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: 811-21712
CLOUGH GLOBAL EQUITY FUND
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Sareena Khwaja-Dixon, Esq.
Clough Global Equity Fund
1290 Broadway, Suite 1000
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code:(303) 623-2577
Date of fiscal year end:October 31
Date of reporting period:July 1, 2018 – June 30, 2019
Item 1 – Proxy Voting Record.
Vote Summary
QORVO, INC. | |||||||||||||||||||||
Security | 74736K101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | QRVO | Meeting Date | 07-Aug-2018 | ||||||||||||||||||
ISIN | US74736K1016 | Agenda | 934851052 - Management | ||||||||||||||||||
Record Date | 14-Jun-2018 | Holding Recon Date | 14-Jun-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 06-Aug-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Ralph G. Quinsey | For | For | ||||||||||||||||||
2 | Robert A. Bruggeworth | For | For | ||||||||||||||||||
3 | Daniel A. DiLeo | For | For | ||||||||||||||||||
4 | Jeffery R. Gardner | For | For | ||||||||||||||||||
5 | Charles Scott Gibson | For | For | ||||||||||||||||||
6 | John R. Harding | For | For | ||||||||||||||||||
7 | David H. Y. Ho | For | For | ||||||||||||||||||
8 | Roderick D. Nelson | For | For | ||||||||||||||||||
9 | Dr. Walden C. Rhines | For | For | ||||||||||||||||||
10 | Susan L. Spradley | For | For | ||||||||||||||||||
11 | Walter H. Wilkinson, Jr | For | For | ||||||||||||||||||
2. | To approve, on an advisory basis, the compensation of our Named Executive Officers (as defined in the proxy statement). | Management | For | For | |||||||||||||||||
3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending March 30, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 28,300 | 27-Jun-2018 | 08-Aug-2018 | ||||||||||||||
LIBERTY ALL-STAR EQUITY FUND | |||||||||||||||||||||
Security | 530158104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | USA | Meeting Date | 23-Aug-2018 | ||||||||||||||||||
ISIN | US5301581048 | Agenda | 934856569 - Management | ||||||||||||||||||
Record Date | 11-Jun-2018 | Holding Recon Date | 11-Jun-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Aug-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | John A. Benning | For | For | ||||||||||||||||||
2 | Maureen Usifer | For | For | ||||||||||||||||||
3 | Edmund J. Burke | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 102,400 | 0 | 11-Jul-2018 | 24-Aug-2018 | ||||||||||||||
EXPRESS SCRIPTS HOLDING COMPANY | |||||||||||||||||||||
Security | 30219G108 | Meeting Type | Special | ||||||||||||||||||
Ticker Symbol | ESRX | Meeting Date | 24-Aug-2018 | ||||||||||||||||||
ISIN | US30219G1085 | Agenda | 934858309 - Management | ||||||||||||||||||
Record Date | 12-Jul-2018 | Holding Recon Date | 12-Jul-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 23-Aug-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | A proposal to adopt the Agreement and Plan of Merger, dated as of March 8, 2018, as amended by Amendment No. 1, dated as of June 27, 2018, and as it may be further amended from time to time (the "Merger Agreement"), by and among Cigna Corporation, Express Scripts Holding Company ("Express Scripts"), Halfmoon Parent, Inc., Halfmoon I, Inc. and Halfmoon II, Inc. | Management | For | For | |||||||||||||||||
2. | A proposal to approve the adjournment of the Express Scripts special meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes to approve the proposal to adopt the Merger Agreement. | Management | For | For | |||||||||||||||||
3. | A proposal to approve, by a non-binding advisory vote, certain compensation arrangements that may be paid or become payable to Express Scripts' named executive officers in connection with the mergers contemplated by the Merger Agreement. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 10,600 | 19-Jul-2018 | 27-Aug-2018 | ||||||||||||||
VIASAT, INC. | |||||||||||||||||||||
Security | 92552V100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | VSAT | Meeting Date | 06-Sep-2018 | ||||||||||||||||||
ISIN | US92552V1008 | Agenda | 934860594 - Management | ||||||||||||||||||
Record Date | 10-Jul-2018 | Holding Recon Date | 10-Jul-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Sep-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Frank J. Biondi, Jr. | For | For | ||||||||||||||||||
2 | Robert Johnson | For | For | ||||||||||||||||||
3 | John Stenbit | For | For | ||||||||||||||||||
2. | Ratification of Appointment of PricewaterhouseCoopers LLP as Viasat's Independent Registered Public Accounting Firm for fiscal year 2019 | Management | For | For | |||||||||||||||||
3. | Advisory Vote on Executive Compensation | Management | For | For | |||||||||||||||||
4. | Amendment and Restatement of the 1996 Equity Participation Plan | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 35,342 | 25-Jul-2018 | 07-Sep-2018 | ||||||||||||||
ASHTEAD GROUP PLC | |||||||||||||||||||||
Security | G05320109 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 11-Sep-2018 | |||||||||||||||||||
ISIN | GB0000536739 | Agenda | 709783193 - Management | ||||||||||||||||||
Record Date | Holding Recon Date | 07-Sep-2018 | |||||||||||||||||||
City / | Country | LONDON | / | United Kingdom | Vote Deadline Date | 05-Sep-2018 | |||||||||||||||
SEDOL(s) | 0053673 - B02S5X9 - B630X21 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1 | RECEIVING REPORT AND ACCOUNTS | Management | For | For | |||||||||||||||||
2 | APPROVAL OF THE DIRECTORS REMUNERATION REPORT (EXCLUDING REMUNERATION POLICY) | Management | For | For | |||||||||||||||||
3 | DECLARATION OF A FINAL DIVIDEND: 27.5 PENCE PER ORDINARY SHARE | Management | For | For | |||||||||||||||||
4 | RE-ELECTION OF GEOFF DRABBLE | Management | For | For | |||||||||||||||||
5 | RE-ELECTION OF BRENDAN HORGAN | Management | For | For | |||||||||||||||||
6 | ELECTION OF MICHAEL PRATT | Management | For | For | |||||||||||||||||
7 | RE-ELECTION OF IAN SUTCLIFFE | Management | For | For | |||||||||||||||||
8 | RE-ELECTION OF LUCINDA RICHES | Management | For | For | |||||||||||||||||
9 | RE-ELECTION OF TANYA FRATTO | Management | For | For | |||||||||||||||||
10 | RE-ELECTION OF PAUL WALKER | Management | For | For | |||||||||||||||||
11 | REAPPOINTMENT OF AUDITOR: DELOITTE LLP | Management | For | For | |||||||||||||||||
12 | AUTHORITY TO SET THE REMUNERATION OF THE AUDITOR | Management | For | For | |||||||||||||||||
13 | DIRECTORS AUTHORITY TO ALLOT SHARES | Management | For | For | |||||||||||||||||
14 | DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | For | For | |||||||||||||||||
15 | ADDITIONAL DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | For | For | |||||||||||||||||
16 | AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN SHARES | Management | For | For | |||||||||||||||||
17 | NOTICE PERIOD FOR GENERAL MEETINGS | Management | For | For | |||||||||||||||||
CMMT | 24 JUL 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT IN RESOLUTION 3 AND 11. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE-DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS.-THANK YOU | Non-Voting | |||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 90,414 | 0 | 24-Jul-2018 | 05-Sep-2018 | |||||||||||||||
LUXOFT HOLDING, INC | |||||||||||||||||||||
Security | G57279104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | LXFT | Meeting Date | 14-Sep-2018 | ||||||||||||||||||
ISIN | VGG572791041 | Agenda | 934868742 - Management | ||||||||||||||||||
Record Date | 10-Aug-2018 | Holding Recon Date | 10-Aug-2018 | ||||||||||||||||||
City / | Country | / | Virgin Islands (British) | Vote Deadline Date | 13-Sep-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Director: Esther Dyson | Management | For | For | |||||||||||||||||
1.2 | Election of Director: Glen Granovsky | Management | For | For | |||||||||||||||||
1.3 | Election of Director: Marc Kasher | Management | For | For | |||||||||||||||||
1.4 | Election of Director: Anatoly Karachinskiy | Management | For | For | |||||||||||||||||
1.5 | Election of Director: Thomas Pickering | Management | For | For | |||||||||||||||||
1.6 | Election of Director: Dmitry Loshchinin | Management | For | For | |||||||||||||||||
1.7 | Election of Director: Sergey Matsotsky | Management | For | For | |||||||||||||||||
1.8 | Election of Director: Yulia Yukhadi | Management | For | For | |||||||||||||||||
2. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLC AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR ENDING MARCH 31, 2019. | 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 | 18,900 | 0 | 17-Aug-2018 | 17-Sep-2018 | ||||||||||||||
WNS (HOLDINGS) LIMITED | |||||||||||||||||||||
Security | 92932M101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | WNS | Meeting Date | 27-Sep-2018 | ||||||||||||||||||
ISIN | US92932M1018 | Agenda | 934872513 - Management | ||||||||||||||||||
Record Date | 22-Aug-2018 | Holding Recon Date | 22-Aug-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-Sep-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | Adoption of the audited annual accounts of the Company for the financial year ended March 31, 2018, together with the auditors' report. | Management | For | For | |||||||||||||||||
2. | Re-appointment of Grant Thornton India LLP as the auditors of the Company. | Management | For | For | |||||||||||||||||
3. | Approval of auditors' remuneration for the financial year ending March 31, 2019. | Management | For | For | |||||||||||||||||
4. | Re-election of the Class III Director, Mrs. Renu S. Karnad. | Management | For | For | |||||||||||||||||
5. | Re-election of the Class III Director, Mr. John Freeland. | Management | For | For | |||||||||||||||||
6. | Re-election of the Class III Director, Ms. Francoise Gri. | Management | For | For | |||||||||||||||||
7. | Approval of Directors' remuneration for the period from the Annual General Meeting until the next annual general meeting of the Company to be held in respect of the financial year ending March 31, 2019. | Management | For | For | |||||||||||||||||
8. | Increase in the ordinary shares/American Depositary Shares ("ADSs") available for grant under the Company's 2016 Incentive Award Plan as may be amended and restated pursuant to and in accordance with the terms thereof ("the Plan") by 1.4 Million ordinary shares/ADSs (representing 2.7% of the total ...Due to space limits, see proxy material for full proposal. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 20,600 | 0 | 30-Aug-2018 | 20-Sep-2018 | ||||||||||||||
MIMECAST LIMITED | |||||||||||||||||||||
Security | G14838109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | MIME | Meeting Date | 04-Oct-2018 | ||||||||||||||||||
ISIN | GB00BYT5JK65 | Agenda | 934871016 - Management | ||||||||||||||||||
Record Date | 15-Aug-2018 | Holding Recon Date | 15-Aug-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 02-Oct-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | To re-elect Peter Bauer as a Class III director of the Company. | Management | For | For | |||||||||||||||||
2. | To re-elect Jeffrey Lieberman as a Class III director of the Company. | Management | For | For | |||||||||||||||||
3. | To re-elect Hagi Schwartz as a Class III director of the Company. | Management | For | For | |||||||||||||||||
4. | To appoint Ernst & Young LLP in the United Kingdom as our independent auditors. | Management | For | For | |||||||||||||||||
5. | To authorise the Board of Directors of the Company to determine the remuneration of the auditors. | Management | For | For | |||||||||||||||||
6. | To receive the Company's accounts for the year ended March 31, 2018 together with the directors' report and the auditors' report on those accounts. | Management | For | For | |||||||||||||||||
7. | Non-binding advisory vote to approve the compensation of the named executive officers. | Management | For | For | |||||||||||||||||
8. | Non-binding advisory vote on the frequency of future advisory votes to approve the compensation of our named executive officers. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 41,200 | 0 | 25-Aug-2018 | 04-Oct-2018 | ||||||||||||||
MIMECAST LIMITED | |||||||||||||||||||||
Security | G14838109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | MIME | Meeting Date | 04-Oct-2018 | ||||||||||||||||||
ISIN | GB00BYT5JK65 | Agenda | 934882817 - Management | ||||||||||||||||||
Record Date | 26-Sep-2018 | Holding Recon Date | 26-Sep-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 02-Oct-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | To re-elect Peter Bauer as a Class III director of the Company. | Management | For | For | |||||||||||||||||
2. | To re-elect Jeffrey Lieberman as a Class III director of the Company. | Management | For | For | |||||||||||||||||
3. | To re-elect Hagi Schwartz as a Class III director of the Company. | Management | For | For | |||||||||||||||||
4. | To appoint Ernst & Young LLP in the United Kingdom as our independent auditors. | Management | For | For | |||||||||||||||||
5. | To authorise the Board of Directors of the Company to determine the remuneration of the auditors. | Management | For | For | |||||||||||||||||
6. | To receive the Company's accounts for the year ended March 31, 2018 together with the directors' report and the auditors' report on those accounts. | Management | For | For | |||||||||||||||||
7. | Non-binding advisory vote to approve the compensation of the named executive officers. | Management | For | For | |||||||||||||||||
8. | Non-binding advisory vote on the frequency of future advisory votes to approve the compensation of our named executive officers. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 41,200 | 0 | 02-Oct-2018 | 04-Oct-2018 | ||||||||||||||
TPG SPECIALTY LENDING, INC. | |||||||||||||||||||||
Security | 87265K102 | Meeting Type | Special | ||||||||||||||||||
Ticker Symbol | TSLX | Meeting Date | 08-Oct-2018 | ||||||||||||||||||
ISIN | US87265K1025 | Agenda | 934871725 - Management | ||||||||||||||||||
Record Date | 21-Aug-2018 | Holding Recon Date | 21-Aug-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Oct-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | To approve the application to the Company of a minimum asset coverage ratio of 150%, pursuant to Section 61 (a)(2) of the Investment Company Act of 1940, as amended, to become effective the date after the Special Meeting, which would permit the Company to double the maximum amount of leverage that it is permitted to incur. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 72,800 | 0 | 28-Aug-2018 | 09-Oct-2018 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 19,700 | 0 | 28-Aug-2018 | 09-Oct-2018 | ||||||||||||||
GDS HOLDINGS LIMITED | |||||||||||||||||||||
Security | 36165L108 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GDS | Meeting Date | 09-Oct-2018 | ||||||||||||||||||
ISIN | US36165L1089 | Agenda | 934879973 - Management | ||||||||||||||||||
Record Date | 12-Sep-2018 | Holding Recon Date | 12-Sep-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Oct-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | Re-election of Mr. Gary Wojtaszek as a director of the Company. | Management | For | ||||||||||||||||||
2. | Re-election of Mr. Lim Ah Doo as a director of the Company. | Management | For | ||||||||||||||||||
3. | Re-election of Mr. Chang Sun as a director of the Company. | Management | For | ||||||||||||||||||
4. | Election of Ms. Judy Qing Ye as a director of the Company. | Management | For | ||||||||||||||||||
5. | Confirmation of the appointment of KPMG Huazhen LLP as independent auditor of the Company for the fiscal year ending December 31, 2018. | Management | For | ||||||||||||||||||
6. | Authorization of the Board of Directors of the Company to approve allotment or issuance, in the 12-month period from the date of the Meeting, of ordinary shares or other equity or equity-linked securities of the Company up to an aggregate twenty per cent. (20%) of its existing issued share capital of ...(due to space limits, see proxy statement for full proposal). | Management | For | ||||||||||||||||||
7. | Authorization of each of the directors and officers of the Company to take any and every action that might be necessary to effect the foregoing resolutions as such director or officer, in his or her absolute discretion, thinks fit. | Management | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 19,422 | 0 | 21-Sep-2018 | 08-Oct-2018 | ||||||||||||||
SOLAR CAPITAL LTD | |||||||||||||||||||||
Security | 83413U100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | SLRC | Meeting Date | 11-Oct-2018 | ||||||||||||||||||
ISIN | US83413U1007 | Agenda | 934871066 - Management | ||||||||||||||||||
Record Date | 16-Aug-2018 | Holding Recon Date | 16-Aug-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Oct-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Michael S. Gross | For | For | ||||||||||||||||||
2 | Leonard A. Potter | For | For | ||||||||||||||||||
2. | To approve a proposal to authorize Solar Capital Ltd. to sell shares of its common stock at a price or prices below Solar Capital Ltd.'s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of Solar Capital Ltd.'s then outstanding common stock immediately prior to each such offering). | Management | For | For | |||||||||||||||||
3. | To approve of Solar Capital Ltd. immediately becoming subject to a minimum asset coverage ratio of at least 150%, permitting Solar Capital Ltd. to double its amount of debt incurrence earlier than the current effective date of August 2, 2019, pursuant to the Small Business Credit Availability Act | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 24,500 | 0 | 25-Aug-2018 | 12-Oct-2018 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 119,000 | 0 | 25-Aug-2018 | 12-Oct-2018 | ||||||||||||||
BLACKROCK LIQUIDITY FUNDS | |||||||||||||||||||||
Security | 09248U718 | Meeting Type | Special | ||||||||||||||||||
Ticker Symbol | TSTXX | Meeting Date | 21-Nov-2018 | ||||||||||||||||||
ISIN | US09248U7182 | Agenda | 934885724 - Management | ||||||||||||||||||
Record Date | 24-Sep-2018 | Holding Recon Date | 24-Sep-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-Nov-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | DIRECTOR | Management | |||||||||||||||||||
1 | Bruce R. Bond | For | For | ||||||||||||||||||
2 | Susan J. Carter | For | For | ||||||||||||||||||
3 | Collette Chilton | For | For | ||||||||||||||||||
4 | Neil A. Cotty | For | For | ||||||||||||||||||
5 | Robert Fairbairn | For | For | ||||||||||||||||||
6 | Lena G. Goldberg | For | For | ||||||||||||||||||
7 | Robert M. Hernandez | For | For | ||||||||||||||||||
8 | Henry R. Keizer | For | For | ||||||||||||||||||
9 | Cynthia A. Montgomery | For | For | ||||||||||||||||||
10 | Donald C. Opatrny | For | For | ||||||||||||||||||
11 | John M. Perlowski | For | For | ||||||||||||||||||
12 | Joseph P. Platt | For | For | ||||||||||||||||||
13 | Mark Stalnecker | For | For | ||||||||||||||||||
14 | Kenneth L. Urish | For | For | ||||||||||||||||||
15 | Claire A. Walton | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 26,001,372 | 0 | 30-Oct-2018 | 30-Oct-2018 | ||||||||||||||
MICROSOFT CORPORATION | |||||||||||||||||||||
Security | 594918104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | MSFT | Meeting Date | 28-Nov-2018 | ||||||||||||||||||
ISIN | US5949181045 | Agenda | 934884544 - Management | ||||||||||||||||||
Record Date | 26-Sep-2018 | Holding Recon Date | 26-Sep-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-Nov-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: William H. Gates lll | Management | For | For | |||||||||||||||||
1b. | Election of Director: Reid G. Hoffman | Management | For | For | |||||||||||||||||
1c. | Election of Director: Hugh F. Johnston | Management | For | For | |||||||||||||||||
1d. | Election of Director: Teri L. List-Stoll | Management | For | For | |||||||||||||||||
1e. | Election of Director: Satya Nadella | Management | For | For | |||||||||||||||||
1f. | Election of Director: Charles H. Noski | Management | For | For | |||||||||||||||||
1g. | Election of Director: Helmut Panke | Management | For | For | |||||||||||||||||
1h. | Election of Director: Sandra E. Peterson | Management | For | For | |||||||||||||||||
1i. | Election of Director: Penny S. Pritzker | Management | For | For | |||||||||||||||||
1j. | Election of Director: Charles W. Scharf | Management | For | For | |||||||||||||||||
1k. | Election of Director: Arne M. Sorenson | Management | For | For | |||||||||||||||||
1l. | Election of Director: John W. Stanton | Management | For | For | |||||||||||||||||
1m. | Election of Director: John W. Thompson | Management | For | For | |||||||||||||||||
1n. | Election of Director: Padmasree Warrior | Management | For | For | |||||||||||||||||
2. | Advisory vote to approve named executive officer compensation | Management | For | For | |||||||||||||||||
3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2019 | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 600 | 48,800 | 17-Oct-2018 | 29-Nov-2018 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 6,500 | 0 | 17-Oct-2018 | 29-Nov-2018 | ||||||||||||||
GUIDEWIRE SOFTWARE INC | |||||||||||||||||||||
Security | 40171V100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GWRE | Meeting Date | 06-Dec-2018 | ||||||||||||||||||
ISIN | US40171V1008 | Agenda | 934897426 - Management | ||||||||||||||||||
Record Date | 12-Oct-2018 | Holding Recon Date | 12-Oct-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Dec-2018 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Class I Director: Peter Gassner | Management | For | For | |||||||||||||||||
1.2 | Election of Class I Director: Paul Lavin | Management | For | For | |||||||||||||||||
1.3 | Election of Class I Director: Marcus S. Ryu | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending July 31, 2019. | Management | For | For | |||||||||||||||||
3. | To approve, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the Proxy Statement. | Management | For | For | |||||||||||||||||
4. | To consider a stockholder proposal, if properly presented at the annual meeting, to declassify the Board of Directors. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 10,000 | 0 | 08-Nov-2018 | 07-Dec-2018 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 3,300 | 0 | 08-Nov-2018 | 07-Dec-2018 | ||||||||||||||
PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | |||||||||||||||||||||
Security | Y69790106 | Meeting Type | ExtraOrdinary General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 14-Dec-2018 | |||||||||||||||||||
ISIN | CNE1000003X6 | Agenda | 710152682 - Management | ||||||||||||||||||
Record Date | 13-Nov-2018 | Holding Recon Date | 13-Nov-2018 | ||||||||||||||||||
City / | Country | GUANGD ONG | / | China | Vote Deadline Date | 10-Dec-2018 | |||||||||||||||
SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291205.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291197.PDF | Non-Voting | |||||||||||||||||||
1.1 | TO CONSIDER AND APPROVE THE ELECTION OF MR. NG SING YIP AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||||||||||||||||
1.2 | TO CONSIDER AND APPROVE THE ELECTION OF MR. CHU YIYUN AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||||||||||||||||
1.3 | TO CONSIDER AND APPROVE THE ELECTION OF MR. LIU HONG AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||||||||||||||||
2 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE IMPLEMENTATION OF THE LONG- TERM SERVICE PLAN | Management | For | For | |||||||||||||||||
3 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ISSUING OF DEBT FINANCING INSTRUMENTS | Management | For | For | |||||||||||||||||
4 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION | Management | For | For | |||||||||||||||||
5 | TO CONSIDER AND APPROVE THE PLAN REGARDING SHARE BUY-BACK AND RELEVANT AUTHORIZATION | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 270,700 | 0 | 01-Nov-2018 | 11-Dec-2018 | |||||||||||||||
D.R. HORTON, INC. | |||||||||||||||||||||
Security | 23331A109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | DHI | Meeting Date | 23-Jan-2019 | ||||||||||||||||||
ISIN | US23331A1097 | Agenda | 934915490 - Management | ||||||||||||||||||
Record Date | 26-Nov-2018 | Holding Recon Date | 26-Nov-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Jan-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Donald R. Horton | Management | For | For | |||||||||||||||||
1b. | Election of Director: Barbara K. Allen | Management | For | For | |||||||||||||||||
1c. | Election of Director: Brad S. Anderson | Management | For | For | |||||||||||||||||
1d. | Election of Director: Michael R. Buchanan | Management | For | For | |||||||||||||||||
1e. | Election of Director: Michael W. Hewatt | Management | For | For | |||||||||||||||||
2. | Approval of the advisory resolution on executive compensation. | Management | For | For | |||||||||||||||||
3. | Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 2,800 | 0 | 21-Dec-2018 | 24-Jan-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 121 | 42,300 | 21-Dec-2018 | 24-Jan-2019 | ||||||||||||||
VISA INC. | |||||||||||||||||||||
Security | 92826C839 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | V | Meeting Date | 29-Jan-2019 | ||||||||||||||||||
ISIN | US92826C8394 | Agenda | 934911074 - Management | ||||||||||||||||||
Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 28-Jan-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||||||||||||||||
1b. | Election of Director: Mary B. Cranston | Management | For | For | |||||||||||||||||
1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | |||||||||||||||||
1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||||||||||||||||
1e. | Election of Director: John F. Lundgren | Management | For | For | |||||||||||||||||
1f. | Election of Director: Robert W. Matschullat | Management | For | For | |||||||||||||||||
1g. | Election of Director: Denise M. Morrison | Management | For | For | |||||||||||||||||
1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||||||||||||||||
1i. | Election of Director: John A. C. Swainson | Management | For | For | |||||||||||||||||
1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||||||||||||||||
2. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||||||||
3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 17,500 | 0 | 19-Dec-2018 | 30-Jan-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 9,800 | 0 | 19-Dec-2018 | 30-Jan-2019 | ||||||||||||||
GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||
Security | 38173M102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GBDC | Meeting Date | 05-Feb-2019 | ||||||||||||||||||
ISIN | US38173M1027 | Agenda | 934915844 - Management | ||||||||||||||||||
Record Date | 12-Dec-2018 | Holding Recon Date | 12-Dec-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Feb-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Class III Director: Lawrence E. Golub | Management | For | For | |||||||||||||||||
1b. | Election of Class III Director: William M. Webster IV | Management | For | For | |||||||||||||||||
2. | To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. | Management | For | For | |||||||||||||||||
3. | To approve the Company becoming subject to the minimum asset coverage ratio under the Small Business Credit Availability Act of at least 150%, which would permit the Company to double the maximum amount of leverage that it is currently permitted to incur. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 193,109 | 0 | 21-Dec-2018 | 06-Feb-2019 | ||||||||||||||
WELLS FARGO ADV MULTI SECTOR INC FUND | |||||||||||||||||||||
Security | 94987D101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ERC | Meeting Date | 11-Feb-2019 | ||||||||||||||||||
ISIN | US94987D1019 | Agenda | 934918155 - Management | ||||||||||||||||||
Record Date | 07-Dec-2018 | Holding Recon Date | 07-Dec-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Feb-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Timothy J. Penny | For | For | ||||||||||||||||||
2 | James G. Polisson | For | For | ||||||||||||||||||
3 | Pamela Wheelock | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 10,900 | 0 | 03-Jan-2019 | 12-Feb-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 6,900 | 0 | 03-Jan-2019 | 12-Feb-2019 | ||||||||||||||
DOUBLELINE INCOME SOLUTIONS FUND | |||||||||||||||||||||
Security | 258622109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | DSL | Meeting Date | 22-Feb-2019 | ||||||||||||||||||
ISIN | US2586221093 | Agenda | 934922546 - Management | ||||||||||||||||||
Record Date | 21-Dec-2018 | Holding Recon Date | 21-Dec-2018 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-Feb-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Class III Trustee: Joseph Ciprari | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 33,300 | 0 | 24-Jan-2019 | 25-Feb-2019 | ||||||||||||||
DUFF & PHELPS FUNDS | |||||||||||||||||||||
Security | 26433C105 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | DPG | Meeting Date | 11-Mar-2019 | ||||||||||||||||||
ISIN | US26433C1053 | Agenda | 934922801 - Management | ||||||||||||||||||
Record Date | 14-Jan-2019 | Holding Recon Date | 14-Jan-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Mar-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1c. | DIRECTOR | Management | |||||||||||||||||||
1 | Philip R. McLoughlin | For | For | ||||||||||||||||||
2 | Nathan I. Partain | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 29,600 | 0 | 24-Jan-2019 | 12-Mar-2019 | ||||||||||||||
TRANSDIGM GROUP INCORPORATED | |||||||||||||||||||||
Security | 893641100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | TDG | Meeting Date | 12-Mar-2019 | ||||||||||||||||||
ISIN | US8936411003 | Agenda | 934923853 - Management | ||||||||||||||||||
Record Date | 11-Jan-2019 | Holding Recon Date | 11-Jan-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-Mar-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1 | DIRECTOR | Management | |||||||||||||||||||
1 | David Barr | For | For | ||||||||||||||||||
2 | William Dries | For | For | ||||||||||||||||||
3 | Mervin Dunn | For | For | ||||||||||||||||||
4 | Michael Graff | For | For | ||||||||||||||||||
5 | Sean Hennessy | For | For | ||||||||||||||||||
6 | W. Nicholas Howley | For | For | ||||||||||||||||||
7 | Raymond Laubenthal | For | For | ||||||||||||||||||
8 | Gary E. McCullough | For | For | ||||||||||||||||||
9 | Michele Santana | For | For | ||||||||||||||||||
10 | Robert Small | For | For | ||||||||||||||||||
11 | John Staer | For | For | ||||||||||||||||||
12 | Kevin Stein | For | For | ||||||||||||||||||
2. | To approve (in an advisory vote) compensation paid to the Company's named executive officers. | Management | For | For | |||||||||||||||||
3. | To ratify the selection of Ernst & Young LLP as the Company's independent accountants for the fiscal year ending September 30, 2019. | Management | For | For | |||||||||||||||||
4. | To consider a shareholder proposal to adopt greenhouse gas emissions reduction targets. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 4,095 | 0 | 30-Jan-2019 | 13-Mar-2019 | ||||||||||||||
BLUE PRISM GROUP PLC | |||||||||||||||||||||
Security | G1193C101 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 19-Mar-2019 | |||||||||||||||||||
ISIN | GB00BYQ0HV16 | Agenda | 710553985 - Management | ||||||||||||||||||
Record Date | Holding Recon Date | 15-Mar-2019 | |||||||||||||||||||
City / | Country | LONDON | / | United Kingdom | Vote Deadline Date | 13-Mar-2019 | |||||||||||||||
SEDOL(s) | BFB4DJ5 - BYQ0HV1 - BYQNJK3 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1 | TO RECEIVE AND ADOPT THE ANNUAL REPORTS AND ACCOUNTS | Management | For | For | |||||||||||||||||
2 | TO RE-APPOINT BDO LLP AS AUDITORS | Management | For | For | |||||||||||||||||
3 | TO AUTHORISE THE DIRECTORS TO SETTLE THE REMUNERATION OF THE AUDITORS | Management | For | For | |||||||||||||||||
4 | TO APPROVE THE APPLICATION OF THE REMUNERATION POLICY IN FY18 (ADVISORY ONLY) | Management | For | For | |||||||||||||||||
5 | TO RE-APPOINT KEN LEVER AS A DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
6 | TO RE-APPOINT CHARMAINE CARMICHAEL AS A DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
7 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Management | For | For | |||||||||||||||||
8 | TO AUTHORISE THE DIRECTORS TO DISAPPLY STATUTORY PRE-EMPTION RIGHTS UP TO 5% OF THE ISSUED SHARE CAPITAL | Management | For | For | |||||||||||||||||
9 | TO DISAPPLY PRE-EMPTION RIGHTS FOR A FURTHER 5% OF THE ISSUED SHARE CAPITAL, IN CONNECTION WITH AN ACQUISITION OR CAPITAL INVESTMENT | Management | For | For | |||||||||||||||||
10 | TO AUTHORISE THE DIRECTORS TO PURCHASE SHARES | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 29,398 | 0 | 08-Mar-2019 | 13-Mar-2019 | |||||||||||||||
KKR INCOME OPPORTUNITIES FUND | |||||||||||||||||||||
Security | 48249T106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | KIO | Meeting Date | 21-Mar-2019 | ||||||||||||||||||
ISIN | US48249T1060 | Agenda | 934931331 - Management | ||||||||||||||||||
Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-Mar-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Tobin V. Levy | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 7,700 | 0 | 23-Feb-2019 | 22-Mar-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 16,504 | 0 | 23-Feb-2019 | 22-Mar-2019 | ||||||||||||||
BROADCOM INC | |||||||||||||||||||||
Security | 11135F101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | AVGO | Meeting Date | 01-Apr-2019 | ||||||||||||||||||
ISIN | US11135F1012 | Agenda | 934928598 - Management | ||||||||||||||||||
Record Date | 11-Feb-2019 | Holding Recon Date | 11-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Mar-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Mr. Hock E. Tan | Management | For | For | |||||||||||||||||
1b. | Election of Director: Dr. Henry Samueli | Management | For | For | |||||||||||||||||
1c. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | |||||||||||||||||
1d. | Election of Director: Ms. Diane M. Bryant | Management | For | For | |||||||||||||||||
1e. | Election of Director: Ms. Gayla J. Delly | Management | For | For | |||||||||||||||||
1f. | Election of Director: Mr. Check Kian Low | Management | For | For | |||||||||||||||||
1g. | Election of Director: Mr. Peter J. Marks | Management | For | For | |||||||||||||||||
1h. | Election of Director: Mr. Harry L. You | Management | For | For | |||||||||||||||||
2. | Ratification of the appointment of Pricewaterhouse- Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending November 3, 2019. | Management | For | For | |||||||||||||||||
3. | To approve amendments to Broadcom's Second Amended and Restated Employee Share Purchase Plan. | Management | For | For | |||||||||||||||||
4. | Non-binding, advisory vote to approve compensation of Broadcom's named executive officers. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 120 | 6,900 | 20-Feb-2019 | 02-Apr-2019 | ||||||||||||||
FIRST TRUST INTERMEDIATE | |||||||||||||||||||||
Security | 33718W103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | FPF | Meeting Date | 08-Apr-2019 | ||||||||||||||||||
ISIN | US33718W1036 | Agenda | 934934628 - Management | ||||||||||||||||||
Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | JAMES A. BOWEN | For | For | ||||||||||||||||||
2 | NIEL B. NIELSON | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 4,900 | 0 | 01-Mar-2019 | 09-Apr-2019 | ||||||||||||||
ANTA SPORTS PRODUCTS LTD | |||||||||||||||||||||
Security | G04011105 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 09-Apr-2019 | |||||||||||||||||||
ISIN | KYG040111059 | Agenda | 710674587 - Management | ||||||||||||||||||
Record Date | 02-Apr-2019 | Holding Recon Date | 02-Apr-2019 | ||||||||||||||||||
City / | Country | HONG KONG | / | Cayman Islands | Vote Deadline Date | 03-Apr-2019 | |||||||||||||||
SEDOL(s) | B1YVKN8 - B235FM2 - B2468S1 - BD8NKZ6 - BP3RRC3 - BYWLB61 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- http://www3.hkexnews.hk/listedco/listconews/SEHK/2019 /0308/LTN20190308681.pdf-AND- http://www3.hkexnews.hk/listedco/listconews/SEHK/2019 /0308/LTN20190308701.pdf | Non-Voting | |||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||||||||||||||||||
1 | TO RECEIVE AND CONSIDER THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND ITS SUBSIDIARIES AND THE REPORTS OF THE DIRECTORS AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | |||||||||||||||||
2 | TO DECLARE A FINAL DIVIDEND OF HK28 CENTS PER ORDINARY SHARE OF THE COMPANY IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | |||||||||||||||||
3 | TO RE-ELECT MR. DING SHIZHONG AS AN EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
4 | TO RE-ELECT MR. ZHENG JIE AS AN EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
5 | TO RE-ELECT MR. DAI ZHONGCHUAN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
6 | TO RE-ELECT MR. YIU KIN WAH STEPHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
7 | TO RE-ELECT MR. MEI MING ZHI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
8 | TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE COMPANY'S DIRECTORS | Management | For | For | |||||||||||||||||
9 | TO RE-APPOINT KPMG AS THE COMPANY'S AUDITOR AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION | Management | For | For | |||||||||||||||||
10 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ALLOT, ISSUE AND DEAL WITH THE COMPANY'S SHARES | Management | For | For | |||||||||||||||||
11 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE THE COMPANY'S SHARES | Management | For | For | |||||||||||||||||
12 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY UNDER RESOLUTION NO. 10 BY THE NUMBER OF SHARES REPURCHASED UNDER RESOLUTION NO. 11 | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 181,000 | 0 | 03-Apr-2019 | 04-Apr-2019 | |||||||||||||||
LENNAR CORPORATION | |||||||||||||||||||||
Security | 526057104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | LEN | Meeting Date | 10-Apr-2019 | ||||||||||||||||||
ISIN | US5260571048 | Agenda | 934931292 - Management | ||||||||||||||||||
Record Date | 12-Feb-2019 | Holding Recon Date | 12-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Rick Beckwitt | For | For | ||||||||||||||||||
2 | Irving Bolotin | For | For | ||||||||||||||||||
3 | Steven L. Gerard | For | For | ||||||||||||||||||
4 | Tig Gilliam | For | For | ||||||||||||||||||
5 | Sherrill W. Hudson | For | For | ||||||||||||||||||
6 | Jonathan M. Jaffe | For | For | ||||||||||||||||||
7 | Sidney Lapidus | For | For | ||||||||||||||||||
8 | Teri P. McClure | For | For | ||||||||||||||||||
9 | Stuart Miller | For | For | ||||||||||||||||||
10 | Armando Olivera | For | For | ||||||||||||||||||
11 | Jeffrey Sonnenfeld | For | For | ||||||||||||||||||
12 | Scott Stowell | For | For | ||||||||||||||||||
2. | Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2019. | Management | For | For | |||||||||||||||||
3. | Approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |||||||||||||||||
4. | Vote on a stockholder proposal regarding having directors elected by a majority of the votes cast in uncontested elections. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 49,400 | 01-Mar-2019 | 11-Apr-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 17,200 | 0 | 01-Mar-2019 | 11-Apr-2019 | ||||||||||||||
NUVEEN PREFERRED AND INC SECURITIES FD | |||||||||||||||||||||
Security | 67072C105 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | JPS | Meeting Date | 10-Apr-2019 | ||||||||||||||||||
ISIN | US67072C1053 | Agenda | 934935668 - Management | ||||||||||||||||||
Record Date | 18-Jan-2019 | Holding Recon Date | 18-Jan-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1b. | DIRECTOR | Management | |||||||||||||||||||
1 | Judith M. Stockdale | For | For | ||||||||||||||||||
2 | Carole E. Stone | For | For | ||||||||||||||||||
3 | Margaret L. Wolff | For | For | ||||||||||||||||||
4 | William C. Hunter | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 12,000 | 0 | 05-Mar-2019 | 11-Apr-2019 | ||||||||||||||
CITIGROUP INC. | |||||||||||||||||||||
Security | 172967424 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | C | Meeting Date | 16-Apr-2019 | ||||||||||||||||||
ISIN | US1729674242 | Agenda | 934935808 - Management | ||||||||||||||||||
Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Michael L. Corbat | Management | For | For | |||||||||||||||||
1b. | Election of Director: Ellen M. Costello | Management | For | For | |||||||||||||||||
1c. | Election of Director: Barbara J. Desoer | Management | For | For | |||||||||||||||||
1d. | Election of Director: John C. Dugan | Management | For | For | |||||||||||||||||
1e. | Election of Director: Duncan P. Hennes | Management | For | For | |||||||||||||||||
1f. | Election of Director: Peter B. Henry | Management | For | For | |||||||||||||||||
1g. | Election of Director: S. Leslie Ireland | Management | For | For | |||||||||||||||||
1h. | Election of Director: Lew W. (Jay) Jacobs, IV | Management | For | For | |||||||||||||||||
1i. | Election of Director: Renee J. James | Management | For | For | |||||||||||||||||
1j. | Election of Director: Eugene M. McQuade | Management | For | For | |||||||||||||||||
1k. | Election of Director: Gary M. Reiner | Management | For | For | |||||||||||||||||
1l. | Election of Director: Diana L. Taylor | Management | For | For | |||||||||||||||||
1m. | Election of Director: James S. Turley | Management | For | For | |||||||||||||||||
1n. | Election of Director: Deborah C. Wright | Management | For | For | |||||||||||||||||
1o. | Election of Director: Ernesto Zedillo Ponce de Leon | Management | For | For | |||||||||||||||||
2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
3. | Advisory vote to approve Citi's 2018 executive compensation. | Management | For | For | |||||||||||||||||
4. | Approval of the Citigroup 2019 Stock Incentive Plan. | Management | For | For | |||||||||||||||||
5. | Shareholder proposal requesting Shareholder Proxy Access Enhancement to Citi's proxy access bylaw provisions. | Shareholder | Against | For | |||||||||||||||||
6. | Shareholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service. | Shareholder | Against | For | |||||||||||||||||
7. | Shareholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 138,819 | 0 | 07-Mar-2019 | 17-Apr-2019 | ||||||||||||||
CORNERSTONE STRATEGIC VALUE FUND, INC. | |||||||||||||||||||||
Security | 21924B302 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CLM | Meeting Date | 16-Apr-2019 | ||||||||||||||||||
ISIN | US21924B3024 | Agenda | 934937333 - Management | ||||||||||||||||||
Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Andrew A. Strauss | For | For | ||||||||||||||||||
2 | Glenn W. Wilcox, Sr. | For | For | ||||||||||||||||||
2. | To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. | Management | For | For | |||||||||||||||||
3. | In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 57,700 | 06-Mar-2019 | 17-Apr-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 23,600 | 0 | 06-Mar-2019 | 17-Apr-2019 | ||||||||||||||
CORNERSTONE TOTAL RETURN FUND, INC. | |||||||||||||||||||||
Security | 21924U300 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CRF | Meeting Date | 16-Apr-2019 | ||||||||||||||||||
ISIN | US21924U3005 | Agenda | 934937357 - Management | ||||||||||||||||||
Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Ralph W. Bradshaw | For | For | ||||||||||||||||||
2 | Robert E. Dean | For | For | ||||||||||||||||||
3 | Edwin Meese III | For | For | ||||||||||||||||||
4 | Matthew W. Morris | For | For | ||||||||||||||||||
5 | Scott B. Rogers | For | For | ||||||||||||||||||
6 | Andrew A. Strauss | For | For | ||||||||||||||||||
7 | Glenn W. Wilcox, Sr. | For | For | ||||||||||||||||||
2. | To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. | Management | For | For | |||||||||||||||||
3. | In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 24,700 | 0 | 06-Mar-2019 | 17-Apr-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 59,500 | 0 | 06-Mar-2019 | 17-Apr-2019 | ||||||||||||||
BLACKSTONE FUNDS | |||||||||||||||||||||
Security | 09257R101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BGB | Meeting Date | 17-Apr-2019 | ||||||||||||||||||
ISIN | US09257R1014 | Agenda | 934941368 - Management | ||||||||||||||||||
Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 16-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
3. | DIRECTOR | Management | |||||||||||||||||||
1 | Daniel H. Smith, Jr. | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 12,800 | 0 | 09-Mar-2019 | 18-Apr-2019 | ||||||||||||||
CHINA TOWER CORPORATION LIMITED | |||||||||||||||||||||
Security | Y15076105 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 18-Apr-2019 | |||||||||||||||||||
ISIN | CNE100003688 | Agenda | 710612157 - Management | ||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||||||||||||||||||
City / | Country | HONG KONG | / | China | Vote Deadline Date | 15-Apr-2019 | |||||||||||||||
SEDOL(s) | BFZ2PK0 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0304/LTN20190304371.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0304/LTN20190304389.PDF | Non-Voting | |||||||||||||||||||
CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF 'ABSTAIN' WILL BE TREATED-THE SAME AS A 'TAKE NO ACTION' VOTE | Non-Voting | |||||||||||||||||||
1 | THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY, THE REPORT OF THE BOARD OF DIRECTORS, THE REPORT OF THE SUPERVISORY COMMITTEE AND THE REPORT OF THE INTERNATIONAL AUDITORS FOR THE YEAR ENDED 31 DECEMBER 2018 BE CONSIDERED AND APPROVED, AND THE BOARD BE AUTHORISED TO PREPARE THE BUDGET OF THE COMPANY FOR THE YEAR 2019 | Management | For | For | |||||||||||||||||
2 | THAT THE PROFIT DISTRIBUTION PROPOSAL AND THE FINAL DIVIDEND DECLARATION AND PAYMENT FOR THE YEAR ENDED 31 DECEMBER 2018 BE CONSIDERED AND APPROVED | Management | For | For | |||||||||||||||||
3 | THAT THE RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS AND PRICEWATERHOUSECOOPERS ZHONG TIAN LLP (SPECIAL GENERAL PARTNERSHIP) AS THE INTERNATIONAL AUDITORS AND DOMESTIC AUDITORS OF THE COMPANY, RESPECTIVELY, FOR THE YEAR ENDING ON 31 DECEMBER 2019 BE CONSIDERED AND APPROVED, AND THE BOARD BE AUTHORISED TO FIX THE REMUNERATION OF THE AUDITORS | Management | For | For | |||||||||||||||||
4 | THAT THE ADOPTION OF RESTRICTED SHARE INCENTIVE SCHEME AND THE ADMINISTRATIVE MEASURES ON THE FIRST PHASE RESTRICTED SHARE INCENTIVE SCHEME BE CONSIDERED AND APPROVED AND THE BOARD BE AND IS HEREBY AUTHORIZED TO GRANT RESTRICTED SHARES TO CERTAIN KEY PERSONNEL OF THE COMPANY AND TO FORMULATE IMPLEMENTATION RULES OF THE | Management | For | For | |||||||||||||||||
RESTRICTED SHARE INCENTIVE SCHEME IN ACCORDANCE WITH THE RESTRICTED SHARE INCENTIVE SCHEME AND RELEVANT LEGAL REQUIREMENTS; AND THE BOARD BE AND IS HEREBY AUTHORIZED TO AMEND THE RELEVANT RESTRICTED SHARE INCENTIVE SCHEME IN ACCORDANCE WITH THE REQUIREMENTS OF THE REGULATORY AUTHORITIES AND TO UNDERTAKE ALL ACTIONS AND MATTERS WHICH IN THEIR OPINION ARE NECESSARY OR APPROPRIATE IN RELATION TO THE RESTRICTED SHARE INCENTIVE SCHEME | |||||||||||||||||||||
5 | SPECIAL RESOLUTION NUMBERED 5 OF THE NOTICE OF AGM DATED 4 MARCH 2019 (TO CONSIDER AND APPROVE THE RESOLUTIONS IN RELATION TO THE GRANTING OF A GENERAL MANDATE TO THE BOARD TO ISSUE DEBT FINANCING INSTRUMENTS DENOMINATED IN LOCAL OR FOREIGN CURRENCIES.) | Management | For | For | |||||||||||||||||
6 | SPECIAL RESOLUTION NUMBERED 6 OF THE NOTICE OF AGM DATED 4 MARCH 2019 (TO CONSIDER AND APPROVE THE RESOLUTION IN RELATION TO DIVIDEND POLICIES.) | Management | For | For | |||||||||||||||||
7 | SPECIAL RESOLUTION NUMBERED 7 OF THE NOTICE OF AGM DATED 4 MARCH 2019 (TO GRANT A GENERAL MANDATE TO THE BOARD TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE COMPANY NOT EXCEEDING 20% OF EACH OF THE EXISTING DOMESTIC SHARES AND H SHARES IN ISSUE AND TO AUTHORISE THE BOARD TO INCREASE THE REGISTERED CAPITAL OF THE COMPANY AND TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY TO REFLECT SUCH INCREASE IN THE REGISTERED CAPITAL OF THE COMPANY UNDER THE GENERAL MANDATE.) | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 5,890,000 | 0 | 05-Mar-2019 | 17-Apr-2019 | |||||||||||||||
HUMANA INC. | |||||||||||||||||||||
Security | 444859102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | HUM | Meeting Date | 18-Apr-2019 | ||||||||||||||||||
ISIN | US4448591028 | Agenda | 934935694 - Management | ||||||||||||||||||
Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a) | Election of Director: Kurt J. Hilzinger | Management | For | For | |||||||||||||||||
1b) | Election of Director: Frank J. Bisignano | Management | For | For | |||||||||||||||||
1c) | Election of Director: Bruce D. Broussard | Management | For | For | |||||||||||||||||
1d) | Election of Director: Frank A. D'Amelio | Management | For | For | |||||||||||||||||
1e) | Election of Director: Karen B. DeSalvo, M.D. | Management | For | For | |||||||||||||||||
1f) | Election of Director: W. Roy Dunbar | Management | For | For | |||||||||||||||||
1g) | Election of Director: David A. Jones, Jr. | Management | For | For | |||||||||||||||||
1h) | Election of Director: William J. McDonald | Management | For | For | |||||||||||||||||
1i) | Election of Director: James J. O'Brien | Management | For | For | |||||||||||||||||
1j) | Election of Director: Marissa T. Peterson | Management | For | For | |||||||||||||||||
2. | The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. | Management | For | For | |||||||||||||||||
3. | The approval of the compensation of the named executive officers as disclosed in the 2019 proxy statement. | Management | For | For | |||||||||||||||||
4. | The approval of the Amended and Restated Humana Inc. Stock Incentive Plan. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 1,165 | 3,600 | 07-Mar-2019 | 19-Apr-2019 | ||||||||||||||
CHARTER COMMUNICATIONS, INC. | |||||||||||||||||||||
Security | 16119P108 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CHTR | Meeting Date | 23-Apr-2019 | ||||||||||||||||||
ISIN | US16119P1084 | Agenda | 934943095 - Management | ||||||||||||||||||
Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: W. Lance Conn | Management | For | For | |||||||||||||||||
1b. | Election of Director: Kim C. Goodman | Management | For | For | |||||||||||||||||
1c. | Election of Director: Craig A. Jacobson | Management | For | For | |||||||||||||||||
1d. | Election of Director: Gregory B. Maffei | Management | For | For | |||||||||||||||||
1e. | Election of Director: John D. Markley, Jr. | Management | For | For | |||||||||||||||||
1f. | Election of Director: David C. Merritt | Management | For | For | |||||||||||||||||
1g. | Election of Director: James E. Meyer | Management | For | For | |||||||||||||||||
1h. | Election of Director: Steven A. Miron | Management | For | For | |||||||||||||||||
1i. | Election of Director: Balan Nair | Management | For | For | |||||||||||||||||
1j. | Election of Director: Michael A. Newhouse | Management | For | For | |||||||||||||||||
1k. | Election of Director: Mauricio Ramos | Management | For | For | |||||||||||||||||
1l. | Election of Director: Thomas M. Rutledge | Management | For | For | |||||||||||||||||
1m. | Election of Director: Eric L. Zinterhofer | Management | For | For | |||||||||||||||||
2. | Proposal to approve the Charter Communications, Inc. 2019 Stock Incentive Plan | Management | For | For | |||||||||||||||||
3. | The ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the year ended December 31, 2019 | Management | For | For | |||||||||||||||||
4. | Stockholder proposal regarding proxy access | Shareholder | Against | For | |||||||||||||||||
5. | Stockholder proposal regarding sustainability reporting | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 125 | 3,500 | 15-Mar-2019 | 24-Apr-2019 | ||||||||||||||
CARVANA CO. | |||||||||||||||||||||
Security | 146869102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CVNA | Meeting Date | 23-Apr-2019 | ||||||||||||||||||
ISIN | US1468691027 | Agenda | 934944580 - Management | ||||||||||||||||||
Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | J. Danforth Quayle | For | For | ||||||||||||||||||
2 | Gregory Sullivan | For | For | ||||||||||||||||||
2. | Ratification of the appointment of Grant Thornton LLP as Carvana's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | Approval, by an advisory vote, of Carvana's executive compensation (i.e., "say-on-pay" proposal). | Management | For | For | |||||||||||||||||
4. | Recommendation, by an advisory vote, of the frequency of future advisory votes on executive compensation (i.e., "say-on-pay frequency") | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 44,200 | 0 | 15-Mar-2019 | 24-Apr-2019 | ||||||||||||||
BANK OF AMERICA CORPORATION | |||||||||||||||||||||
Security | 060505104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BAC | Meeting Date | 24-Apr-2019 | ||||||||||||||||||
ISIN | US0605051046 | Agenda | 934942360 - Management | ||||||||||||||||||
Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 23-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Sharon L. Allen | Management | For | For | |||||||||||||||||
1b. | Election of Director: Susan S. Bies | Management | For | For | |||||||||||||||||
1c. | Election of Director: Jack O. Bovender, Jr. | Management | For | For | |||||||||||||||||
1d. | Election of Director: Frank P. Bramble, Sr. | Management | For | For | |||||||||||||||||
1e. | Election of Director: Pierre J.P. de Weck | Management | For | For | |||||||||||||||||
1f. | Election of Director: Arnold W. Donald | Management | For | For | |||||||||||||||||
1g. | Election of Director: Linda P. Hudson | Management | For | For | |||||||||||||||||
1h. | Election of Director: Monica C. Lozano | Management | For | For | |||||||||||||||||
1i. | Election of Director: Thomas J. May | Management | For | For | |||||||||||||||||
1j. | Election of Director: Brian T. Moynihan | Management | For | For | |||||||||||||||||
1k. | Election of Director: Lionel L. Nowell III | Management | For | For | |||||||||||||||||
1l. | Election of Director: Clayton S. Rose | Management | For | For | |||||||||||||||||
1m. | Election of Director: Michael D. White | Management | For | For | |||||||||||||||||
1n. | Election of Director: Thomas D. Woods | Management | For | For | |||||||||||||||||
1o. | Election of Director: R. David Yost | Management | For | For | |||||||||||||||||
1p. | Election of Director: Maria T. Zuber | Management | For | For | |||||||||||||||||
2. | Approving Our Executive Compensation (an Advisory, Non- binding "Say on Pay" Resolution) | Management | For | For | |||||||||||||||||
3. | Ratifying the Appointment of Our Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||||||||||||||||
4. | Amending the Bank of America Corporation Key Employee Equity Plan. | Management | For | For | |||||||||||||||||
5. | Report Concerning Gender Pay Equity. | Shareholder | Against | For | |||||||||||||||||
6. | Right to Act by Written Consent. | Shareholder | Against | For | |||||||||||||||||
7. | Enhance Shareholder Proxy Access. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 3,905 | 111,900 | 14-Mar-2019 | 25-Apr-2019 | ||||||||||||||
CIGNA CORPORATION | |||||||||||||||||||||
Security | 125523100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CI | Meeting Date | 24-Apr-2019 | ||||||||||||||||||
ISIN | US1255231003 | Agenda | 934945900 - Management | ||||||||||||||||||
Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 23-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: David M. Cordani | Management | For | For | |||||||||||||||||
1b. | Election of Director: William J. DeLaney | Management | For | For | |||||||||||||||||
1c. | Election of Director: Eric J. Foss | Management | For | For | |||||||||||||||||
1d. | Election of Director: Elder Granger, MD, MG, USA | Management | For | For | |||||||||||||||||
1e. | Election of Director: Isaiah Harris, Jr. | Management | For | For | |||||||||||||||||
1f. | Election of Director: Roman Martinez IV | Management | For | For | |||||||||||||||||
1g. | Election of Director: Kathleen M. Mazzarella | Management | For | For | |||||||||||||||||
1h. | Election of Director: Mark B. McClellan, MD, PhD | Management | For | For | |||||||||||||||||
1i. | Election of Director: John M. Partridge | Management | For | For | |||||||||||||||||
1j. | Election of Director: William L. Roper, MD, MPH | Management | For | For | |||||||||||||||||
1k. | Election of Director: Eric C. Wiseman | Management | For | For | |||||||||||||||||
1l. | Election of Director: Donna F. Zarcone | Management | For | For | |||||||||||||||||
1m. | Election of Director: William D. Zollars | Management | For | For | |||||||||||||||||
2. | Advisory approval of Cigna's executive compensation. | Management | For | For | |||||||||||||||||
3. | Ratification of appointment of PricewaterhouseCoopers LLP as Cigna's independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
4. | Shareholder proposal - Increase shareholder rights to include action by written consent. | Shareholder | Against | For | |||||||||||||||||
5. | Shareholder proposal - Cyber risk report | Shareholder | Against | For | |||||||||||||||||
6. | Shareholder proposal - Gender pay gap report | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 5,815 | 0 | 16-Mar-2019 | 25-Apr-2019 | ||||||||||||||
JOHNSON & JOHNSON | |||||||||||||||||||||
Security | 478160104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | JNJ | Meeting Date | 25-Apr-2019 | ||||||||||||||||||
ISIN | US4781601046 | Agenda | 934938638 - Management | ||||||||||||||||||
Record Date | 26-Feb-2019 | Holding Recon Date | 26-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Mary C. Beckerle | Management | For | For | |||||||||||||||||
1b. | Election of Director: D. Scott Davis | Management | For | For | |||||||||||||||||
1c. | Election of Director: Ian E. L. Davis | Management | For | For | |||||||||||||||||
1d. | Election of Director: Jennifer A. Doudna | Management | For | For | |||||||||||||||||
1e. | Election of Director: Alex Gorsky | Management | For | For | |||||||||||||||||
1f. | Election of Director: Marillyn A. Hewson | Management | For | For | |||||||||||||||||
1g. | Election of Director: Mark B. McClellan | Management | For | For | |||||||||||||||||
1h. | Election of Director: Anne M. Mulcahy | Management | For | For | |||||||||||||||||
1i. | Election of Director: William D. Perez | Management | For | For | |||||||||||||||||
1j. | Election of Director: Charles Prince | Management | For | For | |||||||||||||||||
1k. | Election of Director: A. Eugene Washington | Management | For | For | |||||||||||||||||
1l. | Election of Director: Ronald A. Williams | Management | For | For | |||||||||||||||||
2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | |||||||||||||||||
3. | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||||||||||||||||
4. | Shareholder Proposal - Clawback Disclosure | Shareholder | Against | For | |||||||||||||||||
5. | Shareholder Proposal - Executive Compensation and Drug Pricing Risks. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 350 | 7,300 | 14-Mar-2019 | 26-Apr-2019 | ||||||||||||||
PFIZER INC. | |||||||||||||||||||||
Security | 717081103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | PFE | Meeting Date | 25-Apr-2019 | ||||||||||||||||||
ISIN | US7170811035 | Agenda | 934942043 - Management | ||||||||||||||||||
Record Date | 26-Feb-2019 | Holding Recon Date | 26-Feb-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Ronald E. Blaylock | Management | For | For | |||||||||||||||||
1b. | Election of Director: Albert Bourla | Management | For | For | |||||||||||||||||
1c. | Election of Director: W. Don Cornwell | Management | For | For | |||||||||||||||||
1d. | Election of Director: Joseph J. Echevarria | Management | For | For | |||||||||||||||||
1e. | Election of Director: Helen H. Hobbs | Management | For | For | |||||||||||||||||
1f. | Election of Director: James M. Kilts | Management | For | For | |||||||||||||||||
1g. | Election of Director: Dan R. Littman | Management | For | For | |||||||||||||||||
1h. | Election of Director: Shantanu Narayen | Management | For | For | |||||||||||||||||
1i. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||||||||||||||||
1j. | Election of Director: Ian C. Read | Management | For | For | |||||||||||||||||
1k. | Election of Director: James C. Smith | Management | For | For | |||||||||||||||||
2. | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2019 | Management | For | For | |||||||||||||||||
3. | 2019 Advisory approval of executive compensation | Management | For | For | |||||||||||||||||
4. | Approval of the Pfizer Inc. 2019 Stock Plan | Management | For | For | |||||||||||||||||
5. | Shareholder proposal regarding right to act by written consent | Shareholder | Against | For | |||||||||||||||||
6. | Shareholder proposal regarding report on lobbying activities | Shareholder | Against | For | |||||||||||||||||
7. | Shareholder proposal regarding independent chair policy | Shareholder | Against | For | |||||||||||||||||
8. | Shareholder proposal regarding integrating drug pricing into executive compensation policies and programs | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 42,100 | 15-Mar-2019 | 26-Apr-2019 | ||||||||||||||
PLURALSIGHT INC | |||||||||||||||||||||
Security | 72941B106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | PS | Meeting Date | 30-Apr-2019 | ||||||||||||||||||
ISIN | US72941B1061 | Agenda | 934947776 - Management | ||||||||||||||||||
Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Gary Crittenden | For | For | ||||||||||||||||||
2 | Tim Maudlin | For | For | ||||||||||||||||||
3 | Brad Rencher | For | For | ||||||||||||||||||
2. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 23,000 | 0 | 16-Mar-2019 | 01-May-2019 | ||||||||||||||
STARWOOD PROPERTY TRUST, INC. | |||||||||||||||||||||
Security | 85571B105 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | STWD | Meeting Date | 30-Apr-2019 | ||||||||||||||||||
ISIN | US85571B1052 | Agenda | 934949415 - Management | ||||||||||||||||||
Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Richard D. Bronson | For | For | ||||||||||||||||||
2 | Jeffrey G. Dishner | For | For | ||||||||||||||||||
3 | Camille J. Douglas | For | For | ||||||||||||||||||
4 | Solomon J. Kumin | For | For | ||||||||||||||||||
5 | Fred S. Ridley | For | For | ||||||||||||||||||
6 | Barry S. Sternlicht | For | For | ||||||||||||||||||
7 | Strauss Zelnick | For | For | ||||||||||||||||||
2. | The approval on an advisory basis of the Company's executive compensation. | Management | For | For | |||||||||||||||||
3. | The ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the calendar year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 301,000 | 0 | 22-Mar-2019 | 01-May-2019 | ||||||||||||||
GALAPAGOS N V | |||||||||||||||||||||
Security | 36315X101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GLPG | Meeting Date | 30-Apr-2019 | ||||||||||||||||||
ISIN | US36315X1019 | Agenda | 934973050 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
O2 | Acknowledgement and approval of the non-consolidated annual accounts of the Company for the financial year ended on 31 December 2018 and approval of the allocation of the annual result as proposed by the board of directors. | Management | For | For | |||||||||||||||||
O5 | Acknowledgement and approval of the remuneration report. | Management | For | For | |||||||||||||||||
O6 | Release from liability to be granted to the directors and the statutory auditor for the performance of their duties in the course of the financial year ended 31 December 2018. | Management | For | For | |||||||||||||||||
O7 | Revision of the remuneration of the statutory auditor. | Management | For | For | |||||||||||||||||
O8 | Appointment of Mr. Peter Guenter as director of the Company. | Management | For | For | |||||||||||||||||
O9 | Remuneration of directors. | Management | For | For | |||||||||||||||||
O10 | Offer of warrants. | Management | For | For | |||||||||||||||||
S11 | Application of article 556 of the Belgian Companies Code. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 1,200 | 4,700 | 02-Apr-2019 | 24-Apr-2019 | ||||||||||||||
GALAPAGOS N V | |||||||||||||||||||||
Security | 36315X101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GLPG | Meeting Date | 30-Apr-2019 | ||||||||||||||||||
ISIN | US36315X1019 | Agenda | 935004654 - Management | ||||||||||||||||||
Record Date | 16-Apr-2019 | Holding Recon Date | 16-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Apr-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
O2 | Acknowledgement and approval of the non-consolidated annual accounts of the Company for the financial year ended on 31 December 2018 and approval of the allocation of the annual result as proposed by the board of directors. | Management | For | For | |||||||||||||||||
O5 | Acknowledgement and approval of the remuneration report. | Management | For | For | |||||||||||||||||
O6 | Release from liability to be granted to the directors and the statutory auditor for the performance of their duties in the course of the financial year ended 31 December 2018. | Management | For | For | |||||||||||||||||
O7 | Revision of the remuneration of the statutory auditor. | Management | For | For | |||||||||||||||||
O8 | Appointment of Mr. Peter Guenter as director of the Company. | Management | For | For | |||||||||||||||||
O9 | Remuneration of directors. | Management | For | For | |||||||||||||||||
O10 | Offer of warrants. | Management | For | For | |||||||||||||||||
S11 | Application of article 556 of the Belgian Companies Code. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 150 | 2,800 | 20-Apr-2019 | 26-Apr-2019 | ||||||||||||||
IDORSIA LTD | |||||||||||||||||||||
Security | H3879B109 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 03-May-2019 | |||||||||||||||||||
ISIN | CH0363463438 | Agenda | 710896400 - Management | ||||||||||||||||||
Record Date | 24-Apr-2019 | Holding Recon Date | 24-Apr-2019 | ||||||||||||||||||
City / | Country | BASEL | / | Switzerland | Vote Deadline Date | 23-Apr-2019 | |||||||||||||||
SEDOL(s) | BF0YK62 - BF0ZHH5 - BF3N1H4 - BYZF5W4 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE-REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A-REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB- CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | |||||||||||||||||||
1.1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Management | For | For | |||||||||||||||||
1.2 | APPROVE REMUNERATION REPORT (NON-BINDING) | Management | For | For | |||||||||||||||||
2 | APPROVE TREATMENT OF NET LOSS | Management | For | For | |||||||||||||||||
3 | APPROVE DISCHARGE OF BOARD AND SENIOR MANAGEMENT | Management | For | For | |||||||||||||||||
4 | APPROVE CREATION OF CHF 2.7 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS | Management | For | For | |||||||||||||||||
5.1.1 | REELECT JEAN-PIERRE GARNIER AS DIRECTOR | Management | For | For | |||||||||||||||||
5.1.2 | REELECT JEAN-PAUL CLOZEL AS DIRECTOR | Management | For | For | |||||||||||||||||
5.1.3 | REELECT ROBERT BERTOLINI AS DIRECTOR | Management | For | For | |||||||||||||||||
5.1.4 | REELECT JOHN GREISCH AS DIRECTOR | Management | For | For | |||||||||||||||||
5.1.5 | REELECT VIVIANE MONGES AS DIRECTOR | Management | For | For | |||||||||||||||||
5.2 | ELECT MATHIEU SIMON AS DIRECTOR | Management | For | For | |||||||||||||||||
5.3 | ELECT JEAN-PIERRE GARNIER AS BOARD CHAIRMAN | Management | For | For | |||||||||||||||||
5.4.1 | APPOINT JEAN-PIERRE GARNIER AS MEMBER OF THE NOMINATING, GOVERNANCE COMPENSATION COMMITTEE | Management | For | For | |||||||||||||||||
5.4.2 | APPOINT JOHN GREISCH AS MEMBER OF THE NOMINATING, GOVERNANCE COMPENSATION COMMITTEE | Management | For | For | |||||||||||||||||
5.4.3 | APPOINT VIVIANE MONGES AS MEMBER OF THE NOMINATING, GOVERNANCE COMPENSATION COMMITTEE | Management | For | For | |||||||||||||||||
5.4.4 | APPOINT MATHIEU SIMON AS MEMBER OF THE NOMINATING, GOVERNANCE COMPENSATION COMMITTEE, IF ITEM 5.2 IS APPROVED | Management | For | For | |||||||||||||||||
6.1 | APPROVE REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 1.3 MILLION | Management | For | For | |||||||||||||||||
6.2 | APPROVE REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 10.7 MILLION | Management | For | For | |||||||||||||||||
7 | ELECTION OF THE INDEPENDENT PROXY PROPOSAL OF THE BOARD OF DIRECTORS: THE BOARD OF DIRECTORS PROPOSES THAT BDO AG, REPRESENTED BY MR MARC SCHAFFNER, BE ELECTED AS INDEPENDENT PROXY FOR A TERM OF OFFICE UNTIL THE CONCLUSION OF THE ANNUAL GENERAL MEETING 2020 | Management | For | For | |||||||||||||||||
8 | RATIFY ERNST YOUNG AG AS AUDITORS | Management | For | For | |||||||||||||||||
CMMT | 17 APR 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT-OF RESOLUTION 7. 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 | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 32,520 | 0 | 06-Apr-2019 | 30-Apr-2019 | |||||||||||||||
CYPRESS SEMICONDUCTOR CORPORATION | |||||||||||||||||||||
Security | 232806109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CY | Meeting Date | 03-May-2019 | ||||||||||||||||||
ISIN | US2328061096 | Agenda | 934945912 - Management | ||||||||||||||||||
Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 02-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: W. Steve Albrecht | Management | For | For | |||||||||||||||||
1b. | Election of Director: Hassane El-Khoury | Management | For | For | |||||||||||||||||
1c. | Election of Director: Oh Chul Kwon | Management | For | For | |||||||||||||||||
1d. | Election of Director: Catherine P. Lego | Management | For | For | |||||||||||||||||
1e. | Election of Director: Camillo Martino | Management | For | For | |||||||||||||||||
1f. | Election of Director: Jeffrey J. Owens | Management | For | For | |||||||||||||||||
1g. | Election of Director: Jeannine P. Sargent | Management | For | For | |||||||||||||||||
1h. | Election of Director: Michael S. Wishart | Management | For | For | |||||||||||||||||
2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year 2019. | Management | For | For | |||||||||||||||||
3. | Approval, on an advisory basis, of the Company's named executive officer compensation. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 89,800 | 0 | 21-Mar-2019 | 06-May-2019 | ||||||||||||||
IDEXX LABORATORIES, INC. | |||||||||||||||||||||
Security | 45168D104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | IDXX | Meeting Date | 08-May-2019 | ||||||||||||||||||
ISIN | US45168D1046 | Agenda | 934954240 - Management | ||||||||||||||||||
Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Jonathan W. Ayers | Management | For | For | |||||||||||||||||
1b. | Election of Director: Stuart M. Essig, PhD | Management | For | For | |||||||||||||||||
1c. | Election of Director: M. Anne Szostak | Management | For | For | |||||||||||||||||
2. | Ratification of Appointment of Independent Registered Public Accounting Firm. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the current fiscal year. | Management | For | For | |||||||||||||||||
3. | Advisory Vote on Executive Compensation. To approve a nonbinding advisory resolution on the Company's executive compensation. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 3,000 | 0 | 26-Mar-2019 | 09-May-2019 | ||||||||||||||
ELANCO ANIMAL HEALTH INCORPORATED | |||||||||||||||||||||
Security | 28414H103 | �� | Meeting Type | Annual | |||||||||||||||||
Ticker Symbol | ELAN | Meeting Date | 08-May-2019 | ||||||||||||||||||
ISIN | US28414H1032 | Agenda | 934988354 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Kapila K. Anand | Management | For | For | |||||||||||||||||
1b. | Election of Director: John P. Bilbrey | Management | For | For | |||||||||||||||||
1c. | Election of Director: R. David Hoover | Management | For | For | |||||||||||||||||
1d. | Election of Director: Lawrence E. Kurzius | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as the Company's principal independent auditor for 2019. | Management | For | For | |||||||||||||||||
3. | To approve, by non-binding vote, the compensation of the Company's named executive officers. | Management | For | For | |||||||||||||||||
4. | To recommend, by non-binding vote, the frequency of executive compensation votes. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 15,400 | 0 | 11-Apr-2019 | 09-May-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 30,700 | 11-Apr-2019 | 09-May-2019 | ||||||||||||||
BOSTON SCIENTIFIC CORPORATION | |||||||||||||||||||||
Security | 101137107 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BSX | Meeting Date | 09-May-2019 | ||||||||||||||||||
ISIN | US1011371077 | Agenda | 934961360 - Management | ||||||||||||||||||
Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Nelda J. Connors | Management | For | For | |||||||||||||||||
1b. | Election of Director: Charles J. Dockendorff | Management | For | For | |||||||||||||||||
1c. | Election of Director: Yoshiaki Fujimori | Management | For | For | |||||||||||||||||
1d. | Election of Director: Donna A. James | Management | For | For | |||||||||||||||||
1e. | Election of Director: Edward J. Ludwig | Management | For | For | |||||||||||||||||
1f. | Election of Director: Stephen P. MacMillan | Management | For | For | |||||||||||||||||
1g. | Election of Director: Michael F. Mahoney | Management | For | For | |||||||||||||||||
1h. | Election of Director: David J. Roux | Management | For | For | |||||||||||||||||
1i. | Election of Director: John E. Sununu | Management | For | For | |||||||||||||||||
1j. | Election of Director: Ellen M. Zane | Management | For | For | |||||||||||||||||
2. | To approve, on a non-binding, advisory basis, named executive officer compensation. | Management | For | For | |||||||||||||||||
3. | To approve an amendment and restatement of our By- Laws to provide for a majority vote standard in uncontested director elections. | Management | For | For | |||||||||||||||||
4. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 53,900 | 28-Mar-2019 | 10-May-2019 | ||||||||||||||
ABERDEEN FUNDS | |||||||||||||||||||||
Security | 003057106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ACP | Meeting Date | 10-May-2019 | ||||||||||||||||||
ISIN | US0030571063 | Agenda | 934987097 - Management | ||||||||||||||||||
Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Nancy Yao Maasbach | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 12,000 | 0 | 10-Apr-2019 | 13-May-2019 | ||||||||||||||
RINGCENTRAL, INC. | |||||||||||||||||||||
Security | 76680R206 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | RNG | Meeting Date | 10-May-2019 | ||||||||||||||||||
ISIN | US76680R2067 | Agenda | 934999864 - Management | ||||||||||||||||||
Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Vladimir Shmunis | For | For | ||||||||||||||||||
2 | Neil Williams | For | For | ||||||||||||||||||
3 | Robert Theis | For | For | ||||||||||||||||||
4 | Michelle McKenna | For | For | ||||||||||||||||||
5 | Allan Thygesen | For | For | ||||||||||||||||||
6 | Kenneth Goldman | For | For | ||||||||||||||||||
7 | Godfrey Sullivan | For | For | ||||||||||||||||||
2. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2019 (Proposal Two). | Management | For | For | |||||||||||||||||
3. | To approve, on an advisory (non-binding) basis, the named executive officers' compensation, as disclosed in the proxy statement (Proposal Three). | Management | For | For | |||||||||||||||||
4. | To approve the French Sub-Plan to the RingCentral, Inc. 2013 Equity Incentive Plan (Proposal Four). | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 10,600 | 18-Apr-2019 | 13-May-2019 | ||||||||||||||
GABELLI CONVERTIBLE & INCOME SEC FD INC | |||||||||||||||||||||
Security | 36240B109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GCV | Meeting Date | 13-May-2019 | ||||||||||||||||||
ISIN | US36240B1098 | Agenda | 934962386 - Management | ||||||||||||||||||
Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Mario J. Gabelli | For | For | ||||||||||||||||||
2 | Thomas H. Dinsmore | For | For | ||||||||||||||||||
3 | Daniel D. Harding | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 52,800 | 0 | 30-Mar-2019 | 14-May-2019 | ||||||||||||||
GRANITE POINT MORTGAGE TRUST INC. | |||||||||||||||||||||
Security | 38741L107 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GPMT | Meeting Date | 14-May-2019 | ||||||||||||||||||
ISIN | US38741L1070 | Agenda | 934965837 - Management | ||||||||||||||||||
Record Date | 20-Mar-2019 | Holding Recon Date | 20-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Tanuja M. Dehne | Management | For | For | |||||||||||||||||
1b. | Election of Director: Martin A. Kamarck | Management | For | For | |||||||||||||||||
1c. | Election of Director: Stephen G. Kasnet | Management | For | For | |||||||||||||||||
1d. | Election of Director: William Roth | Management | For | For | |||||||||||||||||
1e. | Election of Director: W. Reid Sanders | Management | For | For | |||||||||||||||||
1f. | Election of Director: Thomas E. Siering | Management | For | For | |||||||||||||||||
1g. | Election of Director: John A. Taylor | Management | For | For | |||||||||||||||||
1h. | Election of Director: Hope B. Woodhouse | Management | For | For | |||||||||||||||||
2. | Advisory vote on the compensation of our executive officers. | Management | For | For | |||||||||||||||||
3. | Ratification of the appointment of Ernst & Young LLP to serve as our independent registered public accounting firm for our fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 156,800 | 0 | 05-Apr-2019 | 15-May-2019 | ||||||||||||||
ALIGN TECHNOLOGY, INC. | |||||||||||||||||||||
Security | 016255101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ALGN | Meeting Date | 15-May-2019 | ||||||||||||||||||
ISIN | US0162551016 | Agenda | 934960370 - Management | ||||||||||||||||||
Record Date | 20-Mar-2019 | Holding Recon Date | 20-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Kevin J. Dallas | Management | For | For | |||||||||||||||||
1b. | Election of Director: Joseph M. Hogan | Management | For | For | |||||||||||||||||
1c. | Election of Director: Joseph Lacob | Management | For | For | |||||||||||||||||
1d. | Election of Director: C. Raymond Larkin, Jr. | Management | For | For | |||||||||||||||||
1e. | Election of Director: George J. Morrow | Management | For | For | |||||||||||||||||
1f. | Election of Director: Thomas M. Prescott | Management | For | For | |||||||||||||||||
1g. | Election of Director: Andrea L. Saia | Management | For | For | |||||||||||||||||
1h. | Election of Director: Greg J. Santora | Management | For | For | |||||||||||||||||
1i. | Election of Director: Susan E. Siegel | Management | For | For | |||||||||||||||||
1j. | Election of Director: Warren S. Thaler | Management | For | For | |||||||||||||||||
2. | RATIFICATION OF APPOINTMENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS: Proposal to ratify the appointment of PricewaterhouseCoopers LLP as Align Technology, Inc.'s independent registered public accountants for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 130 | 5,180 | 05-Apr-2019 | 16-May-2019 | ||||||||||||||
ZOETIS INC. | |||||||||||||||||||||
Security | 98978V103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ZTS | Meeting Date | 15-May-2019 | ||||||||||||||||||
ISIN | US98978V1035 | Agenda | 934962110 - Management | ||||||||||||||||||
Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Director: Juan Ramon Alaix | Management | For | For | |||||||||||||||||
1.2 | Election of Director: Paul M. Bisaro | Management | For | For | |||||||||||||||||
1.3 | Election of Director: Frank A. D'Amelio | Management | For | For | |||||||||||||||||
1.4 | Election of Director: Michael B. McCallister | Management | For | For | |||||||||||||||||
2. | Advisory vote to approve our executive compensation (Say on Pay) | Management | For | For | |||||||||||||||||
3. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 9,600 | 0 | 03-Apr-2019 | 16-May-2019 | ||||||||||||||
ANTHEM, INC. | |||||||||||||||||||||
Security | 036752103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ANTM | Meeting Date | 15-May-2019 | ||||||||||||||||||
ISIN | US0367521038 | Agenda | 934964429 - Management | ||||||||||||||||||
Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Director Nominee: Bahija Jallal | Management | For | For | |||||||||||||||||
1.2 | Election of Director Nominee: Elizabeth E. Tallett | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
3. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | |||||||||||||||||
4. | To approve proposed amendments to our Articles of Incorporation to eliminate the classified board structure when permitted under our contractual obligations with the Blue Cross and Blue Shield Association. | Management | For | For | |||||||||||||||||
5. | Shareholder proposal to elect each director annually. | Shareholder | Against | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 5,890 | 0 | 30-Mar-2019 | 16-May-2019 | ||||||||||||||
COMMUNITY HEALTHCARE TRUST INCORPORATED | |||||||||||||||||||||
Security | 20369C106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CHCT | Meeting Date | 16-May-2019 | ||||||||||||||||||
ISIN | US20369C1062 | Agenda | 934957981 - Management | ||||||||||||||||||
Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Alan Gardner | For | For | ||||||||||||||||||
2 | Claire Gulmi | For | For | ||||||||||||||||||
3 | Robert Hensley | For | For | ||||||||||||||||||
4 | Lawrence Van Horn | For | For | ||||||||||||||||||
5 | Timothy Wallace | For | For | ||||||||||||||||||
2. | To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 45,800 | 0 | 02-Apr-2019 | 17-May-2019 | ||||||||||||||
FLOOR & DECOR HOLDINGS INC | |||||||||||||||||||||
Security | 339750101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | FND | Meeting Date | 16-May-2019 | ||||||||||||||||||
ISIN | US3397501012 | Agenda | 934959377 - Management | ||||||||||||||||||
Record Date | 20-Mar-2019 | Holding Recon Date | 20-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Michael Fung | Management | For | For | |||||||||||||||||
1b. | Election of Director: John M. Roth | Management | For | For | |||||||||||||||||
1c. | Election of Director: Thomas V. Taylor | Management | For | For | |||||||||||||||||
1d. | Election of Director: Rachel H. Lee | Management | For | For | |||||||||||||||||
2. | Ratify the appointment of Ernst & Young LLP as independent auditors for the Company's 2019 fiscal year. | Management | For | For | |||||||||||||||||
3. | To approve, by non-binding vote, the compensation paid to the Company's named executive officers. | 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 | 33,400 | 0 | 14-May-2019 | 17-May-2019 | ||||||||||||||
TPG SPECIALTY LENDING, INC. | |||||||||||||||||||||
Security | 87265K102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | TSLX | Meeting Date | 16-May-2019 | ||||||||||||||||||
ISIN | US87265K1025 | Agenda | 934969140 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Jennifer Gordon | For | For | ||||||||||||||||||
2 | John Ross | For | For | ||||||||||||||||||
2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 72,300 | 0 | 06-Apr-2019 | 17-May-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 1,700 | 0 | 06-Apr-2019 | 17-May-2019 | ||||||||||||||
SBA COMMUNICATIONS CORPORATION | |||||||||||||||||||||
Security | 78410G104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | SBAC | Meeting Date | 16-May-2019 | ||||||||||||||||||
ISIN | US78410G1040 | Agenda | 934969695 - Management | ||||||||||||||||||
Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Director for a three-year term: Kevin L. Beebe | Management | For | For | |||||||||||||||||
1.2 | Election of Director for a three-year term: Jack Langer | Management | For | For | |||||||||||||||||
1.3 | Election of Director for a three-year term: Jeffrey A. Stoops | Management | For | For | |||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||||||||||||||||
3. | Approval, on an advisory basis, of the compensation of SBA's named executive officers. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 3,800 | 10,700 | 06-Apr-2019 | 17-May-2019 | ||||||||||||||
AIA GROUP LTD | |||||||||||||||||||||
Security | Y002A1105 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 17-May-2019 | |||||||||||||||||||
ISIN | HK0000069689 | Agenda | 710936672 - Management | ||||||||||||||||||
Record Date | 10-May-2019 | Holding Recon Date | 10-May-2019 | ||||||||||||||||||
City / | Country | HONG KONG | / | Hong Kong | Vote Deadline Date | 09-May-2019 | |||||||||||||||
SEDOL(s) | B4TX8S1 - B4Y5XL0 - B5WGY64 - BD8NJM6 - BP3RP07 | Quick Code | |||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0411/LTN20190411787.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0411/LTN20190411664.PDF | Non-Voting | |||||||||||||||||||
CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF 'ABSTAIN' WILL BE TREATED-THE SAME AS A 'TAKE NO ACTION' VOTE | Non-Voting | |||||||||||||||||||
1 | TO RECEIVE THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY, THE REPORT OF THE DIRECTORS AND THE INDEPENDENT AUDITOR'S REPORT FOR THE THIRTEEN-MONTH PERIOD ENDED 31 DECEMBER 2018 | Management | For | For | |||||||||||||||||
2.A | TO DECLARE A SPECIAL DIVIDEND OF 9.50 HONG KONG CENTS PER SHARE FOR THE THIRTEEN- MONTH PERIOD ENDED31 DECEMBER 2018 | Management | For | For | |||||||||||||||||
2.B | TO DECLARE A FINAL DIVIDEND OF 84.80 HONG KONG CENTS PER SHARE FOR THE THIRTEEN- MONTH PERIOD ENDED31 DECEMBER 2018 | Management | For | For | |||||||||||||||||
3 | TO RE-ELECT MS. SWEE-LIAN TEO AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
4 | TO RE-ELECT DR. NARONGCHAI AKRASANEE AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
5 | TO RE-ELECT MR. GEORGE YONG-BOON YEO AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||||||||||||||||
6 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY AND TO AUTHORISE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX ITS REMUNERATION | Management | For | For | |||||||||||||||||
7.A | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY, NOT EXCEEDING 10 PER CENT OF THE NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION, AND THE DISCOUNT FOR ANY SHARES TO BE ISSUED SHALL NOT EXCEED 10 PER CENT TO THE BENCHMARKED PRICE | Management | For | For | |||||||||||||||||
7.B | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF THE COMPANY, NOT EXCEEDING 10 PERCENT OF THE NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF THIS RESOLUTION | Management | For | For | |||||||||||||||||
7.C | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH SHARES OF THE COMPANY UNDER THE RESTRICTED SHARE UNIT SCHEME ADOPTED BY THE COMPANY ON 28 SEPTEMBER 2010 (AS AMENDED) | Management | For | For | |||||||||||||||||
8 | TO ADJUST THE LIMIT OF THE ANNUAL SUM OF THE DIRECTORS' FEES TO USD 2,500,000 | Management | For | For | |||||||||||||||||
9 | TO APPROVE THE AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 184,400 | 0 | 12-Apr-2019 | 11-May-2019 | |||||||||||||||
AMERICAN INTERNATIONAL GROUP, INC. | |||||||||||||||||||||
Security | 026874784 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | AIG | Meeting Date | 21-May-2019 | ||||||||||||||||||
ISIN | US0268747849 | Agenda | 934973606 - Management | ||||||||||||||||||
Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: W. DON CORNWELL | Management | For | For | |||||||||||||||||
1b. | Election of Director: BRIAN DUPERREAULT | Management | For | For | |||||||||||||||||
1c. | Election of Director: JOHN H. FITZPATRICK | Management | For | For | |||||||||||||||||
1d. | Election of Director: WILLIAM G. JURGENSEN | Management | For | For | |||||||||||||||||
1e. | Election of Director: CHRISTOPHER S. LYNCH | Management | For | For | |||||||||||||||||
1f. | Election of Director: HENRY S. MILLER | Management | For | For | |||||||||||||||||
1g. | Election of Director: LINDA A. MILLS | Management | For | For | |||||||||||||||||
1h. | Election of Director: THOMAS F. MOTAMED | Management | For | For | |||||||||||||||||
1i. | Election of Director: SUZANNE NORA JOHNSON | Management | For | For | |||||||||||||||||
1j. | Election of Director: PETER R. PORRINO | Management | For | For | |||||||||||||||||
1k. | Election of Director: AMY L. SCHIOLDAGER | Management | For | For | |||||||||||||||||
1l. | Election of Director: DOUGLAS M. STEENLAND | Management | For | For | |||||||||||||||||
1m. | Election of Director: THERESE M. VAUGHAN | Management | For | For | |||||||||||||||||
2. | To vote, on a non-binding advisory basis, to approve executive compensation. | Management | For | For | |||||||||||||||||
3. | To vote, on a non-binding advisory basis, on the frequency of future executive compensation votes. | Management | 3 Years | Against | |||||||||||||||||
4. | To act upon a proposal to ratify the selection of PricewaterhouseCoopers LLP as AIG's independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
5. | To vote on a shareholder proposal to give shareholders who hold at least 10 percent of AIG's outstanding common stock the right to call special meetings. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 300 | 25,000 | 03-Apr-2019 | 22-May-2019 | ||||||||||||||
JPMORGAN CHASE & CO. | |||||||||||||||||||||
Security | 46625H100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | JPM | Meeting Date | 21-May-2019 | ||||||||||||||||||
ISIN | US46625H1005 | Agenda | 934979088 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Linda B. Bammann | Management | For | For | |||||||||||||||||
1b. | Election of Director: James A. Bell | Management | For | For | |||||||||||||||||
1c. | Election of Director: Stephen B. Burke | Management | For | For | |||||||||||||||||
1d. | Election of Director: Todd A. Combs | Management | For | For | |||||||||||||||||
1e. | Election of Director: James S. Crown | Management | For | For | |||||||||||||||||
1f. | Election of Director: James Dimon | Management | For | For | |||||||||||||||||
1g. | Election of Director: Timothy P. Flynn | Management | For | For | |||||||||||||||||
1h. | Election of Director: Mellody Hobson | Management | For | For | |||||||||||||||||
1i. | Election of Director: Laban P. Jackson, Jr. | Management | For | For | |||||||||||||||||
1j. | Election of Director: Michael A. Neal | Management | For | For | |||||||||||||||||
1k. | Election of Director: Lee R. Raymond | Management | For | For | |||||||||||||||||
2. | Advisory resolution to approve executive compensation | Management | For | For | |||||||||||||||||
3. | Ratification of independent registered public accounting firm | Management | For | For | |||||||||||||||||
4. | Gender pay equity report | Shareholder | Against | For | |||||||||||||||||
5. | Enhance shareholder proxy access | Shareholder | Against | For | |||||||||||||||||
6. | Cumulative voting | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 3,100 | 9,600 | 06-Apr-2019 | 22-May-2019 | ||||||||||||||
AMGEN INC. | |||||||||||||||||||||
Security | 031162100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | AMGN | Meeting Date | 21-May-2019 | ||||||||||||||||||
ISIN | US0311621009 | Agenda | 934979266 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Dr. Wanda M. Austin | Management | For | For | |||||||||||||||||
1b. | Election of Director: Mr. Robert A. Bradway | Management | For | For | |||||||||||||||||
1c. | Election of Director: Dr. Brian J. Druker | Management | For | For | |||||||||||||||||
1d. | Election of Director: Mr. Robert A. Eckert | Management | For | For | |||||||||||||||||
1e. | Election of Director: Mr. Greg C. Garland | Management | For | For | |||||||||||||||||
1f. | Election of Director: Mr. Fred Hassan | Management | For | For | |||||||||||||||||
1g. | Election of Director: Dr. Rebecca M. Henderson | Management | For | For | |||||||||||||||||
1h. | Election of Director: Mr. Charles M. Holley, Jr. | Management | For | For | |||||||||||||||||
1i. | Election of Director: Dr. Tyler Jacks | Management | For | For | |||||||||||||||||
1j. | Election of Director: Ms. Ellen J. Kullman | Management | For | For | |||||||||||||||||
1k. | Election of Director: Dr. Ronald D. Sugar | Management | For | For | |||||||||||||||||
1l. | Election of Director: Dr. R. Sanders Williams | Management | For | For | |||||||||||||||||
2. | Advisory vote to approve our executive compensation. | Management | For | For | |||||||||||||||||
3. | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 9,200 | 09-Apr-2019 | 22-May-2019 | ||||||||||||||
APOLLO SENIOR FLOATING RATE, INC | |||||||||||||||||||||
Security | 037636107 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | AFT | Meeting Date | 21-May-2019 | ||||||||||||||||||
ISIN | US0376361079 | Agenda | 934983190 - Management | ||||||||||||||||||
Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Glenn N. Marchak | For | For | ||||||||||||||||||
2 | Todd J. Slotkin | For | For | ||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 20,000 | 0 | 12-Apr-2019 | 22-May-2019 | ||||||||||||||
AMAZON.COM, INC. | |||||||||||||||||||||
Security | 023135106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | AMZN | Meeting Date | 22-May-2019 | ||||||||||||||||||
ISIN | US0231351067 | Agenda | 934985954 - Management | ||||||||||||||||||
Record Date | 28-Mar-2019 | Holding Recon Date | 28-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | |||||||||||||||||
1b. | Election of Director: Rosalind G. Brewer | Management | For | For | |||||||||||||||||
1c. | Election of Director: Jamie S. Gorelick | Management | For | For | |||||||||||||||||
1d. | Election of Director: Daniel P. Huttenlocher | Management | For | For | |||||||||||||||||
1e. | Election of Director: Judith A. McGrath | Management | For | For | |||||||||||||||||
1f. | Election of Director: Indra K. Nooyi | Management | For | For | |||||||||||||||||
1g. | Election of Director: Jonathan J. Rubinstein | Management | For | For | |||||||||||||||||
1h. | Election of Director: Thomas O. Ryder | Management | For | For | |||||||||||||||||
1i. | Election of Director: Patricia Q. Stonesifer | Management | For | For | |||||||||||||||||
1j. | Election of Director: Wendell P. Weeks | Management | For | For | |||||||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. | Management | For | For | |||||||||||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | |||||||||||||||||
4. | SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT ON MANAGEMENT OF FOOD WASTE. | Shareholder | Against | For | |||||||||||||||||
5. | SHAREHOLDER PROPOSAL REQUESTING A REDUCTION IN THE OWNERSHIP THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Against | For | |||||||||||||||||
6. | SHAREHOLDER PROPOSAL REQUESTING A BAN ON GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||||||||||||||||
7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON THE IMPACT OF GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||||||||||||||||
8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN PRODUCTS. | Shareholder | Against | For | |||||||||||||||||
9. | SHAREHOLDER PROPOSAL REQUESTING AN INDEPENDENT BOARD CHAIR POLICY. | Shareholder | Against | For | |||||||||||||||||
10. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN EMPLOYMENT POLICIES. | Shareholder | Against | For | |||||||||||||||||
11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CLIMATE CHANGE TOPICS. | Shareholder | Against | For | |||||||||||||||||
12. | SHAREHOLDER PROPOSAL REQUESTING A BOARD IDEOLOGY DISCLOSURE POLICY. | Shareholder | Against | For | |||||||||||||||||
13. | SHAREHOLDER PROPOSAL REQUESTING CHANGES TO THE COMPANY'S GENDER PAY REPORTING. | Shareholder | Against | For | |||||||||||||||||
14. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INTEGRATING CERTAIN METRICS INTO EXECUTIVE COMPENSATION. | Shareholder | Against | For | |||||||||||||||||
15. | SHAREHOLDER PROPOSAL REGARDING VOTE- COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 2,252 | 2,800 | 12-Apr-2019 | 23-May-2019 | ||||||||||||||
THE HOME DEPOT, INC. | |||||||||||||||||||||
Security | 437076102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | HD | Meeting Date | 23-May-2019 | ||||||||||||||||||
ISIN | US4370761029 | Agenda | 934976157 - Management | ||||||||||||||||||
Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Gerard J. Arpey | Management | For | For | |||||||||||||||||
1b. | Election of Director: Ari Bousbib | Management | For | For | |||||||||||||||||
1c. | Election of Director: Jeffery H. Boyd | Management | For | For | |||||||||||||||||
1d. | Election of Director: Gregory D. Brenneman | Management | For | For | |||||||||||||||||
1e. | Election of Director: J. Frank Brown | Management | For | For | |||||||||||||||||
1f. | Election of Director: Albert P. Carey | Management | For | For | |||||||||||||||||
1g. | Election of Director: Helena B. Foulkes | Management | For | For | |||||||||||||||||
1h. | Election of Director: Linda R. Gooden | Management | For | For | |||||||||||||||||
1i. | Election of Director: Wayne M. Hewett | Management | For | For | |||||||||||||||||
1j. | Election of Director: Manuel Kadre | Management | For | For | |||||||||||||||||
1k. | Election of Director: Stephanie C. Linnartz | Management | For | For | |||||||||||||||||
1l. | Election of Director: Craig A. Menear | Management | For | For | |||||||||||||||||
2. | Ratification of the Appointment of KPMG LLP | Management | For | For | |||||||||||||||||
3. | Advisory Vote to Approve Executive Compensation ("Say-on-Pay") | Management | For | For | |||||||||||||||||
4. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Against | For | |||||||||||||||||
5. | Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares | Shareholder | Against | For | |||||||||||||||||
6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 10,990 | 0 | 09-Apr-2019 | 24-May-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 3,000 | 0 | 09-Apr-2019 | 24-May-2019 | ||||||||||||||
MORGAN STANLEY | |||||||||||||||||||||
Security | 617446448 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | MS | Meeting Date | 23-May-2019 | ||||||||||||||||||
ISIN | US6174464486 | Agenda | 934980423 - Management | ||||||||||||||||||
Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Elizabeth Corley | Management | For | For | |||||||||||||||||
1b. | Election of Director: Alistair Darling | Management | For | For | |||||||||||||||||
1c. | Election of Director: Thomas H. Glocer | Management | For | For | |||||||||||||||||
1d. | Election of Director: James P. Gorman | Management | For | For | |||||||||||||||||
1e. | Election of Director: Robert H. Herz | Management | For | For | |||||||||||||||||
1f. | Election of Director: Nobuyuki Hirano | Management | For | For | |||||||||||||||||
1g. | Election of Director: Jami Miscik | Management | For | For | |||||||||||||||||
1h. | Election of Director: Dennis M. Nally | Management | For | For | |||||||||||||||||
1i. | Election of Director: Takeshi Ogasawara | Management | For | For | |||||||||||||||||
1j. | Election of Director: Hutham S. Olayan | Management | For | For | |||||||||||||||||
1k. | Election of Director: Mary L. Schapiro | Management | For | For | |||||||||||||||||
1l. | Election of Director: Perry M. Traquina | Management | For | For | |||||||||||||||||
1m. | Election of Director: Rayford Wilkins, Jr. | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of Deloitte & Touche LLP as independent auditor | Management | For | For | |||||||||||||||||
3. | To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory vote) | Management | For | For | |||||||||||||||||
4. | Shareholder proposal regarding an annual report on lobbying expenses | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 28,800 | 0 | 06-Apr-2019 | 24-May-2019 | ||||||||||||||
INPHI CORPORATION | |||||||||||||||||||||
Security | 45772F107 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | IPHI | Meeting Date | 23-May-2019 | ||||||||||||||||||
ISIN | US45772F1075 | Agenda | 935008513 - Management | ||||||||||||||||||
Record Date | 10-Apr-2019 | Holding Recon Date | 10-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Dr. Chenming C. Hu | For | For | ||||||||||||||||||
2 | Elissa Murphy | For | For | ||||||||||||||||||
3 | Sam S. Srinivasan | For | For | ||||||||||||||||||
2. | Advisory vote to approve executive compensation | Management | For | For | |||||||||||||||||
3. | Ratification of the appointment of PricewaterhouseCoopers 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 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 22,100 | 27-Apr-2019 | 24-May-2019 | ||||||||||||||
ILLUMINA, INC. | |||||||||||||||||||||
Security | 452327109 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ILMN | Meeting Date | 29-May-2019 | ||||||||||||||||||
ISIN | US4523271090 | Agenda | 934985067 - Management | ||||||||||||||||||
Record Date | 01-Apr-2019 | Holding Recon Date | 01-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 28-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1A. | Election of Director: Frances Arnold, Ph.D. | Management | For | For | |||||||||||||||||
1B. | Election of Director: Francis A. deSouza | Management | For | For | |||||||||||||||||
1C. | Election of Director: Susan E. Siegel | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 29, 2019. | Management | For | For | |||||||||||||||||
3. | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the Proxy Statement. | Management | For | For | |||||||||||||||||
4. | To approve an amendment to our Amended and Restated Certificate of Incorporation to declassify our Board of Directors. | Management | For | For | |||||||||||||||||
5. | To approve, on an advisory basis, a stockholder proposal to enhance election-related disclosures. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 1,700 | 0 | 17-Apr-2019 | 30-May-2019 | ||||||||||||||
TELADOC HEALTH, INC. | |||||||||||||||||||||
Security | 87918A105 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | TDOC | Meeting Date | 30-May-2019 | ||||||||||||||||||
ISIN | US87918A1051 | Agenda | 934988253 - Management | ||||||||||||||||||
Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Ms. Helen Darling | For | For | ||||||||||||||||||
2 | Mr. William H. Frist MD | For | For | ||||||||||||||||||
3 | Mr. Michael Goldstein | For | For | ||||||||||||||||||
4 | Mr. Jason Gorevic | For | For | ||||||||||||||||||
5 | Mr. Brian McAndrews | For | For | ||||||||||||||||||
6 | Mr. Thomas G. McKinley | For | For | ||||||||||||||||||
7 | Mr. Arneek Multani | For | For | ||||||||||||||||||
8 | Mr. Kenneth H. Paulus | For | For | ||||||||||||||||||
9 | Mr. David Shedlarz | For | For | ||||||||||||||||||
10 | Mr. David B. Snow, Jr. | For | For | ||||||||||||||||||
11 | Mr. Mark D. Smith, MD | For | For | ||||||||||||||||||
2. | Approve, on an advisory basis, the compensation of Teladoc Health's named executive officers. | Management | For | For | |||||||||||||||||
3. | Ratify the appointment of Ernst & Young LLP as Teladoc Health's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 9,920 | 0 | 20-Apr-2019 | 31-May-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 6,000 | 16,600 | 20-Apr-2019 | 31-May-2019 | ||||||||||||||
INSTALLED BUILDING PRODUCTS, INC. | |||||||||||||||||||||
Security | 45780R101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | IBP | Meeting Date | 30-May-2019 | ||||||||||||||||||
ISIN | US45780R1014 | Agenda | 934994953 - Management | ||||||||||||||||||
Record Date | 04-Apr-2019 | Holding Recon Date | 04-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1A | Election of Director: Jeffrey W. Edwards | Management | For | For | |||||||||||||||||
1B | Election of Director: Lawrence A. Hilsheimer | Management | For | For | |||||||||||||||||
1C | Election of Director: Janet E. Jackson | Management | For | For | |||||||||||||||||
2. | The ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | 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 | 14,200 | 0 | 19-Apr-2019 | 31-May-2019 | ||||||||||||||
UNITEDHEALTH GROUP INCORPORATED | |||||||||||||||||||||
Security | 91324P102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | UNH | Meeting Date | 03-Jun-2019 | ||||||||||||||||||
ISIN | US91324P1021 | Agenda | 934998963 - Management | ||||||||||||||||||
Record Date | 09-Apr-2019 | Holding Recon Date | 09-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 31-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: William C. Ballard, Jr. | Management | For | For | |||||||||||||||||
1b. | Election of Director: Richard T. Burke | Management | For | For | |||||||||||||||||
1c. | Election of Director: Timothy P. Flynn | Management | For | For | |||||||||||||||||
1d. | Election of Director: Stephen J. Hemsley | Management | For | For | |||||||||||||||||
1e. | Election of Director: Michele J. Hooper | Management | For | For | |||||||||||||||||
1f. | Election of Director: F. William McNabb III | Management | For | For | |||||||||||||||||
1g. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | |||||||||||||||||
1h. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | |||||||||||||||||
1i. | Election of Director: Glenn M. Renwick | Management | For | For | |||||||||||||||||
1j. | Election of Director: David S. Wichmann | Management | For | For | |||||||||||||||||
1k. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | For | |||||||||||||||||
2. | Advisory approval of the Company's executive compensation. | Management | For | For | |||||||||||||||||
3. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
4. | The shareholder proposal set forth in the proxy statement requesting an amendment to the proxy access bylaw, if properly presented at the 2019 Annual Meeting of Shareholders. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 135 | 6,700 | 20-Apr-2019 | 04-Jun-2019 | ||||||||||||||
BIOMARIN PHARMACEUTICAL INC. | |||||||||||||||||||||
Security | 09061G101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BMRN | Meeting Date | 04-Jun-2019 | ||||||||||||||||||
ISIN | US09061G1013 | Agenda | 934995070 - Management | ||||||||||||||||||
Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Jean-Jacques Bienaimé | For | For | ||||||||||||||||||
2 | Willard Dere | For | For | ||||||||||||||||||
3 | Michael Grey | For | For | ||||||||||||||||||
4 | Elaine J. Heron | For | For | ||||||||||||||||||
5 | Robert J. Hombach | For | For | ||||||||||||||||||
6 | V. Bryan Lawlis | For | For | ||||||||||||||||||
7 | Alan J. Lewis | For | For | ||||||||||||||||||
8 | Richard A. Meier | For | For | ||||||||||||||||||
9 | David E.I. Pyott | For | For | ||||||||||||||||||
10 | Dennis J. Slamon | For | For | ||||||||||||||||||
2. | To ratify the selection of KPMG LLP as the independent registered public accounting firm for BioMarin for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | To approve, on an advisory basis, the compensation of the Company's Named Executive Officers as disclosed in the Proxy Statement. | Management | For | For | |||||||||||||||||
4. | To approve an amendment to the 2017 Equity Incentive Plan. | Management | For | For | |||||||||||||||||
5. | To approve amendments to the Amended and Restated 2006 Employee Stock Purchase Plan. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 12,400 | 24-Apr-2019 | 05-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 2,500 | 0 | 24-Apr-2019 | 05-Jun-2019 | ||||||||||||||
BEIGENE LTD | |||||||||||||||||||||
Security | 07725L102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BGNE | Meeting Date | 05-Jun-2019 | ||||||||||||||||||
ISIN | US07725L1026 | Agenda | 935016849 - Management | ||||||||||||||||||
Record Date | 18-Apr-2019 | Holding Recon Date | 18-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-May-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | THAT Ranjeev Krishana be and is hereby re-elected to serve as a Class III director of the Company until the 2022 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | |||||||||||||||||
2. | THAT Xiaodong Wang be and is hereby re-elected to serve as a Class III director of the Company until the 2022 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | |||||||||||||||||
3. | THAT Qingqing Yi be and is hereby re-elected to serve as a Class III director of the Company until the 2022 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | |||||||||||||||||
4. | THAT Jing-Shyh (Sam) Su be and is hereby re-elected to serve as a Class I director of the Company until the 2020 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | |||||||||||||||||
5. | THAT the appointment of Ernst & Young Hua Ming LLP and Ernst & Young as the Company's independent registered public accounting firms for the year ending December 31, 2019 be and is hereby approved, ratified and confirmed. | Management | For | For | |||||||||||||||||
6. | THAT the granting of a share issue mandate to the Board of Directors of the Company to issue, allot or deal with unissued ordinary shares and/or American Depositary Shares not exceeding 20% of the total number of issued ordinary shares of the Company as at the date of passing of this ordinary resolution up to the next annual general meeting of the Company be and is hereby approved. | Management | For | For | |||||||||||||||||
7. | THAT the Company and its underwriters be and are hereby authorized, in their sole discretion, to allocate to each of Baker Bros. Advisors LP and Hillhouse Capital Management, Ltd. and parties affiliated with each of them (the "Existing Shareholders"), up to a maximum amount of shares in order to maintain the same shareholding percentage of each of the Existing Shareholders (based on the then-outstanding share ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||||||||||||||||
8. | THAT, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as disclosed in the Proxy Statement, be and is hereby approved. | 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 | 2,100 | 0 | 01-May-2019 | 29-May-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 6,900 | 01-May-2019 | 29-May-2019 | ||||||||||||||
VERTEX PHARMACEUTICALS INCORPORATED | |||||||||||||||||||||
Security | 92532F100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | VRTX | Meeting Date | 05-Jun-2019 | ||||||||||||||||||
ISIN | US92532F1003 | Agenda | 935020874 - Management | ||||||||||||||||||
Record Date | 10-Apr-2019 | Holding Recon Date | 10-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1.1 | Election of Director: Sangeeta Bhatia | Management | For | For | |||||||||||||||||
1.2 | Election of Director: Lloyd Carney | Management | For | For | |||||||||||||||||
1.3 | Election of Director: Terrence Kearney | Management | For | For | |||||||||||||||||
1.4 | Election of Director: Yuchun Lee | Management | For | For | |||||||||||||||||
1.5 | Election of Director: Jeffrey Leiden | Management | For | For | |||||||||||||||||
1.6 | Election of Director: Bruce Sachs | Management | For | For | |||||||||||||||||
2. | Amendment and restatement of our 2013 Stock and Option Plan to, among other things, increase the number of shares available under the plan by 5.0 million shares. | Management | For | For | |||||||||||||||||
3. | Amendment and restatement of our 2013 Employee Stock Purchase Plan to, among other things, increase the number of shares available under the plan by 2.0 million shares. | Management | For | For | |||||||||||||||||
4. | Ratification of Ernst & Young LLP as our Independent Registered Public Accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
5. | Advisory vote on named executive officer compensation. | Management | For | For | |||||||||||||||||
6. | Shareholder proposal, if properly presented at the meeting, requesting annual reporting on the integration of risks relating to drug prices into our executive compensation program. | Shareholder | Against | For | |||||||||||||||||
7. | Shareholder proposal, if properly presented at the meeting, requesting that we prepare a report on our policies and activities with respect to lobbying. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 3,752 | 0 | 04-May-2019 | 06-Jun-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 920 | 3,900 | 04-May-2019 | 06-Jun-2019 | ||||||||||||||
PROOFPOINT, INC. | |||||||||||||||||||||
Security | 743424103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | PFPT | Meeting Date | 06-Jun-2019 | ||||||||||||||||||
ISIN | US7434241037 | Agenda | 934990929 - Management | ||||||||||||||||||
Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Class I Director: Scott Herren | Management | For | For | |||||||||||||||||
1b. | Election of Class I Director: Michael Johnson | Management | For | For | |||||||||||||||||
1c. | Election of Class I Director: Richard Wallace | Management | For | For | |||||||||||||||||
2. | To approve an amendment to our 2012 Equity Incentive Plan to increase the number of shares of stock authorized for issuance thereunder and to make certain other changes to the plan. | Management | For | For | |||||||||||||||||
3. | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | Management | For | For | |||||||||||||||||
4. | To recommend, on a non-binding advisory basis, the frequency of future stockholder advisory votes to approve the compensation of our named executive officers. | Management | 3 Years | Against | |||||||||||||||||
5. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL28 | GLQ | 997AL28 | STATE STREET BANK & TRUST CO | 4,150 | 0 | 18-Apr-2019 | 07-Jun-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 6,800 | 0 | 18-Apr-2019 | 07-Jun-2019 | ||||||||||||||
NETFLIX, INC. | |||||||||||||||||||||
Security | 64110L106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | NFLX | Meeting Date | 06-Jun-2019 | ||||||||||||||||||
ISIN | US64110L1061 | Agenda | 934997252 - Management | ||||||||||||||||||
Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Class II Director: Timothy M. Haley | Management | For | For | |||||||||||||||||
1b. | Election of Class II Director: Leslie Kilgore | Management | For | For | |||||||||||||||||
1c. | Election of Class II Director: Ann Mather | Management | For | For | |||||||||||||||||
1d. | Election of Class II Director: Susan Rice | Management | For | For | |||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | Advisory approval of the Company's executive officer compensation. | Management | For | For | |||||||||||||||||
4. | Stockholder proposal regarding political disclosure, if properly presented at the meeting. | Shareholder | Against | For | |||||||||||||||||
5. | Stockholder proposal regarding simple majority vote, if properly presented at the meeting. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 3,224 | 3,400 | 24-Apr-2019 | 07-Jun-2019 | ||||||||||||||
SALESFORCE.COM, INC. | |||||||||||||||||||||
Security | 79466L302 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CRM | Meeting Date | 06-Jun-2019 | ||||||||||||||||||
ISIN | US79466L3024 | Agenda | 935003878 - Management | ||||||||||||||||||
Record Date | 10-Apr-2019 | Holding Recon Date | 10-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Director: Marc Benioff | Management | For | For | |||||||||||||||||
1b. | Election of Director: Keith Block | Management | For | For | |||||||||||||||||
1c. | Election of Director: Parker Harris | Management | For | For | |||||||||||||||||
1d. | Election of Director: Craig Conway | Management | For | For | |||||||||||||||||
1e. | Election of Director: Alan Hassenfeld | Management | For | For | |||||||||||||||||
1f. | Election of Director: Neelie Kroes | Management | For | For | |||||||||||||||||
1g. | Election of Director: Colin Powell | Management | For | For | |||||||||||||||||
1h. | Election of Director: Sanford Robertson | Management | For | For | |||||||||||||||||
1i. | Election of Director: John V. Roos | Management | For | For | |||||||||||||||||
1j. | Election of Director: Bernard Tyson | Management | For | For | |||||||||||||||||
1k. | Election of Director: Robin Washington | Management | For | For | |||||||||||||||||
1l. | Election of Director: Maynard Webb | Management | For | For | |||||||||||||||||
1m. | Election of Director: Susan Wojcicki | Management | For | For | |||||||||||||||||
2a. | Amendment and restatement of our Certificate of Incorporation to remove supermajority voting provisions relating to: Amendments to the Certificate of Incorporation and Bylaws. | Management | For | For | |||||||||||||||||
2b. | Amendment and restatement of our Certificate of Incorporation to remove supermajority voting provisions relating to: Removal of directors. | Management | For | For | |||||||||||||||||
3. | Amendment and restatement of our 2013 Equity Incentive Plan to, among other things, increase the number of shares authorized for issuance by 35.5 million shares. | Management | For | For | |||||||||||||||||
4. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2020. | Management | For | For | |||||||||||||||||
5. | An advisory vote to approve the fiscal 2019 compensation of our named executive officers. | Management | For | For | |||||||||||||||||
6. | A stockholder proposal regarding a "true diversity" board policy. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 24,800 | 26-Apr-2019 | 07-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 3,000 | 0 | 26-Apr-2019 | 07-Jun-2019 | ||||||||||||||
ARES CAPITAL CORPORATION | |||||||||||||||||||||
Security | 04010L103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ARCC | Meeting Date | 10-Jun-2019 | ||||||||||||||||||
ISIN | US04010L1035 | Agenda | 934999636 - Management | ||||||||||||||||||
Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: R. Kipp deVeer | Management | For | For | |||||||||||||||||
1b. | Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Daniel G. Kelly, Jr. | Management | For | For | |||||||||||||||||
1c. | Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Eric B. Siegel | Management | For | For | |||||||||||||||||
2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 278,100 | 0 | 18-Apr-2019 | 11-Jun-2019 | ||||||||||||||
GOSSAMER BIO, INC. | |||||||||||||||||||||
Security | 38341P102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GOSS | Meeting Date | 10-Jun-2019 | ||||||||||||||||||
ISIN | US38341P1021 | Agenda | 935010962 - Management | ||||||||||||||||||
Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Sheila Gujrathi, M.D. | For | For | ||||||||||||||||||
2 | Kristina Burow | For | For | ||||||||||||||||||
3 | Thomas Daniel, M.D. | For | For | ||||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 26,200 | 0 | 01-May-2019 | 11-Jun-2019 | ||||||||||||||
VERACYTE, INC. | |||||||||||||||||||||
Security | 92337F107 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | VCYT | Meeting Date | 11-Jun-2019 | ||||||||||||||||||
ISIN | US92337F1075 | Agenda | 935003501 - Management | ||||||||||||||||||
Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Karin Eastham | For | For | ||||||||||||||||||
2 | Kevin K. Gordon | For | For | ||||||||||||||||||
2. | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
3. | The approval, on a non-binding advisory basis, of the compensation of our named executive officers, as disclosed in our proxy statement. | Management | For | For | |||||||||||||||||
4. | The selection, on a non-binding advisory basis, whether future advisory votes on the compensation paid by us to our named executive officers should be held every one, two or three years. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 4,200 | 47,300 | 03-May-2019 | 12-Jun-2019 | ||||||||||||||
EQUILLIUM, INC. | |||||||||||||||||||||
Security | 29446K106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | EQ | Meeting Date | 11-Jun-2019 | ||||||||||||||||||
ISIN | US29446K1060 | Agenda | 935017257 - Management | ||||||||||||||||||
Record Date | 18-Apr-2019 | Holding Recon Date | 18-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Stephen Connelly, Ph.D. | For | For | ||||||||||||||||||
2 | Bala S. Manian, Ph.D. | For | For | ||||||||||||||||||
2. | To ratify the selection by the Audit Committee of the Board of Directors of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 100 | 37,500 | 02-May-2019 | 12-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 5,600 | 0 | 02-May-2019 | 12-Jun-2019 | ||||||||||||||
CRISPR THERAPEUTICS AG | |||||||||||||||||||||
Security | H17182108 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CRSP | Meeting Date | 11-Jun-2019 | ||||||||||||||||||
ISIN | CH0334081137 | Agenda | 935017310 - Management | ||||||||||||||||||
Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | ||||||||||||||||||
City / | Country | / | Switzerland | Vote Deadline Date | 10-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | The approval of the annual report, the consolidated financial statements and the statutory financial statements of the Company for the year ended December 31, 2018. | Management | For | For | |||||||||||||||||
2. | The approval of the appropriation of financial results. | Management | For | For | |||||||||||||||||
3. | The discharge of the members of the Board of Directors and Executive Committee. | Management | For | For | |||||||||||||||||
4a. | Re-election of the member to the Board of Director: Rodger Novak, M.D. (as member and Chairman) | Management | For | For | |||||||||||||||||
4b. | Re-election of the member to the Board of Director: Samarth Kulkarni, Ph.D. | Management | For | For | |||||||||||||||||
4c. | Re-election of the member to the Board of Director: Ali Behbahani, M.D. | Management | For | For | |||||||||||||||||
4d. | Re-election of the member to the Board of Director: Bradley Bolzon, Ph.D. | Management | For | For | |||||||||||||||||
4e. | Re-election of the member to the Board of Director: Pablo Cagnoni, M.D. | Management | For | For | |||||||||||||||||
4f. | Re-election of the member to the Board of Director: Simeon J. George, M.D. | Management | For | For | |||||||||||||||||
4g. | Election of the member to the Board of Director: John T. Greene | Management | For | For | |||||||||||||||||
4h. | Election of the member to the Board of Director: Katherine A. High, M.D. | Management | For | For | |||||||||||||||||
5a. | Re-election of the member of the Compensation Committee: Simeon J. George, M.D. | Management | For | For | |||||||||||||||||
5b. | Re-election of the member of the Compensation Committee: Pablo Cagnoni, M.D. | Management | For | For | |||||||||||||||||
5c. | Election of the member of the Compensation Committee: John T. Greene | Management | For | For | |||||||||||||||||
6a. | Binding vote on total non-performance-related compensation for members of the Board of Directors from the 2019 Annual General Meeting to the 2020 Annual General Meeting of Shareholders. | Management | For | For | |||||||||||||||||
6b. | Binding vote on equity for members of the Board of Directors from the 2019 Annual General Meeting to the 2020 Annual General Meeting of Shareholders. | Management | For | For | |||||||||||||||||
6c. | Binding vote on total non-performance-related compensation for members of the Executive Committee from July 1, 2019 to June 30, 2020. | Management | For | For | |||||||||||||||||
6d. | Binding vote on total variable compensation for members of the Executive Committee for the current year ending December 31, 2019. | Management | For | For | |||||||||||||||||
6e. | Binding vote on equity for members of the Executive Committee from the 2019 Annual General Meeting to the 2020 Annual General Meeting of Shareholders. | Management | For | For | |||||||||||||||||
7. | Non-binding advisory vote to approve the compensation paid to the Company's named executive officers under U.S. securities law requirements. | Management | For | For | |||||||||||||||||
8. | Non-binding advisory vote on the frequency of future shareholder advisory votes on the compensation paid to the Company's named executive officers under U.S. securities law requirements. | Management | 3 Years | For | |||||||||||||||||
9. | The approval of an increase in the Conditional Share Capital for Employee Benefit Plans. | Management | For | For | |||||||||||||||||
10. | The approval of an Amendment to the CRISPR Therapeutics AG 2018 Stock Option and Incentive Plan. | Management | For | For | |||||||||||||||||
11. | The approval of amending and restating art. 3a of the Articles of Association. | Management | For | For | |||||||||||||||||
12. | The approval of amending and restating art. 4 of the Articles of Association. | Management | For | For | |||||||||||||||||
13. | The approval of amending and restating art. 16 of the Articles of Association. | Management | For | For | |||||||||||||||||
14. | The approval of amending and restating art. 17 of the Articles of Association. | Management | For | For | |||||||||||||||||
15. | The approval of amending and restating art. 41 of the Articles of Association. | Management | For | For | |||||||||||||||||
16. | The re-election of the independent voting rights representative. | Management | For | For | |||||||||||||||||
17. | The election of the auditors. | 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 | 58,500 | 0 | 03-May-2019 | 12-Jun-2019 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 167 | 37,700 | 03-May-2019 | 12-Jun-2019 | ||||||||||||||
SERVICENOW, INC. | |||||||||||||||||||||
Security | 81762P102 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | NOW | Meeting Date | 12-Jun-2019 | ||||||||||||||||||
ISIN | US81762P1021 | Agenda | 935000911 - Management | ||||||||||||||||||
Record Date | 15-Apr-2019 | Holding Recon Date | 15-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1a. | Election of director: Teresa Briggs | Management | For | For | |||||||||||||||||
1b. | Election of director: Paul E. Chamberlain | Management | For | For | |||||||||||||||||
1c. | Election of director: Tamar O. Yehoshua | Management | For | For | |||||||||||||||||
2. | To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). | Management | For | For | |||||||||||||||||
3. | Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 5,320 | 3,200 | 26-Apr-2019 | 13-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 1,800 | 0 | 26-Apr-2019 | 13-Jun-2019 | ||||||||||||||
T-MOBILE US, INC. | |||||||||||||||||||||
Security | 872590104 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | TMUS | Meeting Date | 13-Jun-2019 | ||||||||||||||||||
ISIN | US8725901040 | Agenda | 935011130 - Management | ||||||||||||||||||
Record Date | 18-Apr-2019 | Holding Recon Date | 18-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Srikant M. Datar | For | For | ||||||||||||||||||
2 | Srini Gopalan | For | For | ||||||||||||||||||
3 | Lawrence H. Guffey | For | For | ||||||||||||||||||
4 | Timotheus Höttges | For | For | ||||||||||||||||||
5 | Christian P. Illek | For | For | ||||||||||||||||||
6 | Bruno Jacobfeuerborn | For | For | ||||||||||||||||||
7 | Raphael Kübler | For | For | ||||||||||||||||||
8 | Thorsten Langheim | For | For | ||||||||||||||||||
9 | John J. Legere | For | For | ||||||||||||||||||
10 | G. Michael Sievert | For | For | ||||||||||||||||||
11 | Teresa A. Taylor | For | For | ||||||||||||||||||
12 | Kelvin R. Westbrook | For | For | ||||||||||||||||||
2. | Ratification of the Appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2019. | Management | For | For | |||||||||||||||||
3. | Stockholder Proposal for Limitations on Accelerated Vesting of Equity Awards in the Event of a Change of Control. | Shareholder | Against | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 35,200 | 32,700 | 27-Apr-2019 | 14-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 5,700 | 0 | 27-Apr-2019 | 14-Jun-2019 | ||||||||||||||
GW PHARMACEUTICALS PLC | |||||||||||||||||||||
Security | 36197T103 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GWPH | Meeting Date | 13-Jun-2019 | ||||||||||||||||||
ISIN | US36197T1034 | Agenda | 935015013 - Management | ||||||||||||||||||
Record Date | 16-Apr-2019 | Holding Recon Date | 16-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
O1 | To re-elect James Noble as a Director | Management | For | For | |||||||||||||||||
O2 | To re-elect Thomas Lynch as a Director | Management | For | For | |||||||||||||||||
O3 | To approve the Directors' Remuneration Report | Management | For | For | |||||||||||||||||
O4 | To approve the compensation of the Company's named executive officers | Management | For | For | |||||||||||||||||
O5 | To approve the Directors' Remuneration Policy | Management | For | For | |||||||||||||||||
O6 | To determine the frequency for approval of the compensation of the Company's named executive officers | Management | 3 Years | Against | |||||||||||||||||
O7 | To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm | Management | For | For | |||||||||||||||||
O8 | To re-appoint Deloitte LLP as the UK Auditor | Management | For | For | |||||||||||||||||
O9 | To authorise the Audit Committee to determine the Auditors' remuneration | Management | For | For | |||||||||||||||||
O10 | To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 15- month period ended 31 December 2018 and note that the Directors do not recommend the payment of a dividend | Management | For | For | |||||||||||||||||
O11 | To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 13 June 2020 | Management | For | For | |||||||||||||||||
S12 | Subject to the passing of Resolution 11, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 7,570 | 0 | 02-May-2019 | 11-Jun-2019 | ||||||||||||||
TPG SPECIALTY LENDING, INC. | |||||||||||||||||||||
Security | 87265K102 | Meeting Type | Special | ||||||||||||||||||
Ticker Symbol | TSLX | Meeting Date | 14-Jun-2019 | ||||||||||||||||||
ISIN | US87265K1025 | Agenda | 934975282 - Management | ||||||||||||||||||
Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | To approve a proposal to authorize the Company to sell or otherwise issue shares of its common stock at a price below its then-current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and subject to the conditions set forth in the accompanying proxy statement. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 72,300 | 0 | 06-Apr-2019 | 17-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 1,700 | 0 | 06-Apr-2019 | 17-Jun-2019 | ||||||||||||||
APELLIS PHARMACEUTICALS INC. | |||||||||||||||||||||
Security | 03753U106 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | APLS | Meeting Date | 18-Jun-2019 | ||||||||||||||||||
ISIN | US03753U1060 | Agenda | 935019693 - Management | ||||||||||||||||||
Record Date | 23-Apr-2019 | Holding Recon Date | 23-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | A. Sinclair Dunlop | For | For | ||||||||||||||||||
2 | Alec Machiels | For | For | ||||||||||||||||||
2. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | To approve an advisory vote on executive compensation. | Management | For | For | |||||||||||||||||
4. | To hold an advisory vote on the frequency of future executive compensation advisory votes. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 9,797 | 77,900 | 10-May-2019 | 19-Jun-2019 | ||||||||||||||
CORREVIO PHARMA CORP. | |||||||||||||||||||||
Security | 22026V105 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | CORV | Meeting Date | 18-Jun-2019 | ||||||||||||||||||
ISIN | CA22026V1058 | Agenda | 935036144 - Management | ||||||||||||||||||
Record Date | 09-May-2019 | Holding Recon Date | 09-May-2019 | ||||||||||||||||||
City / | Country | / | Canada | Vote Deadline Date | 13-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
01 | DIRECTOR | Management | |||||||||||||||||||
1 | Richard M. Glickman | For | For | ||||||||||||||||||
2 | W. James O'Shea | For | For | ||||||||||||||||||
3 | William L. Hunter | For | For | ||||||||||||||||||
4 | Mark H. Corrigan | For | For | ||||||||||||||||||
5 | Arthur H. Willms | For | For | ||||||||||||||||||
6 | Robert J. Meyer | For | For | ||||||||||||||||||
7 | Vanda De Cian | For | For | ||||||||||||||||||
02 | Appointment of KPMG LLP, Chartered Professional Accountants, as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 4,500 | 315,400 | 24-May-2019 | 19-Jun-2019 | ||||||||||||||
SOFTBANK GROUP CORP. | |||||||||||||||||||||
Security | J75963108 | Meeting Type | Annual General Meeting | ||||||||||||||||||
Ticker Symbol | Meeting Date | 19-Jun-2019 | |||||||||||||||||||
ISIN | JP3436100006 | Agenda | 711252104 - Management | ||||||||||||||||||
Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||||||||||||||||||
City / | Country | TOKYO | / | Japan | Vote Deadline Date | 17-Jun-2019 | |||||||||||||||
SEDOL(s) | 2407159 - 5603136 - 6770620 - B01JCG5 - B0CRGH7 - B17MJ08 | Quick Code | 99840 | ||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
Please reference meeting materials. | Non-Voting | ||||||||||||||||||||
1 | Approve Appropriation of Surplus | Management | For | For | |||||||||||||||||
2.1 | Appoint a Director Son, Masayoshi | Management | For | For | |||||||||||||||||
2.2 | Appoint a Director Ronald D. Fisher | Management | For | For | |||||||||||||||||
2.3 | Appoint a Director Marcelo Claure | Management | For | For | |||||||||||||||||
2.4 | Appoint a Director Sago, Katsunori | Management | For | For | |||||||||||||||||
2.5 | Appoint a Director Rajeev Misra | Management | For | For | |||||||||||||||||
2.6 | Appoint a Director Miyauchi, Ken | Management | For | For | |||||||||||||||||
2.7 | Appoint a Director Simon Segars | Management | For | For | |||||||||||||||||
2.8 | Appoint a Director Yun Ma | Management | For | For | |||||||||||||||||
2.9 | Appoint a Director Yasir O. Al-Rumayyan | Management | For | For | |||||||||||||||||
2.10 | Appoint a Director Yanai, Tadashi | Management | For | For | |||||||||||||||||
2.11 | Appoint a Director Iijima, Masami | Management | For | For | |||||||||||||||||
2.12 | Appoint a Director Matsuo, Yutaka | Management | For | For | |||||||||||||||||
3 | Appoint a Corporate Auditor Toyama, Atsushi | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
AL28 | AL28 | STATE STREET BANK | 53,000 | 0 | 30-May-2019 | 18-Jun-2019 | |||||||||||||||
BLACKSTONE MORTGAGE TRUST, INC | |||||||||||||||||||||
Security | 09257W100 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | BXMT | Meeting Date | 19-Jun-2019 | ||||||||||||||||||
ISIN | US09257W1009 | Agenda | 935003385 - Management | ||||||||||||||||||
Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Michael B. Nash | For | For | ||||||||||||||||||
2 | Stephen D. Plavin | For | For | ||||||||||||||||||
3 | Leonard W. Cotton | For | For | ||||||||||||||||||
4 | Thomas E. Dobrowski | For | For | ||||||||||||||||||
5 | Martin L. Edelman | For | For | ||||||||||||||||||
6 | Henry N. Nassau | For | For | ||||||||||||||||||
7 | Jonathan L. Pollack | For | For | ||||||||||||||||||
8 | Lynne B. Sagalyn | For | For | ||||||||||||||||||
2. | Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | Advisory Vote on Executive Compensation: To approve in a non- binding, advisory vote, the compensation paid to our named executive officers. | Management | For | For | |||||||||||||||||
4. | Frequency of Advisory Vote on Executive Compensation: To approve in a non-binding, advisory vote, whether a stockholder vote to approve the compensation of our named executive officers should occur every one, two or three years. | Management | 3 Years | Against | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 166,300 | 0 | 27-Apr-2019 | 20-Jun-2019 | ||||||||||||||
GCI LIBERTY, INC. | |||||||||||||||||||||
Security | 36164V305 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | GLIBA | Meeting Date | 24-Jun-2019 | ||||||||||||||||||
ISIN | US36164V3050 | Agenda | 935020660 - Management | ||||||||||||||||||
Record Date | 25-Apr-2019 | Holding Recon Date | 25-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | John C. Malone | For | For | ||||||||||||||||||
2 | Richard R. Green | For | For | ||||||||||||||||||
2. | A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 6,121 | 63,600 | 04-May-2019 | 25-Jun-2019 | ||||||||||||||
INTRA-CELLULAR THERAPIES INC | |||||||||||||||||||||
Security | 46116X101 | Meeting Type | Annual | ||||||||||||||||||
Ticker Symbol | ITCI | Meeting Date | 25-Jun-2019 | ||||||||||||||||||
ISIN | US46116X1019 | Agenda | 935019768 - Management | ||||||||||||||||||
Record Date | 29-Apr-2019 | Holding Recon Date | 29-Apr-2019 | ||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 24-Jun-2019 | ||||||||||||||||
SEDOL(s) | Quick Code | ||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||
1. | DIRECTOR | Management | |||||||||||||||||||
1 | Sharon Mates, Ph.D. | For | For | ||||||||||||||||||
2 | Rory B. Riggs | For | For | ||||||||||||||||||
3 | Robert L. Van Nostrand | For | For | ||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||
3. | To approve by an advisory vote the compensation of the Company's 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 | ||||||||||||||
997AL47 | GLQ BNP PLEDGE | 997AL47 | STATE STREET BANK & TRUST CO | 15,200 | 0 | 09-May-2019 | 26-Jun-2019 | ||||||||||||||
997AL61 | GLQ MS PLEDGE | 997AL61 | STATE STREET BANK & TRUST CO | 5,300 | 0 | 09-May-2019 | 26-Jun-2019 |
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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 Equity Fund | |||
By: | /s/ Bradley J. Swenson | ||
Bradley J. Swenson | |||
President | |||
Date: | August 28, 2019 |
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