0000894189-20-006427.txt : 20200817 0000894189-20-006427.hdr.sgml : 20200817 20200817145630 ACCESSION NUMBER: 0000894189-20-006427 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200817 DATE AS OF CHANGE: 20200817 EFFECTIVENESS DATE: 20200817 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Series Portfolios Trust CENTRAL INDEX KEY: 0001650149 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-23084 FILM NUMBER: 201109481 BUSINESS ADDRESS: STREET 1: 615 E. MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-6620 MAIL ADDRESS: STREET 1: 615 E. MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 0001650149 S000060157 MProved Systematic Long-Short Fund C000196894 Investor Class MLSJX C000196895 Institutional Class MLSQX 0001650149 S000060158 MProved Systematic Merger Arbitrage Fund C000196896 Investor Class MMAJX C000196897 Institutional Class MMAQX 0001650149 S000060159 MProved Systematic Multi-Strategy Fund C000196898 Investor Class MMSJX C000196899 Institutional Class MMSQX N-PX 1 spt2-mproved_npx.txt ANNUAL REPORT OF PROXY VOTING ******************************* FORM N-Px REPORT ******************************* ICA File Number: 811-23084 Reporting Period: 07/01/2019 - 06/30/2020 Series Portfolio Trust 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 811-23084 Series Portfolios Trust (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, Wisconsin 53202 (Address of principal executive offices) (Zip code) Ryan L. Roell, President Series Portfolios Trust c/o U.S. Bancorp Fund Services, LLC 777 East Wisconsin Avenue, 5th Floor Milwaukee, Wisconsin 53202 (Name and address of agent for service) Registrant's telephone number, including area code: (414) 765-6839 Date of fiscal year end: December 31, 2020 Date of reporting period: July 1, 2019 - June 30, 2020 ====================== MProved Systematic Long-Short Fund ====================== AVNET, INC. Ticker: AVT Security ID: 053807103 Meeting Date: NOV 19, 2019 Meeting Type: Annual Record Date: SEP 20, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1a Elect Director Rodney C. Adkins For For Management 1b Elect Director William J. Amelio For For Management 1c Elect Director Carlo Bozotti For For Management 1d Elect Director Michael A. Bradley For For Management 1e Elect Director Brenda L. Freeman For For Management 1f Elect Director Jo Ann Jenkins For For Management 1g Elect Director Oleg Khaykin For For Management 1h Elect Director James A. Lawrence For For Management 1i Elect Director Avid Modjtabai For For Management 1j Elect Director Adalio T. Sanchez For For Management 1k Elect Director William H. Schumann, III For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Ratify KPMG LLP as Auditors For For Management -------------------------------------------------------------------------------- CARROLS RESTAURANT GROUP, INC. Ticker: TAST Security ID: 14574X104 Meeting Date: AUG 29, 2019 Meeting Type: Annual Record Date: JUL 02, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Daniel T. Accordino For For Management 1.2 Elect Director Matthew Perelman For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Approve Conversion of Securities For For Management 4 Amend Certificate of Incorporation For For Management 5 Provide Directors May Only Be Removed For For Management for Cause 6 Amend Certificate of Incorporation For For Management 7 Ratify Deloitte & Touche LLP as For For Management Auditors -------------------------------------------------------------------------------- CSW INDUSTRIALS, INC. Ticker: CSWI Security ID: 126402106 Meeting Date: AUG 13, 2019 Meeting Type: Annual Record Date: JUN 19, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Joseph B. Armes For For Management 1.2 Elect Director Michael R. Gambrell For For Management 1.3 Elect Director Terry L. Johnston For For Management 1.4 Elect Director Robert M. Swartz For For Management 1.5 Elect Director J. Kent Sweezey For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Ratify Grant Thornton LLP as Auditors For For Management -------------------------------------------------------------------------------- DONALDSON COMPANY, INC. Ticker: DCI Security ID: 257651109 Meeting Date: NOV 22, 2019 Meeting Type: Annual Record Date: SEP 23, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Michael J. Hoffman For For Management 1.2 Elect Director Douglas A. Milroy For For Management 1.3 Elect Director Willard D. Oberton For For Management 1.4 Elect Director John P. Wiehoff For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Approve Omnibus Stock Plan For For Management 4 Ratify PricewaterhouseCoopers LLP as For For Management Auditors -------------------------------------------------------------------------------- EAGLE MATERIALS INC. Ticker: EXP Security ID: 26969P108 Meeting Date: AUG 06, 2019 Meeting Type: Annual Record Date: JUN 20, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1A Elect Director George J. Damiris For For Management 1B Elect Director Martin M. Ellen For For Management 1C Elect Director David B. Powers For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Ratify Ernst & Young LLP as Auditors For For Management -------------------------------------------------------------------------------- FIDELITY NATIONAL INFORMATION SERVICES, INC. Ticker: FIS Security ID: 31620M106 Meeting Date: JUL 24, 2019 Meeting Type: Special Record Date: JUN 03, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Issue Shares in Connection with Merger For For Management 2 Increase Authorized Common Stock For For Management 3 Adjourn Meeting For For Management -------------------------------------------------------------------------------- FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V328 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management -------------------------------------------------------------------------------- FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V336 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management -------------------------------------------------------------------------------- HELEN OF TROY LIMITED Ticker: HELE Security ID: G4388N106 Meeting Date: AUG 21, 2019 Meeting Type: Annual Record Date: JUN 24, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1a Elect Director Gary B. Abromovitz For For Management 1b Elect Director Krista L. Berry For For Management 1c Elect Director Vincent D. Carson For For Management 1d Elect Director Thurman K. Case For For Management 1e Elect Director Timothy F. Meeker For For Management 1f Elect Director Julien R. Mininberg For For Management 1g Elect Director Beryl B. Raff For For Management 1h Elect Director William F. Susetka For For Management 1i Elect Director Darren G. Woody For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Approve Grant Thornton LLP as Auditors For For Management and Authorize Board to Fix Their Remuneration -------------------------------------------------------------------------------- LAM RESEARCH CORPORATION Ticker: LRCX Security ID: 512807108 Meeting Date: NOV 05, 2019 Meeting Type: Annual Record Date: SEP 06, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Sohail U. Ahmed For For Management 1.2 Elect Director Timothy M. Archer For For Management 1.3 Elect Director Eric K. Brandt For For Management 1.4 Elect Director Michael R. Cannon For For Management 1.5 Elect Director Youssef A. El-Mansy For For Management 1.6 Elect Director Catherine P. Lego For For Management 1.7 Elect Director Bethany J. Mayer For For Management 1.8 Elect Director Abhijit Y. Talwalkar For For Management 1.9 Elect Director Lih Shyng (Rick L.) Tsai For For Management 1.10 Elect Director Leslie F. Varon For For Management 2 Advisory Vote to Ratify Named For Against Management Executive Officers' Compensation 3 Ratify Ernst & Young LLP as Auditors For For Management -------------------------------------------------------------------------------- NANOMETRICS INCORPORATED Ticker: NANO Security ID: 630077105 Meeting Date: OCT 24, 2019 Meeting Type: Special Record Date: SEP 03, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Issue Shares in Connection with Merger For For Management 2 Increase Authorized Common Stock For For Management 3 Amend Certificate of Incorporation For For Management Regarding Limitation of Personal Liability of Directors 4 Adjourn Meeting For For Management -------------------------------------------------------------------------------- SPECTRUM BRANDS HOLDINGS, INC. Ticker: SPB Security ID: 84790A105 Meeting Date: JUL 10, 2019 Meeting Type: Annual Record Date: MAY 17, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Sherianne James For For Management 1.2 Elect Director Norman S. Matthews For For Management 1.3 Elect Director Joseph S. Steinberg For For Management 2 Ratify KPMG LLP as Auditor For For Management 3 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation -------------------------------------------------------------------------------- TAPESTRY, INC. Ticker: TPR Security ID: 876030107 Meeting Date: NOV 07, 2019 Meeting Type: Annual Record Date: SEP 06, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1A Elect Director Darrell Cavens For For Management 1B Elect Director David Denton For For Management 1C Elect Director Anne Gates For For Management 1D Elect Director Andrea Guerra For For Management 1E Elect Director Susan Kropf For For Management 1F Elect Director Annabelle Yu Long For For Management 1G Elect Director Ivan Menezes For For Management 1H Elect Director Jide Zeitlin For For Management 2 Ratify Deloitte & Touche LLP as For For Management Auditors 3 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 4 Amend Omnibus Stock Plan For For Management -------------------------------------------------------------------------------- UNIFI, INC. Ticker: UFI Security ID: 904677200 Meeting Date: OCT 30, 2019 Meeting Type: Annual Record Date: SEP 05, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1a Elect Director Robert J. Bishop For For Management 1b Elect Director Albert P. Carey For For Management 1c Elect Director Thomas H. Caudle, Jr. For For Management 1d Elect Director Archibald Cox, Jr. For For Management 1e Elect Director James M. Kilts For For Management 1f Elect Director Kenneth G. Langone For For Management 1g Elect Director James D. Mead For For Management 1h Elect Director Suzanne M. Present For For Management 1i Elect Director Eva T. Zlotnicka For For Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Ratify KPMG LLP as Auditors For For Management -------------------------------------------------------------------------------- WORTHINGTON INDUSTRIES, INC. Ticker: WOR Security ID: 981811102 Meeting Date: SEP 25, 2019 Meeting Type: Annual Record Date: AUG 01, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Kerrii B. Anderson For Withhold Management 1.2 Elect Director David P. Blom For For Management 1.3 Elect Director John P. McConnell For For Management 1.4 Elect Director Mary Schiavo For Withhold Management 2 Advisory Vote to Ratify Named For For Management Executive Officers' Compensation 3 Amend Omnibus Stock Plan For Against Management 4 Ratify KPMG LLP as Auditors For For Management =================== MProved Systematic Merger Arbitrage Fund =================== FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V328 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management -------------------------------------------------------------------------------- FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V336 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management ==================== MProved Systematic Multi-Strategy Fund ==================== FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V328 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management -------------------------------------------------------------------------------- FIRST AMERICAN FUNDS, INC. Ticker: Security ID: 31846V336 Meeting Date: AUG 29, 2019 Meeting Type: Special Record Date: JUL 12, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director David K. Baumgardner For For Management 1.2 Elect Director Mark E. Gaumond For For Management 1.3 Elect Director Roger A. Gibson For For Management 1.4 Elect Director Jennifer J. McPeek For For Management 1.5 Elect Director C. David Myers For For Management 1.6 Elect Director Richard K. Riederer For For Management 1.7 Elect Director P. Kelly Tompkins For For Management ========== 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. (Registrant) Series Portfolios Trust Signature: /s/Ryan L Roell Name: Ryan L. Roell, President Title: Principal Executive Officer Date: August 17, 2020