The Gabelli ESG Fund, Inc. (formerly, The Gabelli SRI Fund, Inc.)
Bruce N. Alpert
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 (§§ 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. § 3507.
| DELL TECHNOLOGIES INC. |
| Security | 24703L202 | | Meeting Type | Annual |
| Ticker Symbol | DELL | | Meeting Date | 09-Jul-2019 |
| ISIN | US24703L2025 | | Agenda | 935039025 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Michael S. Dell | | For | For | |
| | | 2 | David W. Dorman | | For | For | |
| | | 3 | Egon Durban | | For | For | |
| | | 4 | William D. Green | | For | For | |
| | | 5 | Ellen J. Kullman | | For | For | |
| | | 6 | Simon Patterson | | For | For | |
| | | 7 | Lynn M. Vojvodich | | For | For | |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Dell Technologies Inc.'s independent registered public accounting firm for fiscal year ending January 31, 2020 | Management | For | For | |
| 3. | Approval, on an advisory basis, of the compensation of Dell Technologies Inc.'s named executive officers as disclosed in the proxy statement | Management | For | For | |
| 4. | Approval of amendment to the Dell Technologies Inc. 2013 Stock Incentive Plan to increase the number of shares of Class C common stock issuable under the plan | Management | Against | Against | |
| VODAFONE GROUP PLC | |
| Security | 92857W308 | | Meeting Type | Annual |
| Ticker Symbol | VOD | | Meeting Date | 23-Jul-2019 |
| ISIN | US92857W3088 | | Agenda | 935052174 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | To receive the Company's accounts, the strategic report and reports of the Directors and the auditor for the year ended 31 March 2019 | Management | For | For | |
| 2. | To elect Sanjiv Ahuja as a Director | Management | For | For | |
| 3. | To elect David Thodey as a Director | Management | For | For | |
| 4. | To re-elect Gerard Kleisterlee as a Director | Management | For | For | |
| 5. | To re-elect Nick Read as a Director | Management | For | For | |
| 6. | To re-elect Margherita Della Valle as a Director | Management | For | For | |
| 7. | To re-elect Sir Crispin Davis as a Director | Management | For | For | |
| 8. | To re-elect Michel Demaré as a Director | Management | For | For | |
| 9. | To re-elect Dame Clara Furse as a Director | Management | For | For | |
| 10. | To re-elect Valerie Gooding as a Director | Management | For | For | |
| 11. | To re-elect Renee James as a Director | Management | For | For | |
| 12. | To re-elect Maria Amparo Moraleda Martinez as a Director | Management | For | For | |
| 13. | To re-elect David Nish as a Director | Management | For | For | |
| 14. | To declare a final dividend of 4.16 eurocents per ordinary share for the year ended 31 March 2019 | Management | For | For | |
| 15. | To approve the Annual Report on Remuneration contained in the Remuneration Report of the Board for the year ended 31 March 2019 | Management | For | For | |
| 16. | To appoint Ernst & Young LLP as the Company's auditor until the end of the next general meeting at which accounts are laid before the Company | Management | For | For | |
| 17. | To authorise the Audit and Risk Committee to determine the remuneration of the auditor | Management | For | For | |
| 18. | To authorise the Directors to allot shares | Management | For | For | |
| 19. | To authorise the Directors to dis-apply pre-emption rights (Special Resolution) | Management | For | For | |
| 20. | To authorise the Directors to dis-apply pre-emption rights up to a further 5 per cent for the purposes of financing an acquisition or other capital investment (Special Resolution) | Management | For | For | |
| 21. | To authorise the Company to purchase its own shares (Special Resolution) | Management | For | For | |
| 22. | To authorise political donations and expenditure | Management | For | For | |
| 23. | To authorise the Company to call general meetings (other than AGMs) on 14 clear days' notice (Special Resolution) | Management | For | For | |
| PATTERSON COMPANIES, INC. | |
| Security | 703395103 | | Meeting Type | Annual |
| Ticker Symbol | PDCO | | Meeting Date | 16-Sep-2019 |
| ISIN | US7033951036 | | Agenda | 935065462 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1a. | Election of Director: John D. Buck | Management | For | For | |
| 1b. | Election of Director: Alex N. Blanco | Management | For | For | |
| 1c. | Election of Director: Jody H. Feragen | Management | For | For | |
| 1d. | Election of Director: Robert C. Frenzel | Management | For | For | |
| 1e. | Election of Director: Francis J. Malecha | Management | For | For | |
| 1f. | Election of Director: Ellen A. Rudnick | Management | For | For | |
| 1g. | Election of Director: Neil A. Schrimsher | Management | For | For | |
| 1h. | Election of Director: Mark S. Walchirk | Management | For | For | |
| 2. | Approval of amendment to Amended and Restated Employee Stock Purchase Plan. | Management | For | For | |
| 3. | Advisory approval of executive compensation. | Management | For | For | |
| 4. | To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending April 25, 2020. | Management | For | For | |
| CONAGRA BRANDS, INC. | |
| Security | 205887102 | | Meeting Type | Annual |
| Ticker Symbol | CAG | | Meeting Date | 19-Sep-2019 |
| ISIN | US2058871029 | | Agenda | 935067694 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Anil Arora | Management | For | For | |
| 1B. | Election of Director: Thomas K. Brown | Management | For | For | |
| 1C. | Election of Director: Stephen G. Butler | Management | For | For | |
| 1D. | Election of Director: Sean M. Connolly | Management | For | For | |
| 1E. | Election of Director: Joie A. Gregor | Management | For | For | |
| 1F. | Election of Director: Rajive Johri | Management | For | For | |
| 1G. | Election of Director: Richard H. Lenny | Management | For | For | |
| 1H. | Election of Director: Melissa Lora | Management | For | For | |
| 1I. | Election of Director: Ruth Ann Marshall | Management | For | For | |
| 1J. | Election of Director: Craig P. Omtvedt | Management | For | For | |
| 1K. | Election of Director: Scott Ostfeld | Management | For | For | |
| 2. | Ratification of the appointment of KPMG LLP as our independent auditor for fiscal 2020. | Management | For | For | |
| 3. | Advisory approval of our named executive officer compensation. | Management | For | For | |
| LAMB WESTON HOLDINGS, INC. | |
| Security | 513272104 | | Meeting Type | Annual |
| Ticker Symbol | LW | | Meeting Date | 26-Sep-2019 |
| ISIN | US5132721045 | | Agenda | 935068165 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1a. | Election of Director: Peter J. Bensen | Management | For | For | |
| 1b. | Election of Director: Charles A. Blixt | Management | For | For | |
| 1c. | Election of Director: André J. Hawaux | Management | For | For | |
| 1d. | Election of Director: W.G. Jurgensen | Management | For | For | |
| 1e. | Election of Director: Thomas P. Maurer | Management | For | For | |
| 1f. | Election of Director: Hala G. Moddelmog | Management | For | For | |
| 1g. | Election of Director: Maria Renna Sharpe | Management | For | For | |
| 1h. | Election of Director: Thomas P. Werner | Management | For | For | |
| 2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |
| 3. | Ratification of the Appointment of KPMG LLP as Independent Auditors for Fiscal Year 2020. | Management | For | For | |
| 4. | Stockholder Proposal Regarding Pesticide Use Report. | Shareholder | Abstain | Against | |
| PARKER-HANNIFIN CORPORATION | |
| Security | 701094104 | | Meeting Type | Annual |
| Ticker Symbol | PH | | Meeting Date | 23-Oct-2019 |
| ISIN | US7010941042 | | Agenda | 935085250 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Lee C. Banks | Management | For | For | |
| 1B. | Election of Director: Robert G. Bohn | Management | For | For | |
| 1C. | Election of Director: Linda S. Harty | Management | For | For | |
| 1D. | Election of Director: Kevin A. Lobo | Management | For | For | |
| 1E. | Election of Director: Candy M. Obourn | Management | For | For | |
| 1F. | Election of Director: Joseph Scaminace | Management | For | For | |
| 1G. | Election of Director: Ake Svensson | Management | For | For | |
| 1H. | Election of Director: Laura K. Thompson | Management | For | For | |
| 1I. | Election of Director: James R. Verrier | Management | For | For | |
| 1J. | Election of Director: James L. Wainscott | Management | For | For | |
| 1K. | Election of Director: Thomas L. Williams | Management | For | For | |
| 2. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2020. | Management | For | For | |
| 3. | Approval of, on a non-binding, advisory basis, the compensation of our Named Executive Officers. | Management | For | For | |
| 4. | Approval of the Parker-Hannifin Corporation Amended and Restated 2016 Omnibus Stock Incentive Plan. | Management | Against | Against | |
| 5. | Shareholder proposal to adopt a policy that requires the Chairman of the Board to be an independent member of the Board of Directors. | Shareholder | Against | For | |
| KINNEVIK AB | |
| Security | W5139V109 | | Meeting Type | ExtraOrdinary General Meeting |
| Ticker Symbol | | | Meeting Date | 07-Nov-2019 |
| ISIN | SE0008373906 | | Agenda | 711612615 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING-REQUIRE APPROVAL FROM MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION | Non-Voting | | | |
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | | | |
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF- ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | | | |
| 1 | OPENING OF THE EXTRAORDINARY GENERAL MEETING | Non-Voting | | | |
| 2 | ELECTION OF CHAIRMAN AT THE EXTRAORDINARY GENERAL MEETING | Non-Voting | | | |
| 3 | PREPARATION AND APPROVAL OF THE VOTING LIST | Non-Voting | | | |
| 4 | APPROVAL OF THE AGENDA | Non-Voting | | | |
| 5 | ELECTION OF ONE OR TWO PERSONS TO CHECK AND VERIFY THE MINUTES | Non-Voting | | | |
| 6 | DETERMINATION OF WHETHER THE EXTRAORDINARY GENERAL MEETING HAS BEEN DULY-CONVENED | Non-Voting | | | |
| 7.A | RESOLUTION REGARDING DISTRIBUTION OF KINNEVIK'S HOLDING IN MILLICOM THROUGH A SHARE REDEMPTION PLAN COMPRISING THE FOLLOWING RESOLUTION: AMENDMENTS TO THE ARTICLES OF ASSOCIATION IN ORDER TO FACILITATE THE SHARE SPLIT 2:1 | Management | No Action | | |
| 7.B | RESOLUTION REGARDING DISTRIBUTION OF KINNEVIK'S HOLDING IN MILLICOM THROUGH A SHARE REDEMPTION PLAN COMPRISING THE FOLLOWING RESOLUTION: SHARE SPLIT 2:1 | Management | No Action | | |
| 7.C | RESOLUTION REGARDING DISTRIBUTION OF KINNEVIK'S HOLDING IN MILLICOM THROUGH A SHARE REDEMPTION PLAN COMPRISING THE FOLLOWING RESOLUTION: AMENDMENTS OF THE ARTICLES OF ASSOCIATION IN ORDER TO FACILITATE THE REDUCTION OF THE SHARE CAPITAL THROUGH REDEMPTION OF SHARES | Management | No Action | | |
| 7.D | RESOLUTION REGARDING DISTRIBUTION OF KINNEVIK'S HOLDING IN MILLICOM THROUGH A SHARE REDEMPTION PLAN COMPRISING THE FOLLOWING RESOLUTION: REDUCTION OF THE SHARE CAPITAL THROUGH REDEMPTION OF SHARES | Management | No Action | | |
| 7.E | RESOLUTION REGARDING DISTRIBUTION OF KINNEVIK'S HOLDING IN MILLICOM THROUGH A SHARE REDEMPTION PLAN COMPRISING THE FOLLOWING RESOLUTION: INCREASE OF THE SHARE CAPITAL THROUGH A BONUS ISSUE WITHOUT ISSUANCE OF NEW SHARES | Management | No Action | | |
| 8.A | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER THORWALD ARVIDSSON PROPOSES THAT THE MEETING RESOLVE TO: AMEND THE ARTICLES OF ASSOCIATION (SECTION 4) IN THE FOLLOWING WAY: "ALL SHARES ENTITLE TO ONE (1) VOTE" | Shareholder | No Action | | |
| 8.B | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER THORWALD ARVIDSSON PROPOSES THAT THE MEETING RESOLVE TO: INSTRUCT THE BOARD TO WORK TOWARDS THAT THE SWEDISH COMPANIES ACT (2005:551) IS AMENDED SO THAT THE POSSIBILITY TO HAVE DIFFERENTIATED VOTING POWERS IS ABOLISHED, FIRSTLY BY APPROACHING THE SWEDISH GOVERNMENT | Shareholder | No Action | | |
| 8.C | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER THORWALD ARVIDSSON PROPOSES THAT THE MEETING RESOLVE TO: INSTRUCT THE BOARD TO PREPARE A PROPOSAL REGARDING REPRESENTATION ON THE BOARD AND NOMINATION COMMITTEES FOR THE SMALL AND MEDIUM SIZED SHAREHOLDERS TO BE RESOLVED UPON AT THE 2021 ANNUAL GENERAL MEETING, OR AT AN EARLIER EXTRAORDINARY GENERAL MEETING | Shareholder | No Action | | |
| 8.D | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER THORWALD ARVIDSSON PROPOSES THAT THE MEETING RESOLVE TO: INSTRUCT THE BOARD TO WORK TOWARDS THAT A CORRESPONDING CHANGE IS EFFECTUATED IN THE SWEDISH NATIONAL RULEBOOK, FIRSTLY BY APPROACHING THE SWEDISH GOVERNMENT | Shareholder | No Action | | |
| 9 | CLOSING OF THE EXTRAORDINARY GENERAL MEETING | Non-Voting | | | |
| CMMT | 15 OCT 2019: PLEASE NOTE THAT RESOLUTIONS 7.A TO 7.E ARE PROPOSED TO BE-CONDITIONAL UPON EACH OTHER AND THEREFORE PROPOSED TO BE ADOPTED IN-CONNECTION WITH EACH OTHER. THANK YOU. | Non-Voting | | | |
| CMMT | 15 OCT 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | | | |
| THE HAIN CELESTIAL GROUP, INC. | |
| Security | 405217100 | | Meeting Type | Annual |
| Ticker Symbol | HAIN | | Meeting Date | 19-Nov-2019 |
| ISIN | US4052171000 | | Agenda | 935092394 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Richard A. Beck | Management | For | For | |
| 1B. | Election of Director: Celeste A. Clark | Management | For | For | |
| 1C. | Election of Director: Dean Hollis | Management | For | For | |
| 1D. | Election of Director: Shervin J. Korangy | Management | For | For | |
| 1E. | Election of Director: Roger Meltzer | Management | For | For | |
| 1F. | Election of Director: Mark L. Schiller | Management | For | For | |
| 1G. | Election of Director: Michael B. Sims | Management | For | For | |
| 1H. | Election of Director: Glenn W. Welling | Management | For | For | |
| 1I. | Election of Director: Dawn M. Zier | Management | For | For | |
| 2. | To approve, on an advisory basis, named executive officer compensation. | Management | For | For | |
| 3. | To ratify the appointment of Ernst & Young LLP to act as registered independent accountants of the Company for the fiscal year ending June 30, 2020. | Management | For | For | |
| MICROSOFT CORPORATION | |
| Security | 594918104 | | Meeting Type | Annual |
| Ticker Symbol | MSFT | | Meeting Date | 04-Dec-2019 |
| ISIN | US5949181045 | | Agenda | 935092849 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: William H. Gates III | Management | For | For | |
| 1B. | Election of Director: Reid G. Hoffman | Management | For | For | |
| 1C. | Election of Director: Hugh F. Johnston | Management | For | For | |
| 1D. | Election of Director: Teri L. List-Stoll | Management | For | For | |
| 1E. | Election of Director: Satya Nadella | Management | For | For | |
| 1F. | Election of Director: Sandra E. Peterson | Management | For | For | |
| 1G. | Election of Director: Penny S. Pritzker | Management | For | For | |
| 1H. | Election of Director: Charles W. Scharf | Management | For | For | |
| 1I. | Election of Director: Arne M. Sorenson | Management | For | For | |
| 1J. | Election of Director: John W. Stanton | Management | For | For | |
| 1K. | Election of Director: John W. Thompson | Management | For | For | |
| 1L. | Election of Director: Emma Walmsley | Management | For | For | |
| 1M. | Election of Director: Padmasree Warrior | Management | For | For | |
| 2. | Advisory vote to approve named executive officer compensation | Management | For | For | |
| 3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Management | For | For | |
| 4. | Shareholder Proposal - Report on Employee Representation on Board of Directors | Shareholder | Against | For | |
| 5. | Shareholder Proposal - Report on Gender Pay Gap | Shareholder | Abstain | Against | |
| MEDTRONIC PLC | |
| Security | G5960L103 | | Meeting Type | Annual |
| Ticker Symbol | MDT | | Meeting Date | 06-Dec-2019 |
| ISIN | IE00BTN1Y115 | | Agenda | 935094336 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Richard H. Anderson | Management | For | For | |
| 1B. | Election of Director: Craig Arnold | Management | For | For | |
| 1C. | Election of Director: Scott C. Donnelly | Management | For | For | |
| 1D. | Election of Director: Andrea J. Goldsmith, Ph.D. | Management | For | For | |
| 1E. | Election of Director: Randall J. Hogan, III | Management | For | For | |
| 1F. | Election of Director: Omar Ishrak | Management | For | For | |
| 1G. | Election of Director: Michael O. Leavitt | Management | For | For | |
| 1H. | Election of Director: James T. Lenehan | Management | For | For | |
| 1I. | Election of Director: Geoffrey S. Martha | Management | For | For | |
| 1J. | Election of Director: Elizabeth G. Nabel, M.D. | Management | For | For | |
| 1K. | Election of Director: Denise M. O'Leary | Management | For | For | |
| 1L. | Election of Director: Kendall J. Powell | Management | For | For | |
| 2. | To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers LLP as Medtronic's independent auditor for fiscal year 2020 and to authorize, in a binding vote, the Board of Directors, acting through the Audit Committee, to set the auditor's remuneration. | Management | For | For | |
| 3. | To approve, in a non-binding advisory vote, named executive officer compensation (a "Say-on-Pay" vote). | Management | For | For | |
| 4. | To renew the Board's authority to issue shares. | Management | For | For | |
| 5. | To renew the Board's authority to opt out of pre-emption rights. | Management | Against | Against | |
| 6. | Authorizing the Company and any subsidiary of the Company to make overseas market purchases of Medtronic ordinary shares. | Management | For | For | |
| ACUITY BRANDS, INC. | |
| Security | 00508Y102 | | Meeting Type | Annual |
| Ticker Symbol | AYI | | Meeting Date | 08-Jan-2020 |
| ISIN | US00508Y1029 | | Agenda | 935106078 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: W. Patrick Battle | Management | For | For | |
| 1B. | Election of Director: Peter C. Browning | Management | For | For | |
| 1C. | Election of Director: G. Douglas Dillard, Jr. | Management | For | For | |
| 1D. | Election of Director: James H. Hance, Jr. | Management | For | For | |
| 1E. | Election of Director: Robert F. McCullough | Management | For | For | |
| 1F. | Election of Director: Vernon J. Nagel | Management | For | For | |
| 1G. | Election of Director: Dominic J. Pileggi | Management | For | For | |
| 1H. | Election of Director: Ray M. Robinson | Management | For | For | |
| 1I. | Election of Director: Mary A. Winston | Management | For | For | |
| 2. | Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm. | Management | For | For | |
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |
| ENERGIZER HOLDINGS, INC. | |
| Security | 29272W109 | | Meeting Type | Annual |
| Ticker Symbol | ENR | | Meeting Date | 27-Jan-2020 |
| ISIN | US29272W1099 | | Agenda | 935115798 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Carlos Abrams-Rivera | Management | For | For | |
| 1B. | Election of Director: Bill G. Armstrong | Management | For | For | |
| 1C. | Election of Director: Cynthia J. Brinkley | Management | For | For | |
| 1D. | Election of Director: Rebecca Frankiewicz | Management | For | For | |
| 1E. | Election of Director: Alan R. Hoskins | Management | For | For | |
| 1F. | Election of Director: Kevin J. Hunt | Management | For | For | |
| 1G. | Election of Director: James C. Johnson | Management | For | For | |
| 1H. | Election of Director: John E. Klein | Management | For | For | |
| 1I. | Election of Director: Patrick J. Moore | Management | For | For | |
| 1J. | Election of Director: Nneka L. Rimmer | Management | For | For | |
| 1K. | Election of Director: Robert V. Vitale | Management | For | For | |
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal 2020. | Management | For | For | |
| 3. | Advisory, non-binding vote on executive compensation. | Management | For | For | |
| 4. | Approval of Omnibus Incentive Plan. | Management | Abstain | Against | |
| MUELLER WATER PRODUCTS, INC. | |
| Security | 624758108 | | Meeting Type | Annual |
| Ticker Symbol | MWA | | Meeting Date | 29-Jan-2020 |
| ISIN | US6247581084 | | Agenda | 935114936 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Shirley C. Franklin | Management | For | For | |
| 1B. | Election of Director: Scott Hall | Management | For | For | |
| 1C. | Election of Director: Thomas J. Hansen | Management | For | For | |
| 1D. | Election of Director: Jerry W. Kolb | Management | For | For | |
| 1E. | Election of Director: Mark J. O'Brien | Management | For | For | |
| 1F. | Election of Director: Christine Ortiz | Management | For | For | |
| 1G. | Election of Director: Bernard G. Rethore | Management | For | For | |
| 1H. | Election of Director: Lydia W. Thomas | Management | For | For | |
| 1I. | Election of Director: Michael T. Tokarz | Management | For | For | |
| 1J. | Election of Director: Stephen C. Van Arsdell | Management | For | For | |
| 2. | To approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | For | For | |
| 3. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | For | For | |
| FRANKLIN RESOURCES, INC. | |
| Security | 354613101 | | Meeting Type | Annual |
| Ticker Symbol | BEN | | Meeting Date | 11-Feb-2020 |
| ISIN | US3546131018 | | Agenda | 935116827 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Peter K. Barker | Management | For | For | |
| 1B. | Election of Director: Mariann Byerwalter | Management | For | For | |
| 1C. | Election of Director: Gregory E. Johnson | Management | For | For | |
| 1D. | Election of Director: Jennifer M. Johnson | Management | For | For | |
| 1E. | Election of Director: Rupert H. Johnson, Jr. | Management | For | For | |
| 1F. | Election of Director: Anthony J. Noto | Management | For | For | |
| 1G. | Election of Director: Mark C. Pigott | Management | For | For | |
| 1H. | Election of Director: Laura Stein | Management | For | For | |
| 1I. | Election of Director: Seth H. Waugh | Management | For | For | |
| 1J. | Election of Director: Geoffrey Y. Yang | Management | For | For | |
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | For | For | |
| 3. | To approve the amendment and restatement of our 1998 Employee Stock Investment Plan, which includes increasing the number of shares of common stock authorized for issuance thereunder by 5,000,000 shares. | Management | For | For | |
| 4. | To approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |
| EVOQUA WATER TECHNOLOGIES | |
| Security | 30057T105 | | Meeting Type | Annual |
| Ticker Symbol | AQUA | | Meeting Date | 18-Feb-2020 |
| ISIN | US30057T1051 | | Agenda | 935120597 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Ron C. Keating | | For | For | |
| | | 2 | Martin J. Lamb | | Withheld | Against | |
| | | 3 | Peter M. Wilver | | For | For | |
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | For | For | |
| 3. | Approval of the amendment and restatement of the Evoqua Water Technologies Corp. 2017 Equity Incentive Plan to increase the number of shares of common stock reserved for issuance and incorporate other changes. | Management | Against | Against | |
| 4. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | For | For | |
| JOHNSON CONTROLS INTERNATIONAL PLC | |
| Security | G51502105 | | Meeting Type | Annual |
| Ticker Symbol | JCI | | Meeting Date | 04-Mar-2020 |
| ISIN | IE00BY7QL619 | | Agenda | 935123795 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Jean Blackwell | Management | For | For | |
| 1B. | Election of Director: Pierre Cohade | Management | For | For | |
| 1C. | Election of Director: Michael E. Daniels | Management | For | For | |
| 1D. | Election of Director: Juan Pablo del Valle Perochena | Management | For | For | |
| 1E. | Election of Director: W. Roy Dunbar | Management | For | For | |
| 1F. | Election of Director: Gretchen R. Haggerty | Management | For | For | |
| 1G. | Election of Director: Simone Menne | Management | For | For | |
| 1H. | Election of Director: George R. Oliver | Management | For | For | |
| 1I. | Election of Director: Jürgen Tinggren | Management | For | For | |
| 1J. | Election of Director: Mark Vergnano | Management | For | For | |
| 1K. | Election of Director: R. David Yost | Management | For | For | |
| 1L. | Election of Director: John D. Young | Management | For | For | |
| 2.A | To ratify the appointment of PricewaterhouseCoopers LLP as the independent auditors of the Company. | Management | For | For | |
| 2.B | To authorize the Audit Committee of the Board of Directors to set the auditors' remuneration. | Management | For | For | |
| 3. | To authorize the Company and/or any subsidiary of the Company to make market purchases of Company shares. | Management | For | For | |
| 4. | To determine the price range at which the Company can re-allot shares that it holds as treasury shares (Special Resolution). | Management | For | For | |
| 5. | To approve, in a non-binding advisory vote, the compensation of the named executive officers. | Management | For | For | |
| 6. | To approve the Directors' authority to allot shares up to approximately 33% of issued share capital. | Management | For | For | |
| 7. | To approve the waiver of statutory pre-emption rights with respect to up to 5% of issued share capital (Special Resolution). | Management | Against | Against | |
| THE WALT DISNEY COMPANY | |
| Security | 254687106 | | Meeting Type | Annual |
| Ticker Symbol | DIS | | Meeting Date | 11-Mar-2020 |
| ISIN | US2546871060 | | Agenda | 935125648 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Susan E. Arnold | Management | For | For | |
| 1B. | Election of Director: Mary T. Barra | Management | For | For | |
| 1C. | Election of Director: Safra A. Catz | Management | For | For | |
| 1D. | Election of Director: Francis A. deSouza | Management | For | For | |
| 1E. | Election of Director: Michael B.G. Froman | Management | For | For | |
| 1F. | Election of Director: Robert A. Iger | Management | For | For | |
| 1G. | Election of Director: Maria Elena Lagomasino | Management | For | For | |
| 1H. | Election of Director: Mark G. Parker | Management | For | For | |
| 1I. | Election of Director: Derica W. Rice | Management | For | For | |
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2020. | Management | For | For | |
| 3. | To approve the advisory resolution on executive compensation. | Management | For | For | |
| 4. | To approve an amendment to the Company's Amended and Restated 2011 Stock Incentive Plan. | Management | Against | Against | |
| 5. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | |
| HEWLETT PACKARD ENTERPRISE COMPANY | |
| Security | 42824C109 | | Meeting Type | Annual |
| Ticker Symbol | HPE | | Meeting Date | 01-Apr-2020 |
| ISIN | US42824C1099 | | Agenda | 935130461 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Daniel Ammann | Management | For | For | |
| 1B. | Election of Director: Pamela L. Carter | Management | For | For | |
| 1C. | Election of Director: Jean M. Hobby | Management | For | For | |
| 1D. | Election of Director: George R. Kurtz | Management | For | For | |
| 1E. | Election of Director: Raymond J. Lane | Management | For | For | |
| 1F. | Election of Director: Ann M. Livermore | Management | For | For | |
| 1G. | Election of Director: Antonio F. Neri | Management | For | For | |
| 1H. | Election of Director: Charles H. Noski | Management | For | For | |
| 1I. | Election of Director: Raymond E. Ozzie | Management | For | For | |
| 1J. | Election of Director: Gary M. Reiner | Management | For | For | |
| 1K. | Election of Director: Patricia F. Russo | Management | For | For | |
| 1L. | Election of Director: Lip-Bu Tan | Management | For | For | |
| 1M. | Election of Director: Mary Agnes Wilderotter | Management | For | For | |
| 2. | Ratification of the appointment of the independent registered public accounting firm for the fiscal year ending October 31, 2020. | Management | For | For | |
| 3. | Advisory vote to approve executive compensation. | Management | For | For | |
| 4. | Stockholder proposal entitled: "Shareholder Approval of Bylaw Amendments". | Shareholder | Against | For | |
| THE BANK OF NEW YORK MELLON CORPORATION | |
| Security | 064058100 | | Meeting Type | Annual |
| Ticker Symbol | BK | | Meeting Date | 15-Apr-2020 |
| ISIN | US0640581007 | | Agenda | | 935134940 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Linda Z. Cook | Management | For | For | |
| 1B. | Election of Director: Joseph J. Echevarria | Management | For | For | |
| 1C. | Election of Director: Thomas P. "Todd" Gibbons | Management | For | For | |
| 1D. | Election of Director: Jeffrey A. Goldstein | Management | For | For | |
| 1E. | Election of Director: Edmund F. "Ted" Kelly | Management | For | For | |
| 1F. | Election of Director: Jennifer B. Morgan | Management | For | For | |
| 1G. | Election of Director: Elizabeth E. Robinson | Management | For | For | |
| 1H. | Election of Director: Samuel C. Scott III | Management | For | For | |
| 1I. | Election of Director: Frederick O. Terrell | Management | For | For | |
| 1J. | Election of Director: Alfred W. "Al" Zollar | Management | For | For | |
| 2. | Advisory resolution to approve the 2019 compensation of our named executive officers. | Management | For | For | |
| 3. | Ratification of KPMG LLP as our independent auditor for 2020. | Management | For | For | |
| 4. | Stockholder proposal regarding pay equity report. | Shareholder | For | Against | |
| 5. | Stockholder proposal regarding stockholder vote on bylaw and charter amendments. | Shareholder | Against | For | |
| CNH INDUSTRIAL N V | |
| Security | N20944109 | | Meeting Type | Annual |
| Ticker Symbol | CNHI | | Meeting Date | 16-Apr-2020 |
| ISIN | NL0010545661 | | Agenda | 935138950 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 2B. | Adoption of the 2019 Annual Financial Statements. | Management | For | For | |
| 2C. | Determination and distribution of dividend. | Management | Abstain | Against | |
| 2D. | Release from liability of the executive directors and the non- executive directors of the Board. | Management | For | For | |
| 3A. | 2019 Remuneration Report (advisory vote). | Management | For | For | |
| 3B. | Amendment to the Remuneration Policy. | Management | For | For | |
| 3C. | Proposal to approve the plan to award (rights to subscribe for) common shares in the capital of the Company to executive directors in accordance with Article 13.6 of the Company's Articles of Association. | Management | For | For | |
| 4A. | Re-appointment of Suzanne Heywood (executive director) | Management | For | For | |
| 4B. | Re-appointment of Hubertus M. Mühlhäuser (executive director) | Management | For | For | |
| 4C. | Re-appointment of Léo W. Houle (non-executive director) | Management | Against | Against | |
| 4D. | Re-appointment of John B. Lanaway (non-executive director) | Management | For | For | |
| 4E. | Re-appointment of Alessandro Nasi (non-executive director) | Management | Against | Against | |
| 4F. | Re-appointment of Lorenzo Simonelli (non-executive director) | Management | For | For | |
| 4G. | Re-appointment of Jacqueline A. Tammenoms Bakker (non-executive director) | Management | For | For | |
| 4H. | Re-appointment of Jacques Theurillat (non-executive director) | Management | For | For | |
| 4I. | Appointment of Howard Buffett (non-executive director) | Management | For | For | |
| 4J. | Appointment of Nelda (Janine) Connors (non-executive director) | Management | For | For | |
| 4K. | Appointment of Tufan Erginbilgic (non-executive director) | Management | For | For | |
| 4L. | Appointment of Vagn Sørensen (non-executive director) | Management | For | For | |
| 5. | Proposal to re-appoint Ernst & Young Accountants LLP as the independent auditor of the Company. | Management | For | For | |
| 6. | Replacement of the existing authorization to the Board of the authority to acquire common shares in the capital of the Company. | Management | For | For | |
| CNH INDUSTRIAL N V | |
| Security | N20944109 | | Meeting Type | Annual |
| Ticker Symbol | CNHI | | Meeting Date | 16-Apr-2020 |
| ISIN | NL0010545661 | | Agenda | 935158748 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 2B. | Adoption of the 2019 Annual Financial Statements. | Management | For | For | |
| 2C. | Determination and distribution of dividend. | Management | Abstain | Against | |
| 2D. | Release from liability of the executive directors and the non- executive directors of the Board. | Management | For | For | |
| 3A. | 2019 Remuneration Report (advisory vote). | Management | For | For | |
| 3B. | Amendment to the Remuneration Policy. | Management | For | For | |
| 3C. | Proposal to approve the plan to award (rights to subscribe for) common shares in the capital of the Company to executive directors in accordance with Article 13.6 of the Company's Articles of Association. | Management | For | For | |
| 4A. | Re-appointment of Suzanne Heywood (executive director) | Management | For | For | |
| 4B. | Re-appointment of Hubertus M. Mühlhäuser (executive director) | Management | For | For | |
| 4C. | Re-appointment of Léo W. Houle (non-executive director) | Management | Against | Against | |
| 4D. | Re-appointment of John B. Lanaway (non-executive director) | Management | For | For | |
| 4E. | Re-appointment of Alessandro Nasi (non-executive director) | Management | Against | Against | |
| 4F. | Re-appointment of Lorenzo Simonelli (non-executive director) | Management | For | For | |
| 4G. | Re-appointment of Jacqueline A. Tammenoms Bakker (non-executive director) | Management | For | For | |
| 4H. | Re-appointment of Jacques Theurillat (non-executive director) | Management | For | For | |
| 4I. | Appointment of Howard Buffett (non-executive director) | Management | For | For | |
| 4J. | Appointment of Nelda (Janine) Connors (non-executive director) | Management | For | For | |
| 4K. | Appointment of Tufan Erginbilgic (non-executive director) | Management | For | For | |
| 4L. | Appointment of Vagn Sørensen (non-executive director) | Management | For | For | |
| 5. | Proposal to re-appoint Ernst & Young Accountants LLP as the independent auditor of the Company. | Management | For | For | |
| 6. | Replacement of the existing authorization to the Board of the authority to acquire common shares in the capital of the Company. | Management | For | For | |
| AGILENT TECHNOLOGIES, INC. | |
| Security | 00846U101 | | Meeting Type | Annual |
| Ticker Symbol | A | | Meeting Date | 17-Apr-2020 |
| ISIN | US00846U1016 | | Agenda | 935127313 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1.1 | Election of Director for a three-year term: Heidi Kunz | Management | For | For | |
| 1.2 | Election of Director for a three-year term: Sue H. Rataj | Management | For | For | |
| 1.3 | Election of Director for a three-year term: George A. Scangos, Ph.D. | Management | For | For | |
| 1.4 | Election of Director for a three-year term: Dow R. Wilson | Management | For | For | |
| 2. | To approve the Agilent Technologies, Inc. 2020 Employee Stock Purchase Plan. | Management | For | For | |
| 3. | To approve, on a non-binding advisory basis, the compensation of Agilent's named executive officers. | Management | For | For | |
| 4. | To ratify the Audit and Finance Committee's appointment of PricewaterhouseCoopers LLP as Agilent's independent registered public accounting firm. | Management | For | For | |
| VIVENDI SA | |
| Security | F97982106 | | Meeting Type | MIX |
| Ticker Symbol | | | Meeting Date | 20-Apr-2020 |
| ISIN | FR0000127771 | | Agenda | 712254224 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A- FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE- GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED- INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | | | |
| CMMT | IN CASE AMENDMENTS OR NEW RESOLUTIONS ARE PRESENTED DURING THE MEETING, YOUR- VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CAN ALTERNATIVELY BE PASSED TO THE-CHAIRMAN OR A NAMED THIRD PARTY TO VOTE ON ANY SUCH ITEM RAISED. SHOULD YOU-WISH TO PASS CONTROL OF YOUR SHARES IN THIS WAY, PLEASE CONTACT YOUR-BROADRIDGE CLIENT SERVICE REPRESENTATIVE. THANK YOU. | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY-CLICKING ON THE MATERIAL URL LINK:-https://www.journal- officiel.gouv.fr/balo/document/202003112000485-31 | Non-Voting | | | |
| O.1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2019 | Management | For | For | |
| O.2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2019 | Management | For | For | |
| O.3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR 2019, SETTING OF THE DIVIDEND AND ITS DATE OF PAYMENT | Management | For | For | |
| O.4 | RENEWAL OF THE TERM OF OFFICE OF MR. YANNICK BOLLORE AS A MEMBER OF THE SUPERVISORY BOARD | Management | Against | Against | |
| O.5 | APPOINTMENT OF MR. LAURENT DASSAULT AS MEMBER OF THE SUPERVISORY BOARD | Management | For | For | |
| O.6 | AUTHORIZATION GRANTED TO THE MANAGEMENT BOARD FOR THE COMPANY TO PURCHASE ITS OWN SHARES WITHIN THE LIMIT OF 10% OF THE CAPITAL | Management | For | For | |
| O.7 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT PREPARED IN ACCORDANCE WITH ARTICLE L. 225-88 OF THE FRENCH COMMERCIAL CODE ON THE REGULATED AGREEMENTS AND COMMITMENTS | Management | For | For | |
| O.8 | APPROVAL OF THE INFORMATION REFERRED TO IN ARTICLE L. 225-37-3 I. OF THE FRENCH COMMERCIAL CODE CONTAINED IN THE CORPORATE GOVERNANCE REPORT | Management | For | For | |
| O.9 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. YANNICK BOLLORE, CHAIRMAN OF THE SUPERVISORY BOARD | Management | Against | Against | |
| O.10 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. ARNAUD DE PUYFONTAINE, CHAIRMAN OF THE MANAGEMENT BOARD | Management | For | For | |
| O.11 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. GILLES ALIX, MEMBER OF THE MANAGEMENT BOARD | Management | Against | Against | |
| O.12 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. CEDRIC DE BAILLIENCOURT, MEMBER OF THE MANAGEMENT BOARD | Management | For | For | |
| O.13 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. FREDERIC CREPIN, MEMBER OF THE MANAGEMENT BOARD | Management | For | For | |
| O.14 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. SIMON GILLHAM, MEMBER OF THE MANAGEMENT BOARD | Management | For | For | |
| O.15 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. HERVE PHILIPPE, MEMBER OF THE MANAGEMENT BOARD | Management | For | For | |
| O.16 | APPROVAL OF THE ELEMENTS MAKING UP THE COMPENSATION AND BENEFITS OF ANY KIND PAID DURING FINANCIAL YEAR 2019 OR ALLOCATED FOR THE SAME FINANCIAL YEAR TO MR. STEPHANE ROUSSEL, MEMBER OF THE MANAGEMENT BOARD | Management | For | For | |
| O.17 | APPROVAL OF THE COMPENSATION POLICY OF THE CHAIRMAN AND MEMBERS OF THE SUPERVISORY BOARD FOR THE FINANCIAL YEAR 2020 | Management | For | For | |
| O.18 | APPROVAL OF THE COMPENSATION POLICY OF THE CHAIRMAN OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 | Management | For | For | |
| O.19 | APPROVAL OF THE COMPENSATION POLICY FOR MEMBERS OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 | Management | For | For | |
| O.20 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. ARNAUD DE PUYFONTAINE | Management | For | For | |
| O.21 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. GILLES ALIX | Management | For | For | |
| O.22 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. CEDRIC DE BAILLIENCOURT | Management | For | For | |
| O.23 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. FREDERIC CREPIN | Management | For | For | |
| O.24 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. SIMON GILLHAM | Management | For | For | |
| O.25 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. HERVE PHILIPPE | Management | For | For | |
| O.26 | APPROVAL OF THE STATUTORY AUDITORS' SPECIAL REPORT ON THE MODIFICATION OF THE COMMITMENT, WITH RESPECT TO THE ADDITIONAL COLLECTIVE DEFINED-BENEFIT PENSION PLAN, FOR THE BENEFIT OF MR. STEPHANE ROUSSEL | Management | For | For | |
| E.27 | AUTHORIZATION GRANTED TO THE MANAGEMENT BOARD TO REDUCE THE SHARE CAPITAL BY CANCELLING SHARES WITHIN THE LIMIT OF 10% OF THE CAPITAL | Management | For | For | |
| E.28 | REDUCTION OF CAPITAL BY A MAXIMUM NOMINAL AMOUNT OF 1,954,507,735.50 EUROS, I.E. 30% OF THE CAPITAL, BY WAY OF THE REPURCHASE BY THE COMPANY OF ITS OWN SHARES WITHIN THE LIMIT OF A MAXIMUM OF 355,372,861 SHARES FOLLOWED BY THE CANCELLATION OF THE REPURCHASED SHARES, AND AUTHORIZATION TO BE GRANTED TO THE MANAGEMENT BOARD TO FORMULATE A BUYBACK PUBLIC OFFERING OF ALL SHAREHOLDERS, TO IMPLEMENT THE CAPITAL REDUCTION AND THEN TO SET THE FINAL AMOUNT | Management | Against | Against | |
| E.29 | ALIGNMENT OF ARTICLE 8 - II. OF THE BYLAWS WITH THE NEW LEGAL PROVISIONS RELATING TO THE TERMS AND CONDITIONS OF EMPLOYEE REPRESENTATION ON THE SUPERVISORY BOARD | Management | For | For | |
| E.30 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | |
| THE COCA-COLA COMPANY | |
| Security | 191216100 | | Meeting Type | Annual |
| Ticker Symbol | KO | | Meeting Date | 22-Apr-2020 |
| ISIN | US1912161007 | | Agenda | 935136285 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Herbert A. Allen | Management | For | For | |
| 1B. | Election of Director: Marc Bolland | Management | For | For | |
| 1C. | Election of Director: Ana Botín | Management | For | For | |
| 1D. | Election of Director: Christopher C. Davis | Management | For | For | |
| 1E. | Election of Director: Barry Diller | Management | For | For | |
| 1F. | Election of Director: Helene D. Gayle | Management | For | For | |
| 1G. | Election of Director: Alexis M. Herman | Management | For | For | |
| 1H. | Election of Director: Robert A. Kotick | Management | For | For | |
| 1I. | Election of Director: Maria Elena Lagomasino | Management | For | For | |
| 1J. | Election of Director: James Quincey | Management | For | For | |
| 1K. | Election of Director: Caroline J. Tsay | Management | For | For | |
| 1L. | Election of Director: David B. Weinberg | Management | For | For | |
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |
| 3. | Ratification of the appointment of Ernst & Young LLP as Independent Auditors. | Management | For | For | |
| 4. | Shareowner proposal on sugar and public health. | Shareholder | Against | For | |
| CIGNA CORPORATION | |
| Security | 125523100 | | Meeting Type | Annual |
| Ticker Symbol | CI | | Meeting Date | 22-Apr-2020 |
| ISIN | US1255231003 | | Agenda | 935141755 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: David M. Cordani | Management | For | For | |
| 1B. | Election of Director: William J. DeLaney | Management | For | For | |
| 1C. | Election of Director: Eric J. Foss | Management | For | For | |
| 1D. | Election of Director: Elder Granger, MD, MG, USA | Management | For | For | |
| 1E. | Election of Director: Isaiah Harris, Jr. | Management | For | For | |
| 1F. | Election of Director: Roman Martinez IV | Management | For | For | |
| 1G. | Election of Director: Kathleen M. Mazzarella | Management | For | For | |
| 1H. | Election of Director: Mark B. McClellan, MD, PhD | Management | For | For | |
| 1I. | Election of Director: John M. Partridge | Management | For | For | |
| 1J. | Election of Director: William L. Roper, MD, MPH | Management | For | For | |
| 1K. | Election of Director: Eric C. Wiseman | Management | For | For | |
| 1L. | Election of Director: Donna F. Zarcone | Management | For | For | |
| 2. | Advisory approval of Cigna's executive compensation. | Management | For | For | |
| 3. | Ratification of appointment of PricewaterhouseCoopers LLP as Cigna's independent registered public accounting firm for 2020. | Management | For | For | |
| 4. | Shareholder proposal - Shareholder right to call a special meeting. | Shareholder | Against | For | |
| 5. | Shareholder proposal - Gender pay gap report. | Shareholder | Abstain | Against | |
| NESTLE S.A. | |
| Security | H57312649 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 23-Apr-2020 |
| ISIN | CH0038863350 | | Agenda | 712296866 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF-NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED.-THANK YOU. | Non-Voting | | | |
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE-REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A-REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB- CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | |
| 1.1 | APPROVAL OF THE ANNUAL REVIEW, THE FINANCIAL STATEMENTS OF NESTLE S.A. AND THE CONSOLIDATED FINANCIAL STATEMENTS OF THE NESTLE GROUP FOR 2019 | Management | No Action | | |
| 1.2 | ACCEPTANCE OF THE COMPENSATION REPORT 2019 (ADVISORY VOTE) | Management | No Action | | |
| 2 | DISCHARGE TO THE MEMBERS OF THE BOARD OF DIRECTORS AND OF THE MANAGEMENT | Management | No Action | | |
| 3 | APPROPRIATION OF PROFIT RESULTING FROM THE BALANCE SHEET OF NESTLE S.A. (PROPOSED DIVIDEND) FOR THE FINANCIAL YEAR 2019 | Management | No Action | | |
| 4.1.1 | RE-ELECTION AS MEMBER AND CHAIRMAN OF THE BOARD OF DIRECTORS: MR. PAUL BULCKE | Management | No Action | | |
| 4.1.2 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. ULF MARK SCHNEIDER | Management | No Action | | |
| 4.1.3 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. HENRI DE CASTRIES | Management | No Action | | |
| 4.1.4 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. RENATO FASSBIND | Management | No Action | | |
| 4.1.5 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MRS. ANN M. VENEMAN | Management | No Action | | |
| 4.1.6 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MRS. EVA CHENG | Management | No Action | | |
| 4.1.7 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. PATRICK AEBISCHER | Management | No Action | | |
| 4.1.8 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MRS. URSULA M. BURNS | Management | No Action | | |
| 4.1.9 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. KASPER RORSTED | Management | No Action | | |
| 4.110 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. PABLO ISLA | Management | No Action | | |
| 4.111 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MRS. KIMBERLY A. ROSS | Management | No Action | | |
| 4.112 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. DICK BOER | Management | No Action | | |
| 4.113 | RE-ELECTION AS MEMBER OF THE BOARD OF DIRECTORS: MR. DINESH PALIWAL | Management | No Action | | |
| 4.2 | ELECTION TO THE BOARD OF DIRECTORS: MRS. HANNE JIMENEZ DE MORA | Management | No Action | | |
| 4.3.1 | ELECTION AS MEMBER OF THE COMPENSATION COMMITTEE: MR. PATRICK AEBISCHER | Management | No Action | | |
| 4.3.2 | ELECTION AS MEMBER OF THE COMPENSATION COMMITTEE: MRS. URSULA M. BURNS | Management | No Action | | |
| 4.3.3 | ELECTION AS MEMBER OF THE COMPENSATION COMMITTEE: MR. PABLO ISLA | Management | No Action | | |
| 4.3.4 | ELECTION AS MEMBER OF THE COMPENSATION COMMITTEE: MR. DICK BOER | Management | No Action | | |
| 4.4 | ELECTION OF THE STATUTORY AUDITORS: ERNST AND YOUNG SA, LAUSANNE BRANCH | Management | No Action | | |
| 4.5 | ELECTION OF THE INDEPENDENT REPRESENTATIVE: HARTMANN DREYER, ATTORNEYS-AT-LAW | Management | No Action | | |
| 5.1 | APPROVAL OF THE COMPENSATION OF THE BOARD OF DIRECTORS | Management | No Action | | |
| 5.2 | APPROVAL OF THE COMPENSATION OF THE EXECUTIVE BOARD | Management | No Action | | |
| 6 | CAPITAL REDUCTION (BY CANCELLATION OF SHARES) | Management | No Action | | |
| 7 | IN THE EVENT OF ANY YET UNKNOWN NEW OR MODIFIED PROPOSAL BY A SHAREHOLDER DURING THE GENERAL MEETING, I INSTRUCT THE INDEPENDENT REPRESENTATIVE TO VOTE AS FOLLOWS: (YES = VOTE IN FAVOR OF ANY SUCH YET UNKNOWN PROPOSAL, NO = VOTE AGAINST ANY SUCH YET UNKNOWN PROPOSAL, ABSTAIN = ABSTAIN FROM VOTING) - THE BOARD OF DIRECTORS RECOMMENDS TO VOTE "NO" ON ANY SUCH YET UNKNOWN PROPOSAL | Shareholder | No Action | | |
| AT&T INC. | |
| Security | 00206R102 | | Meeting Type | Annual |
| Ticker Symbol | T | | Meeting Date | 24-Apr-2020 |
| ISIN | US00206R1023 | | Agenda | 935138140 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Randall L. Stephenson | Management | For | For | |
| 1B. | Election of Director: Samuel A. Di Piazza, Jr. | Management | For | For | |
| 1C. | Election of Director: Richard W. Fisher | Management | For | For | |
| 1D. | Election of Director: Scott T. Ford | Management | For | For | |
| 1E. | Election of Director: Glenn H. Hutchins | Management | For | For | |
| 1F. | Election of Director: William E. Kennard | Management | For | For | |
| 1G. | Election of Director: Debra L. Lee | Management | For | For | |
| 1H. | Election of Director: Stephen J. Luczo | Management | For | For | |
| 1I. | Election of Director: Michael B. McCallister | Management | For | For | |
| 1J. | Election of Director: Beth E. Mooney | Management | For | For | |
| 1K. | Election of Director: Matthew K. Rose | Management | For | For | |
| 1L. | Election of Director: Cynthia B. Taylor | Management | For | For | |
| 1M. | Election of Director: Geoffrey Y. Yang | Management | For | For | |
| 2. | Ratification of appointment of independent auditors. | Management | For | For | |
| 3. | Advisory approval of executive compensation. | Management | For | For | |
| 4. | Independent Board Chairman. | Shareholder | Against | For | |
| 5. | Employee Representative Director. | Shareholder | Against | For | |
| 6. | Improve Guiding Principles of Executive Compensation. | Shareholder | Against | For | |
| GENUINE PARTS COMPANY | |
| Security | 372460105 | | Meeting Type | Annual |
| Ticker Symbol | GPC | | Meeting Date | 27-Apr-2020 |
| ISIN | US3724601055 | | Agenda | 935137845 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Elizabeth W. Camp | | For | For | |
| | | 2 | Richard Cox, Jr. | | For | For | |
| | | 3 | Paul D. Donahue | | For | For | |
| | | 4 | Gary P. Fayard | | For | For | |
| | | 5 | P. Russell Hardin | | For | For | |
| | | 6 | John R. Holder | | For | For | |
| | | 7 | Donna W. Hyland | | For | For | |
| | | 8 | John D. Johns | | For | For | |
| | | 9 | Jean-Jacques Lafont | | For | For | |
| | | 10 | Robert C Loudermilk Jr | | For | For | |
| | | 11 | Wendy B. Needham | | For | For | |
| | | 12 | E. Jenner Wood III | | For | For | |
| 2. | Advisory Vote on Executive Compensation | Management | For | For | |
| 3. | Ratification of the Selection of Ernst & Young LLP as the Company's Independent Auditor for the Fiscal Year Ending December 31, 2020 | Management | For | For | |
| 4. | Shareholder Proposal Regarding Human Capital Management Disclosures | Shareholder | Abstain | Against | |
| INTERNATIONAL BUSINESS MACHINES CORP. | |
| Security | 459200101 | | Meeting Type | Annual |
| Ticker Symbol | IBM | | Meeting Date | 28-Apr-2020 |
| ISIN | US4592001014 | | Agenda | 935137782 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Thomas Buberl | Management | For | For | |
| 1B. | Election of Director: Michael L. Eskew | Management | For | For | |
| 1C. | Election of Director: David N. Farr | Management | For | For | |
| 1D. | Election of Director: Alex Gorsky | Management | For | For | |
| 1E. | Election of Director: Michelle J. Howard | Management | For | For | |
| 1F. | Election of Director: Arvind Krishna | Management | For | For | |
| 1G. | Election of Director: Andrew N. Liveris | Management | For | For | |
| 1H. | Election of Director: F. William McNabb III | Management | For | For | |
| 1I. | Election of Director: Martha E. Pollack | Management | For | For | |
| 1J. | Election of Director: Virginia M. Rometty | Management | For | For | |
| 1K. | Election of Director: Joseph R. Swedish | Management | For | For | |
| 1L. | Election of Director: Sidney Taurel | Management | For | For | |
| 1M. | Election of Director: Peter R. Voser | Management | For | For | |
| 1N. | Election of Director: Frederick H. Waddell | Management | For | For | |
| 2. | Ratification of Appointment of Independent Registered Public Accounting Firm. | Management | For | For | |
| 3. | Advisory Vote on Executive Compensation. | Management | For | For | |
| 4. | Stockholder Proposal on Shareholder Right to Remove Directors. | Shareholder | Against | For | |
| 5. | Stockholder Proposal on the Right to Act by Written Consent. | Shareholder | Against | For | |
| 6. | Stockholder Proposal to Have an Independent Board Chairman. | Shareholder | Against | For | |
| DIAMOND HILL INVESTMENT GROUP, INC. | |
| Security | 25264R207 | | Meeting Type | Annual |
| Ticker Symbol | DHIL | | Meeting Date | 28-Apr-2020 |
| ISIN | US25264R2076 | | Agenda | 935145741 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1.1 | Election of Director for a one year term: Heather E. Brilliant | Management | For | For | |
| 1.2 | Election of Director for a one year term: Randolph J. Fortener | Management | For | For | |
| 1.3 | Election of Director for a one year term: James F. Laird | Management | For | For | |
| 1.4 | Election of Director for a one year term: Paula R. Meyer | Management | For | For | |
| 1.5 | Election of Director for a one year term: Bradley C. Shoup | Management | For | For | |
| 1.6 | Election of Director for a one year term: Nicole R. St. Pierre | Management | For | For | |
| 2. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |
| 3. | Approval, on an advisory basis, of the compensation of the Company's named executive officers. | Management | For | For | |
| ALLY FINANCIAL INC | |
| Security | 02005N100 | | Meeting Type | Annual |
| Ticker Symbol | ALLY | | Meeting Date | 28-Apr-2020 |
| ISIN | US02005N1000 | | Agenda | 935146806 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Franklin W. Hobbs | Management | For | For | |
| 1B. | Election of Director: Kenneth J. Bacon | Management | For | For | |
| 1C. | Election of Director: Katryn (Trynka) Shineman Blake | Management | For | For | |
| 1D. | Election of Director: Maureen A. Breakiron-Evans | Management | For | For | |
| 1E. | Election of Director: William H. Cary | Management | For | For | |
| 1F. | Election of Director: Mayree C. Clark | Management | For | For | |
| 1G. | Election of Director: Kim S. Fennebresque | Management | For | For | |
| 1H. | Election of Director: Marjorie Magner | Management | For | For | |
| 1I. | Election of Director: Brian H. Sharples | Management | For | For | |
| 1J. | Election of Director: John J. Stack | Management | For | For | |
| 1K. | Election of Director: Michael F. Steib | Management | For | For | |
| 1L. | Election of Director: Jeffrey J. Brown | Management | For | For | |
| 2. | Advisory vote on executive compensation. | Management | For | For | |
| 3. | Ratification of the Audit Committee's engagement of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2020. | Management | For | For | |
| UNILEVER PLC | |
| Security | 904767704 | | Meeting Type | Annual |
| Ticker Symbol | UL | | Meeting Date | 29-Apr-2020 |
| ISIN | US9047677045 | | Agenda | 935147428 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | To receive the Report and Accounts for the year ended 31 December 2019. | Management | For | For | |
| 2. | To approve the Directors' Remuneration Report. | Management | For | For | |
| 3. | To re-elect Mr N Andersen as a Non-Executive Director. | Management | For | For | |
| 4. | To re-elect Mrs L Cha as a Non-Executive Director. | Management | For | For | |
| 5. | To re-elect Mr V Colao as a Non-Executive Director. | Management | For | For | |
| 6. | To re-elect Dr J Hartmann as a Non-Executive Director. | Management | For | For | |
| 7. | To re-elect Mr A Jope as an Executive Director. | Management | For | For | |
| 8. | To re-elect Ms A Jung as a Non-Executive Director. | Management | For | For | |
| 9. | To re-elect Ms S Kilsby as a Non-Executive Director. | Management | For | For | |
| 10. | To re-elect Mr S Masiyiwa as a Non-Executive Director. | Management | For | For | |
| 11. | To re-elect Professor Y Moon as a Non-Executive Director. | Management | For | For | |
| 12. | To re-elect Mr G Pitkethly as an Executive Director. | Management | For | For | |
| 13. | To re-elect Mr J Rishton as a Non-Executive Director. | Management | For | For | |
| 14. | To re-elect Mr F Sijbesma as a Non-Executive Director. | Management | For | For | |
| 15. | To reappoint KPMG LLP as Auditor of the Company. | Management | For | For | |
| 16. | To authorise the Directors to fix the remuneration of the Auditor. | Management | For | For | |
| 17. | To authorise Political Donations and expenditure. | Management | For | For | |
| 18. | To renew the authority to Directors to issue shares. | Management | For | For | |
| 19. | To renew the authority to Directors to disapply pre- emption rights. | Management | For | For | |
| 20. | To renew the authority to Directors to disapply pre- emption rights for the purposes of acquisitions or capital investments. | Management | For | For | |
| 21. | To renew the authority to the Company to purchase its own shares. | Management | For | For | |
| 22. | To shorten the Notice period for General Meetings. | Management | For | For | |
| ECHOSTAR CORPORATION | |
| Security | 278768106 | | Meeting Type | Annual |
| Ticker Symbol | SATS | | Meeting Date | 30-Apr-2020 |
| ISIN | US2787681061 | | Agenda | 935146743 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | R. Stanton Dodge | | For | For | |
| | | 2 | Michael T. Dugan | | For | For | |
| | | 3 | Charles W. Ergen | | For | For | |
| | | 4 | Anthony M. Federico | | Withheld | Against | |
| | | 5 | Pradman P. Kaul | | For | For | |
| | | 6 | C. Michael Schroeder | | Withheld | Against | |
| | | 7 | Jeffrey R. Tarr | | Withheld | Against | |
| | | 8 | William D. Wade | | Withheld | Against | |
| 2. | To ratify the appointment of KPMG LLP as EchoStar Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |
| 3. | To approve, on a non-binding advisory basis, the compensation of our named executive officers as presented in the proxy statement. | Management | For | For | |
| JANUS HENDERSON GROUP PLC | |
| Security | G4474Y214 | | Meeting Type | Annual |
| Ticker Symbol | JHG | | Meeting Date | 30-Apr-2020 |
| ISIN | JE00BYPZJM29 | | Agenda | 935147315 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | To receive the 2019 Annual Report and Accounts. | Management | For | For | |
| 2. | To reappoint Ms K Desai as a Director. | Management | For | For | |
| 3. | To reappoint Mr J Diermeier as a Director. | Management | For | For | |
| 4. | To reappoint Mr K Dolan as a Director. | Management | For | For | |
| 5. | To reappoint Mr E Flood Jr as a Director. | Management | For | For | |
| 6. | To reappoint Mr R Gillingwater as a Director. | Management | For | For | |
| 7. | To reappoint Mr L Kochard as a Director. | Management | For | For | |
| 8. | To reappoint Mr G Schafer as a Director. | Management | For | For | |
| 9. | To reappoint Ms A Seymour-Jackson as a Director. | Management | For | For | |
| 10. | To reappoint Mr R Weil as a Director. | Management | For | For | |
| 11. | To reappoint Mr T Yamamoto as a Director. | Management | For | For | |
| 12. | To reappoint PricewaterhouseCoopers LLP as Auditors and to authorize the Audit Committee to agree to their remuneration. | Management | For | For | |
| 13. | To authorize the Company to purchase its own shares to a limited extent. | Management | For | For | |
| 14. | To authorize the Company to purchase its own CDIs to a limited extent. | Management | For | For | |
| BAXTER INTERNATIONAL INC. | |
| Security | 071813109 | | Meeting Type | Annual |
| Ticker Symbol | BAX | | Meeting Date | 05-May-2020 |
| ISIN | US0718131099 | | Agenda | 935147036 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: José (Joe) E. Almeida | Management | For | For | |
| 1B. | Election of Director: Thomas F. Chen | Management | For | For | |
| 1C. | Election of Director: John D. Forsyth | Management | For | For | |
| 1D. | Election of Director: James R. Gavin III | Management | For | For | |
| 1E. | Election of Director: Peter S. Hellman | Management | For | For | |
| 1F. | Election of Director: Michael F. Mahoney | Management | For | For | |
| 1G. | Election of Director: Patricia B. Morrison | Management | For | For | |
| 1H. | Election of Director: Stephen N. Oesterle | Management | For | For | |
| 1I. | Election of Director: Cathy R. Smith | Management | For | For | |
| 1J. | Election of Director: Thomas T. Stallkamp | Management | For | For | |
| 1K. | Election of Director: Albert P.L. Stroucken | Management | For | For | |
| 1L. | Election of Director: Amy A. Wendell | Management | For | For | |
| 2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |
| 3. | Ratification of Appointment of Independent Registered Public Accounting Firm | Management | For | For | |
| 4. | Stockholder Proposal - Independent Board Chairman | Shareholder | Against | For | |
| 5. | Stockholder Proposal - Right to Act by Written Consent | Shareholder | Against | For | |
| GENERAL ELECTRIC COMPANY | |
| Security | 369604103 | | Meeting Type | Annual |
| Ticker Symbol | GE | | Meeting Date | 05-May-2020 |
| ISIN | US3696041033 | | Agenda | 935149369 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | Election of Director: Sébastien Bazin | Management | For | For | |
| 2. | Election of Director: Ashton Carter | Management | For | For | |
| 3. | Election of Director: H. Lawrence Culp, Jr. | Management | For | For | |
| 4. | Election of Director: Francisco D'Souza | Management | For | For | |
| 5. | Election of Director: Edward Garden | Management | For | For | |
| 6. | Election of Director: Thomas Horton | Management | For | For | |
| 7. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |
| 8. | Election of Director: Catherine Lesjak | Management | For | For | |
| 9. | Election of Director: Paula Rosput Reynolds | Management | For | For | |
| 10. | Election of Director: Leslie Seidman | Management | For | For | |
| 11. | Election of Director: James Tisch | Management | For | For | |
| 12. | Advisory Approval of Our Named Executives' Compensation | Management | For | For | |
| 13. | Ratification of KPMG as Independent Auditor for 2020 | Management | For | For | |
| 14. | Require the Chairman of the Board to be Independent | Shareholder | Against | For | |
| AMERICAN EXPRESS COMPANY | |
| Security | 025816109 | | Meeting Type | Annual |
| Ticker Symbol | AXP | | Meeting Date | 05-May-2020 |
| ISIN | US0258161092 | | Agenda | 935151439 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director for a term of one year: Charlene Barshefsky | Management | For | For | |
| 1B. | Election of Director for a term of one year: John J. Brennan | Management | For | For | |
| 1C. | Election of Director for a term of one year: Peter Chernin | Management | For | For | |
| 1D. | Election of Director for a term of one year: Ralph de la Vega | Management | For | For | |
| 1E. | Election of Director for a term of one year: Anne Lauvergeon | Management | For | For | |
| 1F. | Election of Director for a term of one year: Michael O. Leavitt | Management | For | For | |
| 1G. | Election of Director for a term of one year: Theodore J. Leonsis | Management | For | For | |
| 1H. | Election of Director for a term of one year: Karen L. Parkhill | Management | For | For | |
| 1I. | Election of Director for a term of one year: Lynn A. Pike | Management | For | For | |
| 1J. | Election of Director for a term of one year: Stephen J. Squeri | Management | For | For | |
| 1K. | Election of Director for a term of one year: Daniel L. Vasella | Management | For | For | |
| 1L. | Election of Director for a term of one year: Ronald A. Williams | Management | For | For | |
| 1M. | Election of Director for a term of one year: Christopher D. Young | Management | For | For | |
| 2. | Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2020. | Management | For | For | |
| 3. | Approval, on an advisory basis, of the Company's executive compensation. | Management | For | For | |
| 4. | Approval of Amended and Restated Incentive Compensation Plan. | Management | For | For | |
| 5. | Shareholder proposal relating to action by written consent. | Shareholder | Against | For | |
| 6. | Shareholder proposal relating to gender/racial pay equity. | Shareholder | Abstain | Against | |
| BRISTOL-MYERS SQUIBB COMPANY | |
| Security | 110122108 | | Meeting Type | Annual |
| Ticker Symbol | BMY | | Meeting Date | 05-May-2020 |
| ISIN | US1101221083 | | Agenda | 935151681 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Peter J. Arduini | Management | For | For | |
| 1B. | Election of Director: Robert Bertolini | Management | For | For | |
| 1C. | Election of Director: Michael W. Bonney | Management | For | For | |
| 1D. | Election of Director: Giovanni Caforio, M.D. | Management | For | For | |
| 1E. | Election of Director: Matthew W. Emmens | Management | For | For | |
| 1F. | Election of Director: Julia A. Haller, M.D. | Management | For | For | |
| 1G. | Election of Director: Dinesh C. Paliwal | Management | For | For | |
| 1H. | Election of Director: Theodore R. Samuels | Management | For | For | |
| 1I. | Election of Director: Vicki L. Sato, Ph.D. | Management | For | For | |
| 1J. | Election of Director: Gerald L. Storch | Management | For | For | |
| 1K. | Election of Director: Karen H. Vousden, Ph.D. | Management | For | For | |
| 1L. | Election of Director: Phyllis R. Yale | Management | For | For | |
| 2. | Advisory vote to approve the compensation of our Named Executive Officers. | Management | For | For | |
| 3. | Ratification of the appointment of an independent registered public accounting firm. | Management | For | For | |
| 4. | Shareholder Proposal on Separate Chair & CEO. | Shareholder | Against | For | |
| 5. | Shareholder Proposal on Shareholder Right to Act by Written Consent. | Shareholder | Against | For | |
| STANDARD CHARTERED PLC | |
| Security | G84228157 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 06-May-2020 |
| ISIN | GB0004082847 | | Agenda | 712474232 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 385288 DUE TO INCLUSION-OF WITHDRAWAL RESOLUTION 2. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL-BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE-REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND-YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE- ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS-SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | | | |
| 1 | TO RECEIVE THE COMPANY'S ANNUAL REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITORS | Management | For | For | |
| 2 | TO DECLARE A FINAL DIVIDEND OF USD 0.20 PER ORDINARY SHARE FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | Abstain | Against | |
| 3 | TO APPROVE THE ANNUAL REPORT ON REMUNERATION CONTAINED IN THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2019 AS SET OUT ON PAGES 108 TO 137 OF THE 2019 ANNUAL REPORT | Management | For | For | |
| 4 | TO ELECT PHIL RIVETT (64), AN INDEPENDENT NON- EXECUTIVE DIRECTOR | Management | For | For | |
| 5 | TO ELECT, DAVID TANG (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 6 | TO RE-ELECT DAVID CONNER (71), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 7 | TO RE-ELECT BYRON GROTE (72), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 8 | TO RE-ELECT ANDY HALFORD (61), AN EXECUTIVE DIRECTOR | Management | For | For | |
| 9 | TO RE-ELECT CHRISTINE HODGSON, CBE (55), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 10 | TO RE-ELECT GAY HUEY EVANS, OBE (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 11 | TO RE-ELECT NAGUIB KHERAJ (55), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 12 | TO RE-ELECT NGOZI OKONJO-IWEALA (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 13 | TO RE-ELECT CARLSON TONG (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 14 | TO RE-ELECT JOSE VINALS (65), AS GROUP CHAIRMAN | Management | For | For | |
| 15 | TO RE-ELECT JASMINE WHITBREAD (56), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |
| 16 | TO RE-ELECT BILL WINTERS, CBE (58), AN EXECUTIVE DIRECTOR | Management | For | For | |
| 17 | TO APPOINT ERNST & YOUNG LLP (EY) AS AUDITOR TO THE COMPANY FROM THE END OF THE AGM UNTIL THE END OF NEXT YEAR'S AGM | Management | For | For | |
| 18 | TO AUTHORISE THE AUDIT COMMITTEE, ACTING FOR AND ON BEHALF OF THE BOARD, TO SET THE REMUNERATION OF THE AUDITOR | Management | For | For | |
| 19 | THAT IN ACCORDANCE WITH SECTIONS 366 AND 367 OF THE COMPANIES ACT 2006, THE COMPANY AND ALL COMPANIES THAT ARE ITS SUBSIDIARIES DURING THE PERIOD FOR WHICH THIS RESOLUTION HAS EFFECT ARE AUTHORISED TO: (A) MAKE DONATIONS TO POLITICAL PARTIES AND/OR INDEPENDENT ELECTION CANDIDATES NOT EXCEEDING GBP 100,000 IN TOTAL; (B) MAKE DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES NOT EXCEEDING GBP 100,000 IN TOTAL; AND (C) INCUR POLITICAL EXPENDITURE NOT EXCEEDING GBP 100,000 IN TOTAL (AS SUCH TERMS ARE DEFINED IN SECTIONS 363 TO 365 OF THE COMPANIES ACT 2006) PROVIDED THAT THE AGGREGATE AMOUNT OF ANY SUCH DONATIONS AND EXPENDITURE SHALL NOT EXCEED GBP 100,000 DURING THE PERIOD BEGINNING WITH THE DATE OF PASSING OF THIS RESOLUTION AND EXPIRING AT THE END OF NEXT YEAR S AGM, UNLESS SUCH AUTHORITY HAS BEEN PREVIOUSLY RENEWED, REVOKED OR VARIED BY THE COMPANY IN A GENERAL MEETING AND PROVIDED THAT THE AUTHORISED SUM REFERRED TO IN PARAGRAPHS (A), (B) AND (C) MAY BE COMPRISED OF ONE OR MORE AMOUNTS IN DIFFERENT CURRENCIES WHICH, FOR THE PURPOSES OF CALCULATING THAT AUTHORISED SUM, SHALL BE CONVERTED INTO POUNDS STERLING AT THE RATE OF EXCHANGE PUBLISHED IN THE LONDON EDITION OF THE FINANCIAL TIMES ON THE DAY ON WHICH THE RELEVANT DONATION IS MADE OR THE RELEVANT EXPENDITURE IS INCURRED OR, IF EARLIER, ON THE DAY ON WHICH THE COMPANY OR ITS SUBSIDIARY ENTERS INTO ANY CONTRACT OR UNDERTAKING IN RELATION TO SUCH DONATION OR EXPENDITURE (OR, IF SUCH DAY IS NOT A BUSINESS DAY, THE FIRST BUSINESS DAY THEREAFTER) | Management | For | For | |
| 20 | THAT THE BOARD BE AUTHORISED: (A) TO MAKE AN OFFER TO THE HOLDERS OF ORDINARY SHARES (EXCLUDING ANY MEMBER HOLDING SHARES AS TREASURY SHARES) TO ELECT TO RECEIVE NEW ORDINARY SHARES IN THE CAPITAL OF THE COMPANY, CREDITED AS FULLY PAID, IN LIEU OF ALL OR ANY PART OF ANY INTERIM OR FINAL DIVIDEND PAID IN RESPECT OF ANY FINANCIAL PERIOD OF THE COMPANY ENDING ON OR PRIOR TO 31 DECEMBER 2022 UPON SUCH TERMS AS THE BOARD MAY DETERMINE; AND (B) IN RESPECT OF ANY SUCH DIVIDEND TO CAPITALISE SUCH AMOUNT STANDING TO THE CREDIT OF THE COMPANY'S RESERVES OR FUNDS AS MAY BE NECESSARY, AND THE MAKING BY THE BOARD OF ANY SUCH OFFER AND ANY SUCH CAPITALISATION BY THE BOARD IN EACH CASE IN RESPECT OF ANY PRIOR FINANCIAL PERIOD IS CONFIRMED | Management | For | For | |
| 21 | THAT THE BOARD BE AUTHORISED TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT ANY SECURITY INTO SHARES IN THE COMPANY: (A) UP TO A NOMINAL AMOUNT OF USD 317,956,410.50 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (B) OR (C) SO THAT IN TOTAL NO MORE THAN USD 529,927,351.50 CAN BE ALLOTTED UNDER PARAGRAPHS (A) AND (B) AND NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)); (B) UP TO A NOMINAL AMOUNT OF USD 529,927,351.50 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (A) OR (C) SO THAT IN TOTAL NO MORE THAN USD 529,927,351.50 CAN BE ALLOTTED UNDER PARAGRAPHS (A) AND (B) AND NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)) IN CONNECTION WITH A SCRIP DIVIDEND SCHEME OR SIMILAR ARRANGEMENT IMPLEMENTED IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION OF THE COMPANY; (C) COMPRISING EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE COMPANIES ACT 2006) UP TO A NOMINAL AMOUNT OF USD 1,059,854,703 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (A) OR (B) SO THAT IN TOTAL NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)) IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE: (I) TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) TO HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE BOARD OTHERWISE CONSIDERS | Management | For | For | |
| | NECESSARY, AND SO THAT THE BOARD MAY IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE ANY ARRANGEMENTS WHICH IT CONSIDERS NECESSARY OR APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER; AND (D) PURSUANT TO THE TERMS OF ANY EXISTING SHARE SCHEME OF THE COMPANY OR ANY OF ITS SUBSIDIARIES OR SUBSIDIARY UNDERTAKINGS ADOPTED PRIOR TO THE DATE OF THIS MEETING. SUCH AUTHORITIES TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH SUCH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | | | | |
| 22 | THAT THE AUTHORITY GRANTED TO THE BOARD TO ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UP TO A NOMINAL AMOUNT OF USD 317,956,410.50 PURSUANT TO PARAGRAPH (A) OF RESOLUTION 21 BE EXTENDED BY THE ADDITION OF SUCH NUMBER OF ORDINARY SHARES OF USD 0.50 EACH REPRESENTING THE NOMINAL AMOUNT OF THE COMPANY'S SHARE CAPITAL REPURCHASED BY THE COMPANY UNDER THE AUTHORITY GRANTED PURSUANT TO RESOLUTION 27, TO THE EXTENT THAT SUCH EXTENSION WOULD NOT RESULT IN THE AUTHORITY TO ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES PURSUANT TO RESOLUTION 21 EXCEEDING USD 1,059,854,703 | Management | For | For | |
| 23 | THAT, IN ADDITION TO ANY AUTHORITY GRANTED PURSUANT TO RESOLUTION 21 (IF PASSED), THE BOARD BE AUTHORISED TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY UP TO AN AGGREGATE NOMINAL AMOUNT OF USD 317,956,410.50 (OR 635,912,821 SHARES), REPRESENTING APPROXIMATELY 20 PER CENT OF THE COMPANY'S NOMINAL ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020, IN RELATION TO ANY ISSUE BY THE COMPANY OR ANY SUBSIDIARY OR SUBSIDIARY UNDERTAKING OF THE COMPANY (TOGETHER, THE GROUP) OF EQUITY CONVERTIBLE ADDITIONAL TIER 1 | Management | For | For | |
| | SECURITIES (ECAT1 SECURITIES) THAT AUTOMATICALLY CONVERT INTO OR ARE EXCHANGED FOR ORDINARY SHARES IN THE COMPANY IN PRESCRIBED CIRCUMSTANCES WHERE THE BOARD CONSIDERS THAT SUCH AN ISSUANCE OF ECAT1 SECURITIES WOULD BE DESIRABLE IN CONNECTION WITH, OR FOR THE PURPOSES OF COMPLYING WITH OR MAINTAINING COMPLIANCE WITH THE REGULATORY CAPITAL REQUIREMENTS OR TARGETS APPLICABLE TO THE GROUP FROM TIME TO TIME, SUCH AUTHORITY TO EXPIRE AT THE END OF NEXT YEAR S AGM (OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT SO THAT, IN THE PERIOD BEFORE THE AUTHORITY ENDS, THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | | | | |
| 24 | THAT IF RESOLUTION 21 IS PASSED, THE BOARD BE GIVEN POWER TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO SUCH ALLOTMENT OR SALE, SUCH POWER TO BE LIMITED: (A) TO THE ALLOTMENT OF EQUITY SECURITIES AND SALE OF TREASURY SHARES FOR CASH IN CONNECTION WITH A SCRIP DIVIDEND SCHEME OR SIMILAR ARRANGEMENT IMPLEMENTED IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION OF THE COMPANY; (B) TO THE ALLOTMENT OF EQUITY SECURITIES AND SALE OF TREASURY SHARES FOR CASH IN CONNECTION WITH AN OFFER OF, OR INVITATION TO APPLY FOR, EQUITY SECURITIES UNDER THE AUTHORITIES GRANTED UNDER PARAGRAPHS (A) AND (C) OF RESOLUTION 21 (BUT IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (C) OF RESOLUTION 21, BY WAY OF A RIGHTS ISSUE ONLY): (I) TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) TO HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE BOARD OTHERWISE CONSIDERS NECESSARY, AND SO THAT THE BOARD MAY IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE ANY ARRANGEMENTS WHICH IT CONSIDERS NECESSARY OR | Management | For | For | |
| | APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER; AND (C) IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (A) OF RESOLUTION 21 AND/OR IN THE CASE OF ANY SALE OF TREASURY SHARES FOR CASH, TO THE ALLOTMENT (OTHERWISE THAN UNDER PARAGRAPHS (A) AND (B)) OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF USD 79,489,102.50, SUCH POWER TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE POWER ENDS AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT ENDED | | | | |
| 25 | THAT IF RESOLUTION 21 IS PASSED, THE BOARD BE GIVEN POWER IN ADDITION TO ANY POWER GRANTED UNDER RESOLUTION 24 TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GRANTED UNDER PARAGRAPH (A) OF RESOLUTION 21 AND/ OR SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO SUCH ALLOTMENT OR SALE, SUCH POWER TO BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF USD 79,489,102.50; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE OR FOR THE PURPOSES OF REFINANCING SUCH A TRANSACTION WITHIN SIX MONTHS OF ITS TAKING PLACE, SUCH POWER TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR | Management | For | For | |
| | MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE POWER ENDS AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT ENDED | | | | |
| 26 | THAT, IN ADDITION TO THE POWERS GRANTED PURSUANT TO RESOLUTIONS 24 AND 25 (IF PASSED), AND IF RESOLUTION 23 IS PASSED, THE BOARD BE GIVEN THE POWER TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY RESOLUTION 23 AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY, SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | Management | For | For | |
| 27 | THAT THE COMPANY BE AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF ITS ORDINARY SHARES OF USD 0.50 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PURCHASE MORE THAN 317,956,410 SHARES UNDER THIS AUTHORITY; (B) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (C) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN THE HIGHER OF (I) FIVE PER CENT OVER THE AVERAGE OF THE MIDDLE MARKET PRICES OF THE ORDINARY SHARES ACCORDING TO THE DAILY OFFICIAL LIST OF THE LONDON STOCK EXCHANGE FOR THE FIVE BUSINESS DAYS IMMEDIATELY BEFORE THE DATE ON WHICH THE COMPANY AGREES TO BUY THE SHARES AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT PURCHASE BID ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT (INCLUDING WHEN THE SHARES ARE TRADED ON DIFFERENT TRADING VENUES), SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE | Management | For | For | |
| | AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF ORDINARY SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (B) AND (C), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE. STANDARD CHARTERED 16 NOTICE OF ANNUAL GENERAL MEETING 2020 891413 (STANDARD CHARTERED) NOTICE OF AGM CIR (ENG) 21/03/2020 M40 P.16 THE BOARD CONSIDERS THAT THE RESOLUTIONS IN THIS NOTICE OF MEETING ARE IN THE BEST INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AND RECOMMEND ALL SHAREHOLDERS VOTE IN FAVOUR OF ALL THE RESOLUTIONS, AS THE DIRECTORS INTEND TO DO IN RESPECT OF THEIR OWN SHARES, WITH THE EXCEPTION OF RESOLUTION 21. BY ORDER OF THE BOARD AMANDA MELLOR GROUP COMPANY SECRETARY STANDARD CHARTERED PLC 1 BASINGHALL AVENUE, LONDON EC2V 5DD REGISTERED IN ENGLAND AND WALES NUMBER 966425 27 MARCH 2020 EXISTING ARTICLES OF ASSOCIATION SINCE THEY WERE LAST AMENDED IN 2010. THE NEW ARTICLES TAKE ACCOUNT OF DEVELOPMENTS IN MARKET PRACTICE AND TECHNOLOGICAL ADVANCEMENTS REGARDING SHAREHOLDER ACCESSIBILITY AND PARTICIPATION AT THE COMPANY S GENERAL MEETINGS, FOR EXAMPLE BY PERMITTING THE COMPANY TO HOLD GENERAL MEETINGS PARTLY THROUGH AN ELECTRONIC PLATFORM. THE AMENDMENTS WILL ALSO PROVIDE GREATER FLEXIBILITY IN DECIDING DIVIDEND PAYMENT METHODS, ENSURING SHAREHOLDERS RECEIVE THEIR PAYMENTS PROMPTLY AND SECURELY. UNDER THE NEW ARTICLES, THE COMPANY WILL BE ABLE TO MAXIMISE ITS CAPACITY TO LOCATE AND UNITE CERTAIN GONE-AWAY AND LOST SHAREHOLDERS WITH THEIR DIVIDENDS AND/ OR SHARES THROUGH AN UNCLAIMED ASSET REUNIFICATION PROGRAMME. THE PRINCIPAL CHANGES ARE SET OUT IN APPENDIX 2 ON PAGES | | | | |
| | 25 AND 26. OTHER CHANGES WHICH ARE OF A MINOR, TECHNICAL OR CLARIFYING NATURE HAVE NOT BEEN SUMMARISED IN THAT APPENDIX. THE NEW ARTICLES WILL, IF RESOLUTION 29 IS PASSED, BECOME EFFECTIVE AT CONCLUSION OF THE AGM. NOTICE OF GENERAL MEETINGS RESOLUTION 30 PRESERVES THE COMPANY S ABILITY TO CALL GENERAL MEETINGS (OTHER THAN AN AGM) ON 14 CLEAR DAYS NOTICE. 30. THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS NOTICE. THE NOTICE PERIOD REQUIRED FOR GENERAL MEETINGS OF THE COMPANY IS 21 DAYS UNLESS SHAREHOLDERS APPROVE A SHORTER NOTICE PERIOD, WHICH CANNOT HOWEVER BE LESS THAN 14 CLEAR DAYS (AGMS ARE STILL REQUIRED TO BE HELD ON AT LEAST 21 CLEAR DAYS NOTICE). RESOLUTION 30 SEEKS SUCH APPROVAL. THE APPROVAL WILL BE EFFECTIVE UNTIL THE COMPANY S NEXT ANNUAL GENERAL MEETING, WHEN IT IS INTENDED THAT A SIMILAR RESOLUTION WILL BE PROPOSED. NOTE THAT, IN ORDER TO BE ABLE TO CALL A GENERAL MEETING ON LESS THAN 21 CLEAR DAYS NOTICE, THE COMPANY MUST MAKE A MEANS OF ELECTRONIC VOTING AVAILABLE TO ALL SHAREHOLDERS FOR THAT MEETING. THE SHORTER NOTICE PERIOD WOULD NOT BE USED ROUTINELY FOR SUCH MEETINGS, BUT ONLY WHERE THE FLEXIBILITY IS MERITED BY THE BUSINESS OF THE MEETING AND IS THOUGHT TO BE TO THE ADVANTAGE OF SHAREHOLDERS AS A WHOLE. IN ACCORDANCE WITH RULE 7.19A(1) OF THE HONG KONG LISTING RULES, THE DIRECTORS (EXCLUDING INDEPENDENT NON-EXECUTIVE DIRECTORS) AND THEIR RESPECTIVE ASSOCIATES WILL ABSTAIN FROM VOTING IN FAVOUR OF RESOLUTION 21 FOR THE REASONS SET OUT ON PAGES 12 AND 13 OF THIS DOCUMENT. THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE RELEVANT PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE | | | | |
| 28 | THAT THE COMPANY BE AUTHORISED TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF UP TO 15,000 PREFERENCE SHARES OF USD 5.00 EACH AND UP TO 195,285,000 PREFERENCE SHARES OF GBP 1.00 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (B) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN 25 PER CENT ABOVE THE FOLLOWING: (I) IN RESPECT OF THE USD PREFERENCE SHARES, THE BLOOMBERG FIT COMPOSITE BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE; (II) IN RESPECT OF THE GBP PREFERENCE SHARES, THE LONDON STOCK EXCHANGE BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE; (III) IN RESPECT OF EITHER USD OR GBP PREFERENCE SHARES, WHERE THE RELEVANT BID PRICE IS NOT AVAILABLE UNDER (I) OR (II), THE HIGHEST INDEPENDENT BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE, SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (A) AND (B), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE EFFECT OF THIS RESOLUTION IS TO RENEW THE AUTHORITY GRANTED TO THE COMPANY TO PURCHASE ITS OWN SHARES UP TO A MAXIMUM OF 317,956,410 ORDINARY SHARES UNTIL NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 | Management | For | For | |
| | AUGUST 2021) AT, OR BETWEEN, THE MINIMUM AND MAXIMUM PRICES SPECIFIED IN THIS RESOLUTION. THIS IS APPROXIMATELY 10 PER CENT OF THE COMPANY S ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020 (THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT). NO REPURCHASES OF SHARES WILL BE CONDUCTED ON THE STOCK EXCHANGE OF HONG KONG LIMITED. THE DIRECTORS BELIEVE THAT IT IS IN THE BEST INTERESTS OF THE COMPANY AND ALL OF ITS SHAREHOLDERS TO HAVE A GENERAL AUTHORITY FOR THE COMPANY TO BUY BACK ITS ORDINARY SHARES IN THE MARKET. THE DIRECTORS INTEND TO KEEP UNDER REVIEW THE POTENTIAL TO PURCHASE ORDINARY SHARES. PURCHASES WILL ONLY BE MADE IF THE DIRECTORS CONSIDER THAT THE PURCHASE WOULD BE FOR THE BENEFIT OF THE COMPANY AND OF ITS SHAREHOLDERS GENERALLY, TAKING INTO ACCOUNT RELEVANT FACTORS AND CIRCUMSTANCES AT THAT TIME, FOR EXAMPLE THE EFFECT ON EARNINGS PER SHARE. THE COMPANIES ACT 2006 PERMITS THE COMPANY TO HOLD ANY SUCH BOUGHT BACK SHARES IN TREASURY AS AN ALTERNATIVE TO CANCELLING THEM IMMEDIATELY. IF THE COMPANY PURCHASES ANY OF ITS ORDINARY SHARES AND HOLDS THEM IN TREASURY, THE COMPANY MAY SELL THESE SHARES (OR ANY OF THEM) FOR CASH, TRANSFER THESE SHARES (OR ANY OF THEM) FOR THE PURPOSES OF OR PURSUANT TO AN EMPLOYEE SHARE SCHEME, CANCEL THESE SHARES (OR ANY OF THEM) OR CONTINUE TO HOLD THEM IN TREASURY. HOLDING SUCH SHARES IN TREASURY GIVES THE COMPANY THE ABILITY TO REISSUE THEM QUICKLY AND COST EFFECTIVELY AND PROVIDES ADDITIONAL FLEXIBILITY IN THE MANAGEMENT OF THE COMPANY S CAPITAL BASE. NO DIVIDENDS WILL BE PAID ON, AND NO VOTING RIGHTS WILL BE EXERCISED, IN RESPECT OF SHARES HELD IN TREASURY. THE DIRECTORS INTEND TO DECIDE WHETHER TO CANCEL SHARES PURCHASED PURSUANT TO THIS AUTHORITY OR HOLD THEM IN TREASURY BASED ON THE INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AT THE RELEVANT TIME. THE TOTAL NUMBER OF OPTIONS TO SUBSCRIBE FOR ORDINARY SHARES OUTSTANDING AT 13 MARCH 2020, THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT, WAS 77,399,464, WHICH REPRESENTED 2.43 PER CENT OF THE ISSUED ORDINARY SHARE CAPITAL AT THAT DATE. AS AT 13 MARCH 2020, THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT, THERE WERE NO WARRANTS OVER ORDINARY | | | | |
| | SHARES OUTSTANDING. IF THE COMPANY WERE TO PURCHASE THE MAXIMUM NUMBER OF ORDINARY SHARES PERMITTED UNDER THIS RESOLUTION, THE PROPORTION OF ORDINARY SHARES SUBJECT TO OUTSTANDING OPTIONS WOULD REPRESENT APPROXIMATELY 3.06 PER CENT OF THE ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020. PURCHASE OF OWN ORDINARY SHARES OR PREFERENCE SHARES RESOLUTIONS 27 AND 28 SEEK AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES OR PREFERENCE SHARES SUBJECT TO SPECIFIED LIMITS AND CONDITIONS. 27. THAT THE COMPANY BE AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF ITS ORDINARY SHARES OF USD 0.50 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PURCHASE MORE THAN 317,956,410 SHARES UNDER THIS AUTHORITY; (B) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (C) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN THE HIGHER OF (I) FIVE PER CENT OVER THE AVERAGE OF THE MIDDLE MARKET PRICES OF THE ORDINARY SHARES ACCORDING TO THE DAILY OFFICIAL LIST OF THE LONDON STOCK EXCHANGE FOR THE FIVE BUSINESS DAYS IMMEDIATELY BEFORE THE DATE ON WHICH THE COMPANY AGREES TO BUY THE SHARES AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT PURCHASE BID ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT (INCLUDING WHEN THE SHARES ARE TRADED ON DIFFERENT TRADING VENUES), SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF ORDINARY SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (B) AND (C), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE | | | | |
| | MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE. STANDARD CHARTERED 16 NOTICE OF ANNUAL GENERAL MEETING 2020 891413 (STANDARD CHARTERED) NOTICE OF AGM CIR (ENG) 21/03/2020 M40 P.16 THE BOARD CONSIDERS THAT THE RESOLUTIONS IN THIS NOTICE OF MEETING ARE IN THE BEST INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AND RECOMMEND ALL SHAREHOLDERS VOTE IN FAVOUR OF ALL THE RESOLUTIONS, AS THE DIRECTORS INTEND TO DO IN RESPECT OF THEIR OWN SHARES, WITH THE EXCEPTION OF RESOLUTION 21 | | | | |
| 29 | THAT WITH EFFECT FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING, THE ARTICLES OF ASSOCIATION PRODUCED TO THE MEETING, AND INITIALLED FOR THE PURPOSE OF IDENTIFICATION BY THE GROUP CHAIRMAN, BE AND ARE HEREBY ADOPTED AS THE ARTICLES OF ASSOCIATION OF THE COMPANY, IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING ARTICLES OF ASSOCIATION | Management | For | For | |
| 30 | THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE | Management | For | For | |
| CMMT | 23 APR 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO THE CHANGE IN VOTING-STATUS OF RESOLUTION 2, WHICH HAD PREVIOUSLY BEEN WITHDRAWN. IF YOU HAVE-ALREADY SENT IN YOUR VOTES TO MID 397601, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | |
| GILEAD SCIENCES, INC. | |
| Security | 375558103 | | Meeting Type | Annual |
| Ticker Symbol | GILD | | Meeting Date | 06-May-2020 |
| ISIN | US3755581036 | | Agenda | 935151883 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Jacqueline K. Barton, Ph.D. | Management | For | For | |
| 1B. | Election of Director: Sandra J. Horning, M.D. | Management | For | For | |
| 1C. | Election of Director: Kelly A. Kramer | Management | For | For | |
| 1D. | Election of Director: Kevin E. Lofton | Management | For | For | |
| 1E. | Election of Director: Harish Manwani | Management | For | For | |
| 1F. | Election of Director: Daniel P. O'Day | Management | For | For | |
| 1G. | Election of Director: Richard J. Whitley, M.D. | Management | For | For | |
| 1H. | Election of Director: Per Wold-Olsen | Management | For | For | |
| 2. | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2020. | Management | For | For | |
| 3. | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | Management | For | For | |
| 4. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | Shareholder | Against | For | |
| 5. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board eliminate the ownership threshold for stockholders to request a record date to take action by written consent. | Shareholder | Against | For | |
| INTERNATIONAL FLAVORS & FRAGRANCES INC. | |
| Security | 459506101 | | Meeting Type | Annual |
| Ticker Symbol | IFF | | Meeting Date | 06-May-2020 |
| ISIN | US4595061015 | | Agenda | 935153560 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Marcello V. Bottoli | Management | For | For | |
| 1B. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Michael L. Ducker | Management | For | For | |
| 1C. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: David R. Epstein | Management | For | For | |
| 1D. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Roger W. Ferguson, Jr. | Management | For | For | |
| 1E. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: John F. Ferraro | Management | For | For | |
| 1F. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Andreas Fibig | Management | For | For | |
| 1G. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Christina Gold | Management | For | For | |
| 1H. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Katherine M. Hudson | Management | For | For | |
| 1I. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Dale F. Morrison | Management | For | For | |
| 1J. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Dr. Li-Huei Tsai | Management | For | For | |
| 1K. | Election of Director for a one-year term expiring at the 2021 Annual Meeting: Stephen Williamson | Management | For | For | |
| 2. | Ratify the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the 2020 fiscal year. | Management | For | For | |
| 3. | Approve, on an advisory basis, the compensation of our named executive officers in 2019. | Management | For | For | |
| GLAXOSMITHKLINE PLC | |
| Security | 37733W105 | | Meeting Type | Annual |
| Ticker Symbol | GSK | | Meeting Date | 06-May-2020 |
| ISIN | US37733W1053 | | Agenda | 935154598 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| O1 | To receive and adopt the 2019 Annual Report | Management | For | For | |
| O2 | To approve the Annual report on remuneration | Management | For | For | |
| O3 | To approve the Remuneration policy | Management | For | For | |
| O4 | To elect Sir Jonathan Symonds as a Director | Management | For | For | |
| 05 | To elect Charles Bancroft as a Director | Management | For | For | |
| O6 | To re-elect Emma Walmsley as a Director | Management | For | For | |
| O7 | To re-elect Vindi Banga as a Director | Management | For | For | |
| O8 | To re-elect Dr Hal Barron as a Director | Management | For | For | |
| O9 | To re-elect Dr Vivienne Cox as a Director | Management | For | For | |
| O10 | To re-elect Lynn Elsenhans as a Director | Management | For | For | |
| O11 | To re-elect Dr Laurie Glimcher as a Director | Management | For | For | |
| O12 | To re-elect Dr Jesse Goodman as a Director | Management | For | For | |
| O13 | To re-elect Judy Lewent as a Director | Management | For | For | |
| O14 | To re-elect Iain Mackay as a Director | Management | For | For | |
| O15 | To re-elect Urs Rohner as a Director | Management | For | For | |
| O16 | To re-appoint the auditor | Management | For | For | |
| O17 | To determine remuneration of the auditor | Management | For | For | |
| S18 | To authorise the company and its subsidiaries to make donations to political organisations and incur political expenditure | Management | For | For | |
| S19 | To authorise allotment of shares | Management | For | For | |
| S20 | To disapply pre-emption rights - general power (special resolution) | Management | For | For | |
| S21 | To disapply pre-emption rights - in connection with an acquisition or specified capital investment (special resolution) | Management | For | For | |
| S22 | To authorise the company to purchase its own shares (special resolution) | Management | For | For | |
| S23 | To authorise exemption from statement of name of senior statutory auditor | Management | For | For | |
| S24 | To authorise reduced notice of a general meeting other than an AGM (special resolution) | Management | For | For | |
| KINNEVIK AB | |
| Security | W5139V265 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 11-May-2020 |
| ISIN | SE0013256682 | | Agenda | 712411735 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING-REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION | Non-Voting | | | |
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | | | |
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF- ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | | | |
| 1 | OPENING OF THE ANNUAL GENERAL MEETING | Non-Voting | | | |
| 2 | ELECTION OF CHAIRMAN OF THE ANNUAL GENERAL MEETING: WILHELM LUNING | Non-Voting | | | |
| 3 | PREPARATION AND APPROVAL OF THE VOTING LIST | Non-Voting | | | |
| 4 | APPROVAL OF THE AGENDA | Non-Voting | | | |
| 5 | ELECTION OF ONE OR TWO PERSONS TO CHECK AND VERIFY THE MINUTES | Non-Voting | | | |
| 6 | DETERMINATION OF WHETHER THE ANNUAL GENERAL MEETING HAS BEEN DULY CONVENED | Non-Voting | | | |
| 7 | PRESENTATION OF THE PARENT COMPANY'S ANNUAL REPORT AND THE AUDITOR'S REPORT-AS WELL AS OF THE GROUP ANNUAL REPORT AND THE GROUP AUDITOR'S REPORT | Non-Voting | | | |
| 8 | RESOLUTION ON THE ADOPTION OF THE PROFIT AND LOSS STATEMENT AND THE BALANCE SHEET AS WELL AS OF THE GROUP PROFIT AND LOSS STATEMENT AND THE GROUP BALANCE SHEET | Management | No Action | | |
| 9 | RESOLUTION ON THE PROPOSED TREATMENT OF KINNEVIK'S EARNINGS AS STATED IN THE ADOPTED BALANCE SHEET | Management | No Action | | |
| 10 | RESOLUTION ON THE DISCHARGE FROM LIABILITY OF THE MEMBERS OF THE BOARD AND THE CHIEF EXECUTIVE OFFICER | Management | No Action | | |
| CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 14 ARE PROPOSED BY NOMINATION COMMITTEE-AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING- INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting | | | |
| 11 | DETERMINATION OF THE NUMBER OF MEMBERS OF THE BOARD: SEVEN (7) | Management | No Action | | |
| 12 | DETERMINATION OF THE REMUNERATION TO THE MEMBERS OF THE BOARD AND THE AUDITOR | Management | No Action | | |
| 13.A | RE-ELECTION OF SUSANNA CAMPBELL AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.B | RE-ELECTION OF DAME AMELIA FAWCETT AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.C | RE-ELECTION OF WILHELM KLINGSPOR AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.D | RE-ELECTION OF BRIAN MCBRIDE AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.E | RE-ELECTION OF HENRIK POULSEN AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.F | RE-ELECTION OF CHARLOTTE STROMBERG AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 13.G | ELECTION OF CECILIA QVIST AS BOARD MEMBER PROPOSED BY THE NOMINATION COMMITTEE | Management | No Action | | |
| 14 | ELECTION OF THE CHAIRMAN OF THE BOARD: DAME AMELIA FAWCETT | Management | No Action | | |
| 15 | RESOLUTION REGARDING GUIDELINES FOR REMUNERATION TO SENIOR EXECUTIVES | Management | No Action | | |
| 16.A | RESOLUTION REGARDING A LONG-TERM SHARE INCENTIVE PLAN FOR 2020, INCLUDING RESOLUTION REGARDING: ADOPTION OF THE PLAN | Management | No Action | | |
| 16.B | RESOLUTION REGARDING A LONG-TERM SHARE INCENTIVE PLAN FOR 2020, INCLUDING RESOLUTION REGARDING: AMENDMENTS TO THE ARTICLES OF ASSOCIATION | Management | No Action | | |
| 16.C | RESOLUTION REGARDING A LONG-TERM SHARE INCENTIVE PLAN FOR 2020, INCLUDING RESOLUTION REGARDING: AUTHORISATION FOR THE BOARD TO RESOLVE ON A NEW ISSUE OF INCENTIVE SHARES | Management | No Action | | |
| 16.D | RESOLUTION REGARDING A LONG-TERM SHARE INCENTIVE PLAN FOR 2020, INCLUDING RESOLUTION REGARDING: AUTHORISATION FOR THE BOARD TO RESOLVE TO REPURCHASE INCENTIVE SHARES | Management | No Action | | |
| 16.E | RESOLUTION REGARDING A LONG-TERM SHARE INCENTIVE PLAN FOR 2020, INCLUDING RESOLUTION REGARDING: TRANSFER OF OWN INCENTIVE SHARES TO THE PARTICIPANTS IN THE PLAN | Management | No Action | | |
| 17 | RESOLUTION REGARDING AUTHORISATION FOR THE BOARD TO RESOLVE ON TRANSFERS OF OWN CLASS B SHARES TO COVER COSTS FOR PREVIOUSLY RESOLVED LONG-TERM INCENTIVE PLANS | Management | No Action | | |
| 18 | RESOLUTION REGARDING AUTHORISATION FOR THE BOARD TO RESOLVE ON REPURCHASES OF OWN ORDINARY SHARES | Management | No Action | | |
| 19 | RESOLUTION REGARDING AMENDMENTS OF THE ARTICLES OF ASSOCIATION | Management | No Action | | |
| 20.A | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLUTIONS REGARDING SHAREHOLDER THORWALD ARVIDSSON'S PROPOSAL: AMEND THE ARTICLES OF ASSOCIATION (SECTION 4) IN THE FOLLOWING WAY: "ALL SHARES ENTITLE TO ONE (1) VOTE" | Shareholder | No Action | | |
| 20.B | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLUTIONS REGARDING SHAREHOLDER THORWALD ARVIDSSON'S PROPOSAL: INSTRUCT THE BOARD TO WORK TOWARDS THAT THE SWEDISH COMPANIES ACT (2005:551) IS AMENDED SO THAT THE POSSIBILITY TO HAVE DIFFERENTIATED VOTING POWERS IS ABOLISHED, FIRSTLY BY APPROACHING THE SWEDISH GOVERNMENT | Shareholder | No Action | | |
| 20.C | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLUTIONS REGARDING SHAREHOLDER THORWALD ARVIDSSON'S PROPOSAL: INSTRUCT THE BOARD TO PREPARE A PROPOSAL REGARDING REPRESENTATION ON THE BOARD AND THE NOMINATION COMMITTEE FOR THE SMALL AND MEDIUM SIZED SHAREHOLDERS TO BE RESOLVED UPON AT THE 2021 ANNUAL GENERAL MEETING, OR AT AN EARLIER EXTRAORDINARY GENERAL MEETING | Shareholder | No Action | | |
| 20.D | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLUTIONS REGARDING SHAREHOLDER THORWALD ARVIDSSON'S PROPOSAL: INSTRUCT THE BOARD TO WORK TOWARDS THAT A CORRESPONDING CHANGE IS EFFECTUATED IN THE SWEDISH NATIONAL RULEBOOK, FIRSTLY BY APPROACHING THE SWEDISH GOVERNMENT | Shareholder | No Action | | |
| 20.E | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLUTIONS REGARDING SHAREHOLDER THORWALD ARVIDSSON'S PROPOSAL: INSTRUCT THE BOARD TO PREPARE A PROPOSAL FOR AN ETHICAL CODE, TO BE RESOLVED UPON BY THE ANNUAL GENERAL MEETING 2021 | Shareholder | No Action | | |
| 21 | CLOSING OF THE ANNUAL GENERAL MEETING | Non-Voting | | | |
| SIMON PROPERTY GROUP, INC. | |
| Security | 828806109 | | Meeting Type | Annual |
| Ticker Symbol | SPG | | Meeting Date | 12-May-2020 |
| ISIN | US8288061091 | | Agenda | 935163864 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1a. | Election of Director: Glyn F. Aeppel | Management | For | For | |
| 1b. | Election of Director: Larry C. Glasscock | Management | For | For | |
| 1c. | Election of Director: Karen N. Horn, Ph.D. | Management | For | For | |
| 1d. | Election of Director: Allan Hubbard | Management | For | For | |
| 1e. | Election of Director: Reuben S. Leibowitz | Management | For | For | |
| 1f. | Election of Director: Gary M. Rodkin | Management | For | For | |
| 1g. | Election of Director: Stefan M. Selig | Management | For | For | |
| 1h. | Election of Director: Daniel C. Smith, Ph.D. | Management | For | For | |
| 1i. | Election of Director: J. Albert Smith, Jr. | Management | For | For | |
| 1j. | Election of Director: Marta R. Stewart | Management | For | For | |
| 2. | An advisory vote to approve the compensation of our Named Executive Officers. | Management | For | For | |
| 3. | Ratification of Ernst & Young LLP as our independent registered public accounting firm for 2020. | Management | For | For | |
| CREDIT AGRICOLE SA | |
| Security | F22797108 | | Meeting Type | MIX |
| Ticker Symbol | | | Meeting Date | 13-May-2020 |
| ISIN | FR0000045072 | | Agenda | 712391705 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A- FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE- GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED- INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT THE FRENCH PROXY CARD IS AVAILABLE AS A LINK UNDER THE-'MATERIAL URL' DROPDOWN AT THE TOP OF THE BALLOT | Non-Voting | | | |
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | |
| CMMT | 27 APR 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS-AVAILABLE BY CLICKING ON THE MATERIAL URL LINK:- https://www.journal- officiel.gouv.fr/balo/document/202004102000868-44;- https://www.journal- officiel.gouv.fr/balo/document/202003252000649-37 AND-https://www.journal- officiel.gouv.fr/balo/document/202004272001048-51; PLEASE-NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF ADDITIONAL ULR LINK. IF YOU-HAVE ALREADY SENT IN YOUR VOTES TO MID 389382, PLEASE DO NOT VOTE AGAIN-UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 378310 DUE TO CHANGE IN-TEXT OF RESOLUTION 3. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | | | |
| O.1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |
| O.2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |
| O.3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |
| O.4 | APPROVAL OF THE TRANSFER AGREEMENT OF THE 32,953 CLASS C VISA INC PREFERENCE SHARES, HELD BY CREDIT AGRICOLE S.A., TO CREDIT AGRICOLE CIB, PURSUANT TO ARTICLES L.225-38 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE | Management | For | For | |
| O.5 | APPOINTMENT OF MRS. MARIE-CLAIRE DAVEU AS DIRECTOR, AS A REPLACEMENT FOR MR. CHRISTIAN STREIFF, WHO HAS REACHED THE STATUTORY AGE LIMIT | Management | For | For | |
| O.6 | APPOINTMENT OF MR. PIERRE CAMBEFORT AS DIRECTOR, AS A REPLACEMENT FOR MRS. VERONIQUE FLACHAIRE, WHO RESIGNED | Management | For | For | |
| O.7 | APPOINTMENT OF MR. PASCAL LHEUREUX AS DIRECTOR, AS A REPLACEMENT FOR MR. FRANCOIS THIBAULT, WHO HAS REACHED THE STATUTORY AGE LIMIT | Management | For | For | |
| O.8 | APPOINTMENT OF MR. PHILIPPE DE WAAL AS DIRECTOR, AS A REPLACEMENT FOR MR. PHILIPPE BOUJUT, WHO HAS REACHED THE STATUTORY AGE LIMIT | Management | For | For | |
| O.9 | RENEWAL OF THE TERM OF OFFICE OF MRS. CAROLINE CATOIRE AS DIRECTOR | Management | For | For | |
| O.10 | RENEWAL OF THE TERM OF OFFICE OF MRS. LAURENCE DORS AS DIRECTOR | Management | For | For | |
| O.11 | RENEWAL OF THE TERM OF OFFICE OF MRS. FRANCOISE GRI AS DIRECTOR | Management | For | For | |
| O.12 | RENEWAL OF THE TERM OF OFFICE OF MRS. CATHERINE POURRE AS DIRECTOR | Management | For | For | |
| O.13 | RENEWAL OF THE TERM OF OFFICE OF MR. DANIEL EPRON AS DIRECTOR | Management | For | For | |
| O.14 | RENEWAL OF THE TERM OF OFFICE OF MR. GERARD OUVRIER-BUFFET AS DIRECTOR | Management | For | For | |
| O.15 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN OF THE BOARD OF DIRECTORS | Management | For | For | |
| O.16 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHIEF EXECUTIVE OFFICER | Management | For | For | |
| O.17 | APPROVAL OF THE COMPENSATION POLICY FOR THE DEPUTY CHIEF EXECUTIVE OFFICER | Management | For | For | |
| O.18 | APPROVAL OF THE COMPENSATION POLICY FOR DIRECTORS | Management | For | For | |
| O.19 | APPROVAL OF THE ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 OR ALLOCATED IN RESPECT OF THE SAME FINANCIAL YEAR TO MR. DOMINIQUE LEFEBVRE, CHAIRMAN OF THE BOARD OF DIRECTORS | Management | For | For | |
| O.20 | APPROVAL OF THE FIXED, VARIABLE AND EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 OR ALLOCATED IN RESPECT OF THE SAME FINANCIAL YEAR TO MR. PHILIPPE BRASSAC, CHIEF EXECUTIVE OFFICER | Management | For | For | |
| O.21 | APPROVAL OF THE FIXED, VARIABLE AND EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 OR ALLOCATED IN RESPECT OF THE SAME FINANCIAL YEAR TO MR. XAVIER MUSCA, DEPUTY CHIEF EXECUTIVE OFFICER | Management | For | For | |
| O.22 | APPROVAL OF THE REPORT ON THE COMPENSATIONS | Management | For | For | |
| O.23 | OPINION ON THE TOTAL AMOUNT OF THE COMPENSATIONS PAID, DURING THE PAST FINANCIAL YEAR, TO EFFECTIVE MANAGERS UNDER ARTICLE L.511-13 OF THE FRENCH MONETARY AND FINANCIAL CODE AND TO THE CATEGORIES OF PERSONS IDENTIFIED UNDER ARTICLE L.511-71 OF THE MONETARY AND FINANCIAL CODE | Management | For | For | |
| O.24 | APPROVAL AND SETTING OF THE CEILING ON THE VARIABLE PART OF THE TOTAL COMPENSATION OF EFFECTIVE MANAGERS UNDER ARTICLE L.511-13 OF THE FRENCH MONETARY AND FINANCIAL CODE AND OF THE CATEGORIES OF PERSONS IDENTIFIED UNDER ARTICLE L.511 -71 OF THE FRENCH MONETARY AND FINANCIAL CODE | Management | For | For | |
| O.25 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO PURCHASE OR ARRANGE FOR THE PURCHASE OF SHARES OF THE COMPANY | Management | For | For | |
| E.26 | AMENDMENT TO ARTICLE 11 OF THE BY-LAWS, RELATING TO THE COMPOSITION OF THE BOARD OF DIRECTORS | Management | For | For | |
| E.27 | ALIGNMENT OF THE BY-LAWS WITH THE LEGAL AND REGULATORY PROVISIONS AND VARIOUS AMENDMENTS | Management | For | For | |
| E.28 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES AND/OR TRANSFERABLE SECURITIES, GRANTING ACCESS IMMEDIATELY OR IN THE FUTURE, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | |
| E.29 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES AND/OR TRANSFERABLE SECURITIES, GRANTING ACCESS IMMEDIATELY OR IN THE FUTURE TO THE CAPITAL, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, THROUGH THE PUBLIC OFFERINGS REFERRED TO IN ARTICLE L.411-2 1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE | Management | For | For | |
| E.30 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES AND/OR TRANSFERABLE SECURITIES, GRANTING ACCESS IMMEDIATELY OR IN THE FUTURE TO THE CAPITAL, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY PUBLIC OFFERINGS OTHER THAN THOSE REFERRED TO IN ARTICLE L.411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE | Management | For | For | |
| E.31 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE AMOUNT OF THE INITIAL ISSUE IN THE EVENT OF AN ISSUE OF SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL, WITH RETENTION OR CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, DECIDED PURSUANT TO THE TWENTY-EIGHTH, TWENTY-NINTH, THIRTIETH, THIRTY-SECOND, THIRTY-THIRD, THIRTY-SIXTH AND THIRTY-SEVENTH RESOLUTIONS | Management | For | For | |
| E.32 | POSSIBILITY TO ISSUE SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS, IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, IN ORDER TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY AND CONSISTING OF EQUITY SECURITIES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, OUTSIDE PUBLIC EXCHANGE OFFERS | Management | For | For | |
| E.33 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO SET THE ISSUE PRICE FOR SHARES ISSUED IN THE CONTEXT OF THE REDEMPTION OF CONTINGENT CAPITAL INSTRUMENTS (DUBBED "COCOS") PURSUANT TO THE TWENTY-NINTH AND/OR THIRTIETH RESOLUTION, WITHIN THE ANNUAL LIMIT OF 10% OF THE CAPITAL | Management | For | For | |
| E.34 | OVERALL LIMITATION ON ISSUE AUTHORIZATIONS WITH RETENTION OR CANCELLATION OF THE PRE- EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | |
| E.35 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY INCORPORATION OF RESERVES, PREMIUMS OR ANY OTHER AMOUNTS | Management | For | For | |
| E.36 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES AND/OR TRANSFERABLE SECURITIES, GRANTING ACCESS IMMEDIATELY OR IN THE FUTURE TO THE CAPITAL, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR EMPLOYEES OF COMPANIES OF THE CREDIT AGRICOLE GROUP WHO ARE MEMBERS OF A COMPANY SAVINGS PLAN | Management | For | For | |
| E.37 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS IMMEDIATELY OR IN THE FUTURE TO THE CAPITAL, RESERVED FOR A CATEGORY OF BENEFICIARIES, IN THE CONTEXT OF AN EMPLOYEE SHAREHOLDING OPERATION | Management | For | For | |
| E.38 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO REDUCE THE SHARE CAPITAL BY CANCELLING SHARES | Management | For | For | |
| E.39 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH A FREE ALLOCATION OF PERFORMANCE SHARES, EXISTING OR TO BE ISSUED, IN FAVOUR OF EMPLOYEES AND CORPORATE OFFICERS OF THE GROUP OR SOME OF THEM | Management | For | For | |
| E.40 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | |
| COMMERZBANK AG | |
| Security | D172W1279 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 13-May-2020 |
| ISIN | DE000CBK1001 | | Agenda | 712416812 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL 2019 | Non-Voting | | | |
| 2 | APPROVE ALLOCATION OF INCOME AND OMISSION OF DIVIDENDS | Management | No Action | | |
| 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL 2019 | Management | No Action | | |
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL 2019 | Management | No Action | | |
| 5.1 | RATIFY ERNST YOUNG GMBH AS AUDITORS FOR FISCAL 2020 | Management | No Action | | |
| 5.2 | RATIFY ERNST YOUNG GMBH AS AUDITORS FOR THE FIRST QUARTER OF FISCAL 2021 | Management | No Action | | |
| 6.1 | ELECT JUTTA DOENGES TO THE SUPERVISORY BOARD | Management | No Action | | |
| 6.2 | ELECT FRANK CZICHOWSKI TO THE SUPERVISORY BOARD | Management | No Action | | |
| 7 | APPROVE REMUNERATION POLICY | Management | No Action | | |
| 8 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Management | No Action | | |
| 9 | AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES | Management | No Action | | |
| 10 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES | Management | No Action | | |
| 11 | AMEND ARTICLES RE: SPECIAL RULES FOR CONVENING A GENERAL SHAREHOLDERS MEETING FOR THE PURPOSE OF A RECOVERY | Management | No Action | | |
| 12 | AMEND ARTICLES RE: PARTICIPATION AND VOTING RIGHTS | Management | No Action | | |
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN- CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE- NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS-AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS-NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR-QUESTIONS IN THIS REGARD | Non-Voting | | | |
| | PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS- USUAL | | | | |
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S-WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU-WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND-VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT-BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | | | |
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN-PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | | | |
| WATTS WATER TECHNOLOGIES, INC. | |
| Security | 942749102 | | Meeting Type | Annual |
| Ticker Symbol | WTS | | Meeting Date | 13-May-2020 |
| ISIN | US9427491025 | | Agenda | 935156768 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Christopher L. Conway | | For | For | |
| | | 2 | David A. Dunbar | | For | For | |
| | | 3 | Louise K. Goeser | | For | For | |
| | | 4 | Jes Munk Hansen | | For | For | |
| | | 5 | W. Craig Kissel | | For | For | |
| | | 6 | Joseph T. Noonan | | For | For | |
| | | 7 | Robert J. Pagano, Jr. | | For | For | |
| | | 8 | Merilee Raines | | For | For | |
| | | 9 | Joseph W. Reitmeier | | For | For | |
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |
| 3. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |
| MONDELEZ INTERNATIONAL, INC. | |
| Security | 609207105 | | Meeting Type | Annual |
| Ticker Symbol | MDLZ | | Meeting Date | 13-May-2020 |
| ISIN | US6092071058 | | Agenda | 935158736 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Lewis W.K. Booth | Management | For | For | |
| 1B. | Election of Director: Charles E. Bunch | Management | For | For | |
| 1C. | Election of Director: Debra A. Crew | Management | For | For | |
| 1D. | Election of Director: Lois D. Juliber | Management | For | For | |
| 1E. | Election of Director: Peter W. May | Management | For | For | |
| 1F. | Election of Director: Jorge S. Mesquita | Management | For | For | |
| 1G. | Election of Director: Fredric G. Reynolds | Management | For | For | |
| 1H | Election of Director: Christiana S. Shi | Management | For | For | |
| 1I. | Election of Director: Patrick T. Siewert | Management | For | For | |
| 1J. | Election of Director: Michael A. Todman | Management | For | For | |
| 1K. | Election of Director: Jean-François M. L. van Boxmeer | Management | For | For | |
| 1L. | Election of Director: Dirk Van de Put | Management | For | For | |
| 2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |
| 3. | Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accountants for Fiscal Year Ending December 31, 2020. | Management | For | For | |
| 4. | Consider Employee Pay in Setting Chief Executive Officer Pay. | Shareholder | Against | For | |
| XYLEM INC. | |
| Security | 98419M100 | | Meeting Type | Annual |
| Ticker Symbol | XYL | | Meeting Date | 13-May-2020 |
| ISIN | US98419M1009 | | Agenda | 935165123 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Jeanne Beliveau-Dunn | Management | For | For | |
| 1B. | Election of Director: Patrick K. Decker | Management | For | For | |
| 1C. | Election of Director: Robert F. Friel | Management | For | For | |
| 1D. | Election of Director: Jorge M. Gomez | Management | For | For | |
| 1E. | Election of Director: Victoria D. Harker | Management | For | For | |
| 1F. | Election of Director: Sten E. Jakobsson | Management | For | For | |
| 1G. | Election of Director: Steven R. Loranger | Management | For | For | |
| 1H. | Election of Director: Surya N. Mohapatra, Ph.D. | Management | For | For | |
| 1I. | Election of Director: Jerome A. Peribere | Management | For | For | |
| 1J. | Election of Director: Markos I. Tambakeras | Management | For | For | |
| 2. | Ratification of the appointment of Deloitte & Touche LLP as our Independent Registered Public Accounting Firm for 2020. | Management | For | For | |
| 3. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | |
| 4. | Shareholder proposal to lower threshold for shareholders to call special meetings from 25% to 15% of Company stock, if properly presented at the meeting. | Shareholder | Against | For | |
| UNION PACIFIC CORPORATION | |
| Security | 907818108 | | Meeting Type | Annual |
| Ticker Symbol | UNP | | Meeting Date | 14-May-2020 |
| ISIN | US9078181081 | | Agenda | 935158407 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Andrew H. Card Jr. | Management | For | For | |
| 1B. | Election of Director: William J. DeLaney | Management | For | For | |
| 1C. | Election of Director: David B. Dillon | Management | For | For | |
| 1D. | Election of Director: Lance M. Fritz | Management | For | For | |
| 1E. | Election of Director: Deborah C. Hopkins | Management | For | For | |
| 1F. | Election of Director: Jane H. Lute | Management | For | For | |
| 1G. | Election of Director: Michael R. McCarthy | Management | For | For | |
| 1H. | Election of Director: Thomas F. McLarty III | Management | For | For | |
| 1I. | Election of Director: Bhavesh V. Patel | Management | For | For | |
| 1J. | Election of Director: Jose H. Villarreal | Management | For | For | |
| 1K. | Election of Director: Christopher J. Williams | Management | For | For | |
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2020. | Management | For | For | |
| 3. | An advisory vote to approve executive compensation ("Say on Pay"). | Management | For | For | |
| 4. | Shareholder proposal regarding Independent Chairman if properly presented at the Annual Meeting. | Shareholder | Against | For | |
| 5. | Shareholder proposal regarding Climate Assessment Report if properly presented at the Annual Meeting. | Shareholder | For | Against | |
| INTEL CORPORATION | |
| Security | 458140100 | | Meeting Type | Annual |
| Ticker Symbol | INTC | | Meeting Date | 14-May-2020 |
| ISIN | US4581401001 | | Agenda | 935158635 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: James J. Goetz | Management | For | For | |
| 1B. | Election of Director: Alyssa Henry | Management | For | For | |
| 1C. | Election of Director: Omar Ishrak | Management | For | For | |
| 1D. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |
| 1E. | Election of Director: Tsu-Jae King Liu | Management | For | For | |
| 1F. | Election of Director: Gregory D. Smith | Management | For | For | |
| 1G. | Election of Director: Robert ("Bob") H. Swan | Management | For | For | |
| 1H. | Election of Director: Andrew Wilson | Management | For | For | |
| 1I. | Election of Director: Frank D. Yeary | Management | For | For | |
| 2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2020 | Management | For | For | |
| 3. | Advisory vote to approve executive compensation of our listed officers | Management | For | For | |
| 4. | Approval of amendment and restatement of the 2006 Employee Stock Purchase Plan | Management | For | For | |
| 5. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting | Shareholder | Against | For | |
| 6. | Stockholder proposal requesting a report on the global median gender/racial pay gap, if properly presented at the meeting | Shareholder | Abstain | Against | |
| MACQUARIE INFRASTRUCTURE CORPORATION | |
| Security | 55608B105 | | Meeting Type | Annual |
| Ticker Symbol | MIC | | Meeting Date | 14-May-2020 |
| ISIN | US55608B1052 | | Agenda | 935160363 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Amanda Brock | Management | For | For | |
| 1B. | Election of Director: Norman H. Brown, Jr. | Management | For | For | |
| 1C. | Election of Director: Christopher Frost | Management | For | For | |
| 1D. | Election of Director: Maria Jelescu-Dreyfus | Management | For | For | |
| 1E. | Election of Director: Ronald Kirk | Management | For | For | |
| 1F. | Election of Director: H.E. (Jack) Lentz | Management | For | For | |
| 1G. | Election of Director: Ouma Sananikone | Management | For | For | |
| 2. | The ratification of the selection of KPMG LLP as our independent auditor for the fiscal year ending December 31, 2020. | Management | For | For | |
| 3. | The approval, on an advisory basis, of executive compensation. | Management | For | For | |
| AEGON NV | |
| Security | N00927298 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 15-May-2020 |
| ISIN | NL0000303709 | | Agenda | 712361702 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO- BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | |
| 1 | OPENING | Non-Voting | | | |
| 2 | 2019 BUSINESS OVERVIEW | Non-Voting | | | |
| 3.1 | REPORTS OF THE BOARDS FOR 2019 | Non-Voting | | | |
| 3.2 | ANNUAL ACCOUNTS 2019 AND REPORT INDEPENDENT AUDITOR | Non-Voting | | | |
| 3.3 | REMUNERATION REPORT 2019 | Management | No Action | | |
| 3.4 | ADOPTION OF THE ANNUAL ACCOUNTS 2019 | Management | No Action | | |
| 3.5 | DIVIDEND 2019 | Non-Voting | | | |
| 4.1 | RELEASE FROM LIABILITY FOR THE MEMBERS OF THE EXECUTIVE BOARD FOR THEIR DUTIES PERFORMED DURING 2019 | Management | No Action | | |
| 4.2 | RELEASE FROM LIABILITY FOR THE MEMBERS OF THE SUPERVISORY BOARD FOR THEIR DUTIES PERFORMED DURING 2019 | Management | No Action | | |
| 5.1 | ADOPTION OF THE REMUNERATION POLICY FOR MEMBERS OF THE EXECUTIVE BOARD | Management | No Action | | |
| 5.2 | ADOPTION OF THE REMUNERATION POLICY FOR MEMBERS OF THE SUPERVISORY BOARD | Management | No Action | | |
| 6.1 | APPOINTMENT OF MR. THOMAS WELLAUER AS MEMBER OF THE SUPERVISORY BOARD | Management | No Action | | |
| 6.2 | APPOINTMENT OF MRS. CAROLINE RAMSAY AS MEMBER OF THE SUPERVISORY BOARD | Management | No Action | | |
| 7.1 | APPOINTMENT OF MR. LARD FRIESE AS MEMBER OF THE EXECUTIVE BOARD | Management | No Action | | |
| 8.1 | PROPOSAL TO CANCEL COMMON SHARES AND COMMON SHARES B | Management | No Action | | |
| 8.2 | AUTHORIZATION OF THE EXECUTIVE BOARD TO ISSUE COMMON SHARES WITH OR WITHOUT PRE- EMPTIVE RIGHTS | Management | No Action | | |
| 8.3 | AUTHORIZATION OF THE EXECUTIVE BOARD TO ISSUE SHARES IN CONNECTION WITH A RIGHTS ISSUE | Management | No Action | | |
| 8.4 | AUTHORIZATION OF THE EXECUTIVE BOARD TO ACQUIRE SHARES IN THE COMPANY | Management | No Action | | |
| 9 | ANY OTHER BUSINESS | Non-Voting | | | |
| 10 | CLOSING | Non-Voting | | | |
| WASTE CONNECTIONS, INC. | |
| Security | 94106B101 | | Meeting Type | Annual and Special Meeting |
| Ticker Symbol | WCN | | Meeting Date | 15-May-2020 |
| ISIN | CA94106B1013 | | Agenda | 935172510 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1 | DIRECTOR | Management | | | |
| | | 1 | Ronald J. Mittelstaedt | | For | For | |
| | | 2 | Edward E. Guillet | | For | For | |
| | | 3 | Michael W. Harlan | | For | For | |
| | | 4 | Larry S. Hughes | | For | For | |
| | | 5 | Worthing F. Jackman | | For | For | |
| | | 6 | Elise L. Jordan | | For | For | |
| | | 7 | Susan Lee | | For | For | |
| | | 8 | William J. Razzouk | | For | For | |
| 2 | Approval, on a non-binding, advisory basis, of the compensation of our named executive officers as disclosed in the Proxy Statement ("say on pay"). | Management | For | For | |
| 3 | Appointment of Grant Thornton LLP as our independent registered public accounting firm until the close of the 2021 Annual Meeting of Shareholders of the Company and authorization of our Board of Directors to fix the remuneration of the independent registered public accounting firm. | Management | For | For | |
| 4 | Approval of the Waste Connections, Inc. 2020 Employee Share Purchase Plan. | Management | For | For | |
| SOCIETE GENERALE SA | |
| Security | F8591M517 | | Meeting Type | MIX |
| Ticker Symbol | | | Meeting Date | 19-May-2020 |
| ISIN | FR0000130809 | | Agenda | 712283770 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A- FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE- GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED- INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT THE FRENCH PROXY CARD IS AVAILABLE AS A LINK UNDER THE-'MATERIAL URL' DROPDOWN AT THE TOP OF THE BALLOT | Non-Voting | | | |
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | |
| CMMT | 15 APR 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS-AVAILABLE BY CLICKING ON THE MATERIAL URL LINK:- https://www.journal- officiel.gouv.fr/balo/document/202003182000587-34 AND-https://www.journal- officiel.gouv.fr/balo/document/202004152000928-46; PLEASE-NOTE THAT THIS IS A REVISION DUE TO RECIEPT OF ADDITIONAL URL LINK. IF YOU-HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE-TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | |
| O.1 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS AND OPERATIONS FOR THE FINANCIAL YEAR 2019 | Management | No Action | | |
| O.2 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS AND OPERATIONS FOR THE FINANCIAL YEAR 2019 | Management | No Action | | |
| O.3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR 2019; SETTING OF THE DIVIDEND: EUR 2.20 PER SHARE | Management | No Action | | |
| O.4 | APPROVAL OF THE STATUTORY AUDITORS' REPORT ON THE REGULATED AGREEMENTS REFERRED TO IN ARTICLE L. 225-38 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.5 | APPROVAL OF THE COMPENSATION POLICY OF THE CHAIRMAN OF THE BOARD OF DIRECTORS, PURSUANT TO ARTICLE L. 225-37-2 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.6 | APPROVAL OF THE COMPENSATION POLICY OF THE CHIEF EXECUTIVE OFFICER AND THE DEPUTY CHIEF EXECUTIVE OFFICERS, PURSUANT TO ARTICLE L. 225-37-2 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.7 | APPROVAL OF THE COMPENSATION POLICY OF DIRECTORS, PURSUANT TO ARTICLE L. 225-37-2 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.8 | APPROVAL OF THE REPORT ON THE COMPENSATION OF CORPORATE OFFICERS PURSUANT TO SECTION II OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.9 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MR. LORENZO BINI SMAGHI, CHAIRMAN OF THE BOARD OF DIRECTORS, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.10 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MR. FREDERIC OUDEA, CHIEF EXECUTIVE OFFICER, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.11 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MR. PHILIPPE AYMERICH, DEPUTY CHIEF EXECUTIVE OFFICER, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.12 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MR. SEVERIN CABANNES, DEPUTY CHIEF EXECUTIVE OFFICER, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.13 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MR. PHILIPPE HEIM, DEPUTY CHIEF EXECUTIVE OFFICER, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.14 | APPROVAL OF ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING OR ALLOCATED FOR THE FINANCIAL YEAR 2019 TO MRS. DIONY LEBOT, DEPUTY CHIEF EXECUTIVE OFFICER, PURSUANT TO SECTION III OF ARTICLE L. 225-100 OF THE FRENCH COMMERCIAL CODE | Management | No Action | | |
| O.15 | ADVISORY OPINION ON THE COMPENSATION PAID IN 2019 TO THE REGULATED PERSONS REFERRED TO IN ARTICLE L. 511-71 OF THE FRENCH MONETARY AND FINANCIAL CODE | Management | No Action | | |
| O.16 | RENEWAL OF THE TERM OF OFFICE OF MR. JUAN MARIA NIN GENOVA AS DIRECTOR | Management | No Action | | |
| O.17 | APPOINTMENT OF MRS. ANNETTE MESSEMER AS DIRECTOR | Management | No Action | | |
| O.18 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO TRADE IN THE COMMON SHARES OF THE COMPANY WITHIN THE LIMIT OF 5% OF THE CAPITAL | Management | No Action | | |
| E.19 | DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO INCREASE THE SHARE CAPITAL, WITH RETENTION OF PRE-EMPTIVE SUBSCRIPTION RIGHTS, (I) BY THE ISSUE OF COMMON SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY AND/OR ITS SUBSIDIARIES FOR A MAXIMUM NOMINAL AMOUNT OF SHARES ISSUED OF 352,000,000 EUROS, I.E. 33% OF THE CAPITAL, WITH IMPUTATION FROM THIS AMOUNT OF THOSE SET IN THE 20TH TO 25TH RESOLUTIONS, (II) AND/OR BY CAPITALIZATION, FOR A MAXIMUM NOMINAL AMOUNT OF 550 MILLION EUROS | Management | No Action | | |
| E.20 | DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO INCREASE THE SHARE CAPITAL, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHTS, BY PUBLIC OFFERING OTHER THAN THOSE REFERRED TO IN ARTICLE L. 411-2 1DECREE) OF THE FRENCH MONETARY AND FINANCIAL CODE, BY ISSUING COMMON SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY AND/OR ITS SUBSIDIARIES FOR A MAXIMUM | Management | No Action | | |
| | NOMINAL AMOUNT OF SHARES ISSUED OF 106,670,000 EUROS, I.E. 10% OF THE CAPITAL,WITH IMPUTATION OF THIS AMOUNT TO THAT SET IN THE 19TH RESOLUTION AND IMPUTATION OF THIS AMOUNT WITH THOSE SET IN THE 21ST AND 22ND RESOLUTIONS | | | | |
| E.21 | DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO INCREASE THE SHARE CAPITAL, WITHIN THE LIMITS OF A MAXIMUM NOMINAL AMOUNT OF 106,670,000 EUROS, I.E. 10% OF THE CAPITAL, AND OF THE CEILINGS SET BY THE 19TH AND 20TH RESOLUTIONS, TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY AND RELATING TO EQUITY SECURITIES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, EXCEPT IN THE CASE OF A PUBLIC EXCHANGE OFFER INITIATED BY THE COMPANY | Management | No Action | | |
| E.22 | DELEGATION OF AUTHORITY GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO PROCEED WITH THE ISSUE OF CONTINGENT DEEPLY SUBORDINATED CONVERTIBLE BONDS, WHICH WOULD BE CONVERTED INTO SHARES OF THE COMPANY IN THE EVENT THAT THE GROUP'S COMMON EQUITY TIER 1 ("CET1") RATIO FALLS BELOW A THRESHOLD SET BY THE ISSUANCE AGREEMENT, WHICH MAY NOT EXCEED 7%, WITH CANCELLATION OF PRE- EMPTIVE SUBSCRIPTION RIGHTS, BY WAY OF AN OFFER REFERRED TO IN ARTICLE L. 411-2 1DECREE) OF THE FRENCH MONETARY AND FINANCIAL CODE, WITHIN THE LIMITS OF A MAXIMUM NOMINAL AMOUNT OF 106,670,000 EUROS, I.E. 10% OF THE CAPITAL, AND OF THE CEILINGS SET BY THE 19TH AND 20TH RESOLUTIONS | Management | No Action | | |
| E.23 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO PROCEED, WITH CANCELLATION OF PRE-EMPTIVE SUBSCRIPTION RIGHTS, WITH OPERATIONS TO INCREASE THE CAPITAL OR SELL SHARES RESERVED FOR MEMBERS OF A COMPANY OR GROUP SAVINGS PLAN, WITHIN THE LIMITS OF A MAXIMUM NOMINAL AMOUNT OF 16,000,000 EUROS, I.E. 1.5% OF THE CAPITAL, AND OF THE CEILING SET BY THE 19TH RESOLUTION | Management | No Action | | |
| E.24 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO ALLOCATE FREE PERFORMANCE SHARES, EXISTING OR TO BE ISSUED WITHOUT PRE- EMPTIVE SUBSCRIPTION RIGHTS, TO THE REGULATED PERSONS REFERRED TO IN ARTICLE L. 511-71 OF THE FRENCH MONETARY AND | Management | No Action | | |
| | FINANCIAL CODE OR TO SIMILAR PERSONS WHOSE VARIABLE COMPENSATION IS DEFERRED, WITHIN THE LIMITS OF 1.2% OF THE CAPITAL, OF WHICH 0.1% FOR THE EXECUTIVE CORPORATE OFFICERS OF SOCIETE GENERALE, AND THE CEILING SET BY THE 19TH RESOLUTION | | | | |
| E.25 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS, FOR A PERIOD OF 26 MONTHS, TO ALLOCATE FREE PERFORMANCE SHARES, EXISTING OR TO BE ISSUED WITHOUT PRE- EMPTIVE SUBSCRIPTION RIGHTS, TO THE BENEFIT OF EMPLOYEES OTHER THAN THE REGULATED PERSONS REFERRED TO IN ARTICLE L. 511-71 OF THE FRENCH MONETARY AND FINANCIAL CODE OR SIMILAR PERSONS WHOSE VARIABLE COMPENSATION IS DEFERRED, WITHIN THE LIMITS OF 0.5% OF THE CAPITAL AND THE CEILING SET BY THE 19TH RESOLUTION | Management | No Action | | |
| E.26 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO CANCEL, WITHIN THE LIMIT OF 5% PER PERIOD OF 24 MONTHS, OWN SHARES HELD BY THE COMPANY | Management | No Action | | |
| E.27 | AMENDMENT TO ARTICLE 6.2 OF THE BYLAWS, RELATING TO STATUTORY THRESHOLDS | Management | No Action | | |
| E.28 | ADDITION OF AN ARTICLE 6.5 TO THE BYLAWS, RELATING TO THE PARTICIPATION OF EMPLOYEES IN THE CAPITAL | Management | No Action | | |
| E.29 | AMENDMENT TO SECTIONS I AND II OF ARTICLE 7 OF THE BYLAWS, RELATING TO THE COMPOSITION OF THE BOARD OF DIRECTORS | Management | No Action | | |
| E.30 | AMENDMENT TO ARTICLE 10 OF THE BYLAWS, RELATING TO DECISION-MAKING BY THE BOARD OF DIRECTORS | Management | No Action | | |
| E.31 | ALIGNMENT OF THE BYLAWS WITH THE LEGAL AND REGULATORY PROVISIONS AND VARIOUS EDITORIAL AMENDMENTS | Management | No Action | | |
| E.32 | POWERS TO CARRY OUT FORMALITIES | Management | No Action | | |
| ZOETIS INC. | |
| Security | 98978V103 | | Meeting Type | Annual |
| Ticker Symbol | ZTS | | Meeting Date | 20-May-2020 |
| ISIN | US98978V1035 | | Agenda | 935169905 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Gregory Norden | Management | For | For | |
| 1B. | Election of Director: Louise M. Parent | Management | For | For | |
| 1C. | Election of Director: Kristin C. Peck | Management | For | For | |
| 1D. | Election of Director: Robert W. Scully | Management | For | For | |
| 2. | Advisory vote to approve our executive compensation (Say on Pay). | Management | For | For | |
| 3. | Advisory vote on the frequency of future advisory votes on executive compensation (Say on Pay frequency). | Management | 1 Year | For | |
| 4. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2020. | Management | For | For | |
| STATE STREET CORPORATION | |
| Security | 857477103 | | Meeting Type | Annual |
| Ticker Symbol | STT | | Meeting Date | 20-May-2020 |
| ISIN | US8574771031 | | Agenda | 935174716 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: P. de Saint-Aignan | Management | For | For | |
| 1B. | Election of Director: M. Chandoha | Management | For | For | |
| 1C. | Election of Director: L. Dugle | Management | For | For | |
| 1D. | Election of Director: A. Fawcett | Management | For | For | |
| 1E. | Election of Director: W. Freda | Management | For | For | |
| 1F. | Election of Director: S. Mathew | Management | For | For | |
| 1G. | Election of Director: W. Meaney | Management | For | For | |
| 1H. | Election of Director: R. O'Hanley | Management | For | For | |
| 1I. | Election of Director: S. O'Sullivan | Management | For | For | |
| 1J. | Election of Director: R. Sergel | Management | For | For | |
| 1K. | Election of Director: G. Summe | Management | For | For | |
| 2. | To approve an advisory proposal on executive compensation. | Management | For | For | |
| 3. | To ratify the selection of Ernst & Young LLP as State Street's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | |
| PAYPAL HOLDINGS, INC. | |
| Security | 70450Y103 | | Meeting Type | Annual |
| Ticker Symbol | PYPL | | Meeting Date | 21-May-2020 |
| ISIN | US70450Y1038 | | Agenda | 935170869 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Rodney C. Adkins | Management | For | For | |
| 1B. | Election of Director: Jonathan Christodoro | Management | For | For | |
| 1C. | Election of Director: John J. Donahoe | Management | For | For | |
| 1D. | Election of Director: David W. Dorman | Management | For | For | |
| 1E. | Election of Director: Belinda J. Johnson | Management | For | For | |
| 1F. | Election of Director: Gail J. McGovern | Management | For | For | |
| 1G. | Election of Director: Deborah M. Messemer | Management | For | For | |
| 1H. | Election of Director: David M. Moffett | Management | For | For | |
| 1I. | Election of Director: Ann M. Sarnoff | Management | For | For | |
| 1J. | Election of Director: Daniel H. Schulman | Management | For | For | |
| 1K. | Election of Director: Frank D. Yeary | Management | For | For | |
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2020. | Management | For | For | |
| 4. | Stockholder Proposal - Stockholder right to act by written consent. | Shareholder | Against | For | |
| 5. | Stockholder Proposal - Human and indigenous peoples' rights. | Shareholder | Abstain | Against | |
| NEXTERA ENERGY, INC. | |
| Security | 65339F101 | | Meeting Type | Annual |
| Ticker Symbol | NEE | | Meeting Date | 21-May-2020 |
| ISIN | US65339F1012 | | Agenda | 935172661 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Sherry S. Barrat | Management | For | For | |
| 1B. | Election of Director: James L. Camaren | Management | For | For | |
| 1C. | Election of Director: Kenneth B. Dunn | Management | For | For | |
| 1D. | Election of Director: Naren K. Gursahaney | Management | For | For | |
| 1E. | Election of Director: Kirk S. Hachigian | Management | For | For | |
| 1F. | Election of Director: Toni Jennings | Management | For | For | |
| 1G. | Election of Director: Amy B. Lane | Management | For | For | |
| 1H. | Election of Director: David L. Porges | Management | For | For | |
| 1I. | Election of Director: James L. Robo | Management | For | For | |
| 1J. | Election of Director: Rudy E. Schupp | Management | For | For | |
| 1K. | Election of Director: John L. Skolds | Management | For | For | |
| 1L. | Election of Director: William H. Swanson | Management | For | For | |
| 1M. | Election of Director: Darryl L. Wilson | Management | For | For | |
| 2. | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy's independent registered public accounting firm for 2020 | Management | For | For | |
| 3. | Approval, by non-binding advisory vote, of NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement | Management | For | For | |
| 4. | A proposal entitled "Political Contributions Disclosure" to request semiannual reports disclosing political contribution policies and expenditures | Shareholder | Abstain | Against | |
| 5. | A proposal entitled "Right to Act by Written Consent" to request action by written consent of shareholders | Shareholder | Against | For | |
| HENRY SCHEIN, INC. | |
| Security | 806407102 | | Meeting Type | Annual |
| Ticker Symbol | HSIC | | Meeting Date | 21-May-2020 |
| ISIN | US8064071025 | | Agenda | 935176695 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Barry J. Alperin | Management | For | For | |
| 1B. | Election of Director: Gerald A. Benjamin | Management | For | For | |
| 1C. | Election of Director: Stanley M. Bergman | Management | For | For | |
| 1D. | Election of Director: James P. Breslawski | Management | For | For | |
| 1E. | Election of Director: Paul Brons | Management | For | For | |
| 1F. | Election of Director: Shira Goodman | Management | For | For | |
| 1G. | Election of Director: Joseph L. Herring | Management | For | For | |
| 1H. | Election of Director: Kurt P. Kuehn | Management | For | For | |
| 1I. | Election of Director: Philip A. Laskawy | Management | For | For | |
| 1J. | Election of Director: Anne H. Margulies | Management | For | For | |
| 1K. | Election of Director: Mark E. Mlotek | Management | For | For | |
| 1L. | Election of Director: Steven Paladino | Management | For | For | |
| 1M. | Election of Director: Carol Raphael | Management | For | For | |
| 1N. | Election of Director: E. Dianne Rekow, DDS, Ph.D. | Management | For | For | |
| 1O. | Election of Director: Bradley T. Sheares, Ph.D. | Management | For | For | |
| 2. | Proposal to amend and restate the Company's Amended and Restated 2013 Stock Incentive Plan to, among other things, increase the aggregate share reserve and extend the term of the plan to March 31, 2030. | Management | For | For | |
| 3. | Proposal to approve, by non-binding vote, the 2019 compensation paid to the Company's Named Executive Officers. | Management | For | For | |
| 4. | Proposal to ratify the selection of BDO USA, LLP as the Company's independent registered public accounting firm for the fiscal year ending December 26, 2020. | Management | For | For | |
| SERVICEMASTER GLOBAL HOLDINGS INC. | |
| Security | 81761R109 | | Meeting Type | Annual |
| Ticker Symbol | SERV | | Meeting Date | 26-May-2020 |
| ISIN | US81761R1095 | | Agenda | 935202224 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Deborah H. Caplan | Management | For | For | |
| 1B. | Election of Director: Naren K. Gursahaney | Management | For | For | |
| 1C. | Election of Director: Mark E. Tomkins | Management | For | For | |
| 2. | To hold a non-binding advisory vote approving executive compensation. | Management | For | For | |
| 3. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | |
| NN GROUP N.V. | |
| Security | N64038107 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 28-May-2020 |
| ISIN | NL0010773842 | | Agenda | 712406481 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO- BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | |
| 1 | OPENING | Non-Voting | | | |
| 2 | 2019 ANNUAL REPORT | Non-Voting | | | |
| 3.A | PROPOSAL TO ADOPT THE ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2019 | Management | No Action | | |
| 3.B | EXPLANATION OF THE PROFIT RETENTION AND DISTRIBUTION POLICY | Non-Voting | | | |
| 4.A | PROPOSAL TO RELEASE THE MEMBERS OF THE EXECUTIVE BOARD FROM LIABILITY FOR THEIR RESPECTIVE DUTIES PERFORMED DURING THE FINANCIAL YEAR 2019 | Management | No Action | | |
| 4.B | PROPOSAL TO RELEASE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPECTIVE DUTIES PERFORMED DURING THE FINANCIAL YEAR 2019 | Management | No Action | | |
| 5 | PROFILE OF THE SUPERVISORY BOARD | Non-Voting | | | |
| 6.A | PROPOSAL TO REAPPOINT CLARA STREIT AS MEMBER OF THE SUPERVISORY BOARD | Management | No Action | | |
| 6.B | PROPOSAL TO REAPPOINT ROBERT JENKINS AS MEMBER OF THE SUPERVISORY BOARD | Management | No Action | | |
| 7.A | PROPOSAL TO GIVE A POSITIVE ADVICE ON THE 2019 REMUNERATION REPORT | Management | No Action | | |
| 7.B | PROPOSAL TO ADOPT THE REMUNERATION POLICY FOR THE MEMBERS OF THE EXECUTIVE BOARD | Management | No Action | | |
| 7.C | PROPOSAL TO ADOPT THE REMUNERATION POLICY AND REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD | Management | No Action | | |
| 7.D | PROPOSAL TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | No Action | | |
| 8.A.I | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO ISSUE ORDINARY SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES | Management | No Action | | |
| 8.AII | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO LIMIT OR EXCLUDE PREEMPTIVE RIGHTS OF EXISTING SHAREHOLDERS WHEN ISSUING ORDINARY SHARES AND GRANTING RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES PURSUANT TO AGENDA ITEM 8.A.(I) | Management | No Action | | |
| 8.B | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO ISSUE ORDINARY SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES BY WAY OF A RIGHTS ISSUE | Management | No Action | | |
| 9 | PROPOSAL TO AUTHORISE THE EXECUTIVE BOARD TO ACQUIRE ORDINARY SHARES IN THE COMPANY'S SHARE CAPITAL | Management | No Action | | |
| 10 | PROPOSAL TO REDUCE THE ISSUED SHARE CAPITAL BY CANCELLATION OF ORDINARY SHARES HELD BY THE COMPANY | Management | No Action | | |
| 11 | ANY OTHER BUSINESS AND CLOSING | Non-Voting | | | |
| LOWE'S COMPANIES, INC. | |
| Security | 548661107 | | Meeting Type | Annual |
| Ticker Symbol | LOW | | Meeting Date | 29-May-2020 |
| ISIN | US5486611073 | | Agenda | 935180808 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Raul Alvarez | | For | For | |
| | | 2 | David H. Batchelder | | For | For | |
| | | 3 | Angela F. Braly | | For | For | |
| | | 4 | Sandra B. Cochran | | For | For | |
| | | 5 | Laurie Z. Douglas | | For | For | |
| | | 6 | Richard W. Dreiling | | For | For | |
| | | 7 | Marvin R. Ellison | | For | For | |
| | | 8 | Brian C. Rogers | | For | For | |
| | | 9 | Bertram L. Scott | | For | For | |
| | | 10 | Lisa W. Wardell | | For | For | |
| | | 11 | Eric C. Wiseman | | For | For | |
| 2. | Advisory vote to approve Lowe's named executive officer compensation in fiscal 2019. | Management | For | For | |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as Lowe's independent registered public accounting firm for fiscal 2020. | Management | For | For | |
| 4. | Approve amendment to Bylaws reducing the ownership threshold to call special shareholder meetings to 15% of outstanding shares. | Management | For | For | |
| 5. | Approve 2020 Employee Stock Purchase Plan. | Management | For | For | |
| 6. | Shareholder proposal to reduce the ownership threshold to call special shareholder meetings to 10% of outstanding shares. | Shareholder | Against | For | |
| COMCAST CORPORATION | |
| Security | 20030N101 | | Meeting Type | Annual |
| Ticker Symbol | CMCSA | | Meeting Date | 03-Jun-2020 |
| ISIN | US20030N1019 | | Agenda | 935190532 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Kenneth J. Bacon | | For | For | |
| | | 2 | Madeline S. Bell | | For | For | |
| | | 3 | Naomi M. Bergman | | For | For | |
| | | 4 | Edward D. Breen | | For | For | |
| | | 5 | Gerald L. Hassell | | For | For | |
| | | 6 | Jeffrey A. Honickman | | For | For | |
| | | 7 | Maritza G. Montiel | | For | For | |
| | | 8 | Asuka Nakahara | | For | For | |
| | | 9 | David C. Novak | | For | For | |
| | | 10 | Brian L. Roberts | | For | For | |
| 2. | Ratification of the appointment of our independent auditors | Management | For | For | |
| 3. | Approval of Amended 2003 Stock Option Plan | Management | Against | Against | |
| 4. | Approval of Amended 2002 Restricted Stock Plan | Management | Against | Against | |
| 5. | Advisory vote on executive compensation | Management | For | For | |
| 6. | To provide a lobbying report | Shareholder | Abstain | Against | |
| 7. | To require an independent board chairman | Shareholder | Against | For | |
| 8. | To conduct independent investigation and report on risks posed by failing to prevent sexual harassment | Shareholder | Abstain | Against | |
| ALPHABET INC. | |
| Security | 02079K305 | | Meeting Type | Annual |
| Ticker Symbol | GOOGL | | Meeting Date | 03-Jun-2020 |
| ISIN | US02079K3059 | | Agenda | 935196762 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Larry Page | | For | For | |
| | | 2 | Sergey Brin | | For | For | |
| | | 3 | Sundar Pichai | | For | For | |
| | | 4 | John L. Hennessy | | For | For | |
| | | 5 | Frances H. Arnold | | For | For | |
| | | 6 | L. John Doerr | | For | For | |
| | | 7 | Roger W. Ferguson, Jr. | | For | For | |
| | | 8 | Ann Mather | | For | For | |
| | | 9 | Alan R. Mulally | | For | For | |
| | | 10 | K. Ram Shriram | | For | For | |
| | | 11 | Robin L. Washington | | For | For | |
| 2. | Ratification of the appointment of Ernst & Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | Against | Against | |
| 3. | An amendment to Alphabet's Amended and Restated 2012 Stock Plan to increase the share reserve by 8,500,000 shares of Class C capital stock. | Management | Against | Against | |
| 4. | Advisory vote to approve named executive officer compensation. | Management | Against | Against | |
| 5. | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shareholder | For | Against | |
| 6. | A stockholder proposal regarding a report on arbitration of employment-related claims, if properly presented at the meeting. | Shareholder | For | Against | |
| 7. | A stockholder proposal regarding the establishment of a human rights risk oversight committee, if properly presented at the meeting. | Shareholder | For | Against | |
| 8. | A stockholder proposal regarding non-binding vote on amendment of bylaws, if properly presented at the meeting. | Shareholder | Against | For | |
| 9. | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shareholder | For | Against | |
| 10. | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shareholder | Against | For | |
| 11. | A stockholder proposal regarding majority vote for election of directors, if properly presented at the meeting. | Shareholder | For | Against | |
| 12. | A stockholder proposal regarding a report on gender/racial pay equity, if properly presented at the meeting. | Shareholder | For | Against | |
| 13. | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shareholder | For | Against | |
| 14. | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting | Shareholder | Against | For | |
| THE TJX COMPANIES, INC. | |
| Security | 872540109 | | Meeting Type | Annual |
| Ticker Symbol | TJX | | Meeting Date | 09-Jun-2020 |
| ISIN | US8725401090 | | Agenda | 935195633 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Zein Abdalla | Management | For | For | |
| 1B. | Election of Director: Alan M. Bennett | Management | For | For | |
| 1C. | Election of Director: Rosemary T. Berkery | Management | For | For | |
| 1D. | Election of Director: David T. Ching | Management | For | For | |
| 1E. | Election of Director: Ernie Herrman | Management | For | For | |
| 1F. | Election of Director: Michael F. Hines | Management | For | For | |
| 1G. | Election of Director: Amy B. Lane | Management | For | For | |
| 1H. | Election of Director: Carol Meyrowitz | Management | For | For | |
| 1I. | Election of Director: Jackwyn L. Nemerov | Management | For | For | |
| 1J. | Election of Director: John F. O'Brien | Management | For | For | |
| 1K. | Election of Director: Willow B. Shire | Management | For | For | |
| 2. | Ratification of appointment of PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2021 | Management | Against | Against | |
| 3. | Advisory approval of TJX's executive compensation (the say-on-pay vote) | Management | For | For | |
| 4. | Shareholder proposal for a report on reduction in chemical footprint | Shareholder | For | Against | |
| 5. | Shareholder proposal for a report on animal welfare | Shareholder | For | Against | |
| 6. | Shareholder proposal for setting target amounts for CEO compensation | Shareholder | For | Against | |
| 7. | Shareholder proposal for disclosure regarding executive share retention | Shareholder | Against | For | |
| NVIDIA CORPORATION | |
| Security | 67066G104 | | Meeting Type | Annual |
| Ticker Symbol | NVDA | | Meeting Date | 09-Jun-2020 |
| ISIN | US67066G1040 | | Agenda | 935196445 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Robert K. Burgess | Management | For | For | |
| 1B. | Election of Director: Tench Coxe | Management | For | For | |
| 1C. | Election of Director: Persis S. Drell | Management | For | For | |
| 1D. | Election of Director: Jen-Hsun Huang | Management | For | For | |
| 1E. | Election of Director: Dawn Hudson | Management | For | For | |
| 1F. | Election of Director: Harvey C. Jones | Management | For | For | |
| 1G. | Election of Director: Michael G. McCaffery | Management | For | For | |
| 1H. | Election of Director: Stephen C. Neal | Management | For | For | |
| 1I. | Election of Director: Mark L. Perry | Management | For | For | |
| 1J. | Election of Director: A. Brooke Seawell | Management | For | For | |
| 1K. | Election of Director: Mark A. Stevens | Management | For | For | |
| 2. | Approval of our executive compensation. | Management | For | For | |
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. | Management | For | For | |
| 4. | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | Management | For | For | |
| 5. | Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan. | Management | For | For | |
| TOYOTA MOTOR CORPORATION | |
| Security | 892331307 | | Meeting Type | Annual |
| Ticker Symbol | TM | | Meeting Date | 11-Jun-2020 |
| ISIN | US8923313071 | | Agenda | 935223761 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1.1 | Election of Director: Takeshi Uchiyamada | Management | For | | |
| 1.2 | Election of Director: Shigeru Hayakawa | Management | For | | |
| 1.3 | Election of Director: Akio Toyoda | Management | For | | |
| 1.4 | Election of Director: Koji Kobayashi | Management | For | | |
| 1.5 | Election of Director: Shigeki Terashi | Management | For | | |
| 1.6 | Election of Director: James Kuffner | Management | For | | |
| 1.7 | Election of Director: Ikuro Sugawara | Management | For | | |
| 1.8 | Election of Director: Sir Philip Craven | Management | For | | |
| 1.9 | Election of Director: Teiko Kudo | Management | For | | |
| 2. | Election of Substitute Audit & Supervisory Board Member: Ryuji Sakai | Management | For | | |
| 3. | Partial Amendments to the Articles of Incorporation. | Management | For | | |
| DELTA AIR LINES, INC. | |
| Security | 247361702 | | Meeting Type | Annual |
| Ticker Symbol | DAL | | Meeting Date | 18-Jun-2020 |
| ISIN | US2473617023 | | Agenda | 935210651 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1A. | Election of Director: Edward H. Bastian | Management | For | For | |
| 1B. | Election of Director: Francis S. Blake | Management | For | For | |
| 1C. | Election of Director: Ashton B. Carter | Management | For | For | |
| 1D. | Election of Director: David G. DeWalt | Management | For | For | |
| 1E. | Election of Director: William H. Easter III | Management | For | For | |
| 1F. | Election of Director: Christopher A. Hazleton | Management | For | For | |
| 1G. | Election of Director: Michael P. Huerta | Management | For | For | |
| 1H. | Election of Director: Jeanne P. Jackson | Management | For | For | |
| 1I. | Election of Director: George N. Mattson | Management | For | For | |
| 1J. | Election of Director: Sergio A.L. Rial | Management | For | For | |
| 1K. | Election of Director: David S. Taylor | Management | For | For | |
| 1L. | Election of Director: Kathy N. Waller | Management | For | For | |
| 2. | To approve, on an advisory basis, the compensation of Delta's named executive officers. | Management | For | For | |
| 3. | To ratify the appointment of Ernst & Young LLP as Delta's independent auditors for the year ending December 31, 2020. | Management | For | For | |
| 4. | A shareholder proposal related to the right to act by written consent. | Shareholder | For | Against | |
| 5. | A shareholder proposal related to a climate lobbying report. | Shareholder | For | Against | |
| 6. | A shareholder proposal related to a political contributions report. | Shareholder | For | Against | |
| 7. | A shareholder proposal related to a sexual harassment policy. | Shareholder | For | Against | |
| TAKEDA PHARMACEUTICAL CO LTD | |
| Security | 874060205 | | Meeting Type | Annual |
| Ticker Symbol | TAK | | Meeting Date | 24-Jun-2020 |
| ISIN | US8740602052 | | Agenda | 935234978 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | Appropriation of Surplus | Management | For | | |
| 2a. | Election of Director who is not an Audit and Supervisory Committee Member: Christophe Weber | Management | For | | |
| 2b. | Election of Director who is not an Audit and Supervisory Committee Member: Masato Iwasaki | Management | For | | |
| 2c. | Election of Director who is not an Audit and Supervisory Committee Member: Andrew Plump | Management | For | | |
| 2d. | Election of Director who is not an Audit and Supervisory Committee Member: Costa Saroukos | Management | For | | |
| 2e. | Election of Director who is not an Audit and Supervisory Committee Member: Masahiro Sakane | Management | For | | |
| 2f. | Election of Director who is not an Audit and Supervisory Committee Member: Oliver Bohuon | Management | For | | |
| 2g. | Election of Director who is not an Audit and Supervisory Committee Member: Jean-Luc Butel | Management | For | | |
| 2h. | Election of Director who is not an Audit and Supervisory Committee Member: Ian Clark | Management | For | | |
| 2i. | Election of Director who is not an Audit and Supervisory Committee Member: Yoshiaki Fujimori | Management | For | | |
| 2j. | Election of Director who is not an Audit and Supervisory Committee Member: Steven Gillis | Management | For | | |
| 2k. | Election of Director who is not an Audit and Supervisory Committee Member: Shiro Kuniya | Management | For | | |
| 2l. | Election of Director who is not an Audit and Supervisory Committee Member: Toshiyuki Shiga | Management | For | | |
| 3a. | Election of Director who is Audit and Supervisory Committee Member: Yasuhiko Yamanaka | Management | For | | |
| 3b. | Election of Director who is Audit and Supervisory Committee Member: Koji Hatsukawa | Management | For | | |
| 3c. | Election of Director who is Audit and Supervisory Committee Member: Emiko Higashi | Management | For | | |
| 3d. | Election of Director who is Audit and Supervisory Committee Member: Michel Orsinger | Management | For | | |
| 4. | Payment of Bonuses to Directors who are not Audit and Supervisory Committee Members | Management | For | | |
| 5. | Election of Director who is an Audit and Supervisory Committee Member: Takeshi Ito | Management | Against | | |
| DAIWA SECURITIES GROUP INC. | |
| Security | J11718111 | | Meeting Type | Annual General Meeting |
| Ticker Symbol | | | Meeting Date | 25-Jun-2020 |
| ISIN | JP3502200003 | | Agenda | 712705269 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| | Please reference meeting materials. | Non-Voting | | | |
| 1.1 | Appoint a Director Hibino, Takashi | Management | For | For | |
| 1.2 | Appoint a Director Nakata, Seiji | Management | For | For | |
| 1.3 | Appoint a Director Matsui, Toshihiro | Management | For | For | |
| 1.4 | Appoint a Director Tashiro, Keiko | Management | For | For | |
| 1.5 | Appoint a Director Ogino, Akihiko | Management | For | For | |
| 1.6 | Appoint a Director Hanaoka, Sachiko | Management | For | For | |
| 1.7 | Appoint a Director Kawashima, Hiromasa | Management | For | For | |
| 1.8 | Appoint a Director Ogasawara, Michiaki | Management | For | For | |
| 1.9 | Appoint a Director Takeuchi, Hirotaka | Management | For | For | |
| 1.10 | Appoint a Director Nishikawa, Ikuo | Management | For | For | |
| 1.11 | Appoint a Director Kawai, Eriko | Management | For | For | |
| 1.12 | Appoint a Director Nishikawa, Katsuyuki | Management | For | For | |
| 1.13 | Appoint a Director Iwamoto, Toshio | Management | For | For | |
| DANONE SA | |
| Security | F12033134 | | Meeting Type | MIX |
| Ticker Symbol | | | Meeting Date | 26-Jun-2020 |
| ISIN | FR0000120644 | | Agenda | 712789378 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A- FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE- GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED- INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | | | |
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY-CLICKING ON THE MATERIAL URL LINK:-https://www.journal- officiel.gouv.fr/balo/document/202006052002174-68 | Non-Voting | | | |
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 427874 DUE TO RECEIPT OF-UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE-REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND-YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE-ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS-SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU. | Non-Voting | | | |
| O.1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |
| O.2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 | Management | For | For | |
| O.3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 AND SETTING OF THE DIVIDEND AT 2.10 EUROS PER SHARE | Management | For | For | |
| O.4 | RENEWAL OF THE TERM OF OFFICE OF MR. GREGG L. ENGLES AS DIRECTOR | Management | For | For | |
| O.5 | RENEWAL OF THE TERM OF OFFICE OF MRS. GAELLE OLIVIER AS DIRECTOR | Management | For | For | |
| O.6 | RENEWAL OF THE TERM OF OFFICE OF MRS. ISABELLE SEILLIER AS DIRECTOR | Management | For | For | |
| O.7 | RENEWAL OF THE TERM OF OFFICE OF MR. JEAN- MICHEL SEVERINO AS DIRECTOR | Management | For | For | |
| O.8 | RENEWAL OF THE TERM OF OFFICE OF MR. LIONEL ZINSOU-DERLIN AS DIRECTOR | Management | For | For | |
| O.9 | APPROVAL OF THE INFORMATION RELATING TO THE COMPENSATION OF THE CORPORATE OFFICERS MENTIONED IN SECTION I OF ARTICLE L. 225-37-3 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR 2019 | Management | For | For | |
| O.10 | APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR GRANTED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Management | For | For | |
| O.11 | APPROVAL OF THE COMPENSATION POLICY OF EXECUTIVE CORPORATE OFFICERS FOR THE FINANCIAL YEAR 2020 | Management | For | For | |
| O.12 | APPROVAL OF THE COMPENSATION POLICY OF DIRECTORS FOR THE FINANCIAL YEAR 2020 | Management | For | For | |
| O.13 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO BUY, HOLD OR TRANSFER SHARES OF THE COMPANY | Management | For | For | |
| E.14 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES, CONSISTING OF EMPLOYEES WORKING IN FOREIGN COMPANIES OF THE DANONE GROUP, OR IN A SITUATION OF INTERNATIONAL MOBILITY, IN THE CONTEXT OF EMPLOYEE SHAREHOLDING OPERATIONS | Management | For | For | |
| E.15 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO ALLOT EXISTING SHARES OR SHARES TO BE ISSUED BY THE COMPANY, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | |
| E.16 | AMENDMENT TO ARTICLE 15.III OF THE BYLAWS OF THE COMPANY RELATING TO THE RULES FOR THE APPOINTMENT OF DIRECTORS REPRESENTING EMPLOYEES | Management | For | For | |
| E.17 | AMENDMENT TO ARTICLE 19.III OF THE BYLAWS OF THE COMPANY RELATING TO REGULATED AGREEMENTS | Management | For | For | |
| E.18 | AMENDMENT TO ARTICLE 21.I OF THE BYLAWS OF THE COMPANY RELATING TO THE RULES FOR THE APPOINTMENT OF DEPUTY STATUTORY AUDITORS | Management | For | For | |
| E.19 | AMENDMENT TO ARTICLES 20.I AND 27.I OF THE BYLAWS OF THE COMPANY RELATING TO THE COMPENSATION OF DIRECTORS AND TO THE POWERS OF THE ORDINARY GENERAL MEETING | Management | For | For | |
| E.20 | AMENDMENT TO ARTICLE 1 AND THE TITLE IV OF THE COMPANY'S BY-LAWS IN ORDER TO ADOPT THE STATUS OF A COMPANY WITH A MISSION | Management | For | For | |
| E.21 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | |
| SONY CORPORATION | |
| Security | 835699307 | | Meeting Type | Annual |
| Ticker Symbol | SNE | | Meeting Date | 26-Jun-2020 |
| ISIN | US8356993076 | | Agenda | 935221717 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | To amend a part of the Articles of Incorporation. | Management | For | For | |
| 2A. | Election of Director: Kenichiro Yoshida | Management | For | For | |
| 2B. | Election of Director: Hiroki Totoki | Management | For | For | |
| 2C. | Election of Director: Shuzo Sumi | Management | For | For | |
| 2D. | Election of Director: Tim Schaaff | Management | For | For | |
| 2E. | Election of Director: Kazuo Matsunaga | Management | For | For | |
| 2F. | Election of Director: Toshiko Oka | Management | For | For | |
| 2G. | Election of Director: Sakie Akiyama | Management | For | For | |
| 2H. | Election of Director: Wendy Becker | Management | For | For | |
| 2I. | Election of Director: Yoshihiko Hatanaka | Management | For | For | |
| 2J. | Election of Director: Adam Crozier | Management | For | For | |
| 2K. | Election of Director: Keiko Kishigami | Management | For | For | |
| 2L. | Election of Director: Joseph A. Kraft Jr. | Management | For | For | |
| 3. | To issue Stock Acquisition Rights for the purpose of granting stock options. | Management | For | For | |
| DELL TECHNOLOGIES INC. | |
| Security | 24703L202 | | Meeting Type | Annual |
| Ticker Symbol | DELL | | Meeting Date | 29-Jun-2020 |
| ISIN | US24703L2025 | | Agenda | 935219546 - Management |
| | | | | | | | |
| Item | Proposal | Proposed by | Vote | For/Against Management | |
| 1. | DIRECTOR | Management | | | |
| | | 1 | Michael S. Dell* | | For | For | |
| | | 2 | David W. Dorman* | | For | For | |
| | | 3 | Egon Durban* | | For | For | |
| | | 4 | William D. Green* | | For | For | |
| | | 5 | Simon Patterson* | | For | For | |
| | | 6 | Lynn M. Vojvodich* | | For | For | |
| | | 7 | Ellen J. Kullman# | | For | For | |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Dell Technologies Inc.'s independent registered public accounting firm for fiscal year ending January 29, 2021. | Management | For | For | |
| 3. | Approval, on an advisory basis, of the compensation of Dell Technologies Inc.'s named executive officers as disclosed in the proxy statement. | Management | For | For | |
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.
*Print the name and title of each signing officer under his or her signature.