08/04/2021 | Press release | Distributed by Public on 08/04/2021 13:44
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)
Citi Fund Services Ohio, Inc.
4400 Easton Commons, Suite 200
Columbus, OH 43219
(Name and address of agent for service)
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.
Rareview Dynamic Fixed Income ETF Fund |
Company Name |
Ticker |
Provider Security ID |
Meeting Type |
Meeting Date |
Record Date |
Proposal Type |
Proposal Number |
Proposal |
Proposal Vote |
For/Against Management |
Templeton Emerging Markets Income Fund, Inc. |
TEI |
880192109 |
Annual Meeting |
5/27/2021 |
3/11/2021 |
Management |
1 |
Election of Trustees: a) Ann Torre Bates; b)David W. Niemiec; c)Larry D. Thompson; d)Robert E. Wade |
For All |
For |
Management |
2 |
The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2021. |
For |
For |
||||||
Annaly Capital Management, Inc. |
NLY |
35710409 |
Annual Meeting |
5/19/2021 |
3/22/2021 |
Management |
1 |
Election of Directors |
||
Management |
1a |
Nominee: Francine J. Bovich |
For |
For |
||||||
Management |
1b |
Nominee: Wellington J. Denahan |
For |
For |
||||||
Management |
1c |
Nominee: Katie Beirne Fallon |
For |
For |
||||||
Management |
1d |
Nominee: David L. Finkelstein |
For |
For |
||||||
Management |
1e |
Nominee: Thomas Hamilton |
For |
For |
||||||
Management |
1f |
Nominee: Kathy Hopinkah Hannan |
For |
For |
||||||
Management |
1g |
Nominee: Michael Haylon |
For |
For |
||||||
Management |
1h |
Nominee: Eric A. Reeves |
For |
For |
||||||
Management |
1i |
Nominee: John H. Schaefer |
For |
For |
||||||
Management |
1j |
Nominee: Glenn A. Votek |
For |
For |
||||||
Management |
1k |
Nominee: Vicki Williams |
For |
For |
||||||
Management |
2 |
Advisory approval of the Company's executive compensation. |
For |
For |
||||||
Management |
3 |
Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. |
For |
For |
||||||
Ares Dynamic Credit Allocation Fund, Inc. |
ARDC |
04014F102 |
Annual Meeting |
5/11/2021 |
3/15/2021 |
Management |
1 |
To Consider and vote upon the election of: a) one Class I director, to serve for a term expiriing on the date on which the Annual Meeting of Stockholders is held in 2023 and until her successor is duly elected and qualifies, and b) two Class II directors, to serve for a term expiring on the date on which the Annual Meeting of Stockholders is held in 2024 and until his successor is duly elected and qualifies. |
||
Management |
1.1 |
Nominee: Paula B. Pretlow, a Class I Director |
For |
For |
||||||
Management |
1.2 |
Nominee: Seth J. Brufsky, a Class II Director |
For |
For |
||||||
Management |
1.3 |
Nominee: John J. Shaw, a Class II Director |
For |
For |
||||||
AGNC Investment Corp. |
AGNC |
00123Q104 |
Annual Meeting |
4/22/2021 |
2/26/2021 |
Management |
1 |
Election of Directors: |
||
Management |
1a |
Nominee: Donna J. Blank |
For |
For |
||||||
Management |
1b |
Nominee: Morris A. Davis |
For |
For |
||||||
Management |
1c |
Nominee: John D. Fisk |
For |
For |
||||||
Management |
1d |
Nominee: Prue B. Larocc |
For |
For |
||||||
Management |
1e |
Nominee: Paul E. Mullings |
For |
For |
||||||
Management |
1f |
Nominee: Frances R. Spark |
For |
For |
||||||
Management |
1g |
Nominee: Gary D. Kain |
For |
For |
||||||
Management |
2 |
Approval of the Amended and Restated AGNC Investment Corp. 2016 Equity and Incentive Compensation Plan. |
For |
For |
||||||
Management |
3 |
Advisory vote to approve the compensation of our named executive officers. |
For |
For |
||||||
Management |
4 |
Ratification of appointment of Ernst & Young LLP as our independent public accountant for the year ending December 31, 2021. |
For |
For |
||||||
Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. |
EDD |
617477104 |
Annual Meeting |
6/24/2021 |
4/5/2021 |
Management |
1 |
Election of Director Nominees: 1) Patricia Maleski (Class I); 2) Nancy C Everett (Class II); 3) Michael F. Klein (Class II); 4) W. Allen Reed (Class II) |
For All |
For |
Rareview Tax Advantaged Income ETF Fund |
Company Name |
Ticker |
Provider Security ID |
Meeting Type |
Meeting Date |
Record Date |
Proposal Type |
Proposal Number |
Proposal |
Proposal Vote |
For/Against Management |
|
Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. |
EDD |
617477104 |
Annual Meeting |
6/24/2021 |
4/5/2021 |
Management |
1 |
Election of Director Nominees: 1) Patricia Maleski (Class I); 2) Nancy C Everett (Class II); 3) Michael F. Klein (Class II); 4) W. Allen Reed (Class II) |
For All |
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 4, 2021
By /s/ Adam Snitkoff
* Adam Snitkoff
Treasurer /Chief Financial/Principal Accounting Officer of the Trust
Date: August 4, 2021
*Print the name and title of each signing officer under his or her signature.