UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-21719
INVESTMENT MANAGERS SERIES TRUST
(Exact name of registrant as specified in charter)
| 235 W. Galena Street, Milwaukee, WI | 53212 |
| (Address of principal executive offices) | (Zip code) |
Diane J. Drake
Mutual Fund Administration, LLC
2220 E. Route 66, Suite 226
Glendora, California 91740
(Name and address of agent for service)
Registrant's telephone number, including area code: (626) 385-5777
Date of fiscal year end: November 30
Date of reporting period: July 1, 2022 - June 30, 2023
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
| Form N-PX | Proxy Voting Records for Received Balllots |
| Fund Name: | Riverbridge Growth Fund |
| Reporting Period: | 07/01/22 to 06/30/23 |
| Vote Summary |
| FIVERR INTERNATIONAL LTD | |
| Security | M4R82T106 | Meeting Type | Annual |
| Ticker Symbol | FVRR | Meeting Date | 20-Jul-2022 |
| ISIN | IL0011582033 | Agenda | 935681090 - Management |
| Record Date | 13-Jun-2022 | Holding Recon Date | 13-Jun-2022 |
| City / Country | / Israel | Vote Deadline Date | 19-Jul-2022 |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | To re-elect as Class III director, to serve
until the Company's annual general meeting
of shareholders in 2025: Micha Kaufman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | To re-elect as Class III director, to serve
until the Company's annual general meeting
of shareholders in 2025: Ron Gutler | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | To re-elect as Class III director, to serve
until the Company's annual general meeting
of shareholders in 2025: Gili Iohan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To amend the Articles of Association of the
Company to provide a forum selection
provision to regulate the forums where
certain claims can be filed against the
Company. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Articles/Bylaws/Charter -- Routine |
| 3. | To re-appoint Kost, Forer, Gabbay &
Kasierer, a member of Ernst & Young
Global, as our independent registered
public accounting firm for the year ending
December 31, 2022, and until the next
annual general meeting of shareholders,
and to authorize the Company's board of
directors (with power of delegation to its
audit committee) to set the fees to be paid
to such auditors. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Auditors and their Remuneration |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 19,767 | 0 | 06-Jul-2022 | 06-Jul-2022 |
| NEOGEN CORPORATION | | | |
| Security | 640491106 | | | Meeting Type | Special | |
| Ticker Symbol | NEOG | | | Meeting Date | 17-Aug-2022 | | |
| ISIN | US6404911066 | | | Agenda | 935691914 - Management | |
| Record Date | 05-Jul-2022 | | | Holding Recon Date | 05-Jul-2022 | | |
| City / Country | | | / | United
States | | | | Vote Deadline Date | 16-Aug-2022 | | |
| | | | | | | | | | | | |
| Item | Proposal | | | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | To approve the issuance of shares of
Neogen common stock (the "Share
Issuance") in connection with the Merger
contemplated by the Agreement and Plan of
Merger (as it may be amended from time to
time, the "Merger Agreement"), dated as of
December 13, 2021, by and among 3M
Company, Garden SpinCo Corporation,
Neogen Corporation ("Neogen") and Nova
RMT Sub, Inc. (the "Share Issuance
Proposal"). | Management | For | | For | For |
| | Enhanced Proposal Category: Issue Shares in Connection with Acquisition |
| 2. | To approve the amendment of Neogen's
Restated Articles of Incorporation, as
amended, to (a) increase the number of
authorized shares of Neogen common
stock from 240,000,000 shares of Neogen
common stock to 315,000,000 shares of
Neogen common stock and (b) increase the
maximum number of directors on the
Neogen board of directors (the "Board")
from nine directors to eleven directors (the
"Charter Amendment Proposal"). | Management | For | | For | For |
| | | Enhanced Proposal Category: Amend Articles/Bylaws/Charter -- Non-Routine |
| 3. | To approve the amendment of Neogen's
bylaws to increase the maximum number of
directors that may comprise the Board from
nine directors to eleven directors (the
"Bylaw Board Size Proposal"). | Management | For | | For | For |
| | | Enhanced Proposal Category: Approve Increase in Size of Board |
| 4. | To approve the amendment of Neogen's
bylaws in order to authorize the Board to
amend the bylaws without obtaining the
prior approval of Neogen's shareholders. | Management | For | | For | For |
| | | Enhanced Proposal Category: Permit Board to Amend Bylaws Without Shareholder Consent |
| 5. | To approve the adjournment of the special
meeting, if necessary, to solicit additional
proxies in the event there are not sufficient
votes at the time of the special meeting to
approve the Share Issuance Proposal, the
Charter Amendment Proposal or the Bylaw
Board Size Proposal. | Management | For | | For | For |
| | | Enhanced Proposal Category: Adjourn Meeting |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 45,255 | 0 | 12-Aug-2022 | 12-Aug-2022 |
| NEOGEN CORPORATION | | | |
| Security | 640491106 | | | Meeting Type | Annual | |
| Ticker Symbol | NEOG | | | Meeting Date | 06-Oct-2022 | | |
| ISIN | US6404911066 | | | Agenda | 935707628 - Management | |
| Record Date | 09-Aug-2022 | | | Holding Recon Date | 09-Aug-2022 | | |
| City /Country | / United
States | | | Vote Deadline Date | 05-Oct-2022 | | |
| SEDOL(s) | | | | Quick Code | | | |
| | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 JOHN E. ADENT | For | For | For |
| | 2 WILLIAM T. BOEHM, PH.D. | For | For | For |
| | 3 JAMES P. TOBIN | For | For | For |
| 2. | TO APPROVE, BY NON-BINDING
ADVISORY VOTE, THE COMPENSATION
OF EXECUTIVES. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | RATIFICATION OF APPOINTMENT OF
BDO USA LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 45,772 | 0 | 14-Sep-2022 | 14-Sep-2022 |
| MICROSOFT CORPORATION | | | |
| Security | 594918104 | | | Meeting Type | Annual | |
| Ticker Symbol | MSFT | | | Meeting Date | 13-Dec-2022 | | |
| ISIN | US5949181045 | | | Agenda | 935722567 - Management | |
| Record Date | 12-Oct-2022 | | | Holding Recon Date | 12-Oct-2022 | | |
| City / | Country | /United
States | | | Vote Deadline Date | 12-Dec-2022 | | |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Reid G. Hoffman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Hugh F. Johnston | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Teri L. List | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Satya Nadella | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Sandra E. Peterson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Penny S. Pritzker | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Carlos A. Rodriguez | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Charles W. Scharf | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: John W. Stanton | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: John W. Thompson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Emma N. Walmsley | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director: Padmasree Warrior | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory vote to approve named executive
officer compensation | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Ratification of the Selection of Deloitte &
Touche LLP as our Independent Auditor for
Fiscal Year 2023 | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 4. | Shareholder Proposal - Cost/Benefit
Analysis of Diversity and Inclusion | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
| 5. | Shareholder Proposal - Report on Hiring of
Persons with Arrest or Incarceration
Records | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Discrimination Miscellaneous |
| 6. | Shareholder Proposal - Report on
Investment of Retirement Funds in
Companies Contributing to Climate Change | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Climate Change |
| 7. | Shareholder Proposal - Report on
Government Use of Microsoft Technology | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Internet Censorship |
| 8. | Shareholder Proposal - Report on
Development of Products for Military | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Weapons - Related |
| 9. | Shareholder Proposal - Report on Tax
Transparency | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 53,711 | 0 | 06-Dec-2022 | 06-Dec-2022 |
| GUIDEWIRE SOFTWARE, INC. | | | |
| Security | 40171V100 | | | Meeting Type | Annual | |
| Ticker Symbol | GWRE | | | Meeting Date | 20-Dec-2022 | | |
| ISIN | US40171V1008 | | | Agenda | 935730514 - Management | |
| Record Date | 24-Oct-2022 | | | Holding Recon Date | 24-Oct-2022 | | |
| City / Country | / | United
States | | | Vote Deadline Date | 19-Dec-2022 | | |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director for a one-year term
expiring at the 2023 annual meeting:
Marcus S. Ryu | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director for a one-year term
expiring at the 2023 annual meeting: Paul
Lavin | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director for a one-year term
expiring at the 2023 annual meeting: Mike
Rosenbaum | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director for a one-year term
expiring at the 2023 annual meeting: David
S. Bauer | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director for a one-year term
expiring at the 2023 annual meeting:
Margaret Dillon | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director for a one-year term
expiring at the 2023 annual meeting:
Michael C. Keller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director for a one-year term
expiring at the 2023 annual meeting:
Catherine P. Lego | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director for a one-year term
expiring at the 2023 annual meeting: Rajani
Ramanathan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To ratify the appointment of KPMG LLP as
our independent registered public
accounting firm for the fiscal year ending
July 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, on a non-binding, advisory
basis, the compensation of our named
executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To approve the amendment and
restatement of our certificate of
incorporation to permit stockholders holding
20% of our outstanding common stock to
call special meetings. | Management | For | For | For |
| | Enhanced Proposal Category: Provide Right to Call Special Meeting |
| 5. | To approve the amendment and
restatement of our certificate of
incorporation to permit the exculpation of
officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
| 6. | To approve the amendment and
restatement of the Guidewire Software, Inc.
2020 Stock Plan. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 24,604 | 0 | 16-Dec-2022 | 16-Dec-2022 |
| VISA INC. | | | |
| Security | 92826C839 | | | Meeting Type | Annual | |
| Ticker Symbol | V | | | Meeting Date | 24-Jan-2023 | | |
| ISIN | US92826C8394 | | | Agenda | 935745779 - Management | |
| Record Date | 25-Nov-2022 | | | Holding Recon Date | 25-Nov-2022 | | |
| City / | Country | / United
States | | | Vote Deadline Date | 23-Jan-2023 | | |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Kermit R. Crawford | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Francisco Javier
Fernández-Carbajal | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Ramon Laguarta | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Teri L. List | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: John F. Lundgren | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Denise M. Morrison | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Linda J. Rendle | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To approve, on an advisory basis, the
compensation paid to our named executive
officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To hold an advisory vote on the frequency
of future advisory votes to approve
executive compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | To ratify the appointment of KPMG LLP as
our independent registered public
accounting firm for fiscal year 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 5. | To vote on a stockholder proposal
requesting an independent board chair
policy. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Require Independent Board Chairman |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 17,796 | 0 | 12-Jan-2023 | 12-Jan-2023 |
| ANALOG DEVICES, INC. | | | |
| Security | 032654105 | | | Meeting Type | Annual | |
| Ticker Symbol | ADI | | | Meeting Date | 08-Mar-2023 | | |
| ISIN | US0326541051 | | | Agenda | 935758740 - Management | |
| Record Date | 03-Jan-2023 | | | Holding Recon Date | 03-Jan-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 07-Mar-2023 | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Vincent Roche | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: James A. Champy | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: André Andonian | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Anantha P.
Chandrakasan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Edward H. Frank | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Laurie H. Glimcher | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Karen M. Golz | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Mercedes Johnson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Kenton J. Sicchitano | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Ray Stata | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Susie Wee | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory vote to approve the compensation
of our named executive officers. | Management | Against | For | Against |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Advisory vote on the frequency of future
advisory votes on the compensation of our
named executive officers. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratification of the selection of Ernst &
Young LLP as our independent registered
public accounting firm for fiscal year 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 36,947 | 0 | 16-Feb-2023 | 16-Feb-2023 |
| RITCHIE BROS. AUCTIONEERS INCORPORATED | | | |
| Security | 767744105 | | | Meeting Type | Contested-Special | |
| Ticker Symbol | RBA | | | Meeting Date | 14-Mar-2023 | | |
| ISIN | CA7677441056 | | | Agenda | 935766759 - Management | |
| Record Date | 25-Jan-2023 | | | Holding Recon Date | 25-Jan-2023 | | |
| City / | Country | / | Canada | | | Vote Deadline Date | 09-Mar-2023 | | |
| | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | Approval of the issuance of common shares
of Ritchie Bros. Auctioneers Incorporated, a
company organized under the federal laws
of Canada ("RBA"), to securityholders of
IAA, Inc., a Delaware corporation ("IAA"), in
connection with the Agreement and Plan of
Merger and Reorganization, dated as of
November 7, 2022, as amended by that
certain Amendment to the Agreement and
Plan of Merger and Reorganization, dated
as of January 22, 2023, and as it may be
further amended or modified from time to
time. | Management | For | For | For |
| | Enhanced Proposal Category: Issue Shares in Connection with Acquisition |
| 2. | Approval of the adjournment of the RBA
special meeting, if necessary or
appropriate, to solicit additional proxies if
there are insufficient votes at the time of the
RBA special meeting to approve the RBA
share issuance proposal. | Management | For | For | For |
| | Enhanced Proposal Category: Adjourn Meeting |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 106,280 | 0 | 06-Mar-2023 | 06-Mar-2023 |
| RITCHIE BROS. AUCTIONEERS INCORPORATED | | | |
| Security | 767744105 | | | | | | Meeting Type | Contested-Special | |
| Ticker Symbol | RBA | | | | | | Meeting Date | 14-Mar-2023 | | |
| ISIN | CA7677441056 | | | | | | Agenda | 935766761 - Opposition | |
| Record Date | 25-Jan-2023 | | | | | | Holding Recon Date | 25-Jan-2023 | | |
| City / | Country | | | / | Canada | | | | | Vote Deadline Date | 09-Mar-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | The Company's proposal to approve the
issuance of common shares of Ritchie Bros.
Auctioneers Inc., a company organized
under the federal laws of Canada ("RBA") to
securityholders of IAA, Inc., a Delaware
Corp. ("IAA") in connection with the
Agreement and Plan of Merger and reorg,
as amended by that certain Amendment to
the Agreement and Plan of Merger and
reorg, and as it may be further amended or
modified from time to time. | Management | | Against | |
| | Enhanced Proposal Category: Issue Shares in Connection with Acquisition |
| 2. | The Company's proposal to approve the
adjournment of the RBA Special Meeting, if
necessary or appropriate, to solicit
additional proxies if there are insufficient
votes at the time of the RBA Special
Meeting to approve the Share Issuance
Proposal (the "Adjournment Proposal"). | Management | | Against | |
| | Enhanced Proposal Category: Adjourn Meeting |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 106,280 | 0 | | |
| HEICO CORPORATION | | | |
| Security | 422806109 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | HEI | | | | | | Meeting Date | 17-Mar-2023 | | |
| ISIN | US4228061093 | | | | | | Agenda | 935761406 - Management | |
| Record Date | 20-Jan-2023 | | | | | | Holding Recon Date | 20-Jan-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 16-Mar-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 Thomas M. Culligan | For | For | For |
| | 2 Carol F. Fine | For | For | For |
| | 3 Adolfo Henriques | For | For | For |
| | 4 Mark H. Hildebrandt | For | For | For |
| | 5 Eric A. Mendelson | For | For | For |
| | 6 Laurans A. Mendelson | For | For | For |
| | 7 Victor H. Mendelson | For | For | For |
| | 8 Julie Neitzel | For | For | For |
| | 9 Dr. Alan Schriesheim | For | For | For |
| | 10 Frank J. Schwitter | For | For | For |
| 2. | ADVISORY APPROVAL OF THE
COMPANY'S EXECUTIVE
COMPENSATION. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | ADVISORY VOTE ON THE FREQUENCY
OF HOLDING FUTURE ADVISORY
VOTES ON EXECUTIVE
COMPENSATION. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | RATIFICATION OF THE APPOINTMENT
OF DELOITTE & TOUCHE LLP AS THE
COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING
OCTOBER 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 50,607 | 0 | 02-Mar-2023 | 02-Mar-2023 |
| STARBUCKS CORPORATION | | | |
| Security | 855244109 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | SBUX | | | | | | Meeting Date | 23-Mar-2023 | | |
| ISIN | US8552441094 | | | | | | Agenda | 935762193 - Management | |
| Record Date | 13-Jan-2023 | | | | | | Holding Recon Date | 13-Jan-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Mar-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Richard E. Allison, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Andrew Campion | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Beth Ford | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Mellody Hobson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Jørgen Vig Knudstorp | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Satya Nadella | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Laxman Narasimhan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Howard Schultz | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Approval, on a nonbinding basis, of the
compensation paid to our named executive
officers | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Approval, on a nonbinding basis, of the
frequency of future advisory votes on
executive compensation | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratify the selection of Deloitte & Touche
LLP as our independent registered public
accounting firm for fiscal 2023 | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 5. | Report on Plant-Based Milk Pricing | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Community -Environmental Impact |
| 6. | CEO Succession Planning Policy
Amendment | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Adopt Policy on Succession Planning. |
| 7. | Annual Reports on Company Operations in
China | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Operations in High Risk Countries |
| 8. | Assessment of Worker Rights
Commitments | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Improve Human Rights Standards or Policies |
| 9. | Creation of Board Committee on Corporate
Sustainability | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 44,915 | 0 | 21-Mar-2023 | 21-Mar-2023 |
| OAK STREET HEALTH, INC. | | | |
| Security | 67181A107 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | OSH | | | | | | Meeting Date | 29-Mar-2023 | | |
| ISIN | US67181A1079 | | | | | | Agenda | 935783705 - Management | |
| Record Date | 07-Mar-2023 | | | | | | Holding Recon Date | 07-Mar-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Mar-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Director: Dr. Regina Benjamin | Management | | For | |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Director: Cheryl Dorsey | Management | | For | |
| | Enhanced Proposal Category: Elect Director |
| 1.3 | Election of Director: Julie Klapstein | Management | | For | |
| | Enhanced Proposal Category: Elect Director |
| 1.4 | Election of Director: Geoffrey Price | Management | | For | |
| | Enhanced Proposal Category: Elect Director |
| 2. | To ratify the appointment of Ernst & Young
LLP as Oak Street Health, Inc.'s
independent registered public accounting
firm for the year ending December 31,
2023. | Management | | For | |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, by an advisory vote, the
compensation of Oak Street Health, Inc.'s
named executive officers, as disclosed in
the proxy statement. | Management | | For | |
| | Enhanced Proposal Category: Approve Remuneration Report |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 70,868 | 0 | | |
| GLOBANT S.A. | | | |
| Security | L44385109 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | GLOB | | | | | | Meeting Date | 19-Apr-2023 | | |
| ISIN | LU0974299876 | | | | | | Agenda | 935794974 - Management | |
| Record Date | 14-Mar-2023 | | | | | | Holding Recon Date | 14-Mar-2023 | | |
| City / | Country | | | / | Luxembourg | | | | | Vote Deadline Date | 18-Apr-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 2. | Approval of the consolidated accounts of
the Company prepared under EU IFRS and
IFRS as of and for the financial year ended
December 31, 2022. | Management | For | For | For |
| | Enhanced Proposal Category: Accept Consolidated Financial Statements/Statutory Reports |
| 3. | Approval of the Company's annual accounts
under LUX GAAP as of and for the financial
year ended December 31, 2022. | Management | For | For | For |
| | Enhanced Proposal Category: Accept Financial Statements and Statutory Reports |
| 4. | Allocation of results for the financial year
ended December 31, 2022. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Allocation of Income and Dividends |
| 5. | Vote on discharge (quitus) of the members
of the Board of Directors for the proper
exercise of their mandate during the
financial year ended December 31, 2022. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Discharge of Board and President |
| 6. | Approval of the cash and share based
compensation payable to the non-executive
members of the Board of Directors for the
financial year ending on December 31,
2023. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration of Directors and/or Committee Members |
| 7. | Appointment of PricewaterhouseCoopers,
Société coopérative, as independent auditor
for the annual accounts and the EU IFRS
consolidated accounts of the Company for
the financial year ending on December 31,
2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 8. | Appointment of Price Waterhouse & Co.
S.R.L. as independent auditor for the IFRS
consolidated accounts of the Company for
the financial year ending on December 31,
2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 9. | Re-appointment of Mrs. Linda Rottenberg
as member of the Board of Directors for a
term ending on the date of the Annual
General Meeting of Shareholders of the
Company to be held in 2026. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 10. | Re-appointment of Mr. Martín Umaran as
member of the Board of Directors for a term
ending on the date of the Annual General
Meeting of Shareholders of the Company to
be held in 2026. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 11. | Re-appointment of Mr. Guibert Englebienne
as member of the Board of Directors for a
term ending on the date of the Annual
General Meeting of Shareholders of the
Company to be held in 2026. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| E1. | Approval of the increase in the authorized
capital of the Company and subsequent
amendments to the Articles of Association. | Management | For | For | For |
| | Enhanced Proposal Category: Increase Authorized Common Stock |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 39,612 | 0 | 14-Apr-2023 | 14-Apr-2023 |
| FASTENAL COMPANY | | | |
| Security | 311900104 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | FAST | | | | | | Meeting Date | 22-Apr-2023 | | |
| ISIN | US3119001044 | | | | | | Agenda | 935770669 - Management | |
| Record Date | 22-Feb-2023 | | | | | | Holding Recon Date | 22-Feb-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Scott A. Satterlee | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Michael J. Ancius | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Stephen L. Eastman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Daniel L. Florness | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Rita J. Heise | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Hsenghung Sam Hsu | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Daniel L. Johnson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Nicholas J. Lundquist | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Sarah N. Nielsen | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Reyne K. Wisecup | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of the appointment of KPMG
LLP as independent registered public
accounting firm for the 2023 fiscal year. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Approval, by non-binding vote, of executive
compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Approval, by non-binding vote, of the
frequency of future executive compensation
votes. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 126,155 | 0 | 13-Apr-2023 | 13-Apr-2023 |
| WEST PHARMACEUTICAL SERVICES, INC. | | | |
| Security | 955306105 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | WST | | | | | | Meeting Date | 25-Apr-2023 | | |
| ISIN | US9553061055 | | | | | | Agenda | 935779453 - Management | |
| Record Date | 03-Mar-2023 | | | | | | Holding Recon Date | 03-Mar-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Apr-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Mark A. Buthman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: William F. Feehery | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Robert F. Friel | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Eric M. Green | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Thomas W. Hofmann | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Molly E. Joseph | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Deborah L. V. Keller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Myla P. Lai-Goldman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Stephen H. Lockhart | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Douglas A. Michels | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Paolo Pucci | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory vote to approve named executive
officer compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To ratify the appointment of
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 4. | Advisory vote on the frequency of an
advisory vote on executive compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | Shareholder proposal regarding Fair
Elections. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Amend Articles/Bylaws/Charter -- Non-Routine |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 23,464 | 0 | 14-Apr-2023 | 14-Apr-2023 |
| ROLLINS, INC. | | | |
| Security | 775711104 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | ROL | | | | | | Meeting Date | 25-Apr-2023 | | |
| ISIN | US7757111049 | | | | | | Agenda | 935779566 - Management | |
| Record Date | 01-Mar-2023 | | | | | | Holding Recon Date | 01-Mar-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Apr-2023 | | |
| SEDOL(s) | | | | | | Quick Code | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Class I Director for a three-year
term expiring in 2026: Jerry E. Gahlhoff | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Class I Director for a three-year
term expiring in 2026: Patrick J. Gunning | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.3 | Election of Class I Director for a three-year
term expiring in 2026: Gregory B. Morrison | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.4 | Election of Class I Director for a three-year
term expiring in 2026: Jerry W. Nix | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.5 | Election of Class II Director for a one-year
term expiring in 2024: P. Russell Hardin | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To hold an advisory (non-binding) vote to
approve the compensation of the
Company's named executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To hold an advisory (non-binding) vote on
the frequency of future stockholder advisory
votes to approve the compensation paid to
the Company's named executive officers | Management | 1 Year | 3 Years | Against |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| | | | | | | | | | | | | |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 157,249 | 0 | 14-Apr-2023 | 14-Apr-2023 |
| OAK STREET HEALTH, INC. | | | |
| Security | 67181A107 | | | | | | Meeting Type | Special | |
| Ticker Symbol | OSH | | | | | | Meeting Date | 28-Apr-2023 | | |
| ISIN | US67181A1079 | | | | | | Agenda | 935811326 - Management | |
| Record Date | 20-Mar-2023 | | | | | | Holding Recon Date | 20-Mar-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | To adopt the Agreement and Plan of
Merger, dated as of February 7, 2023 (as it
may be amended from time to time, the
"Merger Agreement"), by and among Oak
Street Health, Inc., CVS Pharmacy, Inc.,
Halo Merger Sub Corp., a wholly owned
subsidiary of CVS Pharmacy, Inc., and,
solely for the limited purposes set forth
therein, CVS Health Corporation, pursuant
to which Halo Merger Sub Corp. will merge
with and into Oak Street Health, Inc., with
Oak Street Health, Inc. continuing as the
surviving corporation and wholly owned
subsidiary of CVS Pharmacy, Inc (the
"Merger"). | Management | For | For | For |
| | Enhanced Proposal Category: Approve Merger Agreement |
| 2. | To approve, on an advisory, non-binding
basis, the compensation that may be paid
or may become payable to the named
executive officers of Oak Street Health in
connection with the Merger. | Management | Against | For | Against |
| | Enhanced Proposal Category: Advisory Vote on Golden Parachutes |
| 3. | To adjourn the Special Meeting to a later
date or dates, if necessary or appropriate,
to solicit additional proxies if there are
insufficient votes to adopt the Merger
Agreement at the time of the Special
Meeting. | Management | For | For | For |
| | Enhanced Proposal Category: Adjourn Meeting |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 70,868 | 0 | 18-Apr-2023 | 18-Apr-2023 |
| PAYCOM SOFTWARE, INC. | | | |
| Security | 70432V102 | | | | | | Meeting Type | Annual | |
| Ticker Symbol | PAYC | | | | | | Meeting Date | 01-May-2023 | | |
| ISIN | US70432V1026 | | | | | | Agenda | 935812227 - Management | |
| Record Date | 15-Mar-2023 | | | | | | Holding Recon Date | 15-Mar-2023 | | |
| City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Apr-2023 | | |
| | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Class I director: Sharen J.
Turney | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Class I director: J.C. Watts, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of the appointment of Grant
Thornton LLP as the Company's
independent registered public accounting
firm for the year ending December 31,
2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Advisory approval of the compensation of
the Company's named executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Approval of the Paycom Software, Inc. 2023
Long-Term Incentive Plan. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Omnibus Stock Plan |
| 5. | Approval of an amendment to the
Company's Amended and Restated
Certificate of Incorporation to limit the
liability of certain officers of the Company. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
| 6. | Stockholder proposal to adopt a majority
vote standard in uncontested director
elections, if properly presented at the
Annual Meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Require a Majority Vote for the Election of Directors |
| | | | | | | | | | | | | | | | | |
Account
Number | Account Name | | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 19,441 | 0 | 17-Apr-2023 | 17-Apr-2023 |
| S&P GLOBAL INC. | | | |
| Security | 78409V104 | | | | | Meeting Type | Annual | | |
| Ticker Symbol | SPGI | | | | | Meeting Date | 03-May-2023 | | |
| ISIN | US78409V1044 | | | | | Agenda | 935790445 - Management | | |
| Record Date | 13-Mar-2023 | | | | | Holding Recon Date | 13-Mar-2023 | | |
| City / | Country | / | United
States | | | | Vote Deadline Date | 02-May-2023 | | |
SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1A. | Election of Director: Marco Alverà | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1B. | Election of Director: Jacques Esculier | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1C. | Election of Director: Gay Huey Evans | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1D. | Election of Director: William D. Green | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1E. | Election of Director: Stephanie C. Hill | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1F. | Election of Director: Rebecca Jacoby | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1G. | Election of Director: Robert P. Kelly | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1H. | Election of Director: Ian P. Livingston | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1I. | Election of Director: Deborah D.
McWhinney | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1J. | Election of Director: Maria R. Morris | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1K. | Election of Director: Douglas L. Peterson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1L. | Election of Director: Richard E. Thornburgh | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1M. | Election of Director: Gregory Washington | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Approve, on an advisory basis, the
executive compensation program for the
Company's named executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Approve, on an advisory basis, the
frequency on which the Company conducts
an advisory vote on the executive
compensation program for the Company's
named executive officers. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratify the appointment of Ernst & Young
LLP as the Company's independent auditor
for 2023; | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 16,240 | | | 0 | | 28-Apr-2023 | 28-Apr-2023 |
| ECOLAB INC. | | | | | |
| Security | 278865100 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | ECL | | | | | | | | | | Meeting Date | | 04-May-2023 | | | |
| ISIN | US2788651006 | | | | | | | | | | Agenda | | 935783298 - Management | | |
| Record Date | 07-Mar-2023 | | | | | | | | | | Holding Recon Date | | 07-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 03-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Shari L. Ballard | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Barbara J. Beck | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Christophe Beck | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Jeffrey M. Ettinger | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Eric M. Green | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Arthur J. Higgins | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Michael Larson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: David W. MacLennan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Tracy B. McKibben | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Lionel L. Nowell III | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Victoria J. Reich | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director: Suzanne M. Vautrinot | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1m. | Election of Director: John J. Zillmer | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratify the appointment of
PricewaterhouseCoopers LLP as Ecolab's
independent registered public accounting
firm for the current year ending December
31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Approve the Ecolab Inc. 2023 Stock
Incentive Plan. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Omnibus Stock Plan |
| 4. | Approve an Amendment to the Ecolab Inc.
Stock Purchase Plan. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Non-Qualified Employee Stock Purchase Plan |
| 5. | Approve, on an advisory basis, the
compensation of our named executive
officers disclosed in the Proxy Statement. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 6. | Vote, on an advisory basis, on the
frequency of future stockholder advisory
votes to approve named executive officer
compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 7. | Vote on a stockholder proposal regarding
an independent board chair policy, if
properly presented. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Require Independent Board Chairman |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 18,594 | | | 0 | | 26-Apr-2023 | 26-Apr-2023 |
| RITCHIE BROS. AUCTIONEERS INCORPORATED | | | | | |
| Security | 767744105 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | RBA | | | | | | | | | | Meeting Date | | 08-May-2023 | | | |
| ISIN | CA7677441056 | | | | | | | | | | Agenda | | 935828458 - Management | | |
| Record Date | 05-Apr-2023 | | | | | | | | | | Holding Recon Date | | 05-Apr-2023 | | | |
| City / | Country | | | / | Canada | | | | | | Vote Deadline Date | | 03-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| | | | | | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Erik Olsson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Ann Fandozzi | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Brian Bales | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: William Breslin | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Adam DeWitt | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Robert G. Elton | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Lisa Hook | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Timothy O'Day | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Sarah Raiss | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Michael Sieger | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Jeffrey C. Smith | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director: Carol M. Stephenson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Appointment of Ernst & Young LLP as
auditors of the Company until the next
annual meeting of the Company and
authorizing the Audit Committee to fix their
remuneration. Please note: Voting option
'Against' = 'Withhold' | Management | For | For | For |
| | Enhanced Proposal Category: Approve Auditors and their Remuneration |
| 3. | Approval, on an advisory basis, of a non-
binding resolution accepting the Company's
approach to executive compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To consider and, if deemed advisable, to
pass, with or without variation, an ordinary
resolution approving the Company's Share
Incentive Plan, the full text of which
resolution is set out in the accompanying
proxy statement. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Omnibus Stock Plan |
| 5. | To consider and, if deemed advisable, to
pass, with or without variation, an ordinary
resolution approving the Company's
Employee Stock Purchase Plan, the full text
of which resolution is set out in the
accompanying proxy statement. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Qualified Employee Stock Purchase Plan |
| 6. | To consider and, if deemed advisable, to
pass, with or without variation, a special
resolution authorizing the Company to
amend its articles to change its name to
"RB Global, Inc." or such other name as is
acceptable to the Company and applicable
regulatory authorities, the full text of which
resolution is set out in the accompanying
proxy statement. | Management | For | For | For |
| | Enhanced Proposal Category: Change Company Name |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 105,843 | | | 0 | | 20-Apr-2023 | 20-Apr-2023 |
| DANAHER CORPORATION | | | | | |
| Security | 235851102 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | DHR | | | | | | | | | | Meeting Date | | 09-May-2023 | | | |
| ISIN | US2358511028 | | | | | | | | | | Agenda | | 935795510 - Management | | |
| Record Date | 10-Mar-2023 | | | | | | | | | | Holding Recon Date | | 10-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 08-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Rainer M. Blair | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Feroz Dewan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Linda Filler | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders: Teri
List | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Walter G. Lohr, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Jessica L. Mega, MD, MPH | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Mitchell P. Rales | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Steven M. Rales | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Pardis C. Sabeti, MD, D. PHIL | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders: A.
Shane Sanders | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders: John
T. Schwieters | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders: Alan
G. Spoon | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1m. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders:
Raymond C. Stevens, Ph.D | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1n. | Election of Director to hold office until the
2024 Annual Meeting of Shareholders: Elias
A. Zerhouni, MD | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To ratify the selection of Ernst & Young LLP
as Danaher's independent registered public
accounting firm for the year ending
December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve on an advisory basis the
Company's named executive officer
compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To hold an advisory vote relating to the
frequency of future shareholder advisory
votes on the Company's executive officer
compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | To act upon a shareholder proposal
requesting adoption of a policy separating
the chair and CEO roles and requiring an
independent Board Chair whenever
possible. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Require Independent Board Chairman |
| 6. | To act upon a shareholder proposal
requesting a report to shareholders on the
effectiveness of the Company's diversity,
equity and inclusion efforts. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Report on EEO |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 26,316 | | | 0 | | 03-May-2023 | 03-May-2023 |
| CHARLES RIVER LABORATORIES INTL., INC. | | | | | |
| Security | 159864107 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | CRL | | | | | | | | | | Meeting Date | | 09-May-2023 | | | |
| ISIN | US1598641074 | | | | | | | | | | Agenda | | 935808999 - Management | | |
| Record Date | 16-Mar-2023 | | | | | | | | | | Holding Recon Date | | 16-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 08-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: James C. Foster | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Nancy C. Andrews | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Robert Bertolini | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Deborah T. Kochevar | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: George Llado, Sr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Martin W. Mackay | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: George E. Massaro | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: C. Richard Reese | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Craig B. Thompson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Richard F. Wallman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Virginia M. Wilson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory Approval of 2022 Executive Officer
Compensation | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Advisory Vote on the Frequency of Future
Advisory Votes on Executive Compensation | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratification of PricewaterhouseCoopers
LLC as independent registered public
accounting firm for 2023 | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 5. | Proposal to publish a report on non-human
primates imported by Charles River
Laboratories International, Inc. | Management | Against | Against | For |
| | Enhanced Proposal Category: Animal Welfare |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 7,696 | | | 0 | | 03-May-2023 | 03-May-2023 |
| BLACKLINE, INC. | | | | | |
| Security | 09239B109 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | BL | | | | | | | | | | Meeting Date | | 10-May-2023 | | | |
| ISIN | US09239B1098 | | | | | | | | | | Agenda | | 935791574 - Management | | |
| Record Date | 17-Mar-2023 | | | | | | | | | | Holding Recon Date | | 17-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 09-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 Therese Tucker | For | For | For |
| | 2 Thomas Unterman | For | For | For |
| | 3 Amit Yoran | For | For | For |
| 2. | To ratify the appointment of
PricewaterhouseCoopers LLP ("PwC") as
the Company's independent registered
public accounting firm for its fiscal year
ending December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Approval, on a non-binding, advisory basis,
of the 2022 compensation of the Company's
named executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 49,826 | | | 0 | | 09-May-2023 | 09-May-2023 |
| TYLER TECHNOLOGIES, INC. | | | | | |
| Security | 902252105 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | TYL | | | | | | | | | | Meeting Date | | 11-May-2023 | | | |
| ISIN | US9022521051 | | | | | | | | | | Agenda | | 935823763 - Management | | |
| Record Date | 17-Mar-2023 | | | | | | | | | | Holding Recon Date | | 17-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 10-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 Glenn A. Carter | For | For | For |
| | 2 Brenda A. Cline | For | For | For |
| | 3 Ronnie D. Hawkins, Jr. | For | For | For |
| | 4 Mary L. Landrieu | For | For | For |
| | 5 John S. Marr, Jr. | For | For | For |
| | 6 H. Lynn Moore, Jr. | For | For | For |
| | 7 Daniel M. Pope | For | For | For |
| | 8 Dustin R. Womble | For | For | For |
| 2. | Advisory Approval of Our Executive
Compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Ratification of Our Independent Auditors for
Fiscal Year 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 4. | Advisory Resolution on the Frequency of
Shareholder Voting on Our Executive
Compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 17,676 | | | 0 | | 08-May-2023 | 08-May-2023 |
| ANSYS, INC. | | | | | |
| Security | 03662Q105 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | ANSS | | | | | | | | | | Meeting Date | | 12-May-2023 | | | |
| ISIN | US03662Q1058 | | | | | | | | | | Agenda | | 935799621 - Management | | |
| Record Date | 14-Mar-2023 | | | | | | | | | | Holding Recon Date | | 14-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 11-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Class III Director for Three-Year
Terms: Robert M. Calderoni | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Class III Director for Three-Year
Terms: Glenda M. Dorchak | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Class III Director for Three-Year
Terms: Ajei S. Gopal | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of the Selection of Deloitte &
Touche LLP as the Company's Independent
Registered Public Accounting Firm for
Fiscal Year 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Advisory Approval of the Compensation of
Our Named Executive Officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Advisory Approval of the Frequency of the
Advisory Approval of the Compensation of
Our Named Executive Officers. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | Approval of the Amendment of Article VI of
the Charter to Declassify the Board. | Management | For | For | For |
| | Enhanced Proposal Category: Declassify the Board of Directors |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 16,240 | | | 0 | | 08-May-2023 | 08-May-2023 |
| IDEXX LABORATORIES, INC. | | | | | |
| Security | 45168D104 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | IDXX | | | | | | | | | | Meeting Date | | 17-May-2023 | | | |
| ISIN | US45168D1046 | | | | | | | | | | Agenda | | 935793996 - Management | | |
| Record Date | 20-Mar-2023 | | | | | | | | | | Holding Recon Date | | 20-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 16-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director (Proposal One): Daniel
M. Junius | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director (Proposal One):
Lawrence D. Kingsley | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director (Proposal One): Sophie
V. Vandebroek, PhD | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 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 (Proposal Two). | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Advisory Vote on Executive Compensation.
To approve a nonbinding advisory
resolution on the Company's executive
compensation (Proposal Three). | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Advisory Vote on the Frequency of Advisory
Votes on Executive Compensation. To
recommend, by nonbinding advisory vote,
the frequency of future advisory votes on
the Company's executive compensation
(Proposal Four). | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 10,874 | | | 0 | | 12-May-2023 | 12-May-2023 |
| ZOOMINFO TECHNOLOGIES INC. | | | | | |
| Security | 98980F104 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | ZI | | | | | | | | | | Meeting Date | | 17-May-2023 | | | |
| ISIN | US98980F1049 | | | | | | | | | | Agenda | | 935795560 - Management | | |
| Record Date | 21-Mar-2023 | | | | | | | | | | Holding Recon Date | | 21-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 16-May-2023 | | | |
| SEDOL(s) | | | | | | Quick Code |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 Todd Crockett | For | For | For |
| | 2 Patrick McCarter | For | For | For |
| | 3 D. Randall Winn | For | For | For |
| 2. | To ratify the appointment of KPMG LLP as
our independent registered public
accounting firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, on an advisory, non-binding
basis, the compensation of our named
executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 72,278 | | | 0 | | 15-May-2023 | 15-May-2023 |
| ALIGN TECHNOLOGY, INC. | | | | | |
| Security | 016255101 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | ALGN | | | | | | | | | | Meeting Date | | 17-May-2023 | | | |
| ISIN | US0162551016 | | | | | | | | | | Agenda | | 935802377 - Management | | |
| Record Date | 23-Mar-2023 | | | | | | | | | | Holding Recon Date | | 23-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 16-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Director: Kevin J. Dallas | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Director: Joseph M. Hogan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.3 | Election of Director: Joseph Lacob | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.4 | Election of Director: C. Raymond Larkin, Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.5 | Election of Director: George J. Morrow | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.6 | Election of Director: Anne M. Myong | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.7 | Election of Director: Andrea L. Saia | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.8 | Election of Director: Susan E. Siegel | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | AMENDMENT TO AMENDED AND
RESTATED CERTIFICATE OF
INCORPORATION: Proposal to approve
the amendment to our Amended and
Restated Certificate of Incorporation to
reflect new Delaware law provisions
regarding officer exculpation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
| 3. | ADVISORY VOTE ON NAMED
EXECUTIVES COMPENSATION: Consider
an Advisory Vote to Approve the
Compensation of our Named Executive
Officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | ADVISORY VOTE ON FREQUENCY OF
STOCKHOLDERS' APPROVAL OF
EXECUTIVES COMPENSATION: Consider
an Advisory Vote to Approve the Frequency
of Stockholders Advisory Vote on Named
Executive Officers' Compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | AMENDMENT TO INCENTIVE PLAN:
Approve the Amendment to our 2005
Incentive Plan. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| 6. | 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,
2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 11,980 | | | 0 | | 12-May-2023 | 12-May-2023 |
| VERISK ANALYTICS, INC. | | | | | |
| Security | 92345Y106 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | VRSK | | | | | | | | | | Meeting Date | | 17-May-2023 | | | |
| ISIN | US92345Y1064 | | | | | | | | | | Agenda | | 935809458 - Management | | |
| Record Date | 20-Mar-2023 | | | | | | | | | | Holding Recon Date | | 20-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 16-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Vincent K. Brooks | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Jeffrey Dailey | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Wendy Lane | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Lee M. Shavel | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Kimberly S. Stevenson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Olumide Soroye | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To approve executive compensation on an
advisory, non-binding basis. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To recommend the frequency of executive
compensation votes on an advisory, non-
binding basis. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | To ratify the appointment of Deloitte &
Touche LLP as our independent auditor for
the 2023 fiscal year. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 31,044 | | | 0 | | 15-May-2023 | 15-May-2023 |
| THE ENSIGN GROUP, INC. | | | | | |
| Security | 29358P101 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | ENSG | | | | | | | | | | Meeting Date | | 18-May-2023 | | | |
| ISIN | US29358P1012 | | | | | | | | | | Agenda | | 935810944 - Management | | |
| Record Date | 23-Mar-2023 | | | | | | | | | | Holding Recon Date | | 23-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 17-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | ELECTION OF CLASS I DIRECTOR FOR
A THREE-YEAR TERM: Mr. Barry M. Smith | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | ELECTION OF CLASS I DIRECTOR FOR
A THREE-YEAR TERM: Ms. Swati B.
Abbott | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | ELECTION OF CLASS I DIRECTOR FOR
A THREE-YEAR TERM: Ms. Suzanne D.
Snapper | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | ELECTION OF CLASS III DIRECTOR FOR
A TWO-YEAR TERM: Dr. John O.
Agwunobi | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Approval of the amendment to the
Certificate of Incorporation to increase the
authorized common shares to 150 million. | Management | For | For | For |
| | Enhanced Proposal Category: Increase Authorized Common Stock |
| 3. | Approval of the amendment to the
Certificate of Incorporation to reflect new
Delaware law provisions regarding officer
exculpation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
| 4. | Ratification of appointment of Deloitte &
Touche LLP as independent registered
public accounting firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 5. | Approval, on an advisory basis, of our
named executive officers' compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 6. | Approval, on an advisory basis, on the
frequency of advisory votes on executive
officers' compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 29,664 | | | 0 | | 13-May-2023 | 13-May-2023 |
| CERTARA, INC. | | | | | |
| Security | 15687V109 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | CERT | | | | | | | | | | Meeting Date | | 23-May-2023 | | | |
| ISIN | US15687V1098 | | | | | | | | | | Agenda | | 935815134 - Management | | |
| Record Date | 28-Mar-2023 | | | | | | | | | | Holding Recon Date | | 28-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 22-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Class III Director to hold office
until the 2026 Annual Meeting: William
Feehery | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Class III Director to hold office
until the 2026 Annual Meeting: Rosemary
Crane | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Class III Director to hold office
until the 2026 Annual Meeting: Stephen
McLean | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of the selection of RSM US LLP
as our independent registered public
accounting firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | A non-binding advisory vote to approve the
compensation of our named executive
officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 118,882 | | | 0 | | 17-May-2023 | 17-May-2023 |
| AMAZON.COM, INC. | | | | | |
| Security | 023135106 | | | | | | | | | | Meeting Type | | Annual | | |
| Ticker Symbol | AMZN | | | | | | | | | | Meeting Date | | 24-May-2023 | | | |
| ISIN | US0231351067 | | | | | | | | | | Agenda | | 935825452 - Management | | |
| Record Date | 30-Mar-2023 | | | | | | | | | | Holding Recon Date | | 30-Mar-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 23-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Andrew R. Jassy | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Keith B. Alexander | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Edith W. Cooper | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Jamie S. Gorelick | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Daniel P. Huttenlocher | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Judith A. McGrath | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Indra K. Nooyi | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Jonathan J. Rubinstein | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Patricia Q. Stonesifer | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Wendell P. Weeks | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | RATIFICATION OF THE APPOINTMENT
OF ERNST & YOUNG LLP AS
INDEPENDENT AUDITORS | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | ADVISORY VOTE TO APPROVE
EXECUTIVE COMPENSATION | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | ADVISORY VOTE ON THE FREQUENCY
OF FUTURE ADVISORY VOTES ON
EXECUTIVE COMPENSATION | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | REAPPROVAL OF OUR 1997 STOCK
INCENTIVE PLAN, AS AMENDED AND
RESTATED, FOR PURPOSES OF
FRENCH TAX LAW | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| 6. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
RETIREMENT PLAN OPTIONS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Climate Change |
| 7. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
CUSTOMER DUE DILIGENCE | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Human Rights Risk Assessment |
| 8. | SHAREHOLDER PROPOSAL
REQUESTING REPORTING ON
CONTENT AND PRODUCT
REMOVAL/RESTRICTIONS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 9. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON CONTENT
REMOVAL REQUESTS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
| 10. | SHAREHOLDER PROPOSAL
REQUESTING ADDITIONAL REPORTING
ON STAKEHOLDER IMPACTS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Climate Change |
| 11. | SHAREHOLDER PROPOSAL
REQUESTING ALTERNATIVE TAX
REPORTING | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 12. | SHAREHOLDER PROPOSAL
REQUESTING ADDITIONAL REPORTING
ON CLIMATE LOBBYING | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 13. | SHAREHOLDER PROPOSAL
REQUESTING ADDITIONAL REPORTING
ON GENDER/RACIAL PAY | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Gender Pay Gap |
| 14. | SHAREHOLDER PROPOSAL
REQUESTING AN ANALYSIS OF COSTS
ASSOCIATED WITH DIVERSITY, EQUITY,
AND INCLUSION PROGRAMS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
| 15. | SHAREHOLDER PROPOSAL
REQUESTING AN AMENDMENT TO OUR
BYLAWS TO REQUIRE SHAREHOLDER
APPROVAL FOR CERTAIN FUTURE
AMENDMENTS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Amend Articles Board-Related |
| 16. | SHAREHOLDER PROPOSAL
REQUESTING ADDITIONAL REPORTING
ON FREEDOM OF ASSOCIATION | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Improve Human Rights Standards or Policies |
| 17. | SHAREHOLDER PROPOSAL
REQUESTING A NEW POLICY
REGARDING OUR EXECUTIVE
COMPENSATION PROCESS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Report on Pay Disparity |
| 18. | SHAREHOLDER PROPOSAL
REQUESTING ADDITIONAL REPORTING
ON ANIMAL WELFARE STANDARDS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Animal Welfare |
| 19. | SHAREHOLDER PROPOSAL
REQUESTING AN ADDITIONAL BOARD
COMMITTEE | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Establish Environmental/Social Issue Board Committee |
| 20. | SHAREHOLDER PROPOSAL
REQUESTING AN ALTERNATIVE
DIRECTOR CANDIDATE POLICY | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Company-Specific Board-Related |
| 21. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
WAREHOUSE WORKING CONDITIONS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Facility Safety |
| 22. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
PACKAGING MATERIALS | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Recycling |
| 23. | SHAREHOLDER PROPOSAL
REQUESTING A REPORT ON
CUSTOMER USE OF CERTAIN
TECHNOLOGIES | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Human Rights Risk Assessment |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 65,945 | | | 0 | | 21-May-2023 | 21-May-2023 |
| ILLUMINA, INC. | | | | | |
| Security | 452327109 | | | | | | | | | | Meeting Type | | Contested-Annual | | |
| Ticker Symbol | ILMN | | | | | | | | | | Meeting Date | | 25-May-2023 | | | |
| ISIN | US4523271090 | | | | | | | | | | Agenda | | 935842977 - Management | | |
| Record Date | 03-Apr-2023 | | | | | | | | | | Holding Recon Date | | 03-Apr-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 24-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1A. | Illumina Nominee: Frances Arnold, Ph.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1B. | Illumina Nominee: Francis A. deSouza | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1C. | Illumina Nominee: Caroline D. Dorsa | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1D. | Illumina Nominee: Robert S. Epstein, M.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1E. | Illumina Nominee: Scott Gottlieb, M.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1F. | Illumina Nominee: Gary S. Guthart, Ph.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1G. | Illumina Nominee: Philip W. Schiller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1H. | Illumina Nominee: Susan E. Siegel | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1I. | Illumina Nominee: John W. Thompson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1J. | Icahn Group Nominee OPPOSED by the
Company: Vincent J. Intrieri | Management | Withheld | Withheld | * |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 1K. | Icahn Group Nominee OPPOSED by the
Company: Jesse A. Lynn | Management | Withheld | Withheld | * |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 1L. | Icahn Group Nominee OPPOSED by the
Company: Andrew J. Teno | Management | Withheld | Withheld | * |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 2. | To ratify the appointment of Ernst & Young
LLP as our independent registered public
accounting firm for the fiscal year ending
December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, on an advisory basis, the
compensation provided to our named
executive officers as disclosed in the Proxy
Statement. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To approve, on an advisory basis, the
frequency of holding an advisory vote to
approve compensation provided to our
"named executive officers". | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | To approve certain amendments to the
Illumina, Inc. 2015 Stock and Incentive Plan | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| | | | | | | | | | | | | | | | | |
| | Account
Number | | | Account Name | | | Internal Account | | Custodian | | Ballot Shares | | | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 9,109 | | | 0 | | 24-May-2023 | 24-May-2023 |
| ILLUMINA, INC. | | | | | |
| Security | 452327109 | | | | | | | | | | Meeting Type | | Contested-Annual | | |
| Ticker Symbol | ILMN | | | | | | | | | | Meeting Date | | 25-May-2023 | | | |
| ISIN | US4523271090 | | | | | | | | | | Agenda | | 935854516 - Opposition | | |
| Record Date | 03-Apr-2023 | | | | | | | | | | Holding Recon Date | | 03-Apr-2023 | | | |
| City / | Country | | | / | United
States | | | | | | Vote Deadline Date | | 24-May-2023 | | | |
| SEDOL(s) | | | | | | | Quick Code | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | ICAHN NOMINEE: Vincent J. Intrieri | Management | | For | |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 1b. | ICAHN NOMINEE: Jesse A. Lynn | Management | | For | |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 1c. | ICAHN NOMINEE: Andrew J. Teno | Management | | For | |
| | Enhanced Proposal Category: Elect Directors (Opposition Slate) |
| 1d. | ACCEPTABLE COMPANY NOMINEE:
Frances Arnold | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1e. | ACCEPTABLE COMPANY NOMINEE:
Caroline D. Dorsa | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1f. | ACCEPTABLE COMPANY NOMINEE:
Scott Gottlieb | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1g. | ACCEPTABLE COMPANY NOMINEE:
Gary S. Guthart | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1h. | ACCEPTABLE COMPANY NOMINEE:
Philip W. Schiller | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1i. | ACCEPTABLE COMPANY NOMINEE:
Susan E. Siegel | Management | | None | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1j. | OPPOSED COMPANY NOMINEE: Francis
A. deSouza | Management | | Withheld | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1k. | OPPOSED COMPANY NOMINEE: Robert
S. Epstein | Management | | Withheld | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 1l. | OPPOSED COMPANY NOMINEE: John W.
Thompson | Management | | Withheld | |
| | Enhanced Proposal Category: Elect Directors (Management Slate) |
| 2. | TO RATIFY THE APPOINTMENT OF
ERNST & YOUNG LLP AS ILLUMINA'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2023. | Management | | For | |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | TO APPROVE, ON AN ADVISORY BASIS,
THE COMPENSATION OF THE "NAMED
EXECUTIVE OFFICERS" AS DISCLOSED
IN THE COMPANY'S PROXY
STATEMENT. | Management | | Against | |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | TO APPROVE, ON AN ADVISORY BASIS,
THE FREQUENCY OF HOLDING AN
ADVISORY VOTE TO APPROVE THE
COMPENSATION PROVIDED TO THE
COMPANY'S "NAMED EXECUTIVE
OFFICERS". | Management | | 1 Year | |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | To approve certain amendments to the
Illumina, Inc. 2015 Stock and Incentive
Plan. | Management | | None | |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
Account
Number | | | Account Name | Internal Account | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 9,109 | 0 | | |
| WORKIVA INC. | | | |
| Security | 98139A105 | | | Meeting Type | Annual | |
| Ticker Symbol | WK | | | Meeting Date | 30-May-2023 | | |
| ISIN | US98139A1051 | | | Agenda | 935824727 - Management | |
| Record Date | 03-Apr-2023 | | | Holding Recon Date | 03-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 26-May-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Director: Michael M. Crow, Ph.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Director: Julie Iskow | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Approval, on an advisory basis, of the
compensation of Workiva's named
executive officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Ratification of the appointment of Ernst &
Young LLP as our independent registered
public accounting firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 41,713 | 0 | 24-May-2023 | 24-May-2023 |
| SERVICENOW, INC. | | | |
| Security | 81762P102 | | | Meeting Type | Annual | |
| Ticker Symbol | NOW | | | Meeting Date | 01-Jun-2023 | | |
| ISIN | US81762P1021 | | | Agenda | 935821062 - Management | |
| Record Date | 04-Apr-2023 | | | Holding Recon Date | 04-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 31-May-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Susan L. Bostrom | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Teresa Briggs | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Jonathan C. Chadwick | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Paul E. Chamberlain | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Lawrence J. Jackson,
Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Frederic B. Luddy | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: William R. McDermott | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Jeffrey A. Miller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Joseph "Larry" Quinlan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Anita M. Sands | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To approve, on an advisory basis, the
compensation of our Named Executive
Officers ("Say-on-Pay"). | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To ratify PricewaterhouseCoopers LLP as
the independent registered public
accounting firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 4. | To approve the Amended and Restated
2021 Equity Incentive Plan to increase the
number of shares reserved for issuance. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| 5. | To elect Deborah Black as a director. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
Account
Number | | | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 10,450 | 0 | 30-May-2023 | 30-May-2023 |
| NETFLIX, INC. | | | |
| Security | 64110L106 | | | Meeting Type | Annual | |
| Ticker Symbol | NFLX | | | Meeting Date | 01-Jun-2023 | | |
| ISIN | US64110L1061 | | | Agenda | 935831126 - Management | |
| Record Date | 06-Apr-2023 | | | Holding Recon Date | 06-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 31-May-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director to hold office until the
2024 Annual Meeting of Stockholders:
Mathias Döpfner | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director to hold office until the
2024 Annual Meeting of Stockholders:
Reed Hastings | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director to hold office until the
2024 Annual Meeting of Stockholders: Jay
Hoag | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director to hold office until the
2024 Annual Meeting of Stockholders: Ted
Sarandos | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of appointment of independent
registered public accounting firm. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Advisory approval of named executive
officer compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Advisory vote on the frequency of future
advisory votes on executive compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | Stockholder proposal entitled, "Proposal 5 -
Reform the Current Impossible Special
Shareholder Meeting Requirements," if
properly presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Amend Articles/Bylaws/Charter - Call Special Meetings |
| 6. | Stockholder proposal entitled, "Netflix-
Exclusive Board of Directors," if properly
presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Company-Specific Board-Related |
| 7. | Stockholder proposal requesting a report on
the Company's 401(K) Plan, if properly
presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Climate Change |
| 8. | Stockholder proposal entitled, "Policy on
Freedom of Association," if properly
presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Improve Human Rights Standards or Policies |
Account
Number | | | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 6,237 | 0 | 30-May-2023 | 30-May-2023 |
| ALPHABET INC. | | | |
| Security | 02079K305 | | | Meeting Type | Annual | |
| Ticker Symbol | GOOGL | | | Meeting Date | 02-Jun-2023 | | |
| ISIN | US02079K3059 | | | Agenda | 935830946 - Management | |
| Record Date | 04-Apr-2023 | | | Holding Recon Date | 04-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 01-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Larry Page | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Sergey Brin | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Sundar Pichai | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: John L. Hennessy | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Frances H. Arnold | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: R. Martin "Marty"
Chávez | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: L. John Doerr | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Roger W. Ferguson Jr. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Ann Mather | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: K. Ram Shriram | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Robin L. Washington | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Ratification of the appointment of Ernst &
Young LLP as Alphabet's independent
registered public accounting firm for the
fiscal year ending December 31, 2023 | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Approval of amendment and restatement of
Alphabet's Amended and Restated 2021
Stock Plan to increase the share reserve by
170,000,000 (post stock split) shares of
Class C capital stock | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| 4. | Advisory vote to approve compensation
awarded to named executive officers | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 5. | Advisory vote on the frequency of advisory
votes to approve compensation awarded to
named executive officers | Management | 1 Year | 3 Years | Against |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 6. | Stockholder proposal regarding a lobbying
report | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Political Lobbying Disclosure |
| 7. | Stockholder proposal regarding a
congruency report | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
| 8. | Stockholder proposal regarding a climate
lobbying report | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 9. | Stockholder proposal regarding a report on
reproductive rights and data privacy | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Internet Censorship |
| 10. | Stockholder proposal regarding a human
rights assessment of data center siting | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Human Rights Risk Assessment |
| 11. | Stockholder proposal regarding a human
rights assessment of targeted ad policies
and practices | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Human Rights Risk Assessment |
| 12. | Stockholder proposal regarding algorithm
disclosures | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 13. | Stockholder proposal regarding a report on
alignment of YouTube policies with
legislation | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 14. | Stockholder proposal regarding a content
governance report | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Anti-Social Proposal |
| 15. | Stockholder proposal regarding a
performance review of the Audit and
Compliance Committee | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Social Proposal |
| 16. | Stockholder proposal regarding bylaws
amendment | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Amend Articles Board-Related |
| 17. | Stockholder proposal regarding "executives
to retain significant stock" | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Stock Retention/Holding Period |
| 18. | Stockholder proposal regarding equal
shareholder voting | Shareholder | For | Against | Against |
| | Enhanced Proposal Category: Approve Recapitalization Plan for all Stock to Have One-vote |
Account
Number | | | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 28,246 | 0 | 01-Jun-2023 | 01-Jun-2023 |
| UNITEDHEALTH GROUP INCORPORATED | | | |
| Security | 91324P102 | | | Meeting Type | Annual | |
| Ticker Symbol | UNH | | | Meeting Date | 05-Jun-2023 | | |
| ISIN | US91324P1021 | | | Agenda | 935835237 - Management | |
| Record Date | 10-Apr-2023 | | | Holding Recon Date | 10-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 02-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Timothy Flynn | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Paul Garcia | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Kristen Gil | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Stephen Hemsley | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Michele Hooper | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: F. William McNabb III | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Valerie Montgomery
Rice, M.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: John Noseworthy, M.D. | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Andrew Witty | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory approval of the Company's
executive compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Advisory approval of the frequency of
holding future say-on-pay votes. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratification of the appointment of Deloitte &
Touche LLP as the independent registered
public accounting firm for the Company for
the year ending December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 5. | If properly presented at the 2023 Annual
Meeting of Shareholders, the shareholder
proposal seeking a third-party racial equity
audit. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 6. | If properly presented at the 2023 Annual
Meeting of Shareholders, the shareholder
proposal requiring a political contributions
congruency report. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: No Enhanced Category Available |
| 7. | If properly presented at the 2023 Annual
Meeting of Shareholders, the shareholder
proposal seeking shareholder ratification of
termination pay. | Shareholder | For | Against | Against |
| | Enhanced Proposal Category: Submit Severance Agreement to Shareholder Vote |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 13,183 | 0 | 01-Jun-2023 | 01-Jun-2023 |
| AMEDISYS, INC. | | | |
| Security | 023436108 | | | Meeting Type | Annual | |
| Ticker Symbol | AMED | | | Meeting Date | 08-Jun-2023 | | |
| ISIN | US0234361089 | | | Agenda | 935842484 - Management | |
| Record Date | 11-Apr-2023 | | | Holding Recon Date | 11-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 07-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1. | DIRECTOR | Management | | | |
| | Enhanced Proposal Category: Elect Director |
| | 1 Richard M. Ashworth | For | For | For |
| | 2 Vickie L. Capps | For | For | For |
| | 3 Molly J. Coye, MD | For | For | For |
| | 4 Julie D. Klapstein | For | For | For |
| | 5 Teresa L. Kline | For | For | For |
| | 6 Paul B. Kusserow | For | For | For |
| | 7 Bruce D. Perkins | For | For | For |
| | 8 Jeffery A. Rideout, MD | For | For | For |
| | 9 Ivanetta Davis Samuels | For | For | For |
| 2. | To ratify the appointment of KPMG LLP as
the Company's independent registered
public accountants for the fiscal year ending
December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, on an advisory (non-binding)
basis, the compensation paid to the
Company's Named Executive Officers, as
set forth in the Company's 2023 Proxy
Statement ("Say on Pay" Vote). | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To approve, on an advisory (non-binding)
basis, the frequency of future stockholder
Say on Pay Votes. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 37,917 | 0 | 05-Jun-2023 | 05-Jun-2023 |
| SALESFORCE, INC. | | | |
| Security | 79466L302 | | | Meeting Type | Annual | |
| Ticker Symbol | CRM | | | Meeting Date | 08-Jun-2023 | | |
| ISIN | US79466L3024 | | | Agenda | 935846127 - Management | |
| Record Date | 14-Apr-2023 | | | Holding Recon Date | 14-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 07-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Marc Benioff | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Laura Alber | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Craig Conway | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Arnold Donald | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Parker Harris | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Neelie Kroes | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Sachin Mehra | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Mason Morfit | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Oscar Munoz | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: John V. Roos | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Robin Washington | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director: Maynard Webb | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1m. | Election of Director: Susan Wojcicki | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Amendment and restatement of our 2013
Equity Incentive Plan to increase the
number of shares reserved for issuance. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Omnibus Stock Plan |
| 3. | Ratification of the appointment of Ernst &
Young LLP as our independent registered
public accounting firm for the fiscal year
ending January 31, 2024. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 4. | An advisory vote to approve the fiscal 2023
compensation of our named executive
officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 5. | An advisory vote on the frequency of
holding future advisory votes to approve
executive compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 6. | A stockholder proposal requesting a policy
to require the Chair of the Board be an
independent member of the Board and not
a former CEO of the Company, if properly
presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Require Independent Board Chairman |
| 7. | A stockholder proposal requesting a policy
to forbid all Company directors from sitting
on any other boards, if properly presented
at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Company-Specific Board-Related |
Account
Number | | | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 29,897 | 0 | 07-Jun-2023 | 07-Jun-2023 |
| COSTAR GROUP, INC. | | | |
| Security | 22160N109 | | | Meeting Type | Annual | |
| Ticker Symbol | CSGP | | | Meeting Date | 08-Jun-2023 | | |
| ISIN | US22160N1090 | | | Agenda | 935848234 - Management | |
| Record Date | 11-Apr-2023 | | | Holding Recon Date | 11-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 07-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Michael R. Klein | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Andrew C. Florance | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Michael J. Glosserman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: John W. Hill | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Laura Cox Kaplan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Robert W. Musslewhite | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Christopher J. Nassetta | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Louise S. Sams | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Proposal to ratify the appointment of Ernst
& Young LLP as the Company's
independent registered public accounting
firm for 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | Proposal to approve, on an advisory basis,
the Company's executive compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | Advisory vote on the frequency of future
advisory votes to approve executive
compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 5. | Stockholder proposal regarding greenhouse
gas emissions targets, if properly
presented. | Shareholder | For | Against | Against |
| | Enhanced Proposal Category: GHG Emissions |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 111,798 | 0 | 07-Jun-2023 | 07-Jun-2023 |
| FIVE BELOW, INC. | | | |
| Security | 33829M101 | | | Meeting Type | Annual | |
| Ticker Symbol | FIVE | | | Meeting Date | 13-Jun-2023 | | |
| ISIN | US33829M1018 | | | Agenda | 935852182 - Management | |
| Record Date | 18-Apr-2023 | | | Holding Recon Date | 18-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 12-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Joel D. Anderson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Kathleen S. Barclay | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Thomas M. Ryan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To ratify the appointment of KPMG LLP as
the Company's independent registered
public accounting firm for the current fiscal
year ending February 3, 2024. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve, by non-binding advisory vote,
the Company's Named Executive Officer
compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 4. | To approve an amendment to the
Company's Amended and Restated Bylaws
to limit the liability of officers. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
| 5. | To approve an amendment to the
Company's Amended and Restated Bylaws
to amend the limitation of liability of
directors provision. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Director/Officer Liability and Indemnification |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 33,536 | 0 | 09-Jun-2023 | 09-Jun-2023 |
| IAC INC. | | | |
| Security | 44891N208 | | | Meeting Type | Annual | |
| Ticker Symbol | IAC | | | Meeting Date | 15-Jun-2023 | | |
| ISIN | US44891N2080 | | | Agenda | 935856471 - Management | |
| Record Date | 21-Apr-2023 | | | Holding Recon Date | 21-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 14-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Chelsea Clinton | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Barry Diller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: Michael D. Eisner | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Bonnie S. Hammer | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Victor A. Kaufman | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Joseph Levin | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Bryan Lourd (To be
voted upon by the holders of Common
Stock voting as a separate class) | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: David Rosenblatt | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Alan G. Spoon (To be
voted upon by the holders of Common
Stock voting as a separate class) | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Alexander von
Furstenberg | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: Richard F. Zannino (To
be voted upon by the holders of Common
Stock voting as a separate class) | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To approve a non-binding advisory vote on
IAC's 2022 executive compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To ratify the appointment of Ernst & Young
LLP as IAC's independent registered public
accounting firm for the 2023 fiscal year. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 24,682 | 0 | 14-Jun-2023 | 14-Jun-2023 |
| GRAND CANYON EDUCATION, INC. | | | |
| Security | 38526M106 | | | Meeting Type | Annual | |
| Ticker Symbol | LOPE | | | Meeting Date | 20-Jun-2023 | | |
| ISIN | US38526M1062 | | | Agenda | 935857637 - Management | |
| Record Date | 24-Apr-2023 | | | Holding Recon Date | 24-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 16-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1.1 | Election of Director: Brian E. Mueller | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.2 | Election of Director: Sara R. Dial | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.3 | Election of Director: Jack A. Henry | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.4 | Election of Director: Lisa Graham Keegan | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.5 | Election of Director: Chevy Humphrey | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1.6 | Election of Director: David M. Adame | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To approve, on an advisory basis, the
compensation of our named executive
officers as disclosed in the Proxy
Statement. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | To approve, on an advisory basis, the
frequency of future advisory votes on the
compensation of the Company's named
executive officers. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | To ratify the appointment of KPMG LLP as
our independent registered public
accounting firm for the fiscal year ending
December 31, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 43,154 | 0 | 15-Jun-2023 | 15-Jun-2023 |
| VEEVA SYSTEMS INC. | | | |
| Security | 922475108 | | | Meeting Type | Annual | |
| Ticker Symbol | VEEV | | | Meeting Date | 21-Jun-2023 | | |
| ISIN | US9224751084 | | | Agenda | 935854097 - Management | |
| Record Date | 26-Apr-2023 | | | Holding Recon Date | 26-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 20-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director to serve until the annual
meeting to be held in 2024: Tim Cabral | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director to serve until the annual
meeting to be held in 2024: Mark Carges | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director to serve until the annual
meeting to be held in 2024: Peter P.
Gassner | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director to serve until the annual
meeting to be held in 2024: Mary Lynne
Hedley | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director to serve until the annual
meeting to be held in 2024: Priscilla Hung | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director to serve until the annual
meeting to be held in 2024: Tina Hunt | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director to serve until the annual
meeting to be held in 2024: Marshall Mohr | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director to serve until the annual
meeting to be held in 2024: Gordon Ritter | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director to serve until the annual
meeting to be held in 2024: Paul Sekhri | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director to serve until the annual
meeting to be held in 2024: Matthew J.
Wallach | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | To ratify the appointment of KPMG LLP as
our independent registered public
accounting firm for the fiscal year ending
January 31, 2024. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
| 3. | To approve an amendment and restatement
of our Certificate of Incorporation to
eliminate inoperative provisions and update
certain other miscellaneous provisions, to
take effect on or after October 15, 2023. | Management | For | For | For |
| | Enhanced Proposal Category: Amend Articles/Bylaws/Charter -- Non-Routine |
| 4. | To vote on a shareholder proposal to
require shareholder approval for certain
advance notice bylaw amendments, if
properly presented at the meeting. | Shareholder | Against | Against | For |
| | Enhanced Proposal Category: Amend Articles Board-Related |
Account
Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | RIVERBRIDGE GROWTH
FUND | rbgrowth | UMB BANK,
N.A. | 34,579 | 0 | 19-Jun-2023 | 19-Jun-2023 |
| NVIDIA CORPORATION | | | |
| Security | 67066G104 | | | Meeting Type | Annual | |
| Ticker Symbol | NVDA | | | Meeting Date | 22-Jun-2023 | | |
| ISIN | US67066G1040 | | | Agenda | 935863224 - Management | |
| Record Date | 24-Apr-2023 | | | Holding Recon Date | 24-Apr-2023 | | |
| City / Country | / United
States | | | Vote Deadline Date | 21-Jun-2023 | | |
| SEDOL(s) | Quick Code |
| | | | | | | | | |
| Item | Proposal | Proposed
by | Vote | Management
Recommendation | For/Against
Management |
| 1a. | Election of Director: Robert K. Burgess | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1b. | Election of Director: Tench Coxe | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1c. | Election of Director: John O. Dabiri | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1d. | Election of Director: Persis S. Drell | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1e. | Election of Director: Jen-Hsun Huang | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1f. | Election of Director: Dawn Hudson | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1g. | Election of Director: Harvey C. Jones | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1h. | Election of Director: Michael G. McCaffery | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1i. | Election of Director: Stephen C. Neal | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1j. | Election of Director: Mark L. Perry | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1k. | Election of Director: A. Brooke Seawell | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1l. | Election of Director: Aarti Shah | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 1m. | Election of Director: Mark A. Stevens | Management | For | For | For |
| | Enhanced Proposal Category: Elect Director |
| 2. | Advisory approval of our executive
compensation. | Management | For | For | For |
| | Enhanced Proposal Category: Approve Remuneration Report |
| 3. | Advisory approval of the frequency of
holding an advisory vote on our executive
compensation. | Management | 1 Year | 1 Year | For |
| | Enhanced Proposal Category: Advisory Vote on Say on Pay Frequency |
| 4. | Ratification of the selection of
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for fiscal year 2024. | Management | For | For | For |
| | Enhanced Proposal Category: Ratify Auditors |
Account
Number | | | Account Name | Internal Account | | Custodian | | Ballot Shares | Unavailable
Shares | Vote Date | Date
Confirmed |
| 139620.1 | | RIVERBRIDGE GROWTH
FUND | rbgrowth | | UMB BANK,
N.A. | 25,146 | 0 | 21-Jun-2023 | 21-Jun-2023 |
SIGNATURES
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.
| (Registrant) | Investment Managers Series Trust | |
| By (Signature and Title)* | /s/ Maureen Quill | |
| | Maureen Quill, President and Principal Executive Officer | |
| Date | August 25, 2023 | | |
| * | Print the name and title of each signing officer under his or her signature. |
