
|
1E. Election of Director: A. Bruce Cleverly
|
Mgmt
|
For
|
For
|
1F. Election of Director: Jevin S. Eagle
|
Mgmt
|
For
|
For
|
1G. Election of Director: Mark P. Hipp
|
Mgmt
|
For
|
For
|
1H. Election of Director: William J. Montgoris
|
Mgmt
|
For
|
For
|
1I. Election of Director: Richard A. Noll
|
Mgmt
|
For
|
For
|
1J. Election of Director: Gretchen W. Price
|
Mgmt
|
For
|
For
|
1K. Election of Director: David Pulver
|
Mgmt
|
For
|
For
|
1L. Election of Director: Thomas E. Whiddon
|
Mgmt
|
For
|
For
|
2. Advisory approval of executive compensation.
|
Mgmt
|
For
|
For
|
3. Ratification of the appointment of
|
Mgmt
|
For
|
For
|
PricewaterhouseCoopers LLP as the Company's
|
|||
independent registered public accounting firm for
|
|||
fiscal 2020.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CRAWFORD & COMPANY
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 224633107
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 15-May-2020
|
|||
Ticker: CRD.B
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
H. V. Agadi
|
Mgmt
|
Withhold
|
Against
|
I. K. Beale
|
Mgmt
|
Withhold
|
Against
|
J. C. Crawford
|
Mgmt
|
Withhold |
Against
|
J. C. Crawford, Jr.
|
Mgmt
|
Withhold |
Against
|
L. G. Hannusch
|
Mgmt
|
Withhold |
Against
|
M. E. Jarrard
|
Mgmt
|
Withhold |
Against
|
C. H. Ogburn
|
Mgmt
|
Withhold |
Against
|
R. Patel
|
Mgmt
|
Withhold |
Against
|
D. R. Williams
|
Mgmt
|
Withhold |
Against
|
2. Proposal to approve an amendment to the Crawford
|
Mgmt
|
For
|
For
|
& Company International Employee Stock Purchase
|
|||
Plan.
|
|||
3. Proposal to ratify the appointment of Ernst & Young
|
Mgmt
|
For
|
For
|
LLP as independent auditor for the Company for
|
|||
the 2020 fiscal year.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CRIMSON WINE GROUP, LTD.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 22662X100
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 26-July-2019
|
|||
Ticker: CWGL
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
John D. Cumming
|
Mgmt
|
For
|
For
|
Joseph S. Steinberg
|
Mgmt
|
For
|
For
|
Avraham N. Neikrug
|
Mgmt
|
For
|
For
|
Douglas M. Carlson
|
Mgmt
|
For
|
For
|
Craig D. Williams
|
Mgmt
|
For
|
For
|
Colby A. Rollins
|
Mgmt
|
For
|
For
|
Luanne D. Tierney
|
Mgmt
|
For
|
For
|
2. Ratification of the selection of BPM LLP as
|
Mgmt
|
For
|
For
|
independent auditors of the company for the year
|
|||
ending December 31, 2019.
|
|||
3. To approve, on an advisory basis, the
|
Mgmt
|
For
|
For
|
compensation of the Company's named executive
|
|||
officers ("say-on-pay").
|
|||
4. To vote, on an advisory basis, on the frequency of
|
Mgmt
|
1 Year
|
Against
|
future say-on-pay votes ("say-on-frequency").
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
DICK'S SPORTING GOODS, INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 253393102
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 10-June-2020
|
|||
Ticker: DKS
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Edward W. Stack
|
Mgmt
|
For
|
For
|
Lauren R. Hobart
|
Mgmt
|
For
|
For
|
Lawrence J. Schorr
|
Mgmt
|
For
|
For
|
2. Ratification of the appointment of Deloitte & Touche
|
Mgmt
|
For
|
For
|
LLP as the Company's independent registered
|
|||
public accounting firm for fiscal 2020.
|
|||
3. Non-binding advisory vote to approve
|
Mgmt
|
For
|
For
|
compensation of named executive officers, as
|
|||
disclosed in the Company's 2020 proxy statement.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
EURONET WORLDWIDE, INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 298736109
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 21-May-2020
|
|||
Ticker: EEFT
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Andrzej Olechowski
|
Mgmt
|
For
|
For
|
Eriberto R. Scocimara
|
Mgmt
|
For
|
For
|
Mark R. Callegari
|
Mgmt
|
For
|
For
|
2. Ratification of the appointment of KPMG LLP as
|
Mgmt
|
For
|
For
|
Euronet's independent registered public accounting
|
|||
firm for the year ending December 31, 2020.
|
|||
3. Advisory vote on executive compensation.
|
Mgmt
|
For
|
For
|
--------------------------------------------------------------------------------------------------------------------------
|
|||
FAF TREASURY OBLIGATIONS FUND
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 31846V328
|
|||
Meeting Type: Special
|
|||
Meeting Date: 29-August-2019
|
|||
Ticker: FXFXX
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
David K. Baumgardner
|
Mgmt
|
For
|
For
|
Mark E. Gaumond
|
Mgmt
|
For
|
For
|
Roger A. Gibson
|
Mgmt
|
For
|
For
|
Jennifer J. McPeek
|
Mgmt
|
For
|
For
|
C. David Myers
|
Mgmt
|
For
|
For
|
Richard K. Riederer
|
Mgmt
|
For
|
For
|
P. Kelly Tompkins
|
Mgmt
|
For
|
For
|
--------------------------------------------------------------------------------------------------------------------------
|
|||
HEALTHCARE SERVICES GROUP, INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 421906108
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 26-May-2020
|
|||
Ticker: HCSG
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Theodore Wahl
|
Mgmt
|
For
|
For
|
John M. Briggs
|
Mgmt
|
For
|
For
|
Robert L. Frome
|
Mgmt
|
For
|
For
|
Dino D. Ottaviano
|
Mgmt
|
For
|
For
|
Michael E. McBryan
|
Mgmt
|
For
|
For
|
Diane S. Casey
|
Mgmt
|
For
|
For
|
John J. McFadden
|
Mgmt
|
For
|
For
|
Jude Visconto
|
Mgmt
|
For
|
For
|
Daniela Castagnino
|
Mgmt
|
For
|
For
|
Laura Grant
|
|||
2. To approve and ratify the selection of Grant
|
Mgmt
|
For
|
For
|
Thornton LLP as the independent registered public
|
|||
accounting firm of the Company for the current
|
|||
fiscal year ending December 31, 2020.
|
|||
3. To consider an advisory vote on executive
|
Mgmt
|
For
|
For
|
compensation.
|
|||
4. To approve and adopt the Company's 2020
|
Mgmt
|
For
|
For
|
Omnibus Incentive Plan.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
OSISKO GOLD ROYALTIES LTD
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 68827L101
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 22-June-2020
|
|||
Ticker: OR
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
The Hon. John R. Baird
|
Mgmt
|
For
|
For
|
Françoise Bertrand
|
Mgmt
|
For
|
For
|
John Burzynski
|
Mgmt
|
For
|
For
|
Christopher C. Curfman
|
Mgmt
|
For
|
For
|
Joanne Ferstman
|
Mgmt
|
For
|
For
|
William Murray John
|
Mgmt
|
For
|
For
|
Pierre Labbé
|
Mgmt
|
For
|
For
|
Charles E. Page
|
Mgmt
|
For
|
For
|
Sean Roosen
|
Mgmt
|
For
|
For
|
2. To appoint PricewaterhouseCoopers LLP as the
|
Mgmt
|
For
|
For
|
Corporation's independent auditor for the ensuing
|
|||
year and to authorize the directors to fix its
|
|||
remuneration.
|
|||
3. Ordinary resolution to approve the unallocated
|
Mgmt
|
For
|
For
|
options and amendments to the Stock Option Plan,
|
|||
as more fully described in the Circular.
|
|||
4. Ordinary resolution to approve the amendments to
|
Mgmt
|
For
|
For
|
the Employee Share Purchase Plan, as more fully
|
|||
described in the Circular.
|
|||
5. Ordinary resolution to approve the amendments to
|
Mgmt
|
For
|
For
|
the Restricted Share Unit Plan, as more fully
|
|||
described in the Circular.
|
|||
6. Ordinary resolution to approve the continuation of
|
Mgmt
|
For
|
For
|
the Amended and Restated Shareholder Rights
|
|||
Plan, as more fully described in the Circular.
|
|||
7. Advisory resolution accepting Osisko's approach to
|
Mgmt
|
For
|
For
|
executive compensation, the full text of which is
|
|||
reproduced in the accompanying Circular.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
UNITED-GUARDIAN, INC.
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
CUSIP: 910571108
|
|||
Meeting Type: Annual
|
|||
Meeting Date: 20-May-2020
|
|||
Ticker: UG
|
|||
--------------------------------------------------------------------------------------------------------------------------
|
|||
Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
|||
Robert S. Rubinger
|
Mgmt
|
For
|
For
|
Kenneth H. Globus
|
Mgmt
|
For
|
For
|
Lawrence F. Maietta
|
Mgmt
|
For
|
For
|
Arthur M. Dresne
|
Mgmt
|
For
|
For
|
Andrew A. Boccone
|
Mgmt
|
For
|
For
|
S. Ari Papoulias
|
Mgmt
|
For
|
For
|
2. APPROVAL ON AN ADVISORY BASIS TO HOLD A
|
Mgmt
|
For
|
For
|
VOTE EVERY YEAR ON THE COMPENSATION
|
|||
PAID TO THE COMPANY'S NAMED EXECUTIVE
|
|||
OFFICERS
|
|||
3. APPROVAL ON AN ADVISORY BASIS, OF THE
|
Mgmt
|
For
|
For
|
COMPENSATION OF THE COMPANY'S NAMED
|
|||
EXECUTIVE OFFICERS.
|
|||
4. PROPOSAL TO RATIFY THE APPOINTMENT OF
|
Mgmt
|
For
|
For
|
BAKER TILLY VIRCHOW KRAUSE, LLP AS THE
|
|||
INDEPENDENT PUBLIC ACCOUNTANTS OF THE
|
|||
COMPANY FOR THE FISCAL YEAR ENDING
|
|||
DECEMBER 31, 2020.
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--------------------------------------------------------------------------------------------------------------------------
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WEIS MARKETS, INC.
|
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--------------------------------------------------------------------------------------------------------------------------
|
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CUSIP: 948849104
|
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Meeting Type: Annual
|
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Meeting Date: 30-April-2020
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Ticker: WMK
|
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--------------------------------------------------------------------------------------------------------------------------
|
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Prop.# Proposal
|
Proposal
|
Proposal
|
For/Against
|
Type
|
Vote
|
Management
|
|
1. DIRECTOR
|
Mgmt
|
For
|
For
|
Jonathan H. Weis
|
Mgmt
|
For
|
For
|
Harold G. Graber
|
Mgmt
|
For
|
For
|
Dennis G. Hatchell
|
Mgmt
|
For
|
For
|
Edward J. Lauth III
|
Mgmt
|
For
|
For
|
Gerrald B. Silverman
|
Mgmt
|
For
|
For
|
2. Proposal to ratify the appointment of RSM US LLP
|
Mgmt
|
For
|
For
|
as the independent registered public accounting
|
|||
firm of the corporation.
|
|||
3. Proposal to provide an advisory vote to approve the
|
Mgmt
|
For
|
For
|
executive compensation of the Company's named
|
|||
executive officers.
|
|||
4. Proposal to provide an advisory vote on the
|
Mgmt
|
1 Year
|
Against
|
frequency of the advisory vote to approve executive
|
|||
compensation.
|
|||
5. Shareholder proposal to amend the Company's
|
Shareholder
|
Abstain
|
Abstain
|
articles of incorporation and/or bylaws to provide
|
|||
that directors shall be elected by the affirmative
|
|||
vote of the majority of votes cast at an annual
|
|||
meeting of shareholders in uncontested elections.
|
|||
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:
|
Series Portfolios Trust | |||
Signature:
|
/s/ Ryan Roell | |||
Name:
|
Ryan Roell | |||
Title:
|
President | |||
Date:
|
August 7, 2020 |