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, 2021 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, 2020 through June 30, 2021 | | | | | | |
| | | | | | | | | | | |
| 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 |
| | Pinduoduo Inc. | PDD | 722304102 | 7/22/2020 | 1 | Election of director Huang | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 2 | Election of director Lin | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 3 | Election of director Shen | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 4 | Election of director Lu | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 5 | Election of director Yeo | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 6 | Election of director Leung | Issuer | Yes | For | N/A - No Board Recommendation |
| | | | | | 7 | Election of director Chen | Issuer | Yes | For | N/A - No Board Recommendation |
| | Dynatrace, Inc. | DT | 268150109 | 8/25/2020 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Livongo Health, Inc. | LVGO | 539183103 | 10/29/2020 | 1 | Adopt the Agreement and Plan of Merger by and among Teladoc Health, Inc., Livongo Health, Inc. and Tempranillo Merger Sub, Inc., a wholly-owned subsidiary of Teladoc. | Issuer | Yes | For | For |
| | | | | | 2 | Approve, on an advisory (non-binding) basis, the executive officer compensation that will or may be paid to Livongo's named executive officers that relates to the transactions contemplated by the merger agreement. | Issuer | Yes | For | For |
| | | | | | 3 | Approve the adjournment of the Livongo stockholder meeting to solicit additional proxies if there are not sufficient votes at the time of the Livongo stockholder meeting to approve the Livongo merger agreement proposal. | Issuer | Yes | For | For |
| | Elastic N.V. | ESTC | N14506104 | 10/21/2020 | 1 | Election of non-executive directors (2) | Issuer | Yes | For all | For |
| | | | | | 2 | Adoption of Dutch statutory annual accounts for fiscal year 2020. | Issuer | Yes | For | For |
| | | | | | 3 | Grant of full discharge of the Company's executive director from liability with respect to the performance of his duties during fiscal year 2020. | Issuer | Yes | Against | Against |
| | | | | | 4 | Grant of full discharge of the Company's non-executive directors from liability with respect to the performance of their duties during fiscal year 2020. | Issuer | Yes | Against | Against |
| | | | | | 5 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | | 6 | Authorization of the board to repurchase shares in the capital of the Company. | Issuer | Yes | For | For |
| | | | | | 7 | Advisory vote on the frequency of advisory votes. | Issuer | Yes | One Year | For |
| | Bill.com Holdings, Inc. | BILL | 90043100 | 12/3/2020 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Peloton Interactive, Inc. | PTON | 70614W100 | 12/9/2020 | 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 | Against - Bd recommended 3 years |
| | StoneCo Ltd. | STNE | G85158106 | 12/11/2020 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | | 2 | To resolve that the financial statements and annual report for fiscal year 2019 be approved and ratified. | Issuer | Yes | For | For |
| | Slack Technologies, Inc. | WORK | 83088V102 | 3/2/2021 | 1 | To adopt the Agreement and Plan of Merger, dated as of December 1, 2020, among salesforce.com, inc., Skyline Strategies I Inc., Skyline Strategies II LLC and Slack Technologies, Inc. ("Slack") and approve the transactions contemplated thereby. | Issuer | Yes | For | For |
| | | | | | 2 | To approve, by a non-binding advisory vote, compensation to Slack's named executive officers based on the merger agreement. | Issuer | Yes | For | For |
| | PPD, Inc. | PPD | 69355F102 | 4/23/2021 | 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 |
| | Levi Strauss & Co. | LEVI | 52736R102 | 4/21/2021 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| | ZoomInfo Technologies Inc. | ZI | 98980F104 | 4/27/2021 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Oak Street Health Inc. | OSH | 67181A107 | 5/5/2021 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | | 2 | Advisory vote on the retention of the classified board structure | Issuer | Yes | Against | Against |
| | | | | | 3 | Advisory vote on the retention of the supermajority voting standards | Issuer | Yes | Against | Against |
| | | | | | 4 | Ratification of award of restricted stock units to director Kim Keck | Issuer | Yes | For | For |
| | | | | | 5 | Ratification of accountant | Issuer | Yes | For | For |
| | Tradeweb Markets Inc. | TW | 892672106 | 5/11/2021 | 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 - Bd recommended 3 years |
| | Uber Technologies, Inc. | UBER | 90353T100 | 5/10/2021 | 1 | Election of directors (11) | Issuer | Yes | For all | For |
| | | | | | 2 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | | 4 | Approval of amendments to Certification of Incorporation and Bylaws to remove supermajority voting requirements | Issuer | Yes | For | For |
| | | | | | 5 | Stockholder proposal to prepare an annual report on lobbying activities | Stockholder | Yes | Against | For |
| | Qualtrics International Inc. | XM | 747601201 | 5/19/2021 | 1 | Election of directors (9) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Reynolds Consumer Products Inc. | REYN | 76171L106 | 5/25/2021 | 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 |
| | Beyond Meat, Inc. | BYND | 08862E109 | 5/19/2021 | 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 |
| | Avantor, Inc. | AVTR | 05352A100 | 5/13/2021 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | | 2a | Amendment to the Certificate of Incorporation to permit stockholders of record representing at least 20% of the relevant voting power continuously for one year to call a special meeting of stockholders. | Issuer | Yes | For | For |
| | | | | | 2b | Amendment to the Certificate of Incorporation to remove supermajority voting standards for stockholder approval of future amendments to the Certificate of Incorporation and Bylaws. | Issuer | Yes | For | For |
| | | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | | 4 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | Sotera Health Company | SHC | 83601L102 | 5/27/2021 | 1 | Election of nominees (4) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Rocket Companies, Inc. | RKT | 77311W101 | 5/25/2021 | 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 - Bd recommended 3 years |
| | Pinterest, Inc. | PINS | 72352L106 | 5/27/2021 | 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 |
| | Cloudflare, Inc. | NET | 18915M107 | 6/3/2021 | 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 |
| | 10x Genomics, Inc. | TXG | 88025U109 | 6/11/2021 | 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 |
| | Adaptive Biotechnologies Corporation | ADPT | 00650F109 | 6/11/2021 | 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 |
| | Datadog, Inc. | DDOG | 23804L103 | 6/10/2021 | 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 |
| | Fastly Inc. | FSLY | 31188V100 | 6/21/2021 | 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 |
| | Royalty Pharma PLC | RPRX | G7709Q104 | 6/24/2021 | 1 | Election of directors (10) | 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 |
| | | | | | 5 | Approval of U.K. audited annual report and accounts and related reports for fiscal year ended December 31, 2020 | Issuer | Yes | For | For |
| | | | | | 6 | Approve U.K. directors' remuneration policy | Issuer | Yes | For | For |
| | | | | | 7 | Advisory vote on U.K. directors' remuneration report | Issuer | Yes | For | For |
| | | | | | 8 | Re-appoint U.K. statutory auditor until next general meeting | Issuer | Yes | For | For |
| | | | | | 9 | Authorize remuneration of U.K. statutory auditor | Issuer | Yes | For | For |
| | Palantir Technologies Inc. | PLTR | 69608A108 | 6/8/2021 | 1 | Election of directors (7) | Issuer | Yes | For all | For |
| | | | | | 2 | Advisory vote on the frequency of advisory votes. | Issuer | Yes | One Year | Against - Bd recommended 3 years |
| | | | | | 3 | Ratification of accountant | Issuer | Yes | For | For |
| | Unity Software Inc. | U | 91332U101 | 6/17/2021 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | ContextLogic Inc. | WISH | 21077C107 | 6/8/2021 | 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 |
| | Dun & Bradstreet Holdings, Inc. | DNB | 26484T106 | 6/17/2021 | 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 |
| | GoodRx Holdings, Inc. | GDRX | 38246G108 | 6/10/2021 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Playtika Holding Corp. | PLTK | 72815L107 | 6/9/2021 | 1 | Election of directors (5) | 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 |
| | GFL Environmental Inc. | GFL | 36168Q104 | 5/19/2021 | 1 | Election of directors (8) | Issuer | Yes | For all | For |
| | | | | | 2 | Appointment of auditor and authorization of their remuneration. | Issuer | Yes | For | For |
| | | | | | 3 | Advisory vote on executive compensation | Issuer | Yes | For | For |
| | DoorDash, Inc. | DASH | 25809K105 | 6/22/2021 | 1 | Election of directors (1) | Issuer | Yes | For | 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 |
| | Lyft, Inc. | LYFT | 55087P104 | 6/17/2021 | 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 | A stockholder proposal for a report disclosing lobbying expenditures and activities. | Stockholder | Yes | Against | For |
| | Zoom Video Communications, Inc. | ZM | 98980L101 | 6/17/2021 | 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 |
| | Vroom, Inc. | VRM | 92918V109 | 6/24/2021 | 1 | Election of directors (8) | 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 |
| | AbCellera Biologics Inc. | ABCL | 00288U106 | 6/15/2021 | 1 | Election of directors (2) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | Airbnb, Inc. | ABNB | 009066101 | 6/22/2021 | 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 |
| | CrowdStrike Holdings, Inc. | CRWD | 22788C105 | 6/30/2021 | 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 - Bd recommended 3 years |
| | | | | | 5 | Amendment to the 2019 Employee Stock Purchase Plan | Issuer | Yes | For | For |
| | BridgeBio Pharma, Inc. | BBIO | 10806X102 | 6/17/2021 | 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 |
| | GSX Techedu Inc. | GOTU | 36257Y109 | 6/4/2021 | 1 | Approval of change of company's legal name to "Gaotu Techedu Inc." | Issuer | Yes | For | N/A - No Board Recommendation |
| | Snowflake Inc. | SNOW | 833445109 | 7/8/2021 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | nCino, Inc. | NCNO | 63947U107 | 7/15/2021 | 1 | Election of directors (3) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | CureVac N.V. | CVAC | N2451R105 | 6/24/2021 | 1 | Adoption of annual accounts over the financial year 2020 | Issuer | Yes | For | For |
| | | | | | 2 | Appointment of Mr. Blanc as managing director. | Issuer | Yes | For | For |
| | | | | | 3 | Appointment of Mr. Edvardsen as managing director. | Issuer | Yes | For | For |
| | | | | | 4 | Re-appointment of Mr. Kemula as managing director. | Issuer | Yes | For | For |
| | | | | | 5 | Appointment of Mr. Hoerr as supervisory director. | Issuer | Yes | Abstain | N/A |
| | | | | | 6 | Equity award to Mr. Stephenne as compensation as supervisory director. | Issuer | Yes | For | For |
| | | | | | 7 | Equity award to Mr. Clemens as compensation as supervisory director. | Issuer | Yes | For | For |
| | | | | | 8 | Release of managing directors from liability for exercise of duties during financial year 2020. | Issuer | Yes | Against | Against |
| | | | | | 9 | Release of supervisory directors from liability for exercise of duties during financial year 2020. | Issuer | Yes | Against | Against |
| | | | | | 10 | Authorization of the management board to acquire shares in the company's capital. | Issuer | Yes | Abstain | N/A |
| | | | | | 11 | Compensation for supervisory directors. | Issuer | Yes | For | For |
| | | | | | 12 | Appointment of external auditor for financial year 2022. | Issuer | Yes | For | For |
| | Chewy, Inc. | CHWY | 16679L109 | 7/14/2021 | 1 | Election of directors (4) | Issuer | Yes | For all | For |
| | | | | | 2 | Ratification of accountant | Issuer | Yes | For | For |
| | | | | | 3 | Advisory vote on executive compensation | 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 | |
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.
