As filed with the Securities and Exchange Commission on August 30, 2022
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
Annual Report of Proxy Voting Record of Registered Management Investment Company
Investment Company Act file number: 811-23761
NEUBERGER BERMAN ETF TRUST
(Exact Name of the Registrant as Specified in Charter)
c/o Neuberger Berman Investment Advisers LLC
1290 Avenue of the Americas
New York, New York 10104-0002
(Address of Principal Executive Offices)
Registrant's telephone number, including area code: (212) 476-8800
Joseph V. Amato
Chief Executive Officer and President
Neuberger Berman ETF Trust
c/o Neuberger Berman Investment Advisers LLC
1290 Avenue of the Americas
New York, New York 10104-0002
Stacy L. Fuller, Esq.
Lori L. Schneider, Esq.
K&L Gates LLP
1601 K Street, N.W.
Washington, D.C. 20006-1600
(Names and Addresses of agents for service)
Date of fiscal year end: August 31
Date of reporting period: April 6, 2022 to June 30, 2022
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained on 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, NE, Washington DC 20549-1090. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Proxy Voting Record
NPX Proxy Voting Record | ||||||||
Registrant : Neuberger Berman ETF Trust | ||||||||
Fund Name : NB Carbon Transition Infrastructure ETF | ||||||||
7/1/2021 - 6/30/2022 | ||||||||
Acciona | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ANA | CINS E0008Z109 | 06/22/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Spain | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts | Mgmt | For | For | For | |||
2 | Management Reports | Mgmt | For | For | For | |||
3 | Ratification of Board Acts | Mgmt | For | For | For | |||
4 | Report on Non-Financial Information | Mgmt | For | For | For | |||
5 | Sustainability Report | Mgmt | For | For | For | |||
6 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
7 | Appointment of Auditor | Mgmt | For | For | For | |||
8 | Elect Sonia Dulá | Mgmt | For | For | For | |||
9 | Elect Maite Arango García-Urtiaga | Mgmt | For | For | For | |||
10 | Elect Carlo Clavarino | Mgmt | For | For | For | |||
11 | Remuneration Policy | Mgmt | For | Against | Against | |||
12 | Remuneration Report | Mgmt | For | Against | Against | |||
13 | Authority to Set Extraordinary Meeting Notice Period at 15 days | Mgmt | For | Against | Against | |||
14 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||
Arcadis NV | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ARCAD | CINS N0605M147 | 05/12/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Netherlands | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Special Dividend | Mgmt | For | For | For | |||
4 | Ratification of Management Board Acts | Mgmt | For | For | For | |||
5 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||
6 | Appointment of Auditor | Mgmt | For | For | For | |||
7 | Remuneration Report Management Board | Mgmt | For | For | For | |||
8 | Remuneration Report Supervisory Board | Mgmt | For | For | For | |||
9 | Elect Michael C. Putnam to the Supervisory Board | Mgmt | For | For | For | |||
10 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
11 | Authority to Suppress Preemptive Rights | Mgmt | For | For | For | |||
12 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
Ballard Power Systems Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
BLDP | CUSIP 058586108 | 06/08/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Canada | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Kathleen A. Bayless | Mgmt | For | For | For | |||
2 | Elect Douglas P. Hayhurst | Mgmt | For | For | For | |||
3 | Elect JIANG Kui | Mgmt | For | Withhold | Against | |||
4 | Elect Duy-Loan T. Le | Mgmt | For | For | For | |||
5 | Elect R. Randall MacEwen | Mgmt | For | For | For | |||
6 | Elect Hubertus M. Muehlhaeuser | Mgmt | For | For | For | |||
7 | Elect Marty Neese | Mgmt | For | For | For | |||
8 | Elect James Roche | Mgmt | For | For | For | |||
9 | Elect Shaojun Sun | Mgmt | For | Withhold | Against | |||
10 | Elect Janet P. Woodruff | Mgmt | For | For | For | |||
11 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
12 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
13 | Amendments to Articles Regarding Quorum | Mgmt | For | For | For | |||
Canadian Solar Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CSIQ | CUSIP 136635109 | 06/22/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Shawn (Xiaohua) Qu | Mgmt | For | For | For | |||
2 | Elect Karl E. Olsoni | Mgmt | For | For | For | |||
3 | Elect Harry E. Ruda | Mgmt | For | For | For | |||
4 | Elect Lauren C. Templeton | Mgmt | For | Withhold | Against | |||
5 | Elect Andrew (Luen Cheung) Wong | Mgmt | For | Withhold | Against | |||
6 | Elect Arthur WONG Lap Tat | Mgmt | For | Withhold | Against | |||
7 | Elect Leslie CHANG Li Hsien | Mgmt | For | Withhold | Against | |||
8 | Elect Yan ZHUANG | Mgmt | For | For | For | |||
9 | Elect Huifeng CHANG | Mgmt | For | Withhold | Against | |||
10 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
11 | Approval of Continuance | Mgmt | For | For | For | |||
CRH Plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CRH | CINS G25508105 | 04/28/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Ireland | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Final Dividend | Mgmt | For | For | For | |||
3 | Remuneration Report | Mgmt | For | For | For | |||
4 | Remuneration Policy | Mgmt | For | For | For | |||
5 | Increase in NED Fee Cap | Mgmt | For | For | For | |||
6 | Elect Richard Boucher | Mgmt | For | For | For | |||
7 | Elect Caroline Dowling | Mgmt | For | For | For | |||
8 | Elect Richard H. Fearon | Mgmt | For | For | For | |||
9 | Elect Johan Karlström | Mgmt | For | For | For | |||
10 | Elect Shaun Kelly | Mgmt | For | For | For | |||
11 | Elect Badar Khan | Mgmt | For | For | For | |||
12 | Elect Lamar McKay | Mgmt | For | For | For | |||
13 | Elect Albert Manifold | Mgmt | For | For | For | |||
14 | Elect Jim Mintern | Mgmt | For | For | For | |||
15 | Elect Gillian L. Platt | Mgmt | For | For | For | |||
16 | Elect Mary K. Rhinehart | Mgmt | For | For | For | |||
17 | Elect Siobhán Talbot | Mgmt | For | For | For | |||
18 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
19 | Appointment of Auditor | Mgmt | For | For | For | |||
20 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
21 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
22 | Authority to Issue Shares w/o Preemptive Rights (Specified Capital Investment) | Mgmt | For | For | For | |||
23 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
24 | Authority to Set Price Range for Reissuance of Treasury Shares | Mgmt | For | For | For | |||
Generac Holdings Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
GNRC | CUSIP 368736104 | 06/16/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect John D. Bowlin | Mgmt | For | For | For | |||
2 | Elect Aaron Jagdfeld | Mgmt | For | For | For | |||
3 | Elect Andrew G. Lampereur | Mgmt | For | For | For | |||
4 | Elect Nam Tran Nguyen | Mgmt | For | For | For | |||
5 | Ratification of Auditor | Mgmt | For | For | For | |||
6 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Iberdrola S.A. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
IBE | CINS E6165F166 | 06/16/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Ordinary | Spain | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts | Mgmt | For | For | For | |||
2 | Management Reports | Mgmt | For | For | For | |||
3 | Report on Non-Financial Information | Mgmt | For | For | For | |||
4 | Ratification of Board Acts | Mgmt | For | For | For | |||
5 | Appointment of Auditor | Mgmt | For | For | For | |||
6 | Amendments to Articles (Social Dividend) | Mgmt | For | For | For | |||
7 | Amendments to Articles (Engagement Dividend) | Mgmt | For | For | For | |||
8 | Amendments to General Meeting Regulations (Engagement Dividend) | Mgmt | For | For | For | |||
9 | Special Dividend (Engagement Dividend) | Mgmt | For | For | For | |||
10 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
11 | First Scrip Dividend | Mgmt | For | For | For | |||
12 | Second Scrip Dividend | Mgmt | For | For | For | |||
13 | Authority to Cancel Treasury Shares and Reduce Capital | Mgmt | For | For | For | |||
14 | Remuneration Report | Mgmt | For | Against | Against | |||
15 | Elect Anthony L. Gardner | Mgmt | For | For | For | |||
16 | Ratify Co-Option and Elect María Ángeles Alcalá Díaz | Mgmt | For | For | For | |||
17 | Ratify Co-Option and Elect Isabel García Tejerina | Mgmt | For | For | For | |||
18 | Board Size | Mgmt | For | For | For | |||
19 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||
20 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||
Nordex SE | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
NDX1 | CINS D5736K135 | 05/31/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Germany | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Ratification of Management Board Acts | Mgmt | For | For | For | |||
2 | Ratification of Supervisory Board Acts | Mgmt | For | For | For | |||
3 | Elect Maria Cordon Ucar | Mgmt | For | Against | Against | |||
4 | Elect Maria Isabel Blanco Alvarez | Mgmt | For | For | For | |||
5 | Remuneration Report | Mgmt | For | Against | Against | |||
6 | Increase in Authorised Capital I | Mgmt | For | For | For | |||
7 | Increase in Authorised Capital II | Mgmt | For | For | For | |||
8 | Increase in Authorised Capital III | Mgmt | For | For | For | |||
9 | Amendment to Previously-Approved Conditional Capital Authority | Mgmt | For | For | For | |||
10 | Approval of Profit-and-Loss Transfer Agreements | Mgmt | For | For | For | |||
11 | Amendment to Articles | Mgmt | For | For | For | |||
12 | Appointment of Auditor | Mgmt | For | For | For | |||
Ormat Technologies Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ORA | CUSIP 686688102 | 06/02/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Isaac Angel | Mgmt | For | For | For | |||
2 | Elect Karin Corfee | Mgmt | For | For | For | |||
3 | Elect David Granot | Mgmt | For | For | For | |||
4 | Elect Michal Marom Brikman | Mgmt | For | For | For | |||
5 | Elect Mike Nikkel | Mgmt | For | For | For | |||
6 | Elect Dafna Sharir | Mgmt | For | For | For | |||
7 | Elect Stanley B. Stern | Mgmt | For | For | For | |||
8 | Elect Hidetake Takahashi | Mgmt | For | For | For | |||
9 | Elect Byron G. Wong | Mgmt | For | For | For | |||
10 | Ratification of Auditor | Mgmt | For | For | For | |||
11 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
12 | Amendment to the 2018 Incentive Compensation Plan | Mgmt | For | For | For | |||
Plug Power Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
PLUG | CUSIP 72919P202 | 06/30/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect George C. McNamee | Mgmt | For | Withhold | Against | |||
2 | Elect Gregory L. Kenausis | Mgmt | For | For | For | |||
3 | Elect Jean Bua | Mgmt | For | For | For | |||
4 | Amendment to the 2021 Stock Option and Incentive Plan | Mgmt | For | For | For | |||
5 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
6 | Ratification of Auditor | Mgmt | For | For | For | |||
Schneider Electric SE | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
SU | CINS F86921107 | 05/05/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
5 | Accounts and Reports; Non Tax-Deductible Expenses | Mgmt | For | For | For | |||
6 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
7 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
8 | Special Auditors Report on Regulated Agreements | Mgmt | For | For | For | |||
9 | Appointment of Auditor (Mazars); Non-Renewal of Alternate Auditor (Thierry Blanchetier) | Mgmt | For | For | For | |||
10 | Appointment of Auditor (PricewaterhouseCoopers); Non-Renewal of Alternate Auditor (Auditex) | Mgmt | For | For | For | |||
11 | 2021 Remuneration Report | Mgmt | For | For | For | |||
12 | 2021 Remuneration of Jean-Pascal Tricoire, Chair and CEO | Mgmt | For | For | For | |||
13 | 2022 Remuneration Policy (Chair and CEO) | Mgmt | For | For | For | |||
14 | 2022 Remuneration Policy (Board of Directors) | Mgmt | For | For | For | |||
15 | Elect Linda Knoll | Mgmt | For | For | For | |||
16 | Elect Anders Runevad | Mgmt | For | For | For | |||
17 | Elect Nivedita Krishnamurthy Bhagat | Mgmt | For | For | For | |||
18 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||
19 | Authority to Issue Performance Shares | Mgmt | For | For | For | |||
20 | Employee Stock Purchase Plan | Mgmt | For | For | For | |||
21 | Stock Purchase Plan for Overseas Employees | Mgmt | For | For | For | |||
22 | Merger by Absorption of IGE+XAO | Mgmt | For | For | For | |||
23 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||
Fund Name : NB Disrupters ETF | ||||||||
7/1/2021 - 6/30/2022 | ||||||||
DigitalOcean Holdings Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
DOCN | CUSIP 25402D102 | 06/09/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Yancey L. Spruill | Mgmt | For | Withhold | Against | |||
1.2 | Elect Amy Butte | Mgmt | For | Withhold | Against | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
Etsy Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ETSY | CUSIP 29786A106 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect C. Andrew Ballard | Mgmt | For | For | For | |||
2 | Elect Jonathan D. Klein | Mgmt | For | For | For | |||
3 | Elect Margaret M. Smyth | Mgmt | For | For | For | |||
4 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
5 | Ratification of Auditor | Mgmt | For | For | For | |||
Guardant Health Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
GH | CUSIP 40131M109 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Vijaya Gadde | Mgmt | For | For | For | |||
2 | Elect Myrtle S. Potter | Mgmt | For | For | For | |||
3 | Ratification of Auditor | Mgmt | For | For | For | |||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Match Group Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MTCH | CUSIP 57667L107 | 06/08/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Stephen Bailey | Mgmt | For | For | For | |||
2 | Elect Melissa Brenner | Mgmt | For | For | For | |||
3 | Elect Alan G. Spoon | Mgmt | For | Against | Against | |||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
6 | Ratification of Auditor | Mgmt | For | For | For | |||
Fund Name : NB Next Generation Connected Consumer ETF | ||||||||
7/1/2021 - 6/30/2022 | ||||||||
American Eagle Outfitters Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
AEO | CUSIP 02553E106 | 06/08/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Deborah Ann Henretta | Mgmt | For | For | For | |||
2 | Elect Cary D. McMillan | Mgmt | For | For | For | |||
3 | Ratification of Auditor | Mgmt | For | For | For | |||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Crocs Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
CROX | CUSIP 227046109 | 06/14/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Ian Bickley | Mgmt | For | For | For | |||
1.2 | Elect Tracy Gardner | Mgmt | For | For | For | |||
1.3 | Elect Douglas J. Treff | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Essilorluxottica | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
EL | CINS F31665106 | 05/25/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Mix | France | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports; Non Tax-Deductible Expenses | Mgmt | For | For | For | |||
2 | Consolidated Accounts and Reports | Mgmt | For | For | For | |||
3 | Allocation of Losses/Dividends | Mgmt | For | For | For | |||
4 | Ratification of the Co-option of Virginie Mercier Pitre | Mgmt | For | For | For | |||
5 | Special Auditors Report on Regulated Agreements | Mgmt | For | For | For | |||
6 | 2021 Remuneration Report | Mgmt | For | For | For | |||
7 | 2021 Remuneration of Leonardo Del Vecchio, Chair | Mgmt | For | For | For | |||
8 | 2021 Remuneration of Francesco Milleri, CEO | Mgmt | For | Against | Against | |||
9 | 2021 Remuneration of Paul du Saillant, Deputy CEO | Mgmt | For | Against | Against | |||
10 | 2022 Remuneration Policy (Board of Directors) | Mgmt | For | For | For | |||
11 | 2022 Remuneration Policy (Chair) | Mgmt | For | For | For | |||
12 | 2022 Remuneration Policy (CEO) | Mgmt | For | Against | Against | |||
13 | 2022 Remuneration Policy (Deputy CEO) | Mgmt | For | Against | Against | |||
14 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||
15 | Authority to Cancel Shares and Reduce Capital | Mgmt | For | For | For | |||
16 | Authorisation of Legal Formalities | Mgmt | For | For | For | |||
Fastly Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
FSLY | CUSIP 31188V100 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Artur Bergman | Mgmt | For | For | For | |||
1.2 | Elect Paula D. Loop | Mgmt | For | For | For | |||
1.3 | Elect Christopher B. Paisley | Mgmt | For | For | For | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
Keurig Dr Pepper Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
KDP | CUSIP 49271V100 | 06/09/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Robert J. Gamgort | Mgmt | For | For | For | |||
2 | Elect Michael Call | Mgmt | For | For | For | |||
3 | Elect Olivier Goudet | Mgmt | For | For | For | |||
4 | Elect Peter Harf | Mgmt | For | For | For | |||
5 | Elect Juliette Hickman | Mgmt | For | For | For | |||
6 | Elect Paul S. Michaels | Mgmt | For | For | For | |||
7 | Elect Pamela H. Patsley | Mgmt | For | For | For | |||
8 | Elect Lubomira Rochet | Mgmt | For | For | For | |||
9 | Elect Debra A. Sandler | Mgmt | For | For | For | |||
10 | Elect Robert S. Singer | Mgmt | For | For | For | |||
11 | Elect Larry D. Young | Mgmt | For | For | For | |||
12 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
Li Ning Co., Ltd. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
2331 | CINS G5496K124 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Cayman Islands | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | �� | Mgmt | For | For | For | ||
3 | Elect KOSAKA Takeshi | Mgmt | For | For | For | |||
4 | Elect Louis KOO Fook Sun | Mgmt | For | Against | Against | |||
5 | Directors' Fees | Mgmt | For | For | For | |||
6 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
7 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
8 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
Match Group Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MTCH | CUSIP 57667L107 | 06/08/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Stephen Bailey | Mgmt | For | For | For | |||
2 | Elect Melissa Brenner | Mgmt | For | For | For | |||
3 | Elect Alan G. Spoon | Mgmt | For | Against | Against | |||
4 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
5 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
6 | Ratification of Auditor | Mgmt | For | For | For | |||
Membership Collective Group Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MCG | CUSIP 586001109 | 06/22/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Ronald W. Burkle | Mgmt | For | Withhold | Against | |||
2 | Elect Nick Jones | Mgmt | For | Withhold | Against | |||
3 | Elect Andrew Carnie | Mgmt | For | Withhold | Against | |||
4 | Elect Richard Caring | Mgmt | For | Withhold | Against | |||
5 | Elect Bippy Siegal | Mgmt | For | Withhold | Against | |||
6 | Ratification of Auditor | Mgmt | For | For | For | |||
Mister Spex SE | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MRX | CINS D5S4HU102 | 06/30/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Germany | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Ratify Dirk Graber | Mgmt | For | For | For | |||
2 | Ratify Mirko Caspar | Mgmt | For | For | For | |||
3 | Ratify Sebastian Dehnen | Mgmt | For | For | For | |||
4 | Ratify Maren Kroll | Mgmt | For | For | For | |||
5 | Ratify Peter Williams | Mgmt | For | For | For | |||
6 | Ratify Nicola Brandolese | Mgmt | For | For | For | |||
7 | Ratify Tobias Krauss | Mgmt | For | For | For | |||
8 | Ratify Birgit Kretschmer | Mgmt | For | For | For | |||
9 | Ratify Pietro Luigi Longor | Mgmt | For | For | For | |||
10 | Ratify Stuart Paterson | Mgmt | For | For | For | |||
11 | Ratify Nicole Srock.Stanley | Mgmt | For | For | For | |||
12 | Ratify Jochen Klüppel | Mgmt | For | For | For | |||
13 | Ratify Oliver Beste | Mgmt | For | For | For | |||
14 | Ratify Mike Ebeling | Mgmt | For | For | For | |||
15 | Ratify Nenad Marovac | Mgmt | For | For | For | |||
16 | Ratify Fred Piet | Mgmt | For | For | For | |||
17 | Appointment of Auditor for Fiscal Year 2022 | Mgmt | For | For | For | |||
18 | Appointment of Auditor for Interim Statements until 2023 AGM | Mgmt | For | For | For | |||
19 | Elect Stuart Paterson | Mgmt | For | For | For | |||
20 | Elect Pietro Luigi Longo | Mgmt | For | For | For | |||
21 | Management Board Remuneration Policy | Mgmt | For | For | For | |||
22 | Supervisory Board Remuneration Policy | Mgmt | For | For | For | |||
23 | Remuneration Report | Mgmt | For | For | For | |||
24 | Amendments to Articles | Mgmt | For | For | For | |||
25 | Increase in Authorised Capital | Mgmt | For | For | For | |||
26 | Stock Option Plan; Increase in Conditional Capital | Mgmt | For | For | For | |||
27 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||
Moncler SPA | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
MONC | CINS T6730E110 | 04/21/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | Italy | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Allocation of Profits/Dividends | Mgmt | For | For | For | |||
3 | Remuneration Policy | Mgmt | For | Against | Against | |||
4 | Remuneration Report | Mgmt | For | Against | Against | |||
5 | Authority to Repurchase and Reissue Shares | Mgmt | For | For | For | |||
6 | Board Size | Mgmt | For | For | For | |||
7 | Board Term Length | Mgmt | For | For | For | |||
8 | Non-Voting Agenda Item | N/A | N/A | N/A | N/A | |||
9 | List Presented by Double R S.r.l. | Mgmt | For | N/A | N/A | |||
10 | List Presented by Group of Institutional Investors Representing 1.16% of Share Capital | Mgmt | For | For | For | |||
11 | Election of Chair | Mgmt | For | Abstain | Against | |||
12 | Election of Vice Chair | Mgmt | For | Abstain | Against | |||
13 | Directors' Fees | Mgmt | For | Against | Against | |||
14 | 2022 Performance Share Plan | Mgmt | For | Against | Against | |||
Ocado Group Plc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
OCDO | CINS G6718L106 | 05/04/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United Kingdom | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Accounts and Reports | Mgmt | For | For | For | |||
2 | Remuneration Policy | Mgmt | For | Against | Against | |||
3 | Remuneration Report | Mgmt | For | For | For | |||
4 | Elect Richard Haythornthwaite | Mgmt | For | For | For | |||
5 | Elect Tim Steiner | Mgmt | For | For | For | |||
6 | Elect Stephen Daintith | Mgmt | For | For | For | |||
7 | Elect Neill Abrams | Mgmt | For | For | For | |||
8 | Elect Mark A. Richardson | Mgmt | For | For | For | |||
9 | Elect Luke Jensen | Mgmt | For | For | For | |||
10 | Elect Jörn Rausing | Mgmt | For | For | For | |||
11 | Elect Andrew J. Harrison | Mgmt | For | For | For | |||
12 | Elect Emma Lloyd | Mgmt | For | For | For | |||
13 | Elect Julie Southern | Mgmt | For | For | For | |||
14 | Elect John Martin | Mgmt | For | For | For | |||
15 | Elect Michael Sherman | Mgmt | For | For | For | |||
16 | Elect Nadia Shouraboura | Mgmt | For | For | For | |||
17 | Appointment of Auditor | Mgmt | For | For | For | |||
18 | Authority to Set Auditor's Fees | Mgmt | For | For | For | |||
19 | Authorisation of Political Donations | Mgmt | For | For | For | |||
20 | Amendment to the Value Creation Plan | Mgmt | For | Against | Against | |||
21 | Authority to Issue Shares w/ Preemptive Rights | Mgmt | For | For | For | |||
22 | Authority to Issue Shares w/ Preemptive Rights (In Connection With Rights Issue Only) | Mgmt | For | For | For | |||
23 | Authority to Issue Shares w/o Preemptive Rights | Mgmt | For | For | For | |||
24 | Authority to Issue Shares w/o Preemptive Rights (Specified Capital Investment) | Mgmt | For | For | For | |||
25 | Authority to Repurchase Shares | Mgmt | For | For | For | |||
26 | Adoption of New Articles | Mgmt | For | For | For | |||
27 | Authority to Set General Meeting Notice Period at 14 Days | Mgmt | For | For | For | |||
Revolve Group Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
RVLV | CUSIP 76156B107 | 06/10/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Michael Karanikolas | Mgmt | For | For | For | |||
2 | Elect Michael Mente | Mgmt | For | For | For | |||
3 | Elect Melanie Cox | Mgmt | For | For | For | |||
4 | Elect Oana Ruxandra | Mgmt | For | For | For | |||
5 | Elect Marc Stolzman | Mgmt | For | For | For | |||
6 | Ratification of Auditor | Mgmt | For | For | For | |||
7 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
8 | Frequency of Advisory Vote on Executive Compensation | Mgmt | 1 Year | 1 Year | For | |||
Rover Group Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ROVR | CUSIP 77936F103 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Aaron Easterly | Mgmt | For | For | For | |||
2 | Elect Venky Ganesan | Mgmt | For | For | For | |||
3 | Ratification of Auditor | Mgmt | For | For | For | |||
T-Mobile US Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
TMUS | CUSIP 872590104 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Marcelo Claure | Mgmt | For | For | For | |||
2 | Elect Srikant M. Datar | Mgmt | For | For | For | |||
3 | Elect Bavan M. Holloway | Mgmt | For | For | For | |||
4 | Elect Timotheus Höttges | Mgmt | For | For | For | |||
5 | Elect Christian P. Illek | Mgmt | For | For | For | |||
6 | Elect Raphael Kübler | Mgmt | For | For | For | |||
7 | Elect Thorsten Langheim | Mgmt | For | For | For | |||
8 | Elect Dominique Leroy | Mgmt | For | For | For | |||
9 | Elect Letitia A. Long | Mgmt | For | For | For | |||
10 | Elect G. Michael Sievert | Mgmt | For | For | For | |||
11 | Elect Teresa A. Taylor | Mgmt | For | For | For | |||
12 | Elect Omar Tazi | Mgmt | For | For | For | |||
13 | Elect Kelvin R. Westbrook | Mgmt | For | For | For | |||
14 | Ratification of Auditor | Mgmt | For | For | For | |||
Therealreal Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
REAL | CUSIP 88339P101 | 06/15/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Chip Baird | Mgmt | For | For | For | |||
1.2 | Elect James Miller | Mgmt | For | For | For | |||
1.3 | Elect Julie Wainwright | Mgmt | For | Withhold | Against | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
3 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
TJX Companies, Inc. | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
TJX | CUSIP 872540109 | 06/07/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect José B. Alvarez | Mgmt | For | For | For | |||
2 | Elect Alan M. Bennett | Mgmt | For | For | For | |||
3 | Elect Rosemary T. Berkery | Mgmt | For | For | For | |||
4 | Elect David T. Ching | Mgmt | For | For | For | |||
5 | Elect C. Kim Goodwin | Mgmt | For | For | For | |||
6 | Elect Ernie Herrman | Mgmt | For | For | For | |||
7 | Elect Michael F. Hines | Mgmt | For | For | For | |||
8 | Elect Amy B. Lane | Mgmt | For | For | For | |||
9 | Elect Carol Meyrowitz | Mgmt | For | For | For | |||
10 | Elect Jackwyn L. Nemerov | Mgmt | For | For | For | |||
11 | Elect John F. O'Brien | Mgmt | For | For | For | |||
12 | Ratification of Auditor | Mgmt | For | For | For | |||
13 | Approval of the 2022 Stock Incentive Plan | Mgmt | For | For | For | |||
14 | Advisory Vote on Executive Compensation | Mgmt | For | For | For | |||
15 | Shareholder Proposal Regarding Report on Supply Chain Due Diligence | ShrHoldr | Against | Against | For | |||
16 | Shareholder Proposal Regarding Report on Human Rights Risks from Supply Chain Employee Misclassification | ShrHoldr | Against | Against | For | |||
17 | Shareholder Proposal Regarding Report On Risks From State Policies Restricting Reproductive Health Care | ShrHoldr | Against | Against | For | |||
18 | Shareholder Proposal Regarding Paid Sick Leave | ShrHoldr | Against | For | Against | |||
Walmart Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
WMT | CUSIP 931142103 | 06/01/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Cesar Conde | Mgmt | For | For | For | |||
2 | Elect Timothy P. Flynn | Mgmt | For | For | For | |||
3 | Elect Sarah Friar | Mgmt | For | For | For | |||
4 | Elect Carla A. Harris | Mgmt | For | For | For | |||
5 | Elect Thomas Horton | Mgmt | For | For | For | |||
6 | Elect Marissa A. Mayer | Mgmt | For | For | For | |||
7 | Elect C. Douglas McMillon | Mgmt | For | For | For | |||
8 | Elect Gregory B. Penner | Mgmt | For | For | For | |||
9 | Elect Randall L. Stephenson | Mgmt | For | For | For | |||
10 | Elect S. Robson Walton | Mgmt | For | For | For | |||
11 | Elect Steuart Walton | Mgmt | For | For | For | |||
12 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
13 | Ratification of Auditor | Mgmt | For | For | For | |||
14 | Shareholder Proposal Regarding Animal Welfare Practices | ShrHoldr | Against | Against | For | |||
15 | Shareholder Proposal Regarding Creation of a Pandemic Workforce Advisory Council | ShrHoldr | Against | Against | For | |||
16 | Shareholder Proposal Regarding Report On Risks From State Policies Restricting Reproductive Health Care | ShrHoldr | Against | Against | For | |||
17 | Shareholder Proposal Regarding Report on Alignment of Racial Justice Goals with Starting Pay | ShrHoldr | Against | Against | For | |||
18 | Shareholder Proposal Regarding Civil Rights Audit | ShrHoldr | Against | Against | For | |||
19 | Shareholder Proposal Regarding Charitable Contributions Disclosure | ShrHoldr | Against | Against | For | |||
20 | Shareholder Proposal Regarding Lobbying Report | ShrHoldr | Against | For | Against | |||
Warby Parker Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
WRBY | CUSIP 93403J106 | 06/09/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1.1 | Elect Teresa Briggs | Mgmt | For | Withhold | Against | |||
1.2 | Elect Joel Cutler | Mgmt | For | Withhold | Against | |||
1.3 | Elect Jeffrey Raider | Mgmt | For | Withhold | Against | |||
2 | Ratification of Auditor | Mgmt | For | For | For | |||
ZhongAn Online P&C Insurance Co Limited | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
6060 | CINS Y989DF109 | 04/20/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Special | China | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Authority to Issue 10-year Capital Supplementary Bonds | Mgmt | For | For | For | |||
2 | 2022-2024 Three-Year Capital Planning Report | Mgmt | For | For | For | |||
ZhongAn Online P&C Insurance Co Limited | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
6060 | CINS Y989DF109 | 06/22/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | China | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Directors' Report | Mgmt | For | For | For | |||
2 | Supervisors' Report | Mgmt | For | For | For | |||
3 | Accounts and Reports | Mgmt | For | For | For | |||
4 | Appointment of Auditor and Authority to Set Fees | Mgmt | For | For | For | |||
5 | Elect JIANG Xing | Mgmt | For | For | For | |||
6 | Elect LI Gaofeng | Mgmt | For | For | For | |||
7 | Elect OU Yaping | Mgmt | For | For | For | |||
8 | Elect SHI Liangxun | Mgmt | For | For | For | |||
9 | Elect JI Gang | Mgmt | For | Against | Against | |||
10 | Elect ZHANG Shuang | Mgmt | For | Against | Against | |||
11 | Elect Hugo OU Jin Yi | Mgmt | For | For | For | |||
12 | Elect OU Wei | Mgmt | For | For | For | |||
13 | Elect Vena Wei Yan Cheng | Mgmt | For | For | For | |||
14 | Elect Gigi CHAN Wing Chee | Mgmt | For | For | For | |||
15 | Elect Yin Hai | Mgmt | For | For | For | |||
16 | Elect WEN Yuping as Supervisor | Mgmt | For | For | For | |||
17 | Elect GUO Limin as Supervisor | Mgmt | For | For | For | |||
18 | Issuance of Shares w/o Preemptive Rights | Mgmt | For | Against | Against | |||
19 | Amendments to Articles | Mgmt | For | For | For | |||
Zuora Inc | ||||||||
Ticker | Security ID: | Meeting Date | Meeting Status | |||||
ZUO | CUSIP 98983V106 | 06/21/2022 | Voted | |||||
Meeting Type | Country of Trade | |||||||
Annual | United States | |||||||
Issue No. | Description | Proponent | Mgmt Rec | Vote Cast | For/Agnst Mgmt | |||
1 | Elect Amy Guggenheim Shenkan | Mgmt | For | For | For | |||
2 | Elect Timothy M. Haley | Mgmt | For | For | For | |||
3 | Elect Magdalena Yesil | Mgmt | For | For | For | |||
4 | Ratification of Auditor | Mgmt | For | For | For | |||
5 | Advisory Vote on Executive Compensation | Mgmt | For | Against | Against | |||
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.
Neuberger Berman ETF Trust
By: | /s/ Joseph V. Amato |
Joseph V. Amato | |
Chief Executive Officer and President |
Date: August 30, 2022