| Financial Services Fund | 07/01/2016 to 06/30/2017 |
| ICA File Number: 811-07749 |
| Registrant Name: T. Rowe Price Financial Services Fund, Inc. |
| Reporting Period: 07/01/2016 - 06/30/2017 |
| |
| |
| FORM N-PX |
| |
| ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT |
| INVESTMENT COMPANY |
| |
| Investment Company Act file number 811-07749 |
| |
| T. Rowe Price Financial Services Fund, Inc. |
|
| (Exact name of registrant as specified in charter) |
| |
| 100 East Pratt Street Baltimore, Maryland 21202 |
|
| (Address of principal executive offices) |
| |
| Ryan Nolan |
| 100 East Pratt Street |
| Baltimore, Maryland 21202 |
|
| (Name and address of agent for service) |
| |
| Registrant’s telephone number, including area code: (410) 345-2000 |
| |
| Date of fiscal year end: 12/31 |
| |
| Date of reporting period: 07/01/2016 to 06/30/2017 |
| |
| 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) T. Rowe Price Financial Services Fund, Inc. |
| |
| By (Signature and Title) /s/ Edward C. Bernard |
| Edward C. Bernard, Chairman of the Board - T. Rowe Price Funds |
| |
| Date August 31, 2017 |
Financial Services Fund
________________________________________________________________________________
AIA Group Limited
Ticker Security ID: Meeting Date Meeting Status
1299 CINS Y002A1105 05/12/2017 Voted
Meeting Type Country of Trade
Annual Hong Kong
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Non-Voting Meeting Note N/A N/A N/A N/A
2 Non-Voting Meeting Note N/A N/A N/A N/A
3 Accounts and Reports Mgmt For For For
4 Allocation of Mgmt For For For
Profits/Dividends
5 Elect Mohamed Azman Mgmt For For For
Yahya
6 Elect Edmund TSE Sze Mgmt For For For
Wing
7 Elect Jack SO Chak Mgmt For For For
Kwong
8 Appointment of Auditor Mgmt For For For
and Authority to Set
Fees
9 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights
10 Authority to Mgmt For For For
Repurchase
Shares
11 Authority to Issue Mgmt For For For
Shares under
Restricted Share Unit
Scheme
________________________________________________________________________________
American Express Company
Ticker Security ID: Meeting Date Meeting Status
AXP CUSIP 025816109 05/01/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Charlene Mgmt For For For
Barshefsky
2 Elect John J. Brennan Mgmt For For For
3 Elect Ursula M. Burns Mgmt For For For
4 Elect Kenneth I. Mgmt For For For
Chenault
5 Elect Peter Chernin Mgmt For For For
6 Elect Ralph de la Vega Mgmt For For For
7 Elect Anne L. Mgmt For For For
Lauvergeon
8 Elect Micheal O. Mgmt For For For
Leavitt
9 Elect Theodore Leonsis Mgmt For For For
10 Elect Richard C. Levin Mgmt For For For
11 Elect Samuel J. Mgmt For For For
Palmisano
12 Elect Daniel L. Vasella Mgmt For For For
13 Elect Robert D. Walter Mgmt For For For
14 Elect Ronald A. Mgmt For For For
Williams
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Act by Written
Consent
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Gender Pay
Equity
Report
________________________________________________________________________________
American International Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
AIG CUSIP 026874784 06/28/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect W. Don Cornwell Mgmt For Against Against
2 Elect Brian Duperreault Mgmt For For For
3 Elect Peter R. Fisher Mgmt For For For
4 Elect John Fitzpatrick Mgmt For For For
5 Elect William G. Mgmt For For For
Jurgensen
6 Elect Christopher S. Mgmt For For For
Lynch
7 Elect Samuel J. Mgmt For For For
Merksamer
8 Elect Henry S. Miller Mgmt For For For
9 Elect Linda A. Mills Mgmt For For For
10 Elect Suzanne Nora Mgmt For For For
Johnson
11 Elect Ronald A. Mgmt For For For
Rittenmeyer
12 Elect Douglas M. Mgmt For For For
Steenland
13 Elect Theresa M. Stone Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Restatement of Mgmt For For For
Protective Amendment
to the Certificate of
Incorporation
16 Ratification of the Mgmt For For For
Tax Asset Protection
Plan
17 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Ameriprise Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
AMP CUSIP 03076C106 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James M. Mgmt For For For
Cracchiolo
2 Elect Dianne Neal Blixt Mgmt For For For
3 Elect Amy DiGeso Mgmt For For For
4 Elect Lon R. Greenberg Mgmt For For For
5 Elect Siri S. Marshall Mgmt For For For
6 Elect Jeffrey Noddle Mgmt For For For
7 Elect H. Jay Sarles Mgmt For For For
8 Elect Robert F. Mgmt For For For
Sharpe,
Jr.
9 Elect Christopher J. Mgmt For For For
Williams
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
12 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Atlantic Cap Bancshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
ACBI CUSIP 048269203 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Walter M. Mgmt For For For
Deriso,
Jr.
1.2 Elect Henchy R. Enden Mgmt For For For
1.3 Elect John N. Foy Mgmt For For For
1.4 Elect Douglas J. Hertz Mgmt For For For
1.5 Elect Adam G. Hurwich Mgmt For For For
1.6 Elect Brian D. Jones Mgmt For For For
1.7 Elect D. Michael Kramer Mgmt For For For
1.8 Elect Stephen A. Levey Mgmt For For For
1.9 Elect Larry D. Mauldin Mgmt For For For
1.10 Elect R. Charles Mgmt For For For
Shufeldt
1.11 Elect Lizanne Thomas Mgmt For For For
1.12 Elect Douglas L. Mgmt For For For
Williams
1.13 Elect Marietta Edmunds Mgmt For For For
Zakas
2 Amendment to the 2015 Mgmt For For For
Stock Incentive
Plan
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
AvalonBay Communities, Inc
Ticker Security ID: Meeting Date Meeting Status
AVB CUSIP 053484101 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Glyn F. Aeppel Mgmt For For For
2 Elect Terry S. Brown Mgmt For For For
3 Elect Alan B. Buckelew Mgmt For For For
4 Elect Ronald L. Mgmt For For For
Havner,
Jr.
5 Elect Richard J. Lieb Mgmt For For For
6 Elect Timothy J. Mgmt For For For
Naughton
7 Elect Peter S. Rummell Mgmt For For For
8 Elect H. Jay Sarles Mgmt For For For
9 Elect Susan Swanezy Mgmt For For For
10 Elect W. Edward Walter Mgmt For For For
11 Ratification of Auditor Mgmt For For For
12 Approval of amendment Mgmt For For For
to the 2009 Equity
Incentive
Plan
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
BancorpSouth, Inc.
Ticker Security ID: Meeting Date Meeting Status
BXS CUSIP 059692103 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Gus J. Blass III Mgmt For For For
1.2 Elect Shannon A. Brown Mgmt For For For
1.3 Elect Deborah M. Cannon Mgmt For For For
1.4 Elect Warren A. Hood, Mgmt For For For
Jr.
1.5 Elect Larry G. Kirk Mgmt For For For
1.6 Elect Guy W. Mitchell Mgmt For For For
III
1.7 Elect Alan W. Perry Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Bank Mutual Corporation
Ticker Security ID: Meeting Date Meeting Status
BKMU CUSIP 063750103 05/01/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David C. Boerke Mgmt For For For
1.2 Elect Lisa A. Mauer Mgmt For For For
1.3 Elect Robert B. Olson Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
BankUnited Inc.
Ticker Security ID: Meeting Date Meeting Status
BKU CUSIP 06652K103 05/16/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John A. Kanas Mgmt For For For
1.2 Elect Rajinder P. Singh Mgmt For For For
1.3 Elect Tere Blanca Mgmt For For For
1.4 Elect Eugene F. DeMark Mgmt For For For
1.5 Elect Michael J. Mgmt For For For
Dowling
1.6 Elect Douglas J. Pauls Mgmt For For For
1.7 Elect A. Gail Prudenti Mgmt For For For
1.8 Elect Sanjiv Sobti Mgmt For For For
1.9 Elect A. Robert Towbin Mgmt For For For
1.10 Elect Lynne Wines Mgmt For For For
2 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
BATS Global Markets Inc.
Ticker Security ID: Meeting Date Meeting Status
BATS CUSIP 05491G109 01/17/2017 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Merger Mgmt For For For
2 Advisory Vote on Mgmt For For For
Golden
Parachutes
3 Right to Adjourn Mgmt For For For
Meeting
________________________________________________________________________________
Black Knight Financial Services Inc
Ticker Security ID: Meeting Date Meeting Status
BKFS CUSIP 09214X100 06/14/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Richard N. Massey Mgmt For For For
1.2 Elect John D. Rood Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Amendment to the 2015 Mgmt For For For
Omnibus Incentive
Plan
4 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
BNC Bancorp
Ticker Security ID: Meeting Date Meeting Status
BNCN CUSIP 05566T101 06/12/2017 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Merger Mgmt For For For
2 Advisory Vote on Mgmt For Against Against
Golden
Parachutes
3 Right to Adjourn Mgmt For For For
Meeting
________________________________________________________________________________
Bridge Bancorp, Inc.
Ticker Security ID: Meeting Date Meeting Status
BDGE CUSIP 108035106 05/05/2017 Voted*
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Charles I. Mgmt For For For
Massoud
1.2 Elect Raymond A. Mgmt For For For
Nielsen
1.3 Elect Kevin M. O'Connor Mgmt For For For
1.4 Elect Thomas J. Tobin Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
Capital Bank Financial Corp.
Ticker Security ID: Meeting Date Meeting Status
CBF CUSIP 139794101 06/14/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Martha M. Bachman Mgmt For For For
1.2 Elect Richard M. Mgmt For For For
DeMartini
1.3 Elect Peter N. Foss Mgmt For For For
1.4 Elect William A. Hodges Mgmt For For For
1.5 Elect Scott B. Kauffman Mgmt For For For
1.6 Elect Oscar A. Keller Mgmt For For For
III
1.7 Elect Marc D. Oken Mgmt For For For
1.8 Elect Robert L. Reid Mgmt For For For
1.9 Elect R. Eugene Taylor Mgmt For For For
1.10 Elect William G. Ward, Mgmt For For For
Sr.
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
CBOE Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
CBOE CUSIP 12503M108 01/17/2017 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Stock Issuance for Mgmt For For For
Merger
2 Right to Adjourn Mgmt For For For
Meeting
________________________________________________________________________________
CBOE Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
CBOE CUSIP 12503M108 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Edward T. Tilly Mgmt For For For
2 Elect James R. Boris Mgmt For For For
3 Elect Frank E. English Mgmt For For For
Jr.
4 Elect William M. Mgmt For For For
Farrow
III
5 Elect Edward J. Mgmt For For For
Fitzpatrick
6 Elect Janet P. Mgmt For For For
Froetscher
7 Elect Jill R. Goodman Mgmt For For For
8 Elect Christopher T. Mgmt For For For
Mitchell
9 Elect Roderick A. Mgmt For For For
Palmore
10 Elect Joseph P. Mgmt For For For
Ratterman
11 Elect Michael L. Mgmt For For For
Richter
12 Elect Samuel K. Skinner Mgmt For For For
13 Elect Carole E. Stone Mgmt For For For
14 Elect Eugene S. Mgmt For For For
Sunshine
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
17 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Chubb Limited
Ticker Security ID: Meeting Date Meeting Status
CB CUSIP H1467J104 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Allocation of Profits Mgmt For For For
3 Dividends from Reserves Mgmt For For For
4 Ratification of Board Mgmt For For For
Acts
5 Election of Statutory Mgmt For For For
Auditors
6 Appointment of Auditor Mgmt For For For
7 Appointment of Special Mgmt For For For
Auditor
8 Elect Evan G. Greenberg Mgmt For For For
9 Elect Robert M. Mgmt For For For
Hernandez
10 Elect Michael G. Atieh Mgmt For For For
11 Elect Sheila P. Burke Mgmt For For For
12 Elect James I. Cash, Mgmt For For For
Jr.
13 Elect Mary A. Cirillo Mgmt For For For
14 Elect Michael P. Mgmt For For For
Connors
15 Elect John A. Edwardson Mgmt For For For
16 Elect Leo F. Mullin Mgmt For For For
17 Elect Kimberly Ross Mgmt For For For
18 Elect Robert W. Scully Mgmt For For For
19 Elect Eugene B. Mgmt For For For
Shanks,
Jr.
20 Elect Theodore Shasta Mgmt For For For
21 Elect David H. Sidwell Mgmt For For For
22 Elect Olivier Steimer Mgmt For For For
23 Elect James M. Mgmt For For For
Zimmerman
24 Elect Evan G. Mgmt For For For
Greenberg as Chairman
of the
Board
25 Elect Michael P. Mgmt For For For
Connors
26 Elect Mary A. Cirillo Mgmt For For For
27 Elect Robert M. Mgmt For For For
Hernandez
28 Elect Robert W. Scully Mgmt For For For
29 Elect James M. Mgmt For For For
Zimmerman
30 ELECTION OF HOMBURGER Mgmt For For For
AG AS INDEPENDENT
PROXY
31 APPROVAL OF AMENDED Mgmt For For For
AND RESTATED CHUBB
LIMITED EMPLOYEE
STOCK PURCHASE
PLAN
32 Board Compensation Mgmt For For For
33 Executive Compensation Mgmt For For For
34 Advisory Vote on Mgmt For For For
Executive
Compensation
35 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
36 Additional or Mgmt For Against Against
Miscellaneous
Proposals
________________________________________________________________________________
Citigroup Inc.
Ticker Security ID: Meeting Date Meeting Status
C CUSIP 172967424 04/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Michael L. Corbat Mgmt For For For
2 Elect Ellen M. Costello Mgmt For For For
3 Elect Duncan P. Hennes Mgmt For For For
4 Elect Peter B. Henry Mgmt For For For
5 Elect Franz B. Humer Mgmt For For For
6 Elect Renee J. James Mgmt For For For
7 Elect Eugene M. McQuade Mgmt For For For
8 Elect Michael E. Mgmt For For For
O'Neill
9 Elect Gary M. Reiner Mgmt For For For
10 Elect Anthony M. Mgmt For For For
Santomero
11 Elect Diana L. Taylor Mgmt For For For
12 Elect William S. Mgmt For For For
Thompson,
Jr.
13 Elect James S. Turley Mgmt For For For
14 Elect Deborah C. Wright Mgmt For For For
15 Elect Ernesto Zedillo Mgmt For For For
Ponce de
Leon
16 Ratification of Auditor Mgmt For For For
17 Advisory Vote on Mgmt For For For
Executive
Compensation
18 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Gender Pay
Equity
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Formation
of Shareholder Value
Committee
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
22 Shareholder Proposal ShrHoldr Against Against For
Regarding Amendment
to Clawback
Policy
23 Shareholder Proposal ShrHoldr Against Against For
Regarding Government
Service
Vesting
________________________________________________________________________________
Citizens Financial Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
CFG CUSIP 174610105 04/27/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bruce Van Saun Mgmt For For For
2 Elect Mark S. Casady Mgmt For For For
3 Elect Christine M. Mgmt For For For
Cumming
4 Elect Anthony Di Iorio Mgmt For For For
5 Elect William P. Mgmt For For For
Hankowsky
6 Elect Howard W. Hanna Mgmt For For For
III
7 Elect Leo I. Higdon, Mgmt For For For
Jr.
8 Elect Charles J. Koch Mgmt For For For
9 Elect Arthur F. Ryan Mgmt For For For
10 Elect Shivan S. Mgmt For For For
Subramaniam
11 Elect Wendy A. Watson Mgmt For For For
12 Elect Marita Zuraitis Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Clifton Bancorp Inc.
Ticker Security ID: Meeting Date Meeting Status
CSBK CUSIP 186873105 08/10/2016 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Director Stephen Mgmt For For For
Adzima
1.2 Elect Director Charles Mgmt For For For
J.
Pivirotto
1.3 Elect Director Cynthia Mgmt For For For
Sisco
2 Ratify BDO USA, LLP as Mgmt For For For
Auditors
3 Advisory Vote to Mgmt For For For
Ratify Named
Executive Officers'
Compensation
________________________________________________________________________________
CME Group Inc.
Ticker Security ID: Meeting Date Meeting Status
CME CUSIP 12572Q105 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Terrence A. Duffy Mgmt For For For
2 Elect Timothy S. Mgmt For For For
Bitsberger
3 Elect Charles P. Carey Mgmt For For For
4 Elect Dennis H. Mgmt For For For
Chookaszian
5 Elect Ana Dutra Mgmt For For For
6 Elect Martin J. Gepsman Mgmt For For For
7 Elect Larry G. Gerdes Mgmt For For For
8 Elect Daniel R. Mgmt For For For
Glickman
9 Elect Leo Melamed Mgmt For For For
10 Elect Alex J. Pollock Mgmt For For For
11 Elect John F. Sandner Mgmt For For For
12 Elect Terry L. Savage Mgmt For For For
13 Elect William R. Mgmt For Against Against
Shepard
14 Elect Dennis A. Suskind Mgmt For For For
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
18 Amendment to the Mgmt For For For
Incentive Plan for
Named Executive
Officers
19 Approval of the Mgmt For For For
Amendment and
Restatement of the
Omnibus Stock
Plan
________________________________________________________________________________
CNA Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
CNA CUSIP 126117100 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jose O. Mgmt For For For
Montemayor
1.2 Elect Don M. Randel Mgmt For For For
1.3 Elect Andre Rice Mgmt For For For
1.4 Elect Dino E. Robusto Mgmt For For For
1.5 Elect Joseph Rosenberg Mgmt For For For
1.6 Elect Andrew H. Tisch Mgmt For For For
1.7 Elect James S. Tisch Mgmt For For For
1.8 Elect Marvin Zonis Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
CoBiz Financial Inc.
Ticker Security ID: Meeting Date Meeting Status
COBZ CUSIP 190897108 04/27/2017 Voted*
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Steven Bangert Mgmt For For For
2 Elect Michael B. Mgmt For For For
Burgamy
3 Elect Michael G. Mgmt For For For
Hutchinson
4 Elect Evan Makovsky Mgmt For For For
5 Elect Richard L. Mgmt For For For
Monfort
6 Elect Douglas L. Polson Mgmt For For For
7 Elect Mary K. Rhinehart Mgmt For For For
8 Elect Noel N. Rothman Mgmt For For For
9 Elect Bruce H. Mgmt For For For
Schroffel
10 Elect Timothy J. Travis Mgmt For For For
11 Elect Mary Beth Vitale Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Ratification of Auditor Mgmt For For For
14 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
CoreLogic Inc.
Ticker Security ID: Meeting Date Meeting Status
CLGX CUSIP 21871D103 05/03/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect J. David Chatham Mgmt For For For
2 Elect Douglas C. Mgmt For For For
Curling
3 Elect John C. Dorman Mgmt For For For
4 Elect Paul F. Folino Mgmt For For For
5 Elect Frank D. Martell Mgmt For For For
6 Elect Thomas C. O'Brien Mgmt For For For
7 Elect Jaynie M. Mgmt For For For
Studenmund
8 Elect David F. Walker Mgmt For For For
9 Elect Mary Lee Widener Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
12 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Direct Line Insurance Group plc
Ticker Security ID: Meeting Date Meeting Status
DLG CINS G2871V114 05/11/2017 Voted
Meeting Type Country of Trade
Annual United Kingdom
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Remuneration Report Mgmt For For For
(Advisory)
3 Remuneration Policy Mgmt For For For
(Binding)
4 Allocation of Mgmt For For For
Profits/Dividends
5 Elect Michael Biggs Mgmt For For For
6 Elect Paul Geddes Mgmt For For For
7 Elect Danuta Gray Mgmt For For For
8 Elect Jane Hanson Mgmt For For For
9 Elect Mike Mgmt For For For
Holliday-Williams
10 Elect Sebastian R.E.C. Mgmt For For For
James
11 Elect Andrew Palmer Mgmt For For For
12 Elect John Reizenstein Mgmt For For For
13 Elect Richard C. Ward Mgmt For For For
14 Elect Clare Thompson Mgmt For For For
15 Appointment of Auditor Mgmt For For For
16 Authority to Set Mgmt For For For
Auditor's
Fees
17 Authorisation of Mgmt For For For
Political
Donations
18 Authority to Issue Mgmt For For For
Shares w/ Preemptive
Rights
19 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights
20 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights (Specified
Capital
Investment)
21 Authority to Mgmt For For For
Repurchase
Shares
22 Authority to Issue Mgmt For For For
Solvency II RT1
Instruments w/
Preemptive
Rights
23 Authority to Issue Mgmt For For For
Solvency II RT1
Instruments w/o
Preemptive
Rights
24 Authority to Set Mgmt For For For
General Meeting
Notice Period at 14
Days
________________________________________________________________________________
E TRADE Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
ETFC CUSIP 269246401 05/11/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard J. Mgmt For For For
Carbone
2 Elect James P. Healy Mgmt For For For
3 Elect Kevin T. Kabat Mgmt For For For
4 Elect Frederick W. Mgmt For For For
Kanner
5 Elect James Lam Mgmt For For For
6 Elect Rodger A. Lawson Mgmt For For For
7 Elect Shelley B. Mgmt For For For
Leibowitz
8 Elect Karl A. Roessner Mgmt For For For
9 Elect Rebecca Saeger Mgmt For For For
10 Elect Joseph L. Mgmt For For For
Sclafani
11 Elect Gary H. Stern Mgmt For For For
12 Elect Donna L. Weaver Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
East West Bancorp, Inc.
Ticker Security ID: Meeting Date Meeting Status
EWBC CUSIP 27579R104 05/23/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Molly Campbell Mgmt For For For
1.2 Elect Iris S. Chan Mgmt For For For
1.3 Elect Rudolph I. Mgmt For For For
Estrada
1.4 Elect Paul H. Irving Mgmt For For For
1.5 Elect Herman Y. Li Mgmt For For For
1.6 Elect Jack C. Liu Mgmt For For For
1.7 Elect Dominic Ng Mgmt For For For
1.8 Elect Keith W. Renken Mgmt For For For
1.9 Elect Lester M. Sussman Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Approval of the 2017 Mgmt For For For
Performance-Based
Bonus
Plan
5 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Encore Capital Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
ECPG CUSIP 292554102 06/15/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Willem Mesdag Mgmt For For For
1.2 Elect Ashwini Gupta Mgmt For For For
1.3 Elect Wendy Hannam Mgmt For For For
1.4 Elect Michael P. Monaco Mgmt For For For
1.5 Elect Laura Newman Olle Mgmt For For For
1.6 Elect Francis E. Mgmt For For For
Quinlan
1.7 Elect Norman R. Mgmt For For For
Sorensen
1.8 Elect Richard J. Mgmt For For For
Srednicki
1.9 Elect Kenneth A. Mgmt For For For
Vecchione
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Approval of the 2017 Mgmt For For For
Incentive Award
Plan
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Equifax Inc.
Ticker Security ID: Meeting Date Meeting Status
EFX CUSIP 294429105 05/04/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Robert D. Daleo Mgmt For For For
2 Elect Walter W. Mgmt For For For
Driver,
Jr.
3 Elect Mark L. Feidler Mgmt For For For
4 Elect G. Thomas Hough Mgmt For For For
5 Elect L. Phillip Humann Mgmt For For For
6 Elect Robert D. Marcus Mgmt For For For
7 Elect Siri S. Marshall Mgmt For For For
8 Elect John A. McKinley Mgmt For For For
9 Elect Richard F. Smith Mgmt For For For
10 Elect Elane B. Stock Mgmt For For For
11 Elect Mark B. Templeton Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
14 Ratification of Auditor Mgmt For For For
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Political
Contributions and
Expenditures
Report
________________________________________________________________________________
Equity Residential
Ticker Security ID: Meeting Date Meeting Status
EQR CUSIP 29476L107 06/15/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John W. Alexander Mgmt For For For
1.2 Elect Charles L. Atwood Mgmt For For For
1.3 Elect Linda Walker Mgmt For For For
Bynoe
1.4 Elect Connie K. Mgmt For For For
Duckworth
1.5 Elect Mary Kay Haben Mgmt For For For
1.6 Elect Bradley A. Mgmt For For For
Keywell
1.7 Elect John E. Neal Mgmt For For For
1.8 Elect David J. Mgmt For For For
Neithercut
1.9 Elect Mark S. Shapiro Mgmt For For For
1.10 Elect Gerald A. Spector Mgmt For For For
1.11 Elect Stephen E. Mgmt For For For
Sterrett
1.12 Elect Samuel Zell Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
5 Shareholder Proposal ShrHoldr Against For Against
Regarding Simple
Majority Vote for
Bylaw
Amendments
________________________________________________________________________________
FB Financial Corp
Ticker Security ID: Meeting Date Meeting Status
FBK CUSIP 30257X104 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William F. Mgmt For For For
Andrews
1.2 Elect James W. Ayers Mgmt For For For
1.3 Elect J. Jonathan Ayers Mgmt For For For
1.4 Elect Agenia W. Clark Mgmt For For For
1.5 Elect James L. Exum Mgmt For For For
1.6 Elect Christopher T. Mgmt For For For
Holmes
1.7 Elect Orrin H. Ingram Mgmt For For For
II
1.8 Elect Stuart C. Mgmt For For For
McWhorter
1.9 Elect Emily J. Reynolds Mgmt For For For
________________________________________________________________________________
Fidelity National Financial, Inc.
Ticker Security ID: Meeting Date Meeting Status
FNFV CUSIP 31620R303 06/14/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William P. Mgmt For For For
Foley,
II
1.2 Elect Douglas K. Mgmt For For For
Ammerman
1.3 Elect Thomas M. Hagerty Mgmt For For For
1.4 Elect Peter O. Shea, Mgmt For For For
Jr.
1.5 Elect Raymond R. Quirk Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Fifth Third Bancorp
Ticker Security ID: Meeting Date Meeting Status
FITB CUSIP 316773100 04/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Nicholas K. Akins Mgmt For For For
2 Elect B. Evan Bayh III Mgmt For For For
3 Elect Jorge L. Benitez Mgmt For For For
4 Elect Katherine B. Mgmt For For For
Blackburn
5 Elect Jerry W. Burris Mgmt For For For
6 Elect Emerson L. Mgmt For For For
Brumback
7 Elect Greg D. Mgmt For For For
Carmichael
8 Elect Gary R. Heminger Mgmt For For For
9 Elect Jewell D. Hoover Mgmt For For For
10 Elect Eileen A. Mgmt For For For
Mallesch
11 Elect Michael B. Mgmt For For For
McCallister
12 Elect Marsha C. Mgmt For For For
Williams
13 Ratification of Auditor Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
16 Approval of the 2017 Mgmt For For For
Incentive
Compensation
Plan
________________________________________________________________________________
First American Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
FAF CUSIP 31847R102 05/09/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect James L. Doti Mgmt For For For
1.2 Elect Michael D. McKee Mgmt For For For
1.3 Elect Thomas V. Mgmt For For For
McKernan
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Approval of the Mgmt For For For
Amendment to the 2010
Incentive
Compensation
Plan
5 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
First Hawaiian INC
Ticker Security ID: Meeting Date Meeting Status
FHB CUSIP 32051X108 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Matthew J. Cox Mgmt For For For
1.2 Elect W. Allen Doane Mgmt For For For
1.3 Elect Thibault Fulconis Mgmt For For For
1.4 Elect Gerard Gil Mgmt For Withhold Against
1.5 Elect Jean-Milan C. Mgmt For For For
Givadinovitch
1.6 Elect Robert S. Mgmt For For For
Harrison
1.7 Elect J. Michael Mgmt For Withhold Against
Shepherd
1.8 Elect Allen B Uyeda Mgmt For For For
1.9 Elect Michel Vial Mgmt For Withhold Against
2 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
First Horizon National Corporation
Ticker Security ID: Meeting Date Meeting Status
FHN CUSIP 320517105 04/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John C. Compton Mgmt For For For
2 Elect Mark A. Emkes Mgmt For For For
3 Elect Corydon J. Mgmt For For For
Gilchrist
4 Elect D. Bryan Jordan Mgmt For For For
5 Elect R. Brad Martin Mgmt For For For
6 Elect Scott M. Mgmt For For For
Niswonger
7 Elect Vicki R. Palmer Mgmt For For For
8 Elect Colin V. Reed Mgmt For For For
9 Elect Cecelia D. Mgmt For For For
Stewart
10 Elect Rajesh Mgmt For For For
Subramaniam
11 Elect Luke Yancy III Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
14 Ratification of Auditor Mgmt For Against Against
________________________________________________________________________________
First Republic Bank
Ticker Security ID: Meeting Date Meeting Status
FRC CUSIP 33616C100 05/09/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect James H. Mgmt For For For
Herbert,
II
2 Elect Katherine Mgmt For For For
August-deWilde
3 Elect Thomas J. Mgmt For For For
Barrack,
Jr.
4 Elect Frank J. Mgmt For For For
Fahrenkopf,
Jr.
5 Elect L. Martin Gibbs Mgmt For For For
6 Elect Boris Groysberg Mgmt For For For
7 Elect Sandra R. Mgmt For For For
Hernandez
8 Elect Pamela J. Joyner Mgmt For For For
9 Elect Reynold Levy Mgmt For For For
10 Elect Duncan L. Mgmt For For For
Niederauer
11 Elect George G. C. Mgmt For For For
Parker
12 Elect Cheryl Spielman Mgmt For For For
13 Ratification of Auditor Mgmt For For For
14 Approval of the 2017 Mgmt For For For
Executive Incentive
Plan
15 Approval of 2017 Mgmt For For For
Omnibus Award
Plan
16 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
17 Advisory Vote on Mgmt For For For
Executive
Compensation
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Employment
Diversity
Report
________________________________________________________________________________
Franklin Financial Network Inc
Ticker Security ID: Meeting Date Meeting Status
FSB CUSIP 35352P104 05/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Jimmy E. Allen Mgmt For For For
1.2 Elect James W. Cross IV Mgmt For For For
1.3 Elect Richard E. Mgmt For For For
Herrington
1.4 Elect Paul M. Pratt Jr. Mgmt For For For
1.5 Elect Pamela J. Mgmt For For For
Stephens
1.6 Elect Melody J. Mgmt For For For
Sullivan
1.7 Elect Gregory E. Mgmt For For For
Waldron
1.8 Elect Benjamin P. Wynd Mgmt For For For
2 Increase of Authorized Mgmt For For For
Common
Stock
3 Approval of the 2017 Mgmt For Against Against
Omnibus Equity
Incentive
Plan
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
GGP Inc.
Ticker Security ID: Meeting Date Meeting Status
GGP CUSIP 36174X101 05/17/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard B. Clark Mgmt For Against Against
2 Elect Mary Lou Fiala Mgmt For For For
3 Elect J. Bruce Flatt Mgmt For Against Against
4 Elect Janice R. Mgmt For For For
Fukakusa
5 Elect John K. Haley Mgmt For For For
6 Elect Daniel B. Hurwitz Mgmt For For For
7 Elect Brian W. Kingston Mgmt For For For
8 Elect Christina M. Mgmt For For For
Lofgren
9 Elect Sandeep Mathrani Mgmt For For For
10 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Ratification of Auditor Mgmt For For For
13 Amendment to Articles Mgmt For For For
Regarding Removal of
Directors Without
Cause
14 Shareholder Proposal ShrHoldr Against For Against
Regarding Proxy
Access
________________________________________________________________________________
Guaranty Bancorp
Ticker Security ID: Meeting Date Meeting Status
GBNK CUSIP 40075T607 05/02/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Suzanne R. Mgmt For For For
Brennan
2 Elect Edward B. Cordes Mgmt For For For
3 Elect John M. Mgmt For For For
Eggemeyer,
III
4 Elect Keith R. Finger Mgmt For For For
5 Elect Stephen D. Joyce Mgmt For For For
6 Elect Gail H. Klapper Mgmt For For For
7 Elect Stephen G. Mgmt For For For
McConahey
8 Elect Paul W. Taylor Mgmt For For For
9 Elect Albert C. Yates Mgmt For For For
10 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Heritage Commerce Corp
Ticker Security ID: Meeting Date Meeting Status
HTBK CUSIP 426927109 05/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Julianne M. Mgmt For For For
Biagini-Komas
1.2 Elect Frank G. Mgmt For For For
Bisceglia
1.3 Elect Jack W. Conner Mgmt For For For
1.4 Elect J. Philip Mgmt For For For
DiNapoli
1.5 Elect Steven L. Mgmt For For For
Hallgrimson
1.6 Elect Walter T. Mgmt For For For
Kaczmarek
1.7 Elect Robert T. Moles Mgmt For For For
1.8 Elect Laura Roden Mgmt For For For
1.9 Elect Ranson W. Webster Mgmt For For For
2 Amendment to the 2013 Mgmt For For For
Equity Incentive
Plan
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Houlihan Lokey Inc
Ticker Security ID: Meeting Date Meeting Status
HLI CUSIP 441593100 10/21/2016 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Scott L. Beiser Mgmt For Withhold Against
1.2 Elect Jacqueline B. Mgmt For Withhold Against
Kosecoff
1.3 Elect Robert J.B. Mgmt For Withhold Against
Lenhardt
2 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Howard Bancorp, Inc.
Ticker Security ID: Meeting Date Meeting Status
HBMD CUSIP 442496105 05/24/2017 Voted*
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Richard G. Arnold Mgmt For For For
1.2 Elect Nasser Basir Mgmt For For For
1.3 Elect Karen D. McGraw Mgmt For For For
1.4 Elect Mary Ann Scully Mgmt For For For
1.5 Elect Gary R. Bozel Mgmt For Withhold Against
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
Infinity Property and Casualty Corporation
Ticker Security ID: Meeting Date Meeting Status
IPCC CUSIP 45665Q103 05/17/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Victor T. Adamo Mgmt For For For
1.2 Elect Richard J. Bielen Mgmt For For For
1.3 Elect Angela Brock-Kyle Mgmt For For For
1.4 Elect Teresa A. Canida Mgmt For For For
1.5 Elect James R. Gober Mgmt For For For
1.6 Elect Harold E. Layman Mgmt For For For
1.7 Elect E. Robert Meaney Mgmt For For For
1.8 Elect James L. Weidner Mgmt For For For
1.9 Elect Samuel J. Mgmt For For For
Weinhoff
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Intercontinental Exchange, Inc.
Ticker Security ID: Meeting Date Meeting Status
ICE CUSIP 45866F104 05/19/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Ann M. Cairns Mgmt For For For
2 Elect Charles R. Crisp Mgmt For For For
3 Elect Duriya M. Mgmt For For For
Farooqui
4 Elect Jean-Marc Forneri Mgmt For For For
5 Elect Lord Hague of Mgmt For For For
Richmond
6 Elect Fred W. Hatfield Mgmt For For For
7 Elect Thomas E. Noonan Mgmt For For For
8 Elect Frederic V. Mgmt For Against Against
Salerno
9 Elect Jeffrey C. Mgmt For For For
Sprecher
10 Elect Judith A. Mgmt For For For
Sprieser
11 Elect Vincent Tese Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
14 Approval of 2017 Mgmt For For For
Omnibus Employee
Incentive
Plan
15 Amendment to the 2013 Mgmt For For For
Omnibus Non-Employee
Director Incentive
Plan
16 Technical Amendments Mgmt For For For
to Articles Regarding
Subsidiaries
17 Technical Amendments Mgmt For For For
to Articles Regarding
Bylaws
Reference
18 Ratification of Auditor Mgmt For For For
19 Shareholder Proposal ShrHoldr Against Against For
Regarding ESG
Disclosure
Report
________________________________________________________________________________
Intercontinental Exchange, Inc.
Ticker Security ID: Meeting Date Meeting Status
ICE CUSIP 45866F104 10/12/2016 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Increase of Authorized Mgmt For For For
Common
Stock
________________________________________________________________________________
JPMorgan Chase & Co.
Ticker Security ID: Meeting Date Meeting Status
JPM CUSIP 46625H100 05/16/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Linda B. Bammann Mgmt For For For
2 Elect James A. Bell Mgmt For For For
3 Elect Crandall C. Mgmt For For For
Bowles
4 Elect Stephen B. Burke Mgmt For For For
5 Elect Todd A. Combs Mgmt For For For
6 Elect James S. Crown Mgmt For For For
7 Elect James Dimon Mgmt For For For
8 Elect Timothy P. Flynn Mgmt For For For
9 Elect Laban P. Mgmt For For For
Jackson,
Jr.
10 Elect Michael A. Neal Mgmt For For For
11 Elect Lee R. Raymond Mgmt For For For
12 Elect William C. Weldon Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Ratification of Auditor Mgmt For For For
15 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Independent
Board
Chair
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Government
Service
Vesting
18 Shareholder Proposal ShrHoldr Against Against For
Regarding Amendment
to Clawback
Policy
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Gender Pay
Equity
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Counting
Abstentions
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
________________________________________________________________________________
Keycorp
Ticker Security ID: Meeting Date Meeting Status
KEY CUSIP 493267108 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Austin A. Adams Mgmt For For For
2 Elect Bruce D. Mgmt For For For
Broussard
3 Elect Charles P. Cooley Mgmt For For For
4 Elect Gary M. Crosby Mgmt For For For
5 Elect Alexander M. Mgmt For For For
Cutler
6 Elect H. James Dallas Mgmt For For For
7 Elect Elizabeth R. Gile Mgmt For For For
8 Elect Ruth Ann M. Mgmt For For For
Gillis
9 Elect William G. Mgmt For For For
Gisel,
Jr.
10 Elect Carlton L. Mgmt For For For
Highsmith
11 Elect Richard J. Hipple Mgmt For For For
12 Elect Kristen L. Manos Mgmt For For For
13 Elect Beth E. Mooney Mgmt For For For
14 Elect Demos Parneros Mgmt For For For
15 Elect Barbara R. Snyder Mgmt For For For
16 Elect David K. Wilson Mgmt For For For
17 Ratification of Auditor Mgmt For For For
18 Advisory Vote on Mgmt For For For
Executive
Compensation
19 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
20 Shareholder Proposal ShrHoldr Against For Against
Regarding Independent
Board
Chair
________________________________________________________________________________
Lazard Ltd
Ticker Security ID: Meeting Date Meeting Status
LAZ CUSIP G54050102 04/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Kenneth M. Jacobs Mgmt For For For
1.2 Elect Michelle Jarrard Mgmt For For For
1.3 Elect Philip A. Laskawy Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
5 Shareholder Proposal ShrHoldr Against Against For
Regarding Government
Service
Vesting
________________________________________________________________________________
Legg Mason, Inc.
Ticker Security ID: Meeting Date Meeting Status
LM CUSIP 524901105 07/26/2016 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Director Robert Mgmt For For For
E.
Angelica
1.2 Elect Director Carol Mgmt For For For
Anthony 'John'
Davidson
1.3 Elect Director Barry Mgmt For For For
W.
Huff
1.4 Elect Director Dennis Mgmt For For For
M.
Kass
1.5 Elect Director Cheryl Mgmt For For For
Gordon
Krongard
1.6 Elect Director John V. Mgmt For For For
Murphy
1.7 Elect Director John H. Mgmt For For For
Myers
1.8 Elect Director W. Mgmt For For For
Allen
Reed
1.9 Elect Director Mgmt For For For
Margaret Milner
Richardson
1.10 Elect Director Kurt L. Mgmt For For For
Schmoke
1.11 Elect Director Joseph Mgmt For For For
A.
Sullivan
2 Amend Omnibus Stock Mgmt For For For
Plan
3 Advisory Vote to Mgmt For For For
Ratify Named
Executive Officers'
Compensation
4 Ratify Mgmt For For For
PricewaterhouseCoopers
LLP as
Auditors
________________________________________________________________________________
Live Oak Bancshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
LOB CUSIP 53803X105 05/09/2017 Voted*
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William H. Mgmt For For For
Cameron
1.2 Elect Diane B. Glossman Mgmt For For For
1.3 Elect Glen F. Hoffsis Mgmt For For For
1.4 Elect Howard K. Landis Mgmt For For For
III
1.5 Elect David G. Lucht Mgmt For For For
1.6 Elect James S. Mahan Mgmt For For For
III
1.7 Elect Miltom E. Petty Mgmt For For For
1.8 Elect Jerald L. Pullins Mgmt For For For
1.9 Elect Neil L. Underwood Mgmt For For For
1.10 Elect William L. Mgmt For For For
Williams
III
2 Ratification of Auditor Mgmt For For For
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
Loews Corporation
Ticker Security ID: Meeting Date Meeting Status
L CUSIP 540424108 05/09/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Lawrence S. Bacow Mgmt For For For
2 Elect Ann E. Berman Mgmt For For For
3 Elect Joseph L. Bower Mgmt For For For
4 Elect Charles D. Mgmt For For For
Davidson
5 Elect Charles M. Diker Mgmt For For For
6 Elect Jacob A. Frenkel Mgmt For For For
7 Elect Paul J. Fribourg Mgmt For For For
8 Elect Walter L. Harris Mgmt For For For
9 Elect Philip A. Laskawy Mgmt For For For
10 Elect Ken Miller Mgmt For For For
11 Elect Andrew H. Tisch Mgmt For For For
12 Elect James S. Tisch Mgmt For For For
13 Elect Jonathan M. Tisch Mgmt For For For
14 Elect Anthony Welters Mgmt For For For
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
17 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Marsh & McLennan Companies, Inc.
Ticker Security ID: Meeting Date Meeting Status
MMC CUSIP 571748102 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Anthony K. Mgmt For For For
Anderson
2 Elect Oscar Fanjul Mgmt For For For
Martin
3 Elect Daniel S. Glaser Mgmt For For For
4 Elect H. Edward Hanway Mgmt For For For
5 Elect Deborah C. Mgmt For For For
Hopkins
6 Elect Elaine La Roche Mgmt For For For
7 Elect Steven A. Mills Mgmt For For For
8 Elect Bruce P. Nolop Mgmt For For For
9 Elect Marc D. Oken Mgmt For For For
10 Elect Morton O. Mgmt For For For
Schapiro
11 Elect Lloyd M. Yates Mgmt For For For
12 Elect R. David Yost Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Ratification of Auditor Mgmt For For For
16 Shareholder Proposal ShrHoldr Against Against For
Regarding Holy Land
Principles
________________________________________________________________________________
Mastercard Incorporated
Ticker Security ID: Meeting Date Meeting Status
MA CUSIP 57636Q104 06/27/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Richard Mgmt For For For
Haythornthwaite
2 Elect Ajay Banga Mgmt For For For
3 Elect Silvio Barzi Mgmt For For For
4 Elect David R. Carlucci Mgmt For For For
5 Elect Steven J. Mgmt For For For
Freiberg
6 Elect Julius Mgmt For For For
Genachowski
7 Elect Merit E. Janow Mgmt For For For
8 Elect Nancy J. Karch Mgmt For For For
9 Elect Oki Matsumoto Mgmt For For For
10 Elect Rima Qureshi Mgmt For For For
11 Elect Jose Octavio Mgmt For For For
Reyes
Lagunes
12 Elect Jackson P. Tai Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Approval of Material Mgmt For For For
Terms under the 2006
Long-Term Incentive
Plan
16 Ratification of Auditor Mgmt For For For
17 Shareholder Proposal ShrHoldr Against Against For
Regarding Gender Pay
Equity
Report
________________________________________________________________________________
MetLife, Inc.
Ticker Security ID: Meeting Date Meeting Status
MET CUSIP 59156R108 06/13/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Cheryl W. Grise Mgmt For For For
2 Elect Carlos M. Mgmt For For For
Gutierrez
3 Elect David L. Herzog Mgmt For For For
4 Elect R. Glenn Hubbard Mgmt For For For
5 Elect Steven A. Mgmt For For For
Kandarian
6 Elect Alfred F. Kelly, Mgmt For For For
Jr.
7 Elect Edward J. Kelly, Mgmt For For For
III
8 Elect William E. Mgmt For For For
Kennard
9 Elect James M. Kilts Mgmt For For For
10 Elect Catherine R. Mgmt For For For
Kinney
11 Elect Denise M. Mgmt For For For
Morrison
12 Ratification of Auditor Mgmt For For For
13 Advisory Vote on Mgmt For Against Against
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Call a Special
Meeting
________________________________________________________________________________
Morgan Stanley
Ticker Security ID: Meeting Date Meeting Status
MS CUSIP 617446448 05/22/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Erskine B. Bowles Mgmt For For For
2 Elect Alistair Darling Mgmt For For For
3 Elect Thomas H. Glocer Mgmt For For For
4 Elect James P. Gorman Mgmt For For For
5 Elect Robert H. Herz Mgmt For For For
6 Elect Nobuyuki Hirano Mgmt For For For
7 Elect Klaus Kleinfeld Mgmt For For For
8 Elect Jami Miscik Mgmt For For For
9 Elect Dennis M. Nally Mgmt For For For
10 Elect Hutham S. Olayan Mgmt For For For
11 Elect James W. Owens Mgmt For For For
12 Elect Ryohsuke Mgmt For For For
Tamakoshi
13 Elect Perry M. Traquina Mgmt For For For
14 Elect Rayford Wilkins, Mgmt For For For
Jr.
15 Ratification of Auditor Mgmt For For For
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
18 Amendment to the Mgmt For For For
Equity Incentive
Compensation
Plan
19 Amendment to the Mgmt For For For
Directors’ Equity
Capital Accumulation
Plan
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Counting
Abstentions
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Government
Service
Vesting
________________________________________________________________________________
National Bank Holdings Corp.
Ticker Security ID: Meeting Date Meeting Status
NBHC CUSIP 633707104 05/03/2017 Voted*
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Ralph W. Clermont Mgmt For For For
1.2 Elect Robert E. Dean Mgmt For For For
1.3 Elect Fred J. Joseph Mgmt For For For
1.4 Elect G. Timothy Laney Mgmt For For For
1.5 Elect Micho F. Spring Mgmt For For For
1.6 Elect Burney S. Mgmt For For For
Warren,
III
1.7 Elect Art Zeile Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
National Commerce Corporation
Ticker Security ID: Meeting Date Meeting Status
NCOM CUSIP 63546L102 05/23/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Joel S. Arogeti Mgmt For For For
1.2 Elect Bobby A. Bradley Mgmt For For For
1.3 Elect Mark L. Drew Mgmt For For For
1.4 Elect R. Holman Head Mgmt For For For
1.5 Elect John H. Holcomb, Mgmt For For For
III
1.6 Elect William E. Mgmt For For For
Matthews
V
1.7 Elect C. Phillip McWane Mgmt For For For
1.8 Elect Richard Murray, Mgmt For For For
IV
1.9 Elect G. Ruffner Page, Mgmt For For For
Jr.
1.10 Elect Stephen A. Mgmt For For For
Sevigny
1.11 Elect William S. Mgmt For For For
Starnes
1.12 Elect Temple W. Mgmt For For For
Tutwiler
III
1.13 Elect Russell H. Mgmt For For For
Vandevelde,
IV
1.14 Elect Donald F. Wright Mgmt For For For
2 2017 Equity Incentive Mgmt For For For
Plan
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Och-Ziff Capital Management Group LLC
Ticker Security ID: Meeting Date Meeting Status
OZM CUSIP 67551U105 05/09/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William Barr Mgmt For For For
1.2 Elect Allan S. Bufferd Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Amendment to the 2013 Mgmt For Against Against
Incentive
Plan
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Frequency of Advisory Mgmt 3 Years 1 Year Against
Vote on Executive
Compensation
________________________________________________________________________________
Old Line Bancshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
OLBK CUSIP 67984M100 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Craig E. Clark Mgmt For For For
1.2 Elect Gail D. Manuel Mgmt For For For
1.3 Elect Gregory S. Mgmt For For For
Proctor,
Jr.
1.4 Elect Suhas R. Shah Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Old Point Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
OPOF CUSIP 680194107 05/23/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Stephen Adams Mgmt For For For
2 Elect James Reade Mgmt For For For
Chisman
3 Elect Russell S. Mgmt For For For
Evans,
Jr.
4 Elect Michael A. Mgmt For For For
Glasser
5 Elect Arthur D. Greene Mgmt For For For
6 Elect John Cabot Ishon Mgmt For For For
7 Elect William F Keefe Mgmt For For For
IV
8 Elect Tom B. Langley Mgmt For For For
9 Elect H. Robert Mgmt For For For
Schappert
10 Elect Robert F. Mgmt For For For
Shuford,
Sr.
11 Elect Robert F. Mgmt For For For
Shuford,
Jr.
12 Elect Ellen Clark Mgmt For For For
Thacker
13 Elect Joseph R. Witt Mgmt For For For
14 Advisory Vote on Mgmt For For For
Executive
Compensation
15 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
OneBeacon Insurance Group, Ltd.
Ticker Security ID: Meeting Date Meeting Status
OB CUSIP G67742109 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David T. Foy Mgmt For Withhold Against
1.2 Elect Ira H. Malis Mgmt For For For
1.3 Elect Patrick A. Thiele Mgmt For For For
2 Elect G Manning Mgmt For For For
Rountree
3 Election of Directors Mgmt For For For
of Split Rock
Insurance,
Ltd.
4 Election of Directors Mgmt For For For
of Grand Marais
Capital
Limited
5 Election of Directors Mgmt For For For
of any new designated
subsidary
6 Advisory Vote on Mgmt For For For
Executive
Compensation
7 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
8 Approval of the 2017 Mgmt For For For
Long-Term Incentive
Plan
9 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Pacific Mercantile Bancorp
Ticker Security ID: Meeting Date Meeting Status
PMBC CUSIP 694552100 05/17/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Romir Bosu Mgmt For For For
1.2 Elect Edward J. Mgmt For For For
Carpenter
1.3 Elect Warren T. Finley Mgmt For For For
1.4 Elect John D. Flemming Mgmt For For For
1.5 Elect Michael P. Hoopis Mgmt For For For
1.6 Elect Dennis Kalscheur Mgmt For For For
1.7 Elect David J. Munio Mgmt For For For
1.8 Elect John Thomas Mgmt For For For
1.9 Elect Thomas M. Vertin Mgmt For For For
1.10 Elect Stephen P. Yost Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Pacific Premier Bancorp Inc.
Ticker Security ID: Meeting Date Meeting Status
PPBI CUSIP 69478X105 03/27/2017 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Stock Issuance for Mgmt For For For
Merger
2 Right to Adjourn Mgmt For For For
Meeting
________________________________________________________________________________
Pacific Premier Bancorp Inc.
Ticker Security ID: Meeting Date Meeting Status
PPBI CUSIP 69478X105 05/31/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect John J. Carona Mgmt For For For
1.2 Elect Ayad A Fargo Mgmt For For For
1.3 Elect Steven R. Gardner Mgmt For For For
1.4 Elect Joseph L. Garrett Mgmt For For For
1.5 Elect Jeff C. Jones Mgmt For For For
1.6 Elect Simone F. Mgmt For For For
Lagomarsino
1.7 Elect Michael J. Morris Mgmt For For For
1.8 Elect Michael E. Pfau Mgmt For For For
1.9 Elect Zareh M Sarrafian Mgmt For For For
1.10 Elect Cora M. Tellez Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Amendment to the 2012 Mgmt For For For
Long-Term Incentive
Plan
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Park Sterling Corporation
Ticker Security ID: Meeting Date Meeting Status
PSTB CUSIP 70086Y105 05/25/2017 Voted*
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Walter C. Ayers Mgmt For For For
2 Elect Jean E. Davis Mgmt For For For
3 Elect Jeffrey S. Kane Mgmt For For For
4 Elect Kim S. Price Mgmt For For For
5 Ratification of Auditor Mgmt For For For
6 Advisory Vote on Mgmt For For For
Executive
Compensation
*Pursuant to regulatory commitments, certain shares by the Fund may have been
voted in the same manner and proportion as all shares voted in the meeting.
________________________________________________________________________________
Paypal Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
PYPL CUSIP 70450Y103 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Wences Casares Mgmt For For For
2 Elect Jonathan Mgmt For For For
Christodoro
3 Elect John J. Donahoe Mgmt For For For
II
4 Elect David Dorman Mgmt For For For
5 Elect Belinda J. Mgmt For For For
Johnson
6 Elect Gail J. McGovern Mgmt For For For
7 Elect David M. Moffett Mgmt For For For
8 Elect Daniel H. Mgmt For For For
Schulman
9 Elect Frank D. Yeary Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Amendment to Articles Mgmt For For For
Regarding Proxy
Access
12 Ratification of Auditor Mgmt For For For
13 Shareholder Proposal ShrHoldr Against Against For
Regarding Right to
Act by Written
Consent
14 Shareholder Proposal ShrHoldr Against Against For
Regarding
Sustainability
Report
15 Shareholder Proposal ShrHoldr Against Against For
Regarding Net Zero
Greenhouse Gas
Emissions
________________________________________________________________________________
PennyMac Financial Services Inc
Ticker Security ID: Meeting Date Meeting Status
PFSI CUSIP 70932B101 05/23/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Stanford L. Mgmt For For For
Kurland
1.2 Elect David A. Spector Mgmt For For For
1.3 Elect Matthew Botein Mgmt For For For
1.4 Elect James K. Hunt Mgmt For For For
1.5 Elect Patrick Kinsella Mgmt For For For
1.6 Elect Joseph F. Mgmt For For For
Mazzella
1.7 Elect Farhad Nanji Mgmt For For For
1.8 Elect Mark Wiedman Mgmt For For For
1.9 Elect Emily Youssouf Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Popular, Inc.
Ticker Security ID: Meeting Date Meeting Status
BPOP CUSIP 733174700 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Maria Luisa Ferre Mgmt For For For
2 Elect C. Kim Goodwin Mgmt For For For
3 Elect William J. Mgmt For For For
Teuber,
Jr.
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Preferred Bank
Ticker Security ID: Meeting Date Meeting Status
PFBC CUSIP 740367404 05/30/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Wayne Wu Mgmt For For For
1.2 Elect William C.Y. Mgmt For For For
Cheng
1.3 Elect Chih-Wei Wu Mgmt For For For
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Approval of the 2017 Mgmt For For For
Executive Incentive
Plan
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Proassurance Corporation
Ticker Security ID: Meeting Date Meeting Status
PRA CUSIP 74267C106 05/31/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Samuel A. Di Mgmt For For For
Piazza,
Jr.
1.2 Elect Robert E. Flowers Mgmt For For For
1.3 Elect Katisha T. Vance Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Prosperity Bancshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
PB CUSIP 743606105 04/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect William T. Mgmt For For For
Luedke
IV
1.2 Elect Perry Mueller, Mgmt For For For
Jr.
1.3 Elect Harrison Mgmt For For For
Stafford
II
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
RSA Insurance Group Plc
Ticker Security ID: Meeting Date Meeting Status
RSA CINS G7705H157 05/05/2017 Voted
Meeting Type Country of Trade
Annual United Kingdom
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Remuneration Policy Mgmt For For For
(Binding)
3 Remuneration Report Mgmt For For For
(Advisory)
4 Allocation of Mgmt For For For
Profits/Dividends
5 Elect Martin Scicluna Mgmt For For For
6 Elect Stephen Hester Mgmt For For For
7 Elect Scott Egan Mgmt For For For
8 Elect Alastair W.S. Mgmt For For For
Barbour
9 Elect Kath Cates Mgmt For For For
10 Elect Enrico Cucchiani Mgmt For For For
11 Elect Isabel Hudson Mgmt For For For
12 Elect Hugh Mitchell Mgmt For For For
13 Elect Joseph B.M. Mgmt For For For
Streppel
14 Elect Martin Stroebel Mgmt For For For
15 Appointment of Auditor Mgmt For For For
16 Authority to Set Mgmt For For For
Auditor's
Fees
17 Authorisation of Mgmt For For For
Political
Donations
18 Authority to Issue Mgmt For For For
Shares w/ Preemptive
Rights
19 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights
20 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights (Specific
Capital
Investment)
21 Authority to Issue Mgmt For For For
Mandatory Convertible
Securities w/
Preemptive
Rights
22 Authority to Issue Mgmt For For For
Mandatory Convertible
Securities w/o
Preemptive
Rights
23 Authority to Mgmt For For For
Repurchase
Shares
24 Authority to Set Mgmt For For For
General Meeting
Notice Period at 14
Days
________________________________________________________________________________
Safety Insurance Group, Inc.
Ticker Security ID: Meeting Date Meeting Status
SAFT CUSIP 78648T100 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect David F. Brussard Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Sampo Oyj
Ticker Security ID: Meeting Date Meeting Status
SAMPO CINS X75653109 04/27/2017 Voted
Meeting Type Country of Trade
Annual Finland
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Non-Voting Meeting Note N/A N/A N/A N/A
2 Non-Voting Meeting Note N/A N/A N/A N/A
3 Non-Voting Agenda Item N/A N/A N/A N/A
4 Non-Voting Agenda Item N/A N/A N/A N/A
5 Non-Voting Agenda Item N/A N/A N/A N/A
6 Non-Voting Agenda Item N/A N/A N/A N/A
7 Non-Voting Agenda Item N/A N/A N/A N/A
8 Non-Voting Agenda Item N/A N/A N/A N/A
9 Accounts and Reports Mgmt For For For
10 Allocation of Mgmt For For For
Profits/Dividends
11 Ratification of Board Mgmt For For For
and CEO
Acts
12 Directors' Fees Mgmt For For For
13 Board Size Mgmt For For For
14 Election of Directors Mgmt For For For
15 Authority to Set Mgmt For For For
Auditor's
Fees
16 Appointment of Auditor Mgmt For For For
17 Forfeiture of Shares Mgmt For For For
in the Joint Book
Entry
Account
18 Authority to Mgmt For For For
Repurchase
Shares
19 Non-Voting Agenda Item N/A N/A N/A N/A
________________________________________________________________________________
Seacoast Banking Corporation of Florida
Ticker Security ID: Meeting Date Meeting Status
SBCF CUSIP 811707801 05/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Stephen E. Bohner Mgmt For For For
1.2 Elect Alvaro J. Mgmt For For For
Monserrat
1.3 Elect Julie H. Daum Mgmt For For For
1.4 Elect Dennis S. Hudson Mgmt For For For
III
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Signature Bank
Ticker Security ID: Meeting Date Meeting Status
SBNY CUSIP 82669G104 04/20/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Scott A. Shay Mgmt For For For
1.2 Elect Joseph J. DePaolo Mgmt For For For
1.3 Elect Barney Frank Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Adoption of Majority Mgmt For For For
Vote for Election of
Directors
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
5 Advisory Vote on Mgmt For For For
Executive
Compensation
6 Approval of the Mgmt For For For
amendment to the 2004
Long Term Incentive
Plan
________________________________________________________________________________
SL Green Realty Corp.
Ticker Security ID: Meeting Date Meeting Status
SLG CUSIP 78440X101 06/01/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Betsy Atkins Mgmt For For For
2 Elect Marc Holliday Mgmt For For For
3 Elect John S. Levy Mgmt For For For
4 Advisory Vote on Mgmt For Against Against
Executive
Compensation
5 Repeal of Classified Mgmt For For For
Board
6 Ratification of Auditor Mgmt For For For
7 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
8 Shareholder Proposal ShrHoldr Against Against For
Regarding Employee
Salary Considerations
When Setting
Executive
Compensation
________________________________________________________________________________
SLM Corporation
Ticker Security ID: Meeting Date Meeting Status
SLM CUSIP 78442P106 06/22/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Paul G. Child Mgmt For For For
2 Elect Carter Warren Mgmt For For For
Franke
3 Elect Earl A. Goode Mgmt For For For
4 Elect Marianne M. Keler Mgmt For For For
5 Elect Jim Matheson Mgmt For For For
6 Elect Jed H. Pitcher Mgmt For For For
7 Elect Frank C. Puleo Mgmt For For For
8 Elect Raymond J. Mgmt For For For
Quinlan
9 Elect Vivian C. Mgmt For For For
Schneck-Last
10 Elect William N. Mgmt For For For
Shiebler
11 Elect Robert S. Strong Mgmt For For For
12 Elect Kirsten O Wolberg Mgmt For For For
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Ratification of Auditor Mgmt For For For
15 Amendment to the 2012 Mgmt For For For
Omnibus Incentive
Plan
16 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
State Auto Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
STFC CUSIP 855707105 05/05/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David R. Meuse Mgmt For For For
1.2 Elect S. Elaine Roberts Mgmt For For For
1.3 Elect Kym M. Hubbard Mgmt For For For
2 Approval of the 2017 Mgmt For For For
Long-Term Incentive
Plan
3 Ratification of Auditor Mgmt For For For
4 Advisory Vote on Mgmt For For For
Executive
Compensation
5 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
State Street Corporation
Ticker Security ID: Meeting Date Meeting Status
STT CUSIP 857477103 05/17/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Kennett F. Burnes Mgmt For For For
2 Elect Patrick de Mgmt For For For
Saint-Aignan
3 Elect Lynn A. Dugle Mgmt For For For
4 Elect Amelia C. Fawcett Mgmt For For For
5 Elect William C. Freda Mgmt For For For
6 Elect Linda A. Hill Mgmt For For For
7 Elect Joseph L. Hooley Mgmt For For For
8 Elect Sean O'Sullivan Mgmt For For For
9 Elect Richard P. Sergel Mgmt For For For
10 Elect Gregory L. Summe Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
13 Approval of the 2017 Mgmt For For For
Stock Incentive
Plan
14 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
SVB Financial Group
Ticker Security ID: Meeting Date Meeting Status
SIVB CUSIP 78486Q101 04/27/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Greg W. Becker Mgmt For For For
1.2 Elect Eric A. Benhamou Mgmt For For For
1.3 Elect David M. Clapper Mgmt For For For
1.4 Elect Roger F. Dunbar Mgmt For For For
1.5 Elect Joel P. Friedman Mgmt For For For
1.6 Elect Lata Krishnan Mgmt For For For
1.7 Elect Jeffrey N. Mgmt For For For
Maggioncalda
1.8 Elect Mary J. Miller Mgmt For For For
1.9 Elect Kate D. Mitchell Mgmt For For For
1.10 Elect John F. Robinson Mgmt For For For
1.11 Elect Garen K. Staglin Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Talmer Bancorp, Inc.
Ticker Security ID: Meeting Date Meeting Status
TLMR CUSIP 87482X101 07/14/2016 Voted
Meeting Type Country of Trade
Special United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Approve Merger Mgmt For For For
Agreement
2 Advisory Vote on Mgmt For Against Against
Golden
Parachutes
3 Adjourn Meeting Mgmt For For For
________________________________________________________________________________
Taubman Centers Inc.
Ticker Security ID: Meeting Date Meeting Status
TCO CUSIP 876664103 06/01/2017 Take No Action
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Robert S. Taubman Mgmt For TNA N/A
1.2 Elect Cia Buckley Mgmt For TNA N/A
Marakovits
1.3 Elect Myron E. Ullman, Mgmt For TNA N/A
III
2 Ratification of Auditor Mgmt For TNA N/A
3 Advisory Vote on Mgmt For TNA N/A
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year TNA Against
Vote on Executive
Compensation
________________________________________________________________________________
Taubman Centers Inc.
Ticker Security ID: Meeting Date Meeting Status
TCO CUSIP 876664103 06/01/2017 Voted
Meeting Type Country of Trade
Proxy Contest United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Charles Elson ShrHoldr N/A For N/A
1.2 Elect Jonathan Litt ShrHoldr N/A For N/A
1.3 Elect Management ShrHoldr N/A For N/A
Nominee Cia Buckley
Marakovits
2 Ratification of Auditor ShrHoldr N/A For N/A
3 Advisory Vote on ShrHoldr N/A For N/A
Executive
Compensation
4 Frequency of Advisory ShrHoldr N/A 1 Year N/A
Vote on Executive
Compensation
________________________________________________________________________________
TD Ameritrade Holding Corporation
Ticker Security ID: Meeting Date Meeting Status
AMTD CUSIP 87236Y108 02/17/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Lorenzo A. Mgmt For For For
Bettino
1.2 Elect V. Ann Hailey Mgmt For Withhold Against
1.3 Elect Joseph H. Moglia Mgmt For For For
1.4 Elect Wilbur J. Mgmt For For For
Prezzano
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Texas Capital Bancshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
TCBI CUSIP 88224Q107 04/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect C. Keith Cargill Mgmt For For For
1.2 Elect Peter B. Mgmt For For For
Bartholow
1.3 Elect James H. Browning Mgmt For For For
1.4 Elect Preston M. Mgmt For For For
Geren,
III
1.5 Elect Larry L. Helm Mgmt For For For
1.6 Elect Charles S. Hyle Mgmt For For For
1.7 Elect Elysia Holt Mgmt For For For
Ragusa
1.8 Elect Steven P. Mgmt For For For
Rosenberg
1.9 Elect Robert W. Mgmt For For For
Stallings
1.10 Elect Dale W. Tremblay Mgmt For Withhold Against
1.11 Elect Ian J. Turpin Mgmt For For For
1.12 Elect Patricia A. Mgmt For For For
Watson
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
4 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
The Bank of N.T. Butterfield & Son Limited
Ticker Security ID: Meeting Date Meeting Status
NTB CUSIP G0772R208 04/28/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Appointment of Auditor Mgmt For For For
and Authority to Set
Fees
3 Board Size Mgmt For For For
4 Elect E. Barclay Mgmt For For For
Simmons
5 Elect Michael Collins Mgmt For For For
6 Elect Alastair W.S. Mgmt For For For
Barbour
7 Elect James Burr Mgmt For For For
8 Elect Caroline Foulger Mgmt For For For
9 Elect Conor O'Dea Mgmt For For For
10 Elect Wolfgang Mgmt For For For
Schoellkopf
11 Elect John R. Wright Mgmt For For For
12 Elect David K. Zwiener Mgmt For For For
13 Authority to Fill Mgmt For For For
Vacancies
14 Authority to Issue Mgmt For For For
Treasury Shares and
Unissued Authorized
Capital
________________________________________________________________________________
The Progressive Corporation
Ticker Security ID: Meeting Date Meeting Status
PGR CUSIP 743315103 05/12/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Stuart B. Mgmt For For For
Burgdoerfer
2 Elect Charles A. Davis Mgmt For For For
3 Elect Roger N. Farah Mgmt For For For
4 Elect Lawton W. Fitt Mgmt For For For
5 Elect Susan Patricia Mgmt For For For
Griffith
6 Elect Jeffrey D. Kelly Mgmt For For For
7 Elect Patrick H. Mgmt For For For
Nettles
8 Elect Glenn M. Renwick Mgmt For For For
9 Elect Bradley T. Mgmt For For For
Sheares
10 Elect Barbara R. Snyder Mgmt For For For
11 Approval of the 2017 Mgmt For For For
Executive Annual
Incentive
Plan
12 Approval of the 2017 Mgmt For For For
Directors Equity
Incentive
Plan
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
The Royal Bank of Scotland Group plc
Ticker Security ID: Meeting Date Meeting Status
RBS CINS G7S86Z172 05/11/2017 Voted
Meeting Type Country of Trade
Annual United Kingdom
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Accounts and Reports Mgmt For For For
2 Remuneration Policy Mgmt For For For
(Binding)
3 Remuneration Report Mgmt For For For
(Advisory)
4 Elect Howard J. Davies Mgmt For For For
5 Elect Ross McEwan Mgmt For For For
6 Elect Ewen Stevenson Mgmt For For For
7 Elect Sir Sandy Crombie Mgmt For For For
8 Elect Frank E. Dangeard Mgmt For For For
9 Elect Alison Davis Mgmt For For For
10 Elect Morten Friis Mgmt For For For
11 Elect Robert Gillespie Mgmt For For For
12 Elect Penny Hughes Mgmt For For For
13 Elect Brendan R. Nelson Mgmt For For For
14 Elect Baroness Sheila Mgmt For For For
Noakes
15 Elect Mike Rogers Mgmt For For For
16 Elect Mark Seligman Mgmt For For For
17 Appointment of Auditor Mgmt For For For
18 Authority to Set Mgmt For For For
Auditor's
Fees
19 Authority to Issue Mgmt For For For
Shares w/ Preemptive
Rights
20 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights
21 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights (Specified
Capital
Investment)
22 Authority to Issue Mgmt For For For
Equity Convertible
Notes w/ Preemptive
Rights
23 Authority to Issue Mgmt For For For
Equity Convertible
Notes w/o Preemptive
Rights
24 Authority to Set Mgmt For For For
General Meeting
Notice Period at 14
Days
25 Authorisation of Mgmt For For For
Political
Donations
26 Authority to Mgmt For For For
Repurchase
Shares
27 Reduction in Share Mgmt For For For
Premium Account and
Capital Redemption
Reserve
28 Approve Sharesave Plan Mgmt For For For
________________________________________________________________________________
Third Point Reinsurance Ltd
Ticker Security ID: Meeting Date Meeting Status
TPRE CUSIP G8827U100 05/03/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Steven E. Fass Mgmt For For For
1.2 Elect Mary R. Hennessy Mgmt For For For
2 Election of Designated Mgmt For For For
Company Directors of
Subsidiaries
3 Amendment to the Mgmt For For For
Annual Incentive
Plan
4 Amendment to the 2013 Mgmt For For For
Omnibus Incentive
Plan
5 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
TowneBank
Ticker Security ID: Meeting Date Meeting Status
TOWN CUSIP 89214P109 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Jeffrey F. Benson Mgmt For For For
2 Elect Douglas D. Ellis Mgmt For For For
3 Elect John W. Failes Mgmt For For For
4 Elect William I. Mgmt For For For
Foster,
III
5 Elect Stephanie J. Mgmt For For For
Marioneaux
6 Elect Juan M. Montero, Mgmt For For For
II
7 Elect Thomas K. Mgmt For For For
Norment,
Jr.
8 Elect Brad E. Schwartz Mgmt For For For
9 Elect Alan S. Witt Mgmt For For For
10 Elect Robert M. Oman Mgmt For For For
11 Elect Elizabeth T. Mgmt For For For
Patterson
12 Elect E. Neal Mgmt For For For
Crawford,
Jr.
13 Elect William T. Mgmt For For For
Morrison
14 Elect Dwight C. Mgmt For For For
Schaubach
15 Appointment of Mgmt For For For
Directors of
Townebanking Groups
and Towne Financial
Services
16 Ratification of Auditor Mgmt For For For
17 Advisory Vote on Mgmt For For For
Executive
Compensation
18 Approval of the 2017 Mgmt For For For
Stock Incentive
Plan
19 Approval of the Annual Mgmt For For For
Incentive
Compensation
Plan
________________________________________________________________________________
Tristate Capital Holdings, Inc.
Ticker Security ID: Meeting Date Meeting Status
TSC CUSIP 89678F100 05/19/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect David L. Mgmt For For For
Bonvenuto
1.2 Elect James J. Dolan Mgmt For Withhold Against
1.3 Elect Mark L. Sullivan Mgmt For For For
2 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
United Financial Bancorp Inc.
Ticker Security ID: Meeting Date Meeting Status
UBNK CUSIP 910304104 05/24/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Michael A. Bars Mgmt For For For
1.2 Elect Kristen A. Mgmt For For For
Johnson
2 Advisory Vote on Mgmt For For For
Executive
Compensation
3 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
VEREIT, Inc.
Ticker Security ID: Meeting Date Meeting Status
VER CUSIP 92339V100 05/03/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Glenn J. Rufrano Mgmt For For For
2 Elect Hugh R. Frater Mgmt For For For
3 Elect David B. Henry Mgmt For For For
4 Elect Mary Hogan Mgmt For For For
Preusse
5 Elect Richard J. Lieb Mgmt For For For
6 Elect Mark S. Ordan Mgmt For For For
7 Elect Eugene A. Pinover Mgmt For For For
8 Elect Julie G. Mgmt For For For
Richardson
9 Ratification of Auditor Mgmt For For For
10 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Visa Inc.
Ticker Security ID: Meeting Date Meeting Status
V CUSIP 92826C839 01/31/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Lloyd A. Carney Mgmt For For For
2 Elect Mary B. Cranston Mgmt For For For
3 Elect Francisco Javier Mgmt For For For
Fernandez-Carbajal
4 Elect Gary A. Hoffman Mgmt For For For
5 Elect Alfred F. Kelly, Mgmt For For For
Jr.
6 Elect Robert W. Mgmt For For For
Matschullat
7 Elect Suzanne Nora Mgmt For For For
Johnson
8 Elect John A.C. Mgmt For For For
Swainson
9 Elect Maynard G. Webb, Mgmt For For For
Jr.
10 Advisory Vote on Mgmt For For For
Executive
Compensation
11 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
12 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Vornado Realty Trust
Ticker Security ID: Meeting Date Meeting Status
VNO CUSIP 929042109 05/18/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Michael Lynne Mgmt For For For
1.2 Elect David Mandelbaum Mgmt For Withhold Against
1.3 Elect Mandakini Puri Mgmt For For For
1.4 Elect Daniel R. Tisch Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
4 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
WashingtonFirst Bankshares, Inc.
Ticker Security ID: Meeting Date Meeting Status
WFBI CUSIP 940730104 04/26/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1.1 Elect Juan A. Mencia Mgmt For For For
1.2 Elect Mark C. Michael Mgmt For For For
1.3 Elect James P. Muldoon Mgmt For For For
1.4 Elect William C. Mgmt For For For
Oldaker
1.5 Elect Jon M. Peterson Mgmt For For For
1.6 Elect Gail R. Steckler Mgmt For For For
1.7 Elect Obiora Menkiti Mgmt For For For
2 Ratification of Auditor Mgmt For For For
3 Advisory Vote on Mgmt For For For
Executive
Compensation
________________________________________________________________________________
Webster Financial Corporation
Ticker Security ID: Meeting Date Meeting Status
WBS CUSIP 947890109 04/27/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect William L. Atwell Mgmt For For For
2 Elect Joel S. Becker Mgmt For For For
3 Elect John J. Crawford Mgmt For For For
4 Elect Elizabeth E. Mgmt For For For
Flynn
5 Elect Laurence C. Morse Mgmt For For For
6 Elect Karen R. Osar Mgmt For For For
7 Elect Mark Pettie Mgmt For For For
8 Elect Charles W. Mgmt For For For
Shivery
9 Elect James C. Smith Mgmt For For For
10 Elect Lauren C. States Mgmt For For For
11 Advisory Vote on Mgmt For For For
Executive
Compensation
12 Ratification of Auditor Mgmt For For For
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
________________________________________________________________________________
Wells Fargo & Company
Ticker Security ID: Meeting Date Meeting Status
WFC CUSIP 949746101 04/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect John D. Baker II Mgmt For For For
2 Elect John S. Chen Mgmt For For For
3 Elect Lloyd H. Dean Mgmt For For For
4 Elect Elizabeth A. Duke Mgmt For For For
5 Elect Enrique Mgmt For For For
Hernandez,
Jr.
6 Elect Donald M. James Mgmt For For For
7 Elect Cynthia H. Mgmt For Against Against
Milligan
8 Elect Karen B. Peetz Mgmt For For For
9 Elect Federico F. Pena Mgmt For For For
10 Elect James H. Quigley Mgmt For For For
11 Elect Stephen W. Sanger Mgmt For For For
12 Elect Ronald L. Sargent Mgmt For For For
13 Elect Timothy J. Sloan Mgmt For For For
14 Elect Susan Swenson Mgmt For For For
15 Elect Suzanne M. Mgmt For For For
Vautrinot
16 Advisory Vote on Mgmt For For For
Executive
Compensation
17 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
18 Ratification of Auditor Mgmt For For For
19 Shareholder Proposal ShrHoldr Against Against For
Regarding Retail
Banking Sales
Practices
Report
20 Shareholder Proposal ShrHoldr Against Against For
Regarding Cumulative
Voting
21 Shareholder Proposal ShrHoldr Against Against For
Regarding Study
Session to Address
Divestiture of
Non-Core Banking
Assets
22 Shareholder Proposal ShrHoldr Against Against For
Regarding Gender Pay
Equity
Report
23 Shareholder Proposal ShrHoldr Against Against For
Regarding Lobbying
Report
24 Shareholder Proposal ShrHoldr Against Against For
Regarding Indigenous
Peoples' Rights
Policy
________________________________________________________________________________
Western Alliance Bancorporation
Ticker Security ID: Meeting Date Meeting Status
WAL CUSIP 957638109 06/06/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Bruce Beach Mgmt For For For
2 Elect William S. Boyd Mgmt For For For
3 Elect Howard N. Gould Mgmt For For For
4 Elect Steven J. Hilton Mgmt For For For
5 Elect Marianne Boyd Mgmt For For For
Johnson
6 Elect Robert P. Latta Mgmt For For For
7 Elect Cary Mack Mgmt For For For
8 Elect Todd Marshall Mgmt For For For
9 Elect James E. Nave Mgmt For For For
10 Elect Michael Patriarca Mgmt For For For
11 Elect Robert G. Sarver Mgmt For For For
12 Elect Donald D. Snyder Mgmt For For For
13 Elect Sung Won Sohn Mgmt For For For
14 Elect Kenneth A. Mgmt For For For
Vecchione
15 Advisory Vote on Mgmt For For For
Executive
Compensation
16 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
White Mountains Insurance Group, Ltd.
Ticker Security ID: Meeting Date Meeting Status
WTM CUSIP G9618E107 05/25/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Yves Brouillette Mgmt For For For
2 Elect G Manning Mgmt For For For
Rountree
3 Elect Kevin Pearson Mgmt For For For
4 Elect Jennifer Pitts Mgmt For For For
5 Elect Christine Repasy Mgmt For For For
6 Elect John Sinkus Mgmt For For For
7 Elect Reid Campbell Mgmt For For For
8 Elect Kevin Pearson Mgmt For For For
9 Elect Jennifer Pitts Mgmt For For For
10 Elect G Manning Mgmt For For For
Rountree
11 Elect Christopher Mgmt For For For
Garrod
12 Elect Sarah Kolar Mgmt For For For
13 Elect Kevin Pearson Mgmt For For For
14 Elect John Treacy Mgmt For For For
15 Elect Sarah Kolar Mgmt For For For
16 Elect Jonah Pfeiffer Mgmt For For For
17 Elect Davinia Smith Mgmt For For For
18 Elect Sarah Kolar Mgmt For For For
19 Elect Paul McDonough Mgmt For For For
20 Elect Kevin Pearson Mgmt For For For
21 Elect John Treacy Mgmt For For For
22 Advisory Vote on Mgmt For For For
Executive
Compensation
23 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
24 Ratification of Auditor Mgmt For For For
________________________________________________________________________________
Willis Towers Watson PLC
Ticker Security ID: Meeting Date Meeting Status
WLTW CUSIP G96629103 06/13/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Anna C. Catalano Mgmt For For For
2 Elect Victor F. Ganzi Mgmt For For For
3 Elect John J. Haley Mgmt For For For
4 Elect Wendy E. Lane Mgmt For For For
5 Elect James F. McCann Mgmt For For For
6 Elect Brendan R. Mgmt For For For
O'Neill
7 Elect Jaymin Patel Mgmt For For For
8 Elect Linda D. Rabbitt Mgmt For For For
9 Elect Paul Thomas Mgmt For For For
10 Elect Jeffrey W. Ubben Mgmt For For For
11 Elect Wilhelm Zeller Mgmt For For For
12 Appointment of Auditor Mgmt For For For
and Authority to Set
Fees
13 Advisory Vote on Mgmt For For For
Executive
Compensation
14 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
15 Amendment to Articles Mgmt For For For
to adopt Proxy
Access
16 Amendments to Adopt Mgmt For For For
Plurality Voting
Standard in Contested
Elections
17 Authorization of Board Mgmt For For For
to Set Board
Size
18 Amendments to Advance Mgmt For For For
Notice Provision and
Other Amendments in
Connection with
Ireland Companies Act
of
2014
19 Technical Amendments Mgmt For For For
to Memorandum of
Association
20 Authority to Issue Mgmt For For For
Shares
21 Authority to Issue Mgmt For For For
Shares w/o Preemptive
Rights
________________________________________________________________________________
XL Group Ltd
Ticker Security ID: Meeting Date Meeting Status
XL CUSIP G98294104 05/19/2017 Voted
Meeting Type Country of Trade
Annual United States
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Elect Ramani Ayer Mgmt For For For
2 Elect Dale R. Comey Mgmt For For For
3 Elect Claus-Michael Mgmt For For For
Dill
4 Elect Robert R. Glauber Mgmt For For For
5 Elect Edward J. Kelly, Mgmt For For For
III
6 Elect Joseph Mauriello Mgmt For For For
7 Elect Michael S. Mgmt For For For
McGavick
8 Elect Eugene M. McQuade Mgmt For For For
9 Elect Clayton S. Rose Mgmt For For For
10 Elect Anne Stevens Mgmt For For For
11 Elect John M. Vereker Mgmt For For For
12 Advisory Vote on Mgmt For For For
Executive
Compensation
13 Frequency of Advisory Mgmt 1 Year 1 Year For
Vote on Executive
Compensation
14 Appointment of Auditor Mgmt For For For
and Authority to Set
Fees
________________________________________________________________________________
Zurich Insurance Group Ltd.
Ticker Security ID: Meeting Date Meeting Status
ZURN CINS H9870Y105 03/29/2017 Voted
Meeting Type Country of Trade
Annual Switzerland
Issue No. Description Proponent Mgmt Rec Vote Cast For/Against
Mgmt
1 Non-Voting Meeting Note N/A N/A N/A N/A
2 Accounts and Reports Mgmt For For For
3 Compensation Report Mgmt For For For
4 Allocation of Mgmt For For For
Profits/Dividends
5 Dividends from Reserves Mgmt For For For
6 Ratification of Board Mgmt For For For
and Management
Acts
7 Elect Tom de Swaan as Mgmt For For For
Board
Chair
8 Elect Joan L. Amble Mgmt For For For
9 Elect Susan S. Bies Mgmt For For For
10 Elect Alison J. Mgmt For For For
Carnwath
11 Elect Christoph Franz Mgmt For For For
12 Elect Jeffrey L. Hayman Mgmt For For For
13 Elect Fred Kindle Mgmt For For For
14 Elect Monica Machler Mgmt For For For
15 Elect Kishore Mahbubani Mgmt For For For
16 Elect David Nish Mgmt For For For
17 Elect Catherine P. Mgmt For For For
Bessant
18 Elect Tom de Swaan as Mgmt For For For
Compensation
Committee
Member
19 Elect Christoph Franz Mgmt For For For
as Compensation
Committee
Member
20 Elect Fred Kindle as Mgmt For For For
Compensation
Committee
Member
21 Elect Kishore Mgmt For For For
Mahbubani as
Compensation
Committee
Member
22 Appointment of Mgmt For For For
Independent
Proxy
23 Appointment of Auditor Mgmt For For For
24 Board Compensation Mgmt For For For
25 Executive Compensation Mgmt For For For
26 Increases in Mgmt For For For
Authorised and
Conditional
Capital
27 Amendments to Articles Mgmt For For For
