UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22452
FIRST TRUST SERIES FUND
Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
Registrant's Telephone Number, including Area Code
Date of fiscal year end: October 31
Date of reporting period: July 1, 2020 - June 30, 2021
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
================= First Trust Short Duration High Income Fund ==================
CUMULUS MEDIA INC.
Ticker: CMLS Security ID: 231082801
Meeting Date: MAY 04, 2021 Meeting Type: Annual
Record Date: MAR 12, 2021
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Mary G. Berner For For Management
1.2 Elect Director David M. Baum For For Management
1.3 Elect Director Matthew C. Blank For For Management
1.4 Elect Director Thomas H. Castro For For Management
1.5 Elect Director Joan Hogan Gillman For For Management
1.6 Elect Director Andrew W. Hobson For For Management
1.7 Elect Director Brian G. Kushner For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
VISTRA CORP.
Ticker: VST Security ID: 92840M102
Meeting Date: APR 28, 2021 Meeting Type: Annual
Record Date: MAR 16, 2021
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Scott B. Helm For For Management
1.2 Elect Director Hilary E. Ackermann For For Management
1.3 Elect Director Arcilia C. Acosta For For Management
1.4 Elect Director Gavin R. Baiera For For Management
1.5 Elect Director Paul M. Barbas For For Management
1.6 Elect Director Lisa Crutchfield For For Management
1.7 Elect Director Brian K. Ferraioli For For Management
1.8 Elect Director Jeff D. Hunter For For Management
1.9 Elect Director Curtis A. Morgan For For Management
1.10 Elect Director John R. Sult For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
| FIRST TRUST PREFERRED SECURITIES AND INCOME FUND | ||||||||
| FIFTH THIRD BANCORP | ||||||||
| Ticker | FITBP | |||||||
| CUSIP | 316773886 | |||||||
| Meeting Date | 4/13/2021 | |||||||
| Proponent | Proposal Text | Did The Fund Cast Its Vote | How The Fund Voted | Vote For Or Against Management | ||||
| Issuer | Annual Meeting | Yes | Abstain | N/A | ||||
| BACR 7 7/8 PERP CORP - ISIN: XS1481041587 | ||||||||
| Ticker | ||||||||
| CUSIP | G0809LDY2 | |||||||
| Meeting Date | 12/16/2020 | |||||||
| Proponent | Proposal Text | Did The Fund Cast Its Vote | How The Fund Voted | Vote For Or Against Management | ||||
| Issuer | Special Meeting to approve replacement of LIBOR language in bonds | No | ||||||
| SIGNATURE BANK | ||||||||
| Ticker | SBNYP | |||||||
| CUSIP | 82669G203 | |||||||
| Meeting Date | 6/29/2021 | |||||||
| Proponent | Proposal Text | Did The Fund Cast Its Vote | How The Fund Voted | Vote For Or Against Management | ||||
| Issuer | Special Meeting - Share repurchase plan | Yes | Abstain | N/A | ||||
First Trust/Confluence Small Cap Value Fund
| RBC BEARINGS INCORPORATED | |||||||||||||||||||||||||||||||
| Security | 75524B104 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | ROLL | Meeting Date | 09-Sep-2020 | ||||||||||||||||||||||||||||
| ISIN | US75524B1044 | Agenda | 935251304 - Management | ||||||||||||||||||||||||||||
| Record Date | 13-Jul-2020 | Holding Recon Date | 13-Jul-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Sep-2020 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Dr. Michael J. Hartnett | For | For | ||||||||||||||||||||||||||||
| 2 | Dolores J. Ennico | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To consider a resolution regarding the stockholder advisory vote on named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 8,101 | 0 | 26-Jul-2020 | 26-Jul-2020 | ||||||||||||||||||||||||
| NATHAN'S FAMOUS, INC. | |||||||||||||||||||||||||||||||
| Security | 632347100 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | NATH | Meeting Date | 15-Sep-2020 | ||||||||||||||||||||||||||||
| ISIN | US6323471002 | Agenda | 935253889 - Management | ||||||||||||||||||||||||||||
| Record Date | 21-Jul-2020 | Holding Recon Date | 21-Jul-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2020 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Robert J. Eide | For | For | ||||||||||||||||||||||||||||
| 2 | Eric Gatoff | For | For | ||||||||||||||||||||||||||||
| 3 | Brian S. Genson | For | For | ||||||||||||||||||||||||||||
| 4 | Barry Leistner | For | For | ||||||||||||||||||||||||||||
| 5 | Andrew Levine | For | For | ||||||||||||||||||||||||||||
| 6 | Howard M. Lorber | For | For | ||||||||||||||||||||||||||||
| 7 | Wayne Norbitz | For | For | ||||||||||||||||||||||||||||
| 8 | A.F. Petrocelli | For | For | ||||||||||||||||||||||||||||
| 9 | Charles Raich | For | For | ||||||||||||||||||||||||||||
| 2. | Adoption, on an advisory basis, of a resolution approving the compensation of the Company's Named Executive Officers, as described in the Proxy Statement under "Executive Compensation". | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Marcum LLP as the independent registered public accounting firm of Nathan's Famous, Inc. for fiscal 2021. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Adoption of a non-binding stockholder proposal to request that the Board of Directors initiate the appropriate processes to amend Nathan's Famous, Inc.'s certificate of incorporation and/or by-laws to require a majority vote in uncontested elections of directors of Nathan's Famous, Inc. | Shareholder | For | Against | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 6,609 | 0 | 31-Jul-2020 | 31-Jul-2020 | ||||||||||||||||||||||||
| RESOURCES CONNECTION, INC. | |||||||||||||||||||||||||||||||
| Security | 76122Q105 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | RGP | Meeting Date | 22-Oct-2020 | ||||||||||||||||||||||||||||
| ISIN | US76122Q1058 | Agenda | 935271279 - Management | ||||||||||||||||||||||||||||
| Record Date | 24-Aug-2020 | Holding Recon Date | 24-Aug-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Oct-2020 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Robert F. Kistinger | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Marco von Maltzan | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: Jolene Sarkis | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approval of the 2020 Performance Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratification of the appointment of RSM US LLP as the Company's independent registered public accounting firm for fiscal year 2021. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Advisory approval of the Company's executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 60,004 | 0 | 13-Sep-2020 | 13-Sep-2020 | ||||||||||||||||||||||||
| PHIBRO ANIMAL HEALTH CORPORATION | |||||||||||||||||||||||||||||||
| Security | 71742Q106 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | PAHC | Meeting Date | 02-Nov-2020 | ||||||||||||||||||||||||||||
| ISIN | US71742Q1067 | Agenda | 935272839 - Management | ||||||||||||||||||||||||||||
| Record Date | 03-Sep-2020 | Holding Recon Date | 03-Sep-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Oct-2020 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Daniel M. Bendheim | For | For | ||||||||||||||||||||||||||||
| 2 | Jonathan Bendheim | For | For | ||||||||||||||||||||||||||||
| 3 | Sam Gejdenson | For | For | ||||||||||||||||||||||||||||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 46,495 | 0 | 20-Sep-2020 | 20-Sep-2020 | ||||||||||||||||||||||||
| EDGEWELL PERSONAL CARE COMPANY | |||||||||||||||||||||||||||||||
| Security | 28035Q102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | EPC | Meeting Date | 04-Feb-2021 | ||||||||||||||||||||||||||||
| ISIN | US28035Q1022 | Agenda | 935313813 - Management | ||||||||||||||||||||||||||||
| Record Date | 27-Nov-2020 | Holding Recon Date | 27-Nov-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Feb-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Robert W. Black | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: George R. Corbin | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: Daniel J. Heinrich | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director: Carla C. Hendra | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director: John C. Hunter, III | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director: James C. Johnson | Management | For | For | |||||||||||||||||||||||||||
| 1G. | Election of Director: Rod R. Little | Management | For | For | |||||||||||||||||||||||||||
| 1H. | Election of Director: Joseph D. O'Leary | Management | For | For | |||||||||||||||||||||||||||
| 1I. | Election of Director: Rakesh Sachdev | Management | For | For | |||||||||||||||||||||||||||
| 1J. | Election of Director: Swan Sit | Management | For | For | |||||||||||||||||||||||||||
| 1K. | Election of Director: Gary K. Waring | Management | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for fiscal 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To cast a non-binding advisory vote on executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 38,600 | 0 | 31-Dec-2020 | 31-Dec-2020 | ||||||||||||||||||||||||
| J & J SNACK FOODS CORP. | |||||||||||||||||||||||||||||||
| Security | 466032109 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | JJSF | Meeting Date | 10-Feb-2021 | ||||||||||||||||||||||||||||
| ISIN | US4660321096 | Agenda | 935320490 - Management | ||||||||||||||||||||||||||||
| Record Date | 14-Dec-2020 | Holding Recon Date | 14-Dec-2020 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Feb-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Peter G. Stanley | For | For | ||||||||||||||||||||||||||||
| 2. | ADVISORY VOTE ON APPROVAL OF THE COMPENSATION OF EXECUTIVES. | Management | For | For | |||||||||||||||||||||||||||
| 3. | VOTE ON APPROVAL OF THE AMENDED AND RESTATED LONG-TERM INCENTIVE PLAN. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 8,258 | 0 | 25-Dec-2020 | 25-Dec-2020 | ||||||||||||||||||||||||
| I3 VERTICALS, INC. | |||||||||||||||||||||||||||||||
| Security | 46571Y107 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | IIIV | Meeting Date | 26-Feb-2021 | ||||||||||||||||||||||||||||
| ISIN | US46571Y1073 | Agenda | 935329309 - Management | ||||||||||||||||||||||||||||
| Record Date | 15-Jan-2021 | Holding Recon Date | 15-Jan-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Feb-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Gregory Daily | For | For | ||||||||||||||||||||||||||||
| 2 | Clay Whitson | For | For | ||||||||||||||||||||||||||||
| 3 | Elizabeth S. Courtney | For | For | ||||||||||||||||||||||||||||
| 4 | John Harrison | For | For | ||||||||||||||||||||||||||||
| 5 | Burton Harvey | For | For | ||||||||||||||||||||||||||||
| 6 | Timothy McKenna | For | For | ||||||||||||||||||||||||||||
| 7 | David Morgan | For | For | ||||||||||||||||||||||||||||
| 8 | David Wilds | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 41,480 | 0 | 28-Jan-2021 | 28-Jan-2021 | ||||||||||||||||||||||||
| SJW GROUP | |||||||||||||||||||||||||||||||
| Security | 784305104 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | SJW | Meeting Date | 28-Apr-2021 | ||||||||||||||||||||||||||||
| ISIN | US7843051043 | Agenda | 935351116 - Management | ||||||||||||||||||||||||||||
| Record Date | 03-Mar-2021 | Holding Recon Date | 03-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: K. Armstrong | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: W. J. Bishop | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: C. Guardino | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director: M. Hanley | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director: H. Hunt | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director: G. P. Landis | Management | For | For | |||||||||||||||||||||||||||
| 1G. | Election of Director: D. C. Man | Management | For | For | |||||||||||||||||||||||||||
| 1H. | Election of Director: D. B. More | Management | For | For | |||||||||||||||||||||||||||
| 1I. | Election of Director: E. W. Thornburg | Management | For | For | |||||||||||||||||||||||||||
| 1J. | Election of Director: C. P. Wallace | Management | For | For | |||||||||||||||||||||||||||
| 2. | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the accompanying proxy statement. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for fiscal year 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 20,713 | 0 | 19-Mar-2021 | 19-Mar-2021 | ||||||||||||||||||||||||
| AVANOS MEDICAL,INC. | |||||||||||||||||||||||||||||||
| Security | 05350V106 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | AVNS | Meeting Date | 29-Apr-2021 | ||||||||||||||||||||||||||||
| ISIN | US05350V1061 | Agenda | 935345226 - Management | ||||||||||||||||||||||||||||
| Record Date | 05-Mar-2021 | Holding Recon Date | 05-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Gary D. Blackford | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Patrick O'Leary | Management | For | For | |||||||||||||||||||||||||||
| 2. | Ratification of the selection of Deloitte & Touche LLP as the independent registered public accounting firm to audit the Company's 2021 financial statements. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Advisory vote to approve the frequency of stockholder votes on our named executive officers' compensation. | Management | 1 Year | For | |||||||||||||||||||||||||||
| 5. | Approval of our 2021 Long Term Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 33,217 | 0 | 25-Mar-2021 | 25-Mar-2021 | ||||||||||||||||||||||||
| ALLIED MOTION TECHNOLOGIES INC. | |||||||||||||||||||||||||||||||
| Security | 019330109 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | AMOT | Meeting Date | 05-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US0193301092 | Agenda | 935387767 - Management | ||||||||||||||||||||||||||||
| Record Date | 10-Mar-2021 | Holding Recon Date | 10-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. B. Engel | Management | For | For | |||||||||||||||||||||||||||
| 1B. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. D. Federico | Management | For | For | |||||||||||||||||||||||||||
| 1C. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: S. C. Finch | Management | For | For | |||||||||||||||||||||||||||
| 1D. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: J. J. Tanous | Management | For | For | |||||||||||||||||||||||||||
| 1E. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: N. R. Tzetzo | Management | For | For | |||||||||||||||||||||||||||
| 1F. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: R. S. Warzala | Management | For | For | |||||||||||||||||||||||||||
| 1G. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING: M. R. Winter | Management | For | For | |||||||||||||||||||||||||||
| 2. | ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | Management | For | For | |||||||||||||||||||||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF THE COMPANY'S INDEPENDENT PUBLIC ACCOUNTING FIRM FOR 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 30,205 | 0 | 11-Apr-2021 | 11-Apr-2021 | ||||||||||||||||||||||||
| BROWN & BROWN, INC. | |||||||||||||||||||||||||||||||
| Security | 115236101 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | BRO | Meeting Date | 05-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US1152361010 | Agenda | 935355772 - Management | ||||||||||||||||||||||||||||
| Record Date | 01-Mar-2021 | Holding Recon Date | 01-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | J. Hyatt Brown | For | For | ||||||||||||||||||||||||||||
| 2 | Hugh M. Brown | For | For | ||||||||||||||||||||||||||||
| 3 | J. Powell Brown | For | For | ||||||||||||||||||||||||||||
| 4 | L. L. Gellerstedt III | For | For | ||||||||||||||||||||||||||||
| 5 | James C. Hays | For | For | ||||||||||||||||||||||||||||
| 6 | Theodore J. Hoepner | For | For | ||||||||||||||||||||||||||||
| 7 | James S. Hunt | For | For | ||||||||||||||||||||||||||||
| 8 | Toni Jennings | For | For | ||||||||||||||||||||||||||||
| 9 | Timothy R.M. Main | For | For | ||||||||||||||||||||||||||||
| 10 | H. Palmer Proctor, Jr. | For | For | ||||||||||||||||||||||||||||
| 11 | Wendell S. Reilly | For | For | ||||||||||||||||||||||||||||
| 12 | Chilton D. Varner | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as Brown & Brown, Inc.'s independent registered public accountants for the fiscal year ending December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve, on an advisory basis, the compensation of named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 26,140 | 0 | 31-Mar-2021 | 31-Mar-2021 | ||||||||||||||||||||||||
| GLADSTONE COMMERCIAL CORPORATION | |||||||||||||||||||||||||||||||
| Security | 376536108 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | GOOD | Meeting Date | 06-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US3765361080 | Agenda | 935355847 - Management | ||||||||||||||||||||||||||||
| Record Date | 10-Mar-2021 | Holding Recon Date | 10-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Terry L. Brubaker | For | For | ||||||||||||||||||||||||||||
| 2 | Caren D. Merrick | For | For | ||||||||||||||||||||||||||||
| 3 | Walter H. Wilkinson, Jr | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify our Audit Committee's selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 78,108 | 0 | 24-Mar-2021 | 24-Mar-2021 | ||||||||||||||||||||||||
| FRONTDOOR, INC. | |||||||||||||||||||||||||||||||
| Security | 35905A109 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | FTDR | Meeting Date | 12-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US35905A1097 | Agenda | 935368995 - Management | ||||||||||||||||||||||||||||
| Record Date | 23-Mar-2021 | Holding Recon Date | 23-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Class II Director: Richard P. Fox | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Class II Director: Brian P. McAndrews | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Class II Director: Rexford J. Tibbens | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Class III Director: Anna C. Catalano | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Class III Director: William C. Cobb | Management | For | For | |||||||||||||||||||||||||||
| 2. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for fiscal 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Advisory vote to approve the Company's named executive officer compensation. | Management | For | For | |||||||||||||||||||||||||||
| 4. | To approve amendments to the Company's Amended and Restated Certificate of Incorporation to eliminate certain supermajority voting requirements and clarify provisions related to advancement of expenses. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 38,000 | 0 | 07-Apr-2021 | 07-Apr-2021 | ||||||||||||||||||||||||
| JOHN BEAN TECHNOLOGIES CORPORATION | |||||||||||||||||||||||||||||||
| Security | 477839104 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | JBT | Meeting Date | 14-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US4778391049 | Agenda | 935363096 - Management | ||||||||||||||||||||||||||||
| Record Date | 19-Mar-2021 | Holding Recon Date | 19-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: C. Maury Devine | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Emmanuel Lagarrigue | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: James M. Ringler | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approve, on an advisory basis, a non-binding resolution regarding the compensation of named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 12,781 | 0 | 05-Apr-2021 | 05-Apr-2021 | ||||||||||||||||||||||||
| MORNINGSTAR, INC. | |||||||||||||||||||||||||||||||
| Security | 617700109 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | MORN | Meeting Date | 14-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US6177001095 | Agenda | 935361650 - Management | ||||||||||||||||||||||||||||
| Record Date | 15-Mar-2021 | Holding Recon Date | 15-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Joe Mansueto | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Kunal Kapoor | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: Robin Diamonte | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director: Cheryl Francis | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director: Steve Joynt | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director: Steve Kaplan | Management | For | For | |||||||||||||||||||||||||||
| 1G. | Election of Director: Gail Landis | Management | For | For | |||||||||||||||||||||||||||
| 1H. | Election of Director: Bill Lyons | Management | For | For | |||||||||||||||||||||||||||
| 1I. | Election of Director: Doniel Sutton | Management | For | For | |||||||||||||||||||||||||||
| 1J. | Election of Director: Caroline Tsay | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approve the Morningstar, Inc. Amended and Restated 2011 Stock Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Advisory vote to approve executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 7,752 | 0 | 06-Apr-2021 | 06-Apr-2021 | ||||||||||||||||||||||||
| VERITEX HOLDINGS INC. | |||||||||||||||||||||||||||||||
| Security | 923451108 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | VBTX | Meeting Date | 18-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US9234511080 | Agenda | 935417229 - Management | ||||||||||||||||||||||||||||
| Record Date | 05-Apr-2021 | Holding Recon Date | 05-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | C. Malcolm Holland, III | For | For | ||||||||||||||||||||||||||||
| 2 | Arcilia Acosta | For | For | ||||||||||||||||||||||||||||
| 3 | Pat S. Bolin | For | For | ||||||||||||||||||||||||||||
| 4 | April Box | For | For | ||||||||||||||||||||||||||||
| 5 | Blake Bozman | For | For | ||||||||||||||||||||||||||||
| 6 | William D. Ellis | For | For | ||||||||||||||||||||||||||||
| 7 | William E. Fallon | For | For | ||||||||||||||||||||||||||||
| 8 | Mark C. Griege | For | For | ||||||||||||||||||||||||||||
| 9 | Gordon Huddleston | For | For | ||||||||||||||||||||||||||||
| 10 | Steven D. Lerner | For | For | ||||||||||||||||||||||||||||
| 11 | Manuel J. Mehos | For | For | ||||||||||||||||||||||||||||
| 12 | Gregory B. Morrison | For | For | ||||||||||||||||||||||||||||
| 13 | John T. Sughrue | For | For | ||||||||||||||||||||||||||||
| 2. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To ratify the appointment of Grant Thronton LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 57,769 | 0 | 27-Apr-2021 | 27-Apr-2021 | ||||||||||||||||||||||||
| FORWARD AIR CORPORATION | |||||||||||||||||||||||||||||||
| Security | 349853101 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | FWRD | Meeting Date | 19-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US3498531017 | Agenda | 935380763 - Management | ||||||||||||||||||||||||||||
| Record Date | 24-Mar-2021 | Holding Recon Date | 24-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Ronald W. Allen | For | For | ||||||||||||||||||||||||||||
| 2 | Ana B. Amicarella | For | For | ||||||||||||||||||||||||||||
| 3 | Valerie A. Bonebrake | For | For | ||||||||||||||||||||||||||||
| 4 | C. Robert Campbell | For | For | ||||||||||||||||||||||||||||
| 5 | R. Craig Carlock | For | For | ||||||||||||||||||||||||||||
| 6 | G. Michael Lynch | For | For | ||||||||||||||||||||||||||||
| 7 | George S. Mayes, Jr. | For | For | ||||||||||||||||||||||||||||
| 8 | Chitra Nayak | For | For | ||||||||||||||||||||||||||||
| 9 | Scott M. Niswonger | For | For | ||||||||||||||||||||||||||||
| 10 | Javier Polit | For | For | ||||||||||||||||||||||||||||
| 11 | Richard H. Roberts | For | For | ||||||||||||||||||||||||||||
| 12 | Thomas Schmitt | For | For | ||||||||||||||||||||||||||||
| 13 | Laurie A. Tucker | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve, on a non-binding, advisory basis, the compensation of the named executive officers (the "say on pay vote"). | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 12,422 | 0 | 10-Apr-2021 | 10-Apr-2021 | ||||||||||||||||||||||||
| KADANT INC. | |||||||||||||||||||||||||||||||
| Security | 48282T104 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | KAI | Meeting Date | 19-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US48282T1043 | Agenda | 935365797 - Management | ||||||||||||||||||||||||||||
| Record Date | 22-Mar-2021 | Holding Recon Date | 22-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director for a three-year term expiring in 2024: Erin L. Russell | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director for a three-year term expiring in 2024: William P. Tully | Management | For | For | |||||||||||||||||||||||||||
| 2. | To approve, by non-binding advisory vote, our executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve restricted stock unit grants to our non- employee directors. | Management | For | For | |||||||||||||||||||||||||||
| 4. | To ratify the selection of KPMG LLP as our company's independent registered public accounting firm for 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 12,284 | 0 | 08-Apr-2021 | 08-Apr-2021 | ||||||||||||||||||||||||
| NEENAH, INC. | |||||||||||||||||||||||||||||||
| Security | 640079109 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | NP | Meeting Date | 20-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US6400791090 | Agenda | 935381258 - Management | ||||||||||||||||||||||||||||
| Record Date | 26-Mar-2021 | Holding Recon Date | 26-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Class II Director: Margaret S. Dano | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Class II Director: Donna M. Costello | Management | For | For | |||||||||||||||||||||||||||
| 2. | Proposal to approve an advisory vote on the Company's executive compensation. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Proposal to ratify Deloitte & Touche LLP as the independent registered public accounting firm of Neenah, Inc. for the fiscal year ending December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 24,710 | 0 | 13-Apr-2021 | 13-Apr-2021 | ||||||||||||||||||||||||
| RAYONIER INC. | |||||||||||||||||||||||||||||||
| Security | 754907103 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | RYN | Meeting Date | 20-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US7549071030 | Agenda | 935383389 - Management | ||||||||||||||||||||||||||||
| Record Date | 19-Mar-2021 | Holding Recon Date | 19-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Dod A. Fraser | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Keith E. Bass | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: Scott R. Jones | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director: V. Larkin Martin | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director: Meridee A. Moore | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director: Ann C. Nelson | Management | For | For | |||||||||||||||||||||||||||
| 1G. | Election of Director: David L. Nunes | Management | For | For | |||||||||||||||||||||||||||
| 1H. | Election of Director: Matthew J. Rivers | Management | For | For | |||||||||||||||||||||||||||
| 1I. | Election of Director: Andrew G. Wiltshire | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approval, on a non-binding advisory basis, of the compensation of our named executive officers as disclosed in the proxy statement. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Ernst & Young, LLP as the independent registered public accounting firm for 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 43,088 | 0 | 14-Apr-2021 | 14-Apr-2021 | ||||||||||||||||||||||||
| PERFICIENT, INC. | |||||||||||||||||||||||||||||||
| Security | 71375U101 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | PRFT | Meeting Date | 25-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US71375U1016 | Agenda | 935391716 - Management | ||||||||||||||||||||||||||||
| Record Date | 29-Mar-2021 | Holding Recon Date | 29-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director: Jeffrey S. Davis | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director: Ralph C. Derrickson | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director: David S. Lundeen | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director: Brian L. Matthews | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director: Nancy C. Pechloff | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director: Gary M. Wimberly | Management | For | For | |||||||||||||||||||||||||||
| 2. | Proposal to approve, on an advisory basis, a resolution relating to the 2020 compensation of the named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Proposal to ratify KPMG LLP as Perficient, Inc.'s independent registered public accounting firm for the 2021 fiscal year. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 22,449 | 0 | 15-Apr-2021 | 15-Apr-2021 | ||||||||||||||||||||||||
| RE/MAX HOLDINGS, INC. | |||||||||||||||||||||||||||||||
| Security | 75524W108 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | RMAX | Meeting Date | 26-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US75524W1080 | Agenda | 935389901 - Management | ||||||||||||||||||||||||||||
| Record Date | 31-Mar-2021 | Holding Recon Date | 31-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Adam Contos | For | For | ||||||||||||||||||||||||||||
| 2 | Kathleen Cunningham | For | For | ||||||||||||||||||||||||||||
| 3 | Gail Liniger | For | For | ||||||||||||||||||||||||||||
| 4 | Christine Riordan | 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, 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 42,955 | 0 | 21-Apr-2021 | 21-Apr-2021 | ||||||||||||||||||||||||
| NORTHWEST NATURAL HOLDING COMPANY | |||||||||||||||||||||||||||||||
| Security | 66765N105 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | NWN | Meeting Date | 27-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US66765N1054 | Agenda | 935400123 - Management | ||||||||||||||||||||||||||||
| Record Date | 08-Apr-2021 | Holding Recon Date | 08-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Timothy P. Boyle* | For | For | ||||||||||||||||||||||||||||
| 2 | Monica Enand* | For | For | ||||||||||||||||||||||||||||
| 3 | Hon. Dave McCurdy* | For | For | ||||||||||||||||||||||||||||
| 4 | Malia H. Wasson* | For | For | ||||||||||||||||||||||||||||
| 5 | Karen Lee** | For | For | ||||||||||||||||||||||||||||
| 6 | Nathan I. Partain** | For | For | ||||||||||||||||||||||||||||
| 2. | Advisory vote to approve Named Executive Officer Compensation. | Management | For | For | |||||||||||||||||||||||||||
| 3. | The ratification of the appointment of PricewaterhouseCoopers LLP as Northwest Natural Holding Company's independent registered public accountants for the fiscal year 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 28,090 | 0 | 17-Apr-2021 | 17-Apr-2021 | ||||||||||||||||||||||||
| FARO TECHNOLOGIES, INC. | |||||||||||||||||||||||||||||||
| Security | 311642102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | FARO | Meeting Date | 28-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US3116421021 | Agenda | 935395473 - Management | ||||||||||||||||||||||||||||
| Record Date | 26-Mar-2021 | Holding Recon Date | 26-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Lynn Brubaker | For | For | ||||||||||||||||||||||||||||
| 2 | Jeroen van Rotterdam | For | For | ||||||||||||||||||||||||||||
| 2. | The ratification of Grant Thornton LLP as the Company's independent registered public accounting firm for 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Non-binding resolution to approve the compensation of the Company's named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 20,345 | 0 | 18-Apr-2021 | 18-Apr-2021 | ||||||||||||||||||||||||
| HEALTHCARE SERVICES GROUP, INC. | |||||||||||||||||||||||||||||||
| Security | 421906108 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | HCSG | Meeting Date | 01-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US4219061086 | Agenda | 935406036 - Management | ||||||||||||||||||||||||||||
| Record Date | 31-Mar-2021 | Holding Recon Date | 31-Mar-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-May-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | John M. Briggs | For | For | ||||||||||||||||||||||||||||
| 2 | Diane S. Casey | For | For | ||||||||||||||||||||||||||||
| 3 | Daniela Castagnino | For | For | ||||||||||||||||||||||||||||
| 4 | Robert L. Frome | For | For | ||||||||||||||||||||||||||||
| 5 | Laura Grant | For | For | ||||||||||||||||||||||||||||
| 6 | John J. McFadden | For | For | ||||||||||||||||||||||||||||
| 7 | Dino D. Ottaviano | For | For | ||||||||||||||||||||||||||||
| 8 | Jude Visconto | For | For | ||||||||||||||||||||||||||||
| 9 | Theodore Wahl | For | For | ||||||||||||||||||||||||||||
| 2. | To approve and ratify the selection of Grant Thornton LLP as the independent registered public accounting firm of the Company for the current fiscal year ending December 31, 2021. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To hold an advisory vote to approve the compensation of the named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 54,292 | 0 | 27-Apr-2021 | 27-Apr-2021 | ||||||||||||||||||||||||
| BRP GROUP INC | |||||||||||||||||||||||||||||||
| Security | 05589G102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | BRP | Meeting Date | 16-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US05589G1022 | Agenda | 935420769 - Management | ||||||||||||||||||||||||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Jun-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Trevor Baldwin | For | For | ||||||||||||||||||||||||||||
| 2 | Barbara Matas | For | For | ||||||||||||||||||||||||||||
| 3 | Jay Cohen | For | For | ||||||||||||||||||||||||||||
| 2. | Company Proposal - Ratification for the Selection of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for the Fiscal Year 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 67,384 | 0 | 13-May-2021 | 13-May-2021 | ||||||||||||||||||||||||
| NATUS MEDICAL INCORPORATED | |||||||||||||||||||||||||||||||
| Security | 639050103 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | NTUS | Meeting Date | 16-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US6390501038 | Agenda | 935417077 - Management | ||||||||||||||||||||||||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Jun-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1A. | Election of Director to serve until 2022 Annual meeting: Ilan Daskal | Management | For | For | |||||||||||||||||||||||||||
| 1B. | Election of Director to serve until 2022 Annual meeting: Lisa Wipperman Heine | Management | For | For | |||||||||||||||||||||||||||
| 1C. | Election of Director to serve until 2022 Annual meeting: Jonathan A. Kennedy | Management | For | For | |||||||||||||||||||||||||||
| 1D. | Election of Director to serve until 2022 Annual meeting: Joshua H. Levine | Management | For | For | |||||||||||||||||||||||||||
| 1E. | Election of Director to serve until 2022 Annual meeting: Barbara R. Paul | Management | For | For | |||||||||||||||||||||||||||
| 1F. | Election of Director to serve until 2022 Annual meeting: Alice D. Schroeder | Management | For | For | |||||||||||||||||||||||||||
| 1G. | Election of Director to serve until 2022 Annual meeting: Thomas J. Sullivan | Management | For | For | |||||||||||||||||||||||||||
| 2. | Approval of the Natus Medical Incorporated 2021 Equity Incentive Plan. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Approval, on an advisory basis, of the named executive officer compensation disclosed in the attached Proxy Statement. | Management | For | For | |||||||||||||||||||||||||||
| 4. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31 , 2021. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 30,319 | 0 | 29-Apr-2021 | 29-Apr-2021 | ||||||||||||||||||||||||
| CANNAE HOLDINGS, INC. | |||||||||||||||||||||||||||||||
| Security | 13765N107 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | CNNE | Meeting Date | 23-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US13765N1072 | Agenda | 935422763 - Management | ||||||||||||||||||||||||||||
| Record Date | 26-Apr-2021 | Holding Recon Date | 26-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Jun-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | William P. Foley, II | For | For | ||||||||||||||||||||||||||||
| 2 | David Aung | For | For | ||||||||||||||||||||||||||||
| 3 | Frank R. Martire | For | For | ||||||||||||||||||||||||||||
| 4 | Richard N. Massey | For | For | ||||||||||||||||||||||||||||
| 2. | Approval of a non-binding advisory resolution on the compensation paid to our named executive officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | Ratification of the appointment of Deloitte as our independent registered public accounting firm for the 2021 fiscal year. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 48,376 | 0 | 04-May-2021 | 04-May-2021 | ||||||||||||||||||||||||
| MOVADO GROUP, INC. | |||||||||||||||||||||||||||||||
| Security | 624580106 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | MOV | Meeting Date | 24-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US6245801062 | Agenda | 935430342 - Management | ||||||||||||||||||||||||||||
| Record Date | 29-Apr-2021 | Holding Recon Date | 29-Apr-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Peter A. Bridgman | For | For | ||||||||||||||||||||||||||||
| 2 | Alex Grinberg | For | For | ||||||||||||||||||||||||||||
| 3 | Efraim Grinberg | For | For | ||||||||||||||||||||||||||||
| 4 | Alan H. Howard | For | For | ||||||||||||||||||||||||||||
| 5 | Richard Isserman | For | For | ||||||||||||||||||||||||||||
| 6 | Ann Kirschner | For | For | ||||||||||||||||||||||||||||
| 7 | Stephen Sadove | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending January 31, 2022. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve, on an advisory basis, the compensation of the Company's named executive officers, as described in the Proxy Statement under "Executive Compensation". | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 66,441 | 0 | 14-May-2021 | 14-May-2021 | ||||||||||||||||||||||||
| BANK OF MARIN BANCORP | |||||||||||||||||||||||||||||||
| Security | 063425102 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | BMRC | Meeting Date | 29-Jun-2021 | ||||||||||||||||||||||||||||
| ISIN | US0634251021 | Agenda | 935461234 - Management | ||||||||||||||||||||||||||||
| Record Date | 02-Jun-2021 | Holding Recon Date | 02-Jun-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jun-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | Steven I. Barlow | For | For | ||||||||||||||||||||||||||||
| 2 | Russell A. Colombo | For | For | ||||||||||||||||||||||||||||
| 3 | James C. Hale | For | For | ||||||||||||||||||||||||||||
| 4 | Robert Heller | For | For | ||||||||||||||||||||||||||||
| 5 | Norma J. Howard | For | For | ||||||||||||||||||||||||||||
| 6 | Kevin R. Kennedy | For | For | ||||||||||||||||||||||||||||
| 7 | William H. McDevitt, Jr | For | For | ||||||||||||||||||||||||||||
| 8 | Leslie E. Murphy | For | For | ||||||||||||||||||||||||||||
| 9 | Sanjiv S. Sanghvi | For | For | ||||||||||||||||||||||||||||
| 10 | Joel Sklar, MD | For | For | ||||||||||||||||||||||||||||
| 11 | Brian M. Sobel | For | For | ||||||||||||||||||||||||||||
| 12 | Secil Tabli Watson | For | For | ||||||||||||||||||||||||||||
| 2. | To vote, on an advisory basis, to approve the Company's executive compensation for Named Executive Officers. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To ratify the selection of independent auditor. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 35,968 | 0 | 11-Jun-2021 | 11-Jun-2021 | ||||||||||||||||||||||||
| THERMON GROUP HOLDINGS, INC. | |||||||||||||||||||||||||||||||
| Security | 88362T103 | Meeting Type | Annual | ||||||||||||||||||||||||||||
| Ticker Symbol | THR | Meeting Date | 02-Aug-2021 | ||||||||||||||||||||||||||||
| ISIN | US88362T1034 | Agenda | 935462452 - Management | ||||||||||||||||||||||||||||
| Record Date | 07-Jun-2021 | Holding Recon Date | 07-Jun-2021 | ||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Jul-2021 | ||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||
| 1 | John U. Clarke | For | For | ||||||||||||||||||||||||||||
| 2 | Linda A. Dalgetty | For | For | ||||||||||||||||||||||||||||
| 3 | Roger L. Fix | For | For | ||||||||||||||||||||||||||||
| 4 | Marcus J. George | For | For | ||||||||||||||||||||||||||||
| 5 | Kevin J. McGinty | For | For | ||||||||||||||||||||||||||||
| 6 | John T. Nesser, III | For | For | ||||||||||||||||||||||||||||
| 7 | Bruce A. Thames | For | For | ||||||||||||||||||||||||||||
| 2. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2022. | Management | For | For | |||||||||||||||||||||||||||
| 3. | To approve, on a non-binding advisory basis, the compensation of the Company's executive officers as described in the Proxy Statement. | Management | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||
| 8012312 | FIRST TRUST/CONFLU ENCE SM CP V | 8012312 | BROWN BROTHERS HARRIMAN & CO. | 77,011 | 0 | 25-Jun-2021 | 25-Jun-2021 | ||||||||||||||||||||||||
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (Registrant) | First Trust SERIES FUND | |||
| By (Signature and Title)* | /s/ James M. Dykas | |||
| James M. Dykas, President and Chief Executive Officer | ||||
| Date | August 9, 2021 | |||
* Print the name and title of each signing officer under his or her signature.