N-PX 1 alpha_npx-0614.htm ALPHAMARK INVESTMENT TRUST - N-PX alpha_npx-0613.htm
 
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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     811-22213                        


AlphaMark Investment Trust
(Exact name of registrant as specified in charter)


250 Grandview Drive, Suite 175                Ft. Mitchell, Kentucky
41017
(Address of principal executive offices)
(Zip code)


Wade R. Bridge

Ultimus Fund Solutions, LLC           225 Pictoria Drive, Suite 450           Cincinnati, Ohio 45246
(Name and address of agent for service)


Registrant's telephone number, including area code:    (513) 587-3400                    

Date of fiscal year end:      August 31                                              

Date of reporting period:    July 1, 2013 - June 30, 2014                     

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.

Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
(a)
The name of the issuer of the portfolio security;

(b)
The exchange ticker symbol of the portfolio security;

(c)
The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;

(d)
The shareholder meeting date;

(e)
A brief identification of the matter voted on;

(f)
Whether the matter was proposed by the issuer or by a security holder;

(g)
Whether the registrant cast its vote on the matter;

(h)
How the registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and

(i)
Whether the registrant cast its vote for or against management.
 
 
 
SIGNATURES

[See General Instruction F]

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)     AlphaMark Investment Trust                                       
 
By (Signature and Title)*
/s/ Michael L. Simon
  
 
Michael L. Simon, President
  
Date
August 26, 2014
    


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

INVESTMENT COMPANY REPORT
 
 
ALPHAMARK LARGE CAP GROWTH FUND (AMLCX)
PROXY VOTING RECORD: July 1, 2013 to June 30, 2014
 
 
 
 
 
 
Issuer Name
Ticker Symbol
CUSIP
Shareholder Meeting Date
Agenda Item #
Brief Identification of the Matter Voted On
Proposed by Issuer or Shareholder?
Did the Fund Vote?
How did the Fund Cast its Vote? For, Against, Abstain
Did the Fund Vote For or Against Management?
Oracle Corp.
ORCL
68389X105
10/31/2013
1
Election of nominee Directors
Issuer
Yes
For
For
Oracle Corp.
ORCL
68389X105
10/31/2013
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Oracle Corp.
ORCL
68389X105
10/31/2013
3
Approval of amendment to the long term incentive plan
Issuer
Yes
For
For
Oracle Corp.
ORCL
68389X105
10/31/2013
4
Ratification of Ernst & Young  LLP as auditors  for 2014
Issuer
Yes
For
For
Oracle Corp.
ORCL
68389X105
10/31/2013
5
Stockholder proposal regarding establishing a Board Committee on human rights
Shareholder
Yes
Against
For
Oracle Corp.
ORCL
68389X105
10/31/2013
6
Stockholder proposal regarding independent Board Chairman
Shareholder
Yes
Against
For
Oracle Corp.
ORCL
68389X105
10/31/2013
7
Stockholder proposal regarding vote tabulation
Shareholder
Yes
Against
For
Oracle Corp.
ORCL
68389X105
10/31/2013
8
Stockholder proposal regarding multiple preformance metrics
Shareholder
Yes
Against
For
Oracle Corp.
ORCL
68389X105
10/31/2013
9
Stockholder proposal regarding quantifiable performance metrics
Shareholder
Yes
Against
For
KLA-Tencor Corp.
KLAC
482480100
11/6/2013
1
Election of nominee Directors
Issuer
Yes
For
For
KLA-Tencor Corp.
KLAC
482480100
11/6/2013
2
Ratification of PricewaterhouseCoopers LLP as auditors ending June 30, 2014
Issuer
Yes
For
For
KLA-Tencor Corp.
KLAC
482480100
11/6/2013
3
Advisory vote on executive compensation
Issuer
Yes
For
For
KLA-Tencor Corp.
KLAC
482480100
11/6/2013
4
Approval and restatement of the 2004 equity incentive plan
Issuer
Yes
For
For
KLA-Tencor Corp.
KLAC
482480100
11/6/2013
5
Reapproval of the material terms of the Company's performance bonus plan
Issuer
Yes
For
For
The Estee Lauder Companies Inc.
EL
518439104
11/12/2013
1
Election of nominee Directors
Issuer
Yes
For
For
The Estee Lauder Companies Inc.
EL
518439104
11/12/2013
2
Approves KPMG LLP as the auditor for 2014
Issuer
Yes
For
For
The Estee Lauder Companies Inc.
EL
518439104
11/12/2013
3
Advisory vote on executive compensation
Issuer
Yes
For
For
The Estee Lauder Companies Inc.
EL
518439104
11/12/2013
4
Aprove the Executive Annual Incentive Plan pursuant to Section 162(m) of the Internal Revenue Code
Issuer
Yes
For
For
The Estee Lauder Companies Inc.
EL
518439104
11/12/2013
5
Vote on stockholder proposal concerning substainable palm oil
Shareholder
Yes
Against
For
Perrigo Company
PRGO
714290103
11/18/2013
1
Adopting the transaction agreement and approving the merger
Issuer
Yes
For
For
Perrigo Company
PRGO
714290103
11/18/2013
2
Approving the creation of distributable services
Issuer
Yes
For
For
Perrigo Company
PRGO
714290103
11/18/2013
3
Voting upon specified compensatory arrangements between the officers and Perrigo
Issuer
Yes
For
For
Perrigo Company
PRGO
714290103
11/18/2013
4
Re-approving the performance goals in incentive plan
Issuer
Yes
For
For
Perrigo Company
PRGO
714290103
11/18/2013
5
Approving the amendment and restatement of the 2008 long term incentive plan
Issuer
Yes
For
For
Perrigo Company
PRGO
714290103
11/18/2013
6
Approving any motion to adjourn the special meeting to another time or place if necessary
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
1/28/2014
1
Approve the issuance of up to approximately 1.28 billion shares of Verizon common stock to Vodafone ordinary shareholders in connection with Verizon's acquisition of Vodafone's indirect 45% interest in Verizon Wire
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
1/28/2014
2
Approve an amendment to Article 4(A) of Verizon's restated certificate of incorporation to increase Verizon's authorized shares of common stock by 2 billion shares to an aggregate of 6.25 billion authorized shares of common stock
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
1/28/2014
3
Approve the adjournment of the special meeting to solicit additional votes and proxies if there are insufficient votes at the time of the special meeting to approve the proposals
Issuer
Yes
For
For
Rockwell Automation Inc.
ROK
773903109
2/4/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Rockwell Automation Inc.
ROK
773903109
2/4/2014
2
Ratification of Deloitte Touche LLP as auditors
Issuer
Yes
For
For
Rockwell Automation Inc.
ROK
773903109
2/4/2014
3
Advisory vote on executive officer compensation
Issuer
Yes
For
For
Rockwell Automation Inc.
ROK
773903109
2/4/2014
4
Shareholder proposal requesting majority voting in elections of Directors
Shareholder
Yes
Abstain
Yes
Apple Inc.
AAPL
037833100
2/28/2014
1
Election of Directors
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
2
Amend the Company's Restated Articles of Incorporation to eliminate Article VII
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
3
Amend the Company's Articles to eliminate the "blank check" authority of the Board to issue preferred stock
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
4
Amend the Company's Articles  of Incorporation to establish a par value for the Company's common stock of $0.00001 per share
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
5
Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2014
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
6
Vote on a non-binding advisory resolution to approve executive compensation
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
7
Approval of Apple Inc. 2014 Employee Stock Plan
Issuer
Yes
For
For
Apple Inc.
AAPL
037833100
2/28/2014
8
Shareholder proposal entitled "Board Committee on Human Rights" to amend the Company's By-Laws
Shareholder
Yes
Against
For
Apple Inc.
AAPL
037833100
2/28/2014
9
Shareholder proposal of a non-binding advisory resolution entitled "Report on Company Membership and Involvement with Certain Trade Associations and Business Organizations"
Shareholder
Yes
Against
For
Apple Inc.
AAPL
037833100
2/28/2014
10
Shareholder proposal of a non-binding advisory resolution that the Company commit to completing not less than $50 billion of share repurchases during its 2014 fiscal year
Shareholder
Yes
Against
For
Apple Inc.
AAPL
037833100
2/28/2014
11
Shareholder proposal of a non-binding advisory resolution entitled "Proxy Access for Shareholders"
Shareholder
Yes
Against
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
3
To Approve the name change to Keurig Green Mountain Inc.
Issuer
Yes
For
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
4
To approve the 2014 Omnibus Incentive Plan
Issuer
Yes
For
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
5
To approve the Amended and Restated Employee Stock Purchase Plan
Issuer
Yes
For
For
Green Mountain Coffee Roasters, Inc.
GMCR
393122106
3/6/2014
6
Ratification of PricewaterhouseCoopers LLP as auditors for fiscal 2014
Issuer
Yes
For
For
Mylan Inc.
MYL
628530107
4/11/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Mylan Inc.
MYL
628530107
4/11/2014
2
Ratification of Deloitte Touche LLP as auditors
Issuer
Yes
For
For
Mylan Inc.
MYL
628530107
4/11/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
Mylan Inc.
MYL
628530107
4/11/2014
4
Shareholder proposal to adopt a policy that the Chairman of the Board be an independent Director
Shareholder
Yes
Against
For
Polaris Industries Inc.
PII
731068102
4/24/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Polaris Industries Inc.
PII
731068102
4/24/2014
2
Approval of the amended and restated Senior Executive Annual Incentive Compensation Plan
Issuer
Yes
For
For
Polaris Industries Inc.
PII
731068102
4/24/2014
3
Ratification of Ernst & Young  LLP as auditors  for 2014
Issuer
Yes
For
For
Polaris Industries Inc.
PII
731068102
4/24/2014
4
Advisory vote on compensation of Named Executive Officers
 
 
 
 
Tesoro Corp.
TSO
881609101
4/29/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Tesoro Corp.
TSO
881609101
4/29/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Tesoro Corp.
TSO
881609101
4/29/2014
3
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
EMC Corp.
EMC
268648102
4/30/2014
1
Election of nominee Directors
Issuer
Yes
For
For
EMC Corp.
EMC
268648102
4/30/2014
2
Ratification of PricewaterhouseCoopers LLP as auditors
Issuer
Yes
For
For
EMC Corp.
EMC
268648102
4/30/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
EMC Corp.
EMC
268648102
4/30/2014
4
Shareholder proposal relating to an independent Board Chairman
Shareholder
Yes
Against
For
EMC Corp.
EMC
268648102
4/30/2014
5
Shareholder proposal relating to political contributions
Shareholder
Yes
Against
For
Eastman Chemical Co.
EMN
277432100
5/1/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Eastman Chemical Co.
EMN
277432100
5/1/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Eastman Chemical Co.
EMN
277432100
5/1/2014
3
Ratification of PricewaterhouseCoopers LLP as auditors
Issuer
Yes
For
For
EOG Resources Inc.
EOG
26875P101
5/1/2014
1
Election of nominee Directors
Issuer
Yes
For
For
EOG Resources Inc.
EOG
26875P101
5/1/2014
2
Ratification of Deloitte Touche LLP as auditors for 2014
Issuer
Yes
For
For
EOG Resources Inc.
EOG
26875P101
5/1/2014
3
Vote on executive compensation
Issuer
Yes
For
For
EOG Resources Inc.
EOG
26875P101
5/1/2014
4
Stockholder proposal regarding quantitative risk management reporting for hydraulic fracturing operations
Shareholder
Yes
Against
For
EOG Resources Inc.
EOG
26875P101
5/1/2014
5
Stockholder proposal regarding methane emissions report
Shareholder
Yes
Against
For
Starwood Hotels & Resorts Worldwide, Inc.
HOT
85590A401
5/1/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Starwood Hotels & Resorts Worldwide, Inc.
HOT
85590A401
5/1/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Starwood Hotels & Resorts Worldwide, Inc.
HOT
85590A401
5/1/2014
3
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
2
Ratification of appt of independent registered public accounting firm
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
3
To approve executive compensation
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
4
Proposal to implement proxy access
Issuer
Yes
For
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
5
Proposal regarding Network Neutrality
Shareholder
Yes
Against
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
6
Proposal regarding Lobbying Activities
Shareholder
Yes
Against
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
7
Proposal regarding Severance Approval Policy
Shareholder
Yes
Against
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
8
Proposal regarding shareholder right to call a Special Meeting
Shareholder
Yes
Against
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
9
Proposal regarding shareholder right to act by written consent
Shareholder
Yes
Against
For
Verizon Communications Inc.
VZ
92343V104
5/1/2014
10
Proposal regarding proxy voting authority
Shareholder
Yes
Against
For
American Express Company
AXP
025816109
5/12/2014
1
Election of nominee Directors
Issuer
Yes
For
For
American Express Company
AXP
025816109
5/12/2014
2
Ratification of PricewaterhouseCoopers LLP as auditors for 2014
Issuer
Yes
For
For
American Express Company
AXP
025816109
5/12/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
American Express Company
AXP
025816109
5/12/2014
4
Shareholder proposal relating to annual disclosure of EEO-1  Data
Shareholder
Yes
Against
For
American Express Company
AXP
025816109
5/12/2014
5
Shareholder proposal relating to report on privacy, data security and government requests
Shareholder
Yes
Against
For
American Express Company
AXP
025816109
5/12/2014
6
Shareholder proposal relating to action by written consent
Shareholder
Yes
Against
For
American Express Company
AXP
025816109
5/12/2014
7
Shareholder proposal for executives to retain significant stock
Shareholder
Yes
Against
For
Packaging Corp. of America
PKG
68389X105
5/13/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Packaging Corp. of America
PKG
68389X105
5/13/2014
2
Approval on executive compensation
Issuer
Yes
For
For
Packaging Corp. of America
PKG
68389X105
5/13/2014
3
Ratification of KPMG  LLP as auditors
Issuer
Yes
For
For
Waste Management, Inc.
WM
94106L109
5/13/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Waste Management, Inc.
WM
94106L109
5/13/2014
2
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
Waste Management, Inc.
WM
94106L109
5/13/2014
3
To approve executive compensation
Issuer
Yes
For
For
Waste Management, Inc.
WM
94106L109
5/13/2014
4
Approval of 2014 stock incentive plan
Issuer
Yes
For
For
Waste Management, Inc.
WM
94106L109
5/13/2014
5
Stockholder proposal regarding disclosure of political contributions
Shareholder
Yes
Against
For
Akamai Technologies, Inc.
AKAM
00971T101
5/14/2014
1
Election of Directors
Issuer
Yes
For
For
Akamai Technologies, Inc.
AKAM
00971T101
5/14/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Akamai Technologies, Inc.
AKAM
00971T101
5/14/2014
3
Ratification of PricewaterhouseCoopers LLP as auditors for 2014
Issuer
Yes
For
For
Akamai Technologies, Inc.
AKAM
00971T101
5/14/2014
4
Proposal to repeal classified Board of Directors
Shareholder
Abstain
Abstain
For
Amgen Inc.
AMGN
031162100
5/15/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Amgen Inc.
AMGN
031162100
5/15/2014
2
Ratification of Ernst & Young  LLP as auditors ending December 31, 2014
Issuer
Yes
For
For
Amgen Inc.
AMGN
031162100
5/15/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
Amgen Inc.
AMGN
031162100
5/15/2014
4
Stockholder proposal regarding vote tabulation
Shareholder
Yes
Against
For
Discovery Communications Inc.
DISCA
231021106
5/16/2014
1
Election of Directors
Issuer
Yes
For
For
Discovery Communications Inc.
DISCA
231021106
5/16/2014
2
Ratification of PricewaterhouseCoopers LLP as auditors ending December 31, 2014
Issuer
Yes
For
For
Discovery Communications Inc.
DISCA
231021106
5/16/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
IntercontinentalExchange Group, Inc.
ICE
45865V100
5/16/2014
1
Election of nominee Directors
Issuer
Yes
For
For
IntercontinentalExchange Group, Inc.
ICE
45865V100
5/16/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
IntercontinentalExchange Group, Inc.
ICE
45865V100
5/16/2014
3
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
IntercontinentalExchange Group, Inc.
ICE
45865V100
5/16/2014
4
To approve the change of name to IntercontinentalExchange, Inc
Issuer
Yes
For
For
Amphenol Corporation
APH
032095101
5/21/2014
1
Election of Directors
Issuer
Yes
For
For
Amphenol Corporation
APH
032095101
5/21/2014
2
Ratification of Deloitte & Touche LLP as auditors
Issuer
Yes
For
For
Amphenol Corporation
APH
032095101
5/21/2014
3
Advisory vote on Executive Incentive Plan
Issuer
Yes
For
For
Amphenol Corporation
APH
032095101
5/21/2014
4
Ratify and approve amended 2009 Stock Purchase and Option Plan
Issuer
Yes
For
For
Amphenol Corporation
APH
032095101
5/21/2014
5
Advisory vote to approve compensation of named executive officers
Issuer
Yes
For
For
Ross Stores Inc.
ROST
778296103
5/21/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Ross Stores Inc.
ROST
778296103
5/21/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Ross Stores Inc.
ROST
778296103
5/21/2014
3
Ratification of Deloitte Touche LLP as auditors for fiscal year ending January 31, 2015
Issuer
Yes
For
For
Flowserve Corporation
FLS
34354P105
5/22/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Flowserve Corporation
FLS
34354P105
5/22/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Flowserve Corporation
FLS
34354P105
5/22/2014
3
Ratification of PricewaterhouseCoopers LLP as auditors for 2014
Issuer
Yes
For
For
Flowserve Corporation
FLS
34354P105
5/22/2014
4
Shareholder proposal for Directors to implement confidential voting in uncontested proxy solicitations
Shareholder
Yes
Against
For
McDonald's Corporation
MCD
580135101
5/22/2014
1
Election of nominee Directors
Issuer
Yes
For
For
McDonald's Corporation
MCD
580135101
5/22/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
McDonald's Corporation
MCD
580135101
5/22/2014
3
Approval of awards under the 2009 cash incentive plan
Issuer
Yes
For
For
McDonald's Corporation
MCD
580135101
5/22/2014
4
Approval of Ernst & Young  LLP as auditors for fiscal 2014
Issuer
Yes
For
For
McDonald's Corporation
MCD
580135101
5/22/2014
5
Advisory vote for the ability for shareholders to act by written consent
Shareholder
Yes
Against
For
Continental Resources, Inc.
CLR
212015101
5/23/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Continental Resources, Inc.
CLR
212015101
5/23/2014
2
Approval of executive compensation
Issuer
Yes
For
For
Continental Resources, Inc.
CLR
212015101
5/23/2014
3
Ratification of Grant Thornton LLP as auditors
Issuer
Yes
For
For
CenturyLink, Inc.
CTL
156700106
5/28/2014
1
Election of nominee Directors
Issuer
Yes
For
For
CenturyLink, Inc.
CTL
156700106
5/28/2014
2
Ratification of KPMG LLP as auditors for fiscal year 2014
Issuer
Yes
For
For
CenturyLink, Inc.
CTL
156700106
5/28/2014
3
Ratify a proxy access bylaw amendment
Issuer
Yes
For
For
CenturyLink, Inc.
CTL
156700106
5/28/2014
4
Advisory vote on executive compensation
Issuer
Yes
For
For
CenturyLink, Inc.
CTL
156700106
5/28/2014
5
Shareholder proposal on equity retention
Shareholder
Yes
Against
For
Delta Air Lines, Inc.
DAL
247361702
6/27/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Delta Air Lines, Inc.
DAL
247361702
6/27/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Delta Air Lines, Inc.
DAL
247361702
6/27/2014
3
Ratification of Ernst & Young  LLP as auditors for the year ending December 31, 2014
Issuer
Yes
For
For
Delta Air Lines, Inc.
DAL
247361702
6/27/2014
4
Approve an increase of max number of Directors
Issuer
Yes
For
For
Delta Air Lines, Inc.
DAL
247361702
6/27/2014
5
Stockholder proposal request to adopt a stock retention policy for executives
Shareholder
Yes
Against
For
Cirrus Logic Inc.
CRUS
172755100
7/28/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Cirrus Logic Inc.
CRUS
172755100
7/28/2014
2
Ratification of Ernst & Young  LLP as auditors for the fiscal year ending March 28, 2015
Issuer
Yes
For
For
Cirrus Logic Inc.
CRUS
172755100
7/28/2014
3
Advisory vote to approve named executive compensation
Issuer
Yes
For
For
Cirrus Logic Inc.
CRUS
172755100
7/28/2014
4
Approval and restatement of the 2006 Stock Incentive Plan
Issuer
Yes
For
For
Cirrus Logic Inc.
CRUS
172755100
7/28/2014
5
Approval of material terms of the 2006 Stock Incentive Plan, as amended and restated, for purposes of complying with the requirements of Section 162(m) of the Internal Revenue Code
Issuer
Yes
For
For
Jazz Pharmaceuticals PLC
JAZZ
G50871105
7/31/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Jazz Pharmaceuticals PLC
JAZZ
G50871105
7/31/2014
2
Approves KPMG LLP as auditors for the fiscal year ending December 31, 2014 and to authorize the Audit Committee of the Board of Directors to determine the auditors' remuneration
Issuer
Yes
For
For
Jazz Pharmaceuticals PLC
JAZZ
G50871105
7/31/2014
3
Authorize the Company and/or any subsidiary of the Company to make market purchases of the Company's ordinary shares
Issuer
Yes
For
For
Jazz Pharmaceuticals PLC
JAZZ
G50871105
7/31/2014
4
Advisory vote on executive compensation
Issuer
Yes
For
For
 
 
INVESTMENT COMPANY REPORT
 
ALPHAMARK SMALL CAP GROWTH FUND (AMSCX)
PROXY VOTING RECORD: July 1, 2013 to June 30, 2014
 
 
 
 
 
 
Issuer Name
Ticker Symbol
CUSIP
Shareholder Meeting
Agenda Item #
Brief Identification of the Matter Voted On
Proposed by Issuer or Security Holder?
Did the Fund Vote?
How did the Fund Cast its Vote?  For, Against, Abstain
Did the Fund Vote For or Against Management?
Omnivision Technologies Inc.
OVTI
682128103
9/26/2013
1
Election of nominee Director
Issuer
Yes
For
For
Omnivision Technologies Inc.
OVTI
682128103
9/26/2013
2
Ratification of PricewaterhouseCoopers LLP as auditors for year the fiscal year ending April 30, 2014
Issuer
Yes
For
For
Omnivision Technologies Inc.
OVTI
682128103
9/26/2013
3
Approval of certain amendments to the 2007 Equity Incentive Plan, including an amendment to increase the number of shares available for issuance thereunder by 4,900,000 shares
Issuer
Yes
For
For
Omnivision Technologies Inc.
OVTI
682128103
9/26/2013
4
Approval of an amendment to the 2009 Employee Stock Purchase Plan to increase the number of shares available for issuance thereunder by 2,500,000 shares
Issuer
Yes
For
For
Omnivision Technologies Inc.
OVTI
682128103
9/26/2013
5
Advisory vote on executive compensation
Issuer
Yes
For
For
Cooper Tire & Rubber Company
CTB
216831107
9/30/2013
1
Adopt the Agreement and Plan of Merger, dated as of June 12, 2013, which we refer to as the merger agreement, by and among Cooper Tire, Apollo Holdings Pvt. Ltd., Apollo Tyres B.V., a wholly owned subsidiary of Parent ("Dutch Holdco"), and Apollo Acquisition Corp., a wholly owned subsidiary of Dutch Holdco
Issuer
Yes
For
For
Cooper Tire & Rubber Company
CTB
216831107
9/30/2013
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Cooper Tire & Rubber Company
CTB
216831107
9/30/2013
3
Approve adjournment of special meeting if there are not sufficient votes
Issuer
Yes
For
For
Silicon Graphics International Corp.
SIMO
82706C108
12/9/2013
1
Election of nominee Directors
Issuer
Yes
For
For
Silicon Graphics International Corp.
SIMO
82706C108
12/9/2013
2
Ratify the selection of Deloitte & Touche as independent auditors for the fiscal year ending June 27, 2014
Issuer
Yes
For
For
Silicon Graphics International Corp.
SIMO
82706C108
12/9/2013
3
Advisory vote on executive officer compensation
 
 
 
 
Multimedia Games Holding Company, Inc.
MGAM
625453105
1/30/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Multimedia Games Holding Company, Inc.
MGAM
625453105
1/30/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Multimedia Games Holding Company, Inc.
MGAM
625453105
1/30/2014
3
Ratification of BDO USA, LLP as auditors for the fiscal year ending September 30, 2014
Issuer
Yes
For
For
Altra Industrial Motion Corp.
AIMC
021441100
4/24/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Altra Industrial Motion Corp.
AIMC
021441100
4/24/2014
2
Ratify appt of Deloitte & Touche for fiscal year ending December 31, 2014
Issuer
Yes
For
For
Altra Industrial Motion Corp.
AIMC
021441100
4/24/2014
3
To approve the adoption of the 2014 Omnibus Incentive Plan
Issuer
Yes
For
For
Altra Industrial Motion Corp.
AIMC
021441100
4/24/2014
4
Advisory vote on executive compensation
Issuer
Yes
For
For
Astronics Corp.
ATRO
046433108
5/13/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Astronics Corp.
ATRO
046433108
5/13/2014
2
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
Astronics Corp.
ATRO
046433108
5/13/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
Cynosure Inc
CYNO
232577205
5/14/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Cynosure Inc
CYNO
232577205
5/14/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Cynosure Inc
CYNO
232577205
5/14/2014
3
Ratification of Ernst & Young  LLP as auditors for the fiscal year ending December 31, 2014
Issuer
Yes
For
For
Computer Programs and Systems Inc.
CPSI
205306103
5/15/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Computer Programs and Systems Inc.
CPSI
205306103
5/15/2014
2
Approve the adoption of the 2014 incentive plan
Issuer
Yes
For
For
Computer Programs and Systems Inc.
CPSI
205306103
5/15/2014
3
Approve the amendment and restatement of the 2005 restricted stock plan
Issuer
Yes
For
For
Computer Programs and Systems Inc.
CPSI
205306103
5/15/2014
4
Ratification of Grant Thornton LLP as auditors for the year ending December 31, 2014
Issuer
Yes
For
For
Computer Programs and Systems Inc.
CPSI
205306103
5/15/2014
5
Advisory vote on executive compensation
Issuer
Yes
For
For
Credit Acceptance Corp.
CACC
225310101
5/15/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Credit Acceptance Corp.
CACC
225310101
5/15/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
Credit Acceptance Corp.
CACC
225310101
5/15/2014
3
Ratification of Grant Thornton LLP as auditors for 2014
Issuer
Yes
For
For
HFF, Inc.
HF
40418F108
5/22/2014
1
Election of nominee Directors
Issuer
Yes
For
For
HFF, Inc.
HF
40418F108
5/22/2014
2
Advisory vote on executive compensation
Issuer
Yes
For
For
HFF, Inc.
HF
40418F108
5/22/2014
3
Ratification of public accounting firm
Issuer
Yes
For
For
Belden Inc.
BDC
077454106
5/28/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Belden Inc.
BDC
077454106
5/28/2014
2
Ratification of Ernst & Young  LLP as auditors for 2014
Issuer
Yes
For
For
Belden Inc.
BDC
077454106
5/28/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
The Ensign Group, Inc.
ENSG
29358P101
5/29/2014
1
Election of nominee Directors
Issuer
Yes
For
For
The Ensign Group, Inc.
ENSG
29358P101
5/29/2014
2
Ratify appointment of Deloitte & Touche for fiscal year 2014
Issuer
Yes
For
For
The Ensign Group, Inc.
ENSG
29358P101
5/29/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
The Ensign Group, Inc.
ENSG
29358P101
5/29/2014
4
Re-approval of the compensationany 2007 omnibus incentive plan
Issuer
Yes
For
For
The Ensign Group, Inc.
ENSG
29358P101
5/29/2014
5
Stockholder proposal for majority voting in uncontested Director elections
Shareholder
Yes
For
For
Vaalco Energy, Inc.
EGY
91851C201
6/4/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Vaalco Energy, Inc.
EGY
91851C201
6/4/2014
2
Approve and ratify the 2014 Long Term Incentive Plan
Issuer
Yes
For
For
Vaalco Energy, Inc.
EGY
91851C201
6/4/2014
3
Ratify the selection of Deloitte & Touche as independent auditors for 2014
Issuer
Yes
For
For
Vaalco Energy, Inc.
EGY
91851C201
6/4/2014
4
Advisory vote on executive compensation
Issuer
Yes
For
For
MarketAxess Holdings Inc.
MKTX
57060D108
6/5/2014
1
Election of nominee Directors
Issuer
Yes
For
For
MarketAxess Holdings Inc.
MKTX
57060D108
6/5/2014
2
Ratification of PricewaterhouseCoopers LLP as auditors for year ending December 31, 2014
Issuer
Yes
For
For
MarketAxess Holdings Inc.
MKTX
57060D108
6/5/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
Natus Medical Incorporated
BABY
639050103
6/6/2014
1
Election of nominee Director
Issuer
Yes
For
For
Natus Medical Incorporated
BABY
639050103
6/6/2014
2
Ratification of KPMG LLP as auditors for the year ending December 31, 2014
Issuer
Yes
For
For
Natus Medical Incorporated
BABY
639050103
6/6/2014
3
Approve an amendment to the 2011 Stock Awards Plan
Issuer
Yes
For
For
Natus Medical Incorporated
BABY
639050103
6/6/2014
4
Advisory vote on executive compensation
Issuer
Yes
For
For
Momenta Pharmaceuticals, Inc.
MNTA
60877T100
6/11/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Momenta Pharmaceuticals, Inc.
MNTA
60877T100
6/11/2014
2
Ratification of Ernst & Young  LLP as auditors for the year ending December 31, 2014
Issuer
Yes
For
For
Momenta Pharmaceuticals, Inc.
MNTA
60877T100
6/11/2014
3
Advisory vote on executive compensation
Issuer
Yes
For
For
Momenta Pharmaceuticals, Inc.
MNTA
60877T100
6/11/2014
4
Approve the amendment and restatement of the Employee Stock Purchase Plan
Issuer
Yes
For
For
Momenta Pharmaceuticals, Inc.
MNTA
60877T100
6/11/2014
5
Approve the amendment and restatement of the 2013 Incentive Award Plan that increases the number of shares authorized for issuance by 1,800,000 shares
Issuer
Yes
For
For
PVH Corp.
PVH
718592108
6/19/2014
1
Election of nominee Directors
Issuer
Yes
For
For
PVH Corp.
PVH
718592108
6/19/2014
2
Advisory vote on executive officer compensation
Issuer
Yes
For
For
PVH Corp.
PVH
718592108
6/19/2014
3
Ratification of auditors
Issuer
Yes
For
For
Genesco Inc.
GCO
371532102
6/26/2014
1
Election of nominee Directors
Issuer
Yes
For
For
Genesco Inc.
GCO
371532102
6/26/2014
2
Say on pay  - Advisory vote on executive officer compensation
Issuer
Yes
For
For
Genesco Inc.
GCO
371532102
6/26/2014
3
Ratification of public accounting firm
Issuer
Yes
For
For