0000894189-22-000142.txt : 20220111 0000894189-22-000142.hdr.sgml : 20220111 20220111122047 ACCESSION NUMBER: 0000894189-22-000142 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211105 FILED AS OF DATE: 20220111 DATE AS OF CHANGE: 20220111 EFFECTIVENESS DATE: 20220111 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRUST FOR PROFESSIONAL MANAGERS CENTRAL INDEX KEY: 0001141819 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-10401 FILM NUMBER: 22523276 BUSINESS ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES LLC STREET 2: 615 EAST MICHIGAN ST 2ND FLOOR CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4147655067 MAIL ADDRESS: STREET 1: U.S. BANCORP FUND SERVICES LLC STREET 2: 615 EAST MICHIGAN ST 2ND FLOOR CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: ZODIAC TRUST DATE OF NAME CHANGE: 20010601 0001141819 S000011970 Snow Capital Long/Short Opportunity Fund C000032678 Snow Capital Long/Short Opportunity Fund - Class A Shares SNOAX C000032679 Snow Capital Long/Short Opportunity Fund - Class C Shares SNOCX C000032680 Snow Capital Long/Short Opportunity Fund - Institutional Class Shares SNOIX 0001141819 S000030269 Snow Capital Small Cap Value Fund C000093152 Snow Capital Small Cap Value Fund - Class A Shares SNWAX C000093153 Snow Capital Small Cap Value Fund - Class C Shares SNWCX C000093154 Snow Capital Small Cap Value Fund - Institutional Class Shares SNWIX N-PX 1 tpm-snowcap_npx.txt ANNUAL REPORT FOR N-PX UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-10401 NAME OF REGISTRANT: Trust for Professional Managers ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street Milwaukee, WI 53202 NAME AND ADDRESS OF AGENT FOR SERVICE: Jay Fitton U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, WI 53202 REGISTRANT'S TELEPHONE NUMBER: 513-629-8104 DATE OF FISCAL YEAR END: 02/28 DATE OF REPORTING PERIOD: 07/01/2021 - 11/05/2021 Snow Capital Long/Short Opportunity Fund -------------------------------------------------------------------------------------------------------------------------- CARDINAL HEALTH, INC. Agenda Number: 935495920 -------------------------------------------------------------------------------------------------------------------------- Security: 14149Y108 Meeting Type: Annual Meeting Date: 05-Nov-2021 Ticker: CAH ISIN: US14149Y1082 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Carrie S. Cox Mgmt For For 1B. Election of Director: Bruce L. Downey Mgmt For For 1C. Election of Director: Sheri H. Edison Mgmt For For 1D. Election of Director: David C. Evans Mgmt For For 1E. Election of Director: Patricia A. Hemingway Mgmt For For Hall 1F. Election of Director: Akhil Johri Mgmt For For 1G. Election of Director: Michael C. Kaufmann Mgmt For For 1H. Election of Director: Gregory B. Kenny Mgmt For For 1I. Election of Director: Nancy Killefer Mgmt For For 1J. Election of Director: Dean A. Scarborough Mgmt For For 1K. Election of Director: John H. Weiland Mgmt For For 2. To ratify the appointment of Ernst & Young Mgmt For For LLP as our independent auditor for the fiscal year ending June 30, 2022. 3. To approve, on a non-binding advisory Mgmt For For basis, the compensation of our named executive officers. 4. To approve the Cardinal Health, Inc. 2021 Mgmt For For Long-Term Incentive Plan. 5. To approve an amendment to our Restated Mgmt For For Code of Regulations to reduce the share ownership threshold for calling a special meeting of shareholders. 6. Shareholder proposal to adopt a policy that Shr Against For the chairman of the board be an independent director, if properly presented. -------------------------------------------------------------------------------------------------------------------------- CHECK POINT SOFTWARE TECHNOLOGIES LTD. Agenda Number: 935473380 -------------------------------------------------------------------------------------------------------------------------- Security: M22465104 Meeting Type: Annual Meeting Date: 10-Aug-2021 Ticker: CHKP ISIN: IL0010824113 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Gil Shwed Mgmt For For 1B. Election of Director: Jerry Ungerman Mgmt For For 1C. Election of Director: Rupal Hollenbeck Mgmt For For 1D. Election of Director: Dr. Tal Shavit Mgmt For For 1E. Election of Director: Eyal Waldman Mgmt For For 1F. Election of Director: Shai Weiss Mgmt For For 2A. To elect Yoav Chelouche as outside director Mgmt For For for an additional three-year term. 2B. To elect Guy Gecht as outside director for Mgmt For For an additional three- year term. 3. To set the size of the Board of Directors Mgmt For For at nine members in accordance with our Articles of Association. 4. To ratify the appointment and compensation Mgmt For For of Kost, Forer, Gabbay & Kasierer, a member of Ernst & Young Global, as our independent registered public accounting firm for 2021. 5. To approve compensation to Check Point's Mgmt For For Chief Executive Officer. 6A. The undersigned is not a controlling Mgmt For shareholder and does not have a personal interest in item 2. Mark "for" = yes or "against" = no. 6B. The undersigned is not a controlling Mgmt For shareholder and does not have a personal interest in item 5. Mark "for" = yes or "against" = no. -------------------------------------------------------------------------------------------------------------------------- CIMAREX ENERGY CO. Agenda Number: 935490603 -------------------------------------------------------------------------------------------------------------------------- Security: 171798101 Meeting Type: Special Meeting Date: 29-Sep-2021 Ticker: XEC ISIN: US1717981013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of May 23, 2021, as amended on June 29, 2021 (as it may be further amended from time to time, the "merger agreement"), among Cabot Oil & Gas Corporation ("Cabot"), Double C Merger Sub, Inc. ("Merger Sub") and Cimarex Energy Co. ("Cimarex"), providing for the acquisition of Cimarex by Cabot pursuant to a merger between Merger Sub, a wholly owned subsidiary of Cabot, and Cimarex (the "merger"). 2. To adopt an amendment to Cimarex's Amended Mgmt For For and Restated Certificate of Incorporation relating to Cimarex's 8 1/8% Series A Cumulative Perpetual Convertible Preferred Stock, par value $0.01 per share ("Cimarex preferred stock"), that would give the holders of Cimarex preferred stock the right to vote with the holders of Cimarex common stock as a single class on all matters submitted to a vote of such holders of Cimarex common stock, to become effective no later than immediately prior to consummation of the merger. 3. To approve, by a non-binding advisory vote, Mgmt For For certain compensation that may be paid or become payable to Cimarex's named executive officers that is based on or otherwise relates to the merger contemplated by the merger agreement. -------------------------------------------------------------------------------------------------------------------------- NETAPP, INC Agenda Number: 935476918 -------------------------------------------------------------------------------------------------------------------------- Security: 64110D104 Meeting Type: Annual Meeting Date: 10-Sep-2021 Ticker: NTAP ISIN: US64110D1046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: T. Michael Nevens Mgmt For For 1B. Election of Director: Deepak Ahuja Mgmt For For 1C. Election of Director: Gerald Held Mgmt For For 1D. Election of Director: Kathryn M. Hill Mgmt For For 1E. Election of Director: Deborah L. Kerr Mgmt For For 1F. Election of Director: George Kurian Mgmt For For 1G. Election of Director: Carrie Palin Mgmt For For 1H. Election of Director: Scott F. Schenkel Mgmt For For 1I. Election of Director: George T. Shaheen Mgmt For For 2. To hold an advisory vote to approve Named Mgmt For For Executive Officer compensation. 3. To ratify the appointment of Deloitte & Mgmt For For Touche LLP as NetApp's independent registered public accounting firm for the fiscal year ending April 29, 2022. 4. To approve the NetApp, Inc. 2021 Equity Mgmt For For Incentive Plan. 5. To approve an amendment to NetApp's Mgmt For For Employee Stock Purchase Plan to increase the share reserve by an additional 3,000,000 shares of common stock. 6. To approve a management Proposal for Mgmt Abstain Against Stockholder Action by Written Consent. 7. To approve a stockholder Proposal for Shr For Against Stockholder Action by Written Consent. -------------------------------------------------------------------------------------------------------------------------- TAPESTRY, INC. Agenda Number: 935497481 -------------------------------------------------------------------------------------------------------------------------- Security: 876030107 Meeting Type: Annual Meeting Date: 03-Nov-2021 Ticker: TPR ISIN: US8760301072 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: John P. Bilbrey Mgmt For For 1B. Election of Director: Darrell Cavens Mgmt For For 1C. Election of Director: Joanne Crevoiserat Mgmt For For 1D. Election of Director: David Denton Mgmt For For 1E. Election of Director: Johanna (Hanneke) Mgmt For For Faber 1F. Election of Director: Anne Gates Mgmt For For 1G. Election of Director: Thomas Greco Mgmt For For 1H. Election of Director: Pamela Lifford Mgmt For For 1I. Election of Director: Annabelle Yu Long Mgmt For For 1J. Election of Director: Ivan Menezes Mgmt For For 2. Ratification of the appointment of Deloitte Mgmt For For & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending July 2, 2022. 3. Advisory vote to approve the Company's Mgmt For For executive compensation as discussed and described in the proxy statement. Snow Capital Small Cap Value Fund -------------------------------------------------------------------------------------------------------------------------- CIMAREX ENERGY CO. Agenda Number: 935490603 -------------------------------------------------------------------------------------------------------------------------- Security: 171798101 Meeting Type: Special Meeting Date: 29-Sep-2021 Ticker: XEC ISIN: US1717981013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To adopt the Agreement and Plan of Merger, Mgmt For For dated as of May 23, 2021, as amended on June 29, 2021 (as it may be further amended from time to time, the "merger agreement"), among Cabot Oil & Gas Corporation ("Cabot"), Double C Merger Sub, Inc. ("Merger Sub") and Cimarex Energy Co. ("Cimarex"), providing for the acquisition of Cimarex by Cabot pursuant to a merger between Merger Sub, a wholly owned subsidiary of Cabot, and Cimarex (the "merger"). 2. To adopt an amendment to Cimarex's Amended Mgmt For For and Restated Certificate of Incorporation relating to Cimarex's 8 1/8% Series A Cumulative Perpetual Convertible Preferred Stock, par value $0.01 per share ("Cimarex preferred stock"), that would give the holders of Cimarex preferred stock the right to vote with the holders of Cimarex common stock as a single class on all matters submitted to a vote of such holders of Cimarex common stock, to become effective no later than immediately prior to consummation of the merger. 3. To approve, by a non-binding advisory vote, Mgmt For For certain compensation that may be paid or become payable to Cimarex's named executive officers that is based on or otherwise relates to the merger contemplated by the merger agreement. -------------------------------------------------------------------------------------------------------------------------- CO-DIAGNOSTICS, INC. Agenda Number: 935461703 -------------------------------------------------------------------------------------------------------------------------- Security: 189763105 Meeting Type: Annual Meeting Date: 04-Aug-2021 Ticker: CODX ISIN: US1897631057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Dwight H. Egan Mgmt For For Eugene Durenard Mgmt For For Edward L. Murphy Mgmt For For Richard S. Serbin Mgmt For For James B. Nelson Mgmt For For 2. To approve, on an advisory basis, the Mgmt For For compensation paid to the Company's named executive officers as described in the Proxy Statement. 3. To ratify the appointment of Haynie & Mgmt For For Company as our independent registered public accounting firm for the year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- FIRST MIDWEST BANCORP, INC. Agenda Number: 935479976 -------------------------------------------------------------------------------------------------------------------------- Security: 320867104 Meeting Type: Special Meeting Date: 15-Sep-2021 Ticker: FMBI ISIN: US3208671046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. A proposal to approve and adopt the Mgmt For For Agreement and Plan of Merger by and between Old National Bancorp and First Midwest Bancorp, Inc. ("First Midwest"), dated as of May 30, 2021 (the "merger agreement") (the "First Midwest merger proposal"). 2. A proposal to approve, on an advisory Mgmt For For (non-binding) basis, the merger-related compensation payments that will or may be paid to the named executive officers of First Midwest in connection with the transactions contemplated by the merger agreement (the "First Midwest compensation proposal"). 3. A proposal to adjourn the First Midwest Mgmt For For Special Meeting of Stockholders, if necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the First Midwest merger proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of First Midwest common stock (the "First Midwest adjournment proposal"). -------------------------------------------------------------------------------------------------------------------------- LIONS GATE ENTERTAINMENT CORP. Agenda Number: 935480171 -------------------------------------------------------------------------------------------------------------------------- Security: 535919401 Meeting Type: Annual Meeting Date: 14-Sep-2021 Ticker: LGFA ISIN: CA5359194019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Michael Burns Mgmt For For 1B. Election of Director: Mignon Clyburn Mgmt For For 1C. Election of Director: Gordon Crawford Mgmt For For 1D. Election of Director: Jon Feltheimer Mgmt For For 1E. Election of Director: Emily Fine Mgmt For For 1F. Election of Director: Michael T. Fries Mgmt For For 1G. Election of Director: Susan McCaw Mgmt For For 1H. Election of Director: Yvette Ostolaza Mgmt For For 1I. Election of Director: Mark H. Rachesky, Mgmt For For M.D. 1J. Election of Director: Daryl Simm Mgmt For For 1K. Election of Director: Hardwick Simmons Mgmt For For 2. Appointment of Auditors: To reappoint Ernst Mgmt For For & Young LLP as the independent registered public accounting firm for the Company for the fiscal year ending March 31, 2022 at a remuneration to be determined by the Audit & Risk Committee. See the section entitled "Proposal 2: Re-Appointment of Independent Registered Public Accounting Firm" in the Notice and Proxy Statement. 3. Advisory Vote on Executive Compensation: To Mgmt Against Against pass a non-binding advisory resolution to approve the compensation paid to the Company's Named Executive Officers. See the section entitled "Proposal 3: Advisory Vote to Approve Executive Compensation" in the Notice and Proxy Statement. 4. Lions Gate Entertainment Corp. 2019 Mgmt Against Against Performance Incentive Plan: To approve an amendment to the Lions Gate Entertainment Corp. 2019 Performance Incentive Plan. See the section entitled "Proposal 4: Proposal to Approve An Amendment to Lions Gate Entertainment Corp. 2019 Performance Incentive Plan" in the Notice and Proxy Statement. -------------------------------------------------------------------------------------------------------------------------- MODINE MANUFACTURING COMPANY Agenda Number: 935466791 -------------------------------------------------------------------------------------------------------------------------- Security: 607828100 Meeting Type: Annual Meeting Date: 22-Jul-2021 Ticker: MOD ISIN: US6078281002 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Dr. Suresh V. Mgmt For For Garimella 1B. Election of Director: Mr. Christopher W. Mgmt For For Patterson 1C. Election of Director: Ms. Christine Y. Yan Mgmt For For 2. Advisory vote to approve of the Company's Mgmt For For named executive officer compensation. 3. Ratification of the appointment of the Mgmt For For Company's independent registered public accounting firm. -------------------------------------------------------------------------------------------------------------------------- SILICON MOTION TECHNOLOGY CORP. Agenda Number: 935486298 -------------------------------------------------------------------------------------------------------------------------- Security: 82706C108 Meeting Type: Annual Meeting Date: 29-Sep-2021 Ticker: SIMO ISIN: US82706C1080 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To re-elect Mr. Kuan-Ming Lin and Mr. Mgmt For For Shii-Tyng Duann as the directors of the Company. 2. To ratify the selection of Deloitte & Mgmt For For Touche as independent auditors of the Company for the fiscal year ending on December 31, 2021 and authorize the directors to fix their remuneration. * Management position unknown
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) Trust for Professional Managers By (Signature) /s/ John Buckel Name John Buckel Title President Date 01/04/2022