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
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Advent Claymore Convertible Securities and Income Fund
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(Exact name of registrant as specified in charter)
888 Seventh Avenue, 31st Floor
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New York, NY 10019
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(Address of principal executive offices) (Zip code)
Edward C. Delk
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888 Seventh Avenue, 31st Floor
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New York, NY 10019
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(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.
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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.
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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
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By: /s/ Tracy V. Maitland
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Name: Tracy V. Maitland
-----------------
Title: President and Chief Executive Officer
-------------------------------------
Date: August 9, 2017
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