0000891804-17-000563.txt : 20170809 0000891804-17-000563.hdr.sgml : 20170809 20170809122426 ACCESSION NUMBER: 0000891804-17-000563 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 EFFECTIVENESS DATE: 20170809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND CENTRAL INDEX KEY: 0001219120 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-21309 FILM NUMBER: 171017081 BUSINESS ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-827-0100 MAIL ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 N-PX 1 gug71684avk-npx.txt AVK 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 811-21309 --------- Advent Claymore Convertible Securities and Income Fund ------------------------------------------------------ (Exact name of registrant as specified in charter) 888 Seventh Avenue, 31st Floor ------------------------------ New York, NY 10019 ------------------ (Address of principal executive offices) (Zip code) Edward C. Delk -------------- 888 Seventh Avenue, 31st Floor ------------------------------ New York, NY 10019 ------------------ (Name and address of agent for service) Registrant's telephone number, including area code: 212-482-1600 Date of fiscal year end: October 31 Date of reporting period: July 1, 2016 - June 30, 2017 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. 239.24 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, 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. ******************************* FORM N-Px REPORT ******************************* ICA File Number: 811-21309 Reporting Period: 07/01/2016 - 06/30/2017 ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND ============ AMERICAN AIRLINES GROUP INC. Ticker: AAL Security ID: 02376R102 Meeting Date: JUN 14, 2017 Meeting Type: Annual Record Date: MAY 05, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: JAMES F. ALBAUGH For For Management 1B. ELECTION OF DIRECTOR: JEFFREY D. For For Management BENJAMIN 1C. ELECTION OF DIRECTOR: JOHN T. CAHILL For For Management 1D. ELECTION OF DIRECTOR: MICHAEL J. EMBLER For For Management 1E. ELECTION OF DIRECTOR: MATTHEW J. HART For For Management 1F. ELECTION OF DIRECTOR: ALBERTO IBARGUEN For For Management 1G. ELECTION OF DIRECTOR: RICHARD C. For For Management KRAEMER 1H. ELECTION OF DIRECTOR: SUSAN D. KRONICK For For Management 1I. ELECTION OF DIRECTOR: MARTIN H. NESBITT For For Management 1J. ELECTION OF DIRECTOR: DENISE M. O'LEARY For For Management 1K. ELECTION OF DIRECTOR: W. DOUGLAS PARKER For For Management 1L. ELECTION OF DIRECTOR: RAY M. ROBINSON For For Management 1M. ELECTION OF DIRECTOR: RICHARD P. For For Management SCHIFTER 2 A PROPOSAL TO RATIFY THE APPOINTMENT For For Management OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF AMERICAN AIRLINES GROUP INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. 3 A PROPOSAL TO CONSIDER AND APPROVE, ON For For Management A NON-BINDING, ADVISORY BASIS, EXECUTIVE COMPENSATION OF AMERICAN AIRLINES GROUP INC. AS DISCLOSED IN THE PROXY STATEMENT. 4 A PROPOSAL TO CONSIDER AND APPROVE, ON 1 Year 1 Year Management A NON-BINDING, ADVISORY BASIS, THE FREQUENCY OF THE ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION OF AMERICAN AIRLINES GROUP INC. 5 A STOCKHOLDER PROPOSAL REGARDING AN Against Against Shareholder INDEPENDENT BOARD CHAIRMAN. -------------------------------------------------------------------------------- GENERAL MOTORS COMPANY Ticker: GM Security ID: 37045V100 Meeting Date: JUN 06, 2017 Meeting Type: Contested-Annual Record Date: MAY 19, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1 DIRECTOR For For Management 2 APPROVE, ON AN ADVISORY BASIS, NAMED For For Management EXECUTIVE OFFICER COMPENSATION 3 APPROVE THE GENERAL MOTORS COMPANY For For Management 2017 SHORT-TERM INCENTIVE PLAN 4 APPROVE THE GENERAL MOTORS COMPANY For For Management 2017 LONG-TERM INCENTIVE PLAN 5 RATIFICATION OF THE SELECTION OF For For Management DELOITTE & TOUCHE LLP AS GM'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017 6 SHAREHOLDER PROPOSAL REGARDING Against Against Shareholder INDEPENDENT BOARD CHAIRMAN 7 GREENLIGHT PROPOSAL REGARDING CREATION Against Against Shareholder OF DUAL-CLASS COMMON STOCK 1 DIRECTOR For For Management 2 APPROVE, ON AN ADVISORY BASIS, NAMED For For Management EXECUTIVE OFFICER COMPENSATION 3 APPROVE THE GENERAL MOTORS COMPANY For For Management 2017 SHORT-TERM INCENTIVE PLAN 4 APPROVE THE GENERAL MOTORS COMPANY For For Management 2017 LONG-TERM INCENTIVE PLAN 5 RATIFICATION OF THE SELECTION OF For For Management DELOITTE & TOUCHE LLP AS GM'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017 6 SHAREHOLDER PROPOSAL REGARDING Against Against Shareholder INDEPENDENT BOARD CHAIRMAN 7 GREENLIGHT PROPOSAL REGARDING CREATION Against Against Shareholder OF DUAL-CLASS COMMON STOCK -------------------------------------------------------------------------------- GILEAD SCIENCES, INC. Ticker: GILD Security ID: 375558103 Meeting Date: MAY 10, 2017 Meeting Type: Annual Record Date: MAR 16, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: JOHN F. COGAN, For For Management PH.D. 1B. ELECTION OF DIRECTOR: KELLY A. KRAMER For For Management 1C. ELECTION OF DIRECTOR: KEVIN E. LOFTON For For Management 1D. ELECTION OF DIRECTOR: JOHN C. MARTIN, For For Management PH.D. 1E. ELECTION OF DIRECTOR: JOHN F. For For Management MILLIGAN, PH.D. 1F. ELECTION OF DIRECTOR: NICHOLAS G. MOORE For For Management 1G. ELECTION OF DIRECTOR: RICHARD J. For For Management WHITLEY, M.D 1H. ELECTION OF DIRECTOR: GAYLE E. WILSON For For Management 1I. ELECTION OF DIRECTOR: PER WOLD-OLSEN For For Management 2 RATIFICATION OF THE SELECTION OF For For Management INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. 3 RESTATEMENT OF THE GILEAD SCIENCES, For For Management INC. 2004 EQUITY INCENTIVE PLAN. 4 ADVISORY VOTE TO APPROVE THE For For Management COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. 5 ADVISORY VOTE AS TO THE FREQUENCY OF 1 Year 1 Year Management FUTURE ADVISORY SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. 6 STOCKHOLDER PROPOSAL REQUESTING THAT Against Against Shareholder THE BOARD TAKE STEPS TO PERMIT STOCKHOLDER ACTION BY WRITTEN CONSENT. 7 STOCKHOLDER PROPOSAL REQUESTING THAT Against Against Shareholder THE BOARD ADOPT A POLICY THAT THE CHAIRMAN OF THE BOARD OF DIRECTORS BE AN INDEPENDENT DIRECTOR. -------------------------------------------------------------------------------- L BRANDS, INC. Ticker: LB Security ID: 501797104 Meeting Date: MAY 18, 2017 Meeting Type: Annual Record Date: APR 21, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1.1 ELECTION OF DIRECTOR: DONNA A. JAMES For For Management 1.2 ELECTION OF DIRECTOR: JEFFREY H. MIRO For For Management 1.3 ELECTION OF DIRECTOR: MICHAEL G. MORRIS For For Management 1.4 ELECTION OF DIRECTOR: RAYMOND ZIMMERMAN For For Management 2 RATIFICATION OF THE APPOINTMENT OF For For Management INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS 3 ADVISORY VOTE TO APPROVE NAMED For For Management EXECUTIVE OFFICER COMPENSATION 4 ADVISORY VOTE ON THE FREQUENCY OF 1 Year 1 Year Management FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION -------------------------------------------------------------------------------- LOCKHEED MARTIN CORPORATION Ticker: LMT Security ID: 539830109 Meeting Date: APR 27, 2017 Meeting Type: Annual Record Date: FEB 24, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: DANIEL F. AKERSON For For Management 1B. ELECTION OF DIRECTOR: NOLAN D. For For Management ARCHIBALD 1C. ELECTION OF DIRECTOR: ROSALIND G. For For Management BREWER 1D. ELECTION OF DIRECTOR: DAVID B. BURRITT For For Management 1E. ELECTION OF DIRECTOR: BRUCE A. CARLSON For For Management 1F. ELECTION OF DIRECTOR: JAMES O. ELLIS, For For Management JR. 1G. ELECTION OF DIRECTOR: THOMAS J. FALK For For Management 1H. ELECTION OF DIRECTOR: ILENE S. GORDON For For Management 1I. ELECTION OF DIRECTOR: MARILLYN A. For For Management HEWSON 1J. ELECTION OF DIRECTOR: JAMES M. LOY For For Management 1K. ELECTION OF DIRECTOR: JOSEPH W. RALSTON For For Management 1L. ELECTION OF DIRECTOR: ANNE STEVENS For For Management 2 RATIFICATION OF APPOINTMENT OF ERNST & For For Management YOUNG LLP AS INDEPENDENT AUDITORS FOR 2017 3 ADVISORY VOTE TO APPROVE THE For For Management COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS (SAY-ON-PAY) 4 ADVISORY VOTE ON FREQUENCY OF HOLDING 1 Year 1 Year Management VOTES ON SAY-ON-PAY 5 STOCKHOLDER PROPOSAL REQUESTING THAT Against Against Shareholder THE CORPORATION ADOPT THE HOLY LAND PRINCIPLES -------------------------------------------------------------------------------- MACQUARIE INFRASTRUCTURE CORPORATION Ticker: MIC Security ID: 55608B105 Meeting Date: MAY 17, 2017 Meeting Type: Annual Record Date: MAR 22, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: NORMAN H. BROWN, For For Management JR. 1B. ELECTION OF DIRECTOR: GEORGE W. For For Management CARMANY, III 1C. ELECTION OF DIRECTOR: RONALD KIRK For For Management 1D. ELECTION OF DIRECTOR: H.E. (JACK) LENTZ For For Management 1E. ELECTION OF DIRECTOR: OUMA SANANIKONE For For Management 2 THE RATIFICATION OF THE SELECTION OF For For Management KPMG LLP AS OUR INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. 3 THE APPROVAL, ON AN ADVISORY BASIS, OF For For Management EXECUTIVE COMPENSATION. 4 THE APPROVAL, ON AN ADVISORY BASIS, OF 1 Year 1 Year Management THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. -------------------------------------------------------------------------------- MACY'S INC. Ticker: M Security ID: 55616P104 Meeting Date: MAY 19, 2017 Meeting Type: Annual Record Date: MAR 23, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: FRANCIS S. BLAKE For For Management 1B. ELECTION OF DIRECTOR: JOHN A. BRYANT For For Management 1C. ELECTION OF DIRECTOR: DEIRDRE P. For For Management CONNELLY 1D. ELECTION OF DIRECTOR: JEFF GENNETTE For For Management 1E. ELECTION OF DIRECTOR: LESLIE D. HALE For For Management 1F. ELECTION OF DIRECTOR: WILLIAM H. For For Management LENEHAN 1G. ELECTION OF DIRECTOR: SARA LEVINSON For For Management 1H. ELECTION OF DIRECTOR: TERRY J. LUNDGREN For For Management 1I. ELECTION OF DIRECTOR: JOYCE M. ROCHE For For Management 1J. ELECTION OF DIRECTOR: PAUL C. VARGA For For Management 1K. ELECTION OF DIRECTOR: MARNA C. For For Management WHITTINGTON 1L. ELECTION OF DIRECTOR: ANNIE For For Management YOUNG-SCRIVNER 2 THE PROPOSED RATIFICATION OF THE AUDIT For For Management COMMITTEE'S APPOINTMENT OF KPMG LLP AS MACY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING FEBRUARY 3, 2018. 3 ADVISORY VOTE TO APPROVE NAMED For For Management EXECUTIVE OFFICER COMPENSATION. 4 ADVISORY VOTE ON FREQUENCY OF THE 1 Year 1 Year Management SHAREHOLDER VOTE ON EXECUTIVE COMPENSATION. 5 RE-APPROVAL OF THE SENIOR EXECUTIVE For For Management INCENTIVE COMPENSATION PLAN. -------------------------------------------------------------------------------- MERCK & CO., INC. Ticker: MRK Security ID: 58933Y105 Meeting Date: MAY 23, 2017 Meeting Type: Annual Record Date: MAR 27, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: LESLIE A. BRUN For For Management 1B. ELECTION OF DIRECTOR: THOMAS R. CECH For For Management 1C. ELECTION OF DIRECTOR: PAMELA J. CRAIG For For Management 1D. ELECTION OF DIRECTOR: KENNETH C. For For Management FRAZIER 1E. ELECTION OF DIRECTOR: THOMAS H. GLOCER For For Management 1F. ELECTION OF DIRECTOR: ROCHELLE B. For For Management LAZARUS 1G. ELECTION OF DIRECTOR: JOHN H. For For Management NOSEWORTHY 1H. ELECTION OF DIRECTOR: CARLOS E. For For Management REPRESAS 1I. ELECTION OF DIRECTOR: PAUL B. ROTHMAN For For Management 1J. ELECTION OF DIRECTOR: PATRICIA F. RUSSO For For Management 1K. ELECTION OF DIRECTOR: CRAIG B. THOMPSON For For Management 1L. ELECTION OF DIRECTOR: WENDELL P. WEEKS For For Management 1M. ELECTION OF DIRECTOR: PETER C. WENDELL For For Management 2 NON-BINDING ADVISORY VOTE TO APPROVE For For Management THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. 3 NON-BINDING ADVISORY VOTE ON THE 1 Year 1 Year Management FREQUENCY OF FUTURE VOTES TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. 4 RATIFICATION OF THE APPOINTMENT OF THE For For Management COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. 5 SHAREHOLDER PROPOSAL REQUESTING AN Against Against Shareholder INDEPENDENT BOARD CHAIRMAN. 6 SHAREHOLDER PROPOSAL REQUESTING Against Against Shareholder IMPLEMENTATION OF A SET OF EMPLOYEE PRACTICES IN ISRAEL/PALESTINE. 7 SHAREHOLDER PROPOSAL REQUESTING A Against Against Shareholder REPORT ON CONDUCTING BUSINESS IN CONFLICT-AFFECTED AREAS. 8 SHAREHOLDER PROPOSAL REQUESTING A Against Against Shareholder REPORT ON BOARD OVERSIGHT OF PRODUCT SAFETY AND QUALITY. -------------------------------------------------------------------------------- UNITED PARCEL SERVICE, INC. Ticker: UPS Security ID: 911312106 Meeting Date: MAY 04, 2017 Meeting Type: Annual Record Date: MAR 06, 2017 # Proposal Mgt Rec Vote Cast Sponsor 1A. ELECTION OF DIRECTOR: DAVID P. ABNEY For For Management 1B. ELECTION OF DIRECTOR: RODNEY C. ADKINS For For Management 1C. ELECTION OF DIRECTOR: MICHAEL J. BURNS For For Management 1D. ELECTION OF DIRECTOR: WILLIAM R. For For Management JOHNSON 1E. ELECTION OF DIRECTOR: CANDACE KENDLE For For Management 1F. ELECTION OF DIRECTOR: ANN M. LIVERMORE For For Management 1G. ELECTION OF DIRECTOR: RUDY H.P. MARKHAM For For Management 1H. ELECTION OF DIRECTOR: FRANCK J. MOISON For For Management 1I. ELECTION OF DIRECTOR: CLARK T. RANDT, For For Management JR. 1J. ELECTION OF DIRECTOR: JOHN T. STANKEY For For Management 1K. ELECTION OF DIRECTOR: CAROL B. TOME For For Management 1L. ELECTION OF DIRECTOR: KEVIN M. WARSH For For Management 2 TO APPROVE THE ADVISORY RESOLUTION ON For For Management EXECUTIVE COMPENSATION. 3 TO APPROVE THE ADVISORY VOTE ON THE 3 Years 3 Years Management FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. 4 TO RATIFY THE APPOINTMENT OF DELOITTE For For Management & TOUCHE LLP AS UPS'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. 5 TO PREPARE AN ANNUAL REPORT ON Against Against Shareholder LOBBYING ACTIVITIES. 6 TO REDUCE THE VOTING POWER OF CLASS A Against Against Shareholder STOCK FROM 10 VOTES PER SHARE TO ONE VOTE PER SHARE. 7 TO ADOPT HOLY LAND PRINCIPLES. Against Against Shareholder ========== END NPX REPORT 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. Advent Claymore Convertible Securities and Income Fund ------------------------------------------------------ By: /s/ Tracy V. Maitland --------------------- Name: Tracy V. Maitland ----------------- Title: President and Chief Executive Officer ------------------------------------- Date: August 9, 2017 --------------