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:(303) 623-2577

Date of fiscal year end:October 31

Date of reporting period:July 1, 2018 – June 30, 2019

Item 1 – Proxy Voting Record.

Vote Summary

LIBERTY ALL-STAR EQUITY FUND

Security

530158104

Meeting Type

Annual

Ticker Symbol

USA

Meeting Date

23-Aug-2018

ISIN

US5301581048

Agenda

934856569 - Management

Record Date

11-Jun-2018

Holding Recon Date

11-Jun-2018

City /

Country

/

United States

Vote Deadline Date

22-Aug-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

John A. Benning

For

For

2

Maureen Usifer

For

For

3

Edmund J. Burke

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

63,200

0

11-Jul-2018

24-Aug-2018

ASHTEAD GROUP PLC

Security

G05320109

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

11-Sep-2018

ISIN

GB0000536739

Agenda

709783193 - Management

Record Date

Holding Recon Date

07-Sep-2018

City /

Country

LONDON

/

United Kingdom

Vote Deadline Date

05-Sep-2018

SEDOL(s)

0053673 - B02S5X9 - B630X21

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1

RECEIVING REPORT AND ACCOUNTS

Management

For

For

2

APPROVAL OF THE DIRECTORS REMUNERATION REPORT (EXCLUDING REMUNERATION POLICY)

Management

For

For

3

DECLARATION OF A FINAL DIVIDEND: 27.5 PENCE PER ORDINARY SHARE

Management

For

For

4

RE-ELECTION OF GEOFF DRABBLE

Management

For

For

5

RE-ELECTION OF BRENDAN HORGAN

Management

For

For

6

ELECTION OF MICHAEL PRATT

Management

For

For

7

RE-ELECTION OF IAN SUTCLIFFE

Management

For

For

8

RE-ELECTION OF LUCINDA RICHES

Management

For

For

9

RE-ELECTION OF TANYA FRATTO

Management

For

For

10

RE-ELECTION OF PAUL WALKER

Management

For

For

11

REAPPOINTMENT OF AUDITOR: DELOITTE LLP

Management

For

For

12

AUTHORITY TO SET THE REMUNERATION OF THE AUDITOR

Management

For

For

13

DIRECTORS AUTHORITY TO ALLOT SHARES

Management

For

For

14

DISAPPLICATION OF PRE-EMPTION RIGHTS

Management

For

For

15

ADDITIONAL DISAPPLICATION OF PRE-EMPTION RIGHTS

Management

For

For

16

AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN SHARES

Management

For

For

17

NOTICE PERIOD FOR GENERAL MEETINGS

Management

For

For

CMMT

24 JUL 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT IN RESOLUTION 3 AND 11. 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

AL27

STATE STREET BANK

51,689

0

24-Jul-2018

05-Sep-2018

TPG SPECIALTY LENDING, INC.

Security

87265K102

Meeting Type

Special

Ticker Symbol

TSLX

Meeting Date

08-Oct-2018

ISIN

US87265K1025

Agenda

934871725 - Management

Record Date

21-Aug-2018

Holding Recon Date

21-Aug-2018

City /

Country

/

United States

Vote Deadline Date

05-Oct-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

To approve the application to the Company of a minimum asset coverage ratio of 150%, pursuant to Section 61 (a)(2) of the Investment Company Act of 1940, as amended, to become effective the date after the Special Meeting, which would permit the Company to double the maximum amount of leverage that it is permitted to incur.

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

68,300

0

28-Aug-2018

09-Oct-2018

SOLAR CAPITAL LTD

Security

83413U100

Meeting Type

Annual

Ticker Symbol

SLRC

Meeting Date

11-Oct-2018

ISIN

US83413U1007

Agenda

934871066 - Management

Record Date

16-Aug-2018

Holding Recon Date

16-Aug-2018

City /

Country

/

United States

Vote Deadline Date

10-Oct-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Michael S. Gross

For

For

2

Leonard A. Potter

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

3.

To approve of Solar Capital Ltd. immediately becoming subject to a minimum asset coverage ratio of at least 150%, permitting Solar Capital Ltd. to double its amount of debt incurrence earlier than the current effective date of August 2, 2019, pursuant to the Small Business Credit Availability Act

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

89,700

0

25-Aug-2018

12-Oct-2018

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

4,200

0

25-Aug-2018

12-Oct-2018

BLACKROCK LIQUIDITY FUNDS

Security

09248U718

Meeting Type

Special

Ticker Symbol

TSTXX

Meeting Date

21-Nov-2018

ISIN

US09248U7182

Agenda

934885724 - Management

Record Date

24-Sep-2018

Holding Recon Date

24-Sep-2018

City /

Country

/

United States

Vote Deadline Date

20-Nov-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

DIRECTOR

Management

1

Bruce R. Bond

For

For

2

Susan J. Carter

For

For

3

Collette Chilton

For

For

4

Neil A. Cotty

For

For

5

Robert Fairbairn

For

For

6

Lena G. Goldberg

For

For

7

Robert M. Hernandez

For

For

8

Henry R. Keizer

For

For

9

Cynthia A. Montgomery

For

For

10

Donald C. Opatrny

For

For

11

John M. Perlowski

For

For

12

Joseph P. Platt

For

For

13

Mark Stalnecker

For

For

14

Kenneth L. Urish

For

For

15

Claire A. Walton

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

3,290,030

0

30-Oct-2018

30-Oct-2018

MICROSOFT CORPORATION

Security

594918104

Meeting Type

Annual

Ticker Symbol

MSFT

Meeting Date

28-Nov-2018

ISIN

US5949181045

Agenda

934884544 - Management

Record Date

26-Sep-2018

Holding Recon Date

26-Sep-2018

City /

Country

/

United States

Vote Deadline Date

27-Nov-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: William H. Gates lll

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: Charles H. Noski

Management

For

For

1g.

Election of Director: Helmut Panke

Management

For

For

1h.

Election of Director: Sandra E. Peterson

Management

For

For

1i.

Election of Director: Penny S. Pritzker

Management

For

For

1j.

Election of Director: Charles W. Scharf

Management

For

For

1k.

Election of Director: Arne M. Sorenson

Management

For

For

1l.

Election of Director: John W. Stanton

Management

For

For

1m.

Election of Director: John W. Thompson

Management

For

For

1n.

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 2019

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

30,100

17-Oct-2018

29-Nov-2018

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

21,900

0

17-Oct-2018

29-Nov-2018

CISCO SYSTEMS, INC.

Security

17275R102

Meeting Type

Annual

Ticker Symbol

CSCO

Meeting Date

12-Dec-2018

ISIN

US17275R1023

Agenda

934891614 - Management

Record Date

15-Oct-2018

Holding Recon Date

15-Oct-2018

City /

Country

/

United States

Vote Deadline Date

11-Dec-2018

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: M. Michele Burns

Management

For

For

1b.

Election of Director: Michael D. Capellas

Management

For

For

1c.

Election of Director: Mark Garrett

Management

For

For

1d.

Election of Director: Dr. Kristina M. Johnson

Management

For

For

1e.

Election of Director: Roderick C. McGeary

Management

For

For

1f.

Election of Director: Charles H. Robbins

Management

For

For

1g.

Election of Director: Arun Sarin

Management

For

For

1h.

Election of Director: Brenton L. Saunders

Management

For

For

1i.

Election of Director: Steven M. West

Management

For

For

2.

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

Management

For

For

3.

Approval, on an advisory basis, of executive compensation.

Management

For

For

4.

Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2019.

Management

For

For

5.

Approval to have Cisco's Board adopt a policy to have an independent Board chairman.

Shareholder

Against

For

6.

Approval to have Cisco's Board adopt a proposal relating to executive compensation metrics.

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

17,100

25-Oct-2018

13-Dec-2018

PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD.

Security

Y69790106

Meeting Type

ExtraOrdinary General Meeting

Ticker Symbol

Meeting Date

14-Dec-2018

ISIN

CNE1000003X6

Agenda

710152682 - Management

Record Date

13-Nov-2018

Holding Recon Date

13-Nov-2018

City /

Country

GUANGD ONG

/

China

Vote Deadline Date

10-Dec-2018

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:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291205.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291197.PDF

Non-Voting

1.1

TO CONSIDER AND APPROVE THE ELECTION OF MR. NG SING YIP AS AN INDEPENDENT NON- 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 MR. CHU YIYUN AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD

Management

For

For

1.3

TO CONSIDER AND APPROVE THE ELECTION OF MR. LIU HONG AS AN INDEPENDENT NON- 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 IMPLEMENTATION OF THE LONG- TERM SERVICE PLAN

Management

For

For

3

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

Management

For

For

4

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

Management

For

For

5

TO CONSIDER AND APPROVE THE PLAN REGARDING SHARE BUY-BACK AND RELEVANT AUTHORIZATION

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

AL27

STATE STREET BANK

163,000

0

01-Nov-2018

11-Dec-2018

D.R. HORTON, INC.

Security

23331A109

Meeting Type

Annual

Ticker Symbol

DHI

Meeting Date

23-Jan-2019

ISIN

US23331A1097

Agenda

934915490 - Management

Record Date

26-Nov-2018

Holding Recon Date

26-Nov-2018

City /

Country

/

United States

Vote Deadline Date

22-Jan-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Donald R. Horton

Management

For

For

1b.

Election of Director: Barbara K. Allen

Management

For

For

1c.

Election of Director: Brad S. Anderson

Management

For

For

1d.

Election of Director: Michael R. Buchanan

Management

For

For

1e.

Election of Director: Michael W. Hewatt

Management

For

For

2.

Approval of the advisory resolution on executive compensation.

Management

For

For

3.

Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm.

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

126

24,900

21-Dec-2018

24-Jan-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

200

0

21-Dec-2018

24-Jan-2019

VISA INC.

Security

92826C839

Meeting Type

Annual

Ticker Symbol

V

Meeting Date

29-Jan-2019

ISIN

US92826C8394

Agenda

934911074 - Management

Record Date

30-Nov-2018

Holding Recon Date

30-Nov-2018

City /

Country

/

United States

Vote Deadline Date

28-Jan-2019

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 Fernandez-Carbajal

Management

For

For

1d.

Election of Director: Alfred F. Kelly, Jr.

Management

For

For

1e.

Election of Director: John F. Lundgren

Management

For

For

1f.

Election of Director: Robert W. Matschullat

Management

For

For

1g.

Election of Director: Denise M. Morrison

Management

For

For

1h.

Election of Director: Suzanne Nora Johnson

Management

For

For

1i.

Election of Director: John A. C. Swainson

Management

For

For

1j.

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 2019 fiscal year.

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

1,000

0

19-Dec-2018

30-Jan-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

16,000

0

19-Dec-2018

30-Jan-2019

GOLUB CAPITAL BDC, INC.

Security

38173M102

Meeting Type

Annual

Ticker Symbol

GBDC

Meeting Date

05-Feb-2019

ISIN

US38173M1027

Agenda

934915844 - Management

Record Date

12-Dec-2018

Holding Recon Date

12-Dec-2018

City /

Country

/

United States

Vote Deadline Date

04-Feb-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Class III Director: Lawrence E. Golub

Management

For

For

1b.

Election of Class III Director: William M. Webster IV

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, 2019.

Management

For

For

3.

To approve the Company becoming subject to the minimum asset coverage ratio under the Small Business Credit Availability Act of at least 150%, which would permit the Company to double the maximum amount of leverage that it is currently permitted to incur.

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

89,700

0

21-Dec-2018

06-Feb-2019

WELLS FARGO ADV MULTI SECTOR INC FUND

Security

94987D101

Meeting Type

Annual

Ticker Symbol

ERC

Meeting Date

11-Feb-2019

ISIN

US94987D1019

Agenda

934918155 - Management

Record Date

07-Dec-2018

Holding Recon Date

07-Dec-2018

City /

Country

/

United States

Vote Deadline Date

08-Feb-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Timothy J. Penny

For

For

2

James G. Polisson

For

For

3

Pamela Wheelock

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

17,807

0

03-Jan-2019

12-Feb-2019

DOUBLELINE INCOME SOLUTIONS FUND

Security

258622109

Meeting Type

Annual

Ticker Symbol

DSL

Meeting Date

22-Feb-2019

ISIN

US2586221093

Agenda

934922546 - Management

Record Date

21-Dec-2018

Holding Recon Date

21-Dec-2018

City /

Country

/

United States

Vote Deadline Date

21-Feb-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Class III Trustee: Joseph Ciprari

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

27,800

0

24-Jan-2019

25-Feb-2019

KKR INCOME OPPORTUNITIES FUND

Security

48249T106

Meeting Type

Annual

Ticker Symbol

KIO

Meeting Date

21-Mar-2019

ISIN

US48249T1060

Agenda

934931331 - Management

Record Date

01-Feb-2019

Holding Recon Date

01-Feb-2019

City /

Country

/

United States

Vote Deadline Date

20-Mar-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Tobin V. Levy

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

4,800

0

23-Feb-2019

22-Mar-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

10,200

0

23-Feb-2019

22-Mar-2019

BROADCOM INC

Security

11135F101

Meeting Type

Annual

Ticker Symbol

AVGO

Meeting Date

01-Apr-2019

ISIN

US11135F1012

Agenda

934928598 - Management

Record Date

11-Feb-2019

Holding Recon Date

11-Feb-2019

City /

Country

/

United States

Vote Deadline Date

29-Mar-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Mr. Hock E. Tan

Management

For

For

1b.

Election of Director: Dr. Henry Samueli

Management

For

For

1c.

Election of Director: Mr. Eddy W. Hartenstein

Management

For

For

1d.

Election of Director: Ms. Diane M. Bryant

Management

For

For

1e.

Election of Director: Ms. Gayla J. Delly

Management

For

For

1f.

Election of Director: Mr. Check Kian Low

Management

For

For

1g.

Election of Director: Mr. Peter J. Marks

Management

For

For

1h.

Election of Director: Mr. Harry L. You

Management

For

For

2.

Ratification of the appointment of Pricewaterhouse- Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending November 3, 2019.

Management

For

For

3.

To approve amendments to Broadcom's Second Amended and Restated Employee Share Purchase Plan.

Management

For

For

4.

Non-binding, advisory vote to approve compensation of Broadcom's named executive officers.

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

5,700

20-Feb-2019

02-Apr-2019

ANTA SPORTS PRODUCTS LTD

Security

G04011105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

09-Apr-2019

ISIN

KYG040111059

Agenda

710674587 - Management

Record Date

02-Apr-2019

Holding Recon Date

02-Apr-2019

City /

Country

HONG KONG

/

Cayman Islands

Vote Deadline Date

03-Apr-2019

SEDOL(s)

B1YVKN8 - B235FM2 - B2468S1 - BD8NKZ6 - BP3RRC3 - BYWLB61

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/listconews/SEHK/2019 /0308/LTN20190308681.pdf-AND- http://www3.hkexnews.hk/listedco/listconews/SEHK/2019 /0308/LTN20190308701.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 CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND ITS SUBSIDIARIES AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2018

Management

For

For

2

TO DECLARE A FINAL DIVIDEND OF HK28 CENTS PER ORDINARY SHARE OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2018

Management

For

For

3

TO RE-ELECT MR. DING SHIZHONG AS AN EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

4

TO RE-ELECT MR. ZHENG JIE AS AN EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

5

TO RE-ELECT MR. DAI ZHONGCHUAN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

6

TO RE-ELECT MR. YIU KIN WAH STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

7

TO RE-ELECT MR. MEI MING ZHI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

8

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

Management

For

For

9

TO RE-APPOINT KPMG AS THE COMPANY'S AUDITOR AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION

Management

For

For

10

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH THE COMPANY'S SHARES

Management

For

For

11

TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE THE COMPANY'S SHARES

Management

For

For

12

TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY UNDER RESOLUTION NO. 10 BY THE NUMBER OF SHARES REPURCHASED UNDER RESOLUTION NO. 11

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

AL27

STATE STREET BANK

108,000

0

03-Apr-2019

04-Apr-2019

LENNAR CORPORATION

Security

526057104

Meeting Type

Annual

Ticker Symbol

LEN

Meeting Date

10-Apr-2019

ISIN

US5260571048

Agenda

934931292 - Management

Record Date

12-Feb-2019

Holding Recon Date

12-Feb-2019

City /

Country

/

United States

Vote Deadline Date

09-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Rick Beckwitt

For

For

2

Irving Bolotin

For

For

3

Steven L. Gerard

For

For

4

Tig Gilliam

For

For

5

Sherrill W. Hudson

For

For

6

Jonathan M. Jaffe

For

For

7

Sidney Lapidus

For

For

8

Teri P. McClure

For

For

9

Stuart Miller

For

For

10

Armando Olivera

For

For

11

Jeffrey Sonnenfeld

For

For

12

Scott Stowell

For

For

2.

Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2019.

Management

For

For

3.

Approve, on an advisory basis, the compensation of our named executive officers.

Management

For

For

4.

Vote on a stockholder proposal regarding having directors elected by a majority of the votes cast in uncontested elections.

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

900

26,700

01-Mar-2019

11-Apr-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

11,600

0

01-Mar-2019

11-Apr-2019

CITIGROUP INC.

Security

172967424

Meeting Type

Annual

Ticker Symbol

C

Meeting Date

16-Apr-2019

ISIN

US1729674242

Agenda

934935808 - Management

Record Date

19-Feb-2019

Holding Recon Date

19-Feb-2019

City /

Country

/

United States

Vote Deadline Date

15-Apr-2019

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: Barbara J. Desoer

Management

For

For

1d.

Election of Director: John C. Dugan

Management

For

For

1e.

Election of Director: Duncan P. Hennes

Management

For

For

1f.

Election of Director: Peter B. Henry

Management

For

For

1g.

Election of Director: S. Leslie Ireland

Management

For

For

1h.

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

Management

For

For

1i.

Election of Director: Renee J. James

Management

For

For

1j.

Election of Director: Eugene M. McQuade

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: 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 2019.

Management

For

For

3.

Advisory vote to approve Citi's 2018 executive compensation.

Management

For

For

4.

Approval of the Citigroup 2019 Stock Incentive Plan.

Management

For

For

5.

Shareholder proposal requesting Shareholder Proxy Access Enhancement to Citi's proxy access bylaw provisions.

Shareholder

Against

For

6.

Shareholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service.

Shareholder

Against

For

7.

Shareholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting.

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

20,700

0

07-Mar-2019

17-Apr-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

130

47,800

07-Mar-2019

17-Apr-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

21,600

0

07-Mar-2019

17-Apr-2019

CORNERSTONE STRATEGIC VALUE FUND, INC.

Security

21924B302

Meeting Type

Annual

Ticker Symbol

CLM

Meeting Date

16-Apr-2019

ISIN

US21924B3024

Agenda

934937333 - Management

Record Date

19-Feb-2019

Holding Recon Date

19-Feb-2019

City /

Country

/

United States

Vote Deadline Date

15-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Andrew A. Strauss

For

For

2

Glenn W. Wilcox, Sr.

For

For

2.

To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC.

Management

For

For

3.

In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof.

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

24,700

06-Mar-2019

17-Apr-2019

CORNERSTONE TOTAL RETURN FUND, INC.

Security

21924U300

Meeting Type

Annual

Ticker Symbol

CRF

Meeting Date

16-Apr-2019

ISIN

US21924U3005

Agenda

934937357 - Management

Record Date

19-Feb-2019

Holding Recon Date

19-Feb-2019

City /

Country

/

United States

Vote Deadline Date

15-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Ralph W. Bradshaw

For

For

2

Robert E. Dean

For

For

3

Edwin Meese III

For

For

4

Matthew W. Morris

For

For

5

Scott B. Rogers

For

For

6

Andrew A. Strauss

For

For

7

Glenn W. Wilcox, Sr.

For

For

2.

To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC.

Management

For

For

3.

In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof.

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

25,500

0

06-Mar-2019

17-Apr-2019

BLACKSTONE FUNDS

Security

09257R101

Meeting Type

Annual

Ticker Symbol

BGB

Meeting Date

17-Apr-2019

ISIN

US09257R1014

Agenda

934941368 - Management

Record Date

19-Feb-2019

Holding Recon Date

19-Feb-2019

City /

Country

/

United States

Vote Deadline Date

16-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

3.

DIRECTOR

Management

1

Daniel H. Smith, Jr.

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

133

15,700

09-Mar-2019

18-Apr-2019

HUMANA INC.

Security

444859102

Meeting Type

Annual

Ticker Symbol

HUM

Meeting Date

18-Apr-2019

ISIN

US4448591028

Agenda

934935694 - Management

Record Date

25-Feb-2019

Holding Recon Date

25-Feb-2019

City /

Country

/

United States

Vote Deadline Date

17-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a)

Election of Director: Kurt J. Hilzinger

Management

For

For

1b)

Election of Director: Frank J. Bisignano

Management

For

For

1c)

Election of Director: Bruce D. Broussard

Management

For

For

1d)

Election of Director: Frank A. D'Amelio

Management

For

For

1e)

Election of Director: Karen B. DeSalvo, M.D.

Management

For

For

1f)

Election of Director: W. Roy Dunbar

Management

For

For

1g)

Election of Director: David A. Jones, Jr.

Management

For

For

1h)

Election of Director: William J. McDonald

Management

For

For

1i)

Election of Director: James J. O'Brien

Management

For

For

1j)

Election of Director: Marissa T. Peterson

Management

For

For

2.

The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm.

Management

For

For

3.

The approval of the compensation of the named executive officers as disclosed in the 2019 proxy statement.

Management

For

For

4.

The approval of the Amended and Restated Humana Inc. Stock Incentive Plan.

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

1,900

07-Mar-2019

19-Apr-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

855

0

07-Mar-2019

19-Apr-2019

BANK OF AMERICA CORPORATION

Security

060505104

Meeting Type

Annual

Ticker Symbol

BAC

Meeting Date

24-Apr-2019

ISIN

US0605051046

Agenda

934942360 - Management

Record Date

04-Mar-2019

Holding Recon Date

04-Mar-2019

City /

Country

/

United States

Vote Deadline Date

23-Apr-2019

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: Clayton S. Rose

Management

For

For

1m.

Election of Director: Michael D. White

Management

For

For

1n.

Election of Director: Thomas D. Woods

Management

For

For

1o.

Election of Director: R. David Yost

Management

For

For

1p.

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 2019.

Management

For

For

4.

Amending the Bank of America Corporation Key Employee Equity Plan.

Management

For

For

5.

Report Concerning Gender Pay Equity.

Shareholder

Against

For

6.

Right to Act by Written Consent.

Shareholder

Against

For

7.

Enhance Shareholder Proxy Access.

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

191

44,300

14-Mar-2019

25-Apr-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

27,400

0

14-Mar-2019

25-Apr-2019

JOHNSON & JOHNSON

Security

478160104

Meeting Type

Annual

Ticker Symbol

JNJ

Meeting Date

25-Apr-2019

ISIN

US4781601046

Agenda

934938638 - Management

Record Date

26-Feb-2019

Holding Recon Date

26-Feb-2019

City /

Country

/

United States

Vote Deadline Date

24-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Mary C. Beckerle

Management

For

For

1b.

Election of Director: D. Scott Davis

Management

For

For

1c.

Election of Director: Ian E. L. Davis

Management

For

For

1d.

Election of Director: Jennifer A. Doudna

Management

For

For

1e.

Election of Director: Alex Gorsky

Management

For

For

1f.

Election of Director: Marillyn A. Hewson

Management

For

For

1g.

Election of Director: Mark B. McClellan

Management

For

For

1h.

Election of Director: Anne M. Mulcahy

Management

For

For

1i.

Election of Director: William D. Perez

Management

For

For

1j.

Election of Director: Charles Prince

Management

For

For

1k.

Election of Director: A. Eugene Washington

Management

For

For

1l.

Election of Director: Ronald A. Williams

Management

For

For

2.

Advisory Vote to Approve Named Executive Officer Compensation.

Management

For

For

3.

Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2019.

Management

For

For

4.

Shareholder Proposal - Clawback Disclosure

Shareholder

Against

For

5.

Shareholder Proposal - Executive Compensation and Drug Pricing Risks.

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

150

3,500

14-Mar-2019

26-Apr-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

1,500

0

14-Mar-2019

26-Apr-2019

PFIZER INC.

Security

717081103

Meeting Type

Annual

Ticker Symbol

PFE

Meeting Date

25-Apr-2019

ISIN

US7170811035

Agenda

934942043 - Management

Record Date

26-Feb-2019

Holding Recon Date

26-Feb-2019

City /

Country

/

United States

Vote Deadline Date

24-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Ronald E. Blaylock

Management

For

For

1b.

Election of Director: Albert Bourla

Management

For

For

1c.

Election of Director: W. Don Cornwell

Management

For

For

1d.

Election of Director: Joseph J. Echevarria

Management

For

For

1e.

Election of Director: Helen H. Hobbs

Management

For

For

1f.

Election of Director: James M. Kilts

Management

For

For

1g.

Election of Director: Dan R. Littman

Management

For

For

1h.

Election of Director: Shantanu Narayen

Management

For

For

1i.

Election of Director: Suzanne Nora Johnson

Management

For

For

1j.

Election of Director: Ian C. Read

Management

For

For

1k.

Election of Director: James C. Smith

Management

For

For

2.

Ratify the selection of KPMG LLP as independent registered public accounting firm for 2019

Management

For

For

3.

2019 Advisory approval of executive compensation

Management

For

For

4.

Approval of the Pfizer Inc. 2019 Stock Plan

Management

For

For

5.

Shareholder proposal regarding right to act by written consent

Shareholder

Against

For

6.

Shareholder proposal regarding report on lobbying activities

Shareholder

Against

For

7.

Shareholder proposal regarding independent chair policy

Shareholder

Against

For

8.

Shareholder proposal regarding integrating drug pricing into executive compensation policies and programs

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

35,100

26,800

15-Mar-2019

26-Apr-2019

STARWOOD PROPERTY TRUST, INC.

Security

85571B105

Meeting Type

Annual

Ticker Symbol

STWD

Meeting Date

30-Apr-2019

ISIN

US85571B1052

Agenda

934949415 - Management

Record Date

04-Mar-2019

Holding Recon Date

04-Mar-2019

City /

Country

/

United States

Vote Deadline Date

29-Apr-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Richard D. Bronson

For

For

2

Jeffrey G. Dishner

For

For

3

Camille J. Douglas

For

For

4

Solomon J. Kumin

For

For

5

Fred S. Ridley

For

For

6

Barry S. Sternlicht

For

For

7

Strauss Zelnick

For

For

2.

The approval on an advisory basis of the Company's executive compensation.

Management

For

For

3.

The ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the calendar year ending December 31, 2019.

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

138,800

0

22-Mar-2019

01-May-2019

CYPRESS SEMICONDUCTOR CORPORATION

Security

232806109

Meeting Type

Annual

Ticker Symbol

CY

Meeting Date

03-May-2019

ISIN

US2328061096

Agenda

934945912 - Management

Record Date

08-Mar-2019

Holding Recon Date

08-Mar-2019

City /

Country

/

United States

Vote Deadline Date

02-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: W. Steve Albrecht

Management

For

For

1b.

Election of Director: Hassane El-Khoury

Management

For

For

1c.

Election of Director: Oh Chul Kwon

Management

For

For

1d.

Election of Director: Catherine P. Lego

Management

For

For

1e.

Election of Director: Camillo Martino

Management

For

For

1f.

Election of Director: Jeffrey J. Owens

Management

For

For

1g.

Election of Director: Jeannine P. Sargent

Management

For

For

1h.

Election of Director: Michael S. Wishart

Management

For

For

2.

Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year 2019.

Management

For

For

3.

Approval, on an advisory basis, of the Company's named executive officer 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

53,100

0

21-Mar-2019

06-May-2019

ELI LILLY AND COMPANY

Security

532457108

Meeting Type

Annual

Ticker Symbol

LLY

Meeting Date

06-May-2019

ISIN

US5324571083

Agenda

934940215 - Management

Record Date

26-Feb-2019

Holding Recon Date

26-Feb-2019

City /

Country

/

United States

Vote Deadline Date

03-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of director for three-year term: R. Alvarez

Management

For

For

1b.

Election of director for three-year term: C. R. Bertozzi

Management

For

For

1c.

Election of director for three-year term: J. R. Luciano

Management

For

For

1d.

Election of director for three-year term: K. P. Seifert

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 principal independent auditor for 2019.

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 all supermajority voting provisions.

Management

For

For

6.

Shareholder proposal requesting a report regarding direct and indirect political expenditures.

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

10,200

0

23-Mar-2019

07-May-2019

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

09-May-2019

ISIN

US06759L1035

Agenda

934952107 - Management

Record Date

05-Mar-2019

Holding Recon Date

05-Mar-2019

City /

Country

/

United States

Vote Deadline Date

08-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class I Director: Eric Lloyd

Management

For

For

1.2

Election of Class I Director: Mark F. Mulhern

Management

For

For

2.

To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019.

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

95,800

20-Mar-2019

10-May-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

20,000

0

20-Mar-2019

10-May-2019

ABERDEEN FUNDS

Security

003057106

Meeting Type

Annual

Ticker Symbol

ACP

Meeting Date

10-May-2019

ISIN

US0030571063

Agenda

934987097 - Management

Record Date

29-Mar-2019

Holding Recon Date

29-Mar-2019

City /

Country

/

United States

Vote Deadline Date

09-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Nancy Yao Maasbach

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

17,839

0

10-Apr-2019

13-May-2019

GABELLI CONVERTIBLE & INCOME SEC FD INC

Security

36240B109

Meeting Type

Annual

Ticker Symbol

GCV

Meeting Date

13-May-2019

ISIN

US36240B1098

Agenda

934962386 - Management

Record Date

21-Mar-2019

Holding Recon Date

21-Mar-2019

City /

Country

/

United States

Vote Deadline Date

10-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Mario J. Gabelli

For

For

2

Thomas H. Dinsmore

For

For

3

Daniel D. Harding

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

6,500

30-Mar-2019

14-May-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

25,700

0

30-Mar-2019

14-May-2019

GRANITE POINT MORTGAGE TRUST INC.

Security

38741L107

Meeting Type

Annual

Ticker Symbol

GPMT

Meeting Date

14-May-2019

ISIN

US38741L1070

Agenda

934965837 - Management

Record Date

20-Mar-2019

Holding Recon Date

20-Mar-2019

City /

Country

/

United States

Vote Deadline Date

13-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Tanuja M. Dehne

Management

For

For

1b.

Election of Director: Martin A. Kamarck

Management

For

For

1c.

Election of Director: Stephen G. Kasnet

Management

For

For

1d.

Election of Director: William Roth

Management

For

For

1e.

Election of Director: W. Reid Sanders

Management

For

For

1f.

Election of Director: Thomas E. Siering

Management

For

For

1g.

Election of Director: John A. Taylor

Management

For

For

1h.

Election of Director: Hope B. Woodhouse

Management

For

For

2.

Advisory vote on the compensation of our executive officers.

Management

For

For

3.

Ratification of the appointment of Ernst & Young LLP to serve as our independent registered public accounting firm for our fiscal year ending December 31, 2019.

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

52,100

0

05-Apr-2019

15-May-2019

ZOETIS INC.

Security

98978V103

Meeting Type

Annual

Ticker Symbol

ZTS

Meeting Date

15-May-2019

ISIN

US98978V1035

Agenda

934962110 - Management

Record Date

21-Mar-2019

Holding Recon Date

21-Mar-2019

City /

Country

/

United States

Vote Deadline Date

14-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director: Juan Ramon Alaix

Management

For

For

1.2

Election of Director: Paul M. Bisaro

Management

For

For

1.3

Election of Director: Frank A. D'Amelio

Management

For

For

1.4

Election of Director: Michael B. McCallister

Management

For

For

2.

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

Management

For

For

3.

Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2019.

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

5,900

03-Apr-2019

16-May-2019

ANTHEM, INC.

Security

036752103

Meeting Type

Annual

Ticker Symbol

ANTM

Meeting Date

15-May-2019

ISIN

US0367521038

Agenda

934964429 - Management

Record Date

08-Mar-2019

Holding Recon Date

08-Mar-2019

City /

Country

/

United States

Vote Deadline Date

14-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director Nominee: Bahija Jallal

Management

For

For

1.2

Election of Director Nominee: Elizabeth E. Tallett

Management

For

For

2.

To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2019.

Management

For

For

3.

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

Management

For

For

4.

To approve proposed amendments to our Articles of Incorporation to eliminate the classified board structure when permitted under our contractual obligations with the Blue Cross and Blue Shield Association.

Management

For

For

5.

Shareholder proposal to elect each director annually.

Shareholder

Against

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

3,900

30-Mar-2019

16-May-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

700

0

30-Mar-2019

16-May-2019

COMMUNITY HEALTHCARE TRUST INCORPORATED

Security

20369C106

Meeting Type

Annual

Ticker Symbol

CHCT

Meeting Date

16-May-2019

ISIN

US20369C1062

Agenda

934957981 - Management

Record Date

15-Mar-2019

Holding Recon Date

15-Mar-2019

City /

Country

/

United States

Vote Deadline Date

15-May-2019

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 ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2019.

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

94,900

0

02-Apr-2019

17-May-2019

TPG SPECIALTY LENDING, INC.

Security

87265K102

Meeting Type

Annual

Ticker Symbol

TSLX

Meeting Date

16-May-2019

ISIN

US87265K1025

Agenda

934969140 - Management

Record Date

22-Mar-2019

Holding Recon Date

22-Mar-2019

City /

Country

/

United States

Vote Deadline Date

15-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Jennifer Gordon

For

For

2

John Ross

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, 2019.

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

54,600

0

06-Apr-2019

17-May-2019

SBA COMMUNICATIONS CORPORATION

Security

78410G104

Meeting Type

Annual

Ticker Symbol

SBAC

Meeting Date

16-May-2019

ISIN

US78410G1040

Agenda

934969695 - Management

Record Date

15-Mar-2019

Holding Recon Date

15-Mar-2019

City /

Country

/

United States

Vote Deadline Date

15-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Director for a three-year term: Kevin L. Beebe

Management

For

For

1.2

Election of Director for a three-year term: Jack Langer

Management

For

For

1.3

Election of Director for a three-year term: Jeffrey A. Stoops

Management

For

For

2.

Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2019 fiscal year.

Management

For

For

3.

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

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

4,500

0

06-Apr-2019

17-May-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

150

4,300

06-Apr-2019

17-May-2019

AIA GROUP LTD

Security

Y002A1105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

17-May-2019

ISIN

HK0000069689

Agenda

710936672 - Management

Record Date

10-May-2019

Holding Recon Date

10-May-2019

City /

Country

HONG KONG

/

Hong Kong

Vote Deadline Date

09-May-2019

SEDOL(s)

B4TX8S1 - B4Y5XL0 - B5WGY64 - BD8NJM6 - BP3RP07

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/2019/0411/LTN20190411787.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0411/LTN20190411664.PDF

Non-Voting

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

1

TO RECEIVE THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY, THE REPORT OF THE DIRECTORS AND THE INDEPENDENT AUDITOR'S REPORT FOR THE THIRTEEN-MONTH PERIOD ENDED 31 DECEMBER 2018

Management

For

For

2.A

TO DECLARE A SPECIAL DIVIDEND OF 9.50 HONG KONG CENTS PER SHARE FOR THE THIRTEEN- MONTH PERIOD ENDED31 DECEMBER 2018

Management

For

For

2.B

TO DECLARE A FINAL DIVIDEND OF 84.80 HONG KONG CENTS PER SHARE FOR THE THIRTEEN- MONTH PERIOD ENDED31 DECEMBER 2018

Management

For

For

3

TO RE-ELECT MS. SWEE-LIAN TEO AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

4

TO RE-ELECT DR. NARONGCHAI AKRASANEE AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

5

TO RE-ELECT MR. GEORGE YONG-BOON YEO AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY

Management

For

For

6

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

Management

For

For

7.A

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY, NOT EXCEEDING 10 PER CENT OF THE NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION, AND THE DISCOUNT FOR ANY SHARES TO BE ISSUED SHALL NOT EXCEED 10 PER CENT TO THE BENCHMARKED PRICE

Management

For

For

7.B

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF THE COMPANY, NOT EXCEEDING 10 PERCENT OF THE NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION

Management

For

For

7.C

TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH SHARES OF THE COMPANY UNDER THE RESTRICTED SHARE UNIT SCHEME ADOPTED BY THE COMPANY ON 28 SEPTEMBER 2010 (AS AMENDED)

Management

For

For

8

TO ADJUST THE LIMIT OF THE ANNUAL SUM OF THE DIRECTORS' FEES TO USD 2,500,000

Management

For

For

9

TO APPROVE THE AMENDMENTS TO THE 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

AL27

STATE STREET BANK

142,600

0

12-Apr-2019

11-May-2019

AMERICAN INTERNATIONAL GROUP, INC.

Security

026874784

Meeting Type

Annual

Ticker Symbol

AIG

Meeting Date

21-May-2019

ISIN

US0268747849

Agenda

934973606 - Management

Record Date

25-Mar-2019

Holding Recon Date

25-Mar-2019

City /

Country

/

United States

Vote Deadline Date

20-May-2019

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: SUZANNE NORA JOHNSON

Management

For

For

1j.

Election of Director: PETER R. PORRINO

Management

For

For

1k.

Election of Director: AMY L. SCHIOLDAGER

Management

For

For

1l.

Election of Director: DOUGLAS M. STEENLAND

Management

For

For

1m.

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 vote, on a non-binding advisory basis, on the frequency of future executive compensation votes.

Management

3 Years

Against

4.

To act upon a proposal to ratify the selection of PricewaterhouseCoopers LLP as AIG's independent registered public accounting firm for 2019.

Management

For

For

5.

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

997AL27

GLV

997AL27

STATE STREET BANK & TRUST CO

6,500

0

03-Apr-2019

22-May-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

16,300

03-Apr-2019

22-May-2019

JPMORGAN CHASE & CO.

Security

46625H100

Meeting Type

Annual

Ticker Symbol

JPM

Meeting Date

21-May-2019

ISIN

US46625H1005

Agenda

934979088 - Management

Record Date

22-Mar-2019

Holding Recon Date

22-Mar-2019

City /

Country

/

United States

Vote Deadline Date

20-May-2019

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: James A. Bell

Management

For

For

1c.

Election of Director: Stephen B. Burke

Management

For

For

1d.

Election of Director: Todd A. Combs

Management

For

For

1e.

Election of Director: James S. Crown

Management

For

For

1f.

Election of Director: James Dimon

Management

For

For

1g.

Election of Director: Timothy P. Flynn

Management

For

For

1h.

Election of Director: Mellody Hobson

Management

For

For

1i.

Election of Director: Laban P. Jackson, Jr.

Management

For

For

1j.

Election of Director: Michael A. Neal

Management

For

For

1k.

Election of Director: Lee R. Raymond

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.

Gender pay equity report

Shareholder

Against

For

5.

Enhance shareholder proxy access

Shareholder

Against

For

6.

Cumulative voting

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

2,700

0

06-Apr-2019

22-May-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

7,800

06-Apr-2019

22-May-2019

AMGEN INC.

Security

031162100

Meeting Type

Annual

Ticker Symbol

AMGN

Meeting Date

21-May-2019

ISIN

US0311621009

Agenda

934979266 - Management

Record Date

22-Mar-2019

Holding Recon Date

22-Mar-2019

City /

Country

/

United States

Vote Deadline Date

20-May-2019

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: Dr. Rebecca M. Henderson

Management

For

For

1h.

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

Management

For

For

1i.

Election of Director: Dr. Tyler Jacks

Management

For

For

1j.

Election of Director: Ms. Ellen J. Kullman

Management

For

For

1k.

Election of Director: Dr. Ronald D. Sugar

Management

For

For

1l.

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, 2019.

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

190

7,400

09-Apr-2019

22-May-2019

APOLLO SENIOR FLOATING RATE, INC

Security

037636107

Meeting Type

Annual

Ticker Symbol

AFT

Meeting Date

21-May-2019

ISIN

US0376361079

Agenda

934983190 - Management

Record Date

18-Mar-2019

Holding Recon Date

18-Mar-2019

City /

Country

/

United States

Vote Deadline Date

20-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Glenn N. Marchak

For

For

2

Todd J. Slotkin

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

24,400

12-Apr-2019

22-May-2019

THE HOME DEPOT, INC.

Security

437076102

Meeting Type

Annual

Ticker Symbol

HD

Meeting Date

23-May-2019

ISIN

US4370761029

Agenda

934976157 - Management

Record Date

25-Mar-2019

Holding Recon Date

25-Mar-2019

City /

Country

/

United States

Vote Deadline Date

22-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Gerard J. Arpey

Management

For

For

1b.

Election of Director: Ari Bousbib

Management

For

For

1c.

Election of Director: Jeffery H. Boyd

Management

For

For

1d.

Election of Director: Gregory D. Brenneman

Management

For

For

1e.

Election of Director: J. Frank Brown

Management

For

For

1f.

Election of Director: Albert P. Carey

Management

For

For

1g.

Election of Director: Helena B. Foulkes

Management

For

For

1h.

Election of Director: Linda R. Gooden

Management

For

For

1i.

Election of Director: Wayne M. Hewett

Management

For

For

1j.

Election of Director: Manuel Kadre

Management

For

For

1k.

Election of Director: Stephanie C. Linnartz

Management

For

For

1l.

Election of Director: Craig A. Menear

Management

For

For

2.

Ratification of the Appointment of KPMG LLP

Management

For

For

3.

Advisory Vote to Approve Executive Compensation ("Say-on-Pay")

Management

For

For

4.

Shareholder Proposal Regarding EEO-1 Disclosure

Shareholder

Against

For

5.

Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares

Shareholder

Against

For

6.

Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain

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

12,100

09-Apr-2019

24-May-2019

MORGAN STANLEY

Security

617446448

Meeting Type

Annual

Ticker Symbol

MS

Meeting Date

23-May-2019

ISIN

US6174464486

Agenda

934980423 - Management

Record Date

25-Mar-2019

Holding Recon Date

25-Mar-2019

City /

Country

/

United States

Vote Deadline Date

22-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: Elizabeth Corley

Management

For

For

1b.

Election of Director: Alistair Darling

Management

For

For

1c.

Election of Director: Thomas H. Glocer

Management

For

For

1d.

Election of Director: James P. Gorman

Management

For

For

1e.

Election of Director: Robert H. Herz

Management

For

For

1f.

Election of Director: Nobuyuki Hirano

Management

For

For

1g.

Election of Director: Jami Miscik

Management

For

For

1h.

Election of Director: Dennis M. Nally

Management

For

For

1i.

Election of Director: Takeshi Ogasawara

Management

For

For

1j.

Election of Director: Hutham S. Olayan

Management

For

For

1k.

Election of Director: Mary L. Schapiro

Management

For

For

1l.

Election of Director: Perry M. Traquina

Management

For

For

1m.

Election of Director: Rayford Wilkins, Jr.

Management

For

For

2.

To ratify the appointment of Deloitte & Touche LLP as independent auditor

Management

For

For

3.

To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory vote)

Management

For

For

4.

Shareholder proposal regarding an annual report on lobbying expenses

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

16,600

0

06-Apr-2019

24-May-2019

BROOKFIELD REAL ASSETS INCOME FUND

Security

112830104

Meeting Type

Annual

Ticker Symbol

RA

Meeting Date

23-May-2019

ISIN

US1128301041

Agenda

935021193 - Management

Record Date

22-Apr-2019

Holding Recon Date

22-Apr-2019

City /

Country

/

United States

Vote Deadline Date

22-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.1

Election of Class III Director: Edward Kuczmarski (Independent Director)

Management

For

For

1.2

Election of Class III Director: Stuart McFarland (Independent Director)

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

400

0

04-May-2019

24-May-2019

997AL60

GLV MS PLEDGE

997AL60

STATE STREET BANK & TRUST CO

13,000

0

04-May-2019

24-May-2019

UNITEDHEALTH GROUP INCORPORATED

Security

91324P102

Meeting Type

Annual

Ticker Symbol

UNH

Meeting Date

03-Jun-2019

ISIN

US91324P1021

Agenda

934998963 - Management

Record Date

09-Apr-2019

Holding Recon Date

09-Apr-2019

City /

Country

/

United States

Vote Deadline Date

31-May-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Director: William C. Ballard, Jr.

Management

For

For

1b.

Election of Director: Richard T. Burke

Management

For

For

1c.

Election of Director: Timothy P. Flynn

Management

For

For

1d.

Election of Director: Stephen J. Hemsley

Management

For

For

1e.

Election of Director: Michele J. Hooper

Management

For

For

1f.

Election of Director: F. William McNabb III

Management

For

For

1g.

Election of Director: Valerie C. Montgomery Rice, M.D.

Management

For

For

1h.

Election of Director: John H. Noseworthy, M.D.

Management

For

For

1i.

Election of Director: Glenn M. Renwick

Management

For

For

1j.

Election of Director: David S. Wichmann

Management

For

For

1k.

Election of Director: Gail R. Wilensky, Ph.D.

Management

For

For

2.

Advisory approval of the Company's executive compensation.

Management

For

For

3.

Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2019.

Management

For

For

4.

The shareholder proposal set forth in the proxy statement requesting an amendment to the proxy access bylaw, if properly presented at the 2019 Annual Meeting of Shareholders.

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

490

0

20-Apr-2019

04-Jun-2019

997AL45

GLV BNP PLEDGE

997AL45

STATE STREET BANK & TRUST CO

100

4,200

20-Apr-2019

04-Jun-2019

ARES CAPITAL CORPORATION

Security

04010L103

Meeting Type

Annual

Ticker Symbol

ARCC

Meeting Date

10-Jun-2019

ISIN

US04010L1035

Agenda

934999636 - Management

Record Date

08-Apr-2019

Holding Recon Date

08-Apr-2019

City /

Country

/

United States

Vote Deadline Date

07-Jun-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1a.

Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: R. Kipp deVeer

Management

For

For

1b.

Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Daniel G. Kelly, Jr.

Management

For

For

1c.

Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Eric B. Siegel

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, 2019.

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

18-Apr-2019

11-Jun-2019

T-MOBILE US, INC.

Security

872590104

Meeting Type

Annual

Ticker Symbol

TMUS

Meeting Date

13-Jun-2019

ISIN

US8725901040

Agenda

935011130 - Management

Record Date

18-Apr-2019

Holding Recon Date

18-Apr-2019

City /

Country

/

United States

Vote Deadline Date

12-Jun-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Srikant M. Datar

For

For

2

Srini Gopalan

For

For

3

Lawrence H. Guffey

For

For

4

Timotheus Höttges

For

For

5

Christian P. Illek

For

For

6

Bruno Jacobfeuerborn

For

For

7

Raphael Kübler

For

For

8

Thorsten Langheim

For

For

9

John J. Legere

For

For

10

G. Michael Sievert

For

For

11

Teresa A. Taylor

For

For

12

Kelvin R. Westbrook

For

For

2.

Ratification of the Appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2019.

Management

For

For

3.

Stockholder Proposal for Limitations on Accelerated Vesting of Equity Awards in the Event of a Change of Control.

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

9,500

27-Apr-2019

14-Jun-2019

TPG SPECIALTY LENDING, INC.

Security

87265K102

Meeting Type

Special

Ticker Symbol

TSLX

Meeting Date

14-Jun-2019

ISIN

US87265K1025

Agenda

934975282 - Management

Record Date

22-Mar-2019

Holding Recon Date

22-Mar-2019

City /

Country

/

United States

Vote Deadline Date

13-Jun-2019

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

54,600

0

06-Apr-2019

17-Jun-2019

SOFTBANK GROUP CORP.

Security

J75963108

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

19-Jun-2019

ISIN

JP3436100006

Agenda

711252104 - Management

Record Date

31-Mar-2019

Holding Recon Date

31-Mar-2019

City /

Country

TOKYO

/

Japan

Vote Deadline Date

17-Jun-2019

SEDOL(s)

2407159 - 5603136 - 6770620 - B01JCG5 - B0CRGH7 - B17MJ08

Quick Code

99840

Item

Proposal

Proposed by

Vote

For/Against Management

Please reference meeting materials.

Non-Voting

1

Approve Appropriation of Surplus

Management

For

For

2.1

Appoint a Director Son, Masayoshi

Management

For

For

2.2

Appoint a Director Ronald D. Fisher

Management

For

For

2.3

Appoint a Director Marcelo Claure

Management

For

For

2.4

Appoint a Director Sago, Katsunori

Management

For

For

2.5

Appoint a Director Rajeev Misra

Management

For

For

2.6

Appoint a Director Miyauchi, Ken

Management

For

For

2.7

Appoint a Director Simon Segars

Management

For

For

2.8

Appoint a Director Yun Ma

Management

For

For

2.9

Appoint a Director Yasir O. Al-Rumayyan

Management

For

For

2.10

Appoint a Director Yanai, Tadashi

Management

For

For

2.11

Appoint a Director Iijima, Masami

Management

For

For

2.12

Appoint a Director Matsuo, Yutaka

Management

For

For

3

Appoint a Corporate Auditor Toyama, Atsushi

Management

For

For

Account Number

Account Name

Internal Account

Custodian

Ballot Shares

Unavailable Shares

Vote Date

Date Confirmed

AL27

AL27

STATE STREET BANK

30,800

0

30-May-2019

18-Jun-2019

BLACKSTONE MORTGAGE TRUST, INC

Security

09257W100

Meeting Type

Annual

Ticker Symbol

BXMT

Meeting Date

19-Jun-2019

ISIN

US09257W1009

Agenda

935003385 - Management

Record Date

12-Apr-2019

Holding Recon Date

12-Apr-2019

City /

Country

/

United States

Vote Deadline Date

18-Jun-2019

SEDOL(s)

Quick Code

Item

Proposal

Proposed by

Vote

For/Against Management

1.

DIRECTOR

Management

1

Michael B. Nash

For

For

2

Stephen D. Plavin

For

For

3

Leonard W. Cotton

For

For

4

Thomas E. Dobrowski

For

For

5

Martin L. Edelman

For

For

6

Henry N. Nassau

For

For

7

Jonathan L. Pollack

For

For

8

Lynne B. Sagalyn

For

For

2.

Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019.

Management

For

For

3.

Advisory Vote on Executive Compensation: To approve in a non- binding, advisory vote, the compensation paid to our named executive officers.

Management

For

For

4.

Frequency of Advisory Vote on Executive Compensation: To approve in a non-binding, advisory vote, whether a stockholder vote to approve the compensation of our named executive officers should occur every one, two or three years.

Management

3 Years

Against

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

89,700

0

27-Apr-2019

20-Jun-2019

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 28, 2019