Annual Report of Proxy Voting Record for Management Investment Companies (n-px)
30 Juillet 2013 - 9:12PM
Edgar (US Regulatory)
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
811-21930
Oceanstone Fund
(Exact name of registrant as specified in charter)
13453 El Presidio Trail
San Diego, CA 92130
(Address of principal executive offices)
(Zip code)
James J. Wang
P.O. Box 130982
Carlsbad, CA 92013
(Name and address of agent for service)
Registrant's
telephone number, including area code:
858-481-4123
Date
of fiscal year end:
June 30
Date
of reporting period:
June 30, 2013
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
(Sections 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
notes.
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. Section
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.
|
Ticker Symbol:
DELL
|
Cusip Number:
24702R101
|
|
Record Date:
5/18/2012
|
Meeting Date:
7/13/2012
|
|
Proposal #
|
Proposal
|
|
Vote
|
Author
|
MRV*
|
vs. Mgmt
|
|
|
1
|
ELECTION OF DIRECTORS: 1A) JAMES W. BREYER 1B) DONALD J. CARTY 1C) JANET F. CLARK 1D) LAURA CONIGLIARO 1E) MICHAEL S. DELL 1F) KENNETH M. DUBERSTEIN 1G) WILLIAM H. GRAY, III 1H) GERARD J. KLEISTERLEE 1I) KLAUS S. LUFT 1J) ALEX J. MANDL 1K) SHANTANU NARAYEN 1L) H. ROSS PEROT, JR.
|
|
For
|
Issuer
|
For
|
With
|
|
|
2
|
RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP AS DELL'S INDEPENDENT AUDITOR FOR FISCAL 2013
|
|
For
|
Issuer
|
For
|
With
|
|
|
3
|
APPROVAL, ON AN ADVISORY BASIS, OF DELL'S COMPENSATION OF ITS NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT
|
|
For
|
Issuer
|
For
|
With
|
|
|
4
|
APPROVAL OF THE DELL INC. 2012 LONG-TERM INCENTIVE PLAN
|
|
For
|
Issuer
|
For
|
With
|
|
|
ITT EDUCATIONAL SERVICES, INC.
|
|
Ticker Symbol:
ESI
|
Cusip Number:
45068B109
|
|
Record Date:
3/8/2013
|
Meeting Date:
5/7/2013
|
|
Proposal #
|
Proposal
|
|
Vote
|
Author
|
MRV*
|
vs. Mgmt
|
|
|
1
|
ELECTION OF DIRECTORS: 1A. JOHN F. COZZI 1B: KEVIN M. MODANY 1C: THOMAS I. MORGAN
|
|
For
|
Issuer
|
For
|
With
|
|
|
2
|
TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS ITT EDUCATIONAL SERVICES, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2013.
|
|
For
|
Issuer
|
For
|
With
|
|
|
3
|
TO APPROVE THE ITT EDUCATIONAL SERVICES, INC. AMENDED AND RESTATED 2006 EQUITY COMPENSATION PLAN.
|
|
For
|
Issuer
|
For
|
With
|
|
|
4
|
ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION.
|
|
For
|
Issuer
|
For
|
With
|
|
|
Ticker Symbol:
RAD
|
Cusip Number:
767754104
|
|
Record Date:
4/29/2013
|
Meeting Date:
6/20/2013
|
|
Proposal #
|
Proposal
|
|
Vote
|
Author
|
MRV*
|
vs. Mgmt
|
|
|
1
|
ELECTION OF DIRECTORS: 1A. JOHN T. STANDLEY 1B. JOSEPH B. ANDERSON, JR. 1C. BRUCE G. BODAKEN 1D. FRANCOIS J. COUTU 1E. DAVID R. JESSICK 1F. MICHAEL N. NEGAN 1G. MARCY SYMS
|
|
For
|
Issuer
|
For
|
With
|
|
|
2
|
RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
|
For
|
Issuer
|
For
|
With
|
|
|
3
|
APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS AS PRESENTED IN THE PROXY STATEMENT.
|
|
For
|
Issuer
|
For
|
With
|
|
|
4
|
CONSIDER A STOCKHOLDER PROPOSAL RELATING TO A POLICY REGARDING GROSS-UP PAYMENTS.
|
|
Against
|
Stockholder
|
Against
|
With
|
|
|
5
|
CONSIDER A STOCKHOLDER PROPOSAL RELATING TO THE RELATIONSHIPS OF THE DIRECTORS.
|
|
Against
|
Stockholder
|
Against
|
With
|
|
|
XINYUAN REAL ESTATE CO. LTD
|
|
Ticker Symbol:
XIN
|
Cusip Number:
98417P105
|
|
Record Date:
11/2/2012
|
Meeting Date:
11/30/2012
|
|
Proposal #
|
Proposal
|
|
Vote
|
Author
|
MRV*
|
vs. Mgmt
|
|
|
1
|
TO RATIFY BY THE PASSING OF AN ORDINARY RESOLUTION THE APPOINTMENT OF THE INDEPENDENT AUDITOR ERNST & YOUNG HUA MING FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012
|
|
For
|
Issuer
|
For
|
With
|
|
* Management Recommended Vote
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.
Oceanstone Fund
By
/s/James J. Wang
* James J. Wang
President
and Treasurer
Date: July 31, 2013
*Print the name and title of each signing officer under his or her
signature.
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