Sareena Khwaja-Dixon, Esq.
| HDFC BANK LTD | | | |
| Security | Y3119P190 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 18-Jul-2020 |
| ISIN | INE040A01034 | | | | | | | | | | Agenda | | 712875612 - Management |
| Record Date | 11-Jul-2020 | | | | | | | | | | Holding Recon Date | | 11-Jul-2020 |
| City / | Country | | TBD | / | India | | | | | | | Vote Deadline Date | | 14-Jul-2020 |
| SEDOL(s) | BK1N461 | | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (STANDALONE) OF THE BANK FOR THE FINANCIAL YEAR ENDED MARCH 31, 2020 AND THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON | Management | | | For | | | For | | | | |
| 2 | TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (CONSOLIDATED) OF THE BANK FOR THE FINANCIAL YEAR ENDED MARCH 31, 2020 AND THE REPORT OF THE AUDITORS THEREON | Management | | | For | | | For | | | | |
| 3 | TO CONFIRM THE SPECIAL INTERIM DIVIDEND OF INR 5/- PER EQUITY SHARE OF ERSTWHILE FACE VALUE OF INR 2/- EACH FULLY PAID-UP, FOR THE FINANCIAL YEAR 2019-20, APPROVED BY THE BOARD OF DIRECTORS AND ALREADY PAID TO ELIGIBLE SHAREHOLDERS | Management | | | For | | | For | | | | |
| 4 | TO APPOINT A DIRECTOR IN PLACE OF MR. KAIZAD BHARUCHA (DIN 02490648), WHO RETIRES BY ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT | Management | | | For | | | For | | | | |
| 5 | TO APPROVE THE FEES / REMUNERATION OF THE STATUTORY AUDITORS, M/S. MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 142 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED FOR PAYMENT OF REMUNERATION OF INR 26,500,000 (RUPEES TWO CRORES SIXTY FIVE LACS ONLY) TO M/S. MSKA & ASSOCIATES, STATUTORY AUDITORS OF THE BANK, FOR THE PURPOSE OF AUDIT OF THE BANK'S ACCOUNTS AT ITS HEAD OFFICE, BRANCHES AND OTHER OFFICES INCLUDING REPORTING ON INTERNAL FINANCIAL CONTROLS AND ADDITIONAL CERTIFICATION AS REQUIRED BY THE RESERVE BANK OF INDIA ("RBI"), AND | Management | | | For | | | For | | | | |
| | | ADDITIONAL FEES OF INR 2,500,000 (RUPEES TWENTY FIVE LACS ONLY) FOR THE PURPOSE OF REVIEW / FINALIZATION OF THE 'FIT FOR CONSOLIDATION' INFORMATION FOR THE LIMITED PURPOSE OF SUBMITTING SUCH 'FIT FOR CONSOLIDATION' INFORMATION TO HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED ("HDFC LIMITED") FOR FACILITATING CONSOLIDATION OF FINANCIAL STATEMENTS OF THE BANK WITH THAT OF HDFC LIMITED UNDER IND-AS, PLUS EXPENSES, OUTLAYS AND TAXES AS APPLICABLE, FOR THE FINANCIAL YEAR 2020-21, AND FOR SUCH REMUNERATION AND EXPENSES THEREAFTER AS MAY BE MUTUALLY AGREED BETWEEN THE BANK AND THE SAID STATUTORY AUDITORS AND AS MAY BE FURTHER APPROVED BY THE BOARD FROM TIME TO TIME, WITH POWER TO THE BOARD, INCLUDING RELEVANT COMMITTEE(S) THEREOF, TO ALTER AND VARY THE TERMS AND CONDITIONS OF APPOINTMENT ETC., INCLUDING BY REASON OF NECESSITY ON ACCOUNT OF CONDITIONS AS MAY BE STIPULATED BY THE RBI AND / OR ANY OTHER AUTHORITY, IN SUCH MANNER AND TO SUCH EXTENT AS MAY BE MUTUALLY AGREED WITH THE STATUTORY AUDITORS." | | | | | | | | | | | | | | | | | |
| 6 | TO RATIFY THE ADDITIONAL FEES / REMUNERATION TO THE STATUTORY AUDITORS, M/S. MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 142 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, IN ADDITION TO THE RESOLUTION PASSED BY THE MEMBERS OF THE BANK ON JULY 12, 2019, FOR PAYMENT OF REMUNERATION OF INR 25,000,000 (RUPEES TWO CRORES FIFTY LACS ONLY) FOR THE FINANCIAL YEAR 2019-20 TO M/S. MSKA & ASSOCIATES, STATUTORY AUDITORS OF THE BANK, FURTHER APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED FOR RATIFYING THE FEES OF INR 6,000,000 (RUPEES SIXTY LACS ONLY) FOR ADDITIONAL CERTIFICATION AS REQUIRED BY THE RBI, FOR THE FINANCIAL YEAR 2019-20." | Management | | | For | | | For | | | | |
| 7 | TO RE-APPOINT MR. MALAY PATEL (DIN 06876386) AS AN INDEPENDENT DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS A SPECIAL RESOLUTION: "RESOLVED THAT PURSUANT TO SECTIONS 149, 152 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER READ WITH SCHEDULE IV TO THE COMPANIES ACT, | Management | | | For | | | For | | | | |
| | | 2013 AND PURSUANT TO SECTION 10A(2)(A) OF THE BANKING REGULATION ACT, 1949, AND RELEVANT CIRCULARS ISSUED BY THE RBI FROM TIME TO TIME, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE OF DIRECTORS AND THE BOARD OF DIRECTORS OF THE BANK, MR. MALAY PATEL (DIN 06876386), BE AND IS HEREBY RE-APPOINTED AS AN INDEPENDENT DIRECTOR OF THE BANK HAVING SPECIALIZED KNOWLEDGE AND PRACTICAL EXPERIENCE IN MATTERS RELATING TO SMALL SCALE INDUSTRIES, TO HOLD OFFICE FOR A PERIOD OF THREE (3) YEARS COMMENCING FROM MARCH 31, 2020 AND THAT HE SHALL NOT BE LIABLE TO RETIRE BY ROTATION AND THAT HE SHALL BE PAID SITTING FEES AND REIMBURSED EXPENSES FOR ATTENDING BOARD AND COMMITTEE MEETINGS, AS MAY BE PERMISSIBLE UNDER LAW FROM TIME TO TIME, AS WELL AS PROFIT RELATED COMMISSION AS MAY BE ALLOWED BY RELEVANT RBI GUIDELINES AND OTHER APPLICABLE LAWS, FROM TIME TO TIME." | | | | | | | | | | | | | | | | | |
| 8 | TO APPROVE THE RE-APPOINTMENT OF MR. KAIZAD BHARUCHA (DIN 02490648) AS AN EXECUTIVE DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION; "RESOLVED THAT PURSUANT TO SECTIONS 196, 197, 203 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, THE BANKING REGULATION ACT, 1949, RELEVANT CIRCULARS ISSUED BY THE RESERVE BANK OF INDIA ("RBI") FROM TIME TO TIME, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE OF DIRECTORS AND THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION), AND PURSUANT TO THE APPROVAL RECEIVED FROM THE RBI AND SUBJECT TO THE APPROVALS, AS MAY BE NECESSARY FROM CONCERNED AUTHORITIES OR BODIES AND SUBJECT TO THE CONDITIONS AS MAY BE PRESCRIBED BY ANY OF THEM WHILE GRANTING SUCH APPROVALS, MR. KAIZAD BHARUCHA (DIN 02490648), BE AND IS HEREBY RE-APPOINTED AS EXECUTIVE DIRECTOR OF THE BANK, LIABLE TO RETIRE BY ROTATION, FOR A PERIOD OF THREE (3) YEARS COMMENCING FROM JUNE 13, 2020 UP TO | Management | | | For | | | For | | | | |
| | | JUNE 12, 2023 UPON SUCH TERMS AND CONDITIONS INCLUDING REMUNERATION AS SET OUT IN THE EXPLANATORY STATEMENT TO THE RESOLUTION AS PER ITEM NO. 8 OF THE NOTICE OF THE ANNUAL GENERAL MEETING AND WHICH IS SPECIFICALLY APPROVED AND SANCTIONED WITH AUTHORITY TO THE BOARD TO ALTER AND VARY THE TERMS AND CONDITIONS OF THE SAID APPOINTMENT AND / OR AGREEMENT INCLUDING INCREMENTS AND / OR ANY OTHER COMPONENTS OF THE REMUNERATION, AS MAY BE NECESSARY FROM TIME TO TIME, IN VIEW OF ANY APPROVALS AND CONDITIONS AS MAY BE GIVEN / STIPULATED BY THE RBI OR ANY OTHER STATUTORY AUTHORITY, (INCLUDING AUTHORITY, FROM TIME TO TIME TO DETERMINE THE AMOUNT OF SALARY AS ALSO THE TYPE AND AMOUNT OF PERQUISITES AND OTHER BENEFITS PAYABLE TO MR. BHARUCHA), IN SUCH MANNER AS MAY BE DECIDED BY THE BOARD; RESOLVED FURTHER THAT THE BOARD BE AND IS HEREBY AUTHORIZED TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AND TO EXECUTE ANY AGREEMENTS, DOCUMENTS, INSTRUMENTS AND WRITINGS AS MAY BE REQUIRED, WITH POWER TO SETTLE ALL QUESTIONS, DIFFICULTIES OR DOUBTS THAT MAY ARISE IN REGARD TO THE SAID APPOINTMENT AS IT MAY IN ITS SOLE DISCRETION DEEM FIT AND NECESSARY AND TO DELEGATE ALL OR ANY OF ITS POWERS CONFERRED HEREIN TO ANY DIRECTOR(S) AND / OR OFFICER(S) OF THE BANK TO GIVE EFFECT TO THIS RESOLUTION." | | | | | | | | | | | | | | | | | |
| 9 | TO APPOINT MRS. RENU KARNAD (DIN 00008064) AS A NON- EXECUTIVE DIRECTOR AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 152 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013 AND THE RELEVANT RULES THEREUNDER, THE BANKING REGULATION ACT, 1949, RELEVANT CIRCULARS ISSUED BY THE RBI FROM TIME TO TIME INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF AND RECOMMENDATION OF THE NOMINATION AND REMUNERATION COMMITTEE AND THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION), MRS. RENU KARNAD (DIN 00008064), WHO HAS BEEN APPOINTED AS AN ADDITIONAL NON- EXECUTIVE DIRECTOR OF THE BANK BY THE BOARD WITH EFFECT FROM MARCH 3, 2020 UNTIL | Management | | | For | | | For | | | | |
| | | SHE ATTAINS THE AGE OF 70 YEARS I.E. UPTO SEPTEMBER 3, 2022 IN ACCORDANCE WITH SECTION 161(1) OF THE COMPANIES ACT, 2013 AND THE ARTICLES OF ASSOCIATION OF THE BANK AND WHOSE TERM OF OFFICE EXPIRES AT THE ANNUAL GENERAL MEETING, BE AND IS HEREBY APPOINTED AS A NON- EXECUTIVE DIRECTOR (NOMINEE OF HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED, PROMOTER OF THE BANK), AND THAT SHE SHALL BE LIABLE TO RETIRE BY ROTATION AND SHALL BE PAID SITTING FEES AND REIMBURSED EXPENSES FOR ATTENDING BOARD AND COMMITTEE MEETINGS, AS MAY BE PERMISSIBLE UNDER LAW FROM TIME TO TIME, AS WELL AS PROFIT RELATED COMMISSION AS MAY BE ALLOWED BY RELEVANT RBI GUIDELINES AND OTHER APPLICABLE LAWS, FROM TIME TO TIME." | | | | | | | | | | | | | | | | | |
| 10 | TO RATIFY AND APPROVE THE RELATED PARTY TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED AND IN THIS REGARD TO CONSIDER AND, IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 ("LISTING REGULATIONS") AND ANY OTHER APPLICABLE PROVISIONS OF LAW, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION) FOR CARRYING OUT AND / OR CONTINUING WITH ARRANGEMENTS AND TRANSACTIONS (WHETHER INDIVIDUAL TRANSACTION OR TRANSACTIONS TAKEN TOGETHER OR SERIES OF TRANSACTIONS OR OTHERWISE) WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED ("HDFC LIMITED"), BEING A RELATED PARTY, WHETHER BY WAY OF RENEWAL(S) OR EXTENSION(S) OR MODIFICATION(S) OF EARLIER ARRANGEMENTS / TRANSACTIONS OR OTHERWISE, INCLUDING BANKING TRANSACTIONS, TRANSACTIONS FOR SOURCING OF HOME LOANS FOR HDFC LIMITED AGAINST THE CONSIDERATION OF THE COMMISSION AGREED UPON OR AS MAY BE MUTUALLY AGREED UPON FROM TIME TO TIME, PURCHASE / SECURITIZATION OF SUCH PERCENTAGE OF HOME LOANS SOURCED AND DISBURSED AS MAY BE AGREED FROM TIME TO | Management | | | For | | | For | | | | |
| | | TIME MUTUALLY BETWEEN THE BANK AND HDFC LIMITED, SERVICING BY HDFC LIMITED OF HOME LOANS ASSIGNED BY IT / SECURITIZED AGAINST THE CONSIDERATION AGREED UPON OR AS MAY BE AGREED UPON FROM TIME TO TIME AND ANY OTHER TRANSACTIONS INCLUDING THOSE AS MAY BE DISCLOSED IN THE NOTES FORMING PART OF THE FINANCIAL STATEMENTS FOR THE RELEVANT PERIOD, NOTWITHSTANDING THE FACT THAT ALL THESE TRANSACTIONS WITHIN THE FINANCIAL YEAR 2020-21 IN AGGREGATE MAY EXCEED 10% OF THE ANNUAL CONSOLIDATED TURNOVER OF THE BANK AS PER THE BANK'S LAST AUDITED FINANCIAL STATEMENTS OR ANY MATERIALITY THRESHOLD AS MAY BE APPLICABLE FROM TIME TO TIME; RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION." | | | | | | | | | | | | | | | | | |
| 11 | TO RATIFY AND APPROVE THE RELATED PARTY TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED AND IN THIS REGARD TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE FOLLOWING RESOLUTION AS AN ORDINARY RESOLUTION: "RESOLVED THAT PURSUANT TO THE SECURITIES AND EXCHANGE BOARD OF INDIA (LISTING OBLIGATIONS AND DISCLOSURE REQUIREMENTS) REGULATIONS, 2015 ("LISTING REGULATIONS") AND ANY OTHER APPLICABLE PROVISIONS OF LAW, INCLUDING ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS THEREOF, THE MEMBERS OF THE BANK DO HEREBY RATIFY AND ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS THE "BOARD", WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE CONSTITUTED / EMPOWERED / TO BE CONSTITUTED BY THE BOARD FROM TIME TO TIME TO EXERCISE ITS POWERS CONFERRED BY THIS RESOLUTION) FOR CARRYING OUT AND/OR CONTINUING WITH ARRANGEMENTS AND THE TRANSACTIONS (WHETHER INDIVIDUAL TRANSACTIONS OR TRANSACTIONS TAKEN TOGETHER OR SERIES OF TRANSACTIONS OR OTHERWISE) WITH HDB FINANCIAL SERVICES LIMITED ("HDBFSL"), BEING A RELATED PARTY, INCLUDING TRANSACTIONS OF PURCHASE / | Management | | | For | | | For | | | | |
| | | SECURITIZATION OF LOANS, SERVICING ARRANGEMENTS, IF ANY, BANKING TRANSACTIONS AND ANY OTHER ARRANGEMENTS / TRANSACTIONS AS DISCLOSED IN THE NOTES FORMING PART OF THE FINANCIAL STATEMENTS, WHETHER BY WAY OF CONTINUATION, RENEWAL(S) OR EXTENSION(S) OR MODIFICATION(S) OF EARLIER ARRANGEMENTS / TRANSACTIONS OR OTHERWISE, AGAINST SUCH CONSIDERATION AS AGREED UPON OR AS MAY BE MUTUALLY AGREED UPON FROM TIME TO TIME BETWEEN THE BANK AND HDBFSL, NOTWITHSTANDING THE FACT THAT ALL THESE TRANSACTIONS WITHIN THE FINANCIAL YEAR 2020- 21 IN AGGREGATE MAY EXCEED 10% OF THE ANNUAL CONSOLIDATED TURNOVER OF THE BANK AS PER THE BANK'S LAST AUDITED FINANCIAL STATEMENTS OR ANY MATERIALITY THRESHOLD AS MAY BE APPLICABLE FROM TIME TO TIME; RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY RATIFY AS ALSO ACCORD FURTHER APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION." | | | | | | | | | | | | | | | | | |
| 12 | TO ISSUE UNSECURED PERPETUAL DEBT INSTRUMENTS (PART OF ADDITIONAL TIER I CAPITAL), TIER II CAPITAL BONDS AND LONG TERM BONDS (FINANCING OF INFRASTRUCTURE AND AFFORDABLE HOUSING) ON A PRIVATE PLACEMENT BASIS AND IN THIS REGARD TO CONSIDER AND, IF THOUGHT FIT, TO PASS THE FOLLOWING RESOLUTION, AS A SPECIAL RESOLUTION: "RESOLVED THAT PURSUANT TO SECTION 42 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES ACT, 2013, RULE 14 AND OTHER APPLICABLE PROVISIONS, IF ANY, OF THE COMPANIES (PROSPECTUS AND ALLOTMENT OF SECURITIES) RULES, 2014, THE COMPANIES (SHARE CAPITAL AND DEBENTURE) RULES, 2014, ANY OTHER APPLICABLE RULES, SECURITIES AND EXCHANGE BOARD OF INDIA (ISSUE AND LISTING OF DEBT SECURITIES) REGULATIONS, 2008, ANY OTHER APPLICABLE PROVISIONS OF LAW, ANY AMENDMENTS, MODIFICATIONS, VARIATIONS OR REENACTMENTS THERETO FROM TIME TO TIME, AND THE PROVISIONS OF THE MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE BANK AND SUBJECT TO SUCH OTHER APPROVAL(S), | Management | | | For | | | For | | | | |
| | | CONSENT(S), PERMISSION(S) AND SANCTION(S) AS MAY BE NECESSARY FROM THE CONCERNED AUTHORITIES / REGULATORS / STATUTORY AUTHORITY(IES), INCLUDING THE RESERVE BANK OF INDIA ("RBI"), THE APPROVAL OF THE MEMBERS OF THE BANK BE AND IS HEREBY ACCORDED TO THE BOARD OF DIRECTORS OF THE BANK (HEREINAFTER REFERRED TO AS "BOARD" AND WHICH TERM SHALL BE DEEMED TO INCLUDE ANY COMMITTEE OF THE BOARD OR ANY OTHER PERSONS TO WHOM POWERS ARE DELEGATED BY THE BOARD AS PERMITTED UNDER THE COMPANIES ACT, 2013 OR RULES THEREUNDER) FOR BORROWING / RAISING FUNDS IN INDIAN CURRENCY BY ISSUE OF UNSECURED PERPETUAL DEBT INSTRUMENTS (PART OF ADDITIONAL TIER I CAPITAL), TIER II CAPITAL BONDS AND LONG TERM BONDS (FINANCING OF INFRASTRUCTURE AND AFFORDABLE HOUSING) IN DOMESTIC MARKET ON A PRIVATE PLACEMENT BASIS AND / OR FOR MAKING OFFERS AND / OR INVITATIONS THEREFOR AND / OR ISSUE(S) / ISSUANCES THEREFOR, ON PRIVATE PLACEMENT BASIS, FOR A PERIOD OF ONE (1) YEAR FROM THE DATE HEREOF, IN ONE OR MORE TRANCHES AND / OR SERIES AND UNDER ONE OR MORE SHELF DISCLOSURE DOCUMENTS AND / OR ONE OR MORE ISSUES / LETTERS OF OFFER OR SUCH OTHER DOCUMENTS OR AMENDMENTS / REVISIONS THEREOF AND ON SUCH TERMS AND CONDITIONS FOR EACH SERIES / TRANCHES INCLUDING THE PRICE, COUPON, PREMIUM, DISCOUNT, TENOR, ETC. AS DEEMED FIT BY THE BOARD, AS PER THE STRUCTURE AND WITHIN THE LIMITS PERMITTED BY THE RBI, OF AN AMOUNT IN AGGREGATE NOT EXCEEDING INR 50,000 CRORES (RUPEES FIFTY THOUSAND CRORES ONLY); RESOLVED FURTHER THAT THE MEMBERS OF THE BANK DO HEREBY ACCORD APPROVAL TO THE BOARD OF DIRECTORS OF THE BANK TO SIGN AND EXECUTE ALL SUCH DOCUMENTS, DEEDS AND WRITINGS AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS MAY BE DEEMED NECESSARY, EXPEDIENT AND INCIDENTAL THERETO WITH POWER TO SETTLE ALL QUESTIONS, DIFFICULTIES OR DOUBTS THAT MAY ARISE WITH REGARD TO ANY OF THE SAID MATTERS, AND TO DELEGATE ALL OR ANY OF ITS POWERS HEREIN CONFERRED TO ANY COMMITTEE OF DIRECTORS AND / OR DIRECTOR(S) AND / OR OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY OTHER PERSON(S) TO GIVE EFFECT TO THE AFORESAID RESOLUTION." | | | | | | | | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 102,178 | | 0 | 26-Jun-2020 | 26-Jun-2020 |
| MICROCHIP TECHNOLOGY INCORPORATED | | | |
| Security | 595017104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | MCHP | | | | | | | | | | Meeting Date | | 18-Aug-2020 |
| ISIN | US5950171042 | | | | | | | | | | Agenda | | 935248357 - Management |
| Record Date | 24-Jun-2020 | | | | | | | | | | Holding Recon Date | | 24-Jun-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 17-Aug-2020 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1a. | Election of Director: Steve Sanghi | Management | | | For | | | For | | | | |
| 1b. | Election of Director: Matthew W. Chapman | Management | | | For | | | For | | | | |
| 1c. | Election of Director: L.B. Day | Management | | | For | | | For | | | | |
| 1d. | Election of Director: Esther L. Johnson | Management | | | For | | | For | | | | |
| 1e. | Election of Director: Wade F. Meyercord | Management | | | For | | | For | | | | |
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2021. | Management | | | For | | | For | | | | |
| 3. | Proposal to approve, on an advisory (non-binding) basis, the compensation of our named executives. | 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 | 9,650 | | 0 | 15-Jul-2020 | 15-Jul-2020 |
| SLR INVESTMENT CORP. | | | |
| Security | 83413U100 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | SLRC | | | | | | | | | | Meeting Date | | 06-Oct-2020 |
| ISIN | US83413U1007 | | | | | | | | | | Agenda | | 935263626 - Management |
| Record Date | 11-Aug-2020 | | | | | | | | | | Holding Recon Date | | 11-Aug-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 05-Oct-2020 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Bruce Spohler | | | | | | For | | | For | | | | |
| | | | 2 | Steven Hochberg | | | | | | 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 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 34,600 | | 0 | 21-Aug-2020 | 21-Aug-2020 |
| LAM RESEARCH CORPORATION | | | |
| Security | 512807108 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | LRCX | | | | | | | | | | Meeting Date | | 03-Nov-2020 |
| ISIN | US5128071082 | | | | | | | | | | Agenda | | 935272675 - Management |
| Record Date | 04-Sep-2020 | | | | | | | | | | Holding Recon Date | | 04-Sep-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 02-Nov-2020 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Sohail U. Ahmed | | | | | | For | | | For | | | | |
| | | | 2 | Timothy M. Archer | | | | | | For | | | For | | | | |
| | | | 3 | Eric K. Brandt | | | | | | For | | | For | | | | |
| | | | 4 | Michael R. Cannon | | | | | | For | | | For | | | | |
| | | | 5 | Catherine P. Lego | | | | | | For | | | For | | | | |
| | | | 6 | Bethany J. Mayer | | | | | | For | | | For | | | | |
| | | | 7 | Abhijit Y. Talwalkar | | | | | | For | | | For | | | | |
| | | | 8 | Lih Shyng (Rick L) Tsai | | | | | | For | | | For | | | | |
| | | | 9 | Leslie F. Varon | | | | | | For | | | For | | | | |
| 2. | Advisory vote to approve the compensation of the named executive officers of Lam Research, or "Say on Pay." | Management | | | For | | | For | | | | |
| 3. | Ratification of the appointment of the independent registered public accounting firm for fiscal year 2021. | 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 | 150 | | 3,310 | 24-Sep-2020 | 24-Sep-2020 |
| MICROSOFT CORPORATION | | | |
| Security | 594918104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | MSFT | | | | | | | | | | Meeting Date | | 02-Dec-2020 |
| ISIN | US5949181045 | | | | | | | | | | Agenda | | 935284478 - Management |
| Record Date | 08-Oct-2020 | | | | | | | | | | Holding Recon Date | | 08-Oct-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 01-Dec-2020 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Reid G. Hoffman | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Hugh F. Johnston | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Teri L. List-Stoll | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Satya Nadella | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Sandra E. Peterson | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Penny S. Pritzker | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Charles W. Scharf | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Arne M. Sorenson | Management | | | For | | | For | | | | |
| 1I. | Election of Director: John W. Stanton | Management | | | For | | | For | | | | |
| 1J. | Election of Director: John W. Thompson | Management | | | For | | | For | | | | |
| 1K. | Election of Director: Emma N. Walmsley | Management | | | For | | | For | | | | |
| 1L. | 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 2021. | Management | | | For | | | For | | | | |
| 4. | Shareholder Proposal - Report on Employee Representation on Board of Directors. | 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 | 750 | | 0 | 21-Oct-2020 | 21-Oct-2020 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 172 | | 17,400 | 21-Oct-2020 | 21-Oct-2020 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 8,405 | | 0 | 21-Oct-2020 | 21-Oct-2020 |
| BARINGS BDC, INC. | | | |
| Security | 06759L103 | | | | | | | | | | Meeting Type | | Special |
| Ticker Symbol | BBDC | | | | | | | | | | Meeting Date | | 23-Dec-2020 |
| ISIN | US06759L1035 | | | | | | | | | | Agenda | | 935311314 - Management |
| Record Date | 29-Oct-2020 | | | | | | | | | | Holding Recon Date | | 29-Oct-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 22-Dec-2020 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). | Management | | | For | | | For | | | | |
| 2. | To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. | Management | | | For | | | For | | | | |
| 3. | To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC. | Management | | | For | | | For | | | | |
| 4. | To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. | 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 | 14,700 | | 0 | 01-Dec-2020 | 01-Dec-2020 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 188,000 | | 0 | 01-Dec-2020 | 01-Dec-2020 |
| D.R. HORTON, INC. | | | |
| Security | 23331A109 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | DHI | | | | | | | | | | Meeting Date | | 20-Jan-2021 |
| ISIN | US23331A1097 | | | | | | | | | | Agenda | | 935320870 - Management |
| Record Date | 30-Nov-2020 | | | | | | | | | | Holding Recon Date | | 30-Nov-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-Jan-2021 |
| 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 | | | | |
| 1F. | Election of director: Maribess L. Miller | 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 | 100 | | 35,500 | 29-Dec-2020 | 29-Dec-2020 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 3,000 | | 0 | 29-Dec-2020 | 29-Dec-2020 |
| INTUIT INC. | | | |
| Security | 461202103 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | INTU | | | | | | | | | | Meeting Date | | 21-Jan-2021 |
| ISIN | US4612021034 | | | | | | | | | | Agenda | | 935313217 - Management |
| Record Date | 23-Nov-2020 | | | | | | | | | | Holding Recon Date | | 23-Nov-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 20-Jan-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1a. | Election of Director: Eve Burton | Management | | | For | | | For | | | | |
| 1b. | Election of Director: Scott D. Cook | Management | | | For | | | For | | | | |
| 1c. | Election of Director: Richard L. Dalzell | Management | | | For | | | For | | | | |
| 1d. | Election of Director: Sasan K. Goodarzi | Management | | | For | | | For | | | | |
| 1e. | Election of Director: Deborah Liu | Management | | | For | | | For | | | | |
| 1f. | Election of Director: Tekedra Mawakana | Management | | | For | | | For | | | | |
| 1g. | Election of Director: Suzanne Nora Johnson | Management | | | For | | | For | | | | |
| 1h. | Election of Director: Dennis D. Powell | Management | | | For | | | For | | | | |
| 1i. | Election of Director: Brad D. Smith | Management | | | For | | | For | | | | |
| 1j. | Election of Director: Thomas Szkutak | Management | | | For | | | For | | | | |
| 1k. | Election of Director: Raul Vazquez | Management | | | For | | | For | | | | |
| 1l. | Election of Director: Jeff Weiner | Management | | | For | | | For | | | | |
| 2. | Advisory vote to approve Intuit's executive compensation (say-on-pay). | Management | | | For | | | For | | | | |
| 3. | Ratification of the selection of Ernst & Young LLP as Intuit's independent registered public accounting firm for the fiscal year ending July 31, 2021. | 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 | 1,005 | | 0 | 05-Dec-2020 | 05-Dec-2020 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 1,500 | | 0 | 05-Dec-2020 | 05-Dec-2020 |
| GOLUB CAPITAL BDC, INC. | | | |
| Security | 38173M102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | GBDC | | | | | | | | | | Meeting Date | | 05-Feb-2021 |
| ISIN | US38173M1027 | | | | | | | | | | Agenda | | 935319144 - Management |
| Record Date | 14-Dec-2020 | | | | | | | | | | Holding Recon Date | | 14-Dec-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 04-Feb-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: John T. Baily | Management | | | For | | | For | | | | |
| 1B. | Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: Kenneth F. Bernstein | 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, 2021. | 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 | 68,275 | | 0 | 22-Dec-2020 | 22-Dec-2020 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 37,500 | | 0 | 22-Dec-2020 | 22-Dec-2020 |
| APPLE INC. | | | |
| Security | 037833100 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | AAPL | | | | | | | | | | Meeting Date | | 23-Feb-2021 |
| ISIN | US0378331005 | | | | | | | | | | Agenda | | 935323167 - Management |
| Record Date | 28-Dec-2020 | | | | | | | | | | Holding Recon Date | | 28-Dec-2020 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 22-Feb-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: James Bell | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Tim Cook | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Al Gore | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Andrea Jung | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Art Levinson | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Monica Lozano | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Ron Sugar | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Sue Wagner | Management | | | For | | | For | | | | |
| 2. | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for fiscal 2021. | Management | | | For | | | For | | | | |
| 3. | Advisory vote to approve executive compensation. | Management | | | For | | | For | | | | |
| 4. | A shareholder proposal entitled "Shareholder Proxy Access Amendments". | Shareholder | | | Against | | | For | | | | |
| 5. | A shareholder proposal entitled "Shareholder Proposal to Improve Executive Compensation Program". | 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 | 48,805 | | 0 | 07-Jan-2021 | 07-Jan-2021 |
| INFINEON TECHNOLOGIES AG | | | |
| Security | D35415104 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 25-Feb-2021 |
| ISIN | DE0006231004 | | | | | | | | | | Agenda | | 713541060 - Management |
| Record Date | 18-Feb-2021 | | | | | | | | | | Holding Recon Date | | 18-Feb-2021 |
| City / | Country | | NEUBIBE RG | / | Germany | | | | | | | Vote Deadline Date | | 11-Feb-2021 |
| SEDOL(s) | 5889505 - B0CRGY4 - B108X56 - B7N2TT3 - BF0Z753 | | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | | | | | | | | | | |
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES-TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN-COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH-REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE-RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE-THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY-TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE- REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD-MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | | | | | |
| CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE-AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB-CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE-CONTACT YOUR CLIENT SERVICES REPRESENTATIVE. | Non-Voting | | | | | | | | | | |
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN- CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE- NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING | Non-Voting | | | | | | | | | | |
| | | ACT (WPHG). FOR-QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL. | | | | | | | | | | | | | | | | | |
| CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE-ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE-APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A-MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING.- COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE. | Non-Voting | | | | | | | | | | |
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN-PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE. | Non-Voting | | | | | | | | | | |
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL 2020 | Non-Voting | | | | | | | | | | |
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.22 PER SHARE | Management | | | For | | | For | | | | |
| 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER REINHARD PLOSS FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER HELMUT GASSEL FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOCHEN HANEBECK FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER SVEN SCHNEIDER FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WOLFGANG EDER FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER BAUER (UNTIL FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER XIAOQUN CLEVER (FROM FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JOHANN DECHANT FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HERBERT DIESS (UNTIL FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER FRIEDRICH EICHINER (FROM FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANNETTE ENGELFRIED FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER GRUBER FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERHARD HOBBACH (UNTIL FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HANS ULRICH HOLDENRIED FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER RENATE KOECHER (UNTIL FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER SUSANNE LACHENMANN FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALDINE PICAUD FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MANFRED PUFFER FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MELANIE RIEDL (FROM FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER KERSTIN SCHULZENDORF FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.17 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN SCHOLZ FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.18 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ULRICH SPIESSHOFER (FROM FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.19 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARGRET SUCKALE (FROM FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.20 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ECKART SUENNER (UNTIL FEB. 20, 2020) FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 4.21 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DIANA VITALE FOR FISCAL 2020 | Management | | | For | | | For | | | | |
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL 2021 | Management | | | For | | | For | | | | |
| 6 | APPROVE REMUNERATION POLICY | Management | | | For | | | For | | | | |
| 7 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Management | | | For | | | For | | | | |
| 8 | APPROVE CREATION OF EUR 30 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN | Management | | | For | | | For | | | | |
| 9 | AMEND ARTICLES RE: INFORMATION FOR REGISTRATION IN THE SHARE REGISTER | Management | | | For | | | For | | | | |
| 10 | AMEND ARTICLES RE: SUPERVISORY BOARD'S RULES OF PROCEDURE | Management | | | For | | | For | | | | |
| CMMT | 18 JAN 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF- DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED-CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU | Non-Voting | | | | | | | | | | |
| CMMT | 20 JAN 2021: 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 | | | | | | | | | | |
| CMMT | 20 JAN 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS)-AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT-CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE-CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS-PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE- BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS- MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION-AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE- TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST- SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY- PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | | | | | | | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 55,052 | | 0 | 16-Jan-2021 | 16-Jan-2021 |
| SAMSUNG ELECTRONICS CO LTD | | | |
| Security | Y74718100 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 17-Mar-2021 |
| ISIN | KR7005930003 | | | | | | | | | | Agenda | | 713609038 - Management |
| Record Date | 31-Dec-2020 | | | | | | | | | | Holding Recon Date | | 31-Dec-2020 |
| City / | Country | | GYEONG GI | / | Korea, Republic Of | | | | | | | Vote Deadline Date | | 05-Mar-2021 |
| SEDOL(s) | 6771720 - B19VC15 | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | APPROVAL OF FINANCIAL STATEMENTS | Management | | | For | | | For | | | | |
| 2.1.1 | ELECTION OF OUTSIDE DIRECTOR: BAK BYEONG GUK | Management | | | For | | | For | | | | |
| 2.1.2 | ELECTION OF OUTSIDE DIRECTOR: GIM JONG HUN | Management | | | For | | | For | | | | |
| 2.2.1 | ELECTION OF INSIDE DIRECTOR: GIM GI NAM | Management | | | For | | | For | | | | |
| 2.2.2 | ELECTION OF INSIDE DIRECTOR: GIM HYEON SEOK | Management | | | For | | | For | | | | |
| 2.2.3 | ELECTION OF INSIDE DIRECTOR: GO DONG JIN | Management | | | For | | | For | | | | |
| 3 | ELECTION OF OUTSIDE DIRECTOR WHO IS AN AUDIT COMMITTEE MEMBER: KIM SUNWOOK | Management | | | For | | | For | | | | |
| 4 | APPROVAL OF REMUNERATION FOR DIRECTOR | Management | | | For | | | For | | | | |
| CMMT | 17 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN TEXT OF- RESOLUTION 3. 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 | 57,642 | | 0 | 17-Feb-2021 | 17-Feb-2021 |
| TRANSDIGM GROUP INCORPORATED | | | |
| Security | 893641100 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | TDG | | | | | | | | | | Meeting Date | | 18-Mar-2021 |
| ISIN | US8936411003 | | | | | | | | | | Agenda | | 935331873 - Management |
| Record Date | 27-Jan-2021 | | | | | | | | | | Holding Recon Date | | 27-Jan-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 17-Mar-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | David Barr | | | | | | For | | | For | | | | |
| | | | 2 | Mervin Dunn | | | | | | For | | | For | | | | |
| | | | 3 | Michael Graff | | | | | | For | | | For | | | | |
| | | | 4 | Sean Hennessy | | | | | | For | | | For | | | | |
| | | | 5 | W. Nicholas Howley | | | | | | For | | | For | | | | |
| | | | 6 | Raymond Laubenthal | | | | | | For | | | For | | | | |
| | | | 7 | Gary E. McCullough | | | | | | For | | | For | | | | |
| | | | 8 | Michele Santana | | | | | | For | | | For | | | | |
| | | | 9 | Robert Small | | | | | | For | | | For | | | | |
| | | | 10 | John Staer | | | | | | For | | | For | | | | |
| | | | 11 | Kevin Stein | | | | | | For | | | For | | | | |
| 2. | To approve (in an advisory vote) compensation paid to the Company's named executive officers. | Management | | | For | | | For | | | | |
| 3. | To ratify the selection of Ernst & Young LLP as the Company's independent accountants for the fiscal year ending September 30, 2021. | 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 | 2,150 | | 0 | 06-Feb-2021 | 06-Feb-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 1,097 | | 0 | 06-Feb-2021 | 06-Feb-2021 |
| BROADCOM INC | | | |
| Security | 11135F101 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | AVGO | | | | | | | | | | Meeting Date | | 05-Apr-2021 |
| ISIN | US11135F1012 | | | | | | | | | | Agenda | | 935335768 - Management |
| Record Date | 08-Feb-2021 | | | | | | | | | | Holding Recon Date | | 08-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 01-Apr-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Ms. Diane M. Bryant | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Ms. Gayla J. Delly | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Mr. Raul J. Fernandez | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Mr. Eddy W. Hartenstein | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Mr. Check Kian Low | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Ms. Justine F. Page | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Dr. Henry Samueli | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Mr. Hock E. Tan | Management | | | For | | | For | | | | |
| 1I. | 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 October 31, 2021. | Management | | | For | | | For | | | | |
| 3. | Approval of an amendment and restatement of Broadcom's 2012 Stock Incentive Plan. | Management | | | For | | | For | | | | |
| 4. | 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 | 100 | | 5,100 | 20-Feb-2021 | 20-Feb-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 1,000 | | 0 | 20-Feb-2021 | 20-Feb-2021 |
| LENNAR CORPORATION | | | |
| Security | 526057104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | LEN | | | | | | | | | | Meeting Date | | 07-Apr-2021 |
| ISIN | US5260571048 | | | | | | | | | | Agenda | | 935339300 - Management |
| Record Date | 16-Feb-2021 | | | | | | | | | | Holding Recon Date | | 16-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 06-Apr-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director to serve until the 2022 Annual Meeting: Amy Banse | Management | | | For | | | For | | | | |
| 1B. | Election of Director to serve until the 2022 Annual Meeting: Rick Beckwitt | Management | | | For | | | For | | | | |
| 1C. | Election of Director to serve until the 2022 Annual Meeting: Steven L. Gerard | Management | | | For | | | For | | | | |
| 1D. | Election of Director to serve until the 2022 Annual Meeting: Tig Gilliam | Management | | | For | | | For | | | | |
| 1E. | Election of Director to serve until the 2022 Annual Meeting: Sherrill W. Hudson | Management | | | For | | | For | | | | |
| 1F. | Election of Director to serve until the 2022 Annual Meeting: Jonathan M. Jaffe | Management | | | For | | | For | | | | |
| 1G. | Election of Director to serve until the 2022 Annual Meeting: Sidney Lapidus | Management | | | For | | | For | | | | |
| 1H. | Election of Director to serve until the 2022 Annual Meeting: Teri P. McClure | Management | | | For | | | For | | | | |
| 1I. | Election of Director to serve until the 2022 Annual Meeting: Stuart Miller | Management | | | For | | | For | | | | |
| 1J. | Election of Director to serve until the 2022 Annual Meeting: Armando Olivera | Management | | | For | | | For | | | | |
| 1K. | Election of Director to serve until the 2022 Annual Meeting: Jeffrey Sonnenfeld | Management | | | For | | | For | | | | |
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | | | For | | | For | | | | |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2021. | Management | | | For | | | For | | | | |
| 4. | Approval of a stockholder proposal regarding our common stock voting structure. | 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 | | 34,700 | 26-Feb-2021 | 26-Feb-2021 |
| BANK OF AMERICA CORPORATION | | | |
| Security | 060505104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | BAC | | | | | | | | | | Meeting Date | | 20-Apr-2021 |
| ISIN | US0605051046 | | | | | | | | | | Agenda | | 935345670 - Management |
| Record Date | 01-Mar-2021 | | | | | | | | | | Holding Recon Date | | 01-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-Apr-2021 |
| 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: Frank P. Bramble, Sr. | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Pierre J.P. de Weck | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Arnold W. Donald | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Linda P. Hudson | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Monica C. Lozano | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Thomas J. May | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Brian T. Moynihan | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Lionel L. Nowell III | Management | | | For | | | For | | | | |
| 1K. | Election of Director: Denise L. Ramos | 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, nonbinding "Say on Pay" resolution). | Management | | | For | | | For | | | | |
| 3. | Ratifying the appointment of our independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 4. | Amending and restating the Bank of America Corporation Key Employee Equity Plan. | Management | | | For | | | For | | | | |
| 5. | Shareholder proposal requesting amendments to our proxy access by law. | Shareholder | | | Against | | | For | | | | |
| 6. | Shareholder proposal requesting amendments to allow shareholders to act by written consent. | Shareholder | | | Against | | | For | | | | |
| 7. | Shareholder proposal requesting a change in organizational form. | Shareholder | | | Against | | | For | | | | |
| 8. | Shareholder proposal requesting a racial equity audit. | 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 | 161 | | 92,800 | 09-Mar-2021 | 09-Mar-2021 |
| HUMANA INC. | | | |
| Security | 444859102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | HUM | | | | | | | | | | Meeting Date | | 22-Apr-2021 |
| ISIN | US4448591028 | | | | | | | | | | Agenda | | 935341331 - Management |
| Record Date | 22-Feb-2021 | | | | | | | | | | Holding Recon Date | | 22-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 21-Apr-2021 |
| 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: Raquel C. Bono, M.D. | 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: Wayne A. I. Frederick, M.D. | Management | | | For | | | For | | | | |
| 1F) | Election of Director: John W. Garratt | Management | | | For | | | For | | | | |
| 1G) | Election of Director: David A. Jones, Jr. | Management | | | For | | | For | | | | |
| 1H) | Election of Director: Karen W. Katz | Management | | | For | | | For | | | | |
| 1I) | Election of Director: Marcy S. Klevorn | Management | | | For | | | For | | | | |
| 1J) | Election of Director: William J. McDonald | Management | | | For | | | For | | | | |
| 1K) | Election of Director: Jorge S. Mesquita | Management | | | For | | | For | | | | |
| 1L) | Election of Director: James J. O'Brien | Management | | | For | | | For | | | | |
| 1M) | 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. | Non-binding advisory vote for the approval of the compensation of the named executive officers as disclosed in the 2021 proxy statement. | 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 | 1,970 | | 0 | 11-Mar-2021 | 11-Mar-2021 |
| PFIZER INC. | | | |
| Security | 717081103 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | PFE | | | | | | | | | | Meeting Date | | 22-Apr-2021 |
| ISIN | US7170811035 | | | | | | | | | | Agenda | | 935344503 - Management |
| Record Date | 24-Feb-2021 | | | | | | | | | | Holding Recon Date | | 24-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 21-Apr-2021 |
| 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: Susan Desmond-Hellmann | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Joseph J. Echevarria | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Scott Gottlieb | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Helen H. Hobbs | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Susan Hockfield | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Dan R. Littman | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Shantanu Narayen | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Suzanne Nora Johnson | Management | | | For | | | For | | | | |
| 1K. | Election of Director: James Quincey | Management | | | For | | | For | | | | |
| 1L. | Election of Director: James C. Smith | Management | | | For | | | For | | | | |
| 2. | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 3. | 2021 advisory approval of executive compensation. | Management | | | For | | | For | | | | |
| 4. | Shareholder proposal regarding independent chair policy. | Shareholder | | | Against | | | For | | | | |
| 5. | Shareholder proposal regarding political spending report. | Shareholder | | | Against | | | For | | | | |
| 6. | Shareholder proposal regarding access to COVID-19 products. | 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 | | 31,800 | 13-Mar-2021 | 13-Mar-2021 |
| AGNC INVESTMENT CORP. | | | |
| Security | 00123Q104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | AGNC | | | | | | | | | | Meeting Date | | 22-Apr-2021 |
| ISIN | US00123Q1040 | | | | | | | | | | Agenda | | 935345199 - Management |
| Record Date | 26-Feb-2021 | | | | | | | | | | Holding Recon Date | | 26-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 21-Apr-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Donna J. Blank | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Morris A. Davis | Management | | | For | | | For | | | | |
| 1C. | Election of Director: John D. Fisk | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Prue B. Larocca | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Paul E. Mullings | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Frances R. Spark | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Gary D. Kain | Management | | | For | | | For | | | | |
| 2. | Approval of the Amended and Restated AGNC Investment Corp. 2016 Equity and Incentive Compensation Plan. | 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, 2021. | 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 | 37,600 | | 0 | 13-Mar-2021 | 13-Mar-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 171,700 | 13-Mar-2021 | 13-Mar-2021 |
| JOHNSON & JOHNSON | | | |
| Security | 478160104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | JNJ | | | | | | | | | | Meeting Date | | 22-Apr-2021 |
| ISIN | US4781601046 | | | | | | | | | | Agenda | | 935345214 - Management |
| Record Date | 23-Feb-2021 | | | | | | | | | | Holding Recon Date | | 23-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 21-Apr-2021 |
| 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: Hubert Joly | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Mark B. McClellan | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Anne M. Mulcahy | 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: Mark A. Weinberger | Management | | | For | | | For | | | | |
| 1M. | Election of Director: Nadja Y. West | Management | | | For | | | For | | | | |
| 1N. | 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 2021. | Management | | | For | | | For | | | | |
| 4. | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | Shareholder | | | Against | | | For | | | | |
| 5. | Independent Board Chair. | Shareholder | | | Against | | | For | | | | |
| 6. | Civil Rights Audit. | Shareholder | | | Against | | | For | | | | |
| 7. | Executive Compensation Bonus Deferral. | 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 | 2,450 | | 0 | 11-Mar-2021 | 11-Mar-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 150 | | 12,100 | 11-Mar-2021 | 11-Mar-2021 |
| CITIGROUP INC. | | | |
| Security | 172967424 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | C | | | | | | | | | | Meeting Date | | 27-Apr-2021 |
| ISIN | US1729674242 | | | | | | | | | | Agenda | | 935349515 - Management |
| Record Date | 01-Mar-2021 | | | | | | | | | | Holding Recon Date | | 01-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 26-Apr-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Ellen M. Costello | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Grace E. Dailey | 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: Jane N. Fraser | 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 2021. | Management | | | For | | | For | | | | |
| 3. | Advisory vote to approve Citi's 2020 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 an Independent Board Chairman. | Shareholder | | | Against | | | For | | | | |
| 7. | Stockholder proposal requesting non-management employees on director nominee candidate lists. | Shareholder | | | Against | | | For | | | | |
| 8. | Stockholder proposal requesting a report disclosing information regarding Citi's lobbying payments, policies and activities. | Shareholder | | | Against | | | For | | | | |
| 9. | Stockholder proposal requesting a racial equity audit analyzing Citi's adverse impacts on nonwhite stakeholders and communities of color. | Shareholder | | | Against | | | For | | | | |
| 10. | Stockholder proposal requesting that the Board approve an amendment to Citi's Certificate of Incorporation to become a Public Benefit Corporation and to submit the proposed amendment to stockholders for approval. | 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 | 106 | | 39,900 | 19-Mar-2021 | 19-Mar-2021 |
| HONG KONG EXCHANGES AND CLEARING LTD | | | |
| Security | Y3506N139 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 28-Apr-2021 |
| ISIN | HK0388045442 | | | | | | | | | | Agenda | | 713690180 - Management |
| Record Date | 22-Apr-2021 | | | | | | | | | | Holding Recon Date | | 22-Apr-2021 |
| City / | Country | | HONGK ONG | / | Hong Kong | | | | | | | Vote Deadline Date | | 21-Apr-2021 |
| SEDOL(s) | 4062493 - 6267359 - BD8NDX5 - BMF1SX0 - BP3RQ60 | | | | | | | 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/2021/ 0316/2021031600529.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0316/2021031600523.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 FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 DECEMBER 2020 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITOR THEREON | Management | | | For | | | For | | | | |
| 2.A | TO ELECT NICHOLAS CHARLES ALLEN AS DIRECTOR | Management | | | For | | | For | | | | |
| 2.B | TO ELECT CHEUNG MING MING, ANNA AS DIRECTOR | Management | | | For | | | For | | | | |
| 2.C | TO ELECT ZHANG YICHEN AS DIRECTOR | Management | | | For | | | For | | | | |
| 3 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS THE AUDITOR AND TO AUTHORISE THE DIRECTORS TO FIX ITS REMUNERATION | Management | | | For | | | For | | | | |
| 4 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF HKEX, NOT EXCEEDING 10% OF THE NUMBER OF ISSUED SHARES OF HKEX AS AT THE DATE OF THIS RESOLUTION | Management | | | For | | | For | | | | |
| 5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF HKEX, NOT EXCEEDING 10% OF THE NUMBER OF ISSUED SHARES OF HKEX AS AT THE DATE OF THIS RESOLUTION, AND THE DISCOUNT FOR ANY SHARES TO BE ISSUED SHALL NOT EXCEED 10% | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 36,000 | | 0 | 17-Mar-2021 | 17-Mar-2021 |
| BE SEMICONDUCTOR INDUSTRIES NV BESI | | | |
| Security | N13107144 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 30-Apr-2021 |
| ISIN | NL0012866412 | | | | | | | | | | Agenda | | 713713293 - Management |
| Record Date | 02-Apr-2021 | | | | | | | | | | Holding Recon Date | | 02-Apr-2021 |
| City / | Country | | TBD | / | Netherlands | | | | | | | Vote Deadline Date | | 19-Apr-2021 |
| SEDOL(s) | BF17DR2 - BFX80F0 - BFXYCW9 - BG0SCK9 | | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO- BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | | | | | |
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | | | | | | | | | | |
| 1. | OPENING | Non-Voting | | | | | | | | | | |
| 2. | CONSIDERATION OF THE ANNUAL REPORT 2020 | Non-Voting | | | | | | | | | | |
| 3. | ADVISORY VOTE ON THE REMUNERATION REPORT 2020 | Management | | | For | | | For | | | | |
| 4. | CONSIDERATION AND ADOPTION OF THE ANNUAL ACCOUNTS 2020 | Management | | | For | | | For | | | | |
| 5. | DIVIDEND | Non-Voting | | | | | | | | | | |
| 5.a. | RESERVATION AND DIVIDEND POLICY | Non-Voting | | | | | | | | | | |
| 5.b. | DECLARATION OF DIVIDEND: EUR 1.70 PER SHARE | Management | | | For | | | For | | | | |
| 6. | DISCHARGE | Non-Voting | | | | | | | | | | |
| 6.a. | DISCHARGE OF THE MEMBER OF THE BOARD OF MANAGEMENT FOR HIS RESPONSIBILITIES | Management | | | For | | | For | | | | |
| 6.b. | DISCHARGE OF THE SUPERVISORY BOARD MEMBERS FOR THEIR RESPONSIBILITIES | Management | | | For | | | For | | | | |
| 7. | AMENDMENTS TO THE REMUNERATION POLICY 2020-2023 | Management | | | For | | | For | | | | |
| 8. | APPOINTMENT OF SUPERVISORY BOARD MEMBERS | Non-Voting | | | | | | | | | | |
| 8.a. | APPOINTMENT OF MS LAURA OLIPHANT AS SUPERVISORY BOARD MEMBER | Management | | | For | | | For | | | | |
| 8.b. | APPOINTMENT OF MS ELKE ECKSTEIN AS SUPERVISORY BOARD MEMBER | Management | | | For | | | For | | | | |
| 9. | AUTHORIZATION OF THE BOARD OF MANAGEMENT TO (I) ISSUE ORDINARY SHARES AND GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES AND TO (II) EXCLUDE OR RESTRICT PRE-EMPTIVE RIGHTS IN RELATION TO ORDINARY SHARES AND RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES | Management | | | For | | | For | | | | |
| 10. | AUTHORIZATION OF THE BOARD OF MANAGEMENT TO ACQUIRE ORDINARY SHARES | Management | | | For | | | For | | | | |
| 11. | REDUCTION OF THE COMPANY'S ISSUED SHARE CAPITAL BY CANCELLATION OF ORDINARY SHARES | Management | | | For | | | For | | | | |
| 12. | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | | | For | | | For | | | | |
| 13. | ANY OTHER BUSINESS | Non-Voting | | | | | | | | | | |
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN- INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | | | | | |
| 14 | CLOSING | Non-Voting | | | | | | | | | | |
| CMMT | 24 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF NON--VOTABLE RESOLUTION 14 AND MODIFICATION OF TEXT IN RESOLUTION 5.B. 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 | 11,871 | | 0 | 20-Mar-2021 | 20-Mar-2021 |
| ELI LILLY AND COMPANY | | | |
| Security | 532457108 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | LLY | | | | | | | | | | Meeting Date | | 03-May-2021 |
| ISIN | US5324571083 | | | | | | | | | | Agenda | | 935355354 - Management |
| Record Date | 22-Feb-2021 | | | | | | | | | | Holding Recon Date | | 22-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 30-Apr-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1a. | Election of Director to serve a three year term: K. Baicker, Ph.D. | Management | | | For | | | For | | | | |
| 1b. | Election of Director to serve a three year term: J.E. Fyrwald | Management | | | For | | | For | | | | |
| 1c. | Election of Director to serve a three year term: J. Jackson | Management | | | For | | | For | | | | |
| 1d. | Election of Director to serve a three year term: G. Sulzberger | Management | | | For | | | For | | | | |
| 1e. | Election of Director to serve a three year term: J.P. Tai | Management | | | For | | | For | | | | |
| 2. | Approval, on an advisory basis, of the compensation paid to the company's named executive officers. | Management | | | For | | | For | | | | |
| 3. | Ratification of the appointment of Ernst & Young LLP as the independent auditor for 2021. | Management | | | For | | | For | | | | |
| 4. | Approval of amendments to the company's Articles of Incorporation to eliminate the classified board structure. | Management | | | For | | | For | | | | |
| 5. | Approval of amendments to the company's 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 amend the bylaws to require an independent board chair. | Shareholder | | | Against | | | For | | | | |
| 8. | Shareholder proposal to implement a bonus deferral policy. | Shareholder | | | Against | | | For | | | | |
| 9. | 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 |
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 1,800 | | 0 | 20-Mar-2021 | 20-Mar-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 113 | | 7,300 | 20-Mar-2021 | 20-Mar-2021 |
| BAXTER INTERNATIONAL INC. | | | |
| Security | 071813109 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | BAX | | | | | | | | | | Meeting Date | | 04-May-2021 |
| ISIN | US0718131099 | | | | | | | | | | Agenda | | 935352459 - Management |
| Record Date | 11-Mar-2021 | | | | | | | | | | Holding Recon Date | | 11-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 03-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: José (Joe) 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: Peter S. Hellman | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Michael F. Mahoney | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Patricia B. Morrison | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Stephen N. Oesterle | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Cathy R. Smith | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Thomas T. Stallkamp | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Albert P.L. Stroucken | Management | | | For | | | For | | | | |
| 1K. | Election of Director: Amy A. Wendell | Management | | | For | | | For | | | | |
| 1L. | Election of Director: David S. Wilkes | 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. | Vote to Approve the Omnibus Plan. | Management | | | For | | | For | | | | |
| 5. | Vote to Approve the ESPP Amendment. | Management | | | For | | | For | | | | |
| 6. | Stockholder Proposal - Right to Act by Written Consent. | Shareholder | | | Against | | | For | | | | |
| 7. | Stockholder Proposal - Independent Board Chairman. | 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 | | 6,400 | 24-Mar-2021 | 24-Mar-2021 |
| PHYSICIANS REALTY TRUST | | | |
| Security | 71943U104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | DOC | | | | | | | | | | Meeting Date | | 05-May-2021 |
| ISIN | US71943U1043 | | | | | | | | | | Agenda | | 935348525 - Management |
| Record Date | 25-Feb-2021 | | | | | | | | | | Holding Recon Date | | 25-Feb-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 04-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | John T. Thomas | | | | | | For | | | For | | | | |
| | | | 2 | Tommy G. Thompson | | | | | | For | | | For | | | | |
| | | | 3 | Stanton D. Anderson | | | | | | For | | | For | | | | |
| | | | 4 | Mark A. Baumgartner | | | | | | For | | | For | | | | |
| | | | 5 | Albert C. Black, Jr. | | | | | | For | | | For | | | | |
| | | | 6 | William A. Ebinger, M.D | | | | | | For | | | For | | | | |
| | | | 7 | Pamela J. Kessler | | | | | | For | | | For | | | | |
| | | | 8 | Richard A. Weiss | | | | | | 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, 2021. | Management | | | For | | | For | | | | |
| 3. | To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed in the accompanying proxy statement. | 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 | 16,600 | | 0 | 26-Mar-2021 | 26-Mar-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 25,000 | | 0 | 26-Mar-2021 | 26-Mar-2021 |
| COMMUNITY HEALTHCARE TRUST INCORPORATED | | | |
| Security | 20369C106 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | CHCT | | | | | | | | | | Meeting Date | | 06-May-2021 |
| ISIN | US20369C1062 | | | | | | | | | | Agenda | | 935347383 - Management |
| Record Date | 05-Mar-2021 | | | | | | | | | | Holding Recon Date | | 05-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 05-May-2021 |
| 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 resolutions: 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 2021 annual meeting of stockholders. | Management | | | For | | | For | | | | |
| 3. | To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2021. | 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 | 64,900 | | 0 | 25-Mar-2021 | 25-Mar-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 11,500 | | 0 | 25-Mar-2021 | 25-Mar-2021 |
| ANTA SPORTS PRODUCTS LTD | | | |
| Security | G04011105 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 07-May-2021 |
| ISIN | KYG040111059 | | | | | | | | | | Agenda | | 713757271 - Management |
| Record Date | 04-May-2021 | | | | | | | | | | Holding Recon Date | | 04-May-2021 |
| City / | Country | | HONG KONG | / | Cayman Islands | | | | | | | Vote Deadline Date | | 30-Apr-2021 |
| SEDOL(s) | B1YVKN8 - B235FM2 - BD8NKZ6 - BP3RRC3 | | | | | | | 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/seh k/2021/0401/202104010222-5.pdf AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0401/2021040102315.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 2020 | Management | | | For | | | For | | | | |
| 2 | TO DECLARE A FINAL DIVIDEND OF HK47 CENTS PER ORDINARY SHARE OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2020 | Management | | | For | | | For | | | | |
| 3 | TO RE-ELECT MR. DING SHIJIA 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. YIU KIN WAH STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 6 | TO RE-ELECT MR. LAI HIN WING HENRY STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 7 | TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE COMPANY'S DIRECTORS | Management | | | For | | | For | | | | |
| 8 | 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 | | | | |
| 9 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH THE COMPANY'S SHARES | Management | | | For | | | For | | | | |
| 10 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE THE COMPANY'S SHARES | Management | | | For | | | For | | | | |
| 11 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY UNDER RESOLUTION NO. 9 BY THE NUMBER OF SHARES REPURCHASED UNDER RESOLUTION NO. 10 | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 50,000 | | 0 | 02-Apr-2021 | 02-Apr-2021 |
| ABBVIE INC. | | | |
| Security | 00287Y109 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | ABBV | | | | | | | | | | Meeting Date | | 07-May-2021 |
| ISIN | US00287Y1091 | | | | | | | | | | Agenda | | 935357891 - Management |
| Record Date | 08-Mar-2021 | | | | | | | | | | Holding Recon Date | | 08-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 06-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Roxanne S. Austin | | | | | | For | | | For | | | | |
| | | | 2 | Richard A. Gonzalez | | | | | | For | | | For | | | | |
| | | | 3 | Rebecca B. Roberts | | | | | | For | | | For | | | | |
| | | | 4 | Glenn F. Tilton | | | | | | For | | | For | | | | |
| 2. | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 3. | Say on Pay-An advisory vote on the approval of executive compensation. | Management | | | For | | | For | | | | |
| 4. | Approval of the Amended and Restated 2013 Incentive Stock Program. | Management | | | For | | | For | | | | |
| 5. | Approval of the Amended and Restated 2013 Employee Stock Purchase Plan for non-U.S. employees. | Management | | | For | | | For | | | | |
| 6. | Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | Management | | | For | | | For | | | | |
| 7. | Stockholder Proposal - to Issue an Annual Report on Lobbying. | Shareholder | | | Against | | | For | | | | |
| 8. | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman. | 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 | 110 | | 8,400 | 23-Mar-2021 | 23-Mar-2021 |
| THE GABELLI EQUITY TRUST INC. | | | |
| Security | 362397846 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | GABPRK | | | | | | | | | | Meeting Date | | 10-May-2021 |
| ISIN | US3623978463 | | | | | | | | | | Agenda | | 935371562 - Management |
| Record Date | 22-Mar-2021 | | | | | | | | | | Holding Recon Date | | 22-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 07-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Elizabeth Bogan | | | | | | For | | | For | | | | |
| | | | 2 | Michael J. Ferrantino | | | | | | For | | | For | | | | |
| | | | 3 | Agnes Mullady | | | | | | For | | | For | | | | |
| | | | 4 | James P. Conn | | | | | | 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 | 21,200 | | 0 | 30-Mar-2021 | 30-Mar-2021 |
| FIRST AMERICAN FINANCIAL CORPORATION | | | |
| Security | 31847R102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | FAF | | | | | | | | | | Meeting Date | | 11-May-2021 |
| ISIN | US31847R1023 | | | | | | | | | | Agenda | | 935380559 - Management |
| Record Date | 17-Mar-2021 | | | | | | | | | | Holding Recon Date | | 17-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 10-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Dennis J. Gilmore | | | | | | For | | | For | | | | |
| | | | 2 | Margaret M. McCarthy | | | | | | For | | | For | | | | |
| | | | 3 | Martha B. Wyrsch | | | | | | For | | | For | | | | |
| 2. | Advisory vote to approve executive compensation. | Management | | | For | | | For | | | | |
| 3. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | 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 | 2,200 | | 0 | 03-Apr-2021 | 03-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 68,200 | 03-Apr-2021 | 03-Apr-2021 |
| INTEL CORPORATION | | | |
| Security | 458140100 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | INTC | | | | | | | | | | Meeting Date | | 13-May-2021 |
| ISIN | US4581401001 | | | | | | | | | | Agenda | | 935369012 - Management |
| Record Date | 19-Mar-2021 | | | | | | | | | | Holding Recon Date | | 19-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 12-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Patrick P. Gelsinger | Management | | | For | | | For | | | | |
| 1B. | Election of Director: James J. Goetz | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Alyssa Henry | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Omar Ishrak | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Risa Lavizzo-Mourey | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Tsu-Jae King Liu | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Gregory D. Smith | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Dion J. Weisler | 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 2021. | Management | | | For | | | For | | | | |
| 3. | Advisory vote to approve executive compensation of our listed officers. | Management | | | For | | | For | | | | |
| 4. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. | Shareholder | | | Against | | | For | | | | |
| 5. | Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. | Shareholder | | | Against | | | For | | | | |
| 6. | Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, 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 | 100 | | 12,800 | 31-Mar-2021 | 31-Mar-2021 |
| ZIMMER BIOMET HOLDINGS, INC. | | | |
| Security | 98956P102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | ZBH | | | | | | | | | | Meeting Date | | 14-May-2021 |
| ISIN | US98956P1021 | | | | | | | | | | Agenda | | 935362892 - Management |
| Record Date | 15-Mar-2021 | | | | | | | | | | Holding Recon Date | | 15-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 13-May-2021 |
| 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: Michael J. Farrell | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Robert A. Hagemann | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Bryan C. Hanson | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Arthur J. Higgins | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Maria Teresa Hilado | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Syed Jafry | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Sreelakshmi Kolli | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Michael W. Michelson | Management | | | For | | | For | | | | |
| 2. | Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 3. | Approve, on a non-binding advisory basis, named executive officer compensation ("Say on Pay"). | Management | | | For | | | For | | | | |
| 4. | Approve the amended 2009 Stock Incentive Plan. | Management | | | For | | | For | | | | |
| 5. | Approve the amended Stock Plan for Non-Employee Directors. | Management | | | For | | | For | | | | |
| 6. | Approve the amended Deferred Compensation Plan for Non-Employee Directors. | Management | | | For | | | For | | | | |
| 7. | Approve amendments to our Restated Certificate of Incorporation to permit shareholders to call a special meeting. | 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 | 1,825 | | 0 | 01-Apr-2021 | 01-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 190 | | 5,900 | 01-Apr-2021 | 01-Apr-2021 |
| JPMORGAN CHASE & CO. | | | |
| Security | 46625H100 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | JPM | | | | | | | | | | Meeting Date | | 18-May-2021 |
| ISIN | US46625H1005 | | | | | | | | | | Agenda | | 935372285 - Management |
| Record Date | 19-Mar-2021 | | | | | | | | | | Holding Recon Date | | 19-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 17-May-2021 |
| 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: Phebe N. Novakovic | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Virginia M. Rometty | Management | | | For | | | For | | | | |
| 2. | Advisory resolution to approve executive compensation. | Management | | | For | | | For | | | | |
| 3. | Approval of Amended and Restated Long-Term Incentive Plan effective May 18, 2021. | Management | | | For | | | For | | | | |
| 4. | Ratification of independent registered public accounting firm. | Management | | | For | | | For | | | | |
| 5. | Improve shareholder written consent. | Shareholder | | | Against | | | For | | | | |
| 6. | Racial equity audit and report. | Shareholder | | | Against | | | For | | | | |
| 7. | Independent board chairman. | Shareholder | | | Against | | | For | | | | |
| 8. | Political and electioneering expenditure congruency report. | 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 | 5,660 | | 0 | 08-Apr-2021 | 08-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 12,650 | | 0 | 08-Apr-2021 | 08-Apr-2021 |
| THERMO FISHER SCIENTIFIC INC. | | | |
| Security | 883556102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | TMO | | | | | | | | | | Meeting Date | | 19-May-2021 |
| ISIN | US8835561023 | | | | | | | | | | Agenda | | 935375736 - Management |
| Record Date | 26-Mar-2021 | | | | | | | | | | Holding Recon Date | | 26-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 18-May-2021 |
| 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: R. Alexandra Keith | 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 2021. | Management | | | For | | | For | | | | |
| 4. | A shareholder Proposal regarding special Shareholder 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 | 150 | | 3,300 | 09-Apr-2021 | 09-Apr-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 950 | | 0 | 09-Apr-2021 | 09-Apr-2021 |
| ANNALY CAPITAL MANAGEMENT, INC. | | | |
| Security | 035710409 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | NLY | | | | | | | | | | Meeting Date | | 19-May-2021 |
| ISIN | US0357104092 | | | | | | | | | | Agenda | | 935377449 - Management |
| Record Date | 22-Mar-2021 | | | | | | | | | | Holding Recon Date | | 22-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 18-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Francine J. Bovich | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Wellington J. Denahan | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Katie Beirne Fallon | Management | | | For | | | For | | | | |
| 1D. | Election of Director: David L. Finkelstein | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Thomas Hamilton | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Kathy Hopinkah Hannan | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Michael Haylon | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Eric A. Reeves | Management | | | For | | | For | | | | |
| 1I. | Election of Director: John H. Schaefer | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Glenn A. Votek | Management | | | For | | | For | | | | |
| 1K. | Election of Director: Vicki Williams | Management | | | For | | | For | | | | |
| 2. | Advisory approval of the Company's executive compensation. | Management | | | For | | | For | | | | |
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | 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 | 70,000 | | 0 | 08-Apr-2021 | 08-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 427,000 | 08-Apr-2021 | 08-Apr-2021 |
| BARINGS BDC, INC. | | | |
| Security | 06759L103 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | BBDC | | | | | | | | | | Meeting Date | | 20-May-2021 |
| ISIN | US06759L1035 | | | | | | | | | | Agenda | | 935375104 - Management |
| Record Date | 12-Mar-2021 | | | | | | | | | | Holding Recon Date | | 12-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick | Management | | | For | | | For | | | | |
| 1B. | Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel | Management | | | For | | | For | | | | |
| 1C. | Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead | 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 30% 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 | 183,800 | | 0 | 01-Apr-2021 | 01-Apr-2021 |
| REDWOOD TRUST, INC. | | | |
| Security | 758075402 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | RWT | | | | | | | | | | Meeting Date | | 20-May-2021 |
| ISIN | US7580754023 | | | | | | | | | | Agenda | | 935380888 - Management |
| Record Date | 24-Mar-2021 | | | | | | | | | | Holding Recon Date | | 24-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Richard D. Baum | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Greg H. Kubicek | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Christopher J. Abate | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Armando Falcon | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Douglas B. Hansen | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Debora D. Horvath | Management | | | For | | | For | | | | |
| 1G. | Election of Director: George W. Madison | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Jeffrey T. Pero | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Georganne C. Proctor | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Faith A. Schwartz | Management | | | For | | | For | | | | |
| 2. | Ratification of the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 3. | Non-binding advisory resolution to approve named executive officer compensation. | Management | | | For | | | For | | | | |
| 4. | To vote to approve the amendment to the 2002 Employee Stock Purchase Plan to increase the number of shares available for purchase. | 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 | 79,900 | | 0 | 03-Apr-2021 | 03-Apr-2021 |
| ZOETIS INC. | | | |
| Security | 98978V103 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | ZTS | | | | | | | | | | Meeting Date | | 20-May-2021 |
| ISIN | US98978V1035 | | | | | | | | | | Agenda | | 935383252 - Management |
| Record Date | 26-Mar-2021 | | | | | | | | | | Holding Recon Date | | 26-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Sanjay Khosla | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Antoinette R. Leatherberry | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Willie M. Reed | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Linda Rhodes | 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 2021. | Management | | | For | | | For | | | | |
| 4. | Shareholder proposal regarding simple majority vote. | 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 | 155 | | 12,700 | 07-Apr-2021 | 07-Apr-2021 |
| EQUITABLE HOLDINGS, INC. | | | |
| Security | 29452E101 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | EQH | | | | | | | | | | Meeting Date | | 20-May-2021 |
| ISIN | US29452E1010 | | | | | | | | | | Agenda | | 935385129 - Management |
| Record Date | 23-Mar-2021 | | | | | | | | | | Holding Recon Date | | 23-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 19-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Francis A. Hondal | Management | | | For | | | For | | | | |
| 1B. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Daniel G. Kaye | Management | | | For | | | For | | | | |
| 1C. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Joan Lamm-Tennant | Management | | | For | | | For | | | | |
| 1D. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Kristi A. Matus | Management | | | For | | | For | | | | |
| 1E. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Ramon de Oliveira | Management | | | For | | | For | | | | |
| 1F. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Mark Pearson | Management | | | For | | | For | | | | |
| 1G. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Bertram L. Scott | Management | | | For | | | For | | | | |
| 1H. | Election of Director for a one-year term ending at the 2022 Annual Meeting: George Stansfield | Management | | | For | | | For | | | | |
| 1I. | Election of Director for a one-year term ending at the 2022 Annual Meeting: Charles G.T. Stonehill | Management | | | For | | | For | | | | |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. | Management | | | For | | | For | | | | |
| 3. | Advisory vote to approve the compensation paid to our 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 | 10,000 | | 0 | 09-Apr-2021 | 09-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 24,500 | | 53,000 | 09-Apr-2021 | 09-Apr-2021 |
| MERCK & CO., INC. | | | |
| Security | 58933Y105 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | MRK | | | | | | | | | | Meeting Date | | 25-May-2021 |
| ISIN | US58933Y1055 | | | | | | | | | | Agenda | | 935381044 - Management |
| Record Date | 26-Mar-2021 | | | | | | | | | | Holding Recon Date | | 26-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 24-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Leslie A. Brun | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Mary Ellen Coe | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Pamela J. Craig | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Kenneth C. Frazier | Management | | | For | | | For | | | | |
| 1E. | Election of Director: Thomas H. Glocer | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Risa J. Lavizzo-Mourey | Management | | | For | | | For | | | | |
| 1G. | Election of Director: Stephen L. Mayo | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Paul B. Rothman | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Patricia F. Russo | Management | | | For | | | For | | | | |
| 1J. | Election of Director: Christine E. Seidman | Management | | | For | | | For | | | | |
| 1K. | Election of Director: Inge G. Thulin | Management | | | For | | | For | | | | |
| 1L. | Election of Director: Kathy J. Warden | Management | | | For | | | For | | | | |
| 1M. | Election of Director: Peter C. Wendell | Management | | | For | | | For | | | | |
| 2. | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | | | For | | | For | | | | |
| 3. | Ratification of the appointment of the Company's independent registered public accounting firm for 2021. | Management | | | For | | | For | | | | |
| 4. | Shareholder proposal concerning a shareholder right to act by written consent. | Shareholder | | | Against | | | For | | | | |
| 5. | Shareholder proposal regarding access to COVID-19 products. | 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 | | 7,000 | 06-Apr-2021 | 06-Apr-2021 |
| ANTHEM, INC. | | | |
| Security | 036752103 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | ANTM | | | | | | | | | | Meeting Date | | 26-May-2021 |
| ISIN | US0367521038 | | | | | | | | | | Agenda | | 935387488 - Management |
| Record Date | 22-Mar-2021 | | | | | | | | | | Holding Recon Date | | 22-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 25-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1.1 | Election of Director: Lewis Hay, III | Management | | | For | | | For | | | | |
| 1.2 | Election of Director: Antonio F. Neri | Management | | | For | | | For | | | | |
| 1.3 | Election of Director: Ramiro G. Peru | Management | | | For | | | For | | | | |
| 2. | Advisory vote to approve the compensation of our named executive officers. | Management | | | For | | | For | | | | |
| 3. | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2021. | 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 | 900 | | 0 | 10-Apr-2021 | 10-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 195 | | 5,800 | 10-Apr-2021 | 10-Apr-2021 |
| SIXTH STREET SPECIALTY LENDING | | | |
| Security | 83012A109 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | TSLX | | | | | | | | | | Meeting Date | | 26-May-2021 |
| ISIN | US83012A1097 | | | | | | | | | | Agenda | | 935389797 - Management |
| Record Date | 31-Mar-2021 | | | | | | | | | | Holding Recon Date | | 31-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 25-May-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1. | DIRECTOR | Management | | | | | | | | | | |
| | | | 1 | Richard Higginbotham | | | | | | For | | | For | | | | |
| | | | 2 | David Stiepleman | | | | | | For | | | For | | | | |
| | | | 3 | Ronald Tanemura | | | | | | 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, 2021. | 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 | 11,800 | | 0 | 14-Apr-2021 | 14-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 42,400 | 14-Apr-2021 | 14-Apr-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 25,000 | | 0 | 14-Apr-2021 | 14-Apr-2021 |
| SIXTH STREET SPECIALTY LENDING | | | |
| Security | 83012A109 | | | | | | | | | | Meeting Type | | Special |
| Ticker Symbol | TSLX | | | | | | | | | | Meeting Date | | 26-May-2021 |
| ISIN | US83012A1097 | | | | | | | | | | Agenda | | 935396829 - Management |
| Record Date | 31-Mar-2021 | | | | | | | | | | Holding Recon Date | | 31-Mar-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 25-May-2021 |
| 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 |
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 11,800 | | 0 | 14-Apr-2021 | 14-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 42,400 | 14-Apr-2021 | 14-Apr-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 25,000 | | 0 | 14-Apr-2021 | 14-Apr-2021 |
| TOWNGAS CHINA CO LTD | | | |
| Security | G8972T106 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 27-May-2021 |
| ISIN | KYG8972T1067 | | | | | | | | | | Agenda | | 713910607 - Management |
| Record Date | 21-May-2021 | | | | | | | | | | Holding Recon Date | | 21-May-2021 |
| City / | Country | | HONG KONG | / | Cayman Islands | | | | | | | Vote Deadline Date | | 20-May-2021 |
| SEDOL(s) | 6345460 - B0WXDV8 - BD8NHV1 - BL63HZ3 - BP3RY11 | | | | | | | 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/2021/ 0415/2021041500443.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0415/2021041500457.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 CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE DIRECTORS AND AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2020 | Management | | | For | | | For | | | | |
| 2.A | TO RE-ELECT MR. PETER WONG WAI-YEE AS A DIRECTOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 2.B | TO RE-ELECT MR. BRIAN DAVID LI MAN-BUN AS A DIRECTOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 2.C | TO RE-ELECT MR. JAMES KWAN YUK-CHOI AS A DIRECTOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 3 | TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE DIRECTORS OF THE COMPANY | Management | | | For | | | For | | | | |
| 4 | TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS THE AUDITOR OF THE COMPANY AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE AUDITOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY | Management | | | For | | | For | | | | |
| 6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY | Management | | | For | | | For | | | | |
| 7 | TO EXTEND THE GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY BY ADDITION THERETO OF THE NUMBER OF SHARES REPRESENTING THE AGGREGATE NUMBER OF SHARES BOUGHT BACK BY THE COMPANY | Management | | | For | | | For | | | | |
| 8 | TO APPROVE PAYMENT OF A FINAL DIVIDEND OF HK FIFTEEN CENTS PER SHARE FROM THE SHARE PREMIUM ACCOUNT OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2020 WITH AN OPTION FOR SCRIP DIVIDEND | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 458,000 | | 0 | 19-May-2021 | 19-May-2021 |
| HSBC HOLDINGS PLC | | | |
| Security | G4634U169 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 28-May-2021 |
| ISIN | GB0005405286 | | | | | | | | | | Agenda | | 713725743 - Management |
| Record Date | | | | | | | | | | | Holding Recon Date | | 26-May-2021 |
| City / | Country | | LONDON | / | United Kingdom | | | | | | | Vote Deadline Date | | 21-May-2021 |
| SEDOL(s) | 0540528 - 2367543 - 4097279 - 5722592 - B2NSSQ6 | | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | TO RECEIVE THE ANNUAL REPORT & ACCOUNTS 2020 | Management | | | For | | | For | | | | |
| 2 | TO APPROVE THE DIRECTORS' REMUNERATION REPORT | Management | | | For | | | For | | | | |
| 3.A | TO ELECT JAMES FORESE AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.B | TO ELECT STEVEN GUGGENHEIMER AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.C | TO ELECT EILEEN MURRAY AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.D | TO RE-ELECT IRENE LEE AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.E | TO RE-ELECT DR JOSE ANTONIO MEADE KURIBRENA AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.F | TO RE-ELECT DAVID NISH AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.G | TO RE-ELECT NOEL QUINN AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.H | TO RE-ELECT EWEN STEVENSON AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.I | TO RE-ELECT JACKSON TAI AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.J | TO RE-ELECT MARK E TUCKER AS A DIRECTOR | Management | | | For | | | For | | | | |
| 3.K | TO RE-ELECT PAULINE VAN DER MEER MOHR AS A DIRECTOR | Management | | | For | | | For | | | | |
| 4 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE COMPANY | Management | | | For | | | For | | | | |
| 5 | TO AUTHORISE THE GROUP AUDIT COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITOR | Management | | | For | | | For | | | | |
| 6 | TO AUTHORISE THE COMPANY TO MAKE POLITICAL DONATIONS | Management | | | For | | | For | | | | |
| 7 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Management | | | For | | | For | | | | |
| 8 | TO DISAPPLY PRE-EMPTION RIGHTS | Management | | | For | | | For | | | | |
| 9 | TO FURTHER DISAPPLY PRE-EMPTION RIGHTS FOR ACQUISITIONS | Management | | | For | | | For | | | | |
| 10 | TO AUTHORISE THE DIRECTORS TO ALLOT ANY REPURCHASED SHARES | Management | | | For | | | For | | | | |
| 11 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | Management | | | For | | | For | | | | |
| 12 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES IN RELATION TO CONTINGENT CONVERTIBLE SECURITIES | Management | | | For | | | For | | | | |
| 13 | TO DISAPPLY PRE-EMPTION RIGHTS IN RELATION TO THE ISSUE OF CONTINGENT CONVERTIBLE SECURITIES | Management | | | For | | | For | | | | |
| 14 | TO CALL GENERAL MEETINGS (OTHER THAN AN AGM) ON 14 CLEAR DAYS' NOTICE | Management | | | For | | | For | | | | |
| 15 | CLIMATE CHANGE RESOLUTION | Management | | | For | | | For | | | | |
| 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER REQUISITIONED RESOLUTION REGARDING THE MIDLAND BANK DEFINED BENEFIT PENSION SCHEME | Shareholder | | | Against | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 130,400 | | 0 | 14-May-2021 | 14-May-2021 |
| XINYI GLASS HOLDINGS LTD | | | |
| Security | G9828G108 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 28-May-2021 |
| ISIN | KYG9828G1082 | | | | | | | | | | Agenda | | 713974889 - Management |
| Record Date | 24-May-2021 | | | | | | | | | | Holding Recon Date | | 24-May-2021 |
| City / | Country | | HONG KONG | / | Cayman Islands | | | | | | | Vote Deadline Date | | 21-May-2021 |
| SEDOL(s) | B05NXN7 - B063X81 - B08J3J8 - BD8NGS1 - BL63JF7 - BP3RY77 | | | | | | | 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/2021/ 0422/2021042200525.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 0422/2021042200483.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 AND REPORT OF THE DIRECTORS OF THE COMPANY (THE "DIRECTOR(S)") AND THE AUDITORS OF THE COMPANY (THE "AUDITORS") FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | | | For | | | For | | | | |
| 2 | TO DECLARE A FINAL DIVIDEND OF 62.0 HK CENTS PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2020 | Management | | | For | | | For | | | | |
| 3.A.I | TO RE-ELECT MR. TUNG CHING BOR AS AN EXECUTIVE DIRECTOR | Management | | | For | | | For | | | | |
| 3.AII | TO RE-ELECT MR. SZE NANG SZE AS A NON- EXECUTIVE DIRECTOR | Management | | | For | | | For | | | | |
| 3AIII | TO RE-ELECT MR. NG NGAN HO AS A NON- EXECUTIVE DIRECTOR | Management | | | For | | | For | | | | |
| 3.AIV | TO RE-ELECT MR. WONG YING WAI, G.B.S., J.P. AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | | | For | | | For | | | | |
| 3.A.V | TO RE-ELECT DR. TRAN CHUEN WAH, JOHN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | | | For | | | For | | | | |
| 3.B | TO AUTHORISE THE BOARD (THE "BOARD") OF DIRECTORS TO DETERMINE THE REMUNERATION OF THE DIRECTORS | Management | | | For | | | For | | | | |
| 4 | TO RE-APPOINT THE AUDITORS AND TO AUTHORISE THE BOARD TO FIX THEIR REMUNERATION | Management | | | For | | | For | | | | |
| 5.A | TO GRANT AN UNCONDITIONAL GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES | Management | | | For | | | For | | | | |
| 5.B | TO GRANT AN UNCONDITIONAL GENERAL MANDATE TO THE DIRECTORS TO ALLOT AND ISSUE SHARES | Management | | | For | | | For | | | | |
| 5.C | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE SHARES BY THE SHARES REPURCHASED | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 392,000 | | 0 | 23-Apr-2021 | 23-Apr-2021 |
| PENNYMAC FINANCIAL SERVICES INC. | | | |
| Security | 70932M107 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | PFSI | | | | | | | | | | Meeting Date | | 03-Jun-2021 |
| ISIN | US70932M1071 | | | | | | | | | | Agenda | | 935400591 - Management |
| Record Date | 06-Apr-2021 | | | | | | | | | | Holding Recon Date | | 06-Apr-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 02-Jun-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Nominee for a term expiring at the 2022 Annual Meeting: David A. Spector | Management | | | For | | | For | | | | |
| 1B. | Election of Nominee for a term expiring at the 2022 Annual Meeting: James K. Hunt | Management | | | For | | | For | | | | |
| 1C. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Jonathon S. Jacobson | Management | | | For | | | For | | | | |
| 1D. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Patrick Kinsella | Management | | | For | | | For | | | | |
| 1E. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Anne D. McCallion | Management | | | For | | | For | | | | |
| 1F. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Joseph Mazzella | Management | | | For | | | For | | | | |
| 1G. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Farhad Nanji | Management | | | For | | | For | | | | |
| 1H. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Jeffrey A. Perlowitz | Management | | | For | | | For | | | | |
| 1I. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Lisa M. Shalett | Management | | | For | | | For | | | | |
| 1J. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Theodore W. Tozer | Management | | | For | | | For | | | | |
| 1K. | Election of Nominee for a term expiring at the 2022 Annual Meeting: Emily Youssouf | Management | | | For | | | For | | | | |
| 2. | To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2021. | 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 | 82,830 | | 0 | 26-May-2021 | 26-May-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 7,000 | | 0 | 26-May-2021 | 26-May-2021 |
| UNITEDHEALTH GROUP INCORPORATED | | | |
| Security | 91324P102 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | UNH | | | | | | | | | | Meeting Date | | 07-Jun-2021 |
| ISIN | US91324P1021 | | | | | | | | | | Agenda | | 935414879 - Management |
| Record Date | 09-Apr-2021 | | | | | | | | | | Holding Recon Date | | 09-Apr-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 04-Jun-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Richard T. Burke | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Timothy P. Flynn | Management | | | For | | | For | | | | |
| 1C. | Election of Director: Stephen J. Hemsley | Management | | | For | | | For | | | | |
| 1D. | Election of Director: Michele J. Hooper | Management | | | For | | | For | | | | |
| 1E. | Election of Director: F. William McNabb III | Management | | | For | | | For | | | | |
| 1F. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | | | For | | | For | | | | |
| 1G. | Election of Director: John H. Noseworthy, M.D. | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Gail R. Wilensky, Ph.D. | Management | | | For | | | For | | | | |
| 1I. | Election of Director: Andrew Witty | 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, 2021. | Management | | | For | | | For | | | | |
| 4. | Approval of an amendment to the UnitedHealth Group 1993 Employee Stock Purchase Plan. | Management | | | For | | | For | | | | |
| 5. | If properly presented at the 2021 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold for calling a special 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 | 645 | | 0 | 27-Apr-2021 | 27-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | | 4,900 | 27-Apr-2021 | 27-Apr-2021 |
| TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD | | | |
| Security | Y84629107 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 08-Jun-2021 |
| ISIN | TW0002330008 | | | | | | | | | | Agenda | | 714114244 - Management |
| Record Date | 09-Apr-2021 | | | | | | | | | | Holding Recon Date | | 09-Apr-2021 |
| City / | Country | | HSINCH U | / | Taiwan, Province of China | | | | | | | Vote Deadline Date | | 31-May-2021 |
| SEDOL(s) | 6889106 | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | TO ACCEPT 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS. | Management | | | For | | | For | | | | |
| 2 | BASED ON RECENT AMENDMENTS TO THE 'TEMPLATE OF PROCEDURES FOR ELECTION OF DIRECTOR' BY THE TAIWAN STOCK EXCHANGE, TO APPROVE AMENDMENTS TO THE BALLOT FORMAT REQUIREMENT FOR ELECTION OF DIRECTORS SET FORTH IN TSMC'S 'RULES FOR ELECTION OF DIRECTORS'. | Management | | | For | | | For | | | | |
| 3 | TO APPROVE THE ISSUANCE OF EMPLOYEE RESTRICTED STOCK AWARDS FOR YEAR 2021. | Management | | | For | | | For | | | | |
| 4.1 | THE ELECTION OF THE DIRECTOR.:MARK LIU,SHAREHOLDER NO.10758 | Management | | | For | | | For | | | | |
| 4.2 | THE ELECTION OF THE DIRECTOR.:C.C. WEI,SHAREHOLDER NO.370885 | Management | | | For | | | For | | | | |
| 4.3 | THE ELECTION OF THE DIRECTOR.:F.C. TSENG,SHAREHOLDER NO.104 | Management | | | For | | | For | | | | |
| 4.4 | THE ELECTION OF THE DIRECTOR.:NATIONAL DEVELOPMENT FUND, EXECUTIVE YUAN,SHAREHOLDER NO.1,MING HSIN KUNG AS REPRESENTATIVE | Management | | | For | | | For | | | | |
| 4.5 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:SIR PETER L. BONFIELD,SHAREHOLDER NO.504512XXX | Management | | | For | | | For | | | | |
| 4.6 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:KOK CHOO CHEN,SHAREHOLDER NO.A210358XXX | Management | | | For | | | For | | | | |
| 4.7 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:MICHAEL R. SPLINTER,SHAREHOLDER NO.488601XXX | Management | | | For | | | For | | | | |
| 4.8 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:MOSHE N. GAVRIELOV,SHAREHOLDER NO.505930XXX | Management | | | For | | | For | | | | |
| 4.9 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:YANCEY HAI,SHAREHOLDER NO.D100708XXX | Management | | | For | | | For | | | | |
| 4.10 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:L. RAFAEL REIF,SHAREHOLDER NO.545784XXX | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 144,000 | | 0 | 11-May-2021 | 11-May-2021 |
| MEDIATEK INCORPORATION | | | |
| Security | Y5945U103 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 10-Jun-2021 |
| ISIN | TW0002454006 | | | | | | | | | | Agenda | | 714135438 - Management |
| Record Date | 09-Apr-2021 | | | | | | | | | | Holding Recon Date | | 09-Apr-2021 |
| City / | Country | | HSINCH U | / | Taiwan, Province of China | | | | | | | Vote Deadline Date | | 02-Jun-2021 |
| SEDOL(s) | 6372480 - B06P6Z5 | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | ADOPTION OF THE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS. | Management | | | For | | | For | | | | |
| 2 | ADOPTION OF THE PROPOSAL FOR DISTRIBUTION OF 2020 PROFITS.PROPOSED CASH DIVIDEND: TWD21 PER SHARE. | Management | | | For | | | For | | | | |
| 3 | DISCUSSION OF CASH DISTRIBUTION FROM CAPITAL RESERVE.PROPOSED TWD16 PER SHARE. | Management | | | For | | | For | | | | |
| 4 | DISCUSSION ON ISSUANCE OF RESTRICTED STOCK AWARDS. | Management | | | For | | | For | | | | |
| 5.1 | THE ELECTION OF THE DIRECTORS:MING-KAI TSAI,SHAREHOLDER NO.1 | Management | | | For | | | For | | | | |
| 5.2 | THE ELECTION OF THE DIRECTORS:RICK TSA,SHAREHOLDER NO.374487 | Management | | | For | | | For | | | | |
| 5.3 | THE ELECTION OF THE DIRECTORS:CHENG-YAW SUN,SHAREHOLDER NO.109274 | Management | | | For | | | For | | | | |
| 5.4 | THE ELECTION OF THE DIRECTORS:KENNETH KIN,SHAREHOLDER NO.F102831XXX | Management | | | For | | | For | | | | |
| 5.5 | THE ELECTION OF THE DIRECTORS:JOE CHEN,SHAREHOLDER NO.157 | Management | | | For | | | For | | | | |
| 5.6 | THE ELECTION OF THE INDEPENDENT DIRECTORS:CHUNG-YU WU,SHAREHOLDER NO.1512 | Management | | | For | | | For | | | | |
| 5.7 | THE ELECTION OF THE INDEPENDENT DIRECTORS:PENG-HENG CHANG,SHAREHOLDER NO.A102501XXX | Management | | | For | | | For | | | | |
| 5.8 | THE ELECTION OF THE INDEPENDENT DIRECTORS:MING-JE TANG,SHAREHOLDER NO.A100065XXX | Management | | | For | | | For | | | | |
| 6 | SUSPENSION OF THE NON-COMPETITION RESTRICTIONS ON THE 9TH SESSION DIRECTORS 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 | 49,100 | | 0 | 13-May-2021 | 13-May-2021 |
| MASTERCARD INCORPORATED | | | |
| Security | 57636Q104 | | | | | | | | | | Meeting Type | | Annual |
| Ticker Symbol | MA | | | | | | | | | | Meeting Date | | 22-Jun-2021 |
| ISIN | US57636Q1040 | | | | | | | | | | Agenda | | 935420644 - Management |
| Record Date | 23-Apr-2021 | | | | | | | | | | Holding Recon Date | | 23-Apr-2021 |
| City / | Country | | | / | United States | | | | | | | Vote Deadline Date | | 21-Jun-2021 |
| SEDOL(s) | | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1A. | Election of Director: Ajay Banga | Management | | | For | | | For | | | | |
| 1B. | Election of Director: Merit E. Janow | 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: Oki Matsumoto | Management | | | For | | | For | | | | |
| 1H. | Election of Director: Michael Miebach | 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 2021. | Management | | | For | | | For | | | | |
| 4. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | | | For | | | For | | | | |
| 5. | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | | | For | | | For | | | | |
| 6. | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | 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 | 3 | | 0 | 30-Apr-2021 | 30-Apr-2021 |
| 997AL45 | GLV BNP PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 4,229 | | 0 | 30-Apr-2021 | 30-Apr-2021 |
| 997AL60 | GLV MS PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 1,760 | | 0 | 30-Apr-2021 | 30-Apr-2021 |
| HON HAI PRECISION INDUSTRY CO LTD | | | |
| Security | Y36861105 | | | | | | | | | | Meeting Type | | Annual General Meeting |
| Ticker Symbol | | | | | | | | | | | Meeting Date | | 23-Jun-2021 |
| ISIN | TW0002317005 | | | | | | | | | | Agenda | | 714213434 - Management |
| Record Date | 23-Apr-2021 | | | | | | | | | | Holding Recon Date | | 23-Apr-2021 |
| City / | Country | | TAIPEI | / | Taiwan, Province of China | | | | | | | Vote Deadline Date | | 15-Jun-2021 |
| SEDOL(s) | 6438564 - B03W240 | | | | | | | Quick Code | | |
| Item | Proposal | | | | Proposed by | | Vote | | For/Against Management | | | | |
| 1 | TO APPROVE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS. | Management | | | For | | | For | | | | |
| 2 | TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2020 EARNINGS. PROPOSED CASH DIVIDEND :TWD 4 PER SHARE. | Management | | | For | | | For | | | | |
| 3 | TO APPROVE THE LIFTING OF DIRECTOR OF NON- COMPETITION RESTRICTIONS. | Management | | | For | | | For | | | | |
| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | | Unavailable Shares | Vote Date | Date Confirmed |
| AL27 | AL27 | | STATE STREET BANK | 446,000 | | 0 | 26-May-2021 | 26-May-2021 |
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.
