Clough Global Dividend and Income Fund (GLV) N-PX Annual report of proxy voting record

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number: 811-21583

CLOUGH DIVIDEND AND INCOME FUND

(Exact name of registrant as specified in charter)

1290 Broadway, Suite 1000, Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

Sareena Khwaja-Dixon, Esq.

Clough Dividend and Income Fund

1290 Broadway, Suite 1000

Denver, Colorado 80203

(Name and address of agent for service)

Registrant’s Telephone Number, including Area Code: 877.256.8445

Date of fiscal year end: October 31

Date of reporting period: July 1, 2019 – June 30, 2020

Item 1 – Proxy Voting Record.

Vote Summary

ARES CAPITAL CORPORATION

Security

04010L103

Meeting Type

Special

Ticker Symbol

ARCC

Meeting Date

08-Jul-2019

ISIN

US04010L1035

Agenda

935002775 - Management

Record Date

08-Apr-2019

Holding Recon Date

08-Apr-2019

City /

Country

/

United States

Vote Deadline Date

05-Jul-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To authorize the Company, with the approval of its board of directors, to sell or otherwise issue shares of its common stock at a price below its then current net asset value per share subject to the limitations set forth in the proxy statement for the special meeting of stockholders (including, without limitation, that the number of shares issued does not exceed 25% of the Company's then outstanding common stock).

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

164,300

0

19-Apr-2019

09-Jul-2019

HDFC BANK LTD

Security

Y3119P174

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

12-Jul-2019

ISIN

INE040A01026

Agenda

711314005 - Management

Record Date

05-Jul-2019

Holding Recon Date

05-Jul-2019

City /

Country

MUMBAI

/

India

Vote Deadline Date

09-Jul-2019

SEDOL(s)

B5Q3JZ5

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

ADOPTION OF THE AUDITED FINANCIAL STATEMENTS (STANDALONE) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON

Management

For

For

2

ADOPTION OF THE AUDITED FINANCIAL STATEMENTS (CONSOLIDATED) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORT OF THE AUDITORS THEREON

Management

For

For

3

DECLARATION OF DIVIDEND ON EQUITY SHARES

Management

For

For

4

APPOINTMENT OF DIRECTOR IN PLACE OF MR. SRIKANTH NADHAMUNI (DIN 02551389), WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT

Management

For

For

5

APPOINTMENT OF STATUTORY AUDITORS AND FIXING OF THEIR REMUNERATION: MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS

Management

For

For

6

RATIFICATION OF REMUNERATION / FEES PAID TO THE ERSTWHILE

Management

For

For

7

APPOINTMENT OF MR. SANJIV SACHAR (DIN 02013812) AS INDEPENDENT DIRECTOR OF THE BANK

Management

For

For

8

APPOINTMENT OF MR. SANDEEP PAREKH (DIN 03268043) AS INDEPENDENT DIRECTOR OF THE BANK

Management

For

For

9

APPOINTMENT OF MR. M. D. RANGANATH (DIN 07565125) AS INDEPENDENT DIRECTOR OF THE BANK

Management

For

For

10

APPROVAL OF RELATED PARTY TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED PURSUANT TO APPLICABLE PROVISIONS

Management

For

For

11

APPROVAL OF RELATED PARTY TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED PURSUANT TO APPLICABLE PROVISIONS

Management

For

For

12

RAISING OF ADDITIONAL CAPITAL BY ISSUE OF DEBT INSTRUMENTS

Management

For

For

13

SUB-DIVISION OF EQUITY SHARES FROM FACE VALUE OF RS. 2/- EACH TO FACE VALUE OF RS. 1/- EACH

Management

For

For

14

ALTERATION OF CLAUSE V OF THE MEMORANDUM OF ASSOCIATION

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

140,883

0

13-Jun-2019

10-Jul-2019

LINK REAL ESTATE INVESTMENT TRUST

Security

Y5281M111

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

24-Jul-2019

ISIN

HK0823032773

Agenda

711328787 - Management

Record Date

18-Jul-2019

Holding Recon Date

18-Jul-2019

City /

Country

HONG KONG

/

Hong Kong

Vote Deadline Date

19-Jul-2019

SEDOL(s)

B0PB4M7 - B0RN5X9 - B0WGPC2

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.

Non-Voting

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0620/ltn20190620924.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0620/ltn20190620938.pdf

Non-Voting

3.1

TO RE-ELECT MR ED CHAN YIU CHEONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.2

TO RE-ELECT MR BLAIR CHILTON PICKERELL AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.3

TO RE-ELECT MS MAY SIEW BOI TAN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

4

TO GRANT A GENERAL MANDATE TO THE MANAGER TO BUY BACK UNITS OF LINK

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

59,500

0

27-Jun-2019

22-Jul-2019

EMBASSY OFFICE PARKS REIT

Security

Y2R9YR104

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

25-Jul-2019

ISIN

INE041025011

Agenda

711364707 - Management

Record Date

19-Jul-2019

Holding Recon Date

19-Jul-2019

City /

Country

BANGAL ORE

/

India

Vote Deadline Date

19-Jul-2019

SEDOL(s)

BJH4V15

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

2

TO APPOINT THE STATUTORY AUDITORS AND TO FIX THEIR REMUNERATION: M/S. S.R. BATLIBOI & ASSOCIATES LLP, CHARTERED ACCOUNTANTS (FIRM REGISTRATION NO. - 101049W/E300004

Management

For

For

3

TO APPOINT THE VALUER

Management

For

For

CMMT

05 JUL 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE-AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU

Non-Voting

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

137,600

0

02-Jul-2019

20-Jul-2019

LARSEN & TOUBRO LTD

Security

Y5217N159

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

01-Aug-2019

ISIN

INE018A01030

Agenda

711361066 - Management

Record Date

25-Jul-2019

Holding Recon Date

25-Jul-2019

City /

Country

MUMBAI

/

India

Vote Deadline Date

26-Jul-2019

SEDOL(s)

B0166K8

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

1

ADOPTION OF AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED MARCH 31, 2019 AND THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON AND THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND THE REPORTS OF THE AUDITORS THEREON FOR THE YEAR ENDED MARCH 31, 2019

Management

For

For

2

DIVIDEND ON EQUITY SHARES FOR THE FINANCIAL YEAR 2018-19: INR 18.00 PER SHARE

Management

For

For

3

APPOINT MR. M. V. SATISH (DIN: 06393156) AS A DIRECTOR LIABLE TO RETIRE BY ROTATION

Management

For

For

4

APPOINT MR. SHAILENDRA ROY (DIN: 02144836), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION

Management

For

For

5

APPOINT MR. R. SHANKAR RAMAN (DIN: 00019798), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION

Management

For

For

6

APPOINT MR. J. D. PATIL (DIN: 01252184), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION

Management

For

For

7

RE-APPOINT MR. M. M. CHITALE (DIN: 00101004), AS AN INDEPENDENT DIRECTOR

Management

For

For

8

RE-APPOINT MR. M. DAMODARAN (DIN: 02106990), AS AN INDEPENDENT DIRECTOR AND APPROVE HIS CONTINUATION BEYOND THE AGE OF 75 YEARS

Management

For

For

9

RE-APPOINT MR. VIKRAM SINGH MEHTA (DIN: 00041197), AS AN INDEPENDENT DIRECTOR

Management

For

For

10

RE-APPOINT MR. ADIL ZAINULBHAI (DIN: 06646490), AS AN INDEPENDENT DIRECTOR

Management

For

For

11

CHANGE IN SCALE OF SALARY OF MR. S. N. SUBRAHMANYAN (DIN: 02255382), CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR

Management

For

For

12

CHANGE IN SCALE OF SALARY OF MR. R. SHANKAR RAMAN (DIN: 00019798), CHIEF FINANCIAL OFFICER & WHOLE-TIME DIRECTOR

Management

For

For

13

ALTERATION TO THE OBJECTS CLAUSE OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY

Management

For

For

14

RAISE FUNDS THROUGH ISSUE OF CONVERTIBLE BONDS AND/OR EQUITY SHARES THROUGH DEPOSITORY RECEIPTS AND INCLUDING BY WAY OF QUALIFIED INSTITUTION PLACEMENT ('QIP'), TO QUALIFIED INSTITUTIONAL BUYERS ('QIB') FOR AN AMOUNT NOT EXCEEDING INR 4000 CRORE OR USD 600 MILLION, IF HIGHER

Management

For

For

15

RATIFICATION OF REMUNERATION PAYABLE TO M/S R. NANABHOY & CO. COST ACCOUNTANTS (REGN. NO. 00010) FOR THE FINANCIAL YEAR 2019- 20

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

35,900

0

29-Jun-2019

27-Jul-2019

EICHER MOTORS LTD

Security

Y2251M114

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

01-Aug-2019

ISIN

INE066A01013

Agenda

711394990 - Management

Record Date

25-Jul-2019

Holding Recon Date

25-Jul-2019

City /

Country

NEW DELHI

/

India

Vote Deadline Date

26-Jul-2019

SEDOL(s)

6099819

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

TO REVIEW, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (INCLUDING CONSOLIDATED FINANCIAL STATEMENTS) OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 TOGETHER WITH THE REPORTS OF BOARD OF DIRECTORS AND THE AUDITORS THEREON

Management

For

For

2

TO DECLARE A DIVIDEND OF RS. 125/- PER EQUITY SHARE FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019

Management

For

For

3

TO APPOINT MR. SIDDHARTHA LAL, WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT AS A DIRECTOR, LIABLE TO RETIRE BY ROTATION

Management

For

For

4

TO CONSIDER AND RATIFY REMUNERATION OF COST AUDITOR PAYABLE FOR FINANCIAL YEAR 2018-19

Management

For

For

5

TO APPOINT MR. VINOD KUMAR DASARI AS WHOLE- TIME DIRECTOR OF THE COMPANY AND DETERMINE HIS REMUNERATION

Management

For

For

6

TO APPOINT MR. INDER MOHAN SINGH AS AN INDEPENDENT DIRECTOR OF THE COMPANY

Management

For

For

7

TO APPOINT MR. VINOD KUMAR AGGARWAL AS NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

8

TO CONSIDER AND APPROVE PAYMENT OF REMUNERATION BY WAY OF COMMISSION TO DIRECTORS, OTHER THAN MANAGING DIRECTOR(S) AND WHOLE TIME DIRECTOR(S) OF THE COMPANY

Management

For

For

9

TO CONSIDER AND APPROVE PAYMENT OF REMUNERATION TO MR. S. SANDILYA, CHAIRMAN (NON-EXECUTIVE INDEPENDENT DIRECTOR) FOR THE FINANCIAL YEAR 2018-19, WHICH MAY EXCEED FIFTY PER CENT OF THE TOTAL REMUNERATION PAYABLE TO ALL THE NON-EXECUTIVE DIRECTORS OF THE COMPANY

Management

For

For

10

TO APPROVE AND ADOPT EICHER MOTORS LIMITED'S RESTRICTED STOCK UNIT PLAN 2019

Management

For

For

11

TO APPROVE EXTENSION OF BENEFITS OF EICHER MOTORS LIMITED'S RESTRICTED STOCK UNIT PLAN 2019 TO THE EMPLOYEES OF SUBSIDIARY COMPANY(IES)

Management

For

For

CMMT

15 JUL 2019: PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR-'AGAINST' FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

CMMT

15 JUL 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU.

Non-Voting

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

2,400

0

09-Jul-2019

27-Jul-2019

CHOW TAI FOOK JEWELLERY GROUP LTD

Security

G21146108

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

02-Aug-2019

ISIN

KYG211461085

Agenda

711319625 - Management

Record Date

29-Jul-2019

Holding Recon Date

29-Jul-2019

City /

Country

HONG KONG

/

Cayman Islands

Vote Deadline Date

26-Jul-2019

SEDOL(s)

B4R39F7 - B7FN5H4 - B8C2PT3 - BD8NKQ7 - BP3RT94

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0614/LTN20190614027.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0614/LTN20190614025.PDF

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

1

TO RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE REPORTS OF THE DIRECTORS OF THE COMPANY (''DIRECTORS'') AND THE INDEPENDENT AUDITOR THEREON

Management

For

For

2

TO DECLARE A FINAL DIVIDEND AND SPECIAL DIVIDEND FOR THE YEAR ENDED 31 MARCH 2019: FINAL DIVIDEND OF HKD 0.20 PER SHARE AND A SPECIAL DIVIDEND OF HKD 0.30 PER SHARE (FY2018: A FINAL DIVIDEND OF HKD 0.15 PER SHARE AND A SPECIAL DIVIDEND OF HKD 0.30 PER SHARE)

Management

For

For

3.A

TO RE-ELECT MR. WONG SIU-KEE, KENT AS AN EXECUTIVE DIRECTOR

Management

For

For

3.B

TO RE-ELECT MR. SUEN CHI-KEUNG, PETER AS AN EXECUTIVE DIRECTOR

Management

For

For

3.C

TO RE-ELECT MR. CHAN HIU-SANG, ALBERT AS AN EXECUTIVE DIRECTOR

Management

For

For

3.D

TO RE-ELECT MR. LIU CHUN-WAI, BOBBY AS AN EXECUTIVE DIRECTOR

Management

For

For

3.E

TO RE-ELECT MS. CHENG CHI-MAN, SONIA AS A NON-EXECUTIVE DIRECTOR

Management

For

For

3.F

TO RE-ELECT MR. LAM KIN-FUNG, JEFFREY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.G

TO RE-ELECT MS. CHENG KA-LAI, LILY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.H

TO AUTHORISE THE BOARD OF DIRECTORS (''BOARD'') TO FIX THE REMUNERATION OF THE DIRECTORS

Management

For

For

4

TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY AND AUTHORISE THE BOARD TO FIX ITS REMUNERATION

Management

For

For

5

TO GRANT THE DIRECTORS A GENERAL MANDATE TO ISSUE NEW SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE ISSUED SHARE CAPITAL OF THE COMPANY AS AT THE DATE OF THIS RESOLUTION

Management

For

For

6

TO GRANT THE DIRECTORS A GENERAL MANDATE TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE AGGREGATE NOMINAL AMOUNT OF THE ISSUED SHARE CAPITAL OF THE COMPANY AS AT THE DATE OF THIS RESOLUTION

Management

For

For

7

SUBJECT TO THE PASSING OF THE ORDINARY RESOLUTIONS NUMBERED 5 AND 6 ABOVE, TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE SHARES OF THE COMPANY BY ADDING THE AGGREGATE NOMINAL AMOUNT OF SHARES BOUGHT BACK BY THE COMPANY

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

100,800

0

18-Jul-2019

18-Jul-2019

TITAN COMPANY LIMITED

Security

Y88425148

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

06-Aug-2019

ISIN

INE280A01028

Agenda

711415150 - Management

Record Date

30-Jul-2019

Holding Recon Date

30-Jul-2019

City /

Country

HOSUR

/

India

Vote Deadline Date

31-Jul-2019

SEDOL(s)

6139340

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019, TOGETHER WITH THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS THEREON

Management

For

For

2

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019, TOGETHER WITH THE REPORT OF THE AUDITORS THEREON

Management

For

For

3

DECLARATION OF DIVIDEND ON EQUITY SHARES FOR THE FINANCIAL YEAR 2018-19: DIVIDEND ON EQUITY SHARES AT THE RATE OF 500% (I.E. INR 5 PER EQUITY SHARE OF INR 1 EACH)

Management

For

For

4

RE-APPOINTMENT OF MR. HARISH BHAT AS A DIRECTOR

Management

For

For

5

APPOINTMENT OF MR. N. MURUGANANDAM AS A DIRECTOR

Management

For

For

6

APPOINTMENT OF MR. V ARUN ROY AS A DIRECTOR

Management

For

For

7

APPOINTMENT OF MR. PRADYUMNA VYAS AS AN INDEPENDENT DIRECTOR

Management

For

For

8

RE-APPOINTMENT OF MRS. HEMA RAVICHANDAR AS AN INDEPENDENT DIRECTOR

Management

For

For

9

RE-APPOINTMENT OF MRS. IREENA VITTAL AS AN INDEPENDENT DIRECTOR

Management

For

For

10

APPOINTMENT OF BRANCH AUDITORS

Management

For

For

11

APPOINTMENT OF DR. MOHANASANKAR SIVAPRAKASAM AS AN INDEPENDENT DIRECTOR

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

47,843

0

11-Jul-2019

11-Jul-2019

GOLUB CAPITAL BDC, INC.

Security

38173M102

Meeting Type

Special

Ticker Symbol

GBDC

Meeting Date

04-Sep-2019

ISIN

US38173M1027

Agenda

935063610 - Management

Record Date

12-Jul-2019

Holding Recon Date

12-Jul-2019

City /

Country

/

United States

Vote Deadline Date

03-Sep-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve an amendment to the GBDC certificate of incorporation to increase the number of authorized shares of capital stock from 101,000,000 shares to 201,000,000 shares, consisting of 200,000,000 shares of GBDC common stock, par value $0.001 per share ("GBDC Common Stock"), and 1,000,000 shares of preferred stock, par value $0.001 per share (the "Certificate of Incorporation Amendment Proposal").

Management

For

For

2.

Contingent upon approval of Certificate of Incorporation Amendment Proposal, to approve issuance of shares of GBDC Common Stock pursuant to  Agreement and Plan of Merger dated as of November 27, 2018 (as amended, "Merger Agreement") by and among GBDC, Fifth Ave Subsidiary Inc., a wholly owned subsidiary of GBDC (Merger Sub), Golub Capital Investment Corporation, a Maryland corporation (GCIC), GC Advisors LLC (GC Advisors), and, for certain limited purposes, Golub Capital LLC (such proposal is referred to as the "Merger Stock issuance Proposal")

Management

For

For

3.

Contingent upon approval of each of the Certificate of Incorporation Amendment Proposal and the Merger Stock Issuance Proposal, to approve the amendment of the investment advisory agreement between GBDC and GC Advisors (as amended, the "New Investment Advisory Agreement") on the terms described in the accompanying proxy statement (such proposal is referred to as the "Advisory Agreement Amendment Proposal").

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

12,500

0

20-Jul-2019

20-Jul-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

89,700

0

20-Jul-2019

20-Jul-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

4,000

0

20-Jul-2019

20-Jul-2019

ROYCE VALUE TRUST, INC.

Security

780910105

Meeting Type

Annual

Ticker Symbol

RVT

Meeting Date

24-Sep-2019

ISIN

US7809101055

Agenda

935069612 - Management

Record Date

18-Jul-2019

Holding Recon Date

18-Jul-2019

City /

Country

/

United States

Vote Deadline Date

23-Sep-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Patricia W. Chadwick

For

For

2

Arthur S. Mehlman

For

For

3

Michael K. Shields

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

23,600

13-Aug-2019

13-Aug-2019

SOLAR CAPITAL LTD

Security

83413U100

Meeting Type

Annual

Ticker Symbol

SLRC

Meeting Date

08-Oct-2019

ISIN

US83413U1007

Agenda

935072443 - Management

Record Date

13-Aug-2019

Holding Recon Date

13-Aug-2019

City /

Country

/

United States

Vote Deadline Date

07-Oct-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

David S. Wachter

For

For

2.

To approve a proposal to authorize Solar Capital Ltd. to sell shares of its common stock at a price or prices below Solar Capital Ltd.'s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of Solar Capital Ltd.'s then outstanding common stock immediately prior to each such offering).

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

11,300

0

20-Aug-2019

20-Aug-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

70,900

0

20-Aug-2019

20-Aug-2019

MICROSOFT CORPORATION

Security

594918104

Meeting Type

Annual

Ticker Symbol

MSFT

Meeting Date

04-Dec-2019

ISIN

US5949181045

Agenda

935092849 - Management

Record Date

08-Oct-2019

Holding Recon Date

08-Oct-2019

City /

Country

/

United States

Vote Deadline Date

03-Dec-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: William H. Gates III

Management

For

For

1B.

Election of Director: Reid G. Hoffman

Management

For

For

1C.

Election of Director: Hugh F. Johnston

Management

For

For

1D.

Election of Director: Teri L. List-Stoll

Management

For

For

1E.

Election of Director: Satya Nadella

Management

For

For

1F.

Election of Director: Sandra E. Peterson

Management

For

For

1G.

Election of Director: Penny S. Pritzker

Management

For

For

1H.

Election of Director: Charles W. Scharf

Management

For

For

1I.

Election of Director: Arne M. Sorenson

Management

For

For

1J.

Election of Director: John W. Stanton

Management

For

For

1K.

Election of Director: John W. Thompson

Management

For

For

1L.

Election of Director: Emma Walmsley

Management

For

For

1M.

Election of Director: Padmasree Warrior

Management

For

For

2.

Advisory vote to approve named executive officer compensation

Management

For

For

3.

Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020

Management

For

For

4.

Shareholder Proposal - Report on Employee Representation on Board of Directors

Shareholder

Against

For

5.

Shareholder Proposal - Report on Gender Pay Gap

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

3,000

0

23-Oct-2019

23-Oct-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

16,760

0

23-Oct-2019

23-Oct-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

4,290

0

23-Oct-2019

23-Oct-2019

VAIL RESORTS, INC.

Security

91879Q109

Meeting Type

Annual

Ticker Symbol

MTN

Meeting Date

05-Dec-2019

ISIN

US91879Q1094

Agenda

935093790 - Management

Record Date

08-Oct-2019

Holding Recon Date

08-Oct-2019

City /

Country

/

United States

Vote Deadline Date

04-Dec-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Susan L. Decker

Management

For

For

1b.

Election of Director: Robert A. Katz

Management

For

For

1c.

Election of Director: John T. Redmond

Management

For

For

1d.

Election of Director: Michele Romanow

Management

For

For

1e.

Election of Director: Hilary A. Schneider

Management

For

For

1f.

Election of Director: D. Bruce Sewell

Management

For

For

1g.

Election of Director: John F. Sorte

Management

For

For

1h.

Election of Director: Peter A. Vaughn

Management

For

For

2.

Ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending July 31, 2020.

Management

For

For

3.

Hold an advisory vote to approve executive compensation.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

120

7,100

22-Oct-2019

22-Oct-2019

PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD

Security

Y69790106

Meeting Type

ExtraOrdinary General Meeting

Ticker Symbol

Meeting Date

10-Dec-2019

ISIN

CNE1000003X6

Agenda

711701599 - Management

Record Date

08-Nov-2019

Holding Recon Date

08-Nov-2019

City /

Country

SHENZH EN

/

China

Vote Deadline Date

03-Dec-2019

SEDOL(s)

B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 1024/ltn20191024167.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 1024/ltn20191024173.pdf

Non-Voting

1.1

TO CONSIDER AND APPROVE THE ELECTION OF MR. XIE YONGLIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD

Management

For

For

1.2

TO CONSIDER AND APPROVE THE ELECTION OF MS. TAN SIN YIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD

Management

For

For

2

TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

146,200

0

26-Oct-2019

26-Oct-2019

VISA INC.

Security

92826C839

Meeting Type

Annual

Ticker Symbol

V

Meeting Date

28-Jan-2020

ISIN

US92826C8394

Agenda

935113807 - Management

Record Date

29-Nov-2019

Holding Recon Date

29-Nov-2019

City /

Country

/

United States

Vote Deadline Date

27-Jan-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Lloyd A. Carney

Management

For

For

1B.

Election of Director: Mary B. Cranston

Management

For

For

1C.

Election of Director: Francisco Javier Fernández-Carbajal

Management

For

For

1D.

Election of Director: Alfred F. Kelly, Jr.

Management

For

For

1E.

Election of Director: Ramon L. Laguarta

Management

For

For

1F.

Election of Director: John F. Lundgren

Management

For

For

1G.

Election of Director: Robert W. Matschullat

Management

For

For

1H.

Election of Director: Denise M. Morrison

Management

For

For

1I.

Election of Director: Suzanne Nora Johnson

Management

For

For

1J.

Election of Director: John A. C. Swainson

Management

For

For

1K.

Election of Director: Maynard G. Webb, Jr.

Management

For

For

2.

Advisory vote to approve executive compensation.

Management

For

For

3.

Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2020 fiscal year.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

199

14,300

06-Dec-2019

06-Dec-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

4,730

0

06-Dec-2019

06-Dec-2019

GOLUB CAPITAL BDC, INC.

Security

38173M102

Meeting Type

Annual

Ticker Symbol

GBDC

Meeting Date

04-Feb-2020

ISIN

US38173M1027

Agenda

935116649 - Management

Record Date

10-Dec-2019

Holding Recon Date

10-Dec-2019

City /

Country

/

United States

Vote Deadline Date

03-Feb-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class I Director: David B. Golub

Management

For

For

1B.

Election of Class I Director: Anita R. Rosenberg

Management

For

For

2.

To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

50,000

0

18-Dec-2019

18-Dec-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

136,900

0

18-Dec-2019

18-Dec-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

37,500

0

18-Dec-2019

18-Dec-2019

APPLIED MATERIALS, INC.

Security

038222105

Meeting Type

Annual

Ticker Symbol

AMAT

Meeting Date

12-Mar-2020

ISIN

US0382221051

Agenda

935126258 - Management

Record Date

16-Jan-2020

Holding Recon Date

16-Jan-2020

City /

Country

/

United States

Vote Deadline Date

11-Mar-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Judy Bruner

Management

For

For

1B.

Election of Director: Xun (Eric) Chen

Management

For

For

1C.

Election of Director: Aart J. de Geus

Management

For

For

1D.

Election of Director: Gary E. Dickerson

Management

For

For

1E.

Election of Director: Stephen R. Forrest

Management

For

For

1F.

Election of Director: Thomas J. Iannotti

Management

For

For

1G.

Election of Director: Alexander A. Karsner

Management

For

For

1H.

Election of Director: Adrianna C. Ma

Management

For

For

1I.

Election of Director: Yvonne McGill

Management

For

For

1J.

Election of Director: Scott A. McGregor

Management

For

For

2.

Approval, on an advisory basis, of the compensation of Applied Materials' named executive officers for fiscal year 2019.

Management

For

For

3.

Ratification of the appointment of KPMG LLP as Applied Materials' independent registered public accounting firm for fiscal year 2020.

Management

For

For

4.

Approval of an amendment and restatement of Applied Materials' Certificate of Incorporation to allow shareholders to act by written consent.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

12,200

15,800

31-Jan-2020

31-Jan-2020

SAMSUNG ELECTRONICS CO LTD

Security

Y74718100

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

18-Mar-2020

ISIN

KR7005930003

Agenda

712181786 - Management

Record Date

31-Dec-2019

Holding Recon Date

31-Dec-2019

City /

Country

KYUNGG I

/

Korea, Republic Of

Vote Deadline Date

06-Mar-2020

SEDOL(s)

6771720 - B19VC15

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

APPROVAL OF FINANCIAL STATEMENTS

Management

For

For

2.1

ELECTION OF INSIDE DIRECTOR: HAN JONG HEE

Management

For

For

2.2

ELECTION OF INSIDE DIRECTOR: CHOE YUN HO

Management

For

For

3

APPROVAL OF REMUNERATION FOR DIRECTOR

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

81,319

0

22-Feb-2020

22-Feb-2020

PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD

Security

Y69790106

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

09-Apr-2020

ISIN

CNE1000003X6

Agenda

712283869 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

SHENZH EN

/

China

Vote Deadline Date

02-Apr-2020

SEDOL(s)

B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0318/2020031801008.pdf,

Non-Voting

CMMT

PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 362445 DUE TO ADDITION OF- RESOLUTION 11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU

Non-Voting

1

TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2019

Management

For

For

2

TO CONSIDER AND APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2019

Management

For

For

3

TO CONSIDER AND APPROVE THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR 2019 AND ITS SUMMARY

Management

For

For

4

TO CONSIDER AND APPROVE THE REPORT OF FINAL ACCOUNTS OF THE COMPANY FOR THE YEAR 2019 INCLUDING THE AUDIT REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR 2019

Management

For

For

5

TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE YEAR 2019 AND THE PROPOSED DISTRIBUTION OF FINAL DIVIDENDS

Management

For

For

6

TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE APPOINTMENT OF AUDITORS OF THE COMPANY FOR THE YEAR 2020, RE- APPOINTING PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE PRC AUDITOR AND PRICEWATERHOUSECOOPERS AS THE

Management

For

For

INTERNATIONAL AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AND AUTHORIZING THE BOARD OF DIRECTORS TO RE- AUTHORIZE THE MANAGEMENT OF THE COMPANY TO FIX THEIR REMUNERATION

7

TO CONSIDER AND APPROVE THE PERFORMANCE EVALUATION OF THE INDEPENDENT NON- EXECUTIVE DIRECTORS FOR THE YEAR 2019

Management

For

For

8

TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ISSUE OF DEBT FINANCING INSTRUMENTS

Management

For

For

9

TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED GRANT OF THE GENERAL MANDATE BY THE GENERAL MEETING TO THE BOARD TO ISSUE H SHARES, I.E. THE GRANT OF A GENERAL MANDATE TO THE BOARD TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL H SHARES NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE H SHARES IN ISSUE, REPRESENTING UP TO LIMIT OF 8.15% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE, AT A DISCOUNT (IF ANY) OF NO MORE THAN 10% TO THE BENCHMARK PRICE (INSTEAD OF THE 20% LIMIT IMPOSED BY THE RULES GOVERNING THE LISTING OF SECURITIES ON THE STOCK EXCHANGE OF HONG KONG LIMITED) AND AUTHORIZE THE BOARD OF DIRECTORS TO MAKE CORRESPONDING AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY AS IT THINKS FIT SO AS TO REFLECT THE NEW CAPITAL STRUCTURE UPON THE ALLOTMENT OR ISSUANCE OF H SHARES

Management

For

For

10

TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY

Management

For

For

11

PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ELECTION OF DIRECTOR OF THE COMPANY, ELECTING MR. LU MIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD OF DIRECTORS

Shareholder

Against

Against

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

73,200

0

19-Mar-2020

19-Mar-2020

CITIGROUP INC.

Security

172967424

Meeting Type

Annual

Ticker Symbol

C

Meeting Date

21-Apr-2020

ISIN

US1729674242

Agenda

935139849 - Management

Record Date

24-Feb-2020

Holding Recon Date

24-Feb-2020

City /

Country

/

United States

Vote Deadline Date

20-Apr-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Michael L. Corbat

Management

For

For

1B.

Election of Director: Ellen M. Costello

Management

For

For

1C.

Election of Director: Grace E. Dailey

Management

For

For

1D.

Election of Director: Barbara J. Desoer

Management

For

For

1E.

Election of Director: John C. Dugan

Management

For

For

1F.

Election of Director: Duncan P. Hennes

Management

For

For

1G.

Election of Director: Peter B. Henry

Management

For

For

1H.

Election of Director: S. Leslie Ireland

Management

For

For

1I.

Election of Director: Lew W. (Jay) Jacobs, IV

Management

For

For

1J.

Election of Director: Renée J. James

Management

For

For

1K.

Election of Director: Gary M. Reiner

Management

For

For

1L.

Election of Director: Diana L. Taylor

Management

For

For

1M.

Election of Director: James S. Turley

Management

For

For

1N.

Election of Director: Deborah C. Wright

Management

For

For

1O.

Election of Director: Alexander R. Wynaendts

Management

For

For

1P.

Election of Director: Ernesto Zedillo Ponce de Leon

Management

For

For

2.

Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2020.

Management

For

For

3.

Advisory vote to approve Citi's 2019 Executive Compensation.

Management

For

For

4.

Approval of Additional Authorized Shares Under the Citigroup 2019 Stock Incentive Plan.

Management

For

For

5.

Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit.

Shareholder

Against

For

6.

Stockholder proposal requesting that the Board review Citi's governance documents and make recommendations to shareholders on how the "Purpose of a Corporation" signed by Citi's CEO can be fully implemented.

Shareholder

Against

For

7.

Stockholder proposal requesting a report disclosing information regarding Citi's lobbying policies and activities.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

20,100

50,530

12-Mar-2020

12-Mar-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

5,000

0

12-Mar-2020

12-Mar-2020

BANK OF AMERICA CORPORATION

Security

060505104

Meeting Type

Annual

Ticker Symbol

BAC

Meeting Date

22-Apr-2020

ISIN

US0605051046

Agenda

935139825 - Management

Record Date

02-Mar-2020

Holding Recon Date

02-Mar-2020

City /

Country

/

United States

Vote Deadline Date

21-Apr-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Sharon L. Allen

Management

For

For

1B.

Election of Director: Susan S. Bies

Management

For

For

1C.

Election of Director: Jack O. Bovender, Jr.

Management

For

For

1D.

Election of Director: Frank P. Bramble, Sr.

Management

For

For

1E.

Election of Director: Pierre J.P. de Weck

Management

For

For

1F.

Election of Director: Arnold W. Donald

Management

For

For

1G.

Election of Director: Linda P. Hudson

Management

For

For

1H.

Election of Director: Monica C. Lozano

Management

For

For

1I.

Election of Director: Thomas J. May

Management

For

For

1J.

Election of Director: Brian T. Moynihan

Management

For

For

1K.

Election of Director: Lionel L. Nowell III

Management

For

For

1L.

Election of Director: Denise L. Ramos

Management

For

For

1M.

Election of Director: Clayton S. Rose

Management

For

For

1N.

Election of Director: Michael D. White

Management

For

For

1O.

Election of Director: Thomas D. Woods

Management

For

For

1P.

Election of Director: R. David Yost

Management

For

For

1Q.

Election of Director: Maria T. Zuber

Management

For

For

2.

Approving Our Executive Compensation (an Advisory, Non-binding "Say on Pay" Resolution).

Management

For

For

3.

Ratifying the Appointment of Our Independent Registered Public Accounting Firm for 2020.

Management

For

For

4.

Make Shareholder Proxy Access More Accessible.

Shareholder

Against

For

5.

Adopt a New Shareholder Right - Written Consent

Shareholder

Against

For

6.

Report Concerning Gender/Racial Pay Equity.

Shareholder

Against

For

7.

Review of Statement of the Purpose of a Corporation and Report on Recommended Changes to Governance Documents, Policies, and Practices.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

85,691

10-Mar-2020

10-Mar-2020

AGNC INVESTMENT CORP.

Security

00123Q104

Meeting Type

Annual

Ticker Symbol

AGNC

Meeting Date

23-Apr-2020

ISIN

US00123Q1040

Agenda

935138861 - Management

Record Date

24-Feb-2020

Holding Recon Date

24-Feb-2020

City /

Country

/

United States

Vote Deadline Date

22-Apr-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director: Donna J. Blank

Management

For

For

1.2

Election of Director: Morris A. Davis

Management

For

For

1.3

Election of Director: John D. Fisk

Management

For

For

1.4

Election of Director: Prue B. Larocca

Management

For

For

1.5

Election of Director: Paul E. Mullings

Management

For

For

1.6

Election of Director: Frances R. Spark

Management

For

For

1.7

Election of Director: Gary D. Kain

Management

For

For

2.

Approval of the amendment to our Amended and Restated Certificate of Incorporation to increase the total authorized number of shares of common stock from 900,000,000 to 1,500,000,000.

Management

For

For

3.

Advisory vote to approve the compensation of our named executive officers.

Management

For

For

4.

Ratification of appointment of Ernst & Young LLP as our independent public accountant for the year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

176,100

0

14-Mar-2020

14-Mar-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

30,000

0

14-Mar-2020

14-Mar-2020

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

30-Apr-2020

ISIN

US06759L1035

Agenda

935146046 - Management

Record Date

03-Mar-2020

Holding Recon Date

03-Mar-2020

City /

Country

/

United States

Vote Deadline Date

29-Apr-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class II Director: Michael Freno

Management

For

For

1B.

Election of Class II Director: John A. Switzer

Management

For

For

2.

To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering).

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

202,900

0

17-Mar-2020

17-Mar-2020

ELI LILLY AND COMPANY

Security

532457108

Meeting Type

Annual

Ticker Symbol

LLY

Meeting Date

04-May-2020

ISIN

US5324571083

Agenda

935148937 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

01-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: M. L. Eskew

Management

For

For

1B.

Election of Director: W. G. Kaelin, Jr.

Management

For

For

1C.

Election of Director: D. A. Ricks

Management

For

For

1D.

Election of Director: M. S. Runge

Management

For

For

1E.

Election of Director: K. Walker

Management

For

For

2.

Approval, by non-binding vote, of the compensation paid to the company's named executive officers.

Management

For

For

3.

Ratification of Ernst & Young LLP as the independent auditor for 2020.

Management

For

For

4.

Approve amendments to the Articles of Incorporation to eliminate the classified board structure.

Management

For

For

5.

Approve amendments to the Articles of Incorporation to eliminate supermajority voting provisions.

Management

For

For

6.

Shareholder proposal to disclose direct and indirect lobbying activities and expenditures.

Shareholder

Against

For

7.

Shareholder proposal to publish a report on the effectiveness of the forced swim test.

Shareholder

Against

For

8.

Shareholder proposal to amend the bylaws to require an independent board chair.

Shareholder

Against

For

9.

Shareholder proposal on board diversity requesting disclosures of specific minimum qualifications and board nominee skills, experience, and ideological perspective.

Shareholder

Against

For

10.

Shareholder proposal to publish feasibility report on incorporating public concern over drug prices into senior executive compensation arrangements.

Shareholder

Against

For

11.

Shareholder proposal to implement a bonus deferral policy.

Shareholder

Against

For

12.

Shareholder proposal to disclose clawbacks on executive incentive compensation due to misconduct.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

113

7,300

21-Mar-2020

21-Mar-2020

BAXTER INTERNATIONAL INC.

Security

071813109

Meeting Type

Annual

Ticker Symbol

BAX

Meeting Date

05-May-2020

ISIN

US0718131099

Agenda

935147036 - Management

Record Date

12-Mar-2020

Holding Recon Date

12-Mar-2020

City /

Country

/

United States

Vote Deadline Date

04-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: José (Joe) E. Almeida

Management

For

For

1B.

Election of Director: Thomas F. Chen

Management

For

For

1C.

Election of Director: John D. Forsyth

Management

For

For

1D.

Election of Director: James R. Gavin III

Management

For

For

1E.

Election of Director: Peter S. Hellman

Management

For

For

1F.

Election of Director: Michael F. Mahoney

Management

For

For

1G.

Election of Director: Patricia B. Morrison

Management

For

For

1H.

Election of Director: Stephen N. Oesterle

Management

For

For

1I.

Election of Director: Cathy R. Smith

Management

For

For

1J.

Election of Director: Thomas T. Stallkamp

Management

For

For

1K.

Election of Director: Albert P.L. Stroucken

Management

For

For

1L.

Election of Director: Amy A. Wendell

Management

For

For

2.

Advisory Vote to Approve Named Executive Officer Compensation

Management

For

For

3.

Ratification of Appointment of Independent Registered Public Accounting Firm

Management

For

For

4.

Stockholder Proposal - Independent Board Chairman

Shareholder

Against

For

5.

Stockholder Proposal - Right to Act by Written Consent

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

55,980

0

24-Mar-2020

24-Mar-2020

GILEAD SCIENCES, INC.

Security

375558103

Meeting Type

Annual

Ticker Symbol

GILD

Meeting Date

06-May-2020

ISIN

US3755581036

Agenda

935151883 - Management

Record Date

13-Mar-2020

Holding Recon Date

13-Mar-2020

City /

Country

/

United States

Vote Deadline Date

05-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Jacqueline K. Barton, Ph.D.

Management

For

For

1B.

Election of Director: Sandra J. Horning, M.D.

Management

For

For

1C.

Election of Director: Kelly A. Kramer

Management

For

For

1D.

Election of Director: Kevin E. Lofton

Management

For

For

1E.

Election of Director: Harish Manwani

Management

For

For

1F.

Election of Director: Daniel P. O'Day

Management

For

For

1G.

Election of Director: Richard J. Whitley, M.D.

Management

For

For

1H.

Election of Director: Per Wold-Olsen

Management

For

For

2.

To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2020.

Management

For

For

3.

To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement.

Management

For

For

4.

To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director.

Shareholder

Against

For

5.

To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board eliminate the ownership threshold for stockholders to request a record date to take action by written consent.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

12,000

0

28-Mar-2020

28-Mar-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

1,900

0

28-Mar-2020

28-Mar-2020

COMMUNITY HEALTHCARE TRUST INCORPORATED

Security

20369C106

Meeting Type

Annual

Ticker Symbol

CHCT

Meeting Date

07-May-2020

ISIN

US20369C1062

Agenda

935144523 - Management

Record Date

06-Mar-2020

Holding Recon Date

06-Mar-2020

City /

Country

/

United States

Vote Deadline Date

06-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Alan Gardner

For

For

2

Claire Gulmi

For

For

3

Robert Hensley

For

For

4

Lawrence Van Horn

For

For

5

Timothy Wallace

For

For

2.

To approve, on a non-binding advisory basis, the following resolution: RESOLVED, that the stockholders of Community Healthcare Trust Incorporated approve, on a non-binding advisory basis, the compensation of the named executive officers as disclosed pursuant to Item 402 of Regulation S-K in the Company's proxy statement for the 2020 annual meeting of stockholders.

Management

For

For

3.

To approve, on a non-binding advisory basis, the frequency of a non-binding advisory vote on executive compensation.

Management

3 Years

Against

4.

To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

107,700

0

21-Mar-2020

21-Mar-2020

ZIMMER BIOMET HOLDINGS, INC.

Security

98956P102

Meeting Type

Annual

Ticker Symbol

ZBH

Meeting Date

08-May-2020

ISIN

US98956P1021

Agenda

935151516 - Management

Record Date

09-Mar-2020

Holding Recon Date

09-Mar-2020

City /

Country

/

United States

Vote Deadline Date

07-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Christopher B. Begley

Management

For

For

1B.

Election of Director: Betsy J. Bernard

Management

For

For

1C.

Election of Director: Gail K. Boudreaux

Management

For

For

1D.

Election of Director: Michael J. Farrell

Management

For

For

1E.

Election of Director: Larry C. Glasscock

Management

For

For

1F.

Election of Director: Robert A. Hagemann

Management

For

For

1G.

Election of Director: Bryan C. Hanson

Management

For

For

1H.

Election of Director: Arthur J. Higgins

Management

For

For

1I.

Election of Director: Maria Teresa Hilado

Management

For

For

1J.

Election of Director: Syed Jafry

Management

For

For

1K.

Election of Director: Michael W. Michelson

Management

For

For

2.

Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2020.

Management

For

For

3.

Advisory vote to approve named executive officer compensation (Say on Pay).

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

1,630

0

26-Mar-2020

26-Mar-2020

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

10,140

0

26-Mar-2020

26-Mar-2020

THE GABELLI EQUITY TRUST INC.

Security

362397846

Meeting Type

Annual

Ticker Symbol

GABPRK

Meeting Date

11-May-2020

ISIN

US3623978463

Agenda

935161303 - Management

Record Date

17-Mar-2020

Holding Recon Date

17-Mar-2020

City /

Country

/

United States

Vote Deadline Date

08-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Frank J. Fahrenkopf, Jr

For

For

2

Salvatore J. Zizza

For

For

3

Kuni Nakamura

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

28,000

0

31-Mar-2020

31-Mar-2020

SUN ART RETAIL GROUP LTD

Security

Y8184B109

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

12-May-2020

ISIN

HK0000083920

Agenda

712343083 - Management

Record Date

06-May-2020

Holding Recon Date

06-May-2020

City /

Country

HONG KONG

/

Hong Kong

Vote Deadline Date

06-May-2020

SEDOL(s)

B3MPN59 - B42WXJ1 - B7N39Y1 - BD8NN79 - BP3RYP5

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE.

Non-Voting

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0403/2020040300917.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0403/2020040300877.pdf

Non-Voting

1

TO RECEIVE THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND THE REPORTS OF THE DIRECTORS (THE "DIRECTORS") AND AUDITORS FOR THE YEAR ENDED 31 DECEMBER 2019

Management

For

For

2

TO DECLARE A FINAL DIVIDEND OF HKD 0.15 PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2019

Management

For

For

3.A

TO RE-ELECT MR. HUANG MING-TUAN AS AN EXECUTIVE DIRECTOR

Management

For

For

3.B

TO RE-ELECT MR. XAVIER, MARIE, ALAIN DELOM DE MEZERAC AS A NON-EXECUTIVE DIRECTOR

Management

For

For

3.C

TO RE-ELECT MR. BENOIT, CLAUDE, FRANCOIS, MARIE, JOSEPH LECLERCQ AS A NON-EXECUTIVE DIRECTOR

Management

For

For

3.D

TO RE-ELECT MRS. ISABELLE, CLAUDINE, FRANCOISE BLONDE EP. BOUVIER AS A NON- EXECUTIVE DIRECTOR

Management

For

For

3.E

TO RE-ELECT MR. HE YI AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR

Management

For

For

3.F

TO RE-ELECT MR. DIETER YIH AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.G

TO AUTHORIZE THE BOARD OF DIRECTORS (THE "BOARD") TO FIX THE RESPECTIVE DIRECTORS' REMUNERATION

Management

For

For

4

TO RE-APPOINT KPMG AS AUDITORS AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION

Management

For

For

5

TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION

Management

For

For

6

TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION

Management

For

For

7

TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES BOUGHT BACK BY THE COMPANY

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

836,000

0

07-Apr-2020

07-Apr-2020

TENCENT HOLDINGS LTD

Security

G87572163

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

13-May-2020

ISIN

KYG875721634

Agenda

712379583 - Management

Record Date

07-May-2020

Holding Recon Date

07-May-2020

City /

Country

HONG KONG

/

Cayman Islands

Vote Deadline Date

06-May-2020

SEDOL(s)

BDDXGP3 - BGPHZF7 - BMN9869 - BMNDJT1

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0407/2020040701452.pdf,

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

1

TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS, THE DIRECTORS' REPORT AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2019

Management

For

For

2

TO DECLARE A FINAL DIVIDEND

Management

For

For

3.A

TO RE-ELECT MR LAU CHI PING MARTIN AS DIRECTOR

Management

For

For

3.B

TO RE-ELECT MR CHARLES ST LEGER SEARLE AS DIRECTOR

Management

For

For

3.C

TO RE-ELECT PROFESSOR KE YANG AS DIRECTOR

Management

For

For

3.D

TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION

Management

For

For

4

TO RE-APPOINT AUDITOR AND AUTHORISE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION

Management

For

For

5

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES

Management

For

For

6

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES

Management

For

For

7

TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED

Management

For

For

8

TO APPROVE THE PROPOSED AMENDMENTS TO THE EXISTING AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION AND ARTICLES OF ASSOCIATION OF THE COMPANY AND TO ADOPT THE SECOND AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION AND ARTICLES OF ASSOCIATION OF THE COMPANY

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

27,100

0

10-Apr-2020

10-Apr-2020

AMERICAN INTERNATIONAL GROUP, INC.

Security

026874784

Meeting Type

Annual

Ticker Symbol

AIG

Meeting Date

13-May-2020

ISIN

US0268747849

Agenda

935159877 - Management

Record Date

18-Mar-2020

Holding Recon Date

18-Mar-2020

City /

Country

/

United States

Vote Deadline Date

12-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: W. DON CORNWELL

Management

For

For

1B.

Election of Director: BRIAN DUPERREAULT

Management

For

For

1C.

Election of Director: JOHN H. FITZPATRICK

Management

For

For

1D.

Election of Director: WILLIAM G. JURGENSEN

Management

For

For

1E.

Election of Director: CHRISTOPHER S. LYNCH

Management

For

For

1F.

Election of Director: HENRY S. MILLER

Management

For

For

1G.

Election of Director: LINDA A. MILLS

Management

For

For

1H.

Election of Director: THOMAS F. MOTAMED

Management

For

For

1I.

Election of Director: PETER R. PORRINO

Management

For

For

1J.

Election of Director: AMY L. SCHIOLDAGER

Management

For

For

1K.

Election of Director: DOUGLAS M. STEENLAND

Management

For

For

1L.

Election of Director: THERESE M. VAUGHAN

Management

For

For

2.

To vote, on a non-binding advisory basis, to approve executive compensation.

Management

For

For

3.

To act upon a proposal to amend and restate AIG's Amended and Restated Certificate of Incorporation to restrict certain transfers of AIG Common Stock in order to protect AIG's tax attributes.

Management

For

For

4.

To act upon a proposal to ratify the amendment to extend the expiration of the American International Group, Inc. Tax Asset Protection Plan.

Management

For

For

5.

To act upon a proposal to ratify the selection of PricewaterhouseCoopers LLP as AIG's independent registered public accounting firm for 2020.

Management

For

For

6.

To vote on a shareholder proposal to give shareholders who hold at least 10 percent of AIG's outstanding common stock the right to call special meetings.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

13,500

17,400

01-Apr-2020

01-Apr-2020

SERVICE CORPORATION INTERNATIONAL

Security

817565104

Meeting Type

Annual

Ticker Symbol

SCI

Meeting Date

13-May-2020

ISIN

US8175651046

Agenda

935160046 - Management

Record Date

16-Mar-2020

Holding Recon Date

16-Mar-2020

City /

Country

/

United States

Vote Deadline Date

12-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Alan R. Buckwalter

Management

For

For

1B.

Election of Director: Jakki L. Haussler

Management

For

For

1C.

Election of Director: Victor L. Lund

Management

For

For

1D.

Election of Director: Clifton H. Morris, Jr.

Management

For

For

1E.

Election of Director: Ellen Ochoa

Management

��

For

For

1F.

Election of Director: Thomas L. Ryan

Management

For

For

1G.

Election of Director: W. Blair Waltrip

Management

For

For

2.

Ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year ending December 31, 2020.

Management

For

For

3.

To approve, by advisory vote, named executive officer compensation.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

19,200

31-Mar-2020

31-Mar-2020

INTEL CORPORATION

Security

458140100

Meeting Type

Annual

Ticker Symbol

INTC

Meeting Date

14-May-2020

ISIN

US4581401001

Agenda

935158635 - Management

Record Date

16-Mar-2020

Holding Recon Date

16-Mar-2020

City /

Country

/

United States

Vote Deadline Date

13-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: James J. Goetz

Management

For

For

1B.

Election of Director: Alyssa Henry

Management

For

For

1C.

Election of Director: Omar Ishrak

Management

For

For

1D.

Election of Director: Risa Lavizzo-Mourey

Management

For

For

1E.

Election of Director: Tsu-Jae King Liu

Management

For

For

1F.

Election of Director: Gregory D. Smith

Management

For

For

1G.

Election of Director: Robert ("Bob") H. Swan

Management

For

For

1H.

Election of Director: Andrew Wilson

Management

For

For

1I.

Election of Director: Frank D. Yeary

Management

For

For

2.

Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2020

Management

For

For

3.

Advisory vote to approve executive compensation of our listed officers

Management

For

For

4.

Approval of amendment and restatement of the 2006 Employee Stock Purchase Plan

Management

For

For

5.

Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting

Shareholder

Against

For

6.

Stockholder proposal requesting a report on the global median gender/racial pay gap, if properly presented at the meeting

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

14,100

0

01-Apr-2020

01-Apr-2020

SBA COMMUNICATIONS CORPORATION

Security

78410G104

Meeting Type

Annual

Ticker Symbol

SBAC

Meeting Date

14-May-2020

ISIN

US78410G1040

Agenda

935159221 - Management

Record Date

12-Mar-2020

Holding Recon Date

12-Mar-2020

City /

Country

/

United States

Vote Deadline Date

13-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director For a three-year term expiring at the 2023 Annual Meeting: Steven E. Bernstein

Management

For

For

1.2

Election of Director For a three-year term expiring at the 2023 Annual Meeting: Duncan H. Cocroft

Management

For

For

1.3

Election of Director For a three-year term expiring at the 2023 Annual Meeting: Fidelma Russo

Management

For

For

2.

Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2020 fiscal year.

Management

For

For

3.

Approval, on an advisory basis, of the compensation of SBA's named executive officers.

Management

For

For

4.

Approval of the 2020 Performance and Equity Incentive Plan.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

4,560

0

04-Apr-2020

04-Apr-2020

PENNYMAC MORTGAGE INVESTMENT TRUST

Security

70931T103

Meeting Type

Annual

Ticker Symbol

PMT

Meeting Date

14-May-2020

ISIN

US70931T1034

Agenda

935166733 - Management

Record Date

16-Mar-2020

Holding Recon Date

16-Mar-2020

City /

Country

/

United States

Vote Deadline Date

13-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Preston DuFauchard

Management

For

For

1B.

Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Nancy McAllister

Management

For

For

1C.

Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Stacey D. Stewart

Management

For

For

2.

To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2020.

Management

For

For

3.

To approve, by non-binding vote, our executive compensation.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

103,900

0

04-Apr-2020

04-Apr-2020

JPMORGAN CHASE & CO.

Security

46625H100

Meeting Type

Annual

Ticker Symbol

JPM

Meeting Date

19-May-2020

ISIN

US46625H1005

Agenda

935170833 - Management

Record Date

20-Mar-2020

Holding Recon Date

20-Mar-2020

City /

Country

/

United States

Vote Deadline Date

18-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Linda B. Bammann

Management

For

For

1B.

Election of Director: Stephen B. Burke

Management

For

For

1C.

Election of Director: Todd A. Combs

Management

For

For

1D.

Election of Director: James S. Crown

Management

For

For

1E.

Election of Director: James Dimon

Management

For

For

1F.

Election of Director: Timothy P. Flynn

Management

For

For

1G.

Election of Director: Mellody Hobson

Management

For

For

1H.

Election of Director: Michael A. Neal

Management

For

For

1I.

Election of Director: Lee R. Raymond

Management

For

For

1J.

Election of Director: Virginia M. Rometty

Management

For

For

2.

Advisory resolution to approve executive compensation

Management

For

For

3.

Ratification of independent registered public accounting firm

Management

For

For

4.

Independent board chairman

Shareholder

Against

For

5.

Oil and gas company and project financing related to the Arctic and the Canadian oil sands

Shareholder

Against

For

6.

Climate change risk reporting

Shareholder

Against

For

7.

Amend shareholder written consent provisions

Shareholder

Against

For

8.

Charitable contributions disclosure

Shareholder

Against

For

9.

Gender/Racial pay equity

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

17,400

07-Apr-2020

07-Apr-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

3,000

0

07-Apr-2020

07-Apr-2020

AMGEN INC.

Security

031162100

Meeting Type

Annual

Ticker Symbol

AMGN

Meeting Date

19-May-2020

ISIN

US0311621009

Agenda

935172419 - Management

Record Date

20-Mar-2020

Holding Recon Date

20-Mar-2020

City /

Country

/

United States

Vote Deadline Date

18-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Dr. Wanda M. Austin

Management

For

For

1B.

Election of Director: Mr. Robert A. Bradway

Management

For

For

1C.

Election of Director: Dr. Brian J. Druker

Management

For

For

1D.

Election of Director: Mr. Robert A. Eckert

Management

For

For

1E.

Election of Director: Mr. Greg C. Garland

Management

For

For

1F.

Election of Director: Mr. Fred Hassan

Management

For

For

1G.

Election of Director: Mr. Charles M. Holley, Jr.

Management

For

For

1H.

Election of Director: Dr. Tyler Jacks

Management

For

For

1I.

Election of Director: Ms. Ellen J. Kullman

Management

For

For

1J.

Election of Director: Dr. Ronald D. Sugar

Management

For

For

1K.

Election of Director: Dr. R. Sanders Williams

Management

For

For

2.

Advisory vote to approve our executive compensation.

Management

For

For

3.

To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2020.

Management

For

For

4.

Stockholder proposal to require an independent board chair.

Shareholder

Against

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

104

16,500

08-Apr-2020

08-Apr-2020

ZOETIS INC.

Security

98978V103

Meeting Type

Annual

Ticker Symbol

ZTS

Meeting Date

20-May-2020

ISIN

US98978V1035

Agenda

935169905 - 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

For/Against Management

1A.

Election of Director: Gregory Norden

Management

For

For

1B.

Election of Director: Louise M. Parent

Management

For

For

1C.

Election of Director: Kristin C. Peck

Management

For

For

1D.

Election of Director: Robert W. Scully

Management

For

For

2.

Advisory vote to approve our executive compensation (Say on Pay).

Management

For

For

3.

Advisory vote on the frequency of future advisory votes on executive compensation (Say on Pay frequency).

Management

3 Years

Against

4.

Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

2,350

6,200

07-Apr-2020

07-Apr-2020

THERMO FISHER SCIENTIFIC INC.

Security

883556102

Meeting Type

Annual

Ticker Symbol

TMO

Meeting Date

20-May-2020

ISIN

US8835561023

Agenda

935170136 - Management

Record Date

27-Mar-2020

Holding Recon Date

27-Mar-2020

City /

Country

/

United States

Vote Deadline Date

19-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Marc N. Casper

Management

For

For

1B.

Election of Director: Nelson J. Chai

Management

For

For

1C.

Election of Director: C. Martin Harris

Management

For

For

1D.

Election of Director: Tyler Jacks

Management

For

For

1E.

Election of Director: Judy C. Lewent

Management

For

For

1F.

Election of Director: Thomas J. Lynch

Management

For

For

1G.

Election of Director: Jim P. Manzi

Management

For

For

1H.

Election of Director: James C. Mullen

Management

For

For

1I.

Election of Director: Lars R. Sørensen

Management

For

For

1J.

Election of Director: Debora L. Spar

Management

For

For

1K.

Election of Director: Scott M. Sperling

Management

For

For

1L.

Election of Director: Dion J. Weisler

Management

For

For

2.

An advisory vote to approve named executive officer compensation.

Management

For

For

3.

Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

2,145

0

08-Apr-2020

08-Apr-2020

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

1,006

08-Apr-2020

08-Apr-2020

EQUITABLE HOLDINGS, INC.

Security

29452E101

Meeting Type

Annual

Ticker Symbol

EQH

Meeting Date

20-May-2020

ISIN

US29452E1010

Agenda

935172229 - Management

Record Date

23-Mar-2020

Holding Recon Date

23-Mar-2020

City /

Country

/

United States

Vote Deadline Date

19-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Daniel G. Kaye

For

For

2

Joan Lamm-Tennant

For

For

3

Kristi A. Matus

For

For

4

Ramon de Oliveira

For

For

5

Mark Pearson

For

For

6

Bertram L. Scott

For

For

7

George Stansfield

For

For

8

Charles G.T. Stonehill

For

For

2.

Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year 2020.

Management

For

For

3.

Advisory vote to approve the compensation paid to the Company's named executive officers.

Management

For

For

4.

Approval of an amendment of the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

34,300

0

09-Apr-2020

09-Apr-2020

PENNYMAC FINANCIAL SERVICES INC.

Security

70932M107

Meeting Type

Annual

Ticker Symbol

PFSI

Meeting Date

28-May-2020

ISIN

US70932M1071

Agenda

935176164 - Management

Record Date

30-Mar-2020

Holding Recon Date

30-Mar-2020

City /

Country

/

United States

Vote Deadline Date

27-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director for a one-year term: Stanford L. Kurland

Management

For

For

1B.

Election of Director for a one-year term: David A. Spector

Management

For

For

1C.

Election of Director for a one-year term: Anne D. McCallion

Management

For

For

1D.

Election of Director for a one-year term: Matthew Botein

Management

For

For

1E.

Election of Director for a one-year term: James K. Hunt

Management

For

For

1F.

Election of Director for a one-year term: Patrick Kinsella

Management

For

For

1G.

Election of Director for a one-year term: Joseph Mazzella

Management

For

For

1H.

Election of Director for a one-year term: Farhad Nanji

Management

For

For

1I.

Election of Director for a one-year term: Jeffrey A. Perlowitz

Management

For

For

1J.

Election of Director for a one-year term: Theodore W. Tozer

Management

For

For

1K.

Election of Director for a one-year term: Emily Youssouf

Management

For

For

2.

To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2020.

Management

For

For

3.

To approve, by non-binding vote, our executive compensation.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

39,400

0

09-Apr-2020

09-Apr-2020

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

62,000

09-Apr-2020

09-Apr-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

15,000

0

09-Apr-2020

09-Apr-2020

TPG SPECIALTY LENDING, INC.

Security

87265K102

Meeting Type

Special

Ticker Symbol

TSLX

Meeting Date

28-May-2020

ISIN

US87265K1025

Agenda

935183335 - Management

Record Date

30-Mar-2020

Holding Recon Date

30-Mar-2020

City /

Country

/

United States

Vote Deadline Date

27-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve a proposal to authorize the Company to sell or otherwise issue shares of its common stock at a price below its then-current net asset value per share in one or more offerings, in each case subject to the approval of its Board of Directors and subject to the conditions set forth in the accompanying proxy statement.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

42,000

0

18-Apr-2020

18-Apr-2020

TPG SPECIALTY LENDING, INC.

Security

87265K102

Meeting Type

Annual

Ticker Symbol

TSLX

Meeting Date

28-May-2020

ISIN

US87265K1025

Agenda

935185175 - Management

Record Date

30-Mar-2020

Holding Recon Date

30-Mar-2020

City /

Country

/

United States

Vote Deadline Date

27-May-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Hurley Doddy

For

For

2

Joshua Easterly

For

For

3

Michael Fishman

For

For

2.

To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

42,000

0

18-Apr-2020

18-Apr-2020

NVIDIA CORPORATION

Security

67066G104

Meeting Type

Annual

Ticker Symbol

NVDA

Meeting Date

09-Jun-2020

ISIN

US67066G1040

Agenda

935196445 - 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

For/Against Management

1A.

Election of Director: Robert K. Burgess

Management

For

For

1B.

Election of Director: Tench Coxe

Management

For

For

1C.

Election of Director: Persis S. Drell

Management

For

For

1D.

Election of Director: Jen-Hsun Huang

Management

For

For

1E.

Election of Director: Dawn Hudson

Management

For

For

1F.

Election of Director: Harvey C. Jones

Management

For

For

1G.

Election of Director: Michael G. McCaffery

Management

For

For

1H.

Election of Director: Stephen C. Neal

Management

For

For

1I.

Election of Director: Mark L. Perry

Management

For

For

1J.

Election of Director: A. Brooke Seawell

Management

For

For

1K.

Election of Director: Mark A. Stevens

Management

For

For

2.

Approval of our executive compensation.

Management

For

For

3.

Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021.

Management

For

For

4.

Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan.

Management

For

For

5.

Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

1,400

0

30-Apr-2020

30-Apr-2020

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

3,060

0

30-Apr-2020

30-Apr-2020

SCORPIO TANKERS INC.

Security

Y7542C130

Meeting Type

Annual

Ticker Symbol

STNG

Meeting Date

09-Jun-2020

ISIN

MHY7542C1306

Agenda

935204519 - Management

Record Date

20-Apr-2020

Holding Recon Date

20-Apr-2020

City /

Country

/

United States

Vote Deadline Date

08-Jun-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Emanuele A. Lauro

For

For

2

Ademaro Lanzara

For

For

3

Merrick Rayner

For

For

2.

To ratify the appointment of PricewaterhouseCoopers Audit as the Company's independent auditors for the fiscal year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

21,800

0

01-May-2020

01-May-2020

SILERGY CORP

Security

G8190F102

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

11-Jun-2020

ISIN

KYG8190F1028

Agenda

712627706 - Management

Record Date

10-Apr-2020

Holding Recon Date

10-Apr-2020

City /

Country

TAIPEI

/

Cayman Islands

Vote Deadline Date

03-Jun-2020

SEDOL(s)

BH4DMW9 - BHCKTR6

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

TO ACCEPT 2019 BUSINESS REPORT AND CONSOLIDATED FINANCIAL STATEMENTS.

Management

For

For

2

TO ACCEPT THE PROPOSAL FOR THE DISTRIBUTION OF 2019 EARNINGS.PROPOSED CASH DIVIDEND :TWD 7.5 PER SHARE.

Management

For

For

3

TO APPROVE THE AMENDMENTS TO THE MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY.

Management

For

For

4

TO APPROVE THE ISSUANCE OF NEW EMPLOYEE RESTRICTED SHARES.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

19,940

0

12-May-2020

12-May-2020

LI NING COMPANY LTD

Security

G5496K124

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

12-Jun-2020

ISIN

KYG5496K1242

Agenda

712476250 - Management

Record Date

08-Jun-2020

Holding Recon Date

08-Jun-2020

City /

Country

HONG KONG

/

Cayman Islands

Vote Deadline Date

05-Jun-2020

SEDOL(s)

B01JCK9 - B01QJZ4 - BD8GFX8 - BGKFJW1 - BHNBYS4

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

CMMT

PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0420/2020042000612.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0420/2020042000650.pdf

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING

Non-Voting

1

TO RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS AND REPORTS OF THE DIRECTORS AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2019

Management

For

For

2

TO DECLARE A FINAL DIVIDEND FOR THE YEAR ENDED 31 DECEMBER 2019

Management

For

For

3.I.A

TO RE-ELECT MR. KOSAKA TAKESHI AS AN EXECUTIVE DIRECTOR OF THE COMPANY (THE "DIRECTOR")

Management

For

For

3.I.B

TO RE-ELECT MS. WANG YA FEI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.I.C

TO RE-ELECT DR. CHAN CHUNG BUN, BUNNY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

Management

For

For

3.II

TO AUTHORISE THE BOARD OF DIRECTORS (THE "BOARD") TO FIX THE DIRECTORS' REMUNERATION

Management

For

For

4

TO RE-APPOINT MESSRS. PRICEWATERHOUSECOOPERS, CERTIFIED PUBLIC ACCOUNTANTS, AS THE AUDITOR OF THE COMPANY AND TO AUTHORISE THE BOARD TO FIX THEIR REMUNERATION

Management

For

For

5

TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY ("SHARES")

Management

For

For

6

TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES

Management

For

For

7

TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS UNDER RESOLUTION NO. 5 BY ADDING THE SHARES REPURCHASED BY THE COMPANY PURSUANT TO THE GENERAL MANDATE GRANTED TO THE DIRECTORS UNDER RESOLUTION NO. 6

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

GLV

STATE STREET BANK

225,000

0

23-Apr-2020

23-Apr-2020

MASTERCARD INCORPORATED

Security

57636Q104

Meeting Type

Annual

Ticker Symbol

MA

Meeting Date

16-Jun-2020

ISIN

US57636Q1040

Agenda

935196332 - Management

Record Date

20-Apr-2020

Holding Recon Date

20-Apr-2020

City /

Country

/

United States

Vote Deadline Date

15-Jun-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Richard Haythornthwaite

Management

For

For

1B.

Election of Director: Ajay Banga

Management

For

For

1C.

Election of Director: Richard K. Davis

Management

For

For

1D.

Election of Director: Steven J. Freiberg

Management

For

For

1E.

Election of Director: Julius Genachowski

Management

For

For

1F.

Election of Director: Choon Phong Goh

Management

For

For

1G.

Election of Director: Merit E. Janow

Management

For

For

1H.

Election of Director: Oki Matsumoto

Management

For

For

1I.

Election of Director: Youngme Moon

Management

For

For

1J.

Election of Director: Rima Qureshi

Management

For

For

1K.

Election of Director: José Octavio Reyes Lagunes

Management

For

For

1L.

Election of Director: Gabrielle Sulzberger

Management

For

For

1M.

Election of Director: Jackson Tai

Management

For

For

1N.

Election of Director: Lance Uggla

Management

For

For

2.

Advisory approval of Mastercard's executive compensation

Management

For

For

3.

Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2020

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

8,749

0

30-Apr-2020

30-Apr-2020

ARES CAPITAL CORPORATION

Security

04010L103

Meeting Type

Annual

Ticker Symbol

ARCC

Meeting Date

22-Jun-2020

ISIN

US04010L1035

Agenda

935167999 - Management

Record Date

25-Mar-2020

Holding Recon Date

25-Mar-2020

City /

Country

/

United States

Vote Deadline Date

19-Jun-2020

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1A.

Election of Director: Michael J Arougheti

Management

For

For

1B.

Election of Director: Ann Torre Bates

Management

For

For

1C.

Election of Director: Steven B McKeever

Management

For

For

2.

To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020.

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

17,200

0

03-Apr-2020

03-Apr-2020

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

34,650

0

03-Apr-2020

03-Apr-2020

-2- 

SIGNATURE

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.

Clough Dividend and Income Fund
By:	/s/ Bradley J. Swenson
	Bradley J. Swenson
	President
Date:	August 17, 2020

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