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 811-22684

 

DAXOR CORPORATION

(Exact name of registrant as specified in charter)

 

350 Fifth Avenue

Suite 4740

New York, NY 10118

(Address of principal executive offices) (Zip code)

 

Joseph Feldschuh, MD

350 Fifth Avenue

Suite 4740

New York, NY 10118

(Name and address of agent for service)

 

Registrant’s telephone number, including area code: 1-212-330-8500

 

Date of fiscal year end: December 31, 2016

 

Date of reporting period: July 1, 2015 to June 30, 2016

 

 

 

 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
National Grid PLC July 21, 2015   636274300 NGG
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1. To receive the Annual Report and Accounts MANAGEMENT
For For   2. To declare a final dividend MANAGEMENT
For For   3. To re-elect Sir Peter Gershon MANAGEMENT
For For   4. To re-elect Steve Holliday MANAGEMENT
For  For   5. To re-elect Andrew Bonfield MANAGEMENT
For For   6. To re-elect John Pettigrew MANAGEMENT
For For   7. To elect Dean Seaver MANAGEMENT
For For   8. To re-elect Nora Mead Brownell MANAGEMENT
For For   9. To re-elect Jonathan Dawson MANAGEMENT
For For   10. To re-elect Therese Esperdy MANAGEMENT
For For   11. To re-elect Paul Golby MANAGEMENT
For For   12. To re-elect Ruth Kelly MANAGEMENT
For  For   13. To re-elect Mark Williamson MANAGEMENT
For For   14. To reappoint the auditors PricewaterhouseCoopers LLP MANAGEMENT
For For   15. To authorize the Directors to set the auditors’ remuneration MANAGEMENT
Against Against   16. To approve the Directors’ Remuneration policy MANAGEMENT
For For   17. To authorize the Directors to allot ordinary shares MANAGEMENT
For For   18. To disapply pre-emption rights MANAGEMENT
For For   19. To authorize the Company to purchase its own ordinary shares MANAGEMENT
For For   20. To authorize the Directors to hold general meetings on 14 clear days’ notice MANAGEMENT

 

2 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
American Electric Power Company, Inc. April 26, 2016   025537101 AEP
         
Vote MRV  

 

Proposal

Proposed by Issuer or

Security Holder

For For   1a. Election of Directors: Nicholas K. Akins MANAGEMENT
For For   1b. Election of Directors: David J. Anderson MANAGEMENT
For For   1c. Election of Directors: J. Barnie Beasley, Jr. MANAGEMENT
For For   1d. Election of Directors: Ralph D. Crosby, Jr. MANAGEMENT
For For   1e. Election of Directors: Linda A. Goodspeed MANAGEMENT
For For   1f. Election of Directors: Thomas E. Hoaglin MANAGEMENT
For For   1g. Election of Directors: Sandra Beach Lin MANAGEMENT
For For   1h. Election of Directors: Richard C. Notebaert MANAGEMENT
 For For   1i. Election of Directors: Lionel L. Nowell III MANAGEMENT
For For   1j. Election of Directors: Stephen S. Rasmussen MANAGEMENT
For For   1k. Election of Directors: Oliver G. Richard III MANAGEMENT
For For   1l. Election of Directors: Sara Martinez Tucker MANAGEMENT
For For   2. Ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016 MANAGEMENT
For Against   3. Advisory approval of the Company’s executive compensation MANAGEMENT

 

3 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Frontier Communications Corporation May 11, 2016   35906A108 FTR
         
Vote MRV  

Proposal

Proposed by Issuer or

Security Holder

For For   1a. Election of Directors: Leroy T. Barnes, Jr. MANAGEMENT
For For   1b. Election of Directors: Peter C.B. Bynoe MANAGEMENT
For For   1c. Election of Directors: Diana S. Ferguson MANAGEMENT
For For   1d. Election of Directors: Edward Fraioli MANAGEMENT
For For   1e. Election of Directors: Daniel J. McCarthy MANAGEMENT
For For   1f. Election of Directors: Pamela D.A. Reeve MANAGEMENT
For For   1g. Election of Directors: Virginia P. Ruesterholz MANAGEMENT
For For   1h. Election of Directors: Howard L. Schrott MANAGEMENT
For For   1i. Election of Directors: Larraine D. Segil MANAGEMENT
For For   1j. Election of Directors: Mark Shapiro MANAGEMENT
For For   1k. Election of Directors: Myron A. Wick, III MANAGEMENT
For Against   2. To consider and vote upon an advisory proposal on executive compensation MANAGEMENT
For For   3. To ratify the selection of KPMG LLP as our independent registered public accounting firm for 2016 MANAGEMENT
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Edison International April 28, 2016   281020107 EIX
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Jagjeet S. Bindra MANAGEMENT
For For   1B. Election of Director: Vanessa C.L. Chang MANAGEMENT
For For   1C. Election of Director: Theodore F. Craver, Jr. MANAGEMENT
For For   1D. Election of Director: James T. Morris MANAGEMENT
For For   1E. Election of Director: Richard T. Schlosberg, III MANAGEMENT
For For   1F. Election of Director: Linda G. Stuntz MANAGEMENT
For For   1G. Election of Director: William P. Sullivan MANAGEMENT
For For   1H. Election of Director: Ellen O. Tauscher MANAGEMENT
For For   1I. Election of Director: Peter J. Taylor MANAGEMENT
For For   1J. Election of Director: Brett White MANAGEMENT
For For   2. Ratification of the appointment of the Independent Registered Public Accounting Firm MANAGEMENT
For Against   3. Advisory vote to approve the Company’s Executive Compensation MANAGEMENT
For Against   4. Approval of an amendment to the EIX 2007 Performance Incentive Plan MANAGEMENT
Against For   5. Shareholder Proposal regarding Recovery of Unearned Management Bonuses STOCKHOLDER

 

4 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Southern California Edison Company April 28, 2016    842400400 SCE
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Jagjeet S. Bindra MANAGEMENT
For For   1B. Election of Director: Vanessa C.L. Chang MANAGEMENT
For For   1C. Election of Director: Theodore F. Craver, Jr. MANAGEMENT
For For   1D. Election of James T. Morris MANAGEMENT
For For   1E. Election of Director: Pedro J. Pizarro MANAGEMENT
For For   1F. Election of Director: Richard T. Schlosberg MANAGEMENT
For For   1G. Election of Director: Linda G. Stuntz MANAGEMENT
For For   1H. Election of Director: William P. Sullivan MANAGEMENT
For For   1I. Election of Director: Ellen O. Tauscher MANAGEMENT
For For   1J. Election of Director: Peter J. Taylor MANAGEMENT
For For   1K. Election of Director: Brett White MANAGEMENT
For For   2. Ratification of the appointment of the Independent Registered Public Accounting Firm MANAGEMENT
Against For   3. Advisory vote to approve the Company’s Executive Compensation MANAGEMENT

 

5 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Opko Health, Inc. May 5, 2016   68375N103 OPK
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Philip Frost, M.D. MANAGEMENT
For For   1B. Election of Director: Jane H. Hsiao, PhD, MBA MANAGEMENT
For For   1C. Election of Director: Steven D. Rubin MANAGEMENT
For For   1D. Election of Director: Robert A. Baron MANAGEMENT
For For   1E. Election of Director: Thomas E. Beier MANAGEMENT
For For   1F. Election of Director: Dmitry Kolosov MANAGEMENT
For For   1G. Election of Director: Richard A. Lerner, M.D. MANAGEMENT
For For   1H. Election of Director: John A. Paganelli MANAGEMENT
For For   1I. Election of Director: Richard C. Pfenniger, Jr. MANAGEMENT
For For   1J. Election of Director: Alice Yu, M.D., PhD MANAGEMENT
For     2. Approval of company’s 2016 Equity Incentive Plan MANAGEMENT

 

6 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Northeast Utilities doing business as Eversource Energy May 4, 2016   30040W108 NU
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Trustees: John S. Clarkeson MANAGEMENT
For For   1B. Election of Trustees: Cotton M. Cleveland MANAGEMENT
For For   1C. Election of Trustees: Sanford Cloud, Jr. MANAGEMENT
For For   1D. Election of Trustees: James S. DiStasio MANAGEMENT
For For   1E. Election of Trustees: Francis A. Doyle MANAGEMENT
For For   1F. Election of Trustees: Charles K. Gifford MANAGEMENT
For For   1G. Election of Trustees: Paul A. La Camera MANAGEMENT
For For   1H. Election of Trustees: Kenneth R. Leibler MANAGEMENT
For For   1I. Election of Trustees: Thomas J. May MANAGEMENT
For For   1J. Election of Trustees: William C. Van Faasen MANAGEMENT
For For   1K. Election of Trustees: Frederica M. Williams MANAGEMENT
For For   1L. Election of Trustees: Dennis R. Wraase MANAGEMENT
For Against   2. To consider an advisory proposal approving the Compensation of our Named Executive Officers MANAGEMENT
For For   3. To ratify the selection of Deloitte & Touche LLP as the independent registered public accounting firm for 2015 MANAGEMENT

 

7 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
 Company Name Meeting Date    CUSIP Number Ticker Symbol
Advanced Micro Devices, Inc. May 12, 2016   007903107 AMD
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Bruce L. Claflin MANAGEMENT
For For   1B. Election of Director: John E. Caldwell MANAGEMENT
For For   1C. Election of Director: Nora M. Denzel MANAGEMENT
For For   1D. Election of Director: Nicholas M. Donofrio MANAGEMENT
For For   1E. Election of Director: Martin L. Edelman MANAGEMENT
For For   1F. Election of Director: Joseph A. Householder MANAGEMENT
For For   1G. Election of Director: Michael J. Inglis MANAGEMENT
For For   1H. Election of Director: Lisa T. Su MANAGEMENT
For For   1I. Election of Director: Ahmed Yahia MANAGEMENT
For For   2. Ratification of the appointment of Ernst & Young LLP as AMD’s Independent Registered Public Accounting Firm MANAGEMENT
For For   3. Approval of the amendment and restatement of the Advanced Micro Devices, Inc. 2004 Equity Incentive Plan MANAGEMENT
For Against   4. Approval of the amendment and restatement of the Advanced Micro Devices, Inc. Executive Incentive Plan MANAGEMENT
For Against   5. Advisory vote to approve the compensation of AMD’s Named Executive Officers MANAGEMENT
         
 Company Name Meeting Date   CUSIP Number Ticker Symbol

 

8 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
CMS Energy Corporation May 6, 2016   125896100 CMS
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1a. Election of Directors: Jon E. Barfield MANAGEMENT
For For   1b. Election of Directors: Deborah H. Butler MANAGEMENT
For For   1c. Election of Directors: Kurt L. Darrow MANAGEMENT
For For   1d. Election of Directors: Stephen E. Ewing MANAGEMENT
For For   1e. Election of Directors: Richard M. Gabrys MANAGEMENT
For For   1f. Election of Directors: William D. Harvey MANAGEMENT
For For   1g. Election of Directors: Philip R. Lochner, Jr. MANAGEMENT
For For   1h. Election of Directors: Patricia K. Poppe MANAGEMENT
For For   1i. Election of Directors: John G. Russell MANAGEMENT
For For   1j. Election of Directors: Myrna M. Soto MANAGEMENT
For For   1k. Election of Directors: John G. Sznewajs MANAGEMENT
For For   1l. Election of Directors: Laura H. Wright MANAGEMENT
For Against   2. Advisory vote to approve the corporation’s executive compensation MANAGEMENT
For For   3. Ratification of independent registered public accounting firm (PricewaterhouseCoopers LLP) MANAGEMENT
         

 

9 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Exco Resources, Inc. August 5, 2015   269279402 XCO
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1a. Election of Director: Jeffrey D. Benjamin MANAGEMENT
For For   1b. Election of Director: James Ford MANAGEMENT
For For   1c. Election of Director: Samuel A. Mitchell MANAGEMENT
For For   1d. Election of Director: Wilbur L. Ross MANAGEMENT
For For   1e. Election of Director: Jeffrey S. Serota MANAGEMENT
For For   1f. Election of Director: Robert L. Stillwell MANAGEMENT
For For   2. Proposal to approve, for purposes of Section 312.03 of the NYSE listed company manual, the issuance of warrants and shares of common stock issuable upon the exercise of the warrants, pursuant to the terms and conditions of the services and investment agreement, dated as of March 31, 2015, (due to space limits, see proxy statement for full proposal) MANAGEMENT
For For   3. Proposal to approve an amendment to our third amendment and restated articles of incorporation, as amended, to increase the authorized number of shares of our common stock to 780,000,000 and make other amendments to conform with the requirements of the Texas Business Organization Code. MANAGEMENT
For For   4. Proposal to approve an amendment to our third amended and restated articles of incorporation, as amended, to include a waiver of the duty of directors to present corporate opportunities to Exco Resources, Inc. MANAGEMENT
For Against   5. Advisory vote to approve executive compensation MANAGEMENT
For For   6. Proposal to ratify the appointment of KPMG LLP as our independent registered public accounting firm MANAGEMENT

 

10 
 

 

Company Name Meeting Date   CUSIP Number Ticker Symbol
Great Plains Energy Incorporated May 3, 2016   391164100 GXP
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Directors: Terry Bassham MANAGEMENT
For For   1B. Election of Directors: David L. Bodde MANAGEMENT
For For   1C. Election of Directors: Randall C. Ferguson, Jr. MANAGEMENT
For For   1D. Election of Directors: Gary D. Forsee MANAGEMENT
For For   1E. Election of Directors: Scott D. Grimes MANAGEMENT
For For   1F. Election of Directors: Thomas D. Hyde MANAGEMENT
For For   1G. Election of Directors: James A. Mitchell MANAGEMENT
For For   1H. Election of Directors: Ann D. Murtlow MANAGEMENT
For For   1I. Election of Directors: John J. Sherman MANAGEMENT
 For Against   2. To approve, on a non-binding advisory basis, the 2015 Compensation of the Company’s Named Executive Officers. MANAGEMENT
For Against   3. To approve the company’s amended long-term incentive plan MANAGEMENT
For For   4. To ratify the appointment of Deloitte & Touche LLP as the Company’s Independent Registered Public Accountants for 2016 MANAGEMENT

 

11 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date    CUSIP Number  Ticker Symbol
DTE Energy Company May 5, 2016   233331107 DTE
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Gerard M. Anderson MANAGEMENT
For For   1B. Election of Director: David A. Brandon MANAGEMENT
For For   1C. Election of Director: Frank Fountain, Jr. MANAGEMENT
For For   1D. Election of Director: Charles G. McClure, Jr. MANAGEMENT
For For   1E. Election of Director: Gail J. McGovern MANAGEMENT
For For   1F. Election of Director: Mark A. Murray MANAGEMENT
For For   1G. Election of Director: James B. Nicholson MANAGEMENT
For For   1H. Election of Director: Charles W. Pryor, Jr. MANAGEMENT
For For   1I. Election of Director: Josue Robles, Jr. MANAGEMENT
For For   1J. Election of Director: Ruth G. Shaw MANAGEMENT
For For   1K. Election of Director: David A. Thomas MANAGEMENT
For For   1L. Election of Director: James H. Vandenserghe MANAGEMENT
For For   2. Ratification of independent registered public accounting firm PricewaterhouseCoopers, LLP MANAGEMENT
For Against   3. Advisory vote to approve executive compensation MANAGEMENT
For For   4. Shareholder proposal relating to political contributions disclosure STOCKHOLDER
Against For   5. Shareholder proposal relating to distributed generation STOCKHOLDER

 

12 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Duke Energy Corporation May 5, 2016   26441C204 DUK
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Director: Michael J. Angelakis MANAGEMENT
For For   1B. Election of Director: Michael G. Browning MANAGEMENT
For For   1C. Election of Director: Daniel R. DiMicco MANAGEMENT
For For   1D. Election of Director: John H. Forsgren MANAGEMENT
For For   1E. Election of Director: Lynn J. Good MANAGEMENT
For For   1F. Election of Director: Ann Maynard Gray MANAGEMENT
For For   1H. Election of Director: John T. Herron MANAGEMENT
For For   1I. Election of Director: James B. Hyler, Jr. MANAGEMENT
For For   1J. Election of Director: William E. Kennard MANAGEMENT
For For   1K. Election of Director: E. Marie McKee MANAGEMENT
For For   1M. Election of Director: Charles W. Moorman IV MANAGEMENT
For For   1N. Election of Director: Carlos A. Saladrigas MANAGEMENT
For For   2. Ratification of Deloitte & Touche LLP as Duke Energy Corporation’s Independent public accountant for 2016 MANAGEMENT
For Against   3. Advisory vote to approve named executive officer compensation MANAGEMENT
Against Against   4. Shareholder proposal regarding elimination of supermajority voting provisions in Duke Energy Corporation’s Certification of Incorporation STOCKHOLDER
Against Against   5. Shareholder proposal regarding proxy access STOCKHOLDER

 

13 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Entergy Corporation May 6, 2016   29364G103 ETR
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Directors: M.S. Bateman MANAGEMENT
For For   1B. Election of Directors: P.J. Condon MANAGEMENT
For For   1C. Election of Directors: L.P. Denault MANAGEMENT
For For   1D. Election of Directors: K.H. Donald MANAGEMENT
For For   1E. Election of Directors: P. L. Frederickson MANAGEMENT
For For   1F. Election of Directors: A.M. Herman MANAGEMENT
For For   1G. Election of Directors: D.C. Hintz MANAGEMENT
For For   1H. Election of Directors: S.L. Levenick MANAGEMENT
For For   1I. Election of Directors: B.L. Lincoln MANAGEMENT
For For   1J. Election of Directors: K.A. Puckett MANAGEMENT
For For   1K. Election of Directors: W.J. Tauzin MANAGEMENT
For For   2. Ratification of Appointment of Deloitte & Touche LLP as Independent Registered Public Accountants for 2016 MANAGEMENT
For Against   3. Advisory Vote to Approve Named Executive Officer Compensation MANAGEMENT
Against For   4. Shareholder proposal regarding distributed generation/greenhouse gas emissions report STOCKHOLDER

 

14 
 

 

Name of Registrant:     DAXOR CORPORATION  
Period:     July 1, 2015-June 30, 2016  
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Xcel Energy, Inc. May 18, 2016   98389B100 XEL
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Directors: Gail K. Boudreaux MANAGEMENT
For For   1B. Election of Directors: Richard K. Davis MANAGEMENT
For For   1C. Election of Directors: Ben Fowke MANAGEMENT
For For   1D. Election of Directors: Richard T. O’Brien MANAGEMENT
For For   1E. Election of Directors: Christopher J. Policinski MANAGEMENT
For For   1F. Election of Directors: James T. Prokopanko MANAGEMENT
For For   1G. Election of Directors: A. Patricia Sampson MANAGEMENT
For For   1H. Election of Directors: James J. Sheppard MANAGEMENT
For For   1I. Election of Directors: David A. Westerlund MANAGEMENT
For For   1J. Election of Directors: Kim Williams MANAGEMENT
For For   1K. Election of Directors: Timothy V. Wolf MANAGEMENT
For Against   2. Company proposal to approve, on an advisory basis, executive compensation MANAGEMENT
For For   4. Company proposal to ratify the appointment of Deloitte & Touche LLP as Xcel Energy Inc.’s independent registered public accounting firm for 2016 MANAGEMENT
For For   5. Shareholder proposal on the separation of the roles of the Chairman and Chief Executive Officer STOCKHOLDER
         
Company Name Meeting Date   CUSIP Number Ticker Symbol
Pinnacle West Capital Corporation May 18, 2016    723484101 PNW
         
Vote MRV   Proposal

Proposed by Issuer or

Security Holder

For For   1A. Election of Directors: Donald E. Brandt MANAGEMENT
For For   1B. Election of Directors: Denis A. Cortese, M.D. MANAGEMENT
For For   1C. Election of Directors: Richard P. Fox MANAGEMENT
For For   1D. Election of Directors: Michael L. Gallagher MANAGEMENT
For For   1E. Election of Directors: R.A. Herberger, Jr., PHD MANAGEMENT
For For   1F. Election of Directors: Dale E. Klein, PHD MANAGEMENT
For For   1G. Election of Directors: Humberto S. Lopez MANAGEMENT
For For   1H. Election of Directors: Kathryn L. Munro MANAGEMENT
For For   1I. Election of Directors: Bruce J. Nordstrom MANAGEMENT
For For   1J. Election of Directors: David P. Wagener MANAGEMENT
For Against   2. Vote on an advisory resolution to approve executive compensation as disclosed in the 2016 proxy statement. MANAGEMENT
For For   3. Ratify the appointment of the Company’s independent accountants for the year ending December 31, 2016. MANAGEMENT
Against For   4. Vote on the approval of a shareholder proposal a regarding on political spending, if properly presented at the meeting. STOCKHOLDER

 

15 
 

 

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) Daxor Corporation

 

By (Signature and Title)  BY: /s/ Michael Feldschuh  
    Michael Feldschuh  
  ITS:  Acting CEO and President  
    (Acting Chief Executive Officer and President)

 

Date: September 14, 2016

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By (Signature and Title)  BY: /s/ Eric P. Coleman  
    Eric P. Coleman  
  ITS: Chief Financial Officer  
    (Principal Financial Officer/Principal Accounting Officer/Chief Compliance Officer)

 

Date: September 14, 2016

 

Date September 14, 2016

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

 

16