Clough Global Dividend and Income Fund (GLV)
Filed: 3 Aug 22, 2:12pm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number: 811-21583
CLOUGH GLOBAL DIVIDEND AND INCOME FUND
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Nicholas Adams, Esq.
Clough Global Dividend and Income Fund
1290 Broadway, Suite 1000
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: 855-425-6844
Date of fiscal year end: October 31
Date of reporting period: July 1, 2021 – June 30, 2022
Item 1 – Proxy Voting Record.
| Vote Summary | ||||||||||||||||
| MCKESSON CORPORATION | ||||||||||||||||
| Security | 58155Q103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MCK | Meeting Date | 23-Jul-2021 | |||||||||||||
| ISIN | US58155Q1031 | Agenda | 935457425 - Management | |||||||||||||
| Record Date | 28-May-2021 | Holding Recon Date | 28-May-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Jul-2021 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director for a one-year term: Dominic J. Caruso | Management | For | For | ||||||||||||
| 1B. | Election of Director for a one-year term: Donald R. Knauss | Management | For | For | ||||||||||||
| 1C. | Election of Director for a one-year term: Bradley E. Lerman | Management | For | For | ||||||||||||
| 1D. | Election of Director for a one-year term: Linda P. Mantia | Management | For | For | ||||||||||||
| 1E. | Election of Director for a one-year term: Maria Martinez | Management | For | For | ||||||||||||
| 1F. | Election of Director for a one-year term: Edward A. Mueller | Management | For | For | ||||||||||||
| 1G. | Election of Director for a one-year term: Susan R. Salka | Management | For | For | ||||||||||||
| 1H. | Election of Director for a one-year term: Brian S. Tyler | Management | For | For | ||||||||||||
| 1I. | Election of Director for a one-year term: Kenneth E. Washington | Management | For | For | ||||||||||||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the company's independent registered public accounting firm for the fiscal year ending March 31, 2022. | Management | For | For | ||||||||||||
| 3. | Advisory vote on executive compensation. | Management | For | For | ||||||||||||
| 4. | Shareholder proposal on action by written consent of shareholders. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 1,020 | 5,200 | 10-Jun-2021 | 10-Jun-2021 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 5,680 | 14,100 | 10-Jun-2021 | 10-Jun-2021 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 10,740 | 28,200 | 10-Jun-2021 | 10-Jun-2021 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 2,500 | 0 | 10-Jun-2021 | 10-Jun-2021 | |||||||||
| NEW YORK COMMUNITY BANCORP, INC. | ||||||||||||||||
| Security | 649445103 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | NYCB | Meeting Date | 04-Aug-2021 | |||||||||||||
| ISIN | US6494451031 | Agenda | 935468529 - Management | |||||||||||||
| Record Date | 18-Jun-2021 | Holding Recon Date | 18-Jun-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Aug-2021 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | A proposal to approve the issuance of New York Community Bancorp, Inc. ("NYCB") common stock to holders of Flagstar Bancorp, Inc. ("Flagstar") common stock pursuant to the Agreement and Plan of Merger, dated as of April 24, 2021 (as it may be amended from time to time), by and among NYCB, 615 Corp. and Flagstar (the "NYCB share issuance proposal"). | Management | For | For | ||||||||||||
| 2. | A proposal to adjourn the NYCB special meeting, if necessary or appropriate, to solicit additional proxies if, immediately prior to such adjournment, there are not sufficient votes to approve the NYCB share issuance proposal, or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to holders of NYCB common stock. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 221,100 | 0 | 29-Jun-2021 | 29-Jun-2021 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 102,600 | 0 | 29-Jun-2021 | 29-Jun-2021 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 434,500 | 0 | 29-Jun-2021 | 29-Jun-2021 | |||||||||
| BYD COMPANY LTD | ||||||||||||||||
| Security | Y1023R104 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||
| Ticker Symbol | Meeting Date | 30-Nov-2021 | ||||||||||||||
| ISIN | CNE100000296 | Agenda | 714903906 - Management | |||||||||||||
| Record Date | 24-Nov-2021 | Holding Recon Date | 24-Nov-2021 | |||||||||||||
| City / | Country | SHENZH EN | / | China | Vote Deadline Date | 23-Nov-2021 | ||||||||||
| SEDOL(s) | 6536651 - B01XKF2 - B0WVS95 - BD8GJR0 - BDDXWZ5 - BGKFJ21 - BGPHZH9 | 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/ 1112/2021111201506.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2021/ 1112/2021111201544.pdf | Non-Voting | ||||||||||||||
| 1 | TO CONSIDER AND APPROVE THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION AS SET OUT IN APPENDIX I TO THE CIRCULAR DATED 13 NOVEMBER 2021 OF THE COMPANY (THE"CIRCULAR") | Management | For | For | ||||||||||||
| 2 | TO CONSIDER AND APPROVE THE RULES OF PROCEDURES OF MEETINGS OF THE BOARD OF THE COMPANY AS SET OUT IN APPENDIX II TO THE CIRCULAR | Management | For | For | ||||||||||||
| 3 | TO CONSIDER AND APPROVE THE RULES OF PROCEDURES OF MEETINGS OF THE SUPERVISORY COMMITTEE OF THE COMPANY AS SET OUT IN APPENDIX III TO THE CIRCULAR | Management | For | For | ||||||||||||
| 4 | TO CONSIDER AND APPROVE THE COMPLIANCE MANUAL IN RELATION TO INDEPENDENT DIRECTORS OF THE COMPANY AS SET OUT IN APPENDIX IV TO THE CIRCULAR | Management | For | For | ||||||||||||
| 5 | TO CONSIDER AND APPROVE THE MANAGEMENT SYSTEM FOR THE FUNDS RAISED OF THE COMPANY AS SET OUT IN APPENDIX V TO THE CIRCULAR | Management | For | For | ||||||||||||
| 6 | TO CONSIDER AND APPROVE THE COMPLIANCE MANUAL IN RELATION TO CONNECTED TRANSACTIONS OF THE COMPANY AS SET OUT IN APPENDIX VI TO THE CIRCULAR | Management | For | For | ||||||||||||
| 7 | TO CONSIDER AND APPROVE THE RULES FOR THE SELECTION AND APPOINTMENT OF ACCOUNTANTS' FIRM OF THE COMPANY AS SET OUT IN APPENDIX VII TO THE CIRCULAR | Management | For | For | ||||||||||||
| 8 | TO CONSIDER AND APPROVE THE POLICY ON EXTERNAL GUARANTEE OF THE COMPANY AS SET OUT IN APPENDIX VIII TO THE CIRCULAR | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| AL27 | GLV | STATE STREET BANK | 176,500 | 0 | 13-Nov-2021 | 13-Nov-2021 | ||||||||||
| AL28 | GLQ | STATE STREET BANK | 375,000 | 0 | 13-Nov-2021 | 13-Nov-2021 | ||||||||||
| AL29 | GLO | STATE STREET BANK | 697,000 | 0 | 13-Nov-2021 | 13-Nov-2021 | ||||||||||
| MICROSOFT CORPORATION | ||||||||||||||||
| Security | 594918104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MSFT | Meeting Date | 30-Nov-2021 | |||||||||||||
| ISIN | US5949181045 | Agenda | 935505480 - Management | |||||||||||||
| Record Date | 30-Sep-2021 | Holding Recon Date | 30-Sep-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Nov-2021 | |||||||||||
| 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 | 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: Carlos A. Rodriguez | Management | For | For | ||||||||||||
| 1H. | Election of Director: Charles W. Scharf | 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. | Approve Employee Stock Purchase Plan. | Management | For | For | ||||||||||||
| 4. | Ratification of the Selection of Deloitte & Touche LLP as our Independent Auditor for Fiscal Year 2022. | Management | For | For | ||||||||||||
| 5. | Shareholder Proposal - Report on median pay gaps across race and gender. | Shareholder | Against | For | ||||||||||||
| 6. | Shareholder Proposal - Report on effectiveness of workplace sexual harassment policies. | Shareholder | Against | For | ||||||||||||
| 7. | Shareholder Proposal - Prohibition on sales of facial recognition technology to all government entities. | Shareholder | Against | For | ||||||||||||
| 8. | Shareholder Proposal - Report on implementation of the Fair Chance Business Pledge. | Shareholder | Against | For | ||||||||||||
| 9. | Shareholder Proposal - Report on how lobbying activities align with company policies. | 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 | 600 | 0 | 21-Oct-2021 | 21-Oct-2021 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 180 | 18,800 | 21-Oct-2021 | 21-Oct-2021 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 170 | 59,100 | 21-Oct-2021 | 21-Oct-2021 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 110,090 | 0 | 21-Oct-2021 | 21-Oct-2021 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 8,500 | 0 | 21-Oct-2021 | 21-Oct-2021 | |||||||||
| CISCO SYSTEMS, INC. | ||||||||||||||||
| Security | 17275R102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | CSCO | Meeting Date | 13-Dec-2021 | |||||||||||||
| ISIN | US17275R1023 | Agenda | 935511469 - Management | |||||||||||||
| Record Date | 15-Oct-2021 | Holding Recon Date | 15-Oct-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Dec-2021 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: M. Michele Burns | Management | For | For | ||||||||||||
| 1B. | Election of Director: Wesley G. Bush | Management | For | For | ||||||||||||
| 1C. | Election of Director: Michael D. Capellas | Management | For | For | ||||||||||||
| 1D. | Election of Director: Mark Garrett | Management | For | For | ||||||||||||
| 1E. | Election of Director: John D. Harris II | Management | For | For | ||||||||||||
| 1F. | Election of Director: Dr. Kristina M. Johnson | Management | For | For | ||||||||||||
| 1G. | Election of Director: Roderick C. McGeary | Management | For | For | ||||||||||||
| 1H. | Election of Director: Charles H. Robbins | Management | For | For | ||||||||||||
| 1I. | Election of Director: Brenton L. Saunders | Management | For | For | ||||||||||||
| 1J. | Election of Director: Dr. Lisa T. Su | Management | For | For | ||||||||||||
| 1K. | Election of Director: Marianna Tessel | Management | For | For | ||||||||||||
| 2. | Approval, on an advisory basis, of executive compensation. | Management | For | For | ||||||||||||
| 3. | Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2022. | Management | For | For | ||||||||||||
| 4. | Approval to have Cisco's Board amend Cisco's proxy access bylaw to remove the stockholder aggregation limit. | 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 | 100 | 0 | 26-Oct-2021 | 26-Oct-2021 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 300 | 0 | 26-Oct-2021 | 26-Oct-2021 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 42,100 | 30,900 | 26-Oct-2021 | 26-Oct-2021 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 158,200 | 0 | 26-Oct-2021 | 26-Oct-2021 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 165,100 | 129,900 | 26-Oct-2021 | 26-Oct-2021 | |||||||||
| VISA INC. | ||||||||||||||||
| Security | 92826C839 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | V | Meeting Date | 25-Jan-2022 | |||||||||||||
| ISIN | US92826C8394 | Agenda | 935531550 - Management | |||||||||||||
| Record Date | 26-Nov-2021 | Holding Recon Date | 26-Nov-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jan-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Lloyd A. Carney | Management | For | For | ||||||||||||
| 1B. | Election of Director: Mary B. Cranston | Management | For | For | ||||||||||||
| 1C. | Election of Director: Francisco Javier Fernández-Carbajal | Management | For | For | ||||||||||||
| 1D. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | ||||||||||||
| 1E. | Election of Director: Ramon Laguarta | Management | For | For | ||||||||||||
| 1F. | Election of Director: John F. Lundgren | Management | For | For | ||||||||||||
| 1G. | Election of Director: Robert W. Matschullat | Management | For | For | ||||||||||||
| 1H. | Election of Director: Denise M. Morrison | Management | For | For | ||||||||||||
| 1I. | Election of Director: Linda J. Rendle | Management | For | For | ||||||||||||
| 1J. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | ||||||||||||
| 2. | To approve, on an advisory basis, the compensation paid to our named executive officers. | Management | For | For | ||||||||||||
| 3. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for fiscal year 2022. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 160 | 21,600 | 04-Dec-2021 | 04-Dec-2021 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 5,200 | 0 | 04-Dec-2021 | 04-Dec-2021 | |||||||||
| D.R. HORTON, INC. | ||||||||||||||||
| Security | 23331A109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | DHI | Meeting Date | 26-Jan-2022 | |||||||||||||
| ISIN | US23331A1097 | Agenda | 935537906 - Management | |||||||||||||
| Record Date | 30-Nov-2021 | Holding Recon Date | 30-Nov-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Jan-2022 | |||||||||||
| 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: Benjamin S. Carson, Sr. | Management | For | For | ||||||||||||
| 1F. | Election of Director: Michael W. Hewatt | Management | For | For | ||||||||||||
| 1G. | 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 PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 18,700 | 30,800 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 40,200 | 47,600 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 66,600 | 110,500 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 33,000 | 0 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 12,600 | 0 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 31,800 | 0 | 24-Dec-2021 | 24-Dec-2021 | |||||||||
| INFINEON TECHNOLOGIES AG | ||||||||||||||||
| Security | D35415104 | Meeting Type | Annual General Meeting | |||||||||||||
| Ticker Symbol | Meeting Date | 17-Feb-2022 | ||||||||||||||
| ISIN | DE0006231004 | Agenda | 715040743 - Management | |||||||||||||
| Record Date | 10-Feb-2022 | Holding Recon Date | 10-Feb-2022 | |||||||||||||
| City / | Country | NEUBIBE RG | / | Germany | Vote Deadline Date | 04-Feb-2022 | ||||||||||
| SEDOL(s) | 5889505 - B01DKJ6 - B0CRGY4 - B108X56 - B7N2TT3 - B814K62 - BF0Z753 - BYL6SV1 - BYXQQV5 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | VOTING MUST BE LODGED WITH SHAREHOLDER DETAILS AS PROVIDED BY YOUR CUSTODIAN- BANK. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE- REJECTED. | Non-Voting | ||||||||||||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2021 | Non-Voting | ||||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.27 PER SHARE | Management | For | For | ||||||||||||
| 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER REINHARD PLOSS FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER HELMUT GASSEL FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOCHEN HANEBECK FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER CONSTANZE HUFENBECHER (FROM APRIL 15, 2021) FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 3.5 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER SVEN SCHNEIDER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WOLFGANG EDER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER XIAOQUN CLEVER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JOHANN DECHANT FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER FRIEDRICH EICHINER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANNETTE ENGELFRIED FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PETER GRUBER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HANS-ULRICH HOLDENRIED FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER SUSANNE LACHENMANN FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALDINE PICAUD FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MANFRED PUFFER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MELANIE RIEDL FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN SCHOLZ FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER KERSTIN SCHULZENDORF FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ULRICH SPIESSHOFER FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARGRET SUCKALE FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DIANA VITALE FOR FISCAL YEAR 2021 | Management | For | For | ||||||||||||
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2022 | Management | For | For | ||||||||||||
| 6 | ELECT GERALDINE PICAUD TO THE SUPERVISORY BOARD | Management | For | For | ||||||||||||
| 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 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. | Non-Voting | ||||||||||||||
| 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 | ||||||||||||||
| CMMT | 12 JAN 2022: 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 | Non-Voting | ||||||||||||||
| 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 | ||||||||||||||||
| CMMT | 12 JAN 2022: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| AL27 | GLV | STATE STREET BANK | 52,130 | 0 | 08-Jan-2022 | 08-Jan-2022 | ||||||||||
| AL28 | GLQ | STATE STREET BANK | 107,424 | 0 | 08-Jan-2022 | 08-Jan-2022 | ||||||||||
| AL29 | GLO | STATE STREET BANK | 198,526 | 0 | 08-Jan-2022 | 08-Jan-2022 | ||||||||||
| BARINGS BDC, INC. | ||||||||||||||||
| Security | 06759L103 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 24-Feb-2022 | |||||||||||||
| ISIN | US06759L1035 | Agenda | 935540307 - Management | |||||||||||||
| Record Date | 27-Dec-2021 | Holding Recon Date | 27-Dec-2021 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Feb-2022 | |||||||||||
| 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 September 21, 2021, by and among Barings BDC, Mercury Acquisition Sub, Inc., Sierra Income Corporation and Barings LLC (the "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 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 or Proposal 2. | 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 | 54,000 | 0 | 05-Jan-2022 | 05-Jan-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 49,500 | 0 | 05-Jan-2022 | 05-Jan-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 103,400 | 0 | 05-Jan-2022 | 05-Jan-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 311,646 | 0 | 05-Jan-2022 | 05-Jan-2022 | |||||||||
| AIRBUS SE | ||||||||||||||||
| Security | N0280G100 | Meeting Type | Annual General Meeting | |||||||||||||
| Ticker Symbol | Meeting Date | 12-Apr-2022 | ||||||||||||||
| ISIN | NL0000235190 | Agenda | 715185585 - Management | |||||||||||||
| Record Date | 15-Mar-2022 | Holding Recon Date | 15-Mar-2022 | |||||||||||||
| City / | Country | AMSTER DAM | / | Netherlands | Vote Deadline Date | 29-Mar-2022 | ||||||||||
| SEDOL(s) | 4012250 - 4012346 - 4057273 - B01DGJ8 - B16Q6Y4 - B87GTC1 - BDC50T2 - BF444K0 - BHZLF67 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | VOTING MUST BE LODGED WITH BENEFICIAL OWNER DETAILS AS PROVIDED BY YOUR- CUSTODIAN BANK. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR-INSTRUCTIONS MAY BE REJECTED. | Non-Voting | ||||||||||||||
| CMMT | VOTING MUST BE LODGED WITH SHAREHOLDER DETAILS AS PROVIDED BY YOUR CUSTODIAN- BANK. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTIONS MAY BE- REJECTED. | 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 | ||||||||||||||
| 1 | RESOLVED THAT THE AUDITED ACCOUNTS FOR THE ACCOUNTING PERIOD FROM 1 JANUARY 2021 TO 31 DECEMBER 2021, AS SUBMITTED TO THE ANNUAL GENERAL MEETING ("AGM") BY THE BOARD OF DIRECTORS, BE AND HEREBY ARE ADOPTED | Management | For | For | ||||||||||||
| 2 | RESOLVED THAT THE NET LOSS OF EUR 114 MILLION, AS SHOWN IN THE INCOME STATEMENT INCLUDED IN THE AUDITED ACCOUNTS FOR THE FINANCIAL YEAR 2021, SHALL BE CHARGED AGAINST THE RETAINED EARNINGS AND THAT A PAYMENT OF A GROSS AMOUNT OF EUR 1.50 PER SHARE SHALL BE MADE TO THE SHAREHOLDERS OUT OF THE RETAINED EARNINGS | Management | For | For | ||||||||||||
| 3 | RESOLVED THAT THE NON-EXECUTIVE MEMBERS OF THE BOARD OF DIRECTORS BE AND HEREBY ARE GRANTED A RELEASE FROM LIABILITY FOR THE PERFORMANCE OF THEIR DUTIES DURING AND WITH RESPECT TO THE FINANCIAL YEAR 2021, TO THE EXTENT THAT THEIR ACTIVITY HAS BEEN REFLECTED IN THE AUDITED ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2021 OR IN THE REPORT OF THE BOARD OF DIRECTORS OR WAS OTHERWISE PROPERLY DISCLOSED TO THE GENERAL MEETING | Management | For | For | ||||||||||||
| 4 | RESOLVED THAT THE EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE AND HEREBY IS GRANTED A RELEASE FROM LIABILITY FOR THE PERFORMANCE OF HIS DUTIES DURING AND WITH RESPECT TO THE FINANCIAL YEAR 2021, TO THE EXTENT THAT HIS ACTIVITY HAS BEEN REFLECTED IN THE AUDITED ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2021 OR IN THE REPORT OF THE BOARD OF DIRECTORS OR WAS OTHERWISE PROPERLY DISCLOSED TO THE GENERAL MEETING | Management | For | For | ||||||||||||
| 5 | RESOLVED THAT THE COMPANY'S AUDITOR FOR THE ACCOUNTING PERIOD BEING THE FINANCIAL YEAR 2022 SHALL BE ERNST & YOUNG ACCOUNTANTS LLP, THE NETHERLANDS, WHOSE REGISTERED OFFICE IS AT BOOMPJES 258, 3011 XZ ROTTERDAM IN THE NETHERLANDS.FOR MORE INFORMATION PLEASE SEE THE INFORMATION NOTICE AND REPORT OF THE BOARD OF DIRECTORS DOWNLOADABLE FROM THIS PLATFORM OR GO TO OUR WEBSITE WWW.AIRBUS.COM | Management | For | For | ||||||||||||
| 6 | RESOLVED THAT, AS AN ADVISORY VOTE, THE IMPLEMENTATION OF THE REMUNERATION POLICY DURING THE FINANCIAL YEAR 2021, AS DISCLOSED IN THE REPORT OF THE BOARD OF DIRECTORS, BE AND HEREBY IS APPROVED | Management | For | For | ||||||||||||
| 7 | RESOLVED THAT THE APPOINTMENT OF MR GUILLAUME FAURY AS EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||
| 8 | RESOLVED THAT THE APPOINTMENT OF MS CATHERINE GUILLOUARD AS NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||
| 9 | RESOLVED THAT THE APPOINTMENT OF MS CLAUDIA NEMAT AS NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS BE RENEWED FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025 | Management | For | For | ||||||||||||
| 10 | RESOLVED THAT MS IRENE RUMMELHOFF BE APPOINTED AS A NON-EXECUTIVE MEMBER OF THE BOARD OF DIRECTORS FOR A TERM OF THREE YEARS, ENDING AT THE CLOSE OF THE AGM WHICH SHALL BE HELD IN THE YEAR 2025, IN REPLACEMENT OF MR CARLOS TAVARES WHOSE MANDATE EXPIRES | Management | For | For | ||||||||||||
| 11 | RESOLVED THAT IN ACCORDANCE WITH THE COMPANY'S ARTICLES OF ASSOCIATION, THE BOARD OF DIRECTORS BE AND HEREBY IS DESIGNATED, SUBJECT TO REVOCATION BY THE GENERAL MEETING, TO HAVE POWERS TO ISSUE SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES IN THE COMPANY'S SHARE CAPITAL FOR THE PURPOSE OF EMPLOYEE SHARE OWNERSHIP PLANS AND SHARE-RELATED LONG- TERM INCENTIVE PLANS (SUCH AS PERFORMANCE SHARE PLANS), PROVIDED THAT SUCH POWERS SHALL BE LIMITED TO AN AGGREGATE OF 0.14% OF THE COMPANY'S AUTHORISED SHARE CAPITAL FROM TIME TO TIME AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH CASES FOR A PERIOD EXPIRING AT THE AGM TO BE HELD IN 2023. SUCH POWERS INCLUDE THE GRANTING OF RIGHTS TO SUBSCRIBE FOR SHARES WHICH CAN BE EXERCISED AT SUCH TIME AS MAY BE SPECIFIED IN OR PURSUANT TO SUCH PLANS AND THE ISSUE OF SHARES TO BE PAID UP FROM THE COMPANY'S RESERVES. HOWEVER, SUCH POWERS SHALL NOT EXTEND TO ISSUING SHARES OR GRANTING RIGHTS TO SUBSCRIBE FOR SHARES IF (I) THERE IS NO PREFERENTIAL SUBSCRIPTION RIGHTS | Management | For | For | ||||||||||||
| 12 | RESOLVED THAT IN ACCORDANCE WITH THE COMPANY'S ARTICLES OF ASSOCIATION, THE BOARD OF DIRECTORS BE AND HEREBY IS DESIGNATED, SUBJECT TO REVOCATION BY THE GENERAL MEETING, TO HAVE POWERS TO ISSUE SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR SHARES IN THE COMPANY'S SHARE CAPITAL FOR THE PURPOSE OF FUNDING (OR ANY OTHER CORPORATE PURPOSE INCLUDING MERGERS OR ACQUISITIONS) THE COMPANY AND ITS GROUP COMPANIES, PROVIDED THAT SUCH POWERS SHALL BE LIMITED TO AN AGGREGATE OF 0.3% OF THE COMPANY'S AUTHORISED SHARE CAPITAL FROM TIME TO TIME AND TO LIMIT OR EXCLUDE PREFERENTIAL SUBSCRIPTION RIGHTS, IN BOTH CASES FOR A PERIOD EXPIRING AT THE AGM TO BE HELD IN 2023. SUCH POWERS INCLUDE THE ISSUE OF FINANCIAL INSTRUMENTS, INCLUDING BUT NOT LIMITED TO CONVERTIBLE BOND, WHICH INSTRUMENTS MAY GRANT THE HOLDERS | Management | For | For | ||||||||||||
| THEREOF RIGHTS TO ACQUIRE SHARES IN THE CAPITAL OF THE COMPANY, EXERCISABLE AT SUCH TIME AS MAY BE DETERMINED BY THE FINANCIAL INSTRUMENT, AND THE ISSUE OF SHARES TO BE PAID UP FROM THE COMPANY'S RESERVES | ||||||||||||||||
| 13 | RESOLVED THAT THE BOARD OF DIRECTORS BE AND HEREBY IS AUTHORISED, FOR A NEW PERIOD OF 18 MONTHS FROM THE DATE OF THIS AGM, TO REPURCHASE SHARES (OR DEPOSITORY RECEIPTS FOR SHARES) OF THE COMPANY, BY ANY MEANS, INCLUDING DERIVATIVE PRODUCTS, ON ANY STOCK EXCHANGE OR OTHERWISE, AS LONG AS, UPON SUCH REPURCHASE, THE COMPANY WILL NOT HOLD MORE THAN 10% OF THE COMPANY'S ISSUED SHARE CAPITAL, AND AT A PRICE PER SHARE NOT LESS THAN THE NOMINAL VALUE AND NOT MORE THAN THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT BID ON THE TRADING VENUES OF THE REGULATED MARKET OF THE COUNTRY IN WHICH THE PURCHASE IS CARRIED OUT. THIS AUTHORISATION SUPERSEDES AND REPLACES THE AUTHORISATION GIVEN BY THE AGM OF 14 APRIL 2021 IN ITS TWELFTH RESOLUTION | Management | For | For | ||||||||||||
| 14 | RESOLVED THAT ANY OR ALL OF THE SHARES HELD OR REPURCHASED BY THE COMPANY BE CANCELLED (WHETHER OR NOT IN TRANCHES) AND BOTH THE BOARD OF DIRECTORS AND THE CHIEF EXECUTIVE OFFICER BE AND HEREBY ARE AUTHORISED, WITH POWERS OF SUBSTITUTION, TO IMPLEMENT THIS RESOLUTION (INCLUDING THE AUTHORISATION TO ESTABLISH THE EXACT NUMBER OF THE RELEVANT SHARES TO BE CANCELLED) IN ACCORDANCE WITH DUTCH LAW | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| AL27 | GLV | STATE STREET BANK | 16,265 | 0 | 23-Feb-2022 | 23-Feb-2022 | ||||||||||
| AL28 | GLQ | STATE STREET BANK | 40,545 | 0 | 23-Feb-2022 | 23-Feb-2022 | ||||||||||
| AL29 | GLO | STATE STREET BANK | 75,828 | 0 | 23-Feb-2022 | 23-Feb-2022 | ||||||||||
| LENNAR CORPORATION | ||||||||||||||||
| Security | 526057104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | LEN | Meeting Date | 12-Apr-2022 | |||||||||||||
| ISIN | US5260571048 | Agenda | 935554774 - Management | |||||||||||||
| Record Date | 15-Feb-2022 | Holding Recon Date | 15-Feb-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director to serve until the 2023 Annual Meeting: Amy Banse | Management | For | For | ||||||||||||
| 1B. | Election of Director to serve until the 2023 Annual Meeting: Rick Beckwitt | Management | For | For | ||||||||||||
| 1C. | Election of Director to serve until the 2023 Annual Meeting: Steven L. Gerard | Management | For | For | ||||||||||||
| 1D. | Election of Director to serve until the 2023 Annual Meeting: Tig Gilliam | Management | For | For | ||||||||||||
| 1E. | Election of Director to serve until the 2023 Annual Meeting: Sherrill W. Hudson | Management | For | For | ||||||||||||
| 1F. | Election of Director to serve until the 2023 Annual Meeting: Jonathan M. Jaffe | Management | For | For | ||||||||||||
| 1G. | Election of Director to serve until the 2023 Annual Meeting: Sidney Lapidus | Management | For | For | ||||||||||||
| 1H. | Election of Director to serve until the 2023 Annual Meeting: Teri P. McClure | Management | For | For | ||||||||||||
| 1I. | Election of Director to serve until the 2023 Annual Meeting: Stuart Miller | Management | For | For | ||||||||||||
| 1J. | Election of Director to serve until the 2023 Annual Meeting: Armando Olivera | Management | For | For | ||||||||||||
| 1K. | Election of Director to serve until the 2023 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, 2022. | Management | For | For | ||||||||||||
| 4. | Approval of the Lennar Corporation 2016 Equity Incentive Plan, as Amended and Restated. | Management | For | For | ||||||||||||
| 5. | Approval of a stockholder proposal to reduce the common stock ownership threshold to call a special meeting. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 40 | 0 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 8,600 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 25,380 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 75,197 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 682 | 0 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 20,000 | 0 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 20,300 | 0 | 02-Mar-2022 | 02-Mar-2022 | |||||||||
| RAYTHEON TECHNOLOGIES | ||||||||||||||||
| Security | 75513E101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | RTX | Meeting Date | 25-Apr-2022 | |||||||||||||
| ISIN | US75513E1010 | Agenda | 935559673 - Management | |||||||||||||
| Record Date | 01-Mar-2022 | Holding Recon Date | 01-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Tracy A. Atkinson | Management | For | For | ||||||||||||
| 1B. | Election of Director: Bernard A.Harris,Jr. | Management | For | For | ||||||||||||
| 1C. | Election of Director: Gregory J. Hayes | Management | For | For | ||||||||||||
| 1D. | Election of Director: George R. Oliver | Management | For | For | ||||||||||||
| 1E. | Election of Director: Robert K. (Kelly) Ortberg | Management | For | For | ||||||||||||
| 1F. | Election of Director: Margaret L. O'Sullivan | Management | For | For | ||||||||||||
| 1G. | Election of Director: Dinesh C. Paliwal | Management | For | For | ||||||||||||
| 1H. | Election of Director: Ellen M. Pawlikowski | Management | For | For | ||||||||||||
| 1I. | Election of Director: Denise L. Ramos | Management | For | For | ||||||||||||
| 1J. | Election of Director: Fredric G. Reynolds | Management | For | For | ||||||||||||
| 1K. | Election of Director: Brian C. Rogers | Management | For | For | ||||||||||||
| 1L. | Election of Director: James A. Winnefeld, Jr. | Management | For | For | ||||||||||||
| 1M. | Election of Director: Robert O. Work | Management | For | For | ||||||||||||
| 2. | Advisory Vote to Approve Executive Compensation | Management | For | For | ||||||||||||
| 3. | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2022 | Management | For | For | ||||||||||||
| 4. | Approve an Amendment to the Restated Certificate of Incorporation to Reduce the Voting Threshold Required to Repeal Article Ninth | 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 | 16,650 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 43,170 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 66,500 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 72,500 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 37,900 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 51,320 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 30,100 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| CITIGROUP INC. | ||||||||||||||||
| Security | 172967424 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | C | Meeting Date | 26-Apr-2022 | |||||||||||||
| ISIN | US1729674242 | Agenda | 935563177 - Management | |||||||||||||
| Record Date | 28-Feb-2022 | Holding Recon Date | 28-Feb-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Apr-2022 | |||||||||||
| 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: Renée J. James | Management | For | For | ||||||||||||
| 1j. | Election of Director: Gary M. Reiner | Management | For | For | ||||||||||||
| 1k. | Election of Director: Diana L. Taylor | Management | For | For | ||||||||||||
| 1l. | Election of Director: James S. Turley | Management | For | For | ||||||||||||
| 2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accountants for 2022. | Management | For | For | ||||||||||||
| 3. | Advisory vote to approve our 2021 Executive Compensation. | Management | For | For | ||||||||||||
| 4. | Approval of additional shares for the Citigroup 2019 Stock Incentive Plan. | Management | For | For | ||||||||||||
| 5. | Stockholder proposal requesting a Management Pay Clawback policy. | Shareholder | Against | For | ||||||||||||
| 6. | Stockholder proposal requesting an Independent Board Chairman. | Shareholder | Against | For | ||||||||||||
| 7. | Stockholder Proposal requesting a report on the effectiveness of Citi's policies and practices in respecting Indigenous Peoples' rights in Citi's existing and proposed financing. | Shareholder | Against | For | ||||||||||||
| 8. | Stockholder Proposal requesting that the Board adopt a policy to end new fossil fuel financing. | Shareholder | Against | For | ||||||||||||
| 9. | Stockholder proposal requesting a non-discrimination audit analyzing the Company's impacts on civil rights and non- discrimination for all Americans. | 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 | 15,500 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 32,200 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 59,600 | 0 | 16-Mar-2022 | 16-Mar-2022 | |||||||||
| JOHNSON & JOHNSON | ||||||||||||||||
| Security | 478160104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | JNJ | Meeting Date | 28-Apr-2022 | |||||||||||||
| ISIN | US4781601046 | Agenda | 935562997 - Management | |||||||||||||
| Record Date | 01-Mar-2022 | Holding Recon Date | 01-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Darius Adamczyk | Management | For | For | ||||||||||||
| 1B. | Election of Director: Mary C. Beckerle | Management | For | For | ||||||||||||
| 1C. | Election of Director: D. Scott Davis | Management | For | For | ||||||||||||
| 1D. | Election of Director: Ian E. L. Davis | Management | For | For | ||||||||||||
| 1E. | Election of Director: Jennifer A. Doudna | Management | For | For | ||||||||||||
| 1F. | Election of Director: Joaquin Duato | Management | For | For | ||||||||||||
| 1G. | Election of Director: Alex Gorsky | Management | For | For | ||||||||||||
| 1H. | Election of Director: Marillyn A. Hewson | Management | For | For | ||||||||||||
| 1I. | Election of Director: Hubert Joly | Management | For | For | ||||||||||||
| 1J. | Election of Director: Mark B. McClellan | Management | For | For | ||||||||||||
| 1K. | Election of Director: Anne M. Mulcahy | Management | For | For | ||||||||||||
| 1L. | Election of Director: A. Eugene Washington | Management | For | For | ||||||||||||
| 1M. | Election of Director: Mark A. Weinberger | Management | For | For | ||||||||||||
| 1N. | Election of Director: Nadja Y. West | Management | For | For | ||||||||||||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | ||||||||||||
| 3. | Approval of the Company's 2022 Long-Term Incentive Plan. | Management | For | For | ||||||||||||
| 4. | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2022. | Management | For | For | ||||||||||||
| 5. | Proposal Withdrawn (Federal Securities Laws Mandatory Arbitration Bylaw). | Shareholder | Against | |||||||||||||
| 6. | Civil Rights, Equity, Diversity & Inclusion Audit Proposal. | Shareholder | Against | For | ||||||||||||
| 7. | Third Party Racial Justice Audit. | Shareholder | Against | For | ||||||||||||
| 8. | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | Shareholder | Against | For | ||||||||||||
| 9. | Report on Public Health Costs of Protecting Vaccine Technology. | Shareholder | Against | For | ||||||||||||
| 10. | Discontinue Global Sales of Baby Powder Containing Talc. | Shareholder | Against | For | ||||||||||||
| 11. | Request for Charitable Donations Disclosure. | Shareholder | Against | For | ||||||||||||
| 12. | Third Party Review and Report on Lobbying Activities Alignment with Position on Universal Health Coverage. | Shareholder | Against | For | ||||||||||||
| 13. | Adopt Policy to Include Legal and Compliance Costs in Incentive Compensation Metrics. | Shareholder | Against | For | ||||||||||||
| 14. | CEO Compensation to Weigh Workforce Pay and Ownership. | 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 | 7,730 | 0 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 15,770 | 0 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 28,870 | 0 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 11,240 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 15,230 | 9,330 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 45,470 | 17-Mar-2022 | 17-Mar-2022 | |||||||||
| STARWOOD PROPERTY TRUST, INC. | ||||||||||||||||
| Security | 85571B105 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | STWD | Meeting Date | 28-Apr-2022 | |||||||||||||
| ISIN | US85571B1052 | Agenda | 935565587 - Management | |||||||||||||
| Record Date | 02-Mar-2022 | Holding Recon Date | 02-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Richard D. Bronson | For | For | |||||||||||||
| 2 | Jeffrey G. Dishner | For | For | |||||||||||||
| 3 | Camille J. Douglas | For | For | |||||||||||||
| 4 | Solomon J. Kumin | For | For | |||||||||||||
| 5 | Fred Perpall | For | For | |||||||||||||
| 6 | Fred S. Ridley | For | For | |||||||||||||
| 7 | Barry S. Sternlicht | For | For | |||||||||||||
| 8 | Strauss Zelnick | For | For | |||||||||||||
| 2. | The approval on an advisory basis of the Company's executive compensation. | Management | For | For | ||||||||||||
| 3. | The approval of the Starwood Property Trust, Inc. Employee Stock Purchase Plan. | Management | For | For | ||||||||||||
| 4. | The approval of the Starwood Property Trust, Inc. 2022 Manager Equity Plan. | Management | For | For | ||||||||||||
| 5. | The approval of the Starwood Property Trust, Inc. 2022 Equity Plan. | Management | For | For | ||||||||||||
| 6. | The ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the calendar year ending December 31, 2022. | 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 | 35,400 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 157,200 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 126,655 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 156,200 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 165,300 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 285,000 | 305,800 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 69,900 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| ABBOTT LABORATORIES | ||||||||||||||||
| Security | 002824100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ABT | Meeting Date | 29-Apr-2022 | |||||||||||||
| ISIN | US0028241000 | Agenda | 935562909 - Management | |||||||||||||
| Record Date | 02-Mar-2022 | Holding Recon Date | 02-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | R. J. Alpern | For | For | |||||||||||||
| 2 | S. E. Blount | For | For | |||||||||||||
| 3 | R. B. Ford | For | For | |||||||||||||
| 4 | P. Gonzalez | For | For | |||||||||||||
| 5 | M. A. Kumbier | For | For | |||||||||||||
| 6 | D. W. McDew | For | For | |||||||||||||
| 7 | N. McKinstry | For | For | |||||||||||||
| 8 | W. A. Osborn | For | For | |||||||||||||
| 9 | M. F. Roman | For | For | |||||||||||||
| 10 | D. J. Starks | For | For | |||||||||||||
| 11 | J. G. Stratton | For | For | |||||||||||||
| 12 | G. F. Tilton | For | For | |||||||||||||
| 2. | Ratification of Ernst & Young LLP As Auditors | Management | For | For | ||||||||||||
| 3. | Say on Pay - An Advisory Vote on the Approval of Executive Compensation | Management | For | For | ||||||||||||
| 4. | Shareholder Proposal - Special Shareholder Meeting Threshold | Shareholder | Against | For | ||||||||||||
| 5. | Shareholder Proposal - Independent Board Chairman | Shareholder | Against | For | ||||||||||||
| 6. | Shareholder Proposal - Rule 10b5-1 Plans | Shareholder | Against | For | ||||||||||||
| 7. | Shareholder Proposal - Lobbying Disclosure | Shareholder | Against | For | ||||||||||||
| 8. | Shareholder Proposal - Antimicrobial Resistance 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 | 4,900 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 10,100 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 18,300 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| ELI LILLY AND COMPANY | ||||||||||||||||
| Security | 532457108 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | LLY | Meeting Date | 02-May-2022 | |||||||||||||
| ISIN | US5324571083 | Agenda | 935562858 - Management | |||||||||||||
| Record Date | 22-Feb-2022 | Holding Recon Date | 22-Feb-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director to serve a three-year term: Ralph Alvarez | Management | For | For | ||||||||||||
| 1B. | Election of Director to serve a three-year term: Kimberly H. Johnson | Management | For | For | ||||||||||||
| 1C. | Election of Director to serve a three-year term: Juan R. Luciano | 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 2022. | 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. | Approval of amendments to the company's Articles of Incorporation to give shareholders the ability to amend the company's bylaws. | Management | For | For | ||||||||||||
| 7. | Shareholder proposal to amend the bylaws to require an independent board chair. | Shareholder | Against | For | ||||||||||||
| 8. | Shareholder proposal to publish an annual report disclosing lobbying activities. | Shareholder | Against | For | ||||||||||||
| 9. | Shareholder proposal to disclose lobbying activities and alignment with public policy positions and statements. | Shareholder | Against | For | ||||||||||||
| 10. | Shareholder proposal to report oversight of risks related to anticompetitive pricing strategies. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 113 | 7,300 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 4,600 | 0 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| STRYKER CORPORATION | ||||||||||||||||
| Security | 863667101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | SYK | Meeting Date | 04-May-2022 | |||||||||||||
| ISIN | US8636671013 | Agenda | 935568711 - Management | |||||||||||||
| Record Date | 07-Mar-2022 | Holding Recon Date | 07-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A) | Election of Director: Mary K. Brainerd | Management | For | For | ||||||||||||
| 1B) | Election of Director: Giovanni Caforio, M.D. | Management | For | For | ||||||||||||
| 1C) | Election of Director: Srikant M. Datar, Ph.D. | Management | For | For | ||||||||||||
| 1D) | Election of Director: Allan C. Golston (Lead Independent Director) | Management | For | For | ||||||||||||
| 1E) | Election of Director: Kevin A. Lobo (Chair of the Board, Chief Executive Officer and President) | Management | For | For | ||||||||||||
| 1F) | Election of Director: Sherilyn S. McCoy | Management | For | For | ||||||||||||
| 1G) | Election of Director: Andrew K. Silvernail | Management | For | For | ||||||||||||
| 1H) | Election of Director: Lisa M. Skeete Tatum | Management | For | For | ||||||||||||
| 1I) | Election of Director: Ronda E. Stryker | Management | For | For | ||||||||||||
| 1J) | Election of Director: Rajeev Suri | Management | For | For | ||||||||||||
| 2) | Ratification of Appointment of our Independent Registered Public Accounting Firm. | Management | For | For | ||||||||||||
| 3) | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | ||||||||||||
| 4) | Shareholder Proposal to Amend Proxy Access Terms. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 2,700 | 0 | 24-Mar-2022 | 24-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 5,500 | 0 | 24-Mar-2022 | 24-Mar-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 10,000 | 0 | 24-Mar-2022 | 24-Mar-2022 | |||||||||
| WALKER & DUNLOP, INC. | ||||||||||||||||
| Security | 93148P102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | WD | Meeting Date | 05-May-2022 | |||||||||||||
| ISIN | US93148P1021 | Agenda | 935565931 - Management | |||||||||||||
| Record Date | 09-Mar-2022 | Holding Recon Date | 09-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Ellen D. Levy | For | For | |||||||||||||
| 2 | Michael D. Malone | For | For | |||||||||||||
| 3 | John Rice | For | For | |||||||||||||
| 4 | Dana L. Schmaltz | For | For | |||||||||||||
| 5 | Howard W. Smith III | For | For | |||||||||||||
| 6 | William M. Walker | For | For | |||||||||||||
| 7 | Michael J. Warren | For | For | |||||||||||||
| 8 | Donna C. Wells | For | For | |||||||||||||
| 2. | Ratification of the appointment of the independent registered public accounting firm. | Management | For | For | ||||||||||||
| 3. | Advisory resolution to approve executive compensation. | Management | For | For | ||||||||||||
| 4. | Advisory resolution relating to the frequency of future advisory votes on executive compensation | Management | 3 Years | Against | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 70 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 9,700 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 5,000 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| THE GABELLI EQUITY TRUST INC. | ||||||||||||||||
| Security | 362397846 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GABPRK | Meeting Date | 09-May-2022 | |||||||||||||
| ISIN | US3623978463 | Agenda | 935569612 - Management | |||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Mario J. Gabelli | For | For | |||||||||||||
| 2 | Leslie F. Foley | For | For | |||||||||||||
| 3 | William F. Heitmann | 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 | 19-Mar-2022 | 19-Mar-2022 | |||||||||
| FIRST AMERICAN FINANCIAL CORPORATION | ||||||||||||||||
| Security | 31847R102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | FAF | Meeting Date | 10-May-2022 | |||||||||||||
| ISIN | US31847R1023 | Agenda | 935591556 - Management | |||||||||||||
| Record Date | 17-Mar-2022 | Holding Recon Date | 17-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1.1 | Election of Class III Director: Reginald H. Gilyard | Management | For | For | ||||||||||||
| 1.2 | Election of Class III Director: Parker S. Kennedy | Management | For | For | ||||||||||||
| 1.3 | Election of Class III Director: Mark C. Oman | Management | For | For | ||||||||||||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | ||||||||||||
| 3. | To approve the amendment and restatement of the 2010 Employee Stock Purchase Plan. | Management | For | For | ||||||||||||
| 4. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 12,400 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 61,990 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 30,100 | 95,290 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 257,270 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 13,800 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| KINDER MORGAN, INC. | ||||||||||||||||
| Security | 49456B101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | KMI | Meeting Date | 11-May-2022 | |||||||||||||
| ISIN | US49456B1017 | Agenda | 935579574 - Management | |||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director for a one year term expiring in 2023: Richard D. Kinder | Management | For | For | ||||||||||||
| 1B. | Election of Director for a one year term expiring in 2023: Steven J. Kean | Management | For | For | ||||||||||||
| 1C. | Election of Director for a one year term expiring in 2023: Kimberly A. Dang | Management | For | For | ||||||||||||
| 1D. | Election of Director for a one year term expiring in 2023: Ted A. Gardner | Management | For | For | ||||||||||||
| 1E. | Election of Director for a one year term expiring in 2023: Anthony W. Hall, Jr. | Management | For | For | ||||||||||||
| 1F. | Election of Director for a one year term expiring in 2023: Gary L. Hultquist | Management | For | For | ||||||||||||
| 1G. | Election of Director for a one year term expiring in 2023: Ronald L. Kuehn, Jr. | Management | For | For | ||||||||||||
| 1H. | Election of Director for a one year term expiring in 2023: Deborah A. Macdonald | Management | For | For | ||||||||||||
| 1I. | Election of Director for a one year term expiring in 2023: Michael C. Morgan | Management | For | For | ||||||||||||
| 1J. | Election of Director for a one year term expiring in 2023: Arthur C. Reichstetter | Management | For | For | ||||||||||||
| 1K. | Election of Director for a one year term expiring in 2023: C. Park Shaper | Management | For | For | ||||||||||||
| 1L. | Election of Director for a one year term expiring in 2023: William A. Smith | Management | For | For | ||||||||||||
| 1M. | Election of Director for a one year term expiring in 2023: Joel V. Staff | Management | For | For | ||||||||||||
| 1N. | Election of Director for a one year term expiring in 2023: Robert F. Vagt | Management | For | For | ||||||||||||
| 1O. | Election of Director for a one year term expiring in 2023: Perry M. Waughtal | Management | For | For | ||||||||||||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||
| 3. | Approval, on an advisory basis, of the compensation of our named executive officers, as disclosed in the 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 | 155,500 | 0 | 02-Apr-2022 | 02-Apr-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 125,900 | 0 | 02-Apr-2022 | 02-Apr-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 150,000 | 0 | 02-Apr-2022 | 02-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 93,600 | 100,000 | 02-Apr-2022 | 02-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 432,034 | 0 | 02-Apr-2022 | 02-Apr-2022 | |||||||||
| CHENIERE ENERGY, INC. | ||||||||||||||||
| Security | 16411R208 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | LNG | Meeting Date | 12-May-2022 | |||||||||||||
| ISIN | US16411R2085 | Agenda | 935607082 - Management | |||||||||||||
| Record Date | 28-Mar-2022 | Holding Recon Date | 28-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: G. Andrea Botta | Management | For | For | ||||||||||||
| 1B. | Election of Director: Jack A. Fusco | Management | For | For | ||||||||||||
| 1C. | Election of Director: Vicky A. Bailey | Management | For | For | ||||||||||||
| 1D. | Election of Director: Patricia K. Collawn | Management | For | For | ||||||||||||
| 1E. | Election of Director: David B. Kilpatrick | Management | For | For | ||||||||||||
| 1F. | Election of Director: Lorraine Mitchelmore | Management | For | For | ||||||||||||
| 1G. | Election of Director: Scott Peak | Management | For | For | ||||||||||||
| 1H. | Election of Director: Donald F. Robillard, Jr | Management | For | For | ||||||||||||
| 1I. | Election of Director: Neal A. Shear | Management | For | For | ||||||||||||
| 1J. | Election of Director: Andrew J. Teno | Management | For | For | ||||||||||||
| 2. | Approve, on an advisory and non-binding basis, the compensation of the Company's named executive officers for 2021. | Management | For | For | ||||||||||||
| 3. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for 2022. | 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 | 14,300 | 0 | 13-Apr-2022 | 13-Apr-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 14,300 | 0 | 13-Apr-2022 | 13-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 53,400 | 0 | 13-Apr-2022 | 13-Apr-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 15,000 | 0 | 13-Apr-2022 | 13-Apr-2022 | |||||||||
| ZIMMER BIOMET HOLDINGS, INC. | ||||||||||||||||
| Security | 98956P102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ZBH | Meeting Date | 13-May-2022 | |||||||||||||
| ISIN | US98956P1021 | Agenda | 935568139 - Management | |||||||||||||
| Record Date | 14-Mar-2022 | Holding Recon Date | 14-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-May-2022 | |||||||||||
| 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 2022. | Management | For | For | ||||||||||||
| 3. | Approve, on a non-binding advisory basis, named executive officer compensation ("Say on Pay"). | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 4,300 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 8,800 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 16,100 | 0 | 30-Mar-2022 | 30-Mar-2022 | |||||||||
| THERMO FISHER SCIENTIFIC INC. | ||||||||||||||||
| Security | 883556102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | TMO | Meeting Date | 18-May-2022 | |||||||||||||
| ISIN | US8835561023 | Agenda | 935585058 - Management | |||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2022 | |||||||||||
| 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: Ruby R. Chandy | Management | For | For | ||||||||||||
| 1D. | Election of director: C. Martin Harris | Management | For | For | ||||||||||||
| 1E. | Election of director: Tyler Jacks | Management | For | For | ||||||||||||
| 1F. | Election of director: R. Alexandra Keith | 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. Sorensen | 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 2022. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 935 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 2,475 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 3,438 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 1,145 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 290 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| NORTHROP GRUMMAN CORPORATION | ||||||||||||||||
| Security | 666807102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | NOC | Meeting Date | 18-May-2022 | |||||||||||||
| ISIN | US6668071029 | Agenda | 935592495 - Management | |||||||||||||
| Record Date | 22-Mar-2022 | Holding Recon Date | 22-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Kathy J. Warden | Management | For | For | ||||||||||||
| 1B. | Election of Director: David P. Abney | Management | For | For | ||||||||||||
| 1C. | Election of Director: Marianne C. Brown | Management | For | For | ||||||||||||
| 1D. | Election of Director: Donald E. Felsinger | Management | For | For | ||||||||||||
| 1E. | Election of Director: Ann M. Fudge | Management | For | For | ||||||||||||
| 1F. | Election of Director: William H. Hernandez | Management | For | For | ||||||||||||
| 1G. | Election of Director: Madeleine A. Kleiner | Management | For | For | ||||||||||||
| 1H. | Election of Director: Karl J. Krapek | Management | For | For | ||||||||||||
| 1I. | Election of Director: Graham N. Robinson | Management | For | For | ||||||||||||
| 1J. | Election of Director: Gary Roughead | Management | For | For | ||||||||||||
| 1K. | Election of Director: Thomas M. Schoewe | Management | For | For | ||||||||||||
| 1L. | Election of Director: James S. Turley | Management | For | For | ||||||||||||
| 1M. | Election of Director: Mark A. Welsh III | Management | For | For | ||||||||||||
| 2. | Proposal to approve, on an advisory basis, the compensation of the Company's Named Executive Officers. | Management | For | For | ||||||||||||
| 3. | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's Independent Auditor for fiscal year ending December 31, 2022. | Management | For | For | ||||||||||||
| 4. | Shareholder proposal to change the ownership threshold for shareholders to call a special meeting. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 2,390 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 4,890 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 8,920 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| EQUITABLE HOLDINGS, INC. | ||||||||||||||||
| Security | 29452E101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | EQH | Meeting Date | 19-May-2022 | |||||||||||||
| ISIN | US29452E1010 | Agenda | 935589032 - Management | |||||||||||||
| Record Date | 23-Mar-2022 | Holding Recon Date | 23-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Francis A. Hondal | Management | For | For | ||||||||||||
| 1B. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Daniel G. Kaye | Management | For | For | ||||||||||||
| 1C. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Joan Lamm-Tennant | Management | For | For | ||||||||||||
| 1D. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Kristi A. Matus | Management | For | For | ||||||||||||
| 1E. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Mark Pearson | Management | For | For | ||||||||||||
| 1F. | Election of Director for a one-year term ending at the 2023 Annual Meeting: Bertram L. Scott | Management | For | For | ||||||||||||
| 1G. | Election of Director for a one-year term ending at the 2023 Annual Meeting: George Stansfield | Management | For | For | ||||||||||||
| 1H. | Election of Director for a one-year term ending at the 2023 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 2022. | Management | For | For | ||||||||||||
| 3. | Advisory vote to approve the compensation paid to our named executive officers. | Management | For | For | ||||||||||||
| 4. | Amendments to the Company's Certificate of Incorporation to remove supermajority voting requirements, references to the AXA Shareholder Agreement and other obsolete provisions. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 67,400 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 123,400 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 226,800 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 70,000 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 28,500 | 0 | 08-Apr-2022 | 08-Apr-2022 | |||||||||
| ZOETIS INC. | ||||||||||||||||
| Security | 98978V103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ZTS | Meeting Date | 19-May-2022 | |||||||||||||
| ISIN | US98978V1035 | Agenda | 935591176 - Management | |||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Paul M. Bisaro | Management | For | For | ||||||||||||
| 1B. | Election of Director: Frank A. D'Amelio | Management | For | For | ||||||||||||
| 1C. | Election of Director: Michael B. McCallister | Management | For | For | ||||||||||||
| 2. | Advisory vote to approve our executive compensation. | Management | For | For | ||||||||||||
| 3. | Approval of an Amendment and Restatement of our 2013 Equity and Incentive Plan. | Management | For | For | ||||||||||||
| 4. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2022. | Management | For | For | ||||||||||||
| 5. | Approval of an amendment to our Restated Certificate of Incorporation to eliminate supermajority voting provisions and certain provisions related to Pfizer Inc. | Management | For | For | ||||||||||||
| 6. | Approval of an amendment to our Restated Certificate of Incorporation to declassify the Board of Directors. | 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 | 20 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 70 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 30 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 130 | 4,600 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 4,620 | 3,500 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 15,195 | 0 | 07-Apr-2022 | 07-Apr-2022 | |||||||||
| REDWOOD TRUST, INC. | ||||||||||||||||
| Security | 758075402 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | RWT | Meeting Date | 24-May-2022 | |||||||||||||
| ISIN | US7580754023 | Agenda | 935591544 - Management | |||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1.1 | Election of Director: Greg H. Kubicek | Management | For | For | ||||||||||||
| 1.2 | Election of Director: Christopher J. Abate | Management | For | For | ||||||||||||
| 1.3 | Election of Director: Armando Falcon | Management | For | For | ||||||||||||
| 1.4 | Election of Director: Douglas B. Hansen | Management | For | For | ||||||||||||
| 1.5 | Election of Director: Debora D. Horvath | Management | For | For | ||||||||||||
| 1.6 | Election of Director: George W. Madison | Management | For | For | ||||||||||||
| 1.7 | Election of Director: Georganne C. Proctor | Management | For | For | ||||||||||||
| 1.8 | Election of Director: Dashiell I. Robinson | Management | For | For | ||||||||||||
| 1.9 | 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 2022. | Management | For | For | ||||||||||||
| 3. | Non-binding advisory resolution to approve named executive officer compensation. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 34,900 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 280,300 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL60 | GLV PLEDGE | 997AL60 | STATE STREET BANK & TRUST CO | 35,000 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| MERCK & CO., INC. | ||||||||||||||||
| Security | 58933Y105 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MRK | Meeting Date | 24-May-2022 | |||||||||||||
| ISIN | US58933Y1055 | Agenda | 935591570 - Management | |||||||||||||
| Record Date | 25-Mar-2022 | Holding Recon Date | 25-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Douglas M. Baker, Jr. | 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: Robert M. Davis | Management | For | For | ||||||||||||
| 1E. | Election of Director: Kenneth C. Frazier | Management | For | For | ||||||||||||
| 1F. | Election of Director: Thomas H. Glocer | Management | For | For | ||||||||||||
| 1G. | Election of Director: Risa J. Lavizzo-Mourey, M.D. | Management | For | For | ||||||||||||
| 1H. | Election of Director: Stephen L. Mayo, Ph.D. | Management | For | For | ||||||||||||
| 1I. | Election of Director: Paul B. Rothman, M.D. | Management | For | For | ||||||||||||
| 1J. | Election of Director: Patricia F. Russo | Management | For | For | ||||||||||||
| 1K. | Election of Director: Christine E. Seidman, M.D. | Management | For | For | ||||||||||||
| 1L. | Election of Director: Inge G. Thulin | Management | For | For | ||||||||||||
| 1M. | Election of Director: Kathy J. Warden | Management | For | For | ||||||||||||
| 1N. | 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 2022. | Management | For | For | ||||||||||||
| 4. | Shareholder proposal regarding an independent board chairman. | Shareholder | Against | For | ||||||||||||
| 5. | Shareholder proposal regarding access to COVID-19 products. | Shareholder | Against | For | ||||||||||||
| 6. | Shareholder proposal regarding lobbying expenditure disclosure. | 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 | 12,700 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 25,700 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 46,800 | 0 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 14,300 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 31,300 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 18,900 | 39,800 | 05-Apr-2022 | 05-Apr-2022 | |||||||||
| EXXON MOBIL CORPORATION | ||||||||||||||||
| Security | 30231G102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | XOM | Meeting Date | 25-May-2022 | |||||||||||||
| ISIN | US30231G1022 | Agenda | 935604214 - Management | |||||||||||||
| Record Date | 01-Apr-2022 | Holding Recon Date | 01-Apr-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-May-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Michael J. Angelakis | Management | For | For | ||||||||||||
| 1B. | Election of Director: Susan K. Avery | Management | For | For | ||||||||||||
| 1C. | Election of Director: Angela F. Braly | Management | For | For | ||||||||||||
| 1D. | Election of Director: Ursula M. Burns | Management | For | For | ||||||||||||
| 1E. | Election of Director: Gregory J. Goff | Management | For | For | ||||||||||||
| 1F. | Election of Director: Kaisa H. Hietala | Management | For | For | ||||||||||||
| 1G. | Election of Director: Joseph L. Hooley | Management | For | For | ||||||||||||
| 1H. | Election of Director: Steven A. Kandarian | Management | For | For | ||||||||||||
| 1I. | Election of Director: Alexander A. Karsner | Management | For | For | ||||||||||||
| 1J. | Election of Director: Jeffrey W. Ubben | Management | For | For | ||||||||||||
| 1K. | Election of Director: Darren W. Woods | Management | For | For | ||||||||||||
| 2. | Ratification of Independent Auditors | Management | For | For | ||||||||||||
| 3. | Advisory Vote to Approve Executive Compensation | Management | For | For | ||||||||||||
| 4. | Remove Executive Perquisites | Shareholder | Against | For | ||||||||||||
| 5. | Limit Shareholder Rights for Proposal Submission | Shareholder | Against | For | ||||||||||||
| 6. | Reduce Company Emissions and Hydrocarbon Sales | Shareholder | Against | For | ||||||||||||
| 7. | Report on Low Carbon Business Planning | Shareholder | Against | For | ||||||||||||
| 8. | Report on Scenario Analysis | Shareholder | Against | For | ||||||||||||
| 9. | Report on Plastic Production | Shareholder | Against | For | ||||||||||||
| 10. | Report on Political Contributions | 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 | 34,500 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||
| 997AL29 | GLO | 997AL29 | STATE STREET BANK & TRUST CO | 38,700 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 17,200 | 25,000 | 12-Apr-2022 | 12-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 90,400 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 28,700 | 0 | 12-Apr-2022 | 12-Apr-2022 | |||||||||
| NVIDIA CORPORATION | ||||||||||||||||
| Security | 67066G104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | NVDA | Meeting Date | 02-Jun-2022 | |||||||||||||
| ISIN | US67066G1040 | Agenda | 935618299 - Management | |||||||||||||
| Record Date | 04-Apr-2022 | Holding Recon Date | 04-Apr-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Jun-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Robert K. Burgess | Management | For | For | ||||||||||||
| 1B. | Election of Director: Tench Coxe | Management | For | For | ||||||||||||
| 1C. | Election of Director: John O. Dabiri | Management | For | For | ||||||||||||
| 1D. | Election of Director: Persis S. Drell | Management | For | For | ||||||||||||
| 1E. | Election of Director: Jen-Hsun Huang | Management | For | For | ||||||||||||
| 1F. | Election of Director: Dawn Hudson | Management | For | For | ||||||||||||
| 1G. | Election of Director: Harvey C. Jones | Management | For | For | ||||||||||||
| 1H. | Election of Director: Michael G. McCaffery | Management | For | For | ||||||||||||
| 1I. | Election of Director: Stephen C. Neal | Management | For | For | ||||||||||||
| 1J. | Election of Director: Mark L. Perry | Management | For | For | ||||||||||||
| 1K. | Election of Director: A. Brooke Seawell | Management | For | For | ||||||||||||
| 1L. | Election of Director: Aarti Shah | Management | For | For | ||||||||||||
| 1M. | Election of Director: Mark A. Stevens | Management | For | For | ||||||||||||
| 2. | Advisory approval of our executive compensation. | Management | For | For | ||||||||||||
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2023. | Management | For | For | ||||||||||||
| 4. | Approval of an amendment to our charter to increase the number of authorized shares of common stock from 4 billion to 8 billion shares. | Management | For | For | ||||||||||||
| 5. | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | Management | For | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 10,000 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 185 | 11,700 | 21-Apr-2022 | 21-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 29,900 | 21-Apr-2022 | 21-Apr-2022 | |||||||||
| 997AL53 | GLO PLEDGE | 997AL53 | STATE STREET BANK & TRUST CO | 14,350 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||
| 997AL61 | GLQ PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 13,940 | 0 | 21-Apr-2022 | 21-Apr-2022 | |||||||||
| UnitedHealth Group | ||||||||||||||||
| Security | 91324P102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | UNH | Meeting Date | 06-Jun-2022 | |||||||||||||
| ISIN | US91324P1021 | Agenda | 935618453 - Management | |||||||||||||
| Record Date | 08-Apr-2022 | Holding Recon Date | 08-Apr-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Jun-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1a. | Election of Director: Timothy P. Flynn | Management | For | For | ||||||||||||
| 1b. | Election of Director: Paul R. Garcia | 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: 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, 2022. | Management | For | For | ||||||||||||
| 4. | If properly presented at the 2022 Annual Meeting of Shareholders, the shareholder proposal seeking shareholder ratification of termination pay. | Shareholder | Against | For | ||||||||||||
| 5. | If properly presented at the 2022 Annual Meeting of Shareholders, the shareholder proposal regarding political contributions congruency report. | Shareholder | Against | For | ||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 100 | 3,985 | 23-Apr-2022 | 23-Apr-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 8,195 | 23-Apr-2022 | 23-Apr-2022 | |||||||||
| 997AL49 | GLO PLEDGE | 997AL49 | STATE STREET BANK & TRUST CO | 100 | 15,240 | 23-Apr-2022 | 23-Apr-2022 | |||||||||
| BARINGS BDC, INC. | ||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 30-Jun-2022 | |||||||||||||
| ISIN | US06759L1035 | Agenda | 935579156 - Management | |||||||||||||
| Record Date | 07-Mar-2022 | Holding Recon Date | 07-Mar-2022 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Jun-2022 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Class I Director who will serve until 2025 Annual Meeting: Eric Lloyd | Management | For | For | ||||||||||||
| 1B. | Election of Class I Director who will serve until 2025 Annual Meeting: Mark Mulhern | Management | For | For | ||||||||||||
| 1C. | Election of Class I Director who will serve until 2025 Annual Meeting: Robert Knapp | 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 | |||||||||
| 997AL27 | GLV | 997AL27 | STATE STREET BANK & TRUST CO | 54,000 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| 997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 54,800 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| 997AL45 | GLV PLEDGE | 997AL45 | STATE STREET BANK & TRUST CO | 103,400 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
| 997AL47 | GLQ PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 306,346 | 0 | 26-Mar-2022 | 26-Mar-2022 | |||||||||
-2-
SIGNATURE
Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Clough Global Dividend and Income Fund | |||
| By: | /s/ Dawn Cotten | ||
| Dawn Cotten | |||
| President | |||
| Date: | August 3, 2022 | ||
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