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, 2022 - June 30, 2023
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 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 Preferred Securities and Income Fund
| Signature Bank | ||||||||
| Ticker: SBNYP | ||||||||
| CUSIP: 82669G203 | ||||||||
| Shareholder meeting date: 4/19/2023 | ||||||||
| Brief identification of matter voted on | Whether the matter voted on was proposed by the issuer or by a security holder | Whether the Fund cast its vote on the matter | How the Fund cast its vote on the matter | Whether the Fund voted for or against management | ||||
| Vote to approve share repurchase plan | Issuer | Yes | Abstain | N/A | ||||
| Argo Group International Holdings, LTD | ||||||||
| Ticker: ARGO.PRA | ||||||||
| CUSIP: 040128209 | ||||||||
| Shareholder meeting date: 4/19/2023 | ||||||||
| Brief identification of matter voted on | Whether the matter voted on was proposed by the issuer or by a security holder | Whether the Fund cast its vote on the matter | How the Fund cast its vote on the matter | Whether the Fund voted for or against management | ||||
| Proposal to approve merger/proposal to approve adjournment of special meeting | Issuer | Yes | FOR | FOR | ||||
| LINCOLN NATIONAL CORPORATION | ||||||||
| Ticker: LNC.PRD | ||||||||
| CUSIP: 534187885 | ||||||||
| Shareholder meeting date: 5/25/2023 | ||||||||
| Brief identification of matter voted on | Whether the matter voted on was proposed by the issuer or by a security holder | Whether the Fund cast its vote on the matter | How the Fund cast its vote on the matter | Whether the Fund voted for or against management | ||||
| Election of directors to serve until 2023/Ratification of Ernst & Young to serve as independent Auditors/Approval of Executive officers compensation | Issuer | Yes | FOR/1 Year/Abstain | FOR | ||||
| LINCOLN NATIONAL CORPORATION | ||||||||
| Ticker: | ||||||||
| CUSIP: 534187BR9 | ||||||||
| Shareholder meeting date: 5/25/2023 | ||||||||
| Brief identification of matter voted on | Whether the matter voted on was proposed by the issuer or by a security holder | Whether the Fund cast its vote on the matter | How the Fund cast its vote on the matter | Whether the Fund voted for or against management | ||||
| Election of directors to serve until 2023/Ratification of Ernst & Young to serve as independent Auditors/Approval of Executive officers compensation | Issuer | Yes | FOR/1 Year/Abstain | FOR |
First Trust/Confluence Small Cap Value Fund
| Vote Summary | |||||||||
| NATUS MEDICAL INCORPORATED | |||||||||
| Security | 639050103 | Meeting Type | Special | ||||||
| Ticker Symbol | NTUS | Meeting Date | 06-Jul-2022 | ||||||
| ISIN | US6390501038 | Agenda | 935674285 - Management | ||||||
| Record Date | 31-May-2022 | Holding Recon Date | 31-May-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 05-Jul-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | To approve and adopt the Agreement and Plan of | Management | For | For | |||||
| Merger, made and entered into as of April 17, 2022 as | |||||||||
| amended from time to time (as so amended from time to | |||||||||
| time, the "Merger Agreement"), by and among Natus | |||||||||
| Medical Incorporated ("Natus"), Prince Parent Inc. | |||||||||
| ("Parent"), and Prince Mergerco Inc. ("Merger Sub"), | |||||||||
| pursuant to which, Merger Sub will be merged with and | |||||||||
| into Natus and Natus will continue as the surviving | |||||||||
| corporation of the merger and a wholly owned subsidiary | |||||||||
| of Parent (the "Merger"). | |||||||||
| 2. | To approve the adjournment of the Company Stockholder | Management | For | For | |||||
| Meeting from time to time, if necessary or appropriate, as | |||||||||
| determined in good faith by the Board of Directors, | |||||||||
| including to solicit additional proxies if there are | |||||||||
| insufficient votes to adopt the Merger Agreement at the | |||||||||
| time of the Company Stockholder Meeting. | |||||||||
| 3. | To approve, by non-binding, advisory vote, certain | Management | For | For | |||||
| compensation that will or may become payable by Natus | |||||||||
| to its named executive officers in connection with the | |||||||||
| Merger. | |||||||||
| THERMON GROUP HOLDINGS, INC. | |||||||||
| Security | 88362T103 | Meeting Type | Annual | ||||||
| Ticker Symbol | THR | Meeting Date | 01-Aug-2022 | ||||||
| ISIN | US88362T1034 | Agenda | 935677724 - Management | ||||||
| Record Date | 08-Jun-2022 | Holding Recon Date | 08-Jun-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 29-Jul-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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 | Management | For | For | |||||
| Company's independent registered public accounting firm | |||||||||
| for the fiscal year ending March 31, 2023. | |||||||||
| 3. | To approve, on a non-binding advisory basis, the | Management | For | For | |||||
| compensation of the Company's executive officers as | |||||||||
| described in the Proxy Statement. | |||||||||
| RBC BEARINGS INCORPORATED | |||||||||
| Security | 75524B104 | Meeting Type | Annual | ||||||
| Ticker Symbol | ROLL | Meeting Date | 08-Sep-2022 | ||||||
| ISIN | US75524B1044 | Agenda | 935690330 - Management | ||||||
| Record Date | 12-Jul-2022 | Holding Recon Date | 12-Jul-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 07-Sep-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Class I Director to serve a term of three years | Management | For | For | |||||
| Expiring at 2025 Annual Meeting: Michael H. Ambrose | |||||||||
| 1b. | Election of Class I Director to serve a term of three years | Management | For | For | |||||
| Expiring at 2025 Annual Meeting: Daniel A. Bergeron | |||||||||
| 1c. | Election of Class I Director to serve a term of three years | Management | For | For | |||||
| Expiring at 2025 Annual Meeting: Edward D. Stewart | |||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the | Management | For | For | |||||
| Company's independent registered public accounting firm | |||||||||
| for fiscal year 2023. | |||||||||
| 3. | To consider a resolution regarding the stockholder | Management | For | For | |||||
| advisory vote on named executive officer compensation. | |||||||||
| NATHAN'S FAMOUS, INC. | |||||||||
| Security | 632347100 | Meeting Type | Annual | ||||||
| Ticker Symbol | NATH | Meeting Date | 13-Sep-2022 | ||||||
| ISIN | US6323471002 | Agenda | 935693211 - Management | ||||||
| Record Date | 19-Jul-2022 | Holding Recon Date | 19-Jul-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 12-Sep-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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. | Ratification of the appointment of Marcum LLP as the | Management | For | For | |||||
| independent registered public accounting firm of Nathan's | |||||||||
| Famous, Inc. for fiscal 2023. | |||||||||
| AMERICAN OUTDOOR BRANDS, INC. | |||||||||
| Security | 02875D109 | Meeting Type | Annual | ||||||
| Ticker Symbol | AOUT | Meeting Date | 22-Sep-2022 | ||||||
| ISIN | US02875D1090 | Agenda | 935704191 - Management | ||||||
| Record Date | 27-Jul-2022 | Holding Recon Date | 27-Jul-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 21-Sep-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 I. Marie Wadecki | For | For | |||||||
| 2 Gregory J Gluchowski Jr | For | For | |||||||
| 2. | To ratify the appointment of Grant Thornton LLP, an | Management | For | For | |||||
| independent registered public accounting firm, as the | |||||||||
| independent registered public accountant of our company | |||||||||
| for the fiscal year ending April 30, 2023. | |||||||||
| 3. | To adopt amendments to our certificate of incorporation | Management | For | For | |||||
| to eliminate certain supermajority voting requirements. | |||||||||
| To approve the stockholder proposal on the | Management | For | For | ||||||
| 4. | declassification of the Board of Directors. | ||||||||
| WINNEBAGO INDUSTRIES, INC. | |||||||||
| Security | 974637100 | Meeting Type | Annual | ||||||
| Ticker Symbol | WGO | Meeting Date | 13-Dec-2022 | ||||||
| ISIN | US9746371007 | Agenda | 935724472 - Management | ||||||
| Record Date | 18-Oct-2022 | Holding Recon Date | 18-Oct-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 12-Dec-2022 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Kevin E. Bryant | For | For | |||||||
| 2 Richard D. Moss | For | For | |||||||
| 3 John M. Murabito | For | For | |||||||
| 2. | Approve, on an advisory basis, the compensation of our | Management | For | For | |||||
| executive officers. | |||||||||
| 3. | Ratify the selection of Deloitte & Touche LLP as our | Management | For | For | |||||
| independent registered public accountant for fiscal 2023. | |||||||||
| EDGEWELL PERSONAL CARE COMPANY | |||||||||
| Security | 28035Q102 | Meeting Type | Annual | ||||||
| Ticker Symbol | EPC | Meeting Date | 03-Feb-2023 | ||||||
| ISIN | US28035Q1022 | Agenda | 935748989 - Management | ||||||
| Record Date | 28-Nov-2022 | Holding Recon Date | 28-Nov-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 02-Feb-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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: Carla C. Hendra | Management | For | For | |||||
| 1d. | Election of Director: John C. Hunter, III | Management | For | For | |||||
| 1e. | Election of Director: James C. Johnson | Management | For | For | |||||
| 1f. | Election of Director: Rod R. Little | Management | For | For | |||||
| 1g. | Election of Director: Joseph D. O'Leary | Management | For | For | |||||
| 1h. | Election of Director: Rakesh Sachdev | Management | For | For | |||||
| 1i. | Election of Director: Swan Sit | Management | For | For | |||||
| 1j. | Election of Director: Gary K. Waring | Management | For | For | |||||
| 2. | To ratify the appointment of PricewaterhouseCoopers | Management | For | For | |||||
| LLP as the independent registered public accounting firm | |||||||||
| for fiscal 2023. | |||||||||
| 3. | To cast a non-binding advisory vote on executive | Management | For | For | |||||
| compensation. | |||||||||
| 4. | Approval of the Company's 2nd Amended and Restated | Management | For | For | |||||
| 2018 Stock Incentive Plan. | |||||||||
| J & J SNACK FOODS CORP. | |||||||||
| Security | 466032109 | Meeting Type | Annual | ||||||
| Ticker Symbol | JJSF | Meeting Date | 14-Feb-2023 | ||||||
| ISIN | US4660321096 | Agenda | 935753461 - Management | ||||||
| Record Date | 19-Dec-2022 | Holding Recon Date | 19-Dec-2022 | ||||||
| City / Country | / | United | Vote Deadline Date | 13-Feb-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Sidney R. Brown | For | For | |||||||
| 2 Roy C. Jackson | For | For | |||||||
| 2. | VOTE ON APPROVAL OF THE 2022 LONG TERM | Management | For | For | |||||
| INCENTIVE PLAN. | |||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF | Management | For | For | |||||
| AUDITORS. | |||||||||
| 4. | ADVISORY VOTE ON APPROVAL OF THE | Management | For | For | |||||
| COMPENSATION OF NAMED EXECUTIVE OFFICERS. | |||||||||
| 5. | ADVISORY VOTE ON THE FREQUENCY OF FUTURE | Management | 1 Year | For | |||||
| ADVISORY VOTES ON THE COMPENSATION OF | |||||||||
| NAMED EXECUTIVE OFFICERS. | |||||||||
| I3 VERTICALS, INC. | |||||||||
| Security | 46571Y107 | Meeting Type | Annual | ||||||
| Ticker Symbol | IIIV | Meeting Date | 24-Feb-2023 | ||||||
| ISIN | US46571Y1073 | Agenda | 935761735 - Management | ||||||
| Record Date | 13-Jan-2023 | Holding Recon Date | 13-Jan-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 23-Feb-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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 | |||||||
| 9 Decosta Jenkins | For | For | |||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as the | Management | For | For | |||||
| Company's independent registered public accounting firm | |||||||||
| for the fiscal year ending September 30, 2023. | |||||||||
| THE AZEK COMPANY INC. | |||||||||
| Security | 05478C105 | Meeting Type | Annual | ||||||
| Ticker Symbol | AZEK | Meeting Date | 28-Feb-2023 | ||||||
| ISIN | US05478C1053 | Agenda | 935756582 - Management | ||||||
| Record Date | 05-Jan-2023 | Holding Recon Date | 05-Jan-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 27-Feb-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Gary Hendrickson | For | For | |||||||
| 2 Howard Heckes | For | For | |||||||
| 3 Bennett Rosenthal | For | For | |||||||
| 4 Jesse Singh | For | For | |||||||
| 2. | To ratify the appointment of PricewaterhouseCoopers | Management | For | For | |||||
| LLP as our independent registered public accounting firm | |||||||||
| for our fiscal year ending September 30, 2023. | |||||||||
| 3. | To approve, on an advisory, non-binding basis, the | Management | For | For | |||||
| compensation of our named executive officers. | |||||||||
| 4. | To approve an amendment to our restated certificate of | Management | For | For | |||||
| incorporation to limit the liability of certain officers of the | |||||||||
| Company as permitted by recent amendments to | |||||||||
| Delaware law. | |||||||||
| CORE LABORATORIES N.V. | |||||||||
| Security | N22717107 | Meeting Type | Special | ||||||
| Ticker Symbol | CLB | Meeting Date | 29-Mar-2023 | ||||||
| ISIN | NL0000200384 | Agenda | 935776267 - Management | ||||||
| Record Date | 15-Feb-2023 | Holding Recon Date | 15-Feb-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 28-Mar-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | Transaction Proposal: 1a. Enter into merger plan (in the | Management | For | For | |||||
| form attached as Appendix A - Merger Plan | |||||||||
| accompanying proxy statement & prospectus), by way of | |||||||||
| a downstream cross-border merger of Core Lab N.V. 1b. | |||||||||
| As practicable following completion of Merger, Core Lab | |||||||||
| Luxembourg migrating out of Luxembourg and | |||||||||
| domesticating as Core Laboratories Inc. 1c. Grant a | |||||||||
| power of attorney (in the form attached as Appendix D - | |||||||||
| Power of Attorney accompanying proxy statement & | |||||||||
| prospectus) to each member of the board of Core Lab | |||||||||
| Luxembourg. | |||||||||
| 2. | Articles of Amendment Proposal: 2a. Amend the articles | Management | For | For | |||||
| of association of Core Lab N.V. (in the form attached as | |||||||||
| Appendix E- Deed of Amendment of Articles to | |||||||||
| accompanying proxy statement & prospectus), to include | |||||||||
| a formula basis of cash compensation to Core Lab N.V. | |||||||||
| Shareholders who exercise their withdrawal right in | |||||||||
| connection with the Merger 2b. Grant a Power of Attorney | |||||||||
| to each notarial employee of HVG Law LLP jointly as well | |||||||||
| as severally to execute & sign the Deed of Amendment of | |||||||||
| the Articles. | |||||||||
| CORE LABORATORIES N.V. | |||||||||
| Security | N22717107 | Meeting Type | Special | ||||||
| Ticker Symbol | CLB | Meeting Date | 03-Apr-2023 | ||||||
| ISIN | NL0000200384 | Agenda | 935776382 - Management | ||||||
| Record Date | 15-Feb-2023 | Holding Recon Date | 15-Feb-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 28-Mar-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | To approve the conversion of Core Lab Luxembourg, with | Management | For | For | |||||
| immediate effect after the Merger, i.e., on the same day | |||||||||
| or as soon as reasonably possible thereafter, entailing | |||||||||
| the transfer without discontinuity of the legal personality | |||||||||
| of Core Lab Luxembourg, of the statutory registered | |||||||||
| office, effective place of management and central | |||||||||
| administration seat of Core Lab Luxembourg from 12E, | |||||||||
| rue Guillaume Kroll, L-1882 Luxembourg, Grand Duchy | |||||||||
| of Luxembourg to Corporation Trust Center, 1209 ...(due | |||||||||
| to space limits, see proxy material for full proposal). | |||||||||
| MATIV HOLDINGS, INC. | |||||||||
| Security | 808541106 | Meeting Type | Annual | ||||||
| Ticker Symbol | MATV | Meeting Date | 20-Apr-2023 | ||||||
| ISIN | US8085411069 | Agenda | 935785507 - Management | ||||||
| Record Date | 01-Mar-2023 | Holding Recon Date | 01-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 19-Apr-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1.1 | Election of Class I Director: William M. Cook | Management | For | For | |||||
| 1.2 | Election of Class I Director: Jeffrey J. Keenan | Management | For | For | |||||
| 1.3 | Election of Class I Director: Marco Levi | Management | For | For | |||||
| 2. | Ratify the selection of Deloitte & Touche LLP as the | Management | For | For | |||||
| Company's independent registered public accounting firm | |||||||||
| for 2023. | |||||||||
| 3. | Approve, on an advisory basis, the Company's executive | Management | For | For | |||||
| compensation. | �� | ||||||||
| 4. | Approve, on an advisory basis, the frequency of the | Management | 1 Year | For | |||||
| advisory vote regarding executive compensation. | |||||||||
| SJW GROUP | |||||||||
| Security | 784305104 | Meeting Type | Annual | ||||||
| Ticker Symbol | SJW | Meeting Date | 26-Apr-2023 | ||||||
| ISIN | US7843051043 | Agenda | 935781410 - Management | ||||||
| Record Date | 01-Mar-2023 | Holding Recon Date | 01-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 25-Apr-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | ELECTION OF DIRECTOR: C. Guardino | Management | For | For | |||||
| 1b. | ELECTION OF DIRECTOR: M. Hanley | Management | For | For | |||||
| 1c. | ELECTION OF DIRECTOR: H. Hunt | Management | For | For | |||||
| 1d. | ELECTION OF DIRECTOR: R. A. Klein | Management | For | For | |||||
| 1e. | ELECTION OF DIRECTOR: G. P. Landis | Management | For | For | |||||
| 1f. | ELECTION OF DIRECTOR: D. B. More | Management | For | For | |||||
| 1g. | ELECTION OF DIRECTOR: E. W. Thornburg | Management | For | For | |||||
| 1h. | ELECTION OF DIRECTOR: C. P. Wallace | Management | For | For | |||||
| 2. | To approve, on an advisory basis, the compensation of | Management | For | For | |||||
| the named executive officers as disclosed in the | |||||||||
| accompanying proxy statement. | |||||||||
| 3. | To approve, on an advisory basis, the frequency of the | Management | 1 Year | For | |||||
| stockholder vote on executive compensation. | |||||||||
| 4. | To approve the 2023 Long-Term Incentive Plan. | Management | For | For | |||||
| 5. | To approve the 2023 Employee Stock Purchase Plan. | Management | For | For | |||||
| 6. | To ratify the appointment of Deloitte & Touche LLP as the | Management | For | For | |||||
| independent registered public accounting firm of SJW | |||||||||
| Group for the fiscal year ending December 31, 2023. | |||||||||
| MARTEN TRANSPORT, LTD. | |||||||||
| Security | 573075108 | Meeting Type | Annual | ||||||
| Ticker Symbol | MRTN | Meeting Date | 02-May-2023 | ||||||
| ISIN | US5730751089 | Agenda | 935785595 - Management | ||||||
| Record Date | 06-Mar-2023 | Holding Recon Date | 06-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 01-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1.1 | Election of Director: Randolph L. Marten | Management | For | For | |||||
| 1.2 | Election of Director: Larry B. Hagness | Management | For | For | |||||
| 1.3 | Election of Director: Thomas J. Winkel | Management | For | For | |||||
| 1.4 | Election of Director: Jerry M. Bauer | Management | For | For | |||||
| 1.5 | Election of Director: Robert L. Demorest | Management | For | For | |||||
| 1.6 | Election of Director: Ronald R. Booth | Management | For | For | |||||
| 1.7 | Election of Director: Kathleen P. Iverson | Management | For | For | |||||
| 1.8 | Election of Director: Patricia L. Jones | Management | For | For | |||||
| 2. | Advisory resolution to approve executive compensation. | Management | For | For | |||||
| 3. | Advisory vote on the frequency of holding an advisory | Management | 1 Year | For | |||||
| vote on executive compensation. | |||||||||
| 4. | Proposal to confirm the selection of Grant Thornton LLP | Management | For | For | |||||
| as independent public accountants of the company for | |||||||||
| the fiscal year ending December 31, 2023. | |||||||||
| ALLIED MOTION TECHNOLOGIES INC. | |||||||||
| Security | 019330109 | Meeting Type | Annual | ||||||
| Ticker Symbol | AMOT | Meeting Date | 03-May-2023 | ||||||
| ISIN | US0193301092 | Agenda | 935814827 - Management | ||||||
| Record Date | 09-Mar-2023 | Holding Recon Date | 09-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 02-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: R.B. Engel | |||||||||
| 1b. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: R.D. Federico | |||||||||
| 1c. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: S. C. Finch | |||||||||
| 1d. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: J.J. Tanous | |||||||||
| 1e. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: N. R. Tzetzo | |||||||||
| ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | ||||||
| 1f. | THE NEXT ANNUAL MEETING: R.S. Warzala | ||||||||
| 1g. | ELECTION OF DIRECTOR TO HOLD OFFICE UNTIL | Management | For | For | |||||
| THE NEXT ANNUAL MEETING: M.R. Winter | |||||||||
| 2. | ADVISORY VOTE TO APPROVE THE | Management | For | For | |||||
| COMPENSATION OF OUR NAMED EXECUTIVE | |||||||||
| OFFICERS. | |||||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF THE | Management | For | For | |||||
| COMPANY'S INDEPENDENT PUBLIC ACCOUNTING | |||||||||
| FIRM FOR 2023. | |||||||||
| BROWN & BROWN, INC. | |||||||||
| Security | 115236101 | Meeting Type | Annual | ||||||
| Ticker Symbol | BRO | Meeting Date | 03-May-2023 | ||||||
| ISIN | US1152361010 | Agenda | 935783680 - Management | ||||||
| Record Date | 27-Feb-2023 | Holding Recon Date | 27-Feb-2023 | ||||||
| City /Country | Vote Deadline Date | 02-May-2023 | |||||||
| / | United | ||||||||
| SEDOL(s) | States | Quick Code | |||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 J. Hyatt Brown | For | For | |||||||
| 2 J. Powell Brown | For | For | |||||||
| 3 Lawrence L. Gellerstedt | For | For | |||||||
| 4 James C. Hays | For | For | |||||||
| 5 Theodore J. Hoepner | For | For | |||||||
| 6 James S. Hunt | For | For | |||||||
| 7 Toni Jennings | For | For | |||||||
| 8 Timothy R.M. Main | For | For | |||||||
| 9 Jaymin B. Patel | 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 | For | For | ||||||
| accountants for the fiscal year ending December 31, | |||||||||
| 2023. | |||||||||
| To approve, on an advisory basis, the compensation of | Management | For | For | ||||||
| 3. | named executive officers. | ||||||||
| To conduct an advisory vote on the desired frequency of | Management | 1 Year | For | ||||||
| 4. | holding an advisory vote on the compensation of named | ||||||||
| executive officers. | |||||||||
| FORWARD AIR CORPORATION | |||||||||
| Security | 349853101 | Meeting Type | Annual | ||||||
| Ticker Symbol | FWRD | Meeting Date | 09-May-2023 | ||||||
| ISIN | US3498531017 | Agenda | 935792463 - Management | ||||||
| Record Date | 14-Mar-2023 | Holding Recon Date | 14-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 08-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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 Thomas Schmitt | For | For | |||||||
| 12 Laurie A. Tucker | For | For | |||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the | Management | For | For | |||||
| independent registered public accounting firm of the | |||||||||
| Company. | |||||||||
| 3. | To approve, on a non-binding, advisory basis, the | Management | For | For | |||||
| compensation of the named executive officers (the "say | |||||||||
| on pay vote"). | |||||||||
| 4. | To approve, on a non-binding advisory basis, whether | Management | 1 Year | For | |||||
| future say on pay votes should occur every one, two or | |||||||||
| three years (the "say on frequency vote"). | |||||||||
| JOHN BEAN TECHNOLOGIES CORPORATION | |||||||||
| Security | 477839104 | Meeting Type | Annual | ||||||
| Ticker Symbol | JBT | Meeting Date | 12-May-2023 | ||||||
| ISIN | US4778391049 | Agenda | 935792538 - Management | ||||||
| Record Date | 17-Mar-2023 | Holding Recon Date | 17-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 11-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director: Barbara L. Brasier | Management | For | For | |||||
| 1b. | Election of Director: Brian A. Deck | Management | For | For | |||||
| 1c. | Election of Director: Polly B. Kawalek | Management | For | For | |||||
| 2. | Approve the amendment and restatement of the | Management | For | For | |||||
| company's certificate of incorporation to declassify the | |||||||||
| company's Board of Directors. | |||||||||
| 3. | Approve, on an advisory basis, a non-binding resolution | Management | For | For | |||||
| regarding the compensation of the company's named | |||||||||
| executive officers. | |||||||||
| 4 | Approve, on an advisory basis, a non-binding resolution | Management | 1 Year | ||||||
| regarding the frequency of future advisory votes | For | ||||||||
| regarding the compensation of the company's named | |||||||||
| executive officers. | |||||||||
| 5. | Ratify the appointment of PricewaterhouseCoopers LLP | Management | For | For | |||||
| as the company's independent registered public | |||||||||
| accounting firm for 2023. | |||||||||
| MORNINGSTAR, INC. | |||||||||
| Security | 617700109 | Meeting Type | Annual | ||||||
| Ticker Symbol | MORN | Meeting Date | 12-May-2023 | ||||||
| ISIN | US6177001095 | Agenda | 935785139 - Management | ||||||
| Record Date | 13-Mar-2023 | Holding Recon Date | 13-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 11-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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. | Advisory vote to approve executive compensation. | Management | For | For | |||||
| 3. | Advisory Vote to Approve Frequency of Votes on | Management | 1 Year | For | |||||
| Executive Compensation. | |||||||||
| 4. | Ratification of the appointment of KPMG LLP as | Management | For | For | |||||
| Morningstar's independent registered public accounting | |||||||||
| firm for 2023. | |||||||||
| KADANT INC. | |||||||||
| Security | 48282T104 | Meeting Type | Annual | ||||||
| Ticker Symbol | KAI | Meeting Date | 17-May-2023 | ||||||
| ISIN | US48282T1043 | Agenda | 935802125 - Management | ||||||
| Record Date | 20-Mar-2023 | Holding Recon Date | 20-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 16-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director for a three-year term expiring in 2026: | Management | For | For | |||||
| John M. Albertine | |||||||||
| 1b. | Election of Director for a three-year term expiring in 2026: | Management | For | For | |||||
| Thomas C. Leonard | |||||||||
| 2. | To approve, by non-binding advisory vote, our executive | Management | For | For | |||||
| compensation. | |||||||||
| 3. | To recommend, by non-binding advisory vote, the | Management | 1 Year | For | |||||
| frequency of future executive compensation advisory | |||||||||
| votes. | |||||||||
| 4. | To approve restricted stock unit grants to our non- | Management | For | For | |||||
| employee directors. | |||||||||
| 5. | To ratify the selection of KPMG LLP as our company's | Management | |||||||
| independent registered public accounting firm for 2023. | For | For | |||||||
| STEWART INFORMATION SERVICES CORPORATION | |||||||||
| Security | 860372101 | Meeting Type | Annual | ||||||
| Ticker Symbol | STC | Meeting Date | 17-May-2023 | ||||||
| ISIN | US8603721015 | Agenda | 935797437 - Management | ||||||
| Record Date | 20-Mar-2023 | Holding Recon Date | 20-Mar-2023 | ||||||
| City /Country | / | United | Vote Deadline Date | 16-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Thomas G. Apel | For | For | |||||||
| 2 C. Allen Bradley, Jr. | For | For | |||||||
| 3 Robert L. Clarke | For | For | |||||||
| 4 William S. Corey, Jr. | For | For | |||||||
| 5 Frederick H Eppinger Jr | For | For | |||||||
| 6 Deborah J. Matz | For | For | |||||||
| 7 Matthew W. Morris | For | For | |||||||
| 8 Karen R. Pallotta | For | For | |||||||
| 9 Manuel Sanchez | For | For | |||||||
| 2. | Approval of the compensation of Stewart Information | Management | For | For | |||||
| Services Corporation's named executive officers (Say-on- | |||||||||
| Pay). | |||||||||
| 3. | Ratification of the appointment of KPMG LLP as Stewart | Management | For | For | |||||
| Information Services Corporation's independent auditors | |||||||||
| for 2023. | |||||||||
| HAYWARD HOLDINGS, INC. | |||||||||
| Security | 421298100 | Meeting Type | Annual | ||||||
| Ticker Symbol | HAYW | Meeting Date | 18-May-2023 | ||||||
| ISIN | US4212981009 | Agenda | 935808456 - Management | ||||||
| Record Date | 20-Mar-2023 | Holding Recon Date | 20-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 17-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | �� | |||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director: Kevin Brown | Management | For | For | |||||
| 1b. | Election of Director: Mark McFadden | Management | For | For | |||||
| 1c. | Election of Director: Arthur Soucy | Management | For | For | |||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as | Management | For | For | |||||
| our independent registered public accounting firm for the | |||||||||
| year ending December 31, 2023. | |||||||||
| RAYONIER INC. | |||||||||
| Security | 754907103 | Meeting Type | Annual | ||||||
| Ticker Symbol | RYN | Meeting Date | 18-May-2023 | ||||||
| ISIN | US7549071030 | Agenda | 935806262 - Management | ||||||
| Record Date | 17-Mar-2023 | Holding Recon Date | 17-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 17-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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: Gregg A. Gonsalves | Management | For | For | |||||
| 1d. | Election of Director: Scott R. Jones | Management | For | For | |||||
| 1e. | Election of Director: V. Larkin Martin | Management | For | For | |||||
| 1f. | Election of Director: Meridee A. Moore | Management | For | For | |||||
| 1g. | Election of Director: Ann C. Nelson | Management | For | For | |||||
| 1h. | Election of Director: David L. Nunes | Management | For | For | |||||
| 1i. | Election of Director: Matthew J. Rivers | Management | For | For | |||||
| 1j. | Election of Director: Andrew G. Wiltshire | Management | For | For | |||||
| 2. | Approval, on a non-binding advisory basis, of the | Management | For | For | |||||
| compensation of our named executive officers as | |||||||||
| disclosed in the proxy statement. | |||||||||
| 3. | Recommendation, on a non-binding advisory basis, on | Management | 1 Year | For | |||||
| whether the vote on our named executive officers' | |||||||||
| compensation should occur every one, two or three | |||||||||
| years. | |||||||||
| 4. | Approval of the 2023 Rayonier Incentive Stock Plan. | Management | For | For | |||||
| 5. | Ratification of the appointment of Ernst & Young, LLP as | Management | For | For | |||||
| the independent registered public accounting firm for | |||||||||
| 2023. | |||||||||
| RE/MAX HOLDINGS, INC. | |||||||||
| Security | 75524W108 | Meeting Type | Annual | ||||||
| Ticker Symbol | RMAX | Meeting Date | 24-May-2023 | ||||||
| ISIN | US75524W1080 | Agenda | 935815146 - Management | ||||||
| Record Date | 30-Mar-2023 | Holding Recon Date | 30-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 23-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Roger Dow | For | For | |||||||
| 2 Norman Jenkins | For | For | |||||||
| 3 Laura Kelly | For | For | |||||||
| 4 Katherine Scherping | For | For | |||||||
| 2. | Advisory vote on the compensation of our named | Management | For | For | |||||
| executive officers. | |||||||||
| 3. | Advisory vote on the frequency of future advisory votes | Management | 1 Year | For | |||||
| on executive compensation. | |||||||||
| 4. | Approval of the RE/MAX Holdings, Inc. 2023 Omnibus | Management | For | For | |||||
| Incentive Plan. | |||||||||
| 5. | Ratification of the appointment of Ernst & Young LLP as | Management | For | For | |||||
| the Company's independent registered public accounting | |||||||||
| firm for the fiscal year ending December 31, 2023. | |||||||||
| FARO TECHNOLOGIES, INC. | |||||||||
| Security | 311642102 | Meeting Type | Annual | ||||||
| Ticker Symbol | FARO | Meeting Date | 25-May-2023 | ||||||
| ISIN | US3116421021 | Agenda | 935863402 - Management | ||||||
| Record Date | 04-Apr-2023 | Holding Recon Date | 04-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 24-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Michael D. Burger | For | For | |||||||
| 2 Alex Davern | For | For | |||||||
| 3 Rajani Ramanathan | For | For | |||||||
| 2. | The ratification of Grant Thornton LLP as the Company's | Management | For | For | |||||
| independent registered public accounting firm for 2023. | |||||||||
| 3. | Non-binding resolution to approve the compensation of | Management | For | For | |||||
| the Company's named executive officers. | |||||||||
| 4. | Non-binding vote on the frequency of holding an advisory | Management | 1 Year | For | |||||
| vote on named executive officer compensation. | |||||||||
| 5. | The approval of an amendment to the FARO | Management | For | For | |||||
| Technologies, Inc. 2022 Equity Incentive Plan to increase | |||||||||
| the number of shares reserved for issuance thereunder | |||||||||
| by 1,250,000. | |||||||||
| MGP INGREDIENTS, INC. | |||||||||
| Security | 55303J106 | Meeting Type | Annual | ||||||
| Ticker Symbol | MGPI | Meeting Date | 25-May-2023 | ||||||
| ISIN | US55303J1060 | Agenda | 935825589 - Management | ||||||
| Record Date | 27-Mar-2023 | Holding Recon Date | 27-Mar-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 24-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director: Thomas A. Gerke | Management | For | For | |||||
| 1b. | Election of Director: Donn Lux | Management | For | For | |||||
| 1c. | Election of Director: Kevin S. Rauckman | Management | For | For | |||||
| 1d. | Election of Director: Todd B. Siwak | Management | For | For | |||||
| 2. | To ratify the appointment of KPMG LLP as the | Management | For | For | |||||
| Company's independent registered public accounting | |||||||||
| firm. | |||||||||
| 3. | To adopt an advisory resolution to approve the | Management | For | For | |||||
| compensation of our named executive officers. | |||||||||
| 4. | To approve, on an advisory basis, the frequency of future | Management | 1 Year | For | |||||
| advisory votes on executive compensation. | |||||||||
| NORTHWEST NATURAL HOLDING COMPANY | |||||||||
| Security | 66765N105 | Meeting Type | Annual | ||||||
| Ticker Symbol | NWN | Meeting Date | 25-May-2023 | ||||||
| ISIN | US66765N1054 | Agenda | 935833372 - Management | ||||||
| Record Date | 06-Apr-2023 | Holding Recon Date | 06-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 24-May-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 David H. Anderson | For | For | |||||||
| 2 Karen Lee | For | For | |||||||
| 3 Nathan I. Partain | For | For | |||||||
| 2. | Advisory vote to approve Named Executive Officer | Management | For | For | |||||
| Compensation. | |||||||||
| 3. | Frequency of future votes on executive compensation as | Management | 1 Year | For | |||||
| an advisory vote. | |||||||||
| 4. | The ratification of the appointment of | Management | For | For | |||||
| PricewaterhouseCoopers LLP as Northwest Natural | |||||||||
| Holding Company's independent registered public | |||||||||
| accountants for the fiscal year 2023. | |||||||||
| BRP GROUP, INC. | |||||||||
| Security | 05589G102 | Meeting Type | Annual | ||||||
| Ticker Symbol | BRP | Meeting Date | 05-Jun-2023 | ||||||
| ISIN | US05589G1022 | Agenda | 935840113 - Management | ||||||
| Record Date | 06-Apr-2023 | Holding Recon Date | 06-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 02-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Lowry Baldwin | For | For | |||||||
| 2 Sathish Muthukrishnan | For | For | |||||||
| 3 Sunita Parasuraman | For | For | |||||||
| 4 Ellyn Shook | For | For | |||||||
| 2. | To approve, on an advisory basis, the compensation of | Management | For | For | |||||
| our named executive officers. | |||||||||
| 3. | To ratify the appointment of PricewaterhouseCoopers | Management | For | For | |||||
| LLP as our independent registered public accounting firm | |||||||||
| for fiscal year 2023. | |||||||||
| HAGERTY, INC. | |||||||||
| Security | 405166109 | Meeting Type | Annual | ||||||
| Ticker Symbol | HGTY | Meeting Date | 05-Jun-2023 | ||||||
| ISIN | US4051661092 | Agenda | 935835251 - Management | ||||||
| Record Date | 06-Apr-2023 | Holding Recon Date | 06-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 02-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 McKeel Hagerty | For | For | |||||||
| 2 Michael Angelina | For | For | |||||||
| 3 F. Michael Crowley | For | For | |||||||
| 4 Laurie Harris | For | For | |||||||
| 5 Robert Kauffman | For | For | |||||||
| 6 Sabrina Kay | For | For | |||||||
| 7 Mika Salmi | For | For | |||||||
| 8 William Swanson | For | For | |||||||
| 9 Randall Harbert | For | For | |||||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as | Management | For | For | |||||
| Hagerty's independent registered public accounting firm | |||||||||
| for the year ending December 31, 2023. | |||||||||
| PERFICIENT, INC. | |||||||||
| Security | 71375U101 | Meeting Type | Annual | ||||||
| Ticker Symbol | PRFT | Meeting Date | 07-Jun-2023 | ||||||
| ISIN | US71375U1016 | Agenda | 935830984 - Management | ||||||
| Record Date | 10-Apr-2023 | Holding Recon Date | 10-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 06-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director: Romil Bahl | Management | Against | Against | |||||
| 1b. | Election of Director: Jeffrey S. Davis | Management | For | For | |||||
| 1c. | Election of Director: Ralph C. Derrickson | Management | For | For | |||||
| 1d. | Election of Director: Jill A. Jones | Management | For | For | |||||
| 1e. | Election of Director: David S. Lundeen | Management | For | For | |||||
| 1f. | Election of Director: Brian L. Matthews | Management | For | For | |||||
| 1g. | Election of Director: Nancy C. Pechloff | Management | For | For | |||||
| 1h. | Election of Director: Gary M. Wimberly | Management | For | For | |||||
| 2. | Proposal to approve, on an advisory basis, the frequency | Management | 1 Year | For | |||||
| of the future advisory vote on executive compensation. | |||||||||
| 3. | Proposal to approve, on an advisory basis, a resolution | Management | For | For | |||||
| relating to the 2022 compensation of the named | |||||||||
| executive officers. | |||||||||
| 4. | Proposal to approve the Third Amended and Restated | Management | For | For | |||||
| Perficient, Inc. 2012 Long Term Incentive Plan. | |||||||||
| 5. | Proposal to amend and restate the Company's Certificate | Management | For | For | |||||
| of Incorporation to permit the exculpation of officers. | |||||||||
| 6. | Proposal to ratify KPMG LLP as Perficient, Inc.'s | Management | For | For | |||||
| independent registered public accounting firm for the | |||||||||
| 2023 fiscal year. | |||||||||
| GATES INDUSTRIAL CORP PLC | |||||||||
| Security | G39108108 | Meeting Type | Annual | ||||||
| Ticker Symbol | GTES | Meeting Date | 08-Jun-2023 | ||||||
| ISIN | GB00BD9G2S12 | Agenda | 935831316 - Management | ||||||
| Record Date | 12-Apr-2023 | Holding Recon Date | 12-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 07-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Election of Director: Fredrik Eliasson | Management | For | For | |||||
| 1b. | Election of Director: James W. Ireland, III | Management | For | For | |||||
| 1c. | Election of Director: Ivo Jurek | Management | For | For | |||||
| 1d. | Election of Director: Stephanie K. Mains | Management | For | For | |||||
| 1e. | Election of Director: Seth A. Meisel | Management | For | For | |||||
| 1f. | Election of Director: Wilson S. Neely | Management | For | For | |||||
| 1g. | Election of Director: Neil P. Simpkins | Management | For | For | |||||
| 1h. | Election of Director: Alicia Tillman | Management | For | For | |||||
| 1i. | Election of Director: Molly P. Zhang | Management | For | For | |||||
| 2. | To approve, on an advisory basis, the compensation of | Management | For | For | |||||
| the Company's named executive officers. | |||||||||
| 3. | To approve, on an advisory basis, the Directors' | Management | For | For | |||||
| Remuneration Report (excluding the Directors' | |||||||||
| Remuneration Policy) in accordance with the | |||||||||
| requirements of the U.K. Companies Act 2006. | |||||||||
| To ratify the appointment of Deloitte & Touche LLP as the | Management | For | |||||||
| 4. | Company's independent registered public accounting firm | For | |||||||
| for the year ending December 30, 2023. | |||||||||
| 5. | To re-appoint Deloitte LLP as the Company's U.K. | Management | For | For | |||||
| statutory auditor under the U.K. Companies Act 2006. | |||||||||
| 6. | To authorize the Audit Committee of the Board of | Management | For | For | |||||
| Directors to determine the remuneration of Deloitte LLP | |||||||||
| as the Company's U.K. statutory auditor. | |||||||||
| CANNAE HOLDINGS, INC. | |||||||||
| Security | 13765N107 | Meeting Type | Annual | ||||||
| Ticker Symbol | CNNE | Meeting Date | 21-Jun-2023 | ||||||
| ISIN | US13765N1072 | Agenda | 935856801 - Management | ||||||
| Record Date | 24-Apr-2023 | Holding Recon Date | 24-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 20-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1. | DIRECTOR | Management | |||||||
| 1 Hugh R. Harris | For | For | |||||||
| 2 C. Malcolm Holland | For | For | |||||||
| 3 Mark D. Linehan | For | For | |||||||
| 2. | Approval of a non-binding advisory resolution on the | Management | For | For | |||||
| compensation paid to our named executive officers. | |||||||||
| 3. | Ratification of the appointment of Deloitte as our | Management | For | For | |||||
| independent registered public accounting firm for the | |||||||||
| 2023 fiscal year. | |||||||||
| MOVADO GROUP, INC. | |||||||||
| Security | 624580106 | Meeting Type | Annual | ||||||
| Ticker Symbol | MOV | Meeting Date | 22-Jun-2023 | ||||||
| ISIN | US6245801062 | Agenda | 935860963 - Management | ||||||
| Record Date | 25-Apr-2023 | Holding Recon Date | 25-Apr-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 21-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | 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 Maya Peterson | For | For | |||||||
| 8 Stephen Sadove | For | For | |||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as | Management | For | For | |||||
| the Company's independent registered public accounting | |||||||||
| firm for the fiscal year ending January 31, 2024. | |||||||||
| 3. | To approve, on an advisory basis, the compensation of | Management | For | For | |||||
| the Company's named executive officers, as described in | |||||||||
| the Proxy Statement under "Executive Compensation". | |||||||||
| To select, on an advisory basis, the frequency of the | Management | 1 Year | For | ||||||
| 4. | advisory shareholder vote on the compensation of the | ||||||||
| Company's named executive officers. | |||||||||
| 5. | To approve the 1996 Stock Incentive Plan, as amended | Management | For | For | |||||
| and restated, effective April 4, 2023. | |||||||||
| CORE LABORATORIES INC. | |||||||||
| Security | 21867A105 | Meeting Type | Annual | ||||||
| Ticker Symbol | CLB | Meeting Date | 28-Jun-2023 | ||||||
| ISIN | US21867A1051 | Agenda | 935868870 - Management | ||||||
| Record Date | 05-May-2023 | Holding Recon Date | 05-May-2023 | ||||||
| City / Country | / | United | Vote Deadline Date | 27-Jun-2023 | |||||
| States | |||||||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed | Vote | For/Against | |||||
| by | Management | ||||||||
| 1a. | Re-election of Class I Director to serve until our annual | Management | For | For | |||||
| meeting in 2026: Harvey Klingensmith | |||||||||
| 1b. | Election of Class I Director to serve until our annual | Management | For | For | |||||
| meeting in 2026: Curtis Anastasio | |||||||||
| 2. | To ratify the appointment of KPMG LLP ("KPMG") as the | Management | For | For | |||||
| Company's independent registered public accountants for | |||||||||
| the year ending December 31, 2023. | |||||||||
| 3a. | To approve, on an advisory basis, the compensation | Management | For | For | |||||
| philosophy, policies and procedures described in the | |||||||||
| section entitled Compensation Discussion and Analysis | |||||||||
| ("CD&A"), and the compensation of the Company's | |||||||||
| named executive officers as disclosed pursuant to the | |||||||||
| U.S. Securities and Exchange Commission's (the "SEC") | |||||||||
| compensation disclosure rules, including the | |||||||||
| compensation tables | |||||||||
| 3b. | To approve the selection of the frequency of shareholder | Management | 1 Year | For | |||||
| votes on executive compensation, such that the | |||||||||
| shareholders of the Company be provided an opportunity | |||||||||
| to approve the compensation philosophy, policies and | |||||||||
| procedures described in the CD&A, and the | |||||||||
| compensation of the Company's named executive | |||||||||
| officers as disclosed pursuant to the SEC's compensation | |||||||||
| disclosure rules, including the compensation tables, | |||||||||
| every. | |||||||||
| 4. | To approve and resolve the amendment and restatement | Management | For | For | |||||
| of the Company's 2014 Non-Employee Director Stock | |||||||||
| Incentive Plan, the principal purpose of which is to extend | |||||||||
| the term of such plan through June 28, 2033. | |||||||||
First Trust Short Duration High Income Fund
There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period.
First Trust Managed Municipal Fund
There is no proxy voting activity for the fund, as the fund did not hold any votable positions during the reporting period.
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 14, 2023 | |||
* Print the name and title of each signing officer under his or her signature.