N-PX 1 gug80400avk-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 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, 2019 - June 30, 2020 ---------------------------- 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: 07/01/2019 - 06/30/2020 Advent Convertible and Income Fund ====================== Advent Convertible and Income Fund ====================== ALIBABA GROUP HOLDING LIMITED Ticker: BABA Security ID: 01609W102 Meeting Date: JUL 15, 2019 Meeting Type: Annual Record Date: JUN 07, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Effect an increase in the number of F F Management authorized Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares. 2 Election of Director for a three year F F Management term: DANIEL ZHANG 3 Election of Director for a three year F F Management term: CHEE HWA TUNG 4 Election of Director for a three year F F Management term: JERRY YANG 5 Election of Director for a three year F F Management term: WAN LING MARTELLO 6 Ratify the appointment of F F Management PricewaterhouseCoopers as the independent registered public accounting firm of the Company. -------------------------------------------------------------------------------- CARNIVAL CORPORATION Ticker: CCL Security ID: 143658300 Meeting Date: APR 06, 2020 Meeting Type: Annual Record Date: FEB 06, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 To re-elect Micky Arison as a Director F F Management of Carnival Corporation and as a Director of Carnival plc. 2 To re-elect Sir Jonathon Band as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 3 To re-elect Jason Glen Cahilly as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 4 To re-elect Helen Deeble as a Director F F Management of Carnival Corporation and as a Director of Carnival plc. 5 To re-elect Arnold W. Donald as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 6 To re-elect Richard J. Glasier as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 7 To re-elect Katie Lahey as a Director F F Management of Carnival Corporation and as a Director of Carnival plc. 8 To re-elect Sir John Parker as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 9 To re-elect Stuart Subotnick as a F F Management Director of Carnival Corporation and as a Director of Carnival plc. 10 To re-elect Laura Weil as a Director F F Management of Carnival Corporation and as a Director of Carnival plc. 11 To re-elect Randall J. Weisenburger as F F Management a Director of Carnival Corporation and as a Director of Carnival plc. 12 To hold a (non-binding) advisory vote F F Management to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). 13 To hold a (non-binding) advisory vote F F Management to approve the Carnival plc Directors' Remuneration Report (other than the Carnival plc Directors' Remuneration Policy set out in Section B of Part II of the Carnival plc Directors' Remuneration Report) (in accordance 14 To approve the Carnival plc Directors' F F Management Remuneration Policy set out in the Section B of Part II of the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). 15 To re-appoint the UK firm of F F Management PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Carnival Corporation. 16 To authorize the Audit Committee of F F Management Carnival plc to determine the remuneration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). 17 To receive the UK accounts and reports F F Management of the Directors and auditors of Carnival plc for the year ended November 30, 2019 (in accordance with legal requirements applicable to UK companies). 18 To approve the giving of authority for F F Management the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). 19 To approve the disapplication of F F Management pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). 20 To approve a general authority for F F Management Carnival plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). 21 To approve the Carnival Corporation F F Management 2020 Stock Plan. 22 To approve the Carnival plc UK F F Management Employee Share Purchase Plan. -------------------------------------------------------------------------------- CITIGROUP INC. Ticker: C Security ID: 172967424 Meeting Date: APR 21, 2020 Meeting Type: Annual Record Date: FEB 24, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Michael L. Corbat F F Management 2 Election of Director: Ellen M. Costello F F Management 3 Election of Director: Grace E. Dailey F F Management 4 Election of Director: Barbara J. Desoer F F Management 5 Election of Director: John C. Dugan F F Management 6 Election of Director: Duncan P. Hennes F F Management 7 Election of Director: Peter B. Henry F F Management 8 Election of Director: S. Leslie Ireland F F Management 9 Election of Director: Lew W. (Jay) F F Management Jacobs, IV 10 Election of Director: Renee J. James F F Management 11 Election of Director: Gary M. Reiner F F Management 12 Election of Director: Diana L. Taylor F F Management 13 Election of Director: James S. Turley F F Management 14 Election of Director: Deborah C. Wright F F Management 15 Election of Director: Alexander R. F F Management Wynaendts 16 Election of Director: Ernesto Zedillo F F Management Ponce de Leon 17 Proposal to ratify the selection of F F Management KPMG LLP as Citi's independent registered public accounting firm for 2020. 18 Advisory vote to approve Citi's 2019 F F Management Executive Compensation. 19 Approval of Additional Authorized F F Management Shares Under the Citigroup 2019 Stock Incentive Plan. 20 Stockholder proposal requesting an N A Shareholder amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit. 21 Stockholder proposal requesting that N A Shareholder the Board review Citi's governance documents and make recommendations to shareholders on how the "Purpose of a Corporation" signed by Citi's CEO can be fully implemented. 22 Stockholder proposal requesting a N A Shareholder report disclosing information regarding Citi's lobbying policies and activities. -------------------------------------------------------------------------------- GAMING AND LEISURE PROPERTIES, INC. Ticker: GLPI Security ID: 36467J108 Meeting Date: JUN 11, 2020 Meeting Type: Annual Record Date: APR 06, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Peter M. Carlino F F Management 2 Election of Director: Carol ("Lili") F F Management Lynton 3 Election of Director: Joseph W. F F Management Marshall, III 4 Election of Director: James B. Perry F F Management 5 Election of Director: Barry F. Schwartz F F Management 6 Election of Director: Earl C. Shanks F F Management 7 Election of Director: E. Scott Urdang F F Management 8 To approve the Company's Second F F Management Amended and Restated 2013 Long-Term Incentive Compensation Plan. 9 To ratify the appointment of Deloitte F F Management & Touche LLP as the Company's independent registered public accounting firm for the current fiscal year. 10 To approve, on a non-binding advisory F F Management basis, the Company's executive compensation. -------------------------------------------------------------------------------- HCA HEALTHCARE, INC. Ticker: HCA Security ID: 40412C101 Meeting Date: MAY 01, 2020 Meeting Type: Annual Record Date: MAR 09, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Thomas F. Frist F F Management III 2 Election of Director: Samuel N. Hazen F F Management 3 Election of Director: Meg G. Crofton F F Management 4 Election of Director: Robert J. Dennis F F Management 5 Election of Director: Nancy-Ann DeParle F F Management 6 Election of Director: William R. Frist F F Management 7 Election of Director: Charles O. F F Management Holliday, Jr. 8 Election of Director: Michael W. F F Management Michelson 9 Election of Director: Wayne J. Riley, F F Management M.D. 10 To ratify the appointment of Ernst & F F Management Young LLP as our independent registered public accounting firm for the year ending December 31, 2020. 11 Advisory vote to approve named F F Management executive officer compensation. 12 To approve the 2020 Stock Incentive F F Management Plan for Key Employees of HCA Healthcare, Inc. and its Affiliates. 13 To approve an amendment to our amended F F Management and restated certificate of incorporation to allow stockholders owning an aggregate of 15% of our outstanding common stock to request special meetings of stockholders. 14 Stockholder proposal, if properly N N Shareholder presented at the meeting, requesting that the Board of Directors take the steps necessary to allow stockholders to act by written consent. -------------------------------------------------------------------------------- HUMANA INC. Ticker: HUM Security ID: 444859102 Meeting Date: APR 23, 2020 Meeting Type: Annual Record Date: FEB 24, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Kurt J. Hilzinger F F Management 2 Election of Director: Frank J. F F Management Bisignano 3 Election of Director: Bruce D. F F Management Broussard 4 Election of Director: Frank A. D'Amelio F F Management 5 Election of Director: W. Roy Dunbar F F Management 6 Election of Director: Wayne A. I. F F Management Frederick, M.D. 7 Election of Director: John W. Garratt F F Management 8 Election of Director: David A. Jones, F F Management Jr. 9 Election of Director: Karen W. Katz F F Management 10 Election of Director: William J. F F Management McDonald 11 Election of Director: James J. O'Brien F F Management 12 Election of Director: Marissa T. F F Management Peterson 13 The ratification of the appointment of F F Management PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. 14 Non-binding advisory vote for the F F Management approval of the compensation of the named executive officers as disclosed in the 2020 proxy statement. -------------------------------------------------------------------------------- LAS VEGAS SANDS CORP. Ticker: LVS Security ID: 517834107 Meeting Date: MAY 14, 2020 Meeting Type: Annual Record Date: MAR 16, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 1 DIRECTOR F F Management 2 Ratification of the appointment of F F Management Deloitte & Touche LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. 3 An advisory (non-binding) vote to F F Management approve the compensation of the named executive officers. -------------------------------------------------------------------------------- MERCK & CO., INC. Ticker: MRK Security ID: 58933Y105 Meeting Date: MAY 26, 2020 Meeting Type: Annual Record Date: MAR 27, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Leslie A. Brun F F Management 2 Election of Director: Thomas R. Cech F F Management 3 Election of Director: Mary Ellen Coe F F Management 4 Election of Director: Pamela J. Craig F F Management 5 Election of Director: Kenneth C. F F Management Frazier 6 Election of Director: Thomas H. Glocer F F Management 7 Election of Director: Risa F F Management Lavizzo-Mourey 8 Election of Director: Paul B. Rothman F F Management 9 Election of Director: Patricia F. Russo F F Management 10 Election of Director: Christine E. F F Management Seidman 11 Election of Director: Inge G. Thulin F F Management 12 Election of Director: Kathy J. Warden F F Management 13 Election of Director: Peter C. Wendell F F Management 14 Non-binding advisory vote to approve F F Management the compensation of our named executive officers. 15 Ratification of the appointment of the F F Management Company's independent registered public accounting firm for 2020. 16 Shareholder proposal concerning N N Shareholder shareholder right to act by written consent. 17 Shareholder proposal regarding N A Shareholder allocation of corporate tax savings. -------------------------------------------------------------------------------- MICROCHIP TECHNOLOGY INCORPORATED Ticker: MCHP Security ID: 595017104 Meeting Date: AUG 20, 2019 Meeting Type: Annual Record Date: JUN 25, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Steve Sanghi F F Management 2 Election of Director: Matthew W. F F Management Chapman 3 Election of Director: L.B. Day F F Management 4 Election of Director: Esther L. Johnson F F Management 5 Election of Director: Wade F. Meyercord F F Management 6 Proposal to approve a French sub-plan F F Management under our 2004 Equity Incentive Plan. 7 Proposal to ratify the appointment of F F Management Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2020. 8 Proposal to approve, on an advisory F F Management (non-binding) basis, the compensation of our named executives. 9 Stockholder proposal requesting our N A Shareholder Board to report on our processes for identifying and analyzing human rights risks to workers in our operations and supply chain. -------------------------------------------------------------------------------- PFIZER INC. Ticker: PFE Security ID: 717081103 Meeting Date: APR 23, 2020 Meeting Type: Annual Record Date: FEB 25, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Ronald E. F F Management Blaylock 2 Election of Director: Albert Bourla F F Management 3 Election of Director: W. Don Cornwell F F Management 4 Election of Director: Joseph J. F F Management Echevarria 5 Election of Director: Scott Gottlieb F F Management 6 Election of Director: Helen H. Hobbs F F Management 7 Election of Director: Susan Hockfield F F Management 8 Election of Director: James M. Kilts F F Management 9 Election of Director: Dan R. Littman F F Management 10 Election of Director: Shantanu Narayen F F Management 11 Election of Director: Suzanne Nora F F Management Johnson 12 Election of Director: James Quincey F F Management 13 Election of Director: James C. Smith F F Management 14 Ratify the selection of KPMG LLP as F F Management independent registered public accounting firm for 2020 15 2020 advisory approval of executive F F Management compensation 16 Shareholder proposal regarding right N N Shareholder to act by written consent 17 Shareholder proposal regarding N N Shareholder enhancing proxy access 18 Shareholder proposal regarding report N A Shareholder on lobbying activities 19 Shareholder proposal regarding N N Shareholder independent chair policy 20 Shareholder proposal regarding gender N A Shareholder pay gap 21 Election of Director: Susan F Not Voted Management Desmond-Hellmann -------------------------------------------------------------------------------- TARGET CORPORATION Ticker: TGT Security ID: 87612E106 Meeting Date: JUN 10, 2020 Meeting Type: Annual Record Date: APR 13, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Douglas M. F F Management Baker, Jr. 2 Election of Director: George S. Barrett F F Management 3 Election of Director: Brian C. Cornell F F Management 4 Election of Director: Calvin Darden F F Management 5 Election of Director: Robert L. Edwards F F Management 6 Election of Director: Melanie L. Healey F F Management 7 Election of Director: Donald R. Knauss F F Management 8 Election of Director: Monica C. Lozano F F Management 9 Election of Director: Mary E. Minnick F F Management 10 Election of Director: Kenneth L. F F Management Salazar 11 Election of Director: Dmitri L. F F Management Stockton 12 Company proposal to ratify the F F Management appointment of Ernst & Young LLP as our independent registered public accounting firm. 13 Company proposal to approve, on an F F Management advisory basis, our executive compensation (Say on Pay). 14 Company proposal to approve the Target F F Management Corporation 2020 Long-Term Incentive Plan. -------------------------------------------------------------------------------- VERIZON COMMUNICATIONS INC. Ticker: VZ Security ID: 92343V104 Meeting Date: MAY 07, 2020 Meeting Type: Annual Record Date: MAR 09, 2020 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Shellye L. F F Management Archambeau 2 Election of Director: Mark T. Bertolini F F Management 3 Election of Director: Vittorio Colao F F Management 4 Election of Director: Melanie L. Healey F F Management 5 Election of Director: Clarence Otis, F F Management Jr. 6 Election of Director: Daniel H. F F Management Schulman 7 Election of Director: Rodney E. Slater F F Management 8 Election of Director: Hans E. Vestberg F F Management 9 Election of Director: Gregory G. Weaver F F Management 10 Advisory Vote to Approve Executive F F Management Compensation 11 Ratification of Appointment of F F Management Independent Registered Public Accounting Firm 12 Nonqualified Savings Plan Earnings N N Shareholder 13 Special Shareholder Meetings N A Shareholder 14 Lobbying Activities Report N A Shareholder 15 User Privacy Metric N N Shareholder 16 Amend Severance Approval Policy N A Shareholder -------------------------------------------------------------------------------- WESTERN DIGITAL CORPORATION Ticker: WDC Security ID: 958102105 Meeting Date: NOV 14, 2019 Meeting Type: Annual Record Date: SEP 16, 2019 # Proposal Mgt Rec Vote Cast Sponsor 1 Election of Director: Kimberly E. Alexy F F Management 2 Election of Director: Martin I. Cole F F Management 3 Election of Director: Kathleen A. Cote F F Management 4 Election of Director: Tunc Doluca F F Management 5 Election of Director: Len J. Lauer F F Management 6 Election of Director: Matthew E. F F Management Massengill 7 Election of Director: Stephen D. F F Management Milligan 8 Election of Director: Stephanie A. F F Management Streeter 9 To approve on an advisory basis the F F Management named executive officer compensation disclosed in the Proxy Statement. 10 To approve an amendment and F F Management restatement of our 2017 Performance Incentive Plan that would, among other things, increase by 6 million the number of shares of our common stock available for issuance under the plan. 11 To ratify the appointment of KPMG LLP F F Management as our independent registered public accounting firm for fiscal 2020. ========== 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 Convertible Securities and Income Fund --------------------------------------------- By: /s/ Tracy V. Maitland ---------------------------------------------- Name: Tracy V. Maitland ---------------------------------------------- Title: President and Chief Executive Officer ---------------------------------------------- Date: August 19, 2020 ----------------------------------------------