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ARTICLE · 11 AUGUST 2023

New Form N-PX Reporting - A Practical Guide For Form 13F Filing Managers

Tannenbaum Helpern Syracuse & Hirschtritt LLP
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Institutional investment managers that file Form 13F (each, an "Institutional Manager") under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), will be required...

United StatesEmployment and HR
Wayne H. Davis
Wayne H. Davis
Haylie Gordon
Haylie Gordon
Michele Gibbs Itri
Michele Gibbs Itri
Karen Liu
Karen Liu
James Rieger
James Rieger
Beth Smigel
Beth Smigel
Michael G. Tannenbaum
Michael G. Tannenbaum

Institutional investment managers that file Form 13F (each, an "Institutional Manager") under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), will be required to file their first Form N-PX as soon as August 31, 2024, reporting how they voted proxies relating to executive compensation and golden parachute matters of any public company (each, a "Say-on-Pay" vote) during the period spanning July 1, 2023 to June 30, 2024.

While the first filing is not due until August 31, 2024, Institutional Managers will need to keep track of their votes now in order to accurately report on their first filing. This annual filing obligation is imposed by the new Rule 14Ad-1 adopted by the SEC on November 2, 2022 under the Exchange Act, to be effective as of July 1, 2024. This article familiarizes Institutional Managers with the new requirements and provides a practical guide for Institutional Managers to take appropriate measures now.

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