Northern Lights Fund Trust
08/18/2022 | Press release | Distributed by Public on 08/18/2022 14:21
Annual Proxy Voting Report by Investment Company - Form N-PX
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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: 811-21720
Northern Lights Fund Trust
(Exact name of registrant as specified in charter)
225 Pictoria Drive, Suite 450 Cincinnati, Ohio 45246
(Address of principal executive offices) (Zip code)
Stephanie Shearer
Ultimus Fund Solutions, LLC
80 Arkay Drive
Hauppauge, New York 11788
(Name and address of agent for service)
Registrant's telephone number, including area code: (631) 490-2300
Date of fiscal year end: March 31, April 30, June 30, July 31, September 31, November 30 and December 31
Date of reporting period: July 1, 2021 - June 30, 2022
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 (ss.ss. 239.24and 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 roles.
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. ss. 3507.
ITEM 1. PROXY VOTING RECORD: (see attached table)
Appended hereto as Exhibits A through UU is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2014 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.
| Registrant: NORTHERN LIGHTS FUND TRUST - Astor Dynamic Allocation Fund | Item 1, Exhibit 4 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | N/A There were no Proxies voted during the reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - Astor Macro Alternative Fund | Item 1, Exhibit 5 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | N/A There were no Proxies voted during the reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - Astor Sector Allocation Fund | Item 1, Exhibit 6 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | THE SELECT SECTOR SPDR TRUST | XLV | 81369Y209 | SPECIAL ; 10/29/2021 |
ELECTION OF DIRECTORS: ALLISON GRANT WILLIAMS, SHEILA HARTNETT-DEVLIN, JAMES JESSEE, TERESA POLLEY, ASHLEY T. RABUN, JAMES E. ROSS, RORY TOBIN |
MANAGEMENT | Y | PROPORTIONAL | FOR | |
| 2 | THE SELECT SECTOR SPDR TRUST | XLP | 81369Y308 | SPECIAL ; 10/29/2021 |
ELECTION OF DIRECTORS: ALLISON GRANT WILLIAMS, SHEILA HARTNETT-DEVLIN, JAMES JESSEE, TERESA POLLEY, ASHLEY T. RABUN, JAMES E. ROSS, RORY TOBIN |
MANAGEMENT | Y | PROPORTIONAL | FOR | |
| 3 | THE SELECT SECTOR SPDR TRUST | XLY | 81369Y407 | SPECIAL ; 10/29/2021 |
ELECTION OF DIRECTORS: ALLISON GRANT WILLIAMS, SHEILA HARTNETT-DEVLIN, JAMES JESSEE, TERESA POLLEY, ASHLEY T. RABUN, JAMES E. ROSS, RORY TOBIN |
MANAGEMENT | Y | PROPORTIONAL | FOR | |
| 4 | THE SELECT SECTOR SPDR TRUST | XLI | 81369Y704 | SPECIAL ; 10/29/2021 |
ELECTION OF DIRECTORS: ALLISON GRANT WILLIAMS, SHEILA HARTNETT-DEVLIN, JAMES JESSEE, TERESA POLLEY, ASHLEY T. RABUN, JAMES E. ROSS, RORY TOBIN |
MANAGEMENT | Y | PROPORTIONAL | FOR | |
| 5 | THE SELECT SECTOR SPDR TRUST | XLRE | 81369Y860 | SPECIAL ; 10/29/2021 |
ELECTION OF DIRECTORS: ALLISON GRANT WILLIAMS, SHEILA HARTNETT-DEVLIN, JAMES JESSEE, TERESA POLLEY, ASHLEY T. RABUN, JAMES E. ROSS, RORY TOBIN |
MANAGEMENT | Y | PROPORTIONAL | FOR |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG ACTIVE CORE BOND STRATEGYFUND | Item 1, Exhibit 34 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for the reporting period. | |||||||||
| 2 |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG AMERICAN FUNDS CONSERVATIVE INCOME STRATEGY FUND | Item 1, Exhibit 35 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG AMERICAN FUNDS GROWTH STRATEGY FUND | Item 1, Exhibit 36 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG BNY MELLON® DIVERSIFIER STARTEGY FUND | Item 1, Exhibit 38 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG BR EQUITY ESG STRATEGY FUND | Item 1, Exhibit 39 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG FIDELITY INSTITUTIONAL AM BOND ESG STRATEGY FUND | Item 1, Exhibit 41 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG FIDELITY INSTITUTIONAL AM EQUITY INDEX STRATEGY FUND | Item 1, Exhibit 42 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2020 through June 30, 2021 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG FIDELITY INSTITUTIONAL AM EQUITY SECTOR STRATEGY FUND | Item 1, Exhibit 43 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG Invesco Thematic Equity ESG Strategy Fund | Item 1, Exhibit 45 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG JANUS HENDERSON BALANCED STRATEGY FUND | Item 1, Exhibit 46 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG JP MORGAN® TACTICAL AGGRESSIVE STRATEGY FUND | Item 1, Exhibit 47 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | JPMorgan Trust I | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | ||
| 2 | JPMorgan Trust II | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | ||
| 3 | Undiscovered Mgrs Behavioral Value - R6 | UBVFX | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | |
| 4 | Undiscovered Mgrs Behavioral Value - R6 | UBVFX | Special; 10/26/2021 | 2 | To approve a new sub-advisory agreement between J.P. Morgan Investment Management Inc. and Fuller & Thaler Asset Management, Inc. for Undiscovered Managers Behavioral Value Fund | Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | |
| 5 | JPMorgan Realty Income Fund Class R6 | JPINX | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG JP MORGAN® TACTICAL MODERATE STRATEGY FUND | Item 1, Exhibit 48 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | JPMorgan Trust I | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | ||
| 2 | JPMorgan Trust II | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | ||
| 3 | Undiscovered Mgrs Behavioral Value - R6 | UBVFX | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | |
| 4 | Undiscovered Mgrs Behavioral Value - R6 | UBVFX | Special; 10/26/2021 | 2 | To approve a new sub-advisory agreement between J.P. Morgan Investment Management Inc. and Fuller & Thaler Asset Management, Inc. for Undiscovered Managers Behavioral Value Fund | Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a | |
| 5 | JPMorgan Realty Income Fund Class R6 | JPINX | Special; 10/26/2021 | 1 |
To elect 16 Nominees to serve as Trustees for this Trust: Nominees: 01) John F. Finn 02) Stephen P. Fisher 03) Gary L. French 04) Kathleen M. Gallagher 05) Robert J. Grassi 06) Frankie D. Hughes 07) Raymond Kanner 08) Thomas P. Lemke 09) Lawrence Maffia 10) Mary E. Martinez 11) Marilyn McCoy 12) Dr. Robert A. Oden, Jr. 13) Marian U. Pardo 14) Emily A. Youssouf 15) Robert F. Deutsch 16) Nina O. Shenker |
Management | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG MEEDER TACTICAL STRATEGY FUND | Item 1, Exhibit 49 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG MFS® AGGRESSIVE GROWTH STRATEGY FUND | Item 1, Exhibit 50 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | There were no proxies voted for this reporting period. |
| Registrant: NORTHERN LIGHTS FUND TRUST - PFG TACTICAL INCOME STRATEGY FUND | Item 1, Exhibit 51 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | Kensington Managed Income Institutional | KAMIX | 5/17/2022 | Target Income Fund would be reorganized into the acquiring Income fund. | Management Proposal | Yes | With respect to each proposal on the attached proxy ballot, please vote our shares in the same proportion as all other holders of such security. | n/a |
| Registrant: NORTHERN LIGHTS FUND TRUST - Princeton L/S Treasury Fund | Item 1, Exhibit 52 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | N/A - There were no proxies voted during the reporting period |
| Registrant: NORTHERN LIGHTS FUND TRUST - Princeton Premium Fund | Item 1, Exhibit 53 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | N/A - There were no proxies voted during the reporting period |
| Registrant: NORTHERN LIGHTS FUND TRUST - Probabilities Fund | Item 1, Exhibit 54 | |||||||||
| Investment Company Act file number: 811-21720 | ||||||||||
| Reporting Period: July 1, 2021 through June 30, 2022 | ||||||||||
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS | ||||||||||
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management | ||
| 1 | Direxion Shares ETF Trust | SPXL | 25459W862 | 3/11/2022 | 1.1 | Elect Director David L. Driscoll | MGMT | Y | FOR | FOR |
| 2 | 1.2 | Elect Director Jacob C. Gaffey | MGMT | Y | FOR | FOR | ||||
| 3 | 1.3 | Elect Director Henry W. Mulholland | MGMT | Y | FOR | FOR | ||||
| 4 | 1.4 | Elect Director Kathleen M. Berkery | MGMT | Y | FOR | FOR | ||||
| 5 | 1.5 | Elect Director Carlyle Peake | MGMT | Y | FOR | FOR | ||||
| 6 | 1.6 | Elect Director Mary Jo Collins | MGMT | Y | FOR | FOR | ||||
| 7 | 1.7 | Elect Director Angela Brickl | MGMT | Y | FOR | FOR | ||||
| 8 | 1.8 | Elect Director Daniel D. O'Neill | MGMT | Y | FOR | FOR |
SIGNATURES
See General Instruction F
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) Northern Lights Fund Trust
| By (Signature and Title)* | /s/ Kevin Wolf |
| Kevin Wolf, President |
Date: August 18, 2022
* Print the name and title of each signing officer under his or her signature.