Form: N-PX

Annual Report of proxy voting record of management investment companies

August 30, 2017



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
FORM N-PX
 
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
 
Investment Company Act file number 811-07074
 
180 Degree Capital Corp. 
(Exact name of registrant as specified in charter) 


7. North Willow Street, Suite 4B
Montclair, NJ 07042
(Address of principal executive offices) (Zip code)
 
Daniel B. Wolfe
President and Chief Financial Officer
180 Degree Capital Corp.
7. North Willow Street, Suite 4B
Montclair, NJ 07042
(Name and address of agent for service)
 
Registrant’s telephone number, including area code: 973-746-4500
 
Date of fiscal year end: December 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 (§§ 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, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.





Item 1. Proxy Voting Record

Adesto Technologies Corporation
 
 
 
 
 
 
 
Exchange and Symbol:
NASDAQ:IOTS
 
 
CUSIP:
00687D101
 
 
Shareholder Meeting Type:
Annual Meeting
 
 
Shareholder Meeting Date:
June 6, 2017
 
 
 
 
 
 
Proposal:
Proposed by:
Vote:
For/Against Management:
 
 
 
 
1.
Election of Class II Directors
 
 
 
Francis Lee
Management
For
For
Kevin Palatnik
Management
For
For
 
 
 
 
2.
Ratification of BPM LLP as Adesto's Independent Registered Public Accounting Firm for 2017
Management
For
For

Champions Oncology, Inc.
 
 
 
 
 
 
 
Exchange and Symbol:
NASDAQ:CSBR
 
 
CUSIP:
15870P307
 
 
Shareholder Meeting Type:
Annual Meeting
 
 
Shareholder Meeting Date:
October 13, 2016
 
 
 
 
 
 
Proposal:
Proposed by:
Vote:
For/Against Management:
 
 
 
 
1.
Election of Directors
 
 
 
Joel Ackerman
Management
For
For
Daniel Mendelson
Management
For
For
Ronnie Morris, M.D.
Management
For
For
Abba David Poliakoff
Management
For
For
David Sidransky
Management
For
For
Philip Breitfeld
Management
For
For
Scott R. Tobin
Management
For
For
 
 
 
 
2.
Ratification of EisnerAmper LLP as Champion Oncology's Independent Registered Public Accounting Firm for its 2017 Fiscal Year
Management
For
For
 
 
 
 
3.
Say on Pay - Approval of compensation of Champion Oncology's named executive officers on an advisory basis
Management
For
For





D-Wave Systems, Inc.
 
 
 
 
 
 
 
Exchange and Symbol:
N/A
 
 
CUSIP:
N/A
 
 
Shareholder Meeting Type:
Annual Meeting
 
 
Shareholder Meeting Date:
July 29, 2016
 
 
 
 
 
 
Proposal:
Proposed by:
Vote:
For/Against Management:
 
 
 
 
1.
Election of Directors
 
 
 
Alexei A. Andreev
Management
For
For
Vern J. Brownell
Management
For
For
Geoff J. Catherwood
Management
For
For
J. Haig Deb. Farris
Management
For
For
Steven T. Jurvetson
Management
For
For
V. Paul Lee
Management
For
For
Donald Listwin
Management
For
For
Steven M. West
Management
For
For
 
 
 
 
2.
Ratification of PricewaterhouseCoopers LLP as D-Wave's Independent Registered Public Accounting Firm for Fiscal Year 2017
Management
For
For

HZO, Inc.
 
 
 
 
 
 
 
Exchange and Symbol:
N/A
 
 
CUSIP:
N/A
 
 
Shareholder Meeting Type:
Annual Meeting
 
 
Shareholder Meeting Date:
February 2, 2017
 
 
 
 
 
 
Proposal:
Proposed by:
Vote:
For/Against Management:
 
 
 
 
1.
Election of Directors
 
 
 
Donald Blohm
Management
For
For
Gavin Myers
Management
For
For
Douglas Jamison
Management
For
For
Patrick Poon
Management
For
For
Ryan Pollock
Management
For
For
Kamal Bherwani
Management
For
For





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.

Registrant:
180 Degree Capital Corp.
 
 
By:
/s/ Daniel B. Wolfe
 
Daniel B. Wolfe
 
President and Chief Financial Officer
 
 
Date:
August 30, 2017