N-PX 1 greenwichnpx.htm UNITED STATES

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 811-23306


Collaborative Investment Series Trust

 (Exact name of registrant as specified in charter)


500 Damonte Ranch, Parkway

Building 700, Unit 700

Reno, NV 89521

 (Address of principal executive offices)    (Zip code)


Northwest Registered Agent Service, Inc.

8 The Green, Suite B

Dover, Delaware 19901

(Name and address of agent for service)


With copy to:

JoAnn M. Strasser, Thompson Hine LLP

41 S. High Street, Suite 1700

Columbus, Ohio 43215



Registrant's telephone number, including area code: (203) 622-6000


Date of fiscal year end: September 30


Date of reporting period: July 1, 2020 through June 30, 2021


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 (Sections 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 notes.


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. Section 3507.


ITEM 1. PROXY VOTING RECORD:


Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:


(a).

The name of the issuer of the portfolio security;


(b).

The exchange ticker symbol of the portfolio security;


(c).  

The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;


(d).

The shareholder meeting date;


(e).

A brief identification of the matter voted on;


(f).

Whether the matter was proposed by the issuer or by a security holder;


(g).

Whether the Registrant cast its vote on the matter;


(h).

How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and


(i).

Whether the Registrant cast its vote for or against management.




 

GREENWICH IVY LONG-SHORT FUND (GIVYX )

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Company Name

Ticker

Provider Security ID

Meeting Type

Meeting Date

Record Date

Proposal Type

Proposal Number

Proposal

Proposal Vote

For/Against Management

 

 

 

 

 

 

 

 

 

 

 

 

 

ABN AMRO BANK NV

ABN.AS

BYQP136

Annual Meeting

12/15/2020

11/17/2020

Management

1

Opening remarks and announcements.

For

For

 

 

 

 

 

 

 

Management

2

Appointment of Mariken Tannemaat as member of the Supervisory Board.

For

For

 

 

 

 

 

 

 

Management

2i

Announcement to the General Meeting of the Supervisory Board's nomination for appointment.

For

For

 

 

 

 

 

 

 

Management

2ii

Explanation and motivation by Mariken Tannemaat.

For

For

 

 

 

 

 

 

 

Management

2iii

Proposal to the Extraordinary General Meeting to appoint Mariken Tannemaat as member of the Supervisory Board.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

ABN AMRO BANK NV

ABN.AS

BYQP136

Annual Meeting

4/21/2021

3/24/2021

Management

2e

Remuneration report over 2020 (advisory voting item.

For

For

 

 

 

 

 

 

 

Management

2g

Adoption of the audited 2020 Annual Financial Statements (voting item)

For

For

 

 

 

 

 

 

 

Management

4a

Discharge of each member of the Executive Board in office during the financial year 2020 for the performance of his or her duties during 2020 (voting item)

For

For

 

 

 

 

 

 

 

Management

4b

Discharge of each member of the Supervisory Board in office during the financial year 2020 for the performance of his or her duties during 2020 (voting item)

For

For

 

 

 

 

 

 

 

Management

5b

Reappointment of Ernst & Young Accountants LLP as external auditor for the financial years 2022 and 2023 (voting item)

For

For

 

 

 

 

 

 

 

Management

7a

Authorisation to issue shares and/or grant rights to subscribe for shares (voting item).

For

For

 

 

 

 

 

 

 

Management

7b

Authorisation to limit or exclude pre-emptive rights (voting item).

For

For

 

 

 

 

 

 

 

Management

7c

Authorisation to acquire (depositary receipts for) shares in ABN AMRO's own capital (voting item).

For

For

 

 

 

 

 

 

 

Management

8

CANCELLATION OF (DEPOSITARY RECEIPTS FOR) SHARES IN THE ISSUED SHARE CAPITAL OF ABN AMRO (voting item)

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

ASTON MARTIN LAGONDA GLOBAL HO

AML.L

BFXZC44

Annual Meeting

12/4/2020

11/19/2020

Management

1

TO AUTHORISE THE DIRECTORS TO IMPLEMENT THE STRATEGIC COOPERATION AND ALLOT THE CONSIDERATION SHARES

For

For

 

 

 

 

 

 

 

Management

2

TO AUTHORISE THE DIRECTORS TO ALLOT THE PLACING SHARES

For

For

 

 

 

 

 

 

 

Management

3

TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS IN CONNECTION WITH THE PLACING

For

For

 

 

 

 

 

 

 

Management

4

TO APPROVE THE RELATED PARTY TRANSACTION IN CONNECTION WITH THE PLACING

For

For

 

 

 

 

 

 

 

Management

5

TO AUTHORISE THE DIRECTORS TO ALLOT SHARES IN CONNECTION WITH THE WARRANTS ISSUE

For

For

 

 

 

 

 

 

 

Management

6

TO AUTHORISE THE SUBDIVISION AND CONSOLIDATION OF SHARES IN CONNECTION WITH THE CAPITAL REORGANISATION

For

For

 

 

 

 

 

 

 

Management

7

TO RENEW EXISTING SHARE ALLOTMENT AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION

For

For

 

 

 

 

 

 

 

Management

8

TO RENEW EXISTING PRE-EMPTION DISAPPLICATION AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION

For

For

 

 

 

 

 

 

 

Management

9

TO RENEW EXISTING ADDITIONAL PRE-EMPTION DISAPPLICATION AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION

For

For

 

 

 

 

 

 

 

Management

10

TO RENEW EXISTING SHARE BUYBACK AUTHORITY TO ACCOUNT FOR THE EFFECT OF THE CAPITAL REORGANISATION

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

ASTON MARTIN LAGONDA GLOBAL HOLDINGS PLC

AML.L

BFXZC44

Annual Meeting

5/25/2021

4/16/2021

Management

1

Company's Annual Report and Accounts 2020.

For

For

 

 

 

 

 

 

 

Management

2

To approve the Directors' Remuneration Report.

For

For

 

 

 

 

 

 

 

Management

3

To re-elect Lawrence Stroll as a Director.

For

For

 

 

 

 

 

 

 

Management

4

To elect Tobias Moers as a Director.

For

For

 

 

 

 

 

 

 

Management

5

To elect Kenneth Gregor as a Director.

For

For

 

 

 

 

 

 

 

Management

6

To elect Robin Freestone as a Director.

For

For

 

 

 

 

 

 

 

Management

7

To elect Antony Sheriff as a Director.

For

For

 

 

 

 

 

 

 

Management

8

To elect Anne Stevens as a Director.

For

For

 

 

 

 

 

 

 

Management

9

To re-elect Michael de Picciotto as a Director.

For

For

 

 

 

 

 

 

 

Management

10

To elect Stephan Unger as a Director.

For

For

 

 

 

 

 

 

 

Management

11

To re-appoint Ernst & Young LLP as auditor.

For

For

 

 

 

 

 

 

 

Management

12

To authorise the Audit & Risk Committee to determine the remuneration of the auditor.

For

For

 

 

 

 

 

 

 

Management

13

To authorise limited political donations.

For

For

 

 

 

 

 

 

 

Management

14

To authorise the Directors to allot shares.

For

For

 

 

 

 

 

 

 

Management

15

To authorise the Directors to disapply pre-emption rights.

For

For

 

 

 

 

 

 

 

Management

16

To authorise Directors to further disapply pre-emption rights for acquisitions and specified capital investments.

For

For

 

 

 

 

 

 

 

Management

17

To authorise the Company to purchase own shares.

For

For

 

 

 

 

 

 

 

Management

18

To reduce the notice of general meetings.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

ECN CAPITAL CORP

ECN.TO

26829L107

Annual Meeting

4/1/2021

2/23/2021

Management

1a

Election of Directors-William W. Lovatt

For

For

 

 

 

 

 

 

 

Management

1b

Election of Directors-Steven K. Hudson

For

For

 

 

 

 

 

 

 

Management

1c

Election of Directors-Paul Stoyan

For

For

 

 

 

 

 

 

 

Management

1d

Election of Directors-Pierre Lortie

For

For

 

 

 

 

 

 

 

Management

1e

Election of Directors-David Morris

For

For

 

 

 

 

 

 

 

Management

1f

Election of Directors-Carol Goldman

For

For

 

 

 

 

 

 

 

Management

1g

Election of Directors-Karen Martin

For

For

 

 

 

 

 

 

 

Management

2

Re-appointment of Ernst & Young LLP as auditors of ECN Capital Corp. to hold office until the next annual meeting of shareholders or until a successor is appointed and the authorization of the board of directors to fix the remuneration of the auditors.

For

For

 

 

 

 

 

 

 

Management

3

Advisory vote approving the approach to executive compensation disclosed in the Management Information Circular delivered in advance of the 2021 annual meeting of shareholders of the Corporation.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

FERGUSON PLC

FERG.L

BJVNSS4

Annual Meeting

7/29/2020

6/26/2020

Management

1

To adopt new articles of association of the company.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

GLENCORE PLC

GLEN.L

B4T3BW6

Annual Meeting

4/29/2021

2/26/2021

Management

1

To receive the Company's accounts and the reports of the Directors and auditors for the year ended 31 December 2020.

For

For

 

 

 

 

 

 

 

Management

2

To approve that the Company's capital contribution reserves(forming part of its share premium account) be reduced and be repaid to shareholders as per the terms set out in the notice of meeting.

For

For

 

 

 

 

 

 

 

Management

3

To re-elect Anthony Hayward as a Director.

For

For

 

 

 

 

 

 

 

Management

4

To re-elect Ivan Glasenberg as a Director, for a term expiring on 30 June 2021.

For

For

 

 

 

 

 

 

 

Management

5

To re-elect Peter Coates as a Director.

For

For

 

 

 

 

 

 

 

Management

6

To re-elect Martin Gilbert as a Director.

For

For

 

 

 

 

 

 

 

Management

7

To re-elect Gill Marcus as a Director.

For

For

 

 

 

 

 

 

 

Management

8

To re-elect Patrice Merrin as a Director.

For

For

 

 

 

 

 

 

 

Management

9

To re-elect Kalidas Madhavpeddi as a Director.

For

For

 

 

 

 

 

 

 

Management

10

To elect Cynthia Carroll as a Director.

For

For

 

 

 

 

 

 

 

Management

11

To reappoint Deloitte LLP as the Company's auditors to hold office until the conclusion of the next general meeting at which accounts are laid or a date to be determined by the Directors.

For

For

 

 

 

 

 

 

 

Management

12

To authorise the audit committee to fix the remuneration of the auditors.

For

For

 

 

 

 

 

 

 

Management

13

To approve rules of the Glencore plc Incentive Plan.

For

For

 

 

 

 

 

 

 

Management

14

To approve Company's Climate Action Transition Plan dated 4th December 2020

For

For

 

 

 

 

 

 

 

Management

15

To approve the Directors' Remuneration Policy as set out in the 2020 Annual Report.

For

For

 

 

 

 

 

 

 

Management

16

To approve the Directors' Remuneration Report as set out in the 2020 Annual Report.

For

For

 

 

 

 

 

 

 

Management

17

To renew the authority conferred on the directors pursuant to Article 10.2 of the Company's Articles of Association.

For

For

 

 

 

 

 

 

 

Management

18

Subject to the passing of resolution 17, to renew the authority conferred on the Directors pursuant to Article 10.3 of the Company's articles of association to allot equity securities for cash for an Allotment Period.

For

For

 

 

 

 

 

 

 

Management

19

Subject to the passing of resolution 17, and in addition to any authority granted under resolution 18, to empower the Directors pursuant to Article 10.3 of the Articles to allot equity securities for cash for an Allotment Period.

For

For

 

 

 

 

 

 

 

Management

20

To authorise the Company to make market purchases of ordinary shares.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

INDUSTRIA DE DISENO TEXTIL S.A

ITX.MAC

BP9DL90

Annual Meeting

7/14/2020

6/8/2021

Management

1

Review and approval, where appropriate, of the Annual Accounts (Balance Sheet, Income Statement, Statement of Changes in Equity, Statement of Cash Flows and Notes to the accounts) and Directors' Report of Industria de DiseC1o Textil, Sociedad AnC3nima, (Inditex, S.A.) for financial year 2019, ended 31 January 2020.

For

For

 

 

 

 

 

 

 

Management

2

Review and approval, where appropriate, of the Consolidated Annual Accounts (Consolidated Balance Sheet, Consolidated Income Statement, Consolidated Statement of Comprehensive Income, Consolidated Statement of Changes in Equity, Consolidated Statement of Cash Flows and Notes to the consolidated accounts) and Consolidated Directors' Report of the consolidated group (Inditex Group) for financial year 2019, ended 31 January 2020, and of the management of the company.

For

For

 

 

 

 

 

 

 

Management

3

Review and approval, where appropriate, of the Statement on Non-financial Information (Act 11/2018 of 28 December on mandatory disclosure of non-financial information).

For

For

 

 

 

 

 

 

 

Management

4

Distribution of the income or loss of the financial year.

For

For

 

 

 

 

 

 

 

Management

5

Declaration of a dividend in the gross amount of 0.35 per share charged to unrestricted reserves.

For

For

 

 

 

 

 

 

 

Management

6a

Re-election, ratification and appointment of members of the Board of Directors: Re-election of Pontegadea Inversiones, S.L. (represented by Ms Flora PC)rez Marcote) to the Board of Directors as non-executive proprietary director.

For

For

 

 

 

 

 

 

 

Management

6b

Re-election, ratification and appointment of members of the Board of Directors: Re-election of Bns. Denise Patricia Kingsmill to the Board of Directors as non-executive independent director.

For

For

 

 

 

 

 

 

 

Management

6c

Re-election, ratification and appointment of members of the Board of Directors: Ratification and appointment of Ms Anne Lange to the Board of Directors as non-executive independent director.

For

For

 

 

 

 

 

 

 

Management

7

Re-election of Deloitte, S.L. as Statutory Auditor of the Company and its Group for financial year 2020.

For

For

 

 

 

 

 

 

 

Management

8a

Amendment of the Articles of Association in order to expressly provide for the possibility of remote attendance at the Annual General Meeting via:Approval of the amendment of article 16 (Eligibility to attend the General Meetings of Shareholders. Right to vote) and article 17 (Representation at the General Meeting of Shareholders) in Part I (General Meeting of Shareholders) of Chapter III (Governing Bodies of the Company).

For

For

 

 

 

 

 

 

 

Management

8b

Amendment of the Articles of Association in order to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the revised text of the Articles of Association.

For

For

 

 

 

 

 

 

 

Management

9a

Amendment of the Regulations of the General Meeting of Shareholders in order to include the approval of the Statement on Non-financial Information among the powers of the General Meeting of Shareholders and to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the amendment of article 6 (Powers of the General Meeting of Shareholders) in Chapter II (The General Meeting of Shareholders).

For

For

 

 

 

 

 

 

 

Management

9b

Amendment of the Regulations of the General Meeting of Shareholders in order to include the approval of the Statement on Non-financial Information among the powers of the General Meeting of Shareholders and to expressly provide for the possibility of remote attendance at the Annual General Meeting via: Approval of the addition of article 11 is (Remote Attendance) in Part I (Attendance and proxies) and the amendment of article 12 (Proxy Representation at the General Meeting of Shareholders) in Part I (bAttendance and proxies), article 19 (Quorum) in Part II (The General Meeting of Shareholders) and article 20 (Request by shareholders to take the floor. Identification) in Part III (Use of the floor by Shareholders), all of them in Chapter IV (Holding of the General Meeting of Shareholders).

For

For

 

 

 

 

 

 

 

Management

10

Advisory vote (say on pay) of the Annual Report on the Remuneration of Directors.

For

For

 

 

 

 

 

 

 

Management

11

Granting of powers to implement resolutions.

For

For

 

 

 

 

 

 

 

Management

12

Reporting to the Annual General Meeting on the amendment of the Board of Directors' Regulations.

For

For

 

 

 

 

 

 

 

 

 

 

 

 

 

POLLARD BANKNOTE LTD

PBL.TO

73150R105

Annual Meeting

5/14/2021

3/19/2021

Management

1.1

ELECTION OF DIRECTOR:DAVE BROWN

For

For

 

 

 

 

 

 

 

Management

1.2

ELECTION OF DIRECTOR:GARY LEACH

For

For

 

 

 

 

 

 

 

Management

1.3

ELECTION OF DIRECTOR:LEE MEAGHER

For

For

 

 

 

 

 

 

 

Management

1.4

ELECTION OF DIRECTOR:GORDON POLLARD

For

For

 

 

 

 

 

 

 

Management

1.5

ELECTION OF DIRECTOR:JOHN POLLARD

For

For

 

 

 

 

 

 

 

Management

1.6

ELECTION OF DIRECTOR:DOUGLAS POLLARD

For

For

 

 

 

 

 

 

 

Management

2

TO APPOINT KPMG LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION.

For

For





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.



Collaborative Investment Series Trust


By /s/ Gregory Skidmore

* Gregory Skidmore

Trustee and President/Chief Executive Officer of the Trust


Date: August 6, 2021



By /s/ Adam Snitkoff

* Adam Snitkoff

Treasurer /Chief Financial/Principal Accounting Officer of the Trust


Date: August 6, 2021


*Print the name and title of each signing officer under his or her signature.