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 811-02151
Bancroft Fund Ltd.
(Exact name of registrant as specified in charter)
One Corporate Center
Rye, New York 10580-1422
(Address of principal executive offices) (Zip code)
Jane D. O’Keeffe
Gabelli Funds, LLC
One Corporate Center
Rye, New
York 10580-1422
(Name and address of agent for service)
Registrant's telephone number, including area code: 1-800-422-3554
Date of fiscal year end: October 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, 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.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2016 TO JUNE 30, 2017
|
ProxyEdge Meeting Date Range: 07/01/2016 - 06/30/2017 Bancroft Fund Ltd. |
Report Date: 07/01/2017 1 |
| Investment Company Report | |||||||||||||
| OCLARO, INC. | |||||||||||||
| Security | 67555N206 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | OCLR | Meeting Date | 18-Nov-2016 | ||||||||||
| ISIN | US67555N2062 | Agenda | 934487869 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | KENDALL COWAN | For | For | ||||||||||
| 2 | JOEL A. SMITH III | For | For | ||||||||||
| 2. | TO APPROVE AN AMENDMENT TO THE FIFTH AMENDED AND RESTATED 2001 LONG-TERM STOCK INCENTIVE PLAN. |
Management | Against | Against | |||||||||
| 3. | TO APPROVE THE ADVISORY RESOLUTION APPROVING THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR. |
Management | For | For | |||||||||
| CROWN CASTLE INTERNATIONAL CORP | |||||||||||||
| Security | 22822V101 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CCI | Meeting Date | 18-May-2017 | ||||||||||
| ISIN | US22822V1017 | Agenda | 934571820 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1A. | ELECTION OF DIRECTOR: P. ROBERT BARTOLO | Management | For | For | |||||||||
| 1B. | ELECTION OF DIRECTOR: JAY A. BROWN | Management | For | For | |||||||||
| 1C. | ELECTION OF DIRECTOR: CINDY CHRISTY | Management | For | For | |||||||||
| 1D. | ELECTION OF DIRECTOR: ARI Q. FITZGERALD | Management | For | For | |||||||||
| 1E. | ELECTION OF DIRECTOR: ROBERT E. GARRISON II | Management | For | For | |||||||||
| 1F. | ELECTION OF DIRECTOR: LEE W. HOGAN | Management | For | For | |||||||||
| 1G. | ELECTION OF DIRECTOR: EDWARD C. HUTCHESON, JR. |
Management | For | For | |||||||||
| 1H. | ELECTION OF DIRECTOR: J. LANDIS MARTIN | Management | For | For | |||||||||
| 1I. | ELECTION OF DIRECTOR: ROBERT F. MCKENZIE | Management | For | For | |||||||||
| 1J. | ELECTION OF DIRECTOR: ANTHONY J. MELONE | Management | For | For | |||||||||
| 1K. | ELECTION OF DIRECTOR: W. BENJAMIN MORELAND | Management | For | For | |||||||||
| 2. | THE RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR FISCAL YEAR 2017. |
Management | For | For | |||||||||
| 3. | THE NON-BINDING, ADVISORY VOTE REGARDING THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | A STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS, IF PROPERLY PRESENTED. |
Shareholder | Abstain | Against | |||||||||
| GOODRICH PETROLEUM CORPORATION | |||||||||||||
| Security | 382410843 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GDP | Meeting Date | 23-May-2017 | ||||||||||
| ISIN | US3824108431 | Agenda | 934600138 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | STEVEN J. PULLY | For | For | ||||||||||
| 2 | TIMOTHY D. LEULIETTE | For | For | ||||||||||
| 2. | RATIFY THE SELECTION OF HEIN & ASSOCIATES, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2017. |
Management | For | For | |||||||||
| 3. | APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | For | For | |||||||||
| 4. | APPROVE, ON AN ADVISORY BASIS, THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. |
Management | 1 Year | For | |||||||||
| 5. | APPROVE A SECOND AMENDMENT TO THE GOODRICH PETROLEUM CORPORATION MANAGEMENT INCENTIVE PLAN, AS AMENDED FROM TIME TO TIME, TO INCREASE THE NUMBER OF SHARES OF COMPANY COMMON STOCK AUTHORIZED FOR ISSUANCE THEREUNDER. |
Management | Against | Against | |||||||||
| ENVISION HEALTHCARE CORPORATION | |||||||||||||
| Security | 29414D209 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | EVHCPR | Meeting Date | 25-May-2017 | ||||||||||
| ISIN | US29414D2099 | Agenda | 934582304 - Management | ||||||||||
| Item | Proposal | Proposed by |
Vote | For/Against Management |
|||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | CAROL J. BURT | For | For | ||||||||||
| 2 | CHRISTOPHER A. HOLDEN | For | For | ||||||||||
| 3 | CYNTHIA S. MILLER | For | For | ||||||||||
| 4 | RONALD A. WILLIAMS | For | For | ||||||||||
| 2. | APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF ENVISION HEALTHCARE CORPORATION'S EXECUTIVE COMPENSATION. |
Management | For | For | |||||||||
| 3. | APPROVAL, ON A NON-BINDING ADVISORY BASIS, OF THE FREQUENCY OF FUTURE ADVISORY VOTES APPROVING ENVISION HEALTHCARE CORPORATION'S EXECUTIVE COMPENSATION. |
Management | 1 Year | For | |||||||||
| 4. | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS ENVISION HEALTHCARE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. |
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 Bancroft Fund Ltd.
By (Signature and Title)* /s/ Jane D. O’Keeffe _______
Jane D. O’Keeffe, Principal Executive Officer
Date 8/18/17
*Print the name and title of each signing officer under his or her signature.