Ross C. Provence
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking notes.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Disclose the following information for each matter relating to a portfolio security considered at any shareholder meeting held during the period covered by the report and with respect to which the registrant was entitled to vote:
(a). The name of the issuer of the portfolio security;
(b). The exchange ticker symbol of the portfolio security;
(c). The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(d). The shareholder meeting date;
(e). A brief identification of the matter voted on;
(f). Whether the matter was proposed by the issuer or by a security holder;
(g). Whether the Registrant cast its vote on the matter;
(h). How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding
(i). Whether the Registrant cast its vote for or against management.
| ADVANCE AUTO PARTS, INC. | | |
| | Security | 00751Y106 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AAP | | | | | | | Meeting Date | 15-May-2020 | |
| | ISIN | US00751Y1064 | | | | | | | Agenda | 935163941 - Management | |
| | Record Date | 18-Mar-2020 | | | | | | | Holding Recon Date | 18-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | | Vote Deadline Date | 14-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: John F. Bergstrom | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Brad W. Buss | Management | For | | For | For | | None | |
| | 1C. | Election of Director: John F. Ferraro | Management | For | | For | For | | None | |
| | 1D. | Election of Director: Thomas R. Greco | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Jeffrey J. Jones II | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Eugene I. Lee, Jr. | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Sharon L. McCollam | Management | For | | For | For | | None | |
| | 1H. | Election of Director: Douglas A. Pertz | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Nigel Travis | Management | For | | For | For | | None | |
| | 2. | Approve, by advisory vote, the
compensation of our named executive
officers. | Management | For | | For | For | | None | |
| | 3. | Ratify the appointment of Deloitte & Touche
LLP (Deloitte) as our independent
registered public accounting firm for 2020. | Management | For | | For | For | | None | |
| | 4. | Advisory vote on the stockholder proposal
on the ability of stockholders to act by
written consent if presented at the annual
meeting. | Shareholder | Against | | Against | For | | None | |
| ALLIANCE DATA SYSTEMS CORPORATION | | |
| | Security | 018581108 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ADS | | | | | | | Meeting Date | 09-Jun-2020 | |
| | ISIN | US0185811082 | | | | | | | Agenda | 935202159 - Management | |
| | Record Date | 13-Apr-2020 | | | | | | | Holding Recon Date | 13-Apr-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Jun-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1.1 | Election of Director: Ralph J. Andretta | Management | For | | For | For | | None | |
| | 1.2 | Election of Director: Roger H. Ballou | Management | For | | For | For | | None | |
| | 1.3 | Election of Director: John C. Gerspach, Jr. | Management | For | | For | For | | None | |
| | 1.4 | Election of Director: Rajesh Natarajan | Management | For | | For | For | | None | |
| | 1.5 | Election of Director: Timothy J. Theriault | Management | For | | For | For | | None | |
| | 1.6 | Election of Director: Laurie A. Tucker | Management | For | | For | For | | None | |
| | 1.7 | Election of Director: Sharen J. Turney | Management | For | | For | For | | None | |
| | 2. | Advisory vote to approve executive
compensation. | Management | For | | For | For | | None | |
| | 3. | Approval of the 2020 Omnibus Incentive
Plan. | Management | For | | For | For | | None | |
| | 4. | Ratification of the selection of Deloitte &
Touche LLP as the independent registered
public accounting firm of Alliance Data
Systems Corporation for 2020. | Management | For | | For | For | | None | |
| AMERICAN EXPRESS COMPANY | | |
| | Security | 025816109 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AXP | | | | | | | Meeting Date | 05-May-2020 | |
| | ISIN | US0258161092 | | | | | | | Agenda | 935151439 - Management | |
| | Record Date | 09-Mar-2020 | | | | | | | Holding Recon Date | 09-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 04-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director for a term of one year:
Charlene Barshefsky | Management | For | | For | For | | None | |
| | 1B. | Election of Director for a term of one year:
John J. Brennan | Management | For | | For | For | | None | |
| | 1C. | Election of Director for a term of one year:
Peter Chernin | Management | For | | For | For | | None | |
| | 1D. | Election of Director for a term of one year:
Ralph de la Vega | Management | For | | For | For | | None | |
| | 1E. | Election of Director for a term of one year:
Anne Lauvergeon | Management | For | | For | For | | None | |
| | 1F. | Election of Director for a term of one year:
Michael O. Leavitt | Management | For | | For | For | | None | |
| | 1G. | Election of Director for a term of one year:
Theodore J. Leonsis | Management | For | | For | For | | None | |
| | 1H. | Election of Director for a term of one year:
Karen L. Parkhill | Management | For | | For | For | | None | |
| | 1I. | Election of Director for a term of one year:
Lynn A. Pike | Management | For | | For | For | | None | |
| | 1J. | Election of Director for a term of one year:
Stephen J. Squeri | Management | For | | For | For | | None | |
| | 1K. | Election of Director for a term of one year:
Daniel L. Vasella | Management | For | | For | For | | None | |
| | 1L. | Election of Director for a term of one year:
Ronald A. Williams | Management | For | | For | For | | None | |
| | 1M. | Election of Director for a term of one year:
Christopher D. Young | Management | For | | For | For | | None | |
| | 2. | Ratification of appointment of
PricewaterhouseCoopers LLP as
independent registered public accounting
firm for 2020. | Management | For | | For | For | | None | |
| | 3. | Approval, on an advisory basis, of the
Company's executive compensation. | Management | For | | For | For | | None | |
| | 4. | Approval of Amended and Restated
Incentive Compensation Plan. | Management | For | | For | For | | None | |
| | 5. | Shareholder proposal relating to action by
written consent. | Shareholder | Against | | Against | For | | None | |
| | 6. | Shareholder proposal relating to
gender/racial pay equity. | Shareholder | Against | | Against | For | | None | |
| BERKSHIRE HATHAWAY INC. | | |
| | Security | 084670108 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BRKA | | | | | | | Meeting Date | 02-May-2020 | |
| | ISIN | US0846701086 | | | | | | | Agenda | 935144105 - Management | |
| | Record Date | 04-Mar-2020 | | | | | | | Holding Recon Date | 04-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 01-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Warren E. Buffett | For | | For | For | | None | |
| | | | 2 | Charles T. Munger | For | | For | For | | None | |
| | | | 3 | Gregory E. Abel | For | | For | For | | None | |
| | | | 4 | Howard G. Buffett | For | | For | For | | None | |
| | | | 5 | Stephen B. Burke | For | | For | For | | None | |
| | | | 6 | Kenneth I. Chenault | For | | For | For | | None | |
| | | | 7 | Susan L. Decker | For | | For | For | | None | |
| | | | 8 | David S. Gottesman | For | | For | For | | None | |
| | | | 9 | Charlotte Guyman | For | | For | For | | None | |
| | | | 10 | Ajit Jain | For | | For | For | | None | |
| | | | 11 | Thomas S. Murphy | For | | For | For | | None | |
| | | | 12 | Ronald L. Olson | For | | For | For | | None | |
| | | | 13 | Walter Scott, Jr. | For | | For | For | | None | |
| | | | 14 | Meryl B. Witmer | For | | For | For | | None | |
| | 2. | Non-binding resolution to approve the
compensation of the Company's Named
Executive Officers, as described in the 2020
Proxy Statement. | Management | For | | For | For | | None | |
| | 3. | Non-binding resolution to determine the
frequency (whether annual, biennial or
triennial) with which shareholders of the
Company shall be entitled to have an
advisory vote on executive compensation. | Management | 3 Years | | 3 Years | For | | None | |
| | 4. | Shareholder proposal regarding diversity. | Shareholder | Against | | Against | For | | None | |
| BROOKFIELD ASSET MANAGEMENT INC. | | |
| | Security | 112585104 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BAM | | | | | | | Meeting Date | 12-Jun-2020 | |
| | ISIN | CA1125851040 | | | | | | | Agenda | 935218025 - Management | |
| | Record Date | 29-Apr-2020 | | | | | | | Holding Recon Date | 29-Apr-2020 | |
| | City / | Country | | | / | Canada | | | | | Vote Deadline Date | 09-Jun-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1 | DIRECTOR | Management | | | | | | | |
| | | | 1 | M. Elyse Allan | For | | For | For | | None | |
| | | | 2 | Angela F. Braly | For | | For | For | | None | |
| | | | 3 | Murilo Ferreira | For | | For | For | | None | |
| | | | 4 | Janice Fukakusa | For | | For | For | | None | |
| | | | 5 | Frank J. McKenna | For | | For | For | | None | |
| | | | 6 | Rafael Miranda | For | | For | For | | None | |
| | | | 7 | Seek Ngee Huat | For | | For | For | | None | |
| | | | 8 | Diana L. Taylor | For | | For | For | | None | |
| | 2 | The appointment of Deloitte LLP as the
external auditor and authorizing the
directors to set its remuneration. | Management | For | | For | For | | None | |
| | 3 | The Say on Pay Resolution set out in the
Corporation's Management Information
Circular dated April 27, 2020 (the
"Circular"). | Management | For | | For | For | | None | |
| | 4 | The Shareholder Proposal One set out in
the Circular. | Shareholder | Against | | Against | For | | None | |
| | 5 | The Shareholder Proposal Two set out in
the Circular. | Shareholder | Against | | Against | For | | None | |
| CARMAX, INC. | | |
| | Security | 143130102 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | KMX | | | | | | | Meeting Date | 23-Jun-2020 | |
| | ISIN | US1431301027 | | | | | | | Agenda | 935212390 - Management | |
| | Record Date | 17-Apr-2020 | | | | | | | Holding Recon Date | 17-Apr-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Jun-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director for a one year term:
Peter J. Bensen | Management | For | | For | For | | None | |
| | 1B. | Election of Director for a one year term:
Ronald E. Blaylock | Management | For | | For | For | | None | |
| | 1C. | Election of Director for a one year term:
Sona Chawla | Management | For | | For | For | | None | |
| | 1D. | Election of Director for a one year term:
Thomas J. Folliard | Management | For | | For | For | | None | |
| | 1E. | Election of Director for a one year term:
Shira Goodman | Management | For | | For | For | | None | |
| | 1F. | Election of Director for a one year term:
Robert J. Hombach | Management | For | | For | For | | None | |
| | 1G. | Election of Director for a one year term:
David W. McCreight | Management | For | | For | For | | None | |
| | 1H. | Election of Director for a one year term:
William D. Nash | Management | For | | For | For | | None | |
| | 1I. | Election of Director for a one year term:
Mark F. O'Neil | Management | For | | For | For | | None | |
| | 1J. | Election of Director for a one year term:
Pietro Satriano | Management | For | | For | For | | None | |
| | 1K. | Election of Director for a one year term:
Marcella Shinder | Management | For | | For | For | | None | |
| | 1L. | Election of Director for a one year term:
Mitchell D. Steenrod | Management | For | | For | For | | None | |
| | 2. | To ratify the appointment of KPMG LLP as
independent registered public accounting
firm. | Management | For | | For | For | | None | |
| | 3. | To vote on an advisory resolution to
approve the compensation of our named
executive officers. | Management | For | | For | For | | None | |
| | 4. | To approve the CarMax, Inc. 2002 Stock
Incentive Plan, as amended and restated. | Management | For | | For | For | | None | |
| CIMPRESS N.V. | | |
| | Security | N20146101 | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | CMPR | | | | | | | Meeting Date | 25-Oct-2019 | |
| | ISIN | NL0009272269 | | | | | | | Agenda | 935087494 - Management | |
| | Record Date | 27-Sep-2019 | | | | | | | Holding Recon Date | 27-Sep-2019 | |
| | City / | Country | | | / | Ireland | | | | | Vote Deadline Date | 24-Oct-2019 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1. | Adopt the resolution to amend our articles
of association. | Management | For | | For | For | | None | |
| | 2. | Subject to the amendment of our articles of
association per proposal 1, adopt the
resolution to enter into the Merger providing
for Cimpress to change its jurisdiction of
incorporation from The Netherlands to
Ireland, through the Merger. | Management | For | | For | For | | None | |
| | 3. | Approve, subject to the effectiveness of the
Merger, the creation of distributable profits
of Cimpress plc under Irish law by reducing
the entire share premium of Cimpress plc
(or such lesser amount as may be approved
by the board of directors of Cimpress plc)
resulting from the allotment and issue of
ordinary shares of Cimpress plc pursuant to
the Merger. | Management | For | | For | For | | None | |
| CIMPRESS N.V. | | |
| | Security | N20146101 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | CMPR | | | | | | | Meeting Date | 22-Nov-2019 | |
| | ISIN | NL0009272269 | | | | | | | Agenda | 935097902 - Management | |
| | Record Date | 25-Oct-2019 | | | | | | | Holding Recon Date | 25-Oct-2019 | |
| | City / | Country | | | / | Ireland | | | | | Vote Deadline Date | 21-Nov-2019 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1. | Appoint Robert S. Keane as an executive
director to our Board of Directors to serve
for a term of three years ending on the date
of our annual general meeting of
shareholders in 2022. | Management | For | | For | For | | None | |
| | 2. | Appoint Scott J. Vassalluzzo as a non-
executive director to our Board of Directors
to serve for a term of three years ending on
the date of our annual general meeting of
shareholders in 2022. | Management | For | | For | For | | None | |
| | 3. | Vote on a non-binding "say on pay"
proposal regarding the compensation of our
named executive officers. | Management | For | | For | For | | None | |
| | 4. | Adopt our statutory annual accounts for the
fiscal year ended June 30, 2019. | Management | For | | For | For | | None | |
| | 5. | Discharge the members of our Board of
Directors from liability with respect to the
exercise of their duties during the year
ended June 30, 2019. | Management | For | | For | For | | None | |
| | 6. | Discharge the former members of our
Supervisory Board from liability with respect
to the exercise of their duties during the
year ended June 30, 2019. | Management | For | | For | For | | None | |
| | 7. | Authorize the Board of Directors to
repurchase up to 5,500,000 of our issued
and outstanding ordinary shares until May
22, 2021. | Management | For | | For | For | | None | |
| | 8. | Appoint PricewaterhouseCoopers LLP as
our independent registered public
accounting firm for the fiscal year ending
June 30, 2020. | Management | For | | For | For | | None | |
| FEDEX CORPORATION | | |
| | Security | 31428X106 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | FDX | | | | | | | Meeting Date | 23-Sep-2019 | |
| | ISIN | US31428X1063 | | | | | | | Agenda | 935068761 - Management | |
| | Record Date | 29-Jul-2019 | | | | | | | Holding Recon Date | 29-Jul-2019 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 20-Sep-2019 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: John A. Edwardson | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Marvin R. Ellison | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Susan Patricia Griffith | Management | For | | For | For | | None | |
| | 1D. | Election of Director: John C. ("Chris") Inglis | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Kimberly A. Jabal | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Shirley Ann Jackson | Management | For | | For | For | | None | |
| | 1G. | Election of Director: R. Brad Martin | Management | For | | For | For | | None | |
| | 1H. | Election of Director: Joshua Cooper Ramo | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Susan C. Schwab | Management | For | | For | For | | None | |
| | 1J. | Election of Director: Frederick W. Smith | Management | For | | For | For | | None | |
| | 1K. | Election of Director: David P. Steiner | Management | For | | For | For | | None | |
| | 1L. | Election of Director: Paul S. Walsh | Management | For | | For | For | | None | |
| | 2. | Advisory vote to approve named executive
officer compensation. | Management | For | | For | For | | None | |
| | 3. | Approval of the FedEx Corporation 2019
Omnibus Stock Incentive Plan. | Management | For | | For | For | | None | |
| | 4. | Ratification of independent registered public
accounting firm. | Management | For | | For | For | | None | |
| | 5. | Stockholder proposal regarding lobbying
activity and expenditure report. | Shareholder | Against | | Against | For | | None | |
| | 6. | Stockholder proposal regarding employee
representation on the Board of Directors. | Shareholder | Against | | Against | For | | None | |
| HANESBRANDS INC. | | |
| | Security | 410345102 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | HBI | | | | | | | Meeting Date | 28-Apr-2020 | |
| | ISIN | US4103451021 | | | | | | | Agenda | 935143014 - Management | |
| | Record Date | 18-Feb-2020 | | | | | | | Holding Recon Date | 18-Feb-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: Geralyn R. Breig | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Gerald W. Evans, Jr. | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Bobby J. Griffin | Management | For | | For | For | | None | |
| | 1D. | Election of Director: James C. Johnson | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Franck J. Moison | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Robert F. Moran | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Ronald L. Nelson | Management | For | | For | For | | None | |
| | 1H. | Election of Director: Ann E. Ziegler | Management | For | | For | For | | None | |
| | 2. | To ratify the appointment of
PricewaterhouseCoopers LLP as
Hanesbrands' independent registered public
accounting firm for Hanesbrands' 2020
fiscal year | Management | For | | For | For | | None | |
| | 3. | To approve, on an advisory basis, named
executive officer compensation as
described in the proxy statement for the
Annual Meeting | Management | For | | For | For | | None | |
| | 4. | To approve the Hanesbrands Inc. 2020
Omnibus Incentive Plan | Management | For | | For | For | | None | |
| HYATT HOTELS CORPORATION | | |
| | Security | 448579102 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | H | | | | | | | Meeting Date | 20-May-2020 | |
| | ISIN | US4485791028 | | | | | | | Agenda | 935174792 - Management | |
| | Record Date | 20-Mar-2020 | | | | | | | Holding Recon Date | 20-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Thomas J. Pritzker | For | | For | For | | None | |
| | | | 2 | Pamela M. Nicholson | For | | For | For | | None | |
| | | | 3 | Richard C. Tuttle | For | | For | For | | None | |
| | | | 4 | James H. Wooten, Jr. | For | | For | For | | None | |
| | 2. | Ratification of the Appointment of Deloitte &
Touche LLP as Hyatt Hotels Corporation's
Independent Registered Public Accounting
Firm for Fiscal Year 2020. | Management | For | | For | For | | None | |
| | 3. | Approval of the Fourth Amended and
Restated Hyatt Hotels Corporation Long-
Term Incentive Plan. | Management | For | | For | For | | None | |
| | 4. | Approval of the Second Amended and
Restated Hyatt Hotels Corporation
Employee Stock Purchase Plan. | Management | For | | For | For | | None | |
| | 5. | Approval, on an advisory basis, of the
compensation paid to our named executive
officers as disclosed pursuant to the
Securities and Exchange Commission's
compensation disclosure rules. | Management | For | | For | For | | None | |
| INGREDION INC | | |
| | Security | 457187102 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | INGR | | | | | | | Meeting Date | 20-May-2020 | |
| | ISIN | US4571871023 | | | | | | | Agenda | 935176912 - Management | |
| | Record Date | 26-Mar-2020 | | | | | | | Holding Recon Date | 26-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: Luis Aranguren-Trellez | Management | For | | For | For | | None | |
| | 1B. | Election of Director: David B. Fischer | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Paul Hanrahan | Management | For | | For | For | | None | |
| | 1D. | Election of Director: Rhonda L. Jordan | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Gregory B. Kenny | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Barbara A. Klein | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Victoria J. Reich | Management | For | | For | For | | None | |
| | 1H. | Election of Director: Stephan B. Tanda | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Jorge A. Uribe | Management | For | | For | For | | None | |
| | 1J. | Election of Director: Dwayne A. Wilson | Management | For | | For | For | | None | |
| | 1K. | Election of Director: James P. Zallie | Management | For | | For | For | | None | |
| | 2. | To approve, by advisory vote, the
compensation of the Company's "named
executive officers." | Management | For | | For | For | | None | |
| | 3. | To ratify the appointment of KPMG LLP as
the independent registered public
accounting firm of the Company for the
fiscal year ending December 31, 2020. | Management | For | | For | For | | None | |
| LKQ CORPORATION | | |
| | Security | 501889208 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | LKQ | | | | | | | Meeting Date | 12-May-2020 | |
| | ISIN | US5018892084 | | | | | | | Agenda | 935155110 - Management | |
| | Record Date | 16-Mar-2020 | | | | | | | Holding Recon Date | 16-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: Patrick Berard | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Meg A. Divitto | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Robert M. Hanser | Management | For | | For | For | | None | |
| | 1D. | Election of Director: Joseph M. Holsten | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Blythe J. McGarvie | Management | For | | For | For | | None | |
| | 1F. | Election of Director: John W. Mendel | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Jody G. Miller | Management | For | | For | For | | None | |
| | 1H. | Election of Director: John F. O'Brien | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Guhan Subramanian | Management | For | | For | For | | None | |
| | 1J. | Election of Director: Xavier Urbain | Management | For | | For | For | | None | |
| | 1K. | Election of Director: Dominick Zarcone | Management | For | | For | For | | None | |
| | 2. | Ratification of the appointment of Deloitte &
Touche LLP as our independent registered
public accounting firm for our fiscal year
ending December 31, 2020. | Management | For | | For | For | | None | |
| | 3. | Approval, on an advisory basis, of the
compensation of our named executive
officers. | Management | For | | For | For | | None | |
| SPECTRUM BRANDS HOLDINGS, INC. | | |
| | Security | 84790A105 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | SPB | | | | | | | Meeting Date | 10-Jul-2019 | |
| | ISIN | US84790A1051 | | | | | | | Agenda | 935044141 - Management | |
| | Record Date | 17-May-2019 | | | | | | | Holding Recon Date | 17-May-2019 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 09-Jul-2019 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1.1 | Election of the Class I Director: Sherianne
James | Management | For | | For | For | | None | |
| | 1.2 | Election of the Class I Director: Norman
Matthews | Management | For | | For | For | | None | |
| | 1.3 | Election of the Class I Director: Joseph
Steinberg | Management | For | | For | For | | None | |
| | 2. | Ratify the appointment of KPMG LLP
("KPMG") as the Company's independent
registered public accounting firm for the
fiscal year ending September 30, 2019
("Fiscal 2019"). | Management | For | | For | For | | None | |
| | 3. | To approve, on an advisory basis, the
compensation of the Company's executive
officers. | Management | For | | For | For | | None | |
| SUNCOR ENERGY INC. | | |
| | Security | 867224107 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | SU | | | | | | | Meeting Date | 06-May-2020 | |
| | ISIN | CA8672241079 | | | | | | | Agenda | 935150576 - Management | |
| | Record Date | 09-Mar-2020 | | | | | | | Holding Recon Date | 09-Mar-2020 | |
| | City / | Country | | | / | Canada | | | | | Vote Deadline Date | 01-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1 | DIRECTOR | Management | | | | | | | |
| | | | 1 | Patricia M. Bedient | For | | For | For | | None | |
| | | | 2 | Mel E. Benson | For | | For | For | | None | |
| | | | 3 | John D. Gass | For | | For | For | | None | |
| | | | 4 | Dennis M. Houston | For | | For | For | | None | |
| | | | 5 | Mark S. Little | For | | For | For | | None | |
| | | | 6 | Brian P. MacDonald | For | | For | For | | None | |
| | | | 7 | Maureen McCaw | For | | For | For | | None | |
| | | | 8 | Lorraine Mitchelmore | For | | For | For | | None | |
| | | | 9 | Eira M. Thomas | For | | For | For | | None | |
| | | | 10 | Michael M. Wilson | For | | For | For | | None | |
| | 2 | Appointment of KPMG LLP as auditor of
Suncor Energy Inc. for the ensuing year. | Management | For | | For | For | | None | |
| | 3 | To accept the approach to executive
compensation disclosed in the Management
Proxy Circular of Suncor Energy Inc. dated
February 26, 2020. | Management | For | | For | For | | None | |
| T. ROWE PRICE GROUP, INC. | | |
| | Security | 74144T108 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | TROW | | | | | | | Meeting Date | 12-May-2020 | |
| | ISIN | US74144T1088 | | | | | | | Agenda | 935151819 - Management | |
| | Record Date | 11-Mar-2020 | | | | | | | Holding Recon Date | 11-Mar-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-May-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: Mark S. Bartlett | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Mary K. Bush | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Dina Dublon | Management | For | | For | For | | None | |
| | 1D. | Election of Director: Dr. Freeman A.
Hrabowski, III | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Robert F. MacLellan | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Olympia J. Snowe | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Robert J. Stevens | Management | For | | For | For | | None | |
| | 1H. | Election of Director: William J. Stromberg | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Richard R. Verma | Management | For | | For | For | | None | |
| | 1J. | Election of Director: Sandra S. Wijnberg | Management | For | | For | For | | None | |
| | 1K. | Election of Director: Alan D. Wilson | Management | For | | For | For | | None | |
| | 2. | To approve, by a non-binding advisory vote,
the compensation paid by the Company to
its Named Executive Officers. | Management | For | | For | For | | None | |
| | 3. | Ratification of the appointment of KPMG
LLP as our independent registered public
accounting firm for 2020. | Management | For | | For | For | | None | |
| | 4. | To approve the 2020 Long-Term Incentive
Plan. | Management | For | | For | For | | None | |
| | 5. | Stockholder proposal for a report on voting
by our funds and portfolios on matters
related to climate change. | Shareholder | Against | | Against | For | | None | |
| WELLS FARGO & COMPANY | | |
| | Security | 949746101 | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | WFC | | | | | | | Meeting Date | 28-Apr-2020 | |
| | ISIN | US9497461015 | | | | | | | Agenda | 935145183 - Management | |
| | Record Date | 28-Feb-2020 | | | | | | | Holding Recon Date | 28-Feb-2020 | |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| Item | Proposal | | Proposed
by | Vote | Management
Recommendation | For/Against
Management | Preferred Provider
Recommendation | |
| | 1A. | Election of Director: Steven D. Black | Management | For | | For | For | | None | |
| | 1B. | Election of Director: Celeste A. Clark | Management | For | | For | For | | None | |
| | 1C. | Election of Director: Theodore F. Craver, Jr. | Management | For | | For | For | | None | |
| | 1D. | Election of Director: Wayne M. Hewett | Management | For | | For | For | | None | |
| | 1E. | Election of Director: Donald M. James | Management | For | | For | For | | None | |
| | 1F. | Election of Director: Maria R. Morris | Management | For | | For | For | | None | |
| | 1G. | Election of Director: Charles H. Noski | Management | For | | For | For | | None | |
| | 1H. | Election of Director: Richard B. Payne, Jr. | Management | For | | For | For | | None | |
| | 1I. | Election of Director: Juan A. Pujadas | Management | For | | For | For | | None | |
| | 1J. | Election of Director: Ronald L. Sargent | Management | For | | For | For | | None | |
| | 1K. | Election of Director: Charles W. Scharf | Management | For | | For | For | | None | |
| | 1L. | Election of Director: Suzanne M. Vautrinot | Management | For | | For | For | | None | |
| | 2. | Advisory resolution to approve executive
compensation. | Management | For | | For | For | | None | |
| | 3. | Ratification of the appointment of KPMG
LLP as the Company's independent
registered public accounting firm for 2020. | Management | For | | For | For | | None | |
| | 4. | Shareholder Proposal - Shareholder
Approval of By-Law Amendments. | Shareholder | Against | | Against | For | | None | |
| | 5. | Shareholder Proposal - Report on
Incentive-Based Compensation and Risks
of Material Losses. | Shareholder | Against | | Against | For | | None | |
| | 6. | Shareholder Proposal - Report on Global
Median Pay Gap. | Shareholder | Against | | Against | For | | None | |
| | | | | | | | | | | | | | | | | | | |
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.
Ross C. Provence, President
