npx811-21654.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number 811-21654
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Pioneer Floating Rate Trust
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(Exact name of registrant as specified in charter)
60 State Street Boston, MA 02109
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(Address of principal executive offices)
Terrence J. Cullen
60 State Street
Boston, MA 02109
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(Name and address of agent for service)
Registrant's telephone number, including area code: (617) 742-7825
Date of fiscal year end: November 30
Date of reporting period: July 1, 2016 to June 30, 2017
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) Pioneer Floating Rate Trust
By (Signature and Title)
/s/ Lisa Jones
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Lisa Jones, Chief Executive Officer
& President
Date: August 15, 2017
============================= Floating Rate Trust ==============================
EATON VANCE FLOATING-RATE INCOME TRUST
Ticker: EFT Security ID: 278279104
Meeting Date: MAR 23, 2017 Meeting Type: Annual
Record Date: JAN 10, 2017
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Thomas E. Faust, Jr. For For Management
1b Elect Director Cynthia E. Frost For For Management
1c Elect Director Scott E. Wennerholm For For Management
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ISHARES TRUST
Ticker: Security ID: 464288513
Meeting Date: JUN 19, 2017 Meeting Type: Special
Record Date: MAY 02, 2017
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jane D. Carlin For For Management
1.2 Elect Director Richard L. Fagnani For For Management
1.3 Elect Director Drew E. Lawton For For Management
1.4 Elect Director Madhav V. Rajan For For Management
1.5 Elect Director Mark Wiedman For For Management
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NRG ENERGY, INC.
Ticker: NRG Security ID: 629377508
Meeting Date: APR 27, 2017 Meeting Type: Annual
Record Date: MAR 13, 2017
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director E. Spencer Abraham For For Management
1b Elect Director Kirbyjon H. Caldwell For For Management
1c Elect Director Lawrence S. Coben For For Management
1d Elect Director Terry G. Dallas For For Management
1e Elect Director Mauricio Gutierrez For For Management
1f Elect Director William E. Hantke For For Management
1g Elect Director Paul W. Hobby For For Management
1h Elect Director Anne C. Schaumburg For For Management
1i Elect Director Evan J. Silverstein For For Management
1j Elect Director Barry T. Smitherman For For Management
1k Elect Director Thomas H. Weidemeyer For For Management
1l Elect Director C. John Wilder For For Management
1m Elect Director Walter R. Young For For Management
2 Amend Omnibus Stock Plan For For Management
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Advisory Vote on Say on Pay Frequency One Year One Year Management
6 Ratify KPMG LLP as Auditors For For Management
7 Report on Political Contributions Against Abstain Shareholder
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PROGENICS PHARMACEUTICALS, INC.
Ticker: PGNX Security ID: 743187106
Meeting Date: JUN 14, 2017 Meeting Type: Annual
Record Date: APR 17, 2017
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter J. Crowley For For Management
1.2 Elect Director Mark R. Baker For For Management
1.3 Elect Director Bradley L. Campbell For For Management
1.4 Elect Director Karen J. Ferrante For For Management
1.5 Elect Director Michael D. Kishbauch For For Management
1.6 Elect Director David A. Scheinberg For For Management
1.7 Elect Director Nicole S. Williams For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Ratify Ernst & Young LLP as Auditors For For Management
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SOLOCAL GROUP
Ticker: LOCAL Security ID: F8569A131
Meeting Date: OCT 19, 2016 Meeting Type: Annual/Special
Record Date: OCT 14, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Treatment of Losses For For Management
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions
5 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
6 Advisory Vote on Compensation of For For Management
Robert de Metz, Chairman
7 Advisory Vote on Compensation of For Against Management
Jean-Pierre Remy, CEO
8 Advisory Vote on Compensation of For Against Management
Christophe Pingard, Vice-CEO
9 Elect Monica Menghini as Director For For Management
10 Renew Appointment of Deloitte and For For Management
Associes as Auditor
11 Renew Appointment of BEAS as Alternate For For Management
Auditor
12 Renew Appointment of Ernst and Young For For Management
Audit as Auditor
13 Renew Appointment of Auditex as For For Management
Alternate Auditor
14 Ratify Change of Location of For For Management
Registered Office and Amend Article 4
of Bylaws Accordingly
15 Approve Reduction in Share Capital For For Management
Through Reduction of Par Value; Amend
Article 6 of Bylaws Accordingly
16 Subject to Approval of Item 15, For Against Management
Authorize Issuance of Equity with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 40.5 Million
17 Subject to Approval of Items 15 and For Against Management
16, Authorize Board to Increase
Capital in the Event of Additional
Demand Related to Delegation Submitted
to Shareholder Vote under Item 16
18 Subject to Approval of Item 15, For For Management
Authorize Capitalization of Issue
Premium Account of up to EUR 3.89
Million for Free Shares Issuance in
Favor of all Shareholders
19 Subject to Approval of Item 15, For Against Management
Authorize Issuance of Mandatory
Convertible Bonds Reserved for
Specific Beneficiaries
20 Subject to Approval of Item 15, For Against Management
Authorize Issuance of New Shares with
Warrants Attached (ABSA) Reserved for
Specific Beneficiaries
21 Authorize Capital Issuances for Use in For Against Management
Employee Stock Purchase Plans
22 Amend Article 12 of Bylaws Re: For For Management
Employee Representative
23 Authorize Filing of Required For For Management
Documents/Other Formalities
24 Subject to Approval of Items 15-20, For For Management
Elect John Slater as Director
25 Subject to Approval of Items 15-20, For For Management
Elect Dominique d Hinnin as Director
26 Subject to Approval of Items 15-20, For For Management
Elect Anne-Marie Cravero as Director
27 Subject to Approval of Items 15-20, For For Management
Elect Alexandre Loussert as Director
A Dismiss Robert de Metz as Director Against Against Shareholder
B Elect Arnaud Marion as Director Against Against Shareholder
C Dismiss Jean-Pierre Remy as Director Against Against Shareholder
D Elect Loic de la Cochetiere as Director Against Against Shareholder
E Dismiss Remy Sautter as Director Against Against Shareholder
F Elect Anne-Marie Cravero as Director Against Against Shareholder
G Dismiss Cecile Moulard as Director Against Against Shareholder
H Elect Alexandre Loussert as Director Against Against Shareholder
J Dismiss Jean-Marc Tassetto as Director Against Against Shareholder
K Elect Roland Wolfrum as Director Against Against Shareholder
L Elect Christophe Deshayes as Director Against Against Shareholder
M Elect Francois-Xavier Barbier as Against Against Shareholder
Director
N Dismiss Robert de Metz as Director Against Against Shareholder
O Dismiss Jean-Pierre Remy as Director Against Against Shareholder
P Dismiss Remy Sautter as Director Against Against Shareholder
Q Dismiss Cecile Moulard as Director Against Against Shareholder
R Dismiss Jean-Marc Tassetto as Director Against Against Shareholder
S Elect Loic de la Cochetiere as Director Against Against Shareholder
T Elect Arnaud Marion as Director Against Against Shareholder
U Elect Anne-Marie Cravero as Director Against Against Shareholder
V Elect Alexandre Loussert as Director Against Against Shareholder
W Elect Roland Wolfrum as Director Against Against Shareholder
X Elect Christophe Deshayes as Director Against Against Shareholder
Y Elect Francois-Xavier Barbier as Against Against Shareholder
Director
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SOLOCAL GROUP
Ticker: LOCAL Security ID: F8569A131
Meeting Date: DEC 15, 2016 Meeting Type: Special
Record Date: DEC 12, 2016
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Reduction in Share Capital For For Management
Through Reduction of Par Value; Amend
Bylaws Accordingly
2 Subject to Approval of Item 1, For For Management
Authorize Issuance of Equity or
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 40.5 Million
3 Subject to Approval of Items 1 and 2, For For Management
Authorize Board to Increase Capital in
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Above
4 Subject to Approval of Item 1, For For Management
Authorize Capitalization of Issue
premium Account of up to EUR 5.85
Million for Free Shares Issuance in
Favor of all Shareholders
6 Subject to Approval of Item 1, For For Management
Authorize Issuance of Mandatory
Convertible Bonds Reserved for
Specific Beneficiaries
7 Subject to Approval of Item 1, For For Management
Authorize Issuance of New Shares and
Warrants (BSA) Reserved for Specific
Beneficiaries
8 Authorize Capital Issuances for Use in For Against Management
Employee Stock Purchase Plans
9 Amend Article 12 of Bylaws Re: Censors For For Management
10 Authorize Filing of Required For For Management
Documents/Other Formalities
A Approve Reduction in Share Capital Against Against Shareholder
Through Reduction of Par Value; Amend
Bylaws Accordingly
B Subject to Approval of Item A, Against Against Shareholder
Authorize Capitalization of Issue
premium Account of up to EUR 27.23
Million for Free Shares Issuance in
Favor of all Shareholders
C Subject to Approval of Item A, Against Against Shareholder
Authorize Issuance of Warrants to All
Shareholders
D Elect Benjamin Jayet as Director Against Against Shareholder
E Elect Jerome Gallot as Director Against Against Shareholder
F Elect Dominique Bernard as Director Against Against Shareholder
G Suspend Payment of Board Fees Against Against Shareholder
H Limit Compensation of Corporate Against Against Shareholder
Officers and Employees to 25 Times the
Compensation of the Lowest Paid Person
J Dismiss Robert de Metz as Director Against Against Shareholder
K Elect Didier Calmels as Director Against Against Shareholder
L Dismiss Jean-Pierre Remy as Director Against Against Shareholder
M Elect Philippe Besnard as Director Against Against Shareholder
N Dismiss Remy Sautter as Director Against Against Shareholder
O Elect Francois-Xavier Barbier as Against Against Shareholder
Director
P Dismiss Cecile Moulard as Director Against Against Shareholder
Q Elect Christophe Deshayes as Director Against Against Shareholder
R Dismiss Jean-Marc Tassetto as Director Against Against Shareholder
S Elect Gilles Brenier as Director Against Against Shareholder
T Dismiss Arnaud Marion as Director Against Against Shareholder
U Elect Loic de la Cochetiere as Director Against Against Shareholder
V Elect Christian-Louis Victor as Against Against Shareholder
Director
W Elect Baudoin de Pimodan as Director Against Against Shareholder
X Elect Benjamin Jayet as Director Against Against Shareholder
Y Amend Article 22 of Bylaws Re: Board Against Abstain Shareholder
Fees
Z Amend Bylaws to Limit Highest Against Against Shareholder
Compensation to 25 Times the
Compensation of the Lowest Paid Person
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SOLOCAL GROUP
Ticker: LOCAL Security ID: F8569A131
Meeting Date: JUN 13, 2017 Meeting Type: Annual/Special
Record Date: JUN 08, 2017
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Allocation of Income and For For Management
Absence of Dividends
4 Approve Auditors' Special Report on For For Management
Related-Party Transactions Mentioning
New Transactions
5 Approve Termination Package of For For Management
Christophe Pingard, Vice-CEO
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Non-Binding Vote on Compensation of For For Management
Robert de Metz, Chairman of the Board
8 Non-Binding Vote on Compensation For For Management
Jean-Pierre Remy, CEO
9 Non-Binding Vote on Compensation of For For Management
Christophe Pingard, Vice-CEO
10 Approve Remuneration Policy of For For Management
Chairman of the Board
11 Approve Remuneration Policy of CEO For Against Management
12 Approve Remuneration Policy of For Against Management
Vice-CEO(s)
13 Ratify Appointment of John Slater as For For Management
Director and Acknowledge his
Resignation
14 Approve 1 for-10 Reverse Stock Split For For Management
15 Authorize Capital Issuances for Use in For Against Management
Employee Stock Purchase Plans
16 Authorize up to 1.9 Percent of Issued For For Management
Capital for Use in Restricted Stock
Plans
17 Amend Article 12 of Bylaws Re: For For Management
Employee Representative
18 Remove Article 20 of Bylaws Re: Censor For For Management
and Change Numbering of Bylaws
Accordingly
19 Delegate Power to the Board of None None Management
Directors to Amend the Bylaws to
Comply with New Regulation
20 Authorize Filing of Required For For Management
Documents/Other Formalities
21 Elect Delphine Grison as Director For For Management
22 Elect Sophie Sursock as Director For For Management
23 Elect David Amar as Director For For Management
24 Elect Philippe de Verdalle as Director For For Management
A Dismiss Robert de Metz as Director Against Against Shareholder
B Dismiss Cecile Moulard as Director Against Against Shareholder
C Authorize Up to 3 percent of Issued Against Against Shareholder
Capital for Use in Restricted Stock
Plans
========== END NPX REPORT