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: 811-576
Northeast Investors Trust
(exact name of registrant as specified in charter)
125 High Street, Room 1802
Boston, MA 02110
(address of principal executive offices)
David Randall
125 High St, Room 1802
Boston, MA 02110
(name and address of agent for service)
Registrant's telephone number, including area code: 800-225-6704
Date of fiscal year end: September 30
Date of reporting period ending: June 30, 2018
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 records for
the most recent twelve-month period 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. 3507.
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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INVESTMENT COMPANY REPORT
VISKASE COMPANIES, INC
Security 92831R201 Meeting Type Annual
Ticker Symbol VKSC Meeting Date 17-Oct-2017
ISIN US92831R2013 Agenda 943686570 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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1. DIRECTOR Management
1 DENISE BARTON For For
2 THOMAS D. DAVIS For For
3 JONATHAN FRATES For For
4 MICHAEL NEVIN For For
5 PETER RECK For For
6 PETER K. SHEA For For
2. AMENDMENT OF OUR AMENDED AND RESTATED CERTIFICATE OF Management For For
INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES
OF COMMON STOCK
INVESTMENT COMPANY REPORT
GETLINK S.E.
Security F477AL114 Meeting Type MIX
Ticker Symbol Meeting Date 18-Apr-2018
ISIN FR0010533075 Agenda 709124692 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 885573 Non-Voting
ON RECEIPT OF UPDATED AGENDA WITH 28 RESOLUTIONS. ALL VOTES
RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU
WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU.
CMMT THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD Non-Voting
SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON
THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS
AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE.
CMMT IN CASE AMENDMENTS OR NEW RESOLUTIONS ARE PRESENTED DURING THE Non-Voting
MEETING, YOUR VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN
ALTERNATIVELY BE PASSED TO THE CHAIRMAN OR A NAMED THIRD PARTY
TO VOTE ON ANY SUCH ITEM RAISED. sHOULD YOU WISH TO PASS CONTROL
OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR BROADRIDGE CLIENT
SERVICE REPRESENTATIVE. THANK YOU.
CMMT 10 APR 2018: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING Non-Voting
INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL
LINK: https://WWW.journal-officiel.gouv.fr/publications/balo/pdf/2018/0306/
201803261-800777.pdf AND PLEASE NOTE THAT THIS IS A REVISION DUE TO A CHANGE
IN NUMBERING OF 17 AND 18.
IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID:885573 PLEASE DO NOT VOTE
AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
O.1 REVIEW AND APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL Management For For
YEAR ENDED 31 DECEMBER 2017
O.2 ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2017 Management For For
O.3 REVIEW AND APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL Management For For
YEAR ENDED 31 DECEMBER 2017
O.4 STATUTORY AUDITORS' SPECIAL REPORT ON THE PURSUIT OF A REGULATED AGREEMENT Management For For
DURING THE FINANCIAL YEAR
O.5 AUTHORIZATION GRANTED FOR 18 MONTHS TO THE BOARD OF DIRECTORS TO ALLOW THE COMPANY Management For For
TO REPURCHASE AND TRADE IN ITS OWN SHARES
O.6 RENEWAL OF THE TERM OF OFFICE OF MR. JACQUES GOUNON AS DIRECTOR Management For For
O.7 RATIFICATION OF THE CO-OPTATION OF MR. BERTRAND BADRE AS DIRECTOR Management For For
O.8 RENEWAL OF THE TERM OF OFFICE OF MR. BERTRAND BADRE AS DIRECTOR Management For For
O.9 RENEWAL OF THE TERM OF OFFICE OF MRS. CORINNE BACH AS A DIRECTOR Management For For
O.10 RENEWAL OF THE TERM OF OFFICE OF MRS. PATRICIA HEWITT AS DIRECTOR Management For For
O.11 RENEWAL OF THE TERM OF OFFICE OF MR. PHILIPPE VASSEUR AS DIRECTOR Management For For
O.12 RENEWAL OF THE TERM OF OFFICE OF MR. TIM YEO AS DIRECTOR Management For For
O.13 APPOINTMENT OF MR. GIOVANNI CASTELLUCCI AS DIRECTOR Management For For
O.14 APPOINTMENT OF MRS. ELISABETTA DE BERNARDI DI VALSERRA AS DIRECTOR Management For For
O.15 APPROVAL OF THE COMPENSATION PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 Management For For
DECEMBER 2017 TO MR. JACQUES GOUNON CHAIRMAN AND CHIEF EXECUTIVE OFFICER
O.16 APPROVAL OF THE COMPENSATION PAID OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 Management For For
DECEMBER 2017 TO MR. FRANCOIS GAUTHEY, DEPUTY CHIEF EXECUTIVE OFFICER
E.17 APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO THE CHAIRMAN AND CHIEF Management For For
EXECUTIVE OFFICER
E.18 APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO THE DEPUTY CHIEF EXECUTIVE OFFICER Management For For
E.19 DELEGATION OF AUTHORITY GRANTED FOR 12 MONTHS TO THE BOARD OF DIRECTORS, TO PROCEED Management For For
WITH A COLLECTIVE ALLOCATION OF FREE SHARES TO ALL NON-EXECUTIVE EMPLOYEES OF THE
COMPANY AND COMPANIES DIRECTLY RELATED TO IT OR INDIRECTLY WITHIN THE MEANING
OF ARTICLE L.225-197-2 OF THE FRENCH COMMERCIAL CODE
E.20 LONG-TERM INCENTIVE PROGRAM FOR SENIOR EXECUTIVES AND EXECUTIVE CORPORATE OFFICERS: Management For For
CREATION OF PREFERRED SHARES CONVERTIBLE INTO COMMON SHARES AFTER A PERIOD OF THREE
YEARS, UNDER PERFORMANCE CONDITIONS
E.21 DELEGATION OF AUTHORITY GRANTED FOR 12 MONTHS TO THE BOARD OF DIRECTORS TO ALLOCATE Management For For
FREE SHARES PREFERABLY TO CERTAIN EXECUTIVE CORPORATE OFFICERS OF THE COMPANY AND
EMPLOYEES OF THE COMPANY AND ITS SUBSIDIARIES RESULTING IN A WAIVER OF THE
SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT
E.22 AUTHOIZATION GRANTED FOR 18 MONTHS TO THE BOARD OF DIRECTORS TO REDUCE THE CAPITAL Management For For
BY CANCELLING SHARES
E.23 DELEGATION OF AUTHORITY GRANTED FOR 26 MONTHS TO THE BOARD OF DIRECTORS TO INCREASE Management For For
THE SHARE CAPITAL WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION
RIGHT BY ISSUING COMMON SHARES OR TRANSFERRABLE SECURITIES GRANTING ACCESS TO THE
SHARE CAPITAL OF THE COMPANY RESERVED FOR EMPLOYEES WHO ARE MEMBERS OF A COMPANY
SAVINGS PLAN
E.24 AMENDMENT TO ARTICLES 15, 16, AND 17 OF THE COMPANY'S BY-LAWS TO DETERMINE THE Management For For
TERMS OF APPOINTMENT OF THE DIRECTOR REPRESENTING EMPLOYEES
E.25 AMENDMENT TO ARTICLE 15 OF THE BY-LAWS OF THE COMPANY TO INCREASE THE NUMBER OF Management For For
DIRECTORS
E.26 AMENDMENT TO ARTICLE 23 OF THE COMPANY'S BY-LAWS TO AMEND THE AGE LIMIT OF THE CHIEF Management For For
EXECUTIVE OFFICER OR DEPUTY CHIEF EXECUTIVE OFFICER
E.27 AMENDMENT TO ARTICLE 3 OF THE COMPANY'S BY-LAWS TO CHANGE THE CORPORATE NAME TO Management For For
GETLINK SE
E.28 POWERS Management For For
INVESTMENT COMPANY REPORT
STONE ENERGY CORPORATION
Security 861642403 Meeting Type CONSENT
Ticker Symbol SGY Meeting Date 05-MAY-2018
ISIN US8616424037 Agenda 934786635 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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1. ADOPTION OF THE TRANSACTION AGREEMENT DATED AS OF NOVEMBER Management For For
21, 2017 AMONG STONE ENERGY, NEW TALOS, SAILFISH MERGER SUB
CORPORATION ("MERGER sUB"), AN INDIRECT, WHOLLY OWNED
SUBSIDIARY OF STONE ENERGY, TALOS ENERGY LLC ("TALOS
ENERGY") AND TALOS PRODUCTION LLC ("TALOS PRODUCTION")
("TRANSACTION AGREEMENT"), AND THEREBY APPROVAL AND ADOPTION
OF THE TRANSACTIONS CONTEMPLATED BY THE TRANSACTION
AGREEMENT (THE "TRANSACTIONS")
2. APPROVAL, ON A NON-BINDING, ADVISORY BASIS, OF THE Management For For
COMPENSATION THAT WILL OR MAY BECOME PAYABLE TO STONE
ENERGY'S NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE
TRANSACTIONS.
3. ADOPTION OF THE TALOS ENERGY, INC. LONG TERM INCENTIVE PLAN Management For For
INVESTMENT COMPANY REPORT
SILVERBOW RESOURCES, INC.
Security 82836G102 Meeting Type Annual
Ticker Symbol SBOW Meeting Date 15-May-2018
ISIN US82836G1022 Agenda 934762572 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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1. DIRECTOR Management
1 GABRIEL L. ELLISOR For For
2 CHARLES W. WAMPLER For For
2. THE RATIFICATION OF THE SELECTION OF BDO USA, LLP AS Management For For
SILVERBOW RESOURCES' INDEPENDENT AUDITOR FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2018
3. THE APPROVAL, ON THE ADVISORY BASIS, OF THE COMPENSATION Management For For
OF SILVERBOW RESOURCES' NAMED EXECUTIVE OFFICERS AS
PRESENTED IN THIS PROXY STATEMENT
INVESTMENT COMPANY REPORT
ENERGY XXI GULF COAST
Security 29276K101 Meeting Type ANNUAL
Ticker Symbol EGC Meeting Date 17-MAY-2018
ISIN US29276K1016 Agenda 9934794240 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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1. DIRECTOR Management
1 MICHAEL S. BAHORICH For For
2 DOUGLAS E. BROOKS For For
3 GABRIEL L. ELLISOR For For
4 GARY C. HANNA For For
5 STANFORD SPRINGEL For For
6 CHARLES W. WAMPLER For For
2. TO APPROVE THE COMPANY'S 2018 LONG TERM INCENTIVE PLAN Management For For
3. TO APPROVE, IN A NON-BINDING ADVISORY VOTE,THE Management For For
COMPENSATION PROVIDED TO THE NAMED EXECUTIVE OFFICERS
AS DESCRIBED IN THE PROXY STATEMENT
4. TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR Management For For
INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE
YEAR 2018
INVESTMENT COMPANY REPORT
NL INDUSTRIES, INC.
Security 629156407 Meeting Type ANNUAL
Ticker Symbol NL Meeting Date 17-MAY-2018
ISIN US6291564077 Agenda 934762053 - Management
FOR/AGAINST
ITEM PROPOSAL TYPE VOTE MANAGEMENT
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1. DIRECTOR Management
1 KEITH R. COOGAN For For
2 LORETTA J. FEEHAN For For
3 ROBERT D. GRAHAM For For
4 JOHN E. HARPER For For
5 MEREDITH W. MENDES For For
5 CECIL H. MOORE, JR. For For
6 THOMAS P. STAFFORD For For
2. NONBINDING ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION Management For For
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) Northeast Investors Trust
/s/ Bruce Monrad
By (Signature and Title)* Bruce Monrad, Chairman
(Principal Executive Officer)
Date August xx, 2018
* Print the name and title of each signing officer under his or her signature
By the Commission