0001193125-15-286097.txt : 20150811 0001193125-15-286097.hdr.sgml : 20150811 20150811115909 ACCESSION NUMBER: 0001193125-15-286097 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150630 FILED AS OF DATE: 20150811 DATE AS OF CHANGE: 20150811 EFFECTIVENESS DATE: 20150811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: METROPOLITAN WEST FUNDS CENTRAL INDEX KEY: 0001028621 IRS NUMBER: 000000000 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-07989 FILM NUMBER: 151043110 BUSINESS ADDRESS: STREET 1: METROPOLITAN WEST ASSET MANAGEMENT STREET 2: 865 S. FIGUEROA STREET, SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-244-1057 MAIL ADDRESS: STREET 1: METROPOLITAN WEST ASSET MANAGEMENT STREET 2: 865 S. FIGUEROA STREET, SUITE 2100 CITY: LOS ANGELES STATE: CA ZIP: 90017 0001028621 S000001146 METROPOLITAN WEST LOW DURATION BOND FUND C000003063 CLASS I MWLIX C000003064 CLASS M MWLDX C000058169 Administrative Class MWLNX 0001028621 S000001147 METROPOLITAN WEST TOTAL RETURN BOND FUND C000003065 CLASS I MWTIX C000003066 CLASS M MWTRX C000058170 Administrative Class MWTNX C000102908 Plan Class MWTSX 0001028621 S000001148 METROPOLITAN WEST ALPHA TRAK 500 FUND C000003067 METROPOLITAN WEST ALPHA TRAK 500 FUND MWATX 0001028621 S000001149 METROPOLITAN WEST HIGH YIELD BOND FUND C000003068 CLASS I MWHIX C000003069 CLASS M MWHYX 0001028621 S000001150 METROPOLITAN WEST INTERMEDIATE BOND FUND C000003070 CLASS I MWIIX C000003071 CLASS M MWIMX 0001028621 S000001151 METROPOLITAN WEST ULTRA SHORT BOND FUND C000003072 CLASS I MWUIX C000003073 CLASS M MWUSX 0001028621 S000001152 METROPOLITAN WEST STRATEGIC INCOME FUND C000003074 CLASS I MWSIX C000003075 CLASS M MWSTX 0001028621 S000034126 METROPOLITAN WEST UNCONSTRAINED BOND FUND C000105185 Class M MWCRX C000105186 Class I MWCIX 0001028621 S000041255 Metropolitan West Floating Rate Income Fund C000127912 Class M MWFRX C000127913 Class I MWFLX N-PX 1 d75495dnpx.htm METROPOLITAN WEST FUNDS Metropolitan West Funds

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    811-07989  

                                         Metropolitan West Funds                                        

(Exact name of registrant as specified in charter)

865 South Figueroa Street

                                                         Los Angeles, CA 90017                                                         

(Address of principal executive offices) (Zip code)

David B. Lippman

Metropolitan West Funds

865 South Figueroa Street

                                         Los Angeles, CA 90017                                        

(Name and address of agent for service)

Registrant’s telephone number, including area code:  (213)-244-0000

Date of fiscal year end:  March 31

Date of reporting period:  July 1, 2014 – June 30, 2015

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 (§§ 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 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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

PROXY VOTING RECORD

FOR PERIOD JULY 1, 2014 TO JUNE 30, 2015

REGISTANT NAME: Metropolitan West Funds

INVESTMENT COMPANY ACT FILE NUMBER: 811-07989

REPORTING PERIOD: 07/01/14 - 06/30/15

REGISTRANT ADDRESS: 865 South Figueroa Street, Los Angeles, CA 90017

NAME OF SERIES: Metropolitan West Total Return Bond Fund

 

Issuer of
Portfolio
Security		   Exchange
Ticker
Symbol		   CUSIP #   Shareholder
Meeting Date		   Summary of Matter Voted On   Who Proposed
Matter: Issuer
/ Shareholder		   Whether Fund
Cast Vote on
Matter		   Fund’s Vote
For or
Against
Proposal, or
Abstain;
For or
Withhold
Regarding
Election of
Directors 		  Whether
Vote Was
For or
Against
Management

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Hillary E. Ackermann   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Paul M. Barbas   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Robert C. Flexon   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Richard Lee Kuersteiner   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Jeffrey S. Stein   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect John R. Sult   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Pat Wood III   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Advisory Vote on Executive Compensation   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Ratification of Auditor   Management   Yes   For   For

NAME OF SERIES: Metropolitan West High Yield Bond Fund

 

Issuer
of Portfolio
Security		   Exchange
Ticker
Symbol		   CUSIP #   Shareholder
Meeting Date		   Summary of Matter Voted On   Who Proposed
Matter: Issuer
/ Shareholder		   Whether Fund
Cast Vote on
Matter		   Fund’s
Vote For or
Against
Proposal,
or Abstain;
For or
Withhold
Regarding
Election of
Directors 		  Whether
Vote Was
For or
Against
Management

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Hillary E. Ackermann   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Paul M. Barbas   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Robert C. Flexon   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Richard Lee Kuersteiner   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Jeffrey S. Stein   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect John R. Sult   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Elect Pat Wood III   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Advisory Vote on Executive Compensation   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015   Ratification of Auditor   Management   Yes   For   For

NAME OF SERIES: Metropolitan West Unconstrained Bond Fund

 

Issuer of

Portfolio

Security

   Exchange
Ticker
Symbol		   CUSIP #   Shareholder
Meeting Date		   Summary of Matter Voted On   Who Proposed
Matter: Issuer
/ Shareholder		   Whether Fund
Cast Vote on
Matter		   Fund’s Vote
For or
Against
Proposal, or
Abstain;
For or
Withhold
Regarding
Election of
Directors 		  Whether
Vote Was
For or
Against
Management
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Robert M. Couch   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Morris A. Davis   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Randy E. Dobbs   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Larry K. Harvey   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Prue B. Larocca   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Alvin N. Puryear   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Malon Wilkus   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect John R. Erickson   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Elect Samuel A. Flax   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015   Ratification of Auditor   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014   Elect Paul L. Audet   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014   Elect Michael J. Castellano   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014   Elect R. Glenn Hubbard   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014   Elect W. Carl Kester   Management   Yes   For   For

NAME OF SERIES: Metropolitan West Strategic Income Fund

 

Issuer of

Portfolio

Security

   Exchange
Ticker
Symbol		   CUSIP #   Shareholder
Meeting Date		    Summary of Matter Voted On   Who Proposed
Matter: Issuer
/ Shareholder		   Whether Fund
Cast Vote on
Matter		   Fund’s
Vote For or
Against
Proposal,
or Abstain;
For or
Withhold
Regarding
Election of
Directors 		  Whether
Vote Was
For or
Against
Management
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Robert M. Couch   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Morris A. Davis   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Randy E. Dobbs   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Larry K. Harvey   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Prue B. Larocca   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Alvin N. Puryear   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Malon Wilkus   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect John R. Erickson   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Elect Samuel A. Flax   Management   Yes   For   For
American Capital Agency Corp.   AGNC   02503X105   April 21, 2015    Ratification of Auditor   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014    Elect Paul L. Audet   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014    Elect Michael J. Castellano   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014    Elect R. Glenn Hubbard   Management   Yes   For   For
BlackRock Build America Bond Trust   BBN   09248X100   July 30, 2014    Elect W. Carl Kester   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Hillary E. Ackermann   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Paul M. Barbas   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Robert C. Flexon   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Richard Lee Kuersteiner   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Jeffrey S. Stein   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect John R. Sult   Management   Yes   For   For
Dynegy Inc.   DYN   26817R108   June 3, 2015    Elect Pat Wood III   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015    Advisory Vote on Executive Compensation   Management   Yes   For   For

Dynegy Inc.

   DYN   26817R108   June 3, 2015    Ratification of Auditor   Management   Yes   For   For

The following series of the Metropolitan West Funds did not own any voting security for which a proxy instruction for a meeting of security holders was given by the series or solicited from the series during the time the series held the security.

Metropolitan West Ultra Short Bond Fund

Metropolitan West Low Duration Bond Fund

Metropolitan West Intermediate Bond Fund

Metropolitan West AlphaTrak 500 Fund

Metropolitan West Floating Rate Income Fund

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

  

        Metropolitan West Funds

   

By (Signature and Title)*

  

        /s/ David B. Lippman

   
 

        David B. Lippman, President and Principal Executive Officer

   
 

        (principal executive officer)

   

Date

  

  8/11/2015

   

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