ANNUAL REPORT OF PROXY VOTING RECORDS OF REGISTERED MANAGEMENT INVESTMENT COMPANY
ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibits 1-2 is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2019 with respect to which the Registrant was entitled to vote:
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
| Registrant: Renaissance Capital Greenwich Funds - Renaissance IPO ETF | | | | Item 1, Exhibit 1 |
| Investment Company Act file number: 811-08049 | | | | | | |
| Reporting Period:July 1, 2018 through June 30, 2019 | | | | | |
| | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against Management |
| Canada Goose Holdings Inc. | GOOS | 135086106 | 8/10/2018 | 1 | Election of Directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Appointment of auditor and the fixing of its remuneration for the year | Issuer | Yes | For | For |
| Hamilton Lane Incorporated | HLNE | 407497106 | 9/6/2018 | 1 | Election of Directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Approval of Employee Share Purchase Plan | Issuer | Yes | For | For |
| | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| ADT Inc. | ADT | 00090Q103 | 9/21/2018 | 1 | Election of Directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Ratification of accountant | Issuer | Yes | For | For |
| Nexa Resources | NEXA | L67359106 | 9/13/2018 | 1 | Authorization under article 430-15 of the law of 10 August 1915 on commercial companies to the Board to purchase, acquire, receive or hold and sell shares in the Company directly or indirectly through the Company's subsidiaries, including a share buyback program. | Issuer | Yes | Abstain | N/A |
| Newmark Group, Inc. | NMRK | 65158N102 | 9/25/2018 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | Against, Board recommended 3 Years |
| GDS Holdings Limited | GDS | 36165L108 | 10/9/2018 | 1 | Re-election of director Wojtaszek | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 2 | Re-election of director Lim Ah Doo | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 3 | Re-election of director Sun | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 4 | Election of director Ye | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 5 | Ratification of auditor | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 6 | Approval of allotment or issuance, in the 12-month period from the Meeting date, of ordinary shares or other equity of the Company up to 20% of existing issued share capital | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | 7 | Authorization of each of the directors and officers to take any and every action that might be necessary to effect the foregoing resolutions | Issuer | Yes | For | N/A - No Board Recommendation |
| Nutanix, Inc. | NTNX | 67059N108 | 12/17/2018 | 1a | Election of director Conway | Issuer | Yes | For | For |
| | | | | 1b | Election of director Scarpelli | Issuer | Yes | For | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Stitch Fix, Inc. | SFIX | 860897107 | 12/19/2018 | 1a | Election of director Lake | Issuer | Yes | For | For |
| | | | | 1b | Election of director McCollam | Issuer | Yes | For | For |
| | | | | 2 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| Zscaler, Inc. | ZS | 98980G102 | 12/18/2018 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Sogou Inc. | SOGO | 83409V104 | 12/21/2018 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| Cloudera, Inc. | CLDR | 18914U100 | 12/28/2018 | 1 | Approve issuance of shares of common stock in connection with merger of subsidiary Surf Merger Corporation into Hortonworks, Inc. | Issuer | Yes | For | For |
| | | | | 2 | Approve adjournment of special meeting if there are not sufficient votes to approve issuance of shares of Cloudera common stock in connection with the merger. | Issuer | Yes | For | For |
| Valvoline Inc. | VVV | 92047W101 | 1/31/2019 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Amendment to the 2016 incentive plan | Issuer | Yes | For | For |
| Evoqua Water Technologies | AQUA | 30057T105 | 2/14/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Approval of the 2018 Employee Stock Purchase Plan | Issuer | Yes | For | For |
| | | | | 5 | Ratification of accountant | Issuer | Yes | For | For |
| Antero Midstream GP LP | AMGP | 03675Y103 | 3/8/2019 | 1 | Conversion of Antero Midstream GP LP from a Delaware limited partnership to a Delaware corporation, to be named Antero Midstream Corporation ("New AM"), including a certificate of conversion and a certificate of incorporation | Issuer | Yes | For | For |
| | | | | 2 | To approve the Simplification Agreement, the merger of Arkrose Midstream Merger Sub LLC with and into Antero Midstream Partners LP, with Antero Midstream Partners LP surviving such merger as an indirect, wholly owned subsidiary of New AM, and the other transactions | Issuer | Yes | For | For |
| | | | | 3 | To approve the adoption of a New AM omnibus equity incentive plan | Issuer | Yes | For | For |
| | | | | 4 | To approve the issuance of New AM Common Stock | Issuer | Yes | For | For |
| Liberty Oilfield Services Inc. | LBRT | 53115L104 | 4/23/2019 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Carvana Co. | CVNA | 146869102 | 4/23/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Pluralsight Inc | PS | 72941B106 | 4/30/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Schneider National, Inc. | SNDR | 80689H102 | 4/29/2019 | 1 | Election of directors (10) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| VICI Properties Inc. | VICI | 925652109 | 4/30/2019 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| Spotify Technology S.A. | SPOT | L8681T102 | 4/18/2019 | 1 | Approve Company's accounts and financial statements for the financial year ended December 31, 2018 | Issuer | Yes | For | For |
| | | | | 2 | Approve allocation of the Company's annual results for the financial year ended December 31, 2018 | Issuer | Yes | For | For |
| | | | | 3 | Grant discharge of the liability of the members of the Board of Directors for, and in connection with, the financial year ended December 31, 2018 | Issuer | Yes | Against | Against |
| | | | | 4 | Appointment of A and B directors (9) | Issuer | Yes | For all | For |
| | | | | 5 | Appointment of auditors | Issuer | Yes | For | For |
| | | | | 6 | Approval of the directors' remuneration for the year 2019 | Issuer | Yes | For | For |
| | | | | 7 | Authorize and empower Mr. Harles and Mr. Gobert to execute and deliver any documents in connection with the annual filing and registration required by Luxembourg law | Issuer | Yes | For | For |
| Ceridian HCM Holding Inc | CDAY | 15677J108 | 5/1/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | To approve the company's Global Employee Stock Purchase Plan | Issuer | Yes | For | For |
| | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| Floor & Décor Holdings Inc | FND | 339750101 | 5/16/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| Altice USA, Inc. | ATUS | 02156K103 | 4/30/2019 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | Against- Board recommended 3 Years |
| Bloom Energy Corporation | BE | O93712107 | 5/9/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Jeld-Wen Holding, Inc. | JELD | 47580P103 | 5/8/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Ratification of auditor | Issuer | Yes | For | For |
| CarGurus, Inc. | CARG | 141788109- | 5/7/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| GrafTech International Ltd. | EAF | 384313508 | 4/29/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| PQ Group Holdings Inc. | PQG | 73943T103 | 5/2/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 1b | Election of director Behrens | Issuer | Yes | For | For |
| Cadence Bancorporation | CADE | 12739A100 | 5/8/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Ratification of accountant | Issuer | Yes | For | For |
| Gardner Denver Holdings, Inc. | GDI | 36555P107 | 5/9/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Livent Corporation | LTHM | 53814L108 | 5/1/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Azul S.A. | AZUL | 05501U106 | 4/26/2019 | 5 | To set the global annual compensation of the managers for fiscal year 2019 | Issuer | Yes | For | For |
| Elastic N.V. | ESTC | N14506104 | 4/25/2019 | 1 | Election of Director Caryn Marooney | Issuer | Yes | For | For |
| Sailpoint Technologies Holdings, Inc. | SAIL | 78781P105 | 5/2/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Tenable Holdings, Inc. | TENB | 88025T102 | 5/15/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Altair Engineering Inc. | ALTR | 21369103 | 5/14/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| SolarWinds Corporation | SWI | 83417Q105 | 5/16/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Americold Realty Trust | COLD | 03064D108 | 5/22/2019 | 1 | Election of trustees (6) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Ratification of accountant | Issuer | Yes | For | For |
| AXA Equitable Holdings, Inc. | EQH | O54561105 | 5/22/2019 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Elanco Animal Health | ELAN | 28414H103 | 5/8/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Gates Industrial Corp PLC | GTES | G39108108 | 5/23/2019 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Advisory approval of the Directors' Remuneration Report (excluding the Directors' Remuneration Policy) in accordance with the requirements of the U.K. Companies Act 2006 | Issuer | Yes | For | For |
| | | | | 5 | Approval of the Directors' Remuneration Policy in accordance with the requirements of the U.K. Companies Act of 2006 | Issuer | Yes | For | For |
| | | | | 6 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 7 | Reappointment of U.K. statutory auditor under the U.K. Companies Act of 2006 | Issuer | Yes | For | For |
| | | | | 8 | To authorize the Audit Committee of the Board of Directors to determine the remuneration of Deloitte LLP as the Company's U.K. statutory auditor | Issuer | Yes | For | For |
| | | | | 9 | To authorize the Board, in accordance with section 551 of the U.K. Companies Act 2006, to exercise all the powers of the Company to allot deferred shares up to an aggregate nominal amount equal to the amount standing to the credit of the Company's merger reserve | Issuer | Yes | For | For |
| | | | | 10 | To authorize, conditional on proposal 9 being passed, the Board of Directors to capitalize a sum not exceeding the amount standing to the credit of the Company's merger reserve, and to apply such sum in paying up in full the Deferred Shares and to allot such number of Deferred Shares as shall have an aggregate nominal value equal to such amount | Issuer | Yes | For | For |
| | | | | 11 | To approve the reduction of the share capital of the Company by cancelling and extinguishing all of the Deferred Shares | Issuer | Yes | For | For |
| | | | | 12 | To approve cancellation of the balance standing to the credit of the Company's share premium account | Issuer | Yes | For | For |
| | | | | 13 | To approve an amendment to the Company's Articles of Association to allow for general meetings to be held virtually | Issuer | Yes | Abstain | N/A |
| | | | | 14 | To authorize the Company and its subsidiaries, in accordance with the U.K. Companies Act 2006, to make political donations and expenditures | Issuer | Yes | Abstain | N/A |
| Dropbox, Inc. | DBX | 26210C104 | 5/23/2019 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Focus Financial Partners Inc. | FOCS | 34417P100 | 5/28/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Alteryx, Inc. | AYX | 02156B103 | 5/22/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Roku Inc. | ROKU | 77543R102 | 5/22/2019 | 1 | Election of Class I director (1) | Issuer | Yes | For | For |
| | | | | 2 | Election of Class II directors (2) | Issuer | Yes | For all | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 5 | Ratification of accountant | Issuer | Yes | For | For |
| Tilray, Inc. | TLRY | 88688T100 | 5/30/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Anaplan, Inc. | PLAN | 03272L108 | 6/5/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Eventbrite, Inc. | EB | 29975E109. | 6/7/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Cactus, Inc. | WHD | 127203107 | 5/22/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of auditor | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | Against - Board recommended 3 Years |
| Allogene Therapeutics, Inc. | ALLO | O19770106 | 6/6/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| National Vision Holdings, Inc. | EYE | 63845R107 | 6/11/2019 | 1 | Election of director (1) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| Avalara, Inc. | AVLR | 05338G106 | 6/19/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Switch, Inc. | SWCH | 87105L104 | 6/7/2019 | 1 | Election of directors (6) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Okta, Inc. | OKTA | 679295105 | 6/13/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| ADT Inc. | ADT | 00090Q103 | 6/13/2019 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Approve an amendment to the 2018 Omnibus Incentive Plan to increase the number of shares authorized for issuance thereunder | Issuer | Yes | For | For |
| | | | | 4 | Ratification of accountant | Issuer | Yes | For | For |
| Smartsheet Inc. | SMAR | 83200N103 | 6/12/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| DocuSign, Inc. | DOCU | 256163106 | 6/17/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Pivotal Software Inc | PVTL | 72582H107 | 6/13/2019 | 1 | Election of director Marcy Klevorn | Issuer | Yes | For | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| PagSeguro Digital, LTD-CIA | PAGS | G68707101 | 5/30/2019 | 2 | Re-election of directors (7) | Issuer | Yes | For all | For |
| | | | | 3 | To sanction the adoption of a Long-Term Incentive Plan ("LTIP Goals") subject to the number of Shares granted under the LTIP Goals in any financial year not exceeding one percent of the total issued and outstanding Shares of the Company in any such year | Issuer | Yes | For | For |
| | | | | 4 | To ratify and confirm all actions taken by the directors and officers of the Company in relation to the business of the Company during the financial year ended December 31, 2018 | Issuer | Yes | For | For |
| Zuora, Inc. | ZUO | 98983V106 | 6/18/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| BJ's Wholesale Club Holdings, Inc. | BJ | 05550J101 | 6/20/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| Greensky Inc. | GSKY | 39572G100 | 6/6/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| Cloudera, Inc. | CLDR | 18914U100 | 6/20/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 4 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | Against - Board recommended 3 Years |
| Guardant Health, Inc. | GH | 40131M109 | 6/18/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Allakos Inc. | ALLK | 01671P100 | 6/6/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| Cushman & Wakefield PLC | CWK | G2717B108 | 6/6/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | 3 | To appoint KPMG LLP as UK statutory auditor to audit the annual accounts for the year ending December 31, 2019 | Issuer | Yes | For | For |
| | | | | 4 | To authorize the Audit Committee to determine the compensation of the UK Statutory Auditor | Issuer | Yes | For | For |
| | | | | 5 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 6 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 7 | To approve on a non-binding, advisory basis, the UK director compensation report | Issuer | Yes | For | For |
| | | | | 8 | To approve the director compensation policy | Issuer | Yes | For | For |
| Moderna, Inc. | MRNA | 60770K107 | 6/27/2019 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| MongoDB, Inc. | MDB | 60937P106 | 7/10/2019 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | 3 | Advisory vote on the frequency of advisory votes | Issuer | Yes | One Year | For |
| | | | | 4 | Ratification of accountant | Issuer | Yes | For | For |
| CONTENT KEY: | | | | | | | | | |
| Issuer's Name- Company Name as it appeared on the ballot (e.g., Microsoft) | | | | | |
| Exchange Ticker Symbol- e.g., MSFT | | | | | | | | |
| CUSIP #- as it appears on the ballot (e.g., 2383130) | | | | | | | |
| Shareholder Meeting Date- MM/DD/YYYY | | | | | | | | |
| Matter Identification- brief description of each matter on ballot (e.g., 2. Approve Employee Stock Purchase Plan) | | | | | | |
| Proposal Type- whether the matter was proposed by the issuer or by a shareholder | | | | | | |
| Voted- whether or not the registrant has voted on the matter (Yes or No); if the matter was not voted include a footnote describing why the matter was not voted on. | | | | | | |
| Vote Cast- FOR or AGAINST proposal, or ABSTAIN; FOR or WITHHOLD regarding election of directors | | | | |
| For/Against Management- whether the registrant cast its vote FOR or AGAINST management | | | | |
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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.
