N-PX 1 tanakanpx202008.htm

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 811-08683


TANAKA Funds, Inc.

(Exact name of registrant as specified in charter)


369 Lexington Avenue, 20th Floor

New York, New York 10017

(Address of principal executive offices)

 (Zip code)


Greg Getts

Mutual Shareholder Services

8000 Town Centre Drive, Suite 400

Broadview Heights, Ohio 44147


(Name and address of agent for service)



Registrant's telephone number, including area code: 877-482-6252


Date of fiscal year end: November 30


Date of reporting period: June 30, 2020


Tanaka Growth Fund

AMAZON

Ticker Symbol:AMZN Cusip Number:023135106
Record Date: 4/2/2020 Meeting Date: 5/27/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect the ten directors named in the Proxy Statement to serve until the next Annual Meeting of Shareholders or until their respective successors are elected and qualified For Issuer For With
10 Shareholder proposal requesting an alternative report on gender/racial pay Against Stockholder Against With
11 Shareholder proposal requesting a report on certain community impacts Against Stockholder Against With
12 Shareholder proposal requesting a report on viewpoint discrimination Against Stockholder Against With
13 Shareholder proposal requesting a report on promotion data Against Stockholder Against With
14 Shareholder proposal requesting an additional reduction in threshold for calling special shareholder meetings Against Stockholder Against With
15 Shareholder proposal requesting a specific supply chain report format Against Stockholder Against With
16 Shareholder proposal requesting additional reporting on lobbying Against Stockholder Against With
2 To ratify the appointment of Ernst & Young LLP as our independent auditors for the fiscal year ending December 31, 2020 For Issuer For With
3 To conduct an advisory vote to approve our executive compensation For Issuer For With
4 To approve an amendment to our Restated Certificate of Incorporation to lower the stock ownership threshold from 30% to 25% for shareholders to request a special meeting For Issuer For With
5 Shareholder proposal requesting a report on effects of food waste Against Stockholder Against With
6 Shareholder proposal requesting a report on customer use of certain technologies Against Stockholder Against With
7 Shareholder proposal requesting a report on potential customer misuse of certain technologies Against Stockholder Against With
8 Shareholder proposal requesting a report on efforts to restrict certain products Against Stockholder Against With
9 Shareholder proposal requesting a mandatory independent board chair policy Against Stockholder Against With

AMYRIS, INC.

Ticker Symbol:AMRS Cusip Number:03236M200
Record Date: 4/3/2020 Meeting Date: 5/29/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect the four Class I directors nominated by our Board of Directors and named herein to serve on the Board for a three-year term For Issuer For With
2 To ratify the appointment of Macias Gini & O'Connell LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020 For Issuer For With
3 To approve, on a non-binding advisory basis, the compensation of our named executive officers For Issuer For With
4 To approve our 2020 Equity Incentive Plan For Issuer For With
5 To approve the issuance of shares of our common stock in accordance with Nasdaq Listing Standard Rule 5635(d) For Issuer For With
6 To approve an amendment to our restated certificate of incorporation to effect an increase in the total number of our authorized shares from 255,000,000 to 355,000,000 and in the total number of authorized shares of common stock from 250,000,000 to 350,000,000 For Issuer For With

AMYRIS, INC.

Ticker Symbol:AMRS Cusip Number:03236M200
Record Date: 9/23/2019 Meeting Date: 11/19/2019
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect the four Class III directors nominated by our Board of Directors and named herein to serve on the Board for a three-year term For Issuer For With
2 To ratify the selection of Macias Gini & O'Connell LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019 For Issuer For With
3 To approve the issuance of shares of our common stock issuable upon the exercise of warrants and conversion of preferred stock issued to Foris Ventures, LLC in accordance with Nasdaq Marketplace Rules 5635(b) and 5635(d) For Issuer For With

APPLE INC.

Ticker Symbol:AAPL Cusip Number:037833100
Record Date: 1/2/2020 Meeting Date: 2/26/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect to the Board of Directors the following seven nominees presented by the Board: James Bell, Tim Cook, Al Gore, Andrea Jung, Art Levinson, Ron Sugar, and Sue Wagner For Issuer For With
2 To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2020 For Issuer For With
3 To vote on an advisory resolution to approve executive compensation For Issuer For With
4 To amend the company's "Proxy Access for Director Nominations" bylaw, and any other associated documents, to include the following changes or their equivalent for the purpose of increasing the potential number of nominees: The number of "Shareholder Nominees" eligible to appear in proxy materials shall be 20% of the directors then serving or 2, whichever is greater. Against Stockholder Against With
5 Request that the Board Compensation Committee prepare a report assessing the feasibility of integrating sustainability metrics into performance measures, performance goals or vesting conditions that may apply to senior executives under the Company's compensation incentive plans. Against Stockholder Against With
6 Request that the Board of Directors report annually to shareholders, at reasonable expense and excluding proprietary information, regarding the Company's policies on freedom of expression and access to information Against Stockholder Against With

CARRIZO OIL & GAS, INC.

Ticker Symbol:CRZO Cusip Number:144577103
Record Date: 10/7/2019 Meeting Date: 11/14/2019
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To approve the Agreement and Plan of Merger, dated as of July 14, 2019, by and between Callon Petroleum Company and Carrizo For Issuer For With
2 To approve, on a non-binding advisory basis, the compensation that may be paid or become payable to Carrizo's named executive officers that is based on or otherwise relates to the merger For Issuer For With
3 To approve any motion to adjourn the special meeting, if necessary to solicit additional proxies if there are not sufficient votes of holders of our common stock to approve the Carrizo merger proposal at the time of the Carrizo special meeting For Issuer For With

IONIS PHARMACEUTICALS, INC.

Ticker Symbol:IONS Cusip Number:462222100
Record Date: 4/6/2020 Meeting Date: 6/4/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect Joseph Wender, B. Lynne Parshall, Spencer Berthelsen, and Joan Herman to serve as Directors for a three-year term For Issuer For With
2 To approve an amendment and restatement of the Ionis Pharmaceuticals, Inc. 2002 Non-Employee Directors' Stock Option Plan to increase the aggregate number of shares of common stock authorized for issuance under such a plan For Issuer For With
3 To ratify amending the existing stock option and restricted stock unit awards of directors to adjust vesting For Issuer For With
4 To make an advisory vote on executive compensation For Issuer For With
5 To ratify the Audit Committee's selection of Ernst & Young LLP as independent auditors for our 2020 fiscal year For Issuer For With

MASTERCARD

Ticker Symbol:MA Cusip Number:57636Q104
Record Date: 4/20/2020 Meeting Date: 6/16/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 Election of the 14 nominees named in the proxy statement to serve on Mastercard's Board of Directors For Issuer For With
2 Advisory approval of Mastercard's executive compensation For Issuer For With
3 Ratification of the appointment of Pricewaterhousecoopers LLP as the independent registered public accounting firm for Mastercard for 2020 For Issuer For With

NANOMETRICS INCORPORATED

Ticker Symbol:NANO Cusip Number:630077105
Record Date: 9/3/2019 Meeting Date: 10/24/2019
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To approve the issuance of Nanometrics common stock to stockholders of Rudolph Technologies, Inc. pursuant to the Agreement and Plan of Merger, dated as of June 23, 2019 For Issuer For With
2 To adopt the amended and restated certificate of incorporation of Nanometrics to increase the authorized shares of Nanometrics common stock from 47,000,000 shares of common stock to 97,000,000 shares of common stock For Issuer For With
3 To adopt the amended and restated certificate of incorporation of Nanometrics to provide that a director of Nanometrics will not be liable for monetary damages to Nanometrics or Nanometrics' stockholders for breach of fiduciary duties as a director For Issuer For With
4 To approve the adjournment of the Nanometrics special meeting to solicit additional proxies if there are not sufficient votes at the time of the Nanometrics special meeting to approve the Nanometrics share issuance proposal For Issuer For With

NEXGEN ENERGY LTD.

Ticker Symbol:NXE.TO Cusip Number:65340P106
Record Date: 4/21/2020 Meeting Date: 6/11/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect the eight directors of the Company for the ensuing year For Issuer For With
2 To re-appoint KPMG LLP as independent auditor of the Company for the 2020 financial year and to authorize the directors to fix their remuneration For Issuer For With
3 To approve an ordinary resolution for the ratification, confirmation, and approval of the amendment and restatement of the Shareholder Rights Plan Agreement dated as of April 22, 2017 between the Company and Computershare Investor Services Inc. For Issuer For With

QUALCOMM INCORPORATED

Ticker Symbol:QCOM Cusip Number:747525103
Record Date: 1/13/2020 Meeting Date: 3/10/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To elect 10 directors to hold office until the next annual meeting of stockholders and until their respective successors have been elected and qualified For Issuer For With
2 To ratify the selection of PricewaterhouseCoopers LLP as our independent public accountants for our fiscal year ending September 27, 2020 For Issuer For With
3 To approve the amended and restated 2016 Long-Term Incentive Plan, including an increase in the share reserve by 75,500,000 shares For Issuer For With
4 To approve, on an advisory basis, our executive compensation For Issuer For With
5 To approve, on an advisory basis, the frequency of future advisory votes on our executive compensation For Issuer For With

RUDOLPH TECHNOLOGIES, INC.

Ticker Symbol:RTEC Cusip Number:781270103
Record Date: 9/3/2019 Meeting Date: 10/24/2019
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To adopt the Agreement and Plan of Merger, dated as of June 23, 2019, by and among Nanometrics Incorporated For Issuer For With
2 To approve, on an advisory basis, the compensation that will or may be paid to Rudolph's named executive officers that is based on or otherwise relates to the transactions contemplated by the merger agreement For Issuer For With
3 To approve, on an advisory basis, the proposed increase in the authorized shares of Nanometrics common stock under the Nanometrics certificate of incorporation from 47,000,000 shares of common stock to 97,000,000 shares of common stock For Issuer For With
4 To approve the adjournment of the Rudolph special meeting to solicit additional proxies if there are not sufficient votes at the time of the Rudolph special meeting to approve the Rudolph merger agreement proposal For Issuer For With

SRC ENERGY

Ticker Symbol:SRCI Cusip Number:78470V108
Record Date: 11/29/2019 Meeting Date: 1/13/2020
Proposal # Proposal Vote Author MRV* vs. Mgmt
1 To adopt and approve the Agreement and Plan of Merger, dated August 25, 2019 by and among PDC Energy Inc. and SRC and the merger of PDC and SRC pursuant to the merger agreement For Issuer For With
2 To approve, by a non-binding advisory vote, certain compensation that may be paid or become payable to SRC's named executive officers that is based on or otherwise relates to the merger contemplated by the merger agreement For Issuer For With
3 To approve the adjournment of the SRC special meeting, if necessary, to solicit additional proxies if there are not sufficient votes to approve the SRC merger proposal at the time of the SRC special meeting For Issuer For With


* Management Recommended Vote


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.



TANAKA Funds, Inc.


By Graham Tanaka

* Graham Tanaka

President


Date: August 28, 2020



By Benjamin Bratt

* Benjamin Bratt

Chief Financial Officer


Date: August 28, 2020


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