ITEM 1. PROXY VOTING RECORD:
| | Registrant: Affinity World Leaders Equity ETF | | | | | Item 1, Exhibit 6 | | | | | |
| | Investment Company Act file number: 811- 22963 | | | | | | | | | | |
| | Reporting Period: July 1, 2020-June 30, 2021 | | | | | | | | | | |
| | | | | | | | | | | | | | | | |
| Vote Summary |
| | BT GROUP PLC | | |
| | Security | G16612106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 16-Jul-2020 | |
| | ISIN | GB0030913577 | | | | | | Agenda | 712792743 - Management |
| | Record Date | | | | | | | Holding Recon Date | 14-Jul-2020 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 10-Jul-2020 | |
| | SEDOL(s) | 3091357 - B014679 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | ANNUAL REPORT AND ACCOUNTS: THAT THE
ACCOUNTS AND REPORTS OF THE DIRECTORS
AND THE AUDITORS FOR THE YEAR ENDED 31
MARCH 2020 BE RECEIVED | Management | | For | | For | | |
| | 2 | ANNUAL REMUNERATION REPORT: THAT THE
ANNUAL DIRECTORS' REMUNERATION REPORT AS
SET OUT ON PAGES 84 TO 89 AND 98 TO 109 OF
THE ANNUAL REPORT FOR THE YEAR ENDED 31
MARCH 2020 BE RECEIVED AND APPROVED | Management | | For | | For | | |
| | 3 | DIRECTORS' REMUNERATION POLICY: THAT THE
DIRECTORS' REMUNERATION POLICY AS SET OUT
ON PAGES 90 TO 97 OF THE ANNUAL REPORT 2020
BE RECEIVED AND APPROVED | Management | | For | | For | | |
| | 4 | THAT JAN DU PLESSIS BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 5 | THAT PHILIP JANSEN BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 6 | THAT SIMON LOWTH BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 7 | THAT IAIN CONN BE RE-ELECTED AS A DIRECTOR | Management | | For | | For | | |
| | 8 | THAT ISABEL HUDSON BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 9 | THAT MIKE INGLIS BE RE-ELECTED AS A DIRECTOR | Management | | For | | For | | |
| | 10 | THAT MATTHEW KEY BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 11 | THAT ALLISON KIRKBY BE RE-ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 12 | THAT ADEL AL-SALEH BE ELECTED AS A DIRECTOR | Management | | For | | For | | |
| | 13 | THAT SIR IAN CHESHIRE BE ELECTED AS A
DIRECTOR | Management | | For | | For | | |
| | 14 | THAT LEENA NAIR BE ELECTED AS A DIRECTOR | Management | | For | | For | | |
| | 15 | THAT SARA WELLER BE ELECTED AS A DIRECTOR | Management | | For | | For | | |
| | 16 | AUDITORS' RE-APPOINTMENT : THAT KPMG LLP BE
RE-APPOINTED AS AUDITORS OF THE COMPANY,
TO HOLD OFFICE UNTIL THE CONCLUSION OF THE
NEXT GENERAL MEETING AT WHICH ACCOUNTS
ARE LAID BEFORE THE COMPANY | Management | | For | | For | | |
| | 17 | AUDITORS' REMUNERATION: THAT THE AUDIT &
RISK COMMITTEE OF THE BOARD OF DIRECTORS
BE AUTHORISED TO DECIDE THE AUDITORS'
REMUNERATION | Management | | For | | For | | |
| | 18 | AUTHORITY TO ALLOT SHARES: THAT: (A) THE
DIRECTORS BE AND ARE HEREBY GENERALLY AND
UNCONDITIONALLY AUTHORISED PURSUANT TO,
AND IN ACCORDANCE WITH, SECTION 551 OF THE
COMPANIES ACT 2006 (2006 ACT) TO EXERCISE ALL
POWERS OF THE COMPANY TO ALLOT SHARES IN
THE COMPANY AND TO GRANT RIGHTS TO
SUBSCRIBE FOR, OR TO CONVERT ANY SECURITY
INTO, SHARES IN THE COMPANY: (I) UP TO AN
AGGREGATE NOMINAL AMOUNT OF GBP 163M; AND
(II) COMPRISING EQUITY SECURITIES, AS DEFINED
IN SECTION 560 OF THE 2006 ACT, UP TO AN
AGGREGATE NOMINAL AMOUNT OF GBP 163M
(INCLUDING WITHIN SUCH LIMIT ANY SHARES
ISSUED OR RIGHTS GRANTED UNDER PARAGRAPH
(I) ABOVE) IN CONNECTION WITH AN OFFER BY
WAY OF A RIGHTS ISSUE TO: A. HOLDERS OF
ORDINARY SHARES IN THE COMPANY IN
PROPORTION, AS NEARLY AS MAY BE
PRACTICABLE, TO THEIR EXISTING HOLDINGS; AND
B. HOLDERS OF OTHER EQUITY SECURITIES AS
REQUIRED BY THE RIGHTS OF THOSE SECURITIES
OR, IF THE DIRECTORS CONSIDER IT NECESSARY,
AS PERMITTED BY THE RIGHTS OF THOSE
SECURITIES; AND SO THAT THE DIRECTORS MAY
IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE
ANY ARRANGEMENTS WHICH THEY CONSIDER
NECESSARY OR APPROPRIATE TO DEAL WITH
TREASURY SHARES, FRACTIONAL ENTITLEMENTS,
RECORD DATES, SHARES REPRESENTED BY
DEPOSITARY RECEIPTS, LEGAL, REGULATORY OR
PRACTICAL PROBLEMS UNDER THE LAWS OF, OR
THE REQUIREMENTS OF, ANY RECOGNISED
REGULATORY BODY OR ANY STOCK EXCHANGE IN
ANY TERRITORY OR ANY OTHER MATTER
WHATSOEVER. THIS AUTHORITY SHALL HEREBY
TAKE EFFECT FROM THE DATE OF THE PASSING
OF THIS RESOLUTION UNTIL THE CONCLUSION OF
THE COMPANY'S AGM IN 2021, OR THE CLOSE OF
BUSINESS ON 30 SEPTEMBER 2021, WHICHEVER IS
THE EARLIER, PROVIDED THAT, IN EACH CASE, THE
COMPANY MAY, BEFORE THIS AUTHORITY
EXPIRES, MAKE OFFERS AND ENTER INTO
AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE
SHARES IN THE COMPANY TO BE ALLOTTED OR
RIGHTS TO SUBSCRIBE FOR OR CONVERT ANY
SECURITY INTO SHARES TO BE GRANTED AFTER | Management | | For | | For | | |
| | | THIS AUTHORITY EXPIRES AND THE DIRECTORS
MAY ALLOT SHARES IN THE COMPANY OR GRANT
RIGHTS UNDER ANY SUCH OFFER OR AGREEMENT
AS IF THIS AUTHORITY HAD NOT EXPIRED; (B)
SUBJECT TO PARAGRAPH (C) BELOW, ALL
EXISTING AUTHORITIES GIVEN TO THE DIRECTORS
PURSUANT TO SECTION 551 OF THE 2006 ACT BY
WAY OF THE ORDINARY RESOLUTION OF THE
COMPANY PASSED ON 10 JULY 2019 BE REVOKED
BY THIS RESOLUTION; AND (C) PARAGRAPH (B)
ABOVE SHALL BE WITHOUT PREJUDICE TO THE
CONTINUING AUTHORITY OF THE DIRECTORS TO
ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE
FOR, OR CONVERT ANY SECURITY INTO, SHARES
PURSUANT TO AN OFFER OR AGREEMENT MADE
BY THE COMPANY BEFORE THE EXPIRY OF THE
AUTHORITY PURSUANT TO WHICH SUCH OFFER OR
AGREEMENT WAS MADE | | | | | | | | | |
| | 19 | DISAPPLICATION OF PRE-EMPTION RIGHTS: THAT,
SUBJECT TO THE PASSING OF RESOLUTION 18
ABOVE, AND IN PLACE OF THE POWER GIVEN TO
THEM PURSUANT TO THE SPECIAL RESOLUTION OF
THE COMPANY PASSED ON 10 JULY 2019, THE
BOARD BE AUTHORISED TO ALLOT EQUITY
SECURITIES (AS DEFINED IN THE 2006 ACT) FOR
CASH UNDER THE AUTHORITY GIVEN BY
RESOLUTION 18 AND/OR TO SELL ORDINARY
SHARES HELD BY THE COMPANY AS TREASURY
SHARES FOR CASH AS IF SECTION 561 OF THE 2006
ACT DID NOT APPLY TO ANY SUCH ALLOTMENT OR
SALE, SUCH AUTHORITY TO BE LIMITED: (A) TO THE
ALLOTMENT OF EQUITY SECURITIES IN
CONNECTION WITH AN OFFER OF EQUITY
SECURITIES (BUT IN THE CASE OF THE AUTHORITY
GRANTED UNDER RESOLUTION 18(A)(II), BY WAY
OF A RIGHTS ISSUE ONLY) TO OR IN FAVOUR OF:
NOTICE (I) HOLDERS OF ORDINARY SHARES IN THE
COMPANY IN PROPORTION, AS NEARLY AS MAY BE
PRACTICABLE, TO THEIR EXISTING HOLDINGS; AND
(II) HOLDERS OF OTHER EQUITY SECURITIES, AS
REQUIRED BY THE RIGHTS OF THOSE SECURITIES
OR, IF THE DIRECTORS CONSIDER IT NECESSARY,
AS PERMITTED BY THE RIGHTS OF THOSE
SECURITIES; AND SO THAT THE DIRECTORS MAY
IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE
ANY ARRANGEMENTS WHICH THEY CONSIDER
NECESSARY OR APPROPRIATE TO DEAL WITH
TREASURY SHARES, FRACTIONAL ENTITLEMENTS,
RECORD DATES, SHARES REPRESENTED BY
DEPOSITARY RECEIPTS, LEGAL, REGULATORY OR
PRACTICAL PROBLEMS UNDER THE LAWS OF, OR
THE REQUIREMENTS OF, ANY RECOGNISED
REGULATORY BODY OR ANY STOCK EXCHANGE IN
ANY TERRITORY OR ANY OTHER MATTER
WHATSOEVER; AND (B) TO THE ALLOTMENT OF
EQUITY SECURITIES OR SALE OF TREASURY
SHARES (OTHERWISE THAN UNDER PARAGRAPH | Management | | For | | For | | |
| | | (A) ABOVE) UP TO AN AGGREGATE NOMINAL
AMOUNT OF GBP 24.8M, SUCH AUTHORITY TO
EXPIRE AT THE END OF THE NEXT AGM OF THE
COMPANY (OR, IF EARLIER, AT THE CLOSE OF
BUSINESS ON 30 SEPTEMBER 2021), BUT, IN EACH
CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY
MAKE OFFERS, AND ENTER INTO AGREEMENTS,
WHICH WOULD, OR MIGHT, REQUIRE EQUITY
SECURITIES TO BE ALLOTTED (AND TREASURY
SHARES TO BE SOLD) AFTER THE AUTHORITY
EXPIRES AND THE BOARD MAY ALLOT EQUITY
SECURITIES (AND SELL TREASURY SHARES)
UNDER ANY SUCH OFFER OR AGREEMENT AS IF
THE AUTHORITY HAD NOT EXPIRED | | | | | | | | | |
| | 20 | FURTHER DISAPPLICATION OF PREEMPTION
RIGHTS: THAT SUBJECT TO THE PASSING OF
RESOLUTION 18, THE BOARD BE AUTHORISED, IN
ADDITION TO ANY AUTHORITY GRANTED UNDER
RESOLUTION 19, TO ALLOT EQUITY SECURITIES (AS
DEFINED IN THE 2006 ACT) FOR CASH UNDER THE
AUTHORITY GIVEN BY THAT RESOLUTION AND/OR
TO SELL ORDINARY SHARES HELD BY THE
COMPANY AS TREASURY SHARES FOR CASH AS IF
SECTION 561 OF THE 2006 ACT DID NOT APPLY TO
ANY SUCH ALLOTMENT OR SALE, SUCH AUTHORITY
TO BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY
SECURITIES OR SALE OF TREASURY SHARES UP
TO AN AGGREGATE NOMINAL AMOUNT OF GBP
24.8M; AND (B) USED ONLY FOR THE PURPOSES OF
FINANCING (OR REFINANCING, IF THE AUTHORITY
IS TO BE USED WITHIN SIX MONTHS AFTER THE
ORIGINAL TRANSACTION) A TRANSACTION WHICH
THE BOARD OF THE COMPANY DETERMINES TO BE
AN ACQUISITION OR OTHER CAPITAL INVESTMENT
OF A KIND CONTEMPLATED BY THE STATEMENT OF
PRINCIPLES ON DISAPPLYING PRE-EMPTION
RIGHTS MOST RECENTLY PUBLISHED BY THE
PREEMPTION GROUP PRIOR TO THE DATE OF THIS
NOTICE OF MEETING, SUCH AUTHORITY TO
EXPIRE AT THE END OF THE NEXT AGM OF THE
COMPANY (OR, IF EARLIER, AT THE CLOSE OF
BUSINESS ON 30 SEPTEMBER 2021), BUT, IN EACH
CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY
MAKE OFFERS, AND ENTER INTO AGREEMENTS,
WHICH WOULD, OR MIGHT, REQUIRE EQUITY
SECURITIES TO BE ALLOTTED (AND TREASURY
SHARES TO BE SOLD) AFTER THE AUTHORITY
EXPIRES AND THE BOARD MAY ALLOT EQUITY
SECURITIES (AND SELL TREASURY SHARES)
UNDER ANY SUCH OFFER OR AGREEMENT AS IF
THE AUTHORITY HAD NOT EXPIRED | Management | | For | | For | | |
| | 21 | AUTHORITY TO PURCHASE OWN SHARES: THAT
THE COMPANY HAS GENERAL AND
UNCONDITIONAL AUTHORITY TO MAKE MARKET
PURCHASES (AS DEFINED IN SECTION 693(4) OF
THE 2006 ACT) OF SHARES OF 5P EACH IN THE
COMPANY, SUBJECT TO THE FOLLOWING | Management | | For | | For | | |
| | | CONDITIONS: (A) THE MAXIMUM NUMBER OF
SHARES WHICH MAY BE PURCHASED IS 988
MILLION SHARES; (B) THE MINIMUM PRICE
(EXCLUDING EXPENSES) WHICH MAY BE PAID FOR
EACH SHARE IS 5P; (C) THE MAXIMUM PRICE
(EXCLUDING EXPENSES) WHICH THE COMPANY
MAY PAY FOR EACH SHARE CANNOT BE MORE
THAN THE HIGHER OF: (I) 105% OF THE AVERAGE
MARKET VALUE OF A SHARE IN THE COMPANY FOR
THE FIVE BUSINESS DAYS PRIOR TO THE DAY THE
PURCHASE IS MADE; OR (II) THE VALUE OF A
SHARE IN THE COMPANY CALCULATED ON THE
BASIS OF THE HIGHER OF THE PRICE QUOTED
FOR: (A) THE LAST INDEPENDENT TRADE OF; OR (B)
THE HIGHEST CURRENT INDEPENDENT BID FOR, IN
EACH INSTANCE ANY NUMBER OF SHARES IN THE
COMPANY ON THE TRADING VENUES WHERE THE
PURCHASE IS CARRIED OUT; AND (D) THIS
AUTHORITY EXPIRES AT THE END OF THE NEXT
AGM (OR, IF EARLIER, AT THE CLOSE OF BUSINESS
ON 30 SEPTEMBER 2021), EXCEPT IN RELATION TO
THE PURCHASE OF SHARES, THE CONTRACT FOR
WHICH WAS CONCLUDED BEFORE THE EXPIRY OF
THIS AUTHORITY AND WHICH MIGHT BE EXECUTED
WHOLLY OR PARTLY AFTER THAT EXPIRY | | | | | | | | | |
| | 22 | AUTHORITY TO CALL A GENERAL MEETING ON 14
DAYS' NOTICE: THAT THE COMPANY MAY CALL A
GENERAL MEETING (BUT NOT AN AGM) ON AT
LEAST 14 CLEAR DAYS' NOTICE | Management | | For | | For | | |
| | 23 | AUTHORITY FOR POLITICAL DONATIONS: THAT
BRITISH TELECOMMUNICATIONS PLC, A WHOLLY-
OWNED SUBSIDIARY OF THE COMPANY, BE
AUTHORISED TO MAKE POLITICAL DONATIONS TO
POLITICAL: (A) PARTIES AND/OR INDEPENDENT
ELECTION CANDIDATES NOT EXCEEDING GBP
75,000 IN TOTAL; AND (B) ORGANISATIONS OTHER
THAN POLITICAL PARTIES NOT EXCEEDING GBP
25,000 IN TOTAL DURING THE PERIOD BEGINNING
WITH THE DATE OF THE 2020 AGM AND ENDING AT
THE END OF THE DAY ON WHICH THE 2021 AGM IS
HELD. THE TERMS 'POLITICAL DONATION',
'POLITICAL PARTIES', 'INDEPENDENT ELECTION
CANDIDATES' AND 'POLITICAL ORGANISATION'
HAVE THE MEANINGS GIVEN BY SECTIONS 363 TO
365 OF THE 2006 ACT | Management | | For | | For | | |
| | 24 | EMPLOYEE SAVESHARE PLAN RULES: THAT THE
RULES OF THE BT GROUP PLC SAVESHARE PLAN
(THE SAVESHARE), THE PRINCIPAL TERMS OF
WHICH ARE SUMMARISED AT APPENDIX 1 TO THIS
NOTICE OF MEETING, BE APPROVED AND THE
DIRECTORS OF THE COMPANY BE AUTHORISED TO
DO ALL ACTS AND THINGS THEY CONSIDER
NECESSARY OR EXPEDIENT TO IMPLEMENT AND
GIVE EFFECT TO THE SAVESHARE | Management | | For | | For | | |
| | 25 | INTERNATIONAL EMPLOYEE SAVESHARE PLAN
RULES: THAT THE RULES OF THE BT GROUP PLC
INTERNATIONAL SAVESHARE PLAN (THE
INTERNATIONAL SAVESHARE), THE PRINCIPAL
TERMS OF WHICH ARE SUMMARISED AT APPENDIX
1 TO THIS NOTICE OF MEETING, BE APPROVED AND
THE DIRECTORS OF THE COMPANY BE
AUTHORISED TO DO ALL ACTS AND THINGS THEY
CONSIDER NECESSARY OR EXPEDIENT TO
IMPLEMENT AND GIVE EFFECT TO THE
INTERNATIONAL SAVESHARE, AND TO ESTABLISH
FURTHER PLANS BASED ON THE INTERNATIONAL
SAVESHARE BUT MODIFIED TO TAKE ACCOUNT OF
LOCAL TAX, EXCHANGE CONTROL OR SECURITIES
LAWS IN OVERSEAS TERRITORIES, PROVIDED
THAT ANY SHARES MADE AVAILABLE UNDER ANY
FURTHER SUCH PLANS WILL COUNT AGAINST ANY
LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION
IN THE INTERNATIONAL SAVESHARE | Management | | For | | For | | |
| | 26 | EMPLOYEE STOCK PURCHASE PLAN RULES: THAT
THE RULES OF THE BT GROUP PLC EMPLOYEE
STOCK PURCHASE PLAN (THE ESPP), THE
PRINCIPAL TERMS OF WHICH ARE SUMMARISED AT
APPENDIX 1 TO THIS NOTICE OF MEETING, BE
APPROVED AND THE DIRECTORS OF THE
COMPANY BE AUTHORISED TO DO ALL ACTS AND
THINGS THEY CONSIDER NECESSARY OR
EXPEDIENT TO IMPLEMENT AND GIVE EFFECT TO
THE ESPP | Management | | For | | For | | |
| | 27 | RESTRICTED SHARE PLAN RULES: THAT THE
RULES OF THE BT GROUP PLC RESTRICTED SHARE
PLAN (THE RSP), THE PRINCIPAL TERMS OF WHICH
ARE SUMMARISED AT APPENDIX 1 TO THIS NOTICE
OF MEETING, BE APPROVED AND THE DIRECTORS
OF THE COMPANY BE AUTHORISED TO DO ALL
ACTS AND THINGS THEY CONSIDER NECESSARY
OR EXPEDIENT TO IMPLEMENT AND GIVE EFFECT
TO THE RSP, AND TO ESTABLISH FURTHER PLANS
BASED ON THE RSP BUT MODIFIED TO TAKE
ACCOUNT OF LOCAL TAX, EXCHANGE CONTROL OR
SECURITIES LAWS IN OVERSEAS TERRITORIES,
PROVIDED THAT ANY SHARES MADE AVAILABLE
UNDER ANY FURTHER SUCH PLANS WILL COUNT
AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL
PARTICIPATION IN THE RSP | Management | | For | | For | | |
| | 28 | DEFERRED BONUS PLAN RULES: THAT THE RULES
OF THE BT GROUP PLC DEFERRED BONUS PLAN
(THE DBP), THE PRINCIPAL TERMS OF WHICH ARE
SUMMARISED AT APPENDIX 1 TO THIS NOTICE OF
MEETING, BE APPROVED AND THE DIRECTORS OF
THE COMPANY BE AUTHORISED TO DO ALL ACTS
AND THINGS THEY CONSIDER NECESSARY OR
EXPEDIENT TO IMPLEMENT AND GIVE EFFECT TO
THE DBP, AND TO ESTABLISH FURTHER PLANS
BASED ON THE DBP BUT MODIFIED TO TAKE | Management | | For | | For | | |
| | | ACCOUNT OF LOCAL TAX, EXCHANGE CONTROL OR
SECURITIES LAWS IN OVERSEAS TERRITORIES,
PROVIDED THAT ANY SHARES MADE AVAILABLE
UNDER ANY FURTHER SUCH PLANS WILL COUNT
AGAINST ANY LIMITS ON INDIVIDUAL OR OVERALL
PARTICIPATION IN THE DBP | | | | | | | | | |
| | 29 | ARTICLES OF ASSOCIATION: THAT, WITH EFFECT
FROM THE CONCLUSION OF THE AGM, THE NEW
ARTICLES OF ASSOCIATION OF THE COMPANY,
PRODUCED TO THE AGM AND INITIALED BY THE
CHAIR OF THE AGM FOR THE PURPOSE OF
IDENTIFICATION, BE ADOPTED AS THE ARTICLES
OF ASSOCIATION OF THE COMPANY, IN
SUBSTITUTION FOR, AND TO THE EXCLUSION OF,
THE EXISTING ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | BOOZ ALLEN HAMILTON HOLDING CORPORATION | | |
| | Security | 099502106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BAH | | | | | | Meeting Date | 29-Jul-2020 | |
| | ISIN | US0995021062 | | | | | | Agenda | 935238508 - Management |
| | Record Date | 08-Jun-2020 | | | | | | Holding Recon Date | 08-Jun-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 28-Jul-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Ralph W. Shrader | Management | | For | | For | | |
| | 1B. | Election of Director: Joan Lordi C. Amble | Management | | For | | For | | |
| | 1C. | Election of Director: Michèle A. Flournoy | Management | | For | | For | | |
| | 2. | Ratification of the appointment of Ernst & Young LLP as
the Company's registered independent public
accountants for fiscal year 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve the compensation of the
Company's named executive officers. | Management | | For | | For | | |
| | 4. | Approval of the adoption of the Fifth Amended and
Restated Certificate of Incorporation to, among other
things, eliminate classification of the Board of Directors. | Management | | For | | For | | |
| | MCKESSON CORPORATION | | |
| | Security | 58155Q103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MCK | | | | | | Meeting Date | 29-Jul-2020 | |
| | ISIN | US58155Q1031 | | | | | | Agenda | 935239182 - Management |
| | Record Date | 01-Jun-2020 | | | | | | Holding Recon Date | 01-Jun-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 28-Jul-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for a one-year term: Dominic J.
Caruso | Management | | For | | For | | |
| | 1B. | Election of Director for a one-year term: N. Anthony
Coles, M.D. | Management | | For | | For | | |
| | 1C. | Election of Director for a one-year term: M. Christine
Jacobs | Management | | For | | For | | |
| | 1D. | Election of Director for a one-year term: Donald R.
Knauss | Management | | For | | For | | |
| | 1E. | Election of Director for a one-year term: Marie L. Knowles | Management | | For | | For | | |
| | 1F. | Election of Director for a one-year term: Bradley E.
Lerman | Management | | For | | For | | |
| | 1G. | Election of Director for a one-year term: Maria Martinez | Management | | For | | For | | |
| | 1H. | Election of Director for a one-year term: Edward A.
Mueller | Management | | For | | For | | |
| | 1I. | Election of Director for a one-year term: Susan R. Salka | Management | | For | | For | | |
| | 1J. | Election of Director for a one-year term: Brian S. Tyler | Management | | For | | For | | |
| | 1K. | Election of Director for a one-year term: Kenneth E.
Washington, Ph.D. | Management | | For | | For | | |
| | 2. | Ratification of the appointment of Deloitte & Touche LLP
as the company's independent registered public
accounting firm for the fiscal year ending March 31, 2021. | Management | | For | | For | | |
| | 3. | Advisory vote on executive compensation. | Management | | For | | For | | |
| | 4. | Shareholder proposal on action by written consent of
shareholders. | Shareholder | | Against | | For | | |
| | 5. | Shareholder proposal on disclosure of lobbying activities
and expenditures. | Shareholder | | Against | | For | | |
| | 6. | Shareholder proposal on statement of purpose of a
corporation. | Shareholder | | Against | | For | | |
| | HITACHI,LTD. | | |
| | Security | J20454112 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 30-Jul-2020 | |
| | ISIN | JP3788600009 | | | | | | Agenda | 712915480 - Management |
| | Record Date | 28-May-2020 | | | | | | Holding Recon Date | 28-May-2020 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 28-Jul-2020 | |
| | SEDOL(s) | 5675726 - 6429104 - B02DZQ7 | | | | Quick Code | 65010 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | The Transfer Agent in Japan for this event requires it be
registered as an-"EGM" though the event will be
conducted as an "AGM" | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Ihara, Katsumi | Management | | For | | For | | |
| | 1.2 | Appoint a Director Ravi Venkatesan | Management | | For | | For | | |
| | 1.3 | Appoint a Director Cynthia Carroll | Management | | For | | For | | |
| | 1.4 | Appoint a Director Joe Harlan | Management | | For | | For | | |
| | 1.5 | Appoint a Director George Buckley | Management | | For | | For | | |
| | 1.6 | Appoint a Director Louise Pentland | Management | | For | | For | | |
| | 1.7 | Appoint a Director Mochizuki, Harufumi | Management | | For | | For | | |
| | 1.8 | Appoint a Director Yamamoto, Takatoshi | Management | | For | | For | | |
| | 1.9 | Appoint a Director Yoshihara, Hiroaki | Management | | For | | For | | |
| | 1.10 | Appoint a Director Helmuth Ludwig | Management | | For | | For | | |
| | 1.11 | Appoint a Director Seki, Hideaki | Management | | For | | For | | |
| | 1.12 | Appoint a Director Nakanishi, Hiroaki | Management | | For | | For | | |
| | 1.13 | Appoint a Director Higashihara, Toshiaki | Management | | For | | For | | |
| | TOSHIBA CORPORATION | | |
| | Security | J89752117 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 31-Jul-2020 | |
| | ISIN | JP3592200004 | | | | | | Agenda | 712939896 - Management |
| | Record Date | 15-May-2020 | | | | | | Holding Recon Date | 15-May-2020 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 29-Jul-2020 | |
| | SEDOL(s) | 0897439 - 6897217 - B1H51J0 -
BYW3ZB0 | | | | Quick Code | 65020 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | The Transfer Agent in Japan for this event requires it be
registered as an-"EGM" though the event will be
conducted as an "AGM" | Non-Voting | | | | | | |
| | 1 | Amend Articles to: Approve Minor Revisions | Management | | For | | For | | |
| | 2.1 | Appoint a Director Tsunakawa, Satoshi | Management | | For | | For | | |
| | 2.2 | Appoint a Director Kurumatani, Nobuaki | Management | | For | | For | | |
| | 2.3 | Appoint a Director Furuta, Yuki | Management | | For | | For | | |
| | 2.4 | Appoint a Director Ota, Junji | Management | | For | | For | | |
| | 2.5 | Appoint a Director Kobayashi, Nobuyuki | Management | | For | | For | | |
| | 2.6 | Appoint a Director Yamauchi, Takashi | Management | | For | | For | | |
| | 2.7 | Appoint a Director Fujimori, Yoshiaki | Management | | For | | For | | |
| | 2.8 | Appoint a Director Paul J. Brough | Management | | For | | For | | |
| | 2.9 | Appoint a Director Ayako Hirota Weissman | Management | | For | | For | | |
| | 2.10 | Appoint a Director Jerome Thomas Black | Management | | For | | For | | |
| | 2.11 | Appoint a Director George Raymond Zage III | Management | | For | | For | | |
| | 2.12 | Appoint a Director Nagayama, Osamu | Management | | For | | For | | |
| | 3.1 | Shareholder Proposal: Appoint a Director Allen Chu | Shareholder | | Against | | For | | |
| | 3.2 | Shareholder Proposal: Appoint a Director Shimizu, Yuya | Shareholder | | Against | | For | | |
| | 4.1 | Shareholder Proposal: Appoint a Director Takeuchi, Akira | Shareholder | | Against | | For | | |
| | 4.2 | Shareholder Proposal: Appoint a Director Sugiyama,
Tadaaki | Shareholder | | Against | | For | | |
| | 4.3 | Shareholder Proposal: Appoint a Director Imai, Yoichiro | Shareholder | | Against | | For | | |
| | FISHER & PAYKEL HEALTHCARE CORPORATION LTD | | |
| | Security | Q38992105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 21-Aug-2020 | |
| | ISIN | NZFAPE0001S2 | | | | | | Agenda | 712960625 - Management |
| | Record Date | 19-Aug-2020 | | | | | | Holding Recon Date | 19-Aug-2020 | |
| | City / | Country | AUCKLA
ND | / | New
Zealand | | | | | Vote Deadline Date | 18-Aug-2020 | |
| | SEDOL(s) | 6340250 - 6423968 - B00MWQ5 -
B01VMQ1 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | THAT PIP GREENWOOD BE RE ELECTED A S A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 2 | THAT GERALDINE MCBRIDE BE RE ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 3 | THAT THE DIRECTORS BE AUTHORISED TO FIX THE
FEES AND EXPENSES OF
PRICEWATERHOUSECOOPERS AS THE COMPANYS
AUDITOR | Management | | For | | For | | |
| | 4 | THAT THE MAXIMUM AGGREGATE ANNUAL
REMUNERATION PAYABLE TO NON-EXECUTIVE
DIRECTO RS BE INCREASED BY NZD 405,000 FROM
NZD 1,050,000 TO NZD 1,455,000 (PLUS GST AS
APPROPRIATE) | Management | | For | | For | | |
| | 5 | THAT APPROVAL BE GIVEN FOR THE ISSUE OF UP
TO 60,000 PERFORMANCE SHARE RIGHTS UNDER
THE FISHER AND PAYKEL 2019 PERFORMANCE
SHARE RIGHTS PLAN TO LEWIS GRADON
MANAGING DIRECTOR AND CHIEF EXECUTIVE
OFFICER OF THE COMPANY | Management | | For | | For | | |
| | 6 | THAT APPROVAL BE GIVEN FOR THE ISSUE OF UP
TO 190,000 OPTIONS UNDER THE FISHER AND
PAYKEL HEALTHCARE 2019 SHARE OPTION PLAN
TO LEWIS GRADON MANAGING DIRECTOR AND
CHIEF EXECUTIVE OFFICER OF THE COMPANY | Management | | For | | For | | |
| | 7 | THAT THE 2019 PERFORMANCE SHARE RIGHTS
PLAN RULES NORTH AMERICAN PLAN AND THE
2019 SHARE OPTION PLAN RULES NORTH
AMERICAN PLAN BE APPROVED | Management | | For | | For | | |
| | CMMT | 14 AUG 2020: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF THE-TEXT OF
RESOLUTION 3. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT-VOTE AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | DEUTSCHE POST AG | | |
| | Security | D19225107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 27-Aug-2020 | |
| | ISIN | DE0005552004 | | | | | | Agenda | 712954317 - Management |
| | Record Date | 20-Aug-2020 | | | | | | Holding Recon Date | 20-Aug-2020 | |
| | City / | Country | BONN | / | Germany | | | | | Vote Deadline Date | 17-Aug-2020 | |
| | SEDOL(s) | 4617859 - B0ZKVD4 - BF0Z6X4 -
BHZLDY1 - BTDY3J1 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS | Non-Voting | | | | | | |
| | | HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL. | | | | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE. | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL 2019 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 1.15 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL 2019 | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL 2019 | Management | | For | | For | | |
| | 5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR FISCAL 2020 | Management | | For | | For | | |
| | 6.1 | ELECT JOERG KUKIES TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.2 | ELECT LAWRENCE ROSEN TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 7 | APPROVE STOCK OPTION PLAN FOR KEY
EMPLOYEES APPROVE CREATION OF EUR 12
MILLION POOL OF CONDITIONAL CAPITAL TO
GUARANTEE CONVERSION RIGHTS | Management | | For | | For | | |
| | 8 | APPROVE ISSUANCE OF WARRANTS/BONDS WITH
WARRANTS ATTACHED/CONVERTIBLE BONDS
WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE
NOMINAL AMOUNT OF EUR 1.5 BILLION APPROVE
CREATION OF EUR 40 MILLION POOL OF CAPITAL
TO GUARANTEE CONVERSION RIGHTS | Management | | For | | For | | |
| | 9.1 | AMEND ARTICLES RE: ONLINE PARTICIPATION | Management | | For | | For | | |
| | 9.2 | AMEND ARTICLES RE: INTERIM DIVIDEND | Management | | For | | For | | |
| | CMMT | 04 AUGUST 2020: PLEASE NOTE THAT THIS IS A
REVISION DUE TO CHANGE IN TEXT OF-
RESOLUTION 7. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT VOTE-AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | FRESENIUS SE & CO. KGAA | | |
| | Security | D27348263 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 28-Aug-2020 | |
| | ISIN | DE0005785604 | | | | | | Agenda | 712956741 - Management |
| | Record Date | 06-Aug-2020 | | | | | | Holding Recon Date | 06-Aug-2020 | |
| | City / | Country | BAD
HOMBUR
G V D H | / | Germany | | | | | Vote Deadline Date | 20-Aug-2020 | |
| | SEDOL(s) | 4352097 - B28H8N5 - BD3VR65 -
BF0Z6Z6 - BF29XZ5 - BHZLGP3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE
FOUND DIRECTLY ON THE ISSUER'S-WEBSITE
(PLEASE REFER TO THE MATERIAL URL SECTION
OF THE APPLICATION). IF YOU-WISH TO ACT ON
THESE ITEMS, YOU WILL NEED TO REQUEST A
MEETING ATTEND AND-VOTE YOUR SHARES
DIRECTLY AT THE COMPANY'S MEETING. COUNTER
PROPOSALS CANNOT-BE REFLECTED ON THE
BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-
ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING
OPTION ON THIS MEETING | Non-Voting | | | | | | |
| | 1 | RESOLUTION ON THE APPROVAL OF THE ANNUAL
FINANCIAL STATEMENTS OF FRESENIUS SE & CO.
KGAA FOR THE FISCAL YEAR 2019 | Management | | For | | For | | |
| | 2 | RESOLUTION ON THE ALLOCATION OF THE
DISTRIBUTABLE PROFIT: DIVIDENDS OF EUR 0.84
PER SHARE | Management | | For | | For | | |
| | 3 | RESOLUTION ON THE APPROVAL OF THE ACTIONS
OF THE GENERAL PARTNER FOR THE FISCAL YEAR
2019 | Management | | For | | For | | |
| | 4 | RESOLUTION ON THE APPROVAL OF THE ACTIONS
OF THE SUPERVISORY BOARD FOR THE FISCAL
YEAR 2019 | Management | | For | | For | | |
| | 5 | ELECTION OF THE AUDITOR AND GROUP AUDITOR
FOR THE FISCAL YEAR 2020 AND OF THE AUDITOR
FOR THE POTENTIAL REVIEW OF FINANCIAL
INFORMATION DURING THE COURSE OF THE YEAR:
PRICEWATERHOUSECOOPERS GMBH | Management | | For | | For | | |
| | 6 | REQUEST FOR APPROVAL OF THE AMENDMENT TO
ARTICLE 15 (2) OF THE ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | FEDEX CORPORATION | | |
| | Security | 31428X106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FDX | | | | | | Meeting Date | 21-Sep-2020 | |
| | ISIN | US31428X1063 | | | | | | Agenda | 935258346 - Management |
| | Record Date | 27-Jul-2020 | | | | | | Holding Recon Date | 27-Jul-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 18-Sep-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: MARVIN R. ELLISON | Management | | For | | For | | |
| | 1B. | Election of Director: SUSAN PATRICIA GRIFFITH | Management | | For | | For | | |
| | 1C. | Election of Director: JOHN C. ("CHRIS") INGLIS | Management | | For | | For | | |
| | 1D. | Election of Director: KIMBERLY A. JABAL | Management | | For | | For | | |
| | 1E. | Election of Director: SHIRLEY ANN JACKSON | Management | | For | | For | | |
| | 1F. | Election of Director: R. BRAD MARTIN | Management | | For | | For | | |
| | 1G. | Election of Director: JOSHUA COOPER RAMO | Management | | For | | For | | |
| | 1H. | Election of Director: SUSAN C. SCHWAB | Management | | For | | For | | |
| | 1I. | Election of Director: FREDERICK W. SMITH | Management | | For | | For | | |
| | 1J. | Election of Director: DAVID P. STEINER | Management | | For | | For | | |
| | 1K. | Election of Director: RAJESH SUBRAMANIAM | Management | | For | | For | | |
| | 1L. | Election of Director: PAUL S. WALSH | Management | | For | | For | | |
| | 2. | Advisory vote to approve named executive officer
compensation. | Management | | For | | For | | |
| | 3. | Ratify the appointment of Ernst & Young LLP as FedEx's
independent registered public accounting firm for fiscal
year 2021. | Management | | For | | For | | |
| | 4. | Stockholder proposal regarding lobbying activity and
expenditure report. | Shareholder | | Against | | For | | |
| | 5. | Stockholder proposal regarding political disclosure. | Shareholder | | Against | | For | | |
| | 6. | Stockholder proposal regarding employee representation
on the Board of Directors. | Shareholder | | Against | | For | | |
| | 7. | Stockholder proposal regarding shareholder right to act
by written consent. | Shareholder | | For | | Against | | |
| | 8. | Stockholder proposal regarding integrating ESG metrics
into executive compensation. | Shareholder | | Against | | For | | |
| | BARRATT DEVELOPMENTS PLC | | |
| | Security | G08288105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 14-Oct-2020 | |
| | ISIN | GB0000811801 | | | | | | Agenda | 713130716 - Management |
| | Record Date | | | | | | | Holding Recon Date | 12-Oct-2020 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 06-Oct-2020 | |
| | SEDOL(s) | 0081180 - B01DDJ7 - B282Z17 -
BKT1Z86 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | TO RECEIVE THE AUDITOR'S AND DIRECTORS'
REPORTS, THE STRATEGIC REPORT AND THE
ACCOUNTS FOR THE YEAR ENDED 30 JUNE 2020 | Management | | For | | For | | |
| | 2 | TO APPROVE THE DIRECTORS' REMUNERATION
REPORT FOR THE YEAR ENDED 30 JUNE 2020
(EXCLUDING THE DIRECTORS' REMUNERATION
POLICY) | Management | | For | | For | | |
| | 3 | TO APPROVE THE DIRECTORS' REMUNERATION
POLICY | Management | | For | | For | | |
| | 4 | TO RE-ELECT JOHN ALLAN AS A DIRECTOR OF THE
COMPANY | Management | | For | | For | | |
| | 5 | TO RE-ELECT DAVID THOMAS AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 6 | TO RE-ELECT STEVEN BOYES AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 7 | TO RE-ELECT JESSICA WHITE AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 8 | TO RE-ELECT RICHARD AKERS AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 9 | TO RE-ELECT NINA BIBBY AS A DIRECTOR OF THE
COMPANY | Management | | For | | For | | |
| | 10 | TO RE-ELECT JOCK LENNOX AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 11 | TO RE-ELECT SHARON WHITE AS A DIRECTOR OF
THE COMPANY | Management | | For | | For | | |
| | 12 | TO RE-APPOINT DELOITTE LLP AS THE AUDITOR OF
THE COMPANY | Management | | For | | For | | |
| | 13 | TO AUTHORISE THE AUDIT COMMITTEE TO FIX THE
AUDITOR'S REMUNERATION | Management | | For | | For | | |
| | 14 | TO AUTHORISE THE COMPANY TO MAKE POLITICAL
DONATIONS AND INCUR POLITICAL EXPENDITURE | Management | | For | | For | | |
| | 15 | TO AUTHORISE THE BOARD TO ALLOT SHARES AND
GRANT SUBSCRIPTION/CONVERSION RIGHTS OVER
SHARES | Management | | For | | For | | |
| | 16 | TO AUTHORISE THE BOARD TO ALLOT OR SELL
ORDINARY SHARES WITHOUT COMPLYING WITH
PRE-EMPTION RIGHTS | Management | | For | | For | | |
| | 17 | TO AUTHORISE THE COMPANY TO MAKE MARKET
PURCHASES OF ITS ORDINARY SHARES | Management | | For | | For | | |
| | 18 | TO ALLOW THE COMPANY TO HOLD GENERAL
MEETINGS, OTHER THAN AN ANNUAL GENERAL
MEETING, ON NOT LESS THAN 14 CLEAR DAYS'
NOTICE | Management | | For | | For | | |
| | 19 | TO ADOPT NEW ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | BHP GROUP PLC | | |
| | Security | G10877127 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 15-Oct-2020 | |
| | ISIN | GB00BH0P3Z91 | | | | | | Agenda | 713126541 - Management |
| | Record Date | | | | | | | Holding Recon Date | 13-Oct-2020 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 07-Oct-2020 | |
| | SEDOL(s) | BH0P3Z9 - BHM13N3 - BYWQG94 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | FINANCIAL STATEMENTS AND REPORTS | Management | | For | | For | | |
| | 2 | TO REAPPOINT ERNST & YOUNG LLP AS THE
AUDITOR OF BHP GROUP PLC | Management | | For | | For | | |
| | 3 | TO AUTHORISE THE RISK AND AUDIT COMMITTEE
TO AGREE THE REMUNERATION OF ERNST &
YOUNG LLP AS THE AUDITOR OF BHP GROUP PLC | Management | | For | | For | | |
| | 4 | GENERAL AUTHORITY TO ISSUE SHARES IN BHP
GROUP PLC | Management | | For | | For | | |
| | 5 | ISSUING SHARES IN BHP GROUP PLC FOR CASH | Management | | For | | For | | |
| | 6 | REPURCHASE OF SHARES IN BHP GROUP PLC | Management | | For | | For | | |
| | 7 | APPROVAL OF THE REMUNERATION REPORT
OTHER THAN THE PART CONTAINING THE
DIRECTORS' REMUNERATION POLICY | Management | | For | | For | | |
| | 8 | APPROVAL OF THE REMUNERATION REPORT | Management | | For | | For | | |
| | 9 | APPROVAL OF GRANT TO THE EXECUTIVE
DIRECTOR | Management | | For | | For | | |
| | 10 | APPROVAL OF LEAVING ENTITLEMENTS | Management | | For | | For | | |
| | 11 | TO ELECT XIAOQUN CLEVER AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 12 | TO ELECT GARY GOLDBERG AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 13 | TO ELECT MIKE HENRY AS A DIRECTOR OF BHP | Management | | For | | For | | |
| | 14 | TO ELECT CHRISTINE O'REILLY AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 15 | TO ELECT DION WEISLER AS A DIRECTOR OF BHP | Management | | For | | For | | |
| | 16 | TO RE-ELECT TERRY BOWEN AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 17 | TO RE-ELECT MALCOLM BROOMHEAD AS A
DIRECTOR OF BHP | Management | | For | | For | | |
| | 18 | TO RE-ELECT IAN COCKERILL AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 19 | TO RE-ELECT ANITA FREW AS A DIRECTOR OF BHP | Management | | For | | For | | |
| | 20 | TO RE-ELECT SUSAN KILSBY AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 21 | TO RE-ELECT JOHN MOGFORD AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | 22 | TO RE-ELECT KEN MACKENZIE AS A DIRECTOR OF
BHP | Management | | For | | For | | |
| | CMMT | ITEMS 24 AND 25 WILL BE VALID RESOLUTIONS
ONLY IF ITEM 23 IS APPROVED BY THE-REQUIRED
MAJORITY - THAT IS, THE VALIDITY OF ITEMS 24
AND 25 IS CONDITIONAL-ON ITEM 23 BEING PASSED | Non-Voting | | | | | | |
| | 23 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: AMENDMENT TO THE
CONSTITUTION OF BHP GROUP LIMITED | Shareholder | | Against | | For | | |
| | 24 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: CULTURAL HERITAGE
PROTECTION | Shareholder | | Abstain | | Against | | |
| | 25 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: LOBBYING RELATED
TO COVID-19 RECOVERY | Shareholder | | Against | | For | | |
| | AGEAS NV | | |
| | Security | B0148L138 | | | | | | Meeting Type | Special General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 22-Oct-2020 | |
| | ISIN | BE0974264930 | | | | | | Agenda | 713146048 - Management |
| | Record Date | 08-Oct-2020 | | | | | | Holding Recon Date | 08-Oct-2020 | |
| | City / | Country | BRUXEL
LES | / | Belgium | | | | | Vote Deadline Date | 14-Oct-2020 | |
| | SEDOL(s) | B7LPN14 - B83F4Z0 - B86S2N0 -
BFM6L74 - BHZL7R2 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | 2 | PROPOSAL TO ADOPT AN INTERMEDIARY GROSS
DIVIDEND FOR THE 2019 FINANCIAL YEAR OF EUR
2.38 PER AGEAS SA/NV SHARE; THE DIVIDEND WILL
BE PAYABLE AS FROM 5 NOVEMBER 2020. THE
DIVIDEND WILL BE FUNDED THROUGH
DISTRIBUTABLE RESERVES | Management | | For | | For | | |
| | 3 | PROPOSAL TO APPOINT MR. HANS DE CUYPER AS
A NON-INDEPENDENT MEMBER OF THE BOARD OF
DIRECTORS OF THE COMPANY, UNTIL THE CLOSE
OF THE ORDINARY GENERAL MEETING OF
SHAREHOLDERS IN 2024. MR. HANS DE CUYPER
WILL HOLD THE TITLE OF CHIEF EXECUTIVE
OFFICER IN ACCORDANCE WITH THE ARTICLES OF
ASSOCIATION. THIS PROPOSAL IS SUBJECT TO
APPROVAL OF THE NOMINATION BY THE NATIONAL
BANK OF BELGIUM | Management | | For | | For | | |
| | 4 | PROPOSAL TO POSITION THE BASE
COMPENSATION OF THE CEO OF AGEAS WITHIN A
RANGE OF EUR 650.000 TO EUR 900.000
GROSS/YEAR AND TO FIX IT AS OF 1 NOVEMBER
2020, AT EUR 650.000 /YEAR WITH A STI ON TARGET
OF 50% AND A LTI OF 45%. THE WEIGHT OF THE
COMPONENTS TO DETERMINE THE STI WILL BE
AGEAS KPI'S (70%) AND INDIVIDUAL KPI'S (30%) | Management | | For | | For | | |
| | 5 | PROPOSAL TO SET THE TRANSITION FEE OF MR.
JOZEF DE MEY AT EUR 100.000 | Management | | Against | | Against | | |
| | SEAGATE TECHNOLOGY PLC | | |
| | Security | G7945M107 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | STX | | | | | | Meeting Date | 22-Oct-2020 | |
| | ISIN | IE00B58JVZ52 | | | | | | Agenda | 935267016 - Management |
| | Record Date | 24-Aug-2020 | | | | | | Holding Recon Date | 24-Aug-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 21-Oct-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Mark W. Adams | Management | | For | | For | | |
| | 1B. | Election of Director: Judy Bruner | Management | | For | | For | | |
| | 1C. | Election of Director: Michael R. Cannon | Management | | For | | For | | |
| | 1D. | Election of Director: William T. Coleman | Management | | For | | For | | |
| | 1E. | Election of Director: Jay L. Geldmacher | Management | | For | | For | | |
| | 1F. | Election of Director: Dylan G. Haggart | Management | | For | | For | | |
| | 1G. | Election of Director: Stephen J. Luczo | Management | | For | | For | | |
| | 1H. | Election of Director: William D. Mosley | Management | | For | | For | | |
| | 1I. | Election of Director: Stephanie Tilenius | Management | | For | | For | | |
| | 1J. | Election of Director: Edward J. Zander | Management | | For | | For | | |
| | 2. | Approve, in an advisory, non binding vote, the
compensation of the Company's named executive
officers ("Say-on-Pay"). | Management | | For | | For | | |
| | 3. | Ratify, in an advisory, non-binding vote, the appointment
of Ernst & Young LLP as the independent auditors of the
Company for fiscal year 2021, and to authorize, in a
binding vote, the Audit Committee of the Company's
Board of Directors to set the auditors' remuneration. | Management | | For | | For | | |
| | 4. | In accordance with Irish law, determine the price range at
which the Company can re-allot shares that it holds as
treasury shares. | Management | | For | | For | | |
| | ORACLE CORPORATION | | |
| | Security | 68389X105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ORCL | | | | | | Meeting Date | 04-Nov-2020 | |
| | ISIN | US68389X1054 | | | | | | Agenda | 935274554 - Management |
| | Record Date | 08-Sep-2020 | | | | | | Holding Recon Date | 08-Sep-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 03-Nov-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Jeffrey S. Berg | | | | For | | For | | |
| | | 2 | Michael J. Boskin | | | | For | | For | | |
| | | 3 | Safra A. Catz | | | | For | | For | | |
| | | 4 | Bruce R. Chizen | | | | For | | For | | |
| | | 5 | George H. Conrades | | | | For | | For | | |
| | | 6 | Lawrence J. Ellison | | | | For | | For | | |
| | | 7 | Rona A. Fairhead | | | | For | | For | | |
| | | 8 | Jeffrey O. Henley | | | | For | | For | | |
| | | 9 | Renee J. James | | | | For | | For | | |
| | | 10 | Charles W. Moorman IV | | | | For | | For | | |
| | | 11 | Leon E. Panetta | | | | For | | For | | |
| | | 12 | William G. Parrett | | | | For | | For | | |
| | | 13 | Naomi O. Seligman | | | | For | | For | | |
| | | 14 | Vishal Sikka | | | | For | | For | | |
| | 2. | Advisory Vote to Approve Compensation of Named
Executive Officers. | Management | | Against | | Against | | |
| | 3. | Approve the Oracle Corporation 2020 Equity Incentive
Plan. | Management | | For | | For | | |
| | 4. | Ratification of Selection of Independent Registered Public
Accounting Firm. | Management | | For | | For | | |
| | 5. | Stockholder Proposal Regarding Pay Equity Report. | Shareholder | | For | | Against | | |
| | 6. | Stockholder Proposal Regarding Independent Board
Chair. | Shareholder | | Against | | For | | |
| | CARDINAL HEALTH, INC. | | |
| | Security | 14149Y108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CAH | | | | | | Meeting Date | 04-Nov-2020 | |
| | ISIN | US14149Y1082 | | | | | | Agenda | 935274631 - Management |
| | Record Date | 08-Sep-2020 | | | | | | Holding Recon Date | 08-Sep-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 03-Nov-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Carrie S. Cox | Management | | For | | For | | |
| | 1B. | Election of Director: Calvin Darden | Management | | For | | For | | |
| | 1C. | Election of Director: Bruce L. Downey | Management | | For | | For | | |
| | 1D. | Election of Director: Sheri H. Edison | Management | | For | | For | | |
| | 1E. | Election of Director: David C. Evans | Management | | For | | For | | |
| | 1F. | Election of Director: Patricia A. Hemingway Hall | Management | | For | | For | | |
| | 1G. | Election of Director: Akhil Johri | Management | | For | | For | | |
| | 1H. | Election of Director: Michael C. Kaufmann | Management | | For | | For | | |
| | 1I. | Election of Director: Gregory B. Kenny | Management | | For | | For | | |
| | 1J. | Election of Director: Nancy Killefer | Management | | For | | For | | |
| | 1K. | Election of Director: J. Michael Losh | Management | | For | | For | | |
| | 1L. | Election of Director: Dean A. Scarborough | Management | | For | | For | | |
| | 1M. | Election of Director: John H. Weiland | Management | | For | | For | | |
| | 2. | To ratify the appointment of Ernst & Young LLP as our
independent auditor for the fiscal year ending June 30,
2021. | Management | | For | | For | | |
| | 3. | To approve, on a non-binding advisory basis, the
compensation of our named executive officers. | Management | | Against | | Against | | |
| | 4. | To approve an amendment to our Restated Code of
Regulations to reduce the share ownership threshold for
calling a special meeting of shareholders. | Management | | For | | For | | |
| | 5. | Shareholder proposal to reduce the share ownership
threshold for calling a special meeting of shareholders, if
properly presented. | Shareholder | | Against | | For | | |
| | 6. | Shareholder proposal to adopt a policy that the chairman
of the board be an independent director, if properly
presented. | Shareholder | | Against | | For | | |
| | WESFARMERS LTD | | |
| | Security | Q95870103 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 12-Nov-2020 | |
| | ISIN | AU000000WES1 | | | | | | Agenda | 713146682 - Management |
| | Record Date | 10-Nov-2020 | | | | | | Holding Recon Date | 10-Nov-2020 | |
| | City / | Country | VIRTUAL
MEETIN
G | / | Australia | | | | | Vote Deadline Date | 06-Nov-2020 | |
| | SEDOL(s) | 6948836 - B02Q6J6 - B1HHPQ1 -
BHZKQZ0 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR
PROPOSALS 3 TO 5 AND VOTES CAST-BY ANY
INDIVIDUAL OR RELATED PARTY WHO BENEFIT
FROM THE PASSING OF THE-PROPOSAL/S WILL BE
DISREGARDED BY THE COMPANY. HENCE, IF YOU
HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN
FUTURE BENEFIT (AS REFERRED IN THE COMPANY-
ANNOUNCEMENT) VOTE ABSTAIN ON THE
RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-
ACKNOWLEDGE THAT YOU HAVE OBTAINED
BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE-
PASSING OF THE RELEVANT PROPOSAL/S. BY
VOTING (FOR OR AGAINST) ON THE ABOVE-
MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE
THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER
EXPECT TO OBTAIN BENEFIT BY THE PASSING OF
THE RELEVANT PROPOSAL/S-AND YOU COMPLY
WITH THE VOTING EXCLUSION | Non-Voting | | | | | | |
| | 1 | FINANCIAL STATEMENTS AND REPORTS | Non-Voting | | | | | | |
| | 2 | TO CONSIDER AND, IF THOUGHT FIT, APPROVE THE
RE-ELECTION OF MR MICHAEL ALFRED CHANEY
AO, WHO RETIRES BY ROTATION IN ACCORDANCE
WITH WESFARMERS' CONSTITUTION AND THE ASX
LISTING RULES, AND BEING ELIGIBLE, OFFERS
HIMSELF FOR RE-ELECTION MR CHANEY'S RE-
ELECTION WILL BE VOTED ON AS AN ORDINARY
RESOLUTION. MS DIANE LEE SMITH-GANDER AO
WILL RETIRE AS A DIRECTOR AT THE CONCLUSION
OF THE AGM AND WILL NOT BE SEEKING RE-
ELECTION | Management | | For | | For | | |
| | 3 | ADOPTION OF THE REMUNERATION REPORT | Management | | For | | For | | |
| | 4 | GRANT OF KEEPP DEFERRED SHARES AND KEEPP
PERFORMANCE SHARES TO THE GROUP
MANAGING DIRECTOR | Management | | For | | For | | |
| | 5 | GRANT OF ADDITIONAL PERFORMANCE-TESTED
SHARES TO THE GROUP MANAGING DIRECTOR | Management | | For | | For | | |
| | SONIC HEALTHCARE LIMITED | | |
| | Security | Q8563C107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 12-Nov-2020 | |
| | ISIN | AU000000SHL7 | | | | | | Agenda | 713184290 - Management |
| | Record Date | 10-Nov-2020 | | | | | | Holding Recon Date | 10-Nov-2020 | |
| | City / | Country | VIRTUAL
MEETIN
G | / | Australia | | | | | Vote Deadline Date | 06-Nov-2020 | |
| | SEDOL(s) | 5975589 - 6821120 - B3BJRY9 -
BJ05375 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR
PROPOSALS 5 TO 10 AND 12 AND-VOTES CAST BY
ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT
FROM THE PASSING OF-THE PROPOSAL/S WILL BE
DISREGARDED BY THE COMPANY. HENCE, IF YOU
HAVE-OBTAINED BENEFIT OR EXPECT TO OBTAIN
FUTURE BENEFIT (AS REFERRED IN THE-COMPANY
ANNOUNCEMENT) VOTE ABSTAIN ON THE
RELEVANT PROPOSAL ITEMS. BY DOING-SO, YOU
ACKNOWLEDGE THAT YOU HAVE OBTAINED
BENEFIT OR EXPECT TO OBTAIN-BENEFIT BY THE
PASSING OF THE RELEVANT PROPOSAL/S. BY
VOTING (FOR OR AGAINST)-ON THE ABOVE
MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE
THAT YOU HAVE NOT OBTAINED-BENEFIT NEITHER
EXPECT TO OBTAIN BENEFIT BY THE PASSING OF
THE RELEVANT-PROPOSAL/S AND YOU COMPLY
WITH THE VOTING EXCLUSION | Non-Voting | | | | | | |
| | 1 | RE-ELECTION OF PROFESSOR MARK COMPTON | Management | | For | | For | | |
| | 2 | RE-ELECTION OF MR NEVILLE MITCHELL | Management | | For | | For | | |
| | 3 | ELECTION OF PROFESSOR SUZANNE CROWE | Management | | For | | For | | |
| | 4 | RE-ELECTION OF MR CHRIS WILKS | Management | | For | | For | | |
| | 5 | ADOPTION OF THE REMUNERATION REPORT | Management | | For | | For | | |
| | 6 | INCREASE IN AVAILABLE POOL FOR NON-
EXECUTIVE DIRECTORS' FEES | Management | | For | | For | | |
| | 7 | APPROVAL OF THE ISSUE OF SECURITIES UNDER
THE SONIC HEALTHCARE LIMITED EMPLOYEE
OPTION PLAN | Management | | For | | For | | |
| | 8 | APPROVAL OF THE ISSUE OF SECURITIES UNDER
THE SONIC HEALTHCARE LIMITED PERFORMANCE
RIGHTS PLAN | Management | | For | | For | | |
| | 9 | APPROVAL OF LONG TERM INCENTIVES FOR DR
COLIN GOLDSCHMIDT, MANAGING DIRECTOR AND
CHIEF EXECUTIVE OFFICER | Management | | For | | For | | |
| | 10 | APPROVAL OF LONG TERM INCENTIVES FOR MR
CHRIS WILKS, FINANCE DIRECTOR AND CHIEF
FINANCIAL OFFICER | Management | | For | | For | | |
| | 11 | AMENDMENT TO CONSTITUTION | Management | | For | | For | | |
| | CMMT | IF YOU INTEND TO VOTE FOR THE REMUNERATION
REPORT, THEN YOU SHOULD VOTE-AGAINST THE
SPILL RESOLUTION | Non-Voting | | | | | | |
| | 12 | THAT, SUBJECT TO AND CONDITIONAL ON AT
LEAST 25% OF THE VOTES CAST ON RESOLUTION 5
BEING CAST AGAINST THE ADOPTION OF THE
COMPANY'S REMUNERATION REPORT FOR THE
FINANCIAL YEAR ENDED 30 JUNE 2020: (A) AN
EXTRAORDINARY GENERAL MEETING OF THE
COMPANY (SPILL MEETING) BE HELD WITHIN 90
DAYS OF THIS RESOLUTION; (B) ALL OF THE
DIRECTORS IN OFFICE WHEN THE RESOLUTION TO
APPROVE THE DIRECTORS' REPORT FOR THE
FINANCIAL YEAR ENDED 30 JUNE 2020 WAS
PASSED (OTHER THAN THE MANAGING DIRECTOR),
AND WHO REMAIN IN OFFICE AT THE TIME OF THE
SPILL MEETING, CEASE TO HOLD OFFICE
IMMEDIATELY BEFORE THE END OF THE SPILL
MEETING; AND (C) RESOLUTIONS TO APPOINT
PERSONS TO OFFICES THAT WILL BE VACATED
IMMEDIATELY BEFORE THE END OF THE SPILL
MEETING BE PUT TO THE VOTE AT THE SPILL
MEETING | Management | | Against | | For | | |
| | UBS GROUP AG | | |
| | Security | H42097107 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 19-Nov-2020 | |
| | ISIN | CH0244767585 | | | | | | Agenda | 713251065 - Management |
| | Record Date | 16-Nov-2020 | | | | | | Holding Recon Date | 16-Nov-2020 | |
| | City / | Country | ZURICH | / | Switzerland | | | | | Vote Deadline Date | 12-Nov-2020 | |
| | SEDOL(s) | BRJL176 - BRTR118 - BSQX8C6 -
BSZLML8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | 1 | DISTRIBUTION OF AN EXTRAORDINARY DIVIDEND
OUT OF SPECIAL DIVIDEND RESERVE (WITHIN
CAPITAL CONTRIBUTION RESERVE AND
APPROPRIATED FROM TOTAL PROFIT): USD 0.365
(GROSS) IN CASH PER SHARE OF CHF 0.10 PAR
VALUE | Management | | For | | For | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | CREDIT SUISSE GROUP AG | | |
| | Security | H3698D419 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 27-Nov-2020 | |
| | ISIN | CH0012138530 | | | | | | Agenda | 713347866 - Management |
| | Record Date | 24-Nov-2020 | | | | | | Holding Recon Date | 24-Nov-2020 | |
| | City / | Country | HORGEN | / | Switzerland | | | | | Vote Deadline Date | 20-Nov-2020 | |
| | SEDOL(s) | 7154706 - 7171589 - B0ZGJC7 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1 | DISTRIBUTION OF DIVIDENDS PAYABLE OUT OF
RETAINED EARNINGS AND CAPITAL CONTRIBUTION
RESERVES | Management | | For | | For | | |
| | CMMT | IF, AT THE EXTRAORDINARY GENERAL MEETING,
SHAREHOLDERS OR THE BOARD OF-DIRECTORS
PUT FORWARD ANY ADDITIONAL PROPOSALS OR
AMENDMENTS TO PROPOSALS-ALREADY SET OUT
IN THE PUBLISHED AGENDA OR ANY PROPOSALS
UNDER ART. 700 PARA.-3 OF THE SWISS CODE OF
OBLIGATIONS, I HEREBY AUTHORIZE THE
INDEPENDENT PROXY-TO VOTE ON SUCH
PROPOSALS AS FOLLOWS | Non-Voting | | | | | | |
| | 2.1 | PROPOSALS OF SHAREHOLDERS | Shareholder | | Abstain | | Against | | |
| | 2.2 | PROPOSALS OF THE BOARD OF DIRECTORS | Management | | Against | | Against | | |
| | FERGUSON PLC | | |
| | Security | G3421J106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 03-Dec-2020 | |
| | ISIN | JE00BJVNSS43 | | | | | | Agenda | 713329503 - Management |
| | Record Date | | | | | | | Holding Recon Date | 01-Dec-2020 | |
| | City / | Country | WOKING
HAM | / | Jersey | | | | | Vote Deadline Date | 25-Nov-2020 | |
| | SEDOL(s) | BJVNSS4 - BK8XX01 - BKB0C57 -
BKB1DD5 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS | Management | | For | | For | | |
| | 2 | APPROVE REMUNERATION REPORT | Management | | For | | For | | |
| | 3 | APPROVE FINAL DIVIDEND: 208.2 CENTS PER
ORDINARY SHARE | Management | | For | | For | | |
| | 4 | ELECT BILL BRUNDAGE AS DIRECTOR | Management | | For | | For | | |
| | 5 | RE-ELECT TESSA BAMFORD AS DIRECTOR | Management | | For | | For | | |
| | 6 | RE-ELECT GEOFF DRABBLE AS DIRECTOR | Management | | For | | For | | |
| | 7 | RE-ELECT CATHERINE HALLIGAN AS DIRECTOR | Management | | For | | For | | |
| | 8 | RE-ELECT KEVIN MURPHY AS DIRECTOR | Management | | For | | For | | |
| | 9 | RE-ELECT ALAN MURRAY AS DIRECTOR | Management | | For | | For | | |
| | 10 | RE-ELECT TOM SCHMITT AS DIRECTOR | Management | | For | | For | | |
| | 11 | RE-ELECT DR NADIA SHOURABOURA AS DIRECTOR | Management | | For | | For | | |
| | 12 | RE-ELECT JACQUELINE SIMMONDS AS DIRECTOR | Management | | For | | For | | |
| | 13 | REAPPOINT DELOITTE LLP AS AUDITORS | Management | | For | | For | | |
| | 14 | AUTHORISE THE AUDIT COMMITTEE TO FIX
REMUNERATION OF AUDITORS | Management | | For | | For | | |
| | 15 | AUTHORISE EU POLITICAL DONATIONS AND
EXPENDITURE | Management | | For | | For | | |
| | 16 | AUTHORISE ISSUE OF EQUITY | Management | | For | | For | | |
| | 17 | AUTHORISE ISSUE OF EQUITY WITHOUT PRE-
EMPTIVE RIGHTS | Management | | For | | For | | |
| | 18 | AUTHORISE ISSUE OF EQUITY WITHOUT PRE-
EMPTIVE RIGHTS IN CONNECTION WITH AN
ACQUISITION OR OTHER CAPITAL INVESTMENT | Management | | For | | For | | |
| | 19 | AUTHORISE MARKET PURCHASE OF ORDINARY
SHARES | Management | | For | | For | | |
| | CMMT | 04 NOV 2020: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF THE-TEXT OF
RESOLUTIONS . IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT-VOTE AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | AUTOZONE, INC. | | |
| | Security | 053332102 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AZO | | | | | | Meeting Date | 16-Dec-2020 | |
| | ISIN | US0533321024 | | | | | | Agenda | 935294520 - Management |
| | Record Date | 19-Oct-2020 | | | | | | Holding Recon Date | 19-Oct-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 15-Dec-2020 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1a. | Election of Director: Douglas H. Brooks | Management | | For | | For | | |
| | 1b. | Election of Director: Linda A. Goodspeed | Management | | For | | For | | |
| | 1c. | Election of Director: Earl G. Graves, Jr. | Management | | For | | For | | |
| | 1d. | Election of Director: Enderson Guimaraes | Management | | For | | For | | |
| | 1e. | Election of Director: Michael M. Calbert | Management | | For | | For | | |
| | 1f. | Election of Director: D. Bryan Jordan | Management | | For | | For | | |
| | 1g. | Election of Director: Gale V. King | Management | | For | | For | | |
| | 1h. | Election of Director: George R. Mrkonic, Jr. | Management | | For | | For | | |
| | 1i. | Election of Director: William C. Rhodes, III | Management | | For | | For | | |
| | 1j. | Election of Director: Jill A. Soltau | Management | | For | | For | | |
| | 2. | Ratification of Ernst & Young LLP as independent
registered public accounting firm for the 2021 fiscal year. | Management | | For | | For | | |
| | 3. | Approval of advisory vote on executive compensation | Management | | For | | For | | |
| | 4. | Approval of Autozone, Inc. 2020 Omnibus Incentive
Award Plan | Management | | For | | For | | |
| | PEUGEOT SA | | |
| | Security | F72313111 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 04-Jan-2021 | |
| | ISIN | FR0000121501 | | | | | | Agenda | 713447541 - Management |
| | Record Date | 29-Dec-2020 | | | | | | Holding Recon Date | 29-Dec-2020 | |
| | City / | Country | VELIZY-
VILLACO
UBLAY | / | France | | | | | Vote Deadline Date | 22-Dec-2020 | |
| | SEDOL(s) | 7103526 - B10SP38 - B19LPL6 -
BF446Z9 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | CMMT | 14 DEC 2020: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202011232004615-141
AND-https://www.journal-
officiel.gouv.fr/balo/document/202012142004771-150;
THAT-THIS IS A REVISION DUE TO ADDITION OF URL
LINK IN COMMENT. IF YOU HAVE-ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT VOTE AGAIN
UNLESS YOU DECIDE TO-AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | 1 | REVIEW AND APPROVAL OF THE PROPOSED
CROSS-BORDER MERGER BY WAY OF ABSORPTION
OF THE COMPANY BY FIAT CHRYSLER
AUTOMOBILES N.V | Management | | For | | For | | |
| | 2 | CANCELLATION OF DOUBLE VOTING RIGHTS | Management | | For | | For | | |
| | 3 | POWERS TO CARRY OUT FORMALITIES | Management | | For | | For | | |
| | CONCHO RESOURCES INC. | | |
| | Security | 20605P101 | | | | | | Meeting Type | Special |
| | Ticker Symbol | CXO | | | | | | Meeting Date | 15-Jan-2021 | |
| | ISIN | US20605P1012 | | | | | | Agenda | 935317924 - Management |
| | Record Date | 11-Dec-2020 | | | | | | Holding Recon Date | 11-Dec-2020 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 14-Jan-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | To adopt the Agreement and Plan of Merger, dated
October 18, 2020 (as it may be amended from time to
time, the "Merger Agreement"), by and among Concho
Resources Inc., ConocoPhillips and Falcon Merger Sub
Corp. | Management | | For | | For | | |
| | 2. | To approve, by non-binding vote, certain compensation
that may be paid or become payable to Concho
Resources Inc.'s named executive officers that is based
on, or otherwise relates to, the merger contemplated by
the Merger Agreement. | Management | | For | | For | | |
| | EVOLUTION AB | | |
| | Security | W3287P115 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 28-Jan-2021 | |
| | ISIN | SE0012673267 | | | | | | Agenda | 713495819 - Management |
| | Record Date | 20-Jan-2021 | | | | | | Holding Recon Date | 20-Jan-2021 | |
| | City / | Country | STOCKH
OLM | / | Sweden | | | | | Vote Deadline Date | 20-Jan-2021 | |
| | SEDOL(s) | BJXSCH4 - BK4PJY7 - BKF19V1 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS
AN AGAINST VOTE IF THE MEETING-REQUIRES
APPROVAL FROM THE MAJORITY OF PARTICIPANTS
TO PASS A RESOLUTION | Non-Voting | | | | | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) IS REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPENING OF THE MEETING | Non-Voting | | | | | | |
| | 2 | ELECTION OF CHAIRMAN OF THE MEETING | Non-Voting | | | | | | |
| | 3 | PREPARATION AND APPROVAL OF VOTING
REGISTER | Non-Voting | | | | | | |
| | 4 | APPROVAL OF AGENDA | Non-Voting | | | | | | |
| | 5 | ELECTION OF ONE OR TWO PERSONS TO VERIFY
THE MINUTES OF THE MEETING | Non-Voting | | | | | | |
| | 6 | DETERMINATION OF WHETHER THE MEETING HAS
BEEN DULY CONVENED | Non-Voting | | | | | | |
| | 7 | RESOLUTION ON AN INCENTIVE PROGRAMME BY
WAY OF A DIRECTED ISSUE OF WARRANTS WITH A
SUBSEQUENT TRANSFER TO THE PARTICIPANTS | Management | | For | | For | | |
| | 8 | CLOSING OF THE MEETING | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | IMPERIAL BRANDS PLC | | |
| | Security | G4720C107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 03-Feb-2021 | |
| | ISIN | GB0004544929 | | | | | | Agenda | 713464888 - Management |
| | Record Date | | | | | | | Holding Recon Date | 01-Feb-2021 | |
| | City / | Country | BRISTOL | / | United
Kingdom | | | | | Vote Deadline Date | 28-Jan-2021 | |
| | SEDOL(s) | 0454492 - 5919974 - BGLNNR7 -
BRTM7M6 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | THAT THE ANNUAL REPORT AND ACCOUNTS FOR
THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020
BE RECEIVED | Management | | For | | For | | |
| | 2 | THAT THE DIRECTORS' REMUNERATION REPORT
(EXCLUDING THE DIRECTORS' REMUNERATION
POLICY) SET OUT ON PAGES 96 TO 123 OF THE
ANNUAL REPORT AND ACCOUNTS FOR THE
FINANCIAL YEAR ENDED 30 SEPTEMBER 2020, BE
APPROVED | Management | | Against | | Against | | |
| | 3 | THAT THE DIRECTORS' REMUNERATION POLICY,
THE FULL TEXT OF WHICH IS SET OUT ON PAGES
100 TO 109 OF THE ANNUAL REPORT AND
ACCOUNTS FOR THE FINANCIAL YEAR ENDED 30
SEPTEMBER 2020, BE APPROVED | Management | | For | | For | | |
| | 4 | THAT THE RULES OF THE IMPERIAL BRANDS PLC
INTERNATIONAL SHARESAVE PLAN 2021 (THE 'NEW
SHARESAVE'), A COPY OF THE DRAFT RULES OF
WHICH HAS BEEN PRODUCED TO THE AGM AND
INITIALLED BY THE CHAIR (FOR THE PURPOSE OF
IDENTIFICATION ONLY) AND A SUMMARY OF THE
MAIN PROVISIONS OF WHICH IS SET OUT IN PART I
OF APPENDIX II TO THE NOTICE OF AGM, BE AND
ARE HEREBY APPROVED AND THE DIRECTORS BE
AUTHORISED TO: (A) MAKE SUCH MODIFICATIONS
TO THE NEW SHARESAVE AS THEY MAY CONSIDER
APPROPRIATE TO TAKE ACCOUNT OF THE
REQUIREMENTS OF BEST PRACTICE AND
APPLICABLE LEGISLATION, AND TO ADOPT THE
NEW SHARESAVE AS SO MODIFIED AND TO DO ALL
SUCH OTHER ACTS AND THINGS AS THEY MAY
CONSIDER NECESSARY AND EXPEDIENT TO GIVE
EFFECT TO THE NEW SHARESAVE; AND (B)
ESTABLISH FURTHER PLANS BASED ON THE NEW
SHARESAVE BUT MODIFIED TO TAKE ACCOUNT OF
LOCAL TAX, EXCHANGE CONTROL OR SECURITIES
LAWS IN OVERSEAS TERRITORIES, PROVIDED | Management | | For | | For | | |
| | | THAT SUCH FURTHER PLANS ARE MATERIALLY
SIMILAR TO THE NEW SHARESAVE AND THAT ANY
SHARES MADE AVAILABLE UNDER SUCH FURTHER
PLANS ARE TREATED AS COUNTING AGAINST THE
LIMITS ON INDIVIDUAL OR OVERALL PARTICIPATION
IN THE NEW SHARESAVE | | | | | | | | | |
| | 5 | THAT THE RULES OF THE IMPERIAL BRANDS PLC
LONG TERM INCENTIVE PLAN 2021 (THE 'NEW
LTIP'), A COPY OF THE DRAFT RULES OF WHICH
HAS BEEN PRODUCED TO THE AGM AND
INITIALLED BY THE CHAIR (FOR THE PURPOSE OF
IDENTIFICATION ONLY) AND A SUMMARY OF THE
MAIN PROVISIONS OF WHICH IS SET OUT IN PART II
OF APPENDIX II TO THE NOTICE OF AGM, BE AND
ARE HEREBY APPROVED AND THE DIRECTORS BE
AUTHORISED TO: (A) MAKE SUCH MODIFICATIONS
TO THE NEW LTIP AS THEY MAY CONSIDER
APPROPRIATE TO TAKE ACCOUNT OF THE
REQUIREMENTS OF BEST PRACTICE AND
APPLICABLE LEGISLATION, AND TO ADOPT THE
NEW LTIP AS SO MODIFIED AND TO DO ALL SUCH
OTHER ACTS AND THINGS AS THEY MAY CONSIDER
NECESSARY AND EXPEDIENT TO GIVE EFFECT TO
THE NEW LTIP; AND (B) ESTABLISH FURTHER
PLANS BASED ON THE NEW LTIP BUT MODIFIED TO
TAKE ACCOUNT OF LOCAL TAX, EXCHANGE
CONTROL OR SECURITIES LAWS IN OVERSEAS
TERRITORIES, PROVIDED THAT SUCH FURTHER
PLANS ARE MATERIALLY SIMILAR TO THE NEW LTIP
AND THAT ANY SHARES MADE AVAILABLE UNDER
SUCH FURTHER PLANS ARE TREATED AS
COUNTING AGAINST THE LIMITS ON INDIVIDUAL OR
OVERALL PARTICIPATION IN THE NEW LTIP | Management | | For | | For | | |
| | 6 | THAT THE RULES OF THE IMPERIAL BRANDS PLC
DEFERRED SHARE BONUS PLAN 2021 (THE 'DSBP'),
A COPY OF THE DRAFT RULES OF WHICH HAS
BEEN PRODUCED TO THE AGM AND INITIALLED BY
THE CHAIR (FOR THE PURPOSE OF IDENTIFICATION
ONLY) AND A SUMMARY OF THE MAIN PROVISIONS
OF WHICH IS SET OUT IN PART III OF APPENDIX II
TO THE NOTICE OF AGM, BE AND ARE HEREBY
APPROVED AND THE DIRECTORS BE AUTHORISED
TO: (A) MAKE SUCH MODIFICATIONS TO THE DSBP
AS THEY MAY CONSIDER APPROPRIATE TO TAKE
ACCOUNT OF THE REQUIREMENTS OF BEST
PRACTICE AND APPLICABLE LEGISLATION, AND TO
ADOPT THE DSBP AS SO MODIFIED AND TO DO ALL
SUCH OTHER ACTS AND THINGS AS THEY MAY
CONSIDER NECESSARY AND EXPEDIENT TO GIVE
EFFECT TO THE DSBP; AND (B) ESTABLISH
FURTHER PLANS BASED ON THE DSBP BUT
MODIFIED TO TAKE ACCOUNT OF LOCAL TAX,
EXCHANGE CONTROL OR SECURITIES LAWS IN | Management | | For | | For | | |
| | | OVERSEAS TERRITORIES, PROVIDED THAT SUCH
FURTHER PLANS ARE MATERIALLY SIMILAR TO THE
DSBP AND THAT ANY SHARES MADE AVAILABLE
UNDER SUCH FURTHER PLANS ARE TREATED AS
COUNTING AGAINST THE LIMITS ON INDIVIDUAL OR
OVERALL PARTICIPATION IN THE DSBP | | | | | | | | | |
| | 7 | THAT A FINAL DIVIDEND FOR THE FINANCIAL YEAR
ENDED 30 SEPTEMBER 2020 OF 48.01 PENCE PER
ORDINARY SHARE OF 10 PENCE PAYABLE ON 31
MARCH 2021 TO THOSE SHAREHOLDERS ON THE
REGISTER AT THE CLOSE OF BUSINESS ON 19
FEBRUARY 2021 BE DECLARED | Management | | For | | For | | |
| | 8 | THAT STEFAN BOMHARD BE ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 9 | THAT SUSAN CLARK BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 10 | THAT THERESE ESPERDY BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 11 | THAT ALAN JOHNSON BE ELECTED AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 12 | THAT ROBERT KUNZE-CONCEWITZ BE ELECTED AS
A DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 13 | THAT SIMON LANGELIER BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 14 | THAT PIERRE-JEAN SIVIGNON BE ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 15 | THAT STEVEN STANBROOK BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 16 | THAT JONATHAN STANTON BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 17 | THAT OLIVER TANT BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 18 | THAT ERNST & YOUNG LLP ('EY') BE RE-APPOINTED
AS AUDITOR OF THE COMPANY TO HOLD OFFICE
UNTIL THE CONCLUSION OF THE NEXT GENERAL
MEETING AT WHICH ACCOUNTS ARE LAID BEFORE
THE COMPANY | Management | | For | | For | | |
| | 19 | THAT THE AUDIT COMMITTEE (FOR AND ON BEHALF
OF THE BOARD) BE AUTHORISED TO SET THE
REMUNERATION OF THE AUDITOR | Management | | For | | For | | |
| | 20 | THAT IN ACCORDANCE WITH SECTION 366 OF THE
COMPANIES ACT 2006 THE COMPANY AND ALL
COMPANIES THAT ARE SUBSIDIARIES OF THE
COMPANY AT ANY TIME DURING THE PERIOD FOR
WHICH THIS RESOLUTION HAS EFFECT ARE
AUTHORISED TO: (A) MAKE POLITICAL DONATIONS
TO POLITICAL PARTIES OR INDEPENDENT
ELECTION CANDIDATES, NOT EXCEEDING GBP
100,000 IN TOTAL; (B) MAKE POLITICAL DONATIONS
TO POLITICAL ORGANISATIONS OTHER THAN
POLITICAL PARTIES, NOT EXCEEDING GBP 100,000 | Management | | For | | For | | |
| | | IN TOTAL; AND (C) INCUR POLITICAL EXPENDITURE
NOT EXCEEDING GBP 100,000 IN TOTAL, PROVIDED
THAT THE AGGREGATE AMOUNT OF ANY SUCH
DONATIONS AND EXPENDITURE SHALL NOT
EXCEED GBP 100,000, DURING THE PERIOD
BEGINNING WITH THE DATE OF THE PASSING OF
THIS RESOLUTION AND ENDING AT THE
CONCLUSION OF THE NEXT ANNUAL GENERAL
MEETING OF THE COMPANY AFTER THE PASSING
OF THIS RESOLUTION OR, IF EARLIER, AT THE
CLOSE OF BUSINESS ON 31 MARCH 2022. FOR THE
PURPOSE OF THIS RESOLUTION THE TERMS
"POLITICAL DONATIONS", "POLITICAL PARTIES",
"INDEPENDENT ELECTION CANDIDATES",
"POLITICAL ORGANISATIONS" AND "POLITICAL
EXPENDITURE" HAVE THE MEANINGS SET OUT IN
SECTIONS 363 TO 365 OF THE COMPANIES ACT
2006 | | | | | | | | | |
| | 21 | THAT THE DIRECTORS BE AUTHORISED TO ALLOT
ORDINARY SHARES OF 10 PENCE EACH IN THE
CAPITAL OF THE COMPANY (THE 'ORDINARY
SHARES') OR GRANT RIGHTS TO SUBSCRIBE FOR,
OR CONVERT ANY SECURITY INTO, ORDINARY
SHARES IN ACCORDANCE WITH ARTICLE 7 OF THE
COMPANY'S ARTICLES OF ASSOCIATION, UP TO A
MAXIMUM NOMINAL AMOUNT OF GBP 14,150,000
THIS AUTHORITY SHALL EXPIRE AT THE
CONCLUSION OF THE NEXT ANNUAL GENERAL
MEETING OF THE COMPANY AFTER THE PASSING
OF THIS RESOLUTION OR, IF EARLIER, AT THE
CLOSE OF BUSINESS ON 31 MARCH 2022; AND ALL
PREVIOUS UNUTILISED AUTHORITIES UNDER
SECTION 551 OF THE COMPANIES ACT 2006 (THE
'ACT') SHALL CEASE TO HAVE EFFECT (SAVE TO
THE EXTENT THAT A PREVIOUS AUTHORITY IS
EXERCISABLE PURSUANT TO SECTION 551(7) OF
THE ACT BY REASON OF ANY OFFER OR
AGREEMENT MADE PRIOR TO THE DATE OF THIS
RESOLUTION WHICH WOULD OR MIGHT REQUIRE
ORDINARY SHARES TO BE ALLOTTED OR RIGHTS
TO BE GRANTED ON OR AFTER THAT DATE) | Management | | For | | For | | |
| | 22 | THAT, IN ACCORDANCE WITH ARTICLE 8 OF THE
COMPANY'S ARTICLES OF ASSOCIATION, IF
RESOLUTION 21 IS PASSED, THE BOARD BE
AUTHORISED TO ALLOT EQUITY SECURITIES (AS
DEFINED IN SECTION 560(1) THE COMPANIES ACT
2006 (THE 'ACT')) FOR CASH UNDER THE
AUTHORITY GIVEN BY RESOLUTION 21 AND/OR TO
SELL ORDINARY SHARES OF 10 PENCE EACH IN
THE CAPITAL OF THE COMPANY (THE 'ORDINARY
SHARES') HELD BY THE COMPANY AS TREASURY
SHARES FOR CASH AS IF SECTION 561 OF THE ACT
DID NOT APPLY TO ANY SUCH ALLOTMENT OR
SALE, SUCH AUTHORITY TO BE LIMITED TO: I. THE
ALLOTMENT OF EQUITY SECURITIES AND SALE OF
TREASURY SHARES FOR CASH IN CONNECTION
WITH AN OFFER OF, OR INVITATION TO APPLY FOR, | Management | | For | | For | | |
| | | EQUITY SECURITIES FOR A PERIOD FIXED BY THE
BOARD: A. TO OR IN FAVOUR OF HOLDERS OF
ORDINARY SHARES IN PROPORTION (OR AS
CLOSELY AS MAY BE PRACTICABLE) TO THEIR
EXISTING HOLDINGS; AND B. TO HOLDERS OF
OTHER EQUITY SECURITIES AS REQUIRED BY THE
RIGHTS ATTACHED TO THOSE SECURITIES OR AS
THE DIRECTORS OTHERWISE CONSIDER
NECESSARY, AND SO THAT THE DIRECTORS MAY
IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE
ANY ARRANGEMENTS AS THE DIRECTORS DEEM
NECESSARY OR APPROPRIATE TO DEAL WITH
TREASURY SHARES, FRACTIONAL ENTITLEMENTS,
RECORD DATES, ANY LEGAL, REGULATORY OR
PRACTICAL PROBLEMS IN, OR UNDER THE LAWS
OF, ANY TERRITORY, OR ANY OTHER MATTER; AND
II. TO THE ALLOTMENT OF EQUITY SECURITIES OR
SALE OF TREASURY SHARES (OTHERWISE THAN
UNDER PARAGRAPH (I) ABOVE) UP TO A NOMINAL
AMOUNT OF GBP 4,730,000, SUCH AUTHORITY TO
EXPIRE AT THE END OF THE NEXT ANNUAL
GENERAL MEETING OF THE COMPANY (OR, IF
EARLIER, AT THE CLOSE OF BUSINESS ON 31
MARCH 2022) BUT, IN EACH CASE, PRIOR TO ITS
EXPIRY THE COMPANY MAY MAKE OFFERS, AND
ENTER INTO AGREEMENTS, WHICH WOULD, OR
MIGHT, REQUIRE EQUITY SECURITIES TO BE
ALLOTTED (AND TREASURY SHARES TO BE SOLD)
AFTER THE AUTHORITY EXPIRES AND THE
DIRECTORS MAY ALLOT EQUITY SECURITIES (AND
SELL TREASURY SHARES) UNDER ANY SUCH
OFFER OR AGREEMENT AS IF THE AUTHORITY HAD
NOT EXPIRED | | | | | | | | | |
| | 23 | THAT IN ACCORDANCE WITH THE COMPANIES ACT
2006 (THE 'ACT'), THE COMPANY IS HEREBY
GENERALLY AND UNCONDITIONALLY AUTHORISED
FOR THE PURPOSES OF SECTION 701 OF THE ACT
TO MAKE MARKET PURCHASES (WITHIN THE
MEANING OF SECTION 693(4) OF THE ACT) OF
ORDINARY SHARES OF 10 PENCE EACH IN THE
CAPITAL OF THE COMPANY (ORDINARY SHARES)
ON SUCH TERMS AND IN SUCH MANNER AS THE
DIRECTORS MAY FROM TIME TO TIME DETERMINE,
PROVIDED THAT: I. THE MAXIMUM NUMBER OF
ORDINARY SHARES THAT MAY BE PURCHASED
UNDER THIS AUTHORITY IS 94,600,000; II. THE
MINIMUM PRICE WHICH MAY BE PAID FOR EACH
ORDINARY SHARE IS 10 PENCE (EXCLUSIVE OF ALL
EXPENSES); III. THE MAXIMUM PRICE WHICH MAY
BE PAID FOR EACH ORDINARY SHARE (EXCLUSIVE
OF ALL EXPENSES) SHALL NOT BE MORE THAN THE
HIGHER OF: A. AN AMOUNT EQUAL TO 105 PER
CENT OF THE AVERAGE OF THE MIDDLE MARKET
PRICES SHOWN IN THE QUOTATIONS FOR THE
ORDINARY SHARES IN THE LONDON STOCK
EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE
BUSINESS DAYS IMMEDIATELY PRECEDING THE | Management | | For | | For | | |
| | | DAY ON WHICH THAT ORDINARY SHARE IS
PURCHASED; AND B. AN AMOUNT EQUAL TO THE
HIGHER OF THE PRICE OF THE LAST INDEPENDENT
TRADE OF AN ORDINARY SHARE AND THE HIGHEST
CURRENT INDEPENDENT BID FOR AN ORDINARY
SHARE ON THE TRADING VENUE WHERE THE
PURCHASE IS CARRIED OUT; AND IV. THE
AUTHORITY HEREBY CONFERRED SHALL, UNLESS
PREVIOUSLY REVOKED OR VARIED, EXPIRE AT THE
CONCLUSION OF THE NEXT ANNUAL GENERAL
MEETING OF THE COMPANY AFTER THE PASSING
OF THIS RESOLUTION OR, IF EARLIER, AT THE
CLOSE OF BUSINESS ON 31 MARCH 2022 SAVE IN
RELATION TO PURCHASES OF ORDINARY SHARES
THE CONTRACT FOR WHICH WAS CONCLUDED
BEFORE THE EXPIRY OF THIS AUTHORITY AND
WHICH WILL OR MAY BE EXECUTED WHOLLY OR
PARTLY AFTER SUCH EXPIRY, WHERE THE
COMPANY MAY MAKE A PURCHASE OF ORDINARY
SHARES IN PURSUANCE OF ANY SUCH CONTRACT
OR CONTRACTS. ALL PREVIOUS UNUTILISED
AUTHORITIES FOR THE COMPANY TO MAKE
MARKET PURCHASES OF ORDINARY SHARES ARE
REVOKED, EXCEPT IN RELATION TO THE
PURCHASE OF ORDINARY SHARES UNDER A
CONTRACT OR CONTRACTS CONCLUDED BEFORE
THE DATE OF THIS RESOLUTION AND WHERE SUCH
PURCHASE HAS NOT YET BEEN EXECUTED | | | | | | | | | |
| | 24 | THAT A GENERAL MEETING OF THE COMPANY
OTHER THAN AN ANNUAL GENERAL MEETING OF
THE COMPANY MAY BE CALLED ON NOT LESS
THAN 14 CLEAR DAYS' NOTICE | Management | | For | | For | | |
| | SIEMENS AG | | |
| | Security | D69671218 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 03-Feb-2021 | |
| | ISIN | DE0007236101 | | | | | | Agenda | 713501131 - Management |
| | Record Date | 27-Jan-2021 | | | | | | Holding Recon Date | 27-Jan-2021 | |
| | City / | Country | MUENCH
EN | / | Germany | | | | | Vote Deadline Date | 22-Jan-2021 | |
| | SEDOL(s) | 0798725 - 5727973 - 5735233 -
B5NMZR9 - BF0Z8C7 - BFNKQZ8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 502455 DUE TO ADDITION OF-
RESOLUTION 10. ALL VOTES RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED-IF
VOTE DEADLINE EXTENSIONS ARE GRANTED.
THEREFORE PLEASE REINSTRUCT ON THIS-
MEETING NOTICE ON THE NEW JOB. IF HOWEVER
VOTE DEADLINE EXTENSIONS ARE NOT-GRANTED
IN THE MARKET, THIS MEETING WILL BE CLOSED
AND YOUR VOTE INTENTIONS-ON THE ORIGINAL
MEETING WILL BE APPLICABLE. PLEASE ENSURE
VOTING IS SUBMITTED-PRIOR TO CUTOFF ON THE
ORIGINAL MEETING, AND AS SOON AS POSSIBLE
ON THIS NEW-AMENDED MEETING. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN | Non-Voting | | | | | | |
| | | BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | | | | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO- | Non-Voting | | | | | | |
| | | BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | | | | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL 2019/20 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 3.50 PER SHARE | Management | | For | | For | | |
| | 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER JOE KAESER FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER ROLAND BUSCH FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER LISA DAVIS (UNTIL FEB. 29, 2020) FOR
FISCAL 2019/20 | Management | | For | | For | | |
| | 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER KLAUS HELMRICH FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 3.5 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER JANINA KUGEL (UNTIL JAN. 31, 2020) FOR
FISCAL 2019/20 | Management | | For | | For | | |
| | 3.6 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER CEDRIK NEIKE FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 3.7 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER MICHAEL SEN (UNTIL MARCH 31, 2020)
FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 3.8 | APPROVE DISCHARGE OF MANAGEMENT BOARD
MEMBER RALF THOMAS FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER JIM SNABE FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER BIRGIT STEINBORN FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER WERNER WENNING FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER WERNER BRANDT FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MICHAEL DIEKMANN FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER ANDREA FEHRMANN FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER BETTINA HALLER FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER ROBERT KENSBOCK (UNTIL SEP. 25, 2020)
FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER HARALD KERN FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER JUERGEN KERNER FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER NICOLA LEIBINGER-KAMMUELLER FOR
FISCAL 2019/20 | Management | | For | | For | | |
| | 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER BENOIT POTIER FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER HAGEN REIMER FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER NORBERT REITHOFER FOR FISCAL
2019/20 | Management | | For | | For | | |
| | 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER NEMAT SHAFIK FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER NATHALIE VON SIEMENS FOR FISCAL
2019/20 | Management | | For | | For | | |
| | 4.17 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MICHAEL SIGMUND FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.18 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER DOROTHEA SIMON FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.19 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER MATTHIAS ZACHERT FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 4.20 | APPROVE DISCHARGE OF SUPERVISORY BOARD
MEMBER GUNNAR ZUKUNFT FOR FISCAL 2019/20 | Management | | For | | For | | |
| | 5 | RATIFY ERNST YOUNG GMBH AS AUDITORS FOR
FISCAL 2020/21 | Management | | For | | For | | |
| | 6.1 | ELECT GRAZIA VITTADINI TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.2 | ELECT KASPER RORSTED TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.3 | REELECT JIM SNABE TO THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | 8 | APPROVE CREATION OF EUR 90 MILLION POOL OF
CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN | Management | | For | | For | | |
| | 9 | AMEND AFFILIATION AGREEMENT WITH SIEMENS
BANK GMBH | Management | | For | | For | | |
| | 10 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: AMENDMENT TO THE
ARTICLES OF ASSOCIATION OF SIEMENS AG | Shareholder | | For | | Against | | |
| | ADYEN N.V. | | |
| | Security | N3501V104 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 12-Feb-2021 | |
| | ISIN | NL0012969182 | | | | | | Agenda | 713491455 - Management |
| | Record Date | 15-Jan-2021 | | | | | | Holding Recon Date | 15-Jan-2021 | |
| | City / | Country | VIRTUAL | / | Netherlands | | | | | Vote Deadline Date | 04-Feb-2021 | |
| | SEDOL(s) | BFYT900 - BJK3KP6 - BYVR1Y8 -
BZ1HM42 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1. | OPENING AND ANNOUNCEMENTS | Non-Voting | | | | | | |
| | 2. | PROPOSAL APPOINTMENT ALEXANDER MATTHEY
AS MEMBER OF THE MANAGEMENT BOARD WITH
THE TITLE CHIEF TECHNOLOGY OFFICER | Management | | For | | For | | |
| | 3. | PROPOSAL APPOINTMENT CAOIMHE TREASA
KEOGAN AS MEMBER OF THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 4. | ANY OTHER BUSINESS AND CLOSING | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | NOVARTIS AG | | |
| | Security | H5820Q150 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 02-Mar-2021 | |
| | ISIN | CH0012005267 | | | | | | Agenda | 713572988 - Management |
| | Record Date | 25-Feb-2021 | | | | | | Holding Recon Date | 25-Feb-2021 | |
| | City / | Country | BASEL | / | Switzerland | | | | | Vote Deadline Date | 23-Feb-2021 | |
| | SEDOL(s) | 7103065 - 7105083 - B769708 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE OPERATING AND FINANCIAL
REVIEW OF NOVARTIS AG, THE FINANCIAL
STATEMENTS OF NOVARTIS AG AND THE GROUP
CONSOLIDATED FINANCIAL STATEMENTS FOR THE
2020 FINANCIAL YEAR | Management | | For | | For | | |
| | 2 | DISCHARGE FROM LIABILITY OF THE MEMBERS OF
THE BOARD OF DIRECTORS AND THE EXECUTIVE
COMMITTEE | Management | | For | | For | | |
| | 3 | APPROPRIATION OF AVAILABLE EARNINGS OF
NOVARTIS AG AS PER BALANCE SHEET AND
DECLARATION OF DIVIDEND FOR 2020 | Management | | For | | For | | |
| | 4 | REDUCTION OF SHARE CAPITAL | Management | | For | | For | | |
| | 5 | FURTHER SHARE REPURCHASES | Management | | For | | For | | |
| | 6.1 | VOTE ON COMPENSATION FOR THE MEMBERS OF
THE BOARD OF DIRECTORS AND THE EXECUTIVE
COMMITTEE: BINDING VOTE ON THE MAXIMUM
AGGREGATE AMOUNT OF COMPENSATION FOR
THE BOARD OF DIRECTORS FROM THE 2021
ANNUAL GENERAL MEETING TO THE 2022 ANNUAL
GENERAL MEETING | Management | | For | | For | | |
| | 6.2 | VOTE ON COMPENSATION FOR THE MEMBERS OF
THE BOARD OF DIRECTORS AND THE EXECUTIVE
COMMITTEE: BINDING VOTE ON THE MAXIMUM
AGGREGATE AMOUNT OF COMPENSATION FOR
THE EXECUTIVE COMMITTEE FOR THE FINANCIAL
YEAR 2022 | Management | | For | | For | | |
| | 6.3 | VOTE ON COMPENSATION FOR THE MEMBERS OF
THE BOARD OF DIRECTORS AND THE EXECUTIVE
COMMITTEE: ADVISORY VOTE ON THE 2020
COMPENSATION REPORT | Management | | For | | For | | |
| | 7.1 | RE-ELECTION OF JOERG REINHARDT AS MEMBER
AND CHAIRMAN OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.2 | RE-ELECTION OF NANCY C. ANDREWS AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.3 | RE-ELECTION OF TON BUECHNER AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.4 | RE-ELECTION OF PATRICE BULA AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.5 | RE-ELECTION OF ELIZABETH DOHERTY AS
MEMBER OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.6 | RE-ELECTION OF ANN FUDGE AS MEMBER OF THE
BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.7 | RE-ELECTION OF BRIDGETTE HELLER AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.8 | RE-ELECTION OF FRANS VAN HOUTEN AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.9 | RE-ELECTION OF SIMON MORONEY AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.10 | RE-ELECTION OF ANDREAS VON PLANTA AS
MEMBER OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.11 | RE-ELECTION OF CHARLES L. SAWYERS AS
MEMBER OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.12 | RE-ELECTION OF ENRICO VANNI AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 7.13 | RE-ELECTION OF WILLIAM T. WINTERS AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 8.1 | RE-ELECTION OF PATRICE BULA TO THE
COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 8.2 | RE-ELECTION OF BRIDGETTE HELLER TO THE
COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 8.3 | RE-ELECTION OF ENRICO VANNI TO THE
COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 8.4 | RE-ELECTION OF WILLIAM T. WINTERS TO THE
COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 8.5 | ELECTION OF SIMON MORONEY AS NEW MEMBER
OF THE COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 9 | RE-ELECTION OF THE STATUTORY AUDITOR: THE
BOARD OF DIRECTORS PROPOSES THE RE-
ELECTION OF PRICEWATERHOUSECOOPERS AG AS
AUDITOR FOR THE FINANCIAL YEAR STARTING ON
JANUARY 1, 2021 | Management | | For | | For | | |
| | 10 | RE-ELECTION OF THE INDEPENDENT PROXY: THE
BOARD OF DIRECTORS PROPOSES THE RE-
ELECTION OF LIC. IUR. PETER ANDREAS ZAHN,
ATTORNEY AT LAW, BASEL, AS INDEPENDENT
PROXY UNTIL THE END OF THE NEXT ANNUAL
GENERAL MEETING | Management | | For | | For | | |
| | 11 | AMENDMENT TO ARTICLE 20 PARAGRAPH 3 OF THE
ARTICLES OF INCORPORATION | Management | | For | | For | | |
| | B | GENERAL INSTRUCTIONS IN CASE OF
ALTERNATIVE MOTIONS UNDER THE AGENDA
ITEMS PUBLISHED IN THE INVITATION TO THE
ANNUAL GENERAL MEETING, AND/OR OF MOTIONS
RELATING TO ADDITIONAL AGENDA ITEMS
ACCORDING TO ARTICLE 700 PARAGRAPH 3 OF
THE SWISS CODE OF OBLIGATIONS. I/WE INSTRUCT
THE INDEPENDENT PROXY TO VOTE AS FOLLOWS:
(FOR = ACCORDING TO THE MOTION OF THE
BOARD OF DIRECTORS, AGAINST = AGAINST
ALTERNATIVE AND/OR ADDITIONAL MOTIONS,
ABSTAIN = ABSTAIN FROM VOTING) | Management | | Against | | Against | | |
| | KONE OYJ | | |
| | Security | X4551T105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 02-Mar-2021 | |
| | ISIN | FI0009013403 | | | | | | Agenda | 713575516 - Management |
| | Record Date | 18-Feb-2021 | | | | | | Holding Recon Date | 18-Feb-2021 | |
| | City / | Country | HELSINK
I | / | Finland | | | | | Vote Deadline Date | 22-Feb-2021 | |
| | SEDOL(s) | B09M9D2 - B09TN08 - B28JTH2 -
BHZLKX9 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | A POA IS NEEDED TO APPOINT OWN
REPRESENTATIVE BUT IS NOT NEEDED IF A
FINNISH-SUB/BANK IS APPOINTED EXCEPT IF THE
SHAREHOLDER IS FINNISH THEN A POA WOULD-
STILL BE REQUIRED. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPENING OF THE MEETING | Non-Voting | | | | | | |
| | 2 | CALLING THE MEETING TO ORDER: ATTORNEY
MERJA KIVELA WILL SERVE AS CHAIRPERSON-OF
THE MEETING. IN THE EVENT MERJA KIVELA IS
PREVENTED FROM SERVING AS THE-
CHAIRPERSON FOR A WEIGHTY REASON, THE
BOARD OF DIRECTORS WILL APPOINT THE-PERSON
THEY DEEM THE MOST SUITABLE TO SERVE AS
THE CHAIRPERSON | Non-Voting | | | | | | |
| | 3 | ELECTION OF PERSON TO SCRUTINIZE THE
MINUTES AND TO SUPERVISE THE COUNTING OF-
VOTES: THE COMPANY'S LEGAL COUNSEL HETA
RONKKO WILL SCRUTINIZE THE MINUTES-AND
SUPERVISE THE COUNTING OF THE VOTES. IN THE
EVENT HETA RONKKO IS-PREVENTED FROM
SCRUTINIZING THE MINUTES AND SUPERVISING
THE COUNTING OF THE-VOTES FOR A WEIGHTY
REASON, THE BOARD OF DIRECTORS WILL
APPOINT THE PERSON-THEY DEEM THE MOST
SUITABLE TO SCRUTINIZE THE MINUTES AND
SUPERVISE THE-COUNTING OF THE VOTES | Non-Voting | | | | | | |
| | 4 | RECORDING THE LEGALITY OF THE MEETING | Non-Voting | | | | | | |
| | 5 | RECORDING THE ATTENDANCE AT THE MEETING
AND ADOPTION OF THE LIST OF VOTES | Non-Voting | | | | | | |
| | 6 | PRESENTATION OF THE ANNUAL ACCOUNTS, THE
REPORT OF THE BOARD OF DIRECTORS AND-THE
AUDITOR'S REPORT FOR THE YEAR 2020 | Non-Voting | | | | | | |
| | 7 | ADOPTION OF THE ANNUAL ACCOUNTS | Management | | For | | For | | |
| | 8 | RESOLUTION ON THE USE OF THE PROFIT SHOWN
ON THE BALANCE SHEET AND THE PAYMENT OF
DIVIDENDS: THE BOARD OF DIRECTORS
PROPOSES THAT FOR THE FINANCIAL YEAR 2020 A
DIVIDEND OF EUR 1.7475 IS PAID FOR EACH CLASS
A SHARE AND A DIVIDEND OF EUR 1.75 IS PAID FOR
EACH CLASS B SHARE. FURTHER, THE BOARD
PROPOSES THAT AN EXTRA DIVIDEND OF EUR
0.4975 IS PAID FOR EACH CLASS A SHARE AND AN
EXTRA DIVIDEND OF EUR 0.50 IS PAID FOR EACH
CLASS B SHARE | Management | | For | | For | | |
| | 9 | RESOLUTION ON THE DISCHARGE OF THE
MEMBERS OF THE BOARD OF DIRECTORS AND THE
PRESIDENT AND CEO FROM LIABILITY FOR THE
FINANCIAL YEAR 2020 | Management | | For | | For | | |
| | 10 | CONSIDERATION OF THE REMUNERATION REPORT
FOR GOVERNING BODIES | Management | | For | | For | | |
| | CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE
PROPOSED BY NOMINATION AND-COMPENSATION
COMMITTEE AND BOARD DOES NOT MAKE ANY
RECOMMENDATION ON THESE-PROPOSALS. THE
STANDING INSTRUCTIONS ARE DISABLED FOR THIS
MEETING | Non-Voting | | | | | | |
| | 11 | RESOLUTION ON THE REMUNERATION OF THE
MEMBERS OF THE BOARD OF DIRECTORS | Management | | Against | | | | |
| | 12 | RESOLUTION ON THE NUMBER OF MEMBERS OF
THE BOARD OF DIRECTORS: THE NOMINATION AND
COMPENSATION COMMITTEE OF THE BOARD OF
DIRECTORS PROPOSES TO THE GENERAL
MEETING THAT EIGHT BOARD MEMBERS ARE
ELECTED | Management | | For | | | | |
| | 13 | ELECTION OF MEMBERS OF THE BOARD OF
DIRECTORS: THE NOMINATION AND
COMPENSATION COMMITTEE OF THE BOARD OF
DIRECTORS PROPOSES TO THE GENERAL
MEETING THAT MATTI ALAHUHTA, SUSAN
DUINHOVEN, ANTTI HERLIN, IIRIS HERLIN, JUSSI
HERLIN, RAVI KANT AND JUHANI KASKEALA ARE
RE-ELECTED TO THE BOARD OF DIRECTORS AND
JENNIFER XIN-ZHE LI IS ELECTED AS A NEW
MEMBER TO THE BOARD OF DIRECTORS | Management | | Against | | | | |
| | 14 | RESOLUTION ON THE REMUNERATION OF THE
AUDITORS | Management | | For | | For | | |
| | 15 | RESOLUTION ON THE NUMBER OF AUDITORS: IN
THE BEGINNING OF 2020, KONE FINALIZED THE
MANDATORY AUDIT FIRM SELECTION PROCEDURE
CONCERNING THE AUDIT FOR THE FINANCIAL
YEAR 2021. CONSEQUENTLY, AUDIT FIRM ERNST &
YOUNG OY WAS ELECTED AS THE AUDITOR OF THE
COMPANY FOR THE FINANCIAL YEAR 2021
ALREADY IN THE GENERAL MEETING 2020 AND IN
THE SAME CONTEXT ALSO THE NUMBER OF
AUDITORS FOR THE FINANCIAL YEAR 2021 WAS
RESOLVED. THEREFORE, THE AUDIT COMMITTEE
OF THE BOARD OF DIRECTORS NOW PROPOSES
TO THE GENERAL MEETING THAT ONE AUDITOR IS
ELECTED FOR THE COMPANY FOR A TERM ENDING
AT THE CONCLUSION OF THE FOLLOWING ANNUAL
GENERAL MEETING | Management | | For | | For | | |
| | 16 | ELECTION OF AUDITORS: IN THE BEGINNING OF
2020, KONE FINALIZED THE MANDATORY AUDIT
FIRM SELECTION PROCEDURE CONCERNING THE
AUDIT FOR THE FINANCIAL YEAR 2021.
CONSEQUENTLY, AUDIT FIRM ERNST & YOUNG OY
WAS ELECTED AS THE AUDITOR OF THE COMPANY
FOR THE FINANCIAL YEAR 2021 ALREADY IN THE
GENERAL MEETING 2020. THEREFORE, THE AUDIT
COMMITTEE OF THE BOARD OF DIRECTORS NOW
PROPOSES TO THE GENERAL MEETING THAT
AUDIT FIRM ERNST & YOUNG OY BE ELECTED AS
THE AUDITOR OF THE COMPANY FOR A TERM
ENDING AT THE CONCLUSION OF THE FOLLOWING
ANNUAL GENERAL MEETING | Management | | For | | For | | |
| | 17 | AUTHORIZING THE BOARD OF DIRECTORS TO
DECIDE ON THE REPURCHASE OF THE COMPANY'S
OWN SHARES | Management | | For | | For | | |
| | 18 | AUTHORIZING THE BOARD OF DIRECTORS TO
DECIDE ON THE ISSUANCE OF SHARES AS WELL AS
THE ISSUANCE OF OPTIONS AND OTHER SPECIAL
RIGHTS ENTITLING TO SHARES | Management | | For | | For | | |
| | 19 | CLOSING OF THE MEETING | Non-Voting | | | | | | |
| | CMMT | 02 FEB 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | 02 FEB 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | STELLANTIS N.V. | | |
| | Security | N82405106 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 08-Mar-2021 | |
| | ISIN | NL00150001Q9 | | | | | | Agenda | 713572421 - Management |
| | Record Date | 08-Feb-2021 | | | | | | Holding Recon Date | 08-Feb-2021 | |
| | City / | Country | VIRTUAL | / | Netherlands | | | | | Vote Deadline Date | 23-Feb-2021 | |
| | SEDOL(s) | BM9RCN2 - BMD8F98 - BND74C8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPEN MEETING | Non-Voting | | | | | | |
| | 2 | APPROVE FAURECIA DISTRIBUTION | Management | | For | | For | | |
| | 3 | CLOSE MEETING | Non-Voting | | | | | | |
| | CMMT | 28 JAN 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | CMMT | 28 JAN 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | NIPPON BUILDING FUND INC. | | |
| | Security | J52088101 | | | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 09-Mar-2021 | |
| | ISIN | JP3027670003 | | | | | | Agenda | 713609951 - Management |
| | Record Date | 31-Dec-2020 | | | | | | Holding Recon Date | 31-Dec-2020 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 01-Mar-2021 | |
| | SEDOL(s) | 6396800 - B02JMS6 - B0ZSKQ4 | | | | Quick Code | 89510 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | Appoint an Executive Director Nishiyama, Koichi | Management | | For | | For | | |
| | 2.1 | Appoint a Substitute Executive Director Tanabe,
Yoshiyuki | Management | | For | | For | | |
| | 2.2 | Appoint a Substitute Executive Director Shibata, Morio | Management | | For | | For | | |
| | 3.1 | Appoint a Supervisory Director Sato, Motohiko | Management | | For | | For | | |
| | 3.2 | Appoint a Supervisory Director Okada, Masaki | Management | | For | | For | | |
| | 3.3 | Appoint a Supervisory Director Hayashi, Keiko | Management | | For | | For | | |
| | JOHNSON CONTROLS INTERNATIONAL PLC | | |
| | Security | G51502105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JCI | | | | | | Meeting Date | 10-Mar-2021 | |
| | ISIN | IE00BY7QL619 | | | | | | Agenda | 935328244 - Management |
| | Record Date | 07-Jan-2021 | | | | | | Holding Recon Date | 07-Jan-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 09-Mar-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Jean Blackwell | Management | | For | | For | | |
| | 1B. | Election of Director: Pierre Cohade | Management | | For | | For | | |
| | 1C. | Election of Director: Michael E. Daniels | Management | | For | | For | | |
| | 1D. | Election of Director: Juan Pablo del Valle Perochena | Management | | For | | For | | |
| | 1E. | Election of Director: W. Roy Dunbar | Management | | For | | For | | |
| | 1F. | Election of Director: Gretchen R. Haggerty | Management | | For | | For | | |
| | 1G. | Election of Director: Simone Menne | Management | | For | | For | | |
| | 1H. | Election of Director: George R. Oliver | Management | | For | | For | | |
| | 1I. | Election of Director: Jürgen Tinggren | Management | | For | | For | | |
| | 1J. | Election of Director: Mark Vergnano | Management | | For | | For | | |
| | 1K. | Election of Director: R. David Yost | Management | | For | | For | | |
| | 1L. | Election of Director: John D. Young | Management | | For | | For | | |
| | 2.A | To ratify the appointment of PricewaterhouseCoopers
LLP as the independent auditors of the Company. | Management | | For | | For | | |
| | 2.B | To authorize the Audit Committee of the Board of
Directors to set the auditors' remuneration. | Management | | For | | For | | |
| | 3. | To authorize the Company and/or any subsidiary of the
Company to make market purchases of Company
shares. | Management | | For | | For | | |
| | 4. | To determine the price range at which the Company can
re-allot shares that it holds as treasury shares (Special
Resolution). | Management | | For | | For | | |
| | 5. | To approve, in a non-binding advisory vote, the
compensation of the named executive officers. | Management | | For | | For | | |
| | 6. | To approve the Johnson Controls International plc 2021
Equity and Incentive Plan. | Management | | For | | For | | |
| | 7. | To approve the Directors' authority to allot shares up to
approximately 33% of issued share capital. | Management | | For | | For | | |
| | 8. | To approve the waiver of statutory pre-emption rights with
respect to up to 5% of issued share capital (Special
Resolution). | Management | | For | | For | | |
| | AMERISOURCEBERGEN CORPORATION | | |
| | Security | 03073E105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ABC | | | | | | Meeting Date | 11-Mar-2021 | |
| | ISIN | US03073E1055 | | | | | | Agenda | 935328939 - Management |
| | Record Date | 11-Jan-2021 | | | | | | Holding Recon Date | 11-Jan-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 10-Mar-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Ornella Barra | Management | | For | | For | | |
| | 1B. | Election of Director: Steven H. Collis | Management | | For | | For | | |
| | 1C. | Election of Director: D. Mark Durcan | Management | | For | | For | | |
| | 1D. | Election of Director: Richard W. Gochnauer | Management | | For | | For | | |
| | 1E. | Election of Director: Lon R. Greenberg | Management | | For | | For | | |
| | 1F. | Election of Director: Jane E. Henney, M.D. | Management | | For | | For | | |
| | 1G. | Election of Director: Kathleen W. Hyle | Management | | For | | For | | |
| | 1H. | Election of Director: Michael J. Long | Management | | For | | For | | |
| | 1I. | Election of Director: Henry W. McGee | Management | | For | | For | | |
| | 1J. | Election of Director: Dennis M. Nally | Management | | For | | For | | |
| | 2. | Ratification of Ernst & Young LLP as the Company's
independent registered public accounting firm for fiscal
year 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve the compensation of named
executive officers. | Management | | Against | | Against | | |
| | 4. | Stockholder proposal, if properly presented, to adopt a
policy that the Chair of the Board be an Independent
Director. | Shareholder | | Against | | For | | |
| | KEYSIGHT TECHNOLOGIES, INC. | | |
| | Security | 49338L103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KEYS | | | | | | Meeting Date | 18-Mar-2021 | |
| | ISIN | US49338L1035 | | | | | | Agenda | 935329361 - Management |
| | Record Date | 19-Jan-2021 | | | | | | Holding Recon Date | 19-Jan-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 17-Mar-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1.1 | Election of Director: Ronald S. Nersesian | Management | | For | | For | | |
| | 1.2 | Election of Director: Charles J. Dockendorff | Management | | For | | For | | |
| | 1.3 | Election of Director: Robert A. Rango | Management | | For | | For | | |
| | 2. | To ratify the Audit and Finance Committee's appointment
of PricewaterhouseCoopers LLP as Keysight's
independent registered public accounting firm. | Management | | For | | For | | |
| | 3. | To approve, on a non-binding advisory basis, the
compensation of Keysight's named executive officers. | Management | | For | | For | | |
| | 4. | To approve, on a non-binding advisory basis, the
frequency of the stockholder vote on the compensation of
Keysight's named executive officers. | Management | | 1 Year | | For | | |
| | DAIMLER AG | | |
| | Security | D1668R123 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 31-Mar-2021 | |
| | ISIN | DE0007100000 | | | | | | Agenda | 713616324 - Management |
| | Record Date | 26-Mar-2021 | | | | | | Holding Recon Date | 26-Mar-2021 | |
| | City / | Country | VIRTUAL
LY | / | Germany | | | | | Vote Deadline Date | 23-Mar-2021 | |
| | SEDOL(s) | 5529027 - 5543890 - B0Z52W5 -
B7N2TQ0 - BF0Z850 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 1.35 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | Abstain | | Against | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | Abstain | | Against | | |
| | 5.1 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR
2021 | Management | | For | | For | | |
| | 5.2 | RATIFY KPMG AG AS AUDITORS FOR THE 2022
INTERIM FINANCIAL STATEMENTS UNTIL THE 2022
AGM | Management | | For | | For | | |
| | 5.3 | RATIFY KPMG AG AS AUDITORS OF THE FINAL
BALANCE SHEETS REQUIRED UNDER THE GERMAN
REORGANIZATION ACT | Management | | For | | For | | |
| | 6.1 | ELECT ELIZABETH CENTONI TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.2 | ELECT BEN VAN BEURDEN TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.3 | ELECT MARTIN BRUDERMUELLER TO THE
SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | 8 | AMEND ARTICLES RE: PARTICIPATION OF
SUPERVISORY BOARD MEMBERS IN THE ANNUAL
GENERAL MEETING BY MEANS OF AUDIO AND
VIDEO TRANSMISSION | Management | | For | | For | | |
| | 9 | AMEND ARTICLES RE: PLACE OF JURISDICTION | Management | | Against | | Against | | |
| | CMMT | 24 FEB 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | CMMT | 22 FEB 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | 24 FEB 2021: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIS)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIS TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | VOLVO AB | | |
| | Security | 928856301 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 31-Mar-2021 | |
| | ISIN | SE0000115446 | | | | | | Agenda | 713622341 - Management |
| | Record Date | 23-Mar-2021 | | | | | | Holding Recon Date | 23-Mar-2021 | |
| | City / | Country | TBD | / | Sweden | | | | | Vote Deadline Date | 23-Mar-2021 | |
| | SEDOL(s) | B1QH830 - B1S86N7 - B1WJ636 -
BG43ND0 - BJ056P4 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS
AN AGAINST VOTE IF THE MEETING-REQUIRES
APPROVAL FROM THE MAJORITY OF PARTICIPANTS
TO PASS A RESOLUTION | Non-Voting | | | | | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) IS REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | ELECTION OF CHAIRMAN OF THE MEETING:
ATTORNEY SVEN UNGER | Non-Voting | | | | | | |
| | 2 | ELECTION OF PERSONS TO APPROVE THE
MINUTES | Non-Voting | | | | | | |
| | 3 | PREPARATION AND APPROVAL OF THE VOTING
LIST | Non-Voting | | | | | | |
| | 4 | APPROVAL OF THE AGENDA | Non-Voting | | | | | | |
| | 5 | DETERMINATION OF WHETHER THE MEETING HAS
BEEN DULY CONVENED | Non-Voting | | | | | | |
| | 6 | PRESENTATION OF THE ANNUAL REPORT AND THE
AUDITOR'S REPORT AS WELL AS THE-
CONSOLIDATED ACCOUNTS AND THE AUDITOR'S
REPORT ON THE CONSOLIDATED ACCOUNTS | Non-Voting | | | | | | |
| | 7 | ADOPTION OF THE INCOME STATEMENT AND
BALANCE SHEET AND THE CONSOLIDATED INCOME
STATEMENT AND CONSOLIDATED BALANCE SHEET | Management | | For | | For | | |
| | 8 | RESOLUTION IN RESPECT OF THE DISPOSITION TO
BE MADE OF THE COMPANY'S PROFITS: THE
BOARD PROPOSES PAYMENT OF AN ORDINARY
DIVIDEND OF SEK 6.00 PER SHARE AND AN EXTRA
DIVIDEND OF SEK 9.00 PER SHARE AND THAT THE
RECORD DATE TO RECEIVE THE DIVIDEND SHALL
BE APRIL 6, 2021 | Management | | For | | For | | |
| | 9.1 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MATTI ALAHUHTA | Management | | For | | For | | |
| | 9.2 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: ECKHARD CORDES | Management | | For | | For | | |
| | 9.3 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: ERIC ELZVIK | Management | | For | | For | | |
| | 9.4 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: KURT JOFS | Management | | For | | For | | |
| | 9.5 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: JAMES W. GRIFFITH | Management | | For | | For | | |
| | 9.6 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MARTIN LUNDSTEDT (AS
BOARD MEMBER) | Management | | For | | For | | |
| | 9.7 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: KATHRYN V. MARINELLO | Management | | For | | For | | |
| | 9.8 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MARTINA MERZ | Management | | For | | For | | |
| | 9.9 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: HANNE DE MORA | Management | | For | | For | | |
| | 9.10 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: HELENA STJERNHOLM | Management | | For | | For | | |
| | 9.11 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: CARL-HENRIC SVANBERG | Management | | For | | For | | |
| | 9.12 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: LARS ASK (EMPLOYEE
REPRESENTATIVE) | Management | | For | | For | | |
| | 9.13 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MATS HENNING (EMPLOYEE
REPRESENTATIVE) | Management | | For | | For | | |
| | 9.14 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MIKAEL SALLSTROM
(EMPLOYEE REPRESENTATIVE) | Management | | For | | For | | |
| | 9.15 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: CAMILLA JOHANSSON
(EMPLOYEE REPRESENTATIVE, DEPUTY) | Management | | For | | For | | |
| | 9.16 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MARI LARSSON (EMPLOYEE
REPRESENTATIVE, DEPUTY) | Management | | For | | For | | |
| | 9.17 | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY OF THE BOARD MEMBERS AND OF THE
PRESIDENT AND CEO: MARTIN LUNDSTEDT (AS
PRESIDENT AND CEO) | Management | | For | | For | | |
| | 10.1 | DETERMINATION OF THE NUMBER OF BOARD
MEMBERS AND DEPUTY BOARD MEMBERS TO BE
ELECTED BY THE MEETING: NUMBER OF BOARD
MEMBERS: ELEVEN MEMBERS | Management | | For | | For | | |
| | 10.2 | DETERMINATION OF THE NUMBER OF BOARD
MEMBERS AND DEPUTY BOARD MEMBERS TO BE
ELECTED BY THE MEETING: NUMBER OF DEPUTY
BOARD MEMBERS: NO DEPUTY MEMBERS | Management | | For | | For | | |
| | 11 | DETERMINATION OF THE REMUNERATION TO THE
BOARD MEMBERS | Management | | For | | For | | |
| | 12.1 | ELECTION OF BOARD MEMBER: MATTI ALAHUHTA
(RE-ELECTION) | Management | | For | | For | | |
| | 12.2 | ELECTION OF BOARD MEMBER: ECKHARD CORDES
(RE-ELECTION) | Management | | For | | For | | |
| | 12.3 | ELECTION OF BOARD MEMBER: ERIC ELZVIK (RE-
ELECTION) | Management | | For | | For | | |
| | 12.4 | ELECTION OF BOARD MEMBER: MARTHA FINN
BROOKS (NEW ELECTION) | Management | | For | | For | | |
| | 12.5 | ELECTION OF BOARD MEMBER: KURT JOFS (RE-
ELECTION) | Management | | For | | For | | |
| | 12.6 | ELECTION OF BOARD MEMBER: MARTIN
LUNDSTEDT (RE-ELECTION) | Management | | For | | For | | |
| | 12.7 | ELECTION OF BOARD MEMBER: KATHRYN V.
MARINELLO (RE-ELECTION) | Management | | For | | For | | |
| | 12.8 | ELECTION OF BOARD MEMBER: MARTINA MERZ
(RE-ELECTION) | Management | | For | | For | | |
| | 12.9 | ELECTION OF BOARD MEMBER: HANNE DE MORA
(RE-ELECTION) | Management | | For | | For | | |
| | 12.10 | ELECTION OF BOARD MEMBER: HELENA
STJERNHOLM (RE-ELECTION) | Management | | For | | For | | |
| | 12.11 | ELECTION OF BOARD MEMBER: CARL-HENRIC
SVANBERG (RE-ELECTION) | Management | | For | | For | | |
| | 13 | ELECTION OF THE CHAIRMAN OF THE BOARD: THE
ELECTION COMMITTEE PROPOSES RE-ELECTION
OF CARL-HENRIC SVANBERG AS CHAIRMAN OF THE
BOARD: CARL-HENRIC SVANBERG (RE-ELECTION) | Management | | For | | For | | |
| | 14.1 | ELECTION OF MEMBER OF THE ELECTION
COMMITTEE: BENGT KJELL (AB INDUSTRIVARDEN) | Management | | For | | For | | |
| | 14.2 | ELECTION OF MEMBER OF THE ELECTION
COMMITTEE: ANDERS OSCARSSON (AMF AND AMF
FUNDS) | Management | | For | | For | | |
| | 14.3 | ELECTION OF MEMBER OF THE ELECTION
COMMITTEE: RAMSAY BRUFER (ALECTA) | Management | | For | | For | | |
| | 14.4 | ELECTION OF MEMBER OF THE ELECTION
COMMITTEE: CARINE SMITH IHENACHO (NORGES
BANK INVESTMENT MANAGEMENT) | Management | | For | | For | | |
| | 14.5 | ELECTION OF MEMBER OF THE ELECTION
COMMITTEE: CHAIRMAN OF THE BOARD | Management | | For | | For | | |
| | 15 | PRESENTATION OF THE BOARD'S REMUNERATION
REPORT FOR APPROVAL | Management | | For | | For | | |
| | 16 | RESOLUTION REGARDING REMUNERATION POLICY
FOR SENIOR EXECUTIVES | Management | | For | | For | | |
| | 17 | RESOLUTION REGARDING AMENDMENTS TO THE
ARTICLES OF ASSOCIATION: THE BOARD
PROPOSES THAT THE ANNUAL GENERAL MEETING
RESOLVES TO AMEND SECTION 6 PARAGRAPH 1
OF THE ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | 18 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: PROPOSAL FROM THE
SHAREHOLDER CARL AXEL BRUNO REGARDING
LIMITATION OF THE COMPANY'S CONTRIBUTIONS
TO CHALMERS UNIVERSITY OF TECHNOLOGY
FOUNDATION: THE SHAREHOLDER CARL AXEL
BRUNO PROPOSES THAT THE ANNUAL GENERAL
MEETING DECIDES UPON LIMITATION OF THE
COMPANY'S CONTRIBUTIONS TO CHALMERS
UNIVERSITY OF TECHNOLOGY FOUNDATION TO A
MAXIMUM OF SEK 4 MILLION PER YEAR | Shareholder | | Against | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | DEUTSCHE TELEKOM AG | | |
| | Security | D2035M136 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 01-Apr-2021 | |
| | ISIN | DE0005557508 | | | | | | Agenda | 713657762 - Management |
| | Record Date | 29-Mar-2021 | | | | | | Holding Recon Date | 29-Mar-2021 | |
| | City / | Country | BONN | / | Germany | | | | | Vote Deadline Date | 24-Mar-2021 | |
| | SEDOL(s) | 5842359 - B07G5Q1 - B0ZKVH8 -
B7M5XW4 - B92MTP4 - BF0Z6Y5 -
BFNKQY7 - BZ9NRX6 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 0.60 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 5.1 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR FISCAL YEAR 2021 | Management | | For | | For | | |
| | 5.2 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR THE 2021 INTERIM FINANCIAL
STATEMENTS | Management | | For | | For | | |
| | 5.3 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR THE FIRST QUARTER OF FISCAL
YEAR 2021 | Management | | For | | For | | |
| | 5.4 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR THE THIRD QUARTER OF FISCAL
YEAR 2021 AND FIRST QUARTER OF FISCAL YEAR
2022 | Management | | For | | For | | |
| | 6 | ELECT HELGA JUNG TO THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | AUTHORIZE SHARE REPURCHASE PROGRAM AND
REISSUANCE OR CANCELLATION OF
REPURCHASED SHARES | Management | | For | | For | | |
| | 8 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN
REPURCHASING SHARES | Management | | For | | For | | |
| | 9 | APPROVE REMUNERATION POLICY | Management | | For | | For | | |
| | 10 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | 11 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: SHAREHOLDER
PROPOSAL SUBMITTED BY DEUTSCHE
SCHUTZVEREINIGUNG FUER WERTPAPIERBESITZ
E.V. (DSW): AMEND ARTICLES RE: SHAREHOLDERS'
RIGHT TO PARTICIPATION DURING THE VIRTUAL
MEETING | Shareholder | | For | | Against | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 522716 DUE TO RECEIPT OF-
ADDITIONAL RESOLUTION 11. ALL VOTES
RECEIVED ON THE PREVIOUS MEETING WILL BE-
DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE. THANK
YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | CMMT | 16 MAR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | 16 MAR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | | |
| | Security | 806857108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SLB | | | | | | Meeting Date | 07-Apr-2021 | |
| | ISIN | AN8068571086 | | | | | | Agenda | 935338170 - Management |
| | Record Date | 17-Feb-2021 | | | | | | Holding Recon Date | 17-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 06-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1.1 | Election of Director: Patrick de La Chevardière | Management | | For | | For | | |
| | 1.2 | Election of Director: Miguel M. Galuccio | Management | | For | | For | | |
| | 1.3 | Election of Director: Olivier Le Peuch | Management | | For | | For | | |
| | 1.4 | Election of Director: Tatiana A. Mitrova | Management | | For | | For | | |
| | 1.5 | Election of Director: Maria M. Hanssen | Management | | For | | For | | |
| | 1.6 | Election of Director: Mark G. Papa | Management | | For | | For | | |
| | 1.7 | Election of Director: Henri Seydoux | Management | | For | | For | | |
| | 1.8 | Election of Director: Jeff W. Sheets | Management | | For | | For | | |
| | 2. | Approval of the advisory resolution to approve our
executive compensation. | Management | | For | | For | | |
| | 3. | Approval of our consolidated balance sheet as of
December 31, 2020; our consolidated statement of
income for the year ended December 31, 2020; and our
Board of Directors' declarations of dividends in 2020, as
reflected in our 2020 Annual Report to Stockholders. | Management | | For | | For | | |
| | 4. | Ratification of the appointment of
PricewaterhouseCoopers LLP as our independent
auditors for 2021. | Management | | For | | For | | |
| | 5. | Approval of an amendment and restatement of the 2017
Schlumberger Omnibus Stock Incentive Plan. | Management | | For | | For | | |
| | 6. | Approval of an amendment and restatement of the
Schlumberger Discounted Stock Purchase Plan. | Management | | For | | For | | |
| | 7. | Approval of an amendment and restatement of the 2004
Stock and Deferral Plan for Non-Employee Directors. | Management | | For | | For | | |
| | LENNAR CORPORATION | | |
| | Security | 526057104 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LEN | | | | | | Meeting Date | 07-Apr-2021 | |
| | ISIN | US5260571048 | | | | | | Agenda | 935339300 - Management |
| | Record Date | 16-Feb-2021 | | | | | | Holding Recon Date | 16-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 06-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director to serve until the 2022 Annual
Meeting: Amy Banse | Management | | For | | For | | |
| | 1B. | Election of Director to serve until the 2022 Annual
Meeting: Rick Beckwitt | Management | | For | | For | | |
| | 1C. | Election of Director to serve until the 2022 Annual
Meeting: Steven L. Gerard | Management | | For | | For | | |
| | 1D. | Election of Director to serve until the 2022 Annual
Meeting: Tig Gilliam | Management | | For | | For | | |
| | 1E. | Election of Director to serve until the 2022 Annual
Meeting: Sherrill W. Hudson | Management | | For | | For | | |
| | 1F. | Election of Director to serve until the 2022 Annual
Meeting: Jonathan M. Jaffe | Management | | For | | For | | |
| | 1G. | Election of Director to serve until the 2022 Annual
Meeting: Sidney Lapidus | Management | | For | | For | | |
| | 1H. | Election of Director to serve until the 2022 Annual
Meeting: Teri P. McClure | Management | | For | | For | | |
| | 1I. | Election of Director to serve until the 2022 Annual
Meeting: Stuart Miller | Management | | For | | For | | |
| | 1J. | Election of Director to serve until the 2022 Annual
Meeting: Armando Olivera | Management | | For | | For | | |
| | 1K. | Election of Director to serve until the 2022 Annual
Meeting: Jeffrey Sonnenfeld | Management | | For | | For | | |
| | 2. | Approval, on an advisory basis, of the compensation of
our named executive officers. | Management | | Against | | Against | | |
| | 3. | Ratification of the appointment of Deloitte & Touche LLP
as our independent registered public accounting firm for
our fiscal year ending November 30, 2021. | Management | | For | | For | | |
| | 4. | Approval of a stockholder proposal regarding our
common stock voting structure. | Shareholder | | For | | Against | | |
| | CANADIAN IMPERIAL BANK OF COMMERCE | | |
| | Security | 136069101 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 08-Apr-2021 | |
| | ISIN | CA1360691010 | | | | | | Agenda | 713657914 - Management |
| | Record Date | 08-Feb-2021 | | | | | | Holding Recon Date | 08-Feb-2021 | |
| | City / | Country | TBD | / | Canada | | | | | Vote Deadline Date | 02-Apr-2021 | |
| | SEDOL(s) | 2170525 - 2418872 - 5619694 -
BD6T9C6 - BHZLCD3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN'
ONLY FOR RESOLUTION NUMBERS-1.1 TO 1.14 AND
2. THANK YOU | Non-Voting | | | | | | |
| | 1.1 | ELECTION OF DIRECTOR: CHARLES J.G.
BRINDAMOUR | Management | | For | | For | | |
| | 1.2 | ELECTION OF DIRECTOR: NANCI E. CALDWELL | Management | | For | | For | | |
| | 1.3 | ELECTION OF DIRECTOR: MICHELLE L. COLLINS | Management | | For | | For | | |
| | 1.4 | ELECTION OF DIRECTOR: PATRICK D. DANIEL | Management | | For | | For | | |
| | 1.5 | ELECTION OF DIRECTOR: LUC DESJARDINS | Management | | For | | For | | |
| | 1.6 | ELECTION OF DIRECTOR: VICTOR G. DODIG | Management | | For | | For | | |
| | 1.7 | ELECTION OF DIRECTOR: KEVIN J. KELLY | Management | | For | | For | | |
| | 1.8 | ELECTION OF DIRECTOR: CHRISTINE E. LARSEN | Management | | For | | For | | |
| | 1.9 | ELECTION OF DIRECTOR: NICHOLAS D. LE PAN | Management | | For | | For | | |
| | 1.10 | ELECTION OF DIRECTOR: MARY LOU MAHER | Management | | For | | For | | |
| | 1.11 | ELECTION OF DIRECTOR: JANE L. PEVERETT | Management | | For | | For | | |
| | 1.12 | ELECTION OF DIRECTOR: KATHARINE B.
STEVENSON | Management | | For | | For | | |
| | 1.13 | ELECTION OF DIRECTOR: MARTINE TURCOTTE | Management | | For | | For | | |
| | 1.14 | ELECTION OF DIRECTOR: BARRY L. ZUBROW | Management | | For | | For | | |
| | 2 | APPOINTMENT OF ERNST & YOUNG LLP AS
AUDITORS | Management | | For | | For | | |
| | 3 | ADVISORY RESOLUTION ON OUR EXECUTIVE
COMPENSATION APPROACH | Management | | For | | For | | |
| | 4 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: CIRCULAR ECONOMY -
IT IS PROPOSED THAT THE BANK PRODUCE A
REPORT ON THE LOANS IT HAS MADE IN RECENT
YEARS TO SUPPORT THE CIRCULAR ECONOMY | Shareholder | | Against | | For | | |
| | UBS GROUP AG | | |
| | Security | H42097107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 08-Apr-2021 | |
| | ISIN | CH0244767585 | | | | | | Agenda | 713672954 - Management |
| | Record Date | 01-Apr-2021 | | | | | | Holding Recon Date | 01-Apr-2021 | |
| | City / | Country | ZURICH | / | Switzerland | | | | | Vote Deadline Date | 30-Mar-2021 | |
| | SEDOL(s) | BRJL176 - BRTR118 - BSQX8C6 -
BSZLML8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE UBS GROUP AG MANAGEMENT
REPORT AND CONSOLIDATED AND STANDALONE
FINANCIAL STATEMENTS FOR THE 2020 FINANCIAL
YEAR | Management | | For | | For | | |
| | 2 | ADVISORY VOTE ON THE UBS GROUP AG
COMPENSATION REPORT 2020 | Management | | For | | For | | |
| | 3 | APPROPRIATION OF TOTAL PROFIT AND
DISTRIBUTION OF ORDINARY DIVIDEND OUT OF
TOTAL PROFIT AND CAPITAL CONTRIBUTION
RESERVE | Management | | For | | For | | |
| | 4 | DISCHARGE OF THE MEMBERS OF THE BOARD OF
DIRECTORS AND THE GROUP EXECUTIVE BOARD
FOR THE 2020 FINANCIAL YEAR | Management | | For | | For | | |
| | 5.1 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: AXEL A. WEBER, AS CHAIRMAN OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 5.2 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: JEREMY ANDERSON | Management | | For | | For | | |
| | 5.3 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: WILLIAM C. DUDLEY | Management | | For | | For | | |
| | 5.4 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: RETO FRANCIONI | Management | | For | | For | | |
| | 5.5 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: FRED HU | Management | | For | | For | | |
| | 5.6 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: MARK HUGHES | Management | | For | | For | | |
| | 5.7 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: NATHALIE RACHOU | Management | | For | | For | | |
| | 5.8 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: JULIE G. RICHARDSON | Management | | For | | For | | |
| | 5.9 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: DIETER WEMMER | Management | | For | | For | | |
| | 5.10 | RE-ELECTION OF MEMBER OF THE BOARD OF
DIRECTORS: JEANETTE WONG | Management | | For | | For | | |
| | 6.1 | ELECTION OF NEW MEMBER TO THE BOARD OF
DIRECTORS: CLAUDIA BOCKSTIEGEL | Management | | For | | For | | |
| | 6.2 | ELECTION OF NEW MEMBER TO THE BOARD OF
DIRECTORS: PATRICK FIRMENICH | Management | | For | | For | | |
| | 7.1 | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: JULIE G.
RICHARDSON | Management | | For | | For | | |
| | 7.2 | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: RETO FRANCIONI | Management | | For | | For | | |
| | 7.3 | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: DIETER WEMMER | Management | | For | | For | | |
| | 7.4 | ELECTION OF THE MEMBER OF THE
COMPENSATION COMMITTEE: JEANETTE WONG | Management | | For | | For | | |
| | 8.1 | APPROVAL OF THE MAXIMUM AGGREGATE
AMOUNT OF COMPENSATION FOR THE MEMBERS
OF THE BOARD OF DIRECTORS FROM THE 2021
AGM TO THE 2022 AGM | Management | | For | | For | | |
| | 8.2 | APPROVAL OF THE AGGREGATE AMOUNT OF
VARIABLE COMPENSATION FOR THE MEMBERS OF
THE GROUP EXECUTIVE BOARD FOR THE 2020
FINANCIAL YEAR | Management | | For | | For | | |
| | 8.3 | APPROVAL OF THE MAXIMUM AGGREGATE
AMOUNT OF FIXED COMPENSATION FOR THE
MEMBERS OF THE GROUP EXECUTIVE BOARD FOR
THE 2022 FINANCIAL YEAR | Management | | For | | For | | |
| | 9.1 | RE-ELECTION OF THE INDEPENDENT PROXY, ADB
ALTORFER DUSS & BEILSTEIN AG, ZURICH | Management | | For | | For | | |
| | 9.2 | RE-ELECTION OF THE AUDITORS, ERNST & YOUNG
LTD, BASEL | Management | | For | | For | | |
| | 9.3 | RE-ELECTION OF THE SPECIAL AUDITORS, BDO AG,
ZURICH | Management | | For | | For | | |
| | 10 | AMENDMENTS OF THE ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | 11 | REDUCTION OF SHARE CAPITAL BY WAY OF
CANCELLATION OF SHARES REPURCHASED UNDER
THE 2018 - 2021 SHARE BUYBACK PROGRAM | Management | | For | | For | | |
| | 12 | APPROVAL OF A NEW SHARE BUYBACK PROGRAM
2021 - 2024 | Management | | For | | For | | |
| | RIO TINTO PLC | | |
| | Security | G75754104 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 09-Apr-2021 | |
| | ISIN | GB0007188757 | | | | | | Agenda | 713665341 - Management |
| | Record Date | | | | | | | Holding Recon Date | 07-Apr-2021 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 06-Apr-2021 | |
| | SEDOL(s) | 0718875 - 5725676 - B0CRGK0 -
BJ4XHR3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS | Management | | For | | For | | |
| | 2 | APPROVE REMUNERATION POLICY | Management | | For | | For | | |
| | 3 | APPROVE REMUNERATION REPORT FOR UK LAW
PURPOSES | Management | | Against | | Against | | |
| | 4 | APPROVE REMUNERATION REPORT FOR
AUSTRALIAN LAW PURPOSES | Management | | Against | | Against | | |
| | 5 | RE-ELECT MEGAN CLARK AS DIRECTOR | Management | | For | | For | | |
| | 6 | RE-ELECT HINDA GHARBI AS DIRECTOR | Management | | For | | For | | |
| | 7 | RE-ELECT SIMON HENRY AS DIRECTOR | Management | | For | | For | | |
| | 8 | RE-ELECT SAM LAIDLAW AS DIRECTOR | Management | | For | | For | | |
| | 9 | RE-ELECT SIMON MCKEON AS DIRECTOR | Management | | For | | For | | |
| | 10 | RE-ELECT JENNIFER NASON AS DIRECTOR | Management | | For | | For | | |
| | 11 | RE-ELECT JAKOB STAUSHOLM AS DIRECTOR | Management | | For | | For | | |
| | 12 | RE-ELECT SIMON THOMPSON AS DIRECTOR | Management | | For | | For | | |
| | 13 | RE-ELECT NGAIRE WOODS AS DIRECTOR | Management | | For | | For | | |
| | 14 | REAPPOINT KPMG LLP AS AUDITORS | Management | | For | | For | | |
| | 15 | AUTHORISE THE AUDIT COMMITTEE TO FIX
REMUNERATION OF AUDITORS | Management | | For | | For | | |
| | 16 | AUTHORISE EU POLITICAL DONATIONS AND
EXPENDITURE | Management | | For | | For | | |
| | 17 | APPROVE GLOBAL EMPLOYEE SHARE PLAN | Management | | For | | For | | |
| | 18 | APPROVE UK SHARE PLAN | Management | | For | | For | | |
| | 19 | AUTHORISE ISSUE OF EQUITY | Management | | For | | For | | |
| | 20 | AUTHORISE ISSUE OF EQUITY WITHOUT PRE-
EMPTIVE RIGHTS | Management | | For | | For | | |
| | 21 | AUTHORISE MARKET PURCHASE OF ORDINARY
SHARES | Management | | For | | For | | |
| | 22 | AUTHORISE THE COMPANY TO CALL GENERAL
MEETING WITH TWO WEEKS' NOTICE | Management | | For | | For | | |
| | FIFTH THIRD BANCORP | | |
| | Security | 316773100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FITB | | | | | | Meeting Date | 13-Apr-2021 | |
| | ISIN | US3167731005 | | | | | | Agenda | 935338980 - Management |
| | Record Date | 19-Feb-2021 | | | | | | Holding Recon Date | 19-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 12-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Nicholas K. Akins | Management | | For | | For | | |
| | 1B. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: B.
Evan Bayh, III | Management | | For | | For | | |
| | 1C. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Jorge
L. Benitez | Management | | For | | For | | |
| | 1D. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Katherine B. Blackburn | Management | | For | | For | | |
| | 1E. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Emerson L. Brumback | Management | | For | | For | | |
| | 1F. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Greg
D. Carmichael | Management | | For | | For | | |
| | 1G. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Linda
W. Clement-Holmes | Management | | For | | For | | |
| | 1H. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: C.
Bryan Daniels | Management | | For | | For | | |
| | 1I. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Mitchell S. Feiger | Management | | For | | For | | |
| | 1J. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Thomas H. Harvey | Management | | For | | For | | |
| | 1K. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Gary
R. Heminger | Management | | For | | For | | |
| | 1L. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Jewell
D. Hoover | Management | | For | | For | | |
| | 1M. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Eileen
A. Mallesch | Management | | For | | For | | |
| | 1N. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022:
Michael B. McCallister | Management | | For | | For | | |
| | 1O. | Election of member of the Board of Directors to serve
until the Annual Meeting of Shareholders in 2022: Marsha
C. Williams | Management | | For | | For | | |
| | 2. | Ratification of the appointment of the firm of Deloitte &
Touche LLP to serve as the independent external audit
firm for the Company for the year 2021. | Management | | For | | For | | |
| | 3. | An advisory vote on approval of the Company's executive
compensation. | Management | | For | | For | | |
| | 4. | An advisory vote to determine whether the shareholder
vote on the compensation of the Company's executives
will occur every 1, 2, or 3 years. | Management | | 1 Year | | For | | |
| | 5. | Approval of the Fifth Third Bancorp 2021 Incentive
Compensation Plan, including the issuance of shares of
common stock authorized thereunder. | Management | | For | | For | | |
| | 6. | Approval of an amendment to the Fifth Third Bancorp
Articles of Incorporation to eliminate statutory
supermajority vote requirements. | Management | | For | | For | | |
| | 7. | Approval of an amendment to the Fifth Third Bancorp
Articles of Incorporation to eliminate cumulative voting. | Management | | For | | For | | |
| | HP INC. | | |
| | Security | 40434L105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HPQ | | | | | | Meeting Date | 13-Apr-2021 | |
| | ISIN | US40434L1052 | | | | | | Agenda | 935339021 - Management |
| | Record Date | 16-Feb-2021 | | | | | | Holding Recon Date | 16-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 12-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Aida M. Alvarez | Management | | For | | For | | |
| | 1B. | Election of Director: Shumeet Banerji | Management | | For | | For | | |
| | 1C. | Election of Director: Robert R. Bennett | Management | | For | | For | | |
| | 1D. | Election of Director: Charles V. Bergh | Management | | For | | For | | |
| | 1E. | Election of Director: Stacy Brown-Philpot | Management | | For | | For | | |
| | 1F. | Election of Director: Stephanie A. Burns | Management | | For | | For | | |
| | 1G. | Election of Director: Mary Anne Citrino | Management | | For | | For | | |
| | 1H. | Election of Director: Richard Clemmer | Management | | For | | For | | |
| | 1I. | Election of Director: Enrique Lores | Management | | For | | For | | |
| | 1J. | Election of Director: Judith Miscik | Management | | For | | For | | |
| | 1K. | Election of Director: Subra Suresh | Management | | For | | For | | |
| | 2. | To ratify the appointment of Ernst & Young LLP as HP
Inc.'s independent registered public accounting firm for
the fiscal year ending October 31, 2021. | Management | | For | | For | | |
| | 3. | To approve, on an advisory basis, HP Inc.'s executive
compensation. | Management | | For | | For | | |
| | 4. | Stockholder proposal requesting stockholders' right to act
by written consent, if properly presented at the annual
meeting. | Shareholder | | Against | | For | | |
| | KONINKLIJKE AHOLD DELHAIZE N.V. | | |
| | Security | N0074E105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 14-Apr-2021 | |
| | ISIN | NL0011794037 | | | | | | Agenda | 713650718 - Management |
| | Record Date | 17-Mar-2021 | | | | | | Holding Recon Date | 17-Mar-2021 | |
| | City / | Country | TBD | / | Netherlands | | | | | Vote Deadline Date | 08-Apr-2021 | |
| | SEDOL(s) | BD03R31 - BD0PBC4 - BD0Q398 -
BD90078 - BF444G6 - BZ9ND50 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1. | OPENING | Non-Voting | | | | | | |
| | 2. | REPORT OF THE MANAGEMENT BOARD FOR THE
FINANCIAL YEAR 2020 | Non-Voting | | | | | | |
| | 3. | EXPLANATION OF POLICY ON ADDITIONS TO
RESERVES AND DIVIDENDS | Non-Voting | | | | | | |
| | 4. | PROPOSAL TO ADOPT THE 2020 FINANCIAL
STATEMENTS | Management | | For | | For | | |
| | 5. | PROPOSAL TO DETERMINE THE DIVIDEND OVER
FINANCIAL YEAR 2020 | Management | | For | | For | | |
| | 6. | REMUNERATION REPORT | Management | | For | | For | | |
| | 7. | PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE
MEMBERS OF THE MANAGEMENT BOARD | Management | | For | | For | | |
| | 8. | PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE
MEMBERS OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 9. | PROPOSAL TO APPOINT JAN ZIJDERVELD AS A
NEW MEMBER OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 10. | PROPOSAL TO APPOINT BALA SUBRAMANIAN AS
NEW MEMBER OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 11. | PROPOSAL TO RE-APPOINT
PRICEWATERHOUSECOOPERS ACCOUNTANTS N.V.
AS EXTERNAL AUDITOR FOR FINANCIAL YEAR 2021 | Management | | For | | For | | |
| | 12. | AUTHORIZATION TO ISSUE SHARES | Management | | For | | For | | |
| | 13. | AUTHORIZATION TO RESTRICT OR EXCLUDE PRE-
EMPTIVE RIGHTS | Management | | For | | For | | |
| | 14. | AUTHORIZATION TO ACQUIRE COMMON SHARES | Management | | For | | For | | |
| | 15. | CANCELLATION OF SHARES | Management | | For | | For | | |
| | 16. | CLOSING | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | STELLANTIS N.V. | | |
| | Security | N82405106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 15-Apr-2021 | |
| | ISIN | NL00150001Q9 | | | | | | Agenda | 713661482 - Management |
| | Record Date | 18-Mar-2021 | | | | | | Holding Recon Date | 18-Mar-2021 | |
| | City / | Country | AMSTER
DAM | / | Netherlands | | | | | Vote Deadline Date | 30-Mar-2021 | |
| | SEDOL(s) | 7AX1QCU - BM9RCN2 - BMD8F98 -
BND74C8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPENING | Non-Voting | | | | | | |
| | 2.a | REPORT OF THE BOARD OF DIRECTORS FOR THE
FINANCIAL YEAR 2020 | Non-Voting | | | | | | |
| | 2.b | POLICY ON ADDITIONS TO RESERVES AND ON
DIVIDENDS | Non-Voting | | | | | | |
| | 2.c | REMUNERATION REPORT 2020 (ADVISORY VOTING) | Management | | Against | | Against | | |
| | 2.d | ADOPTION OF THE ANNUAL ACCOUNTS 2020 | Management | | For | | For | | |
| | 2.e | EXTRAORDINARY DISTRIBUTION: EUR 0.32 PER
SHARE | Management | | For | | For | | |
| | 2.f | GRANTING OF DISCHARGE TO THE DIRECTORS IN
RESPECT OF THE PERFORMANCE OF THEIR
DUTIES DURING THE FINANCIAL YEAR 2020 | Management | | Against | | Against | | |
| | 3 | PROPOSAL TO APPOINT ERNST & YOUNG
ACCOUNTANTS LLP AS THE COMPANY'S
INDEPENDENT AUDITOR | Management | | For | | For | | |
| | 4.a | PROPOSAL TO AMEND THE REMUNERATION
POLICY OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 4.b | PROPOSAL TO ADOPT THE EQUITY INCENTIVE
PLAN AND AUTHORIZATION TO THE BOARD OF
DIRECTORS (I) TO ISSUE SHARES OR GRANT
RIGHTS TO SUBSCRIBE FOR SHARES AND (II) TO
EXCLUDE PRE-EMPTIVE RIGHTS IN CONNECTION
WITH THE EQUITY INCENTIVE PLAN | Management | | For | | For | | |
| | 5 | PROPOSAL TO AUTHORIZE THE BOARD OF
DIRECTORS TO ACQUIRE FULLY PAID-UP COMMON
SHARES IN THE COMPANY'S OWN SHARE CAPITAL
IN ACCORDANCE WITH ARTICLE 9 OF THE
COMPANY'S ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | 6 | PROPOSAL TO CANCEL ALL CLASS B SPECIAL
VOTING SHARES HELD BY THE COMPANY IN ITS
OWN SHARE CAPITAL IN ACCORDANCE WITH
ARTICLE 10 OF THE COMPANY'S ARTICLES OF
ASSOCIATION | Management | | For | | For | | |
| | 7 | CLOSING | Non-Voting | | | | | | |
| | CMMT | 31 MAR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT-AND
CHANGE IN TEXT OF RESOLUTION 2.e. IF YOU HAVE
ALREADY SENT IN YOUR VOTES,-PLEASE DO NOT
VOTE AGAIN UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | CMMT | 09 MAR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | DOW INC. | | |
| | Security | 260557103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DOW | | | | | | Meeting Date | 15-Apr-2021 | |
| | ISIN | US2605571031 | | | | | | Agenda | 935340567 - Management |
| | Record Date | 22-Feb-2021 | | | | | | Holding Recon Date | 22-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 14-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Samuel R. Allen | Management | | For | | For | | |
| | 1B. | Election of Director: Gaurdie Banister Jr. | Management | | For | | For | | |
| | 1C. | Election of Director: Wesley G. Bush | Management | | For | | For | | |
| | 1D. | Election of Director: Richard K. Davis | Management | | For | | For | | |
| | 1E. | Election of Director: Debra L. Dial | Management | | For | | For | | |
| | 1F. | Election of Director: Jeff M. Fettig | Management | | For | | For | | |
| | 1G. | Election of Director: Jim Fitterling | Management | | For | | For | | |
| | 1H. | Election of Director: Jacqueline C. Hinman | Management | | For | | For | | |
| | 1I. | Election of Director: Luis A. Moreno | Management | | For | | For | | |
| | 1J. | Election of Director: Jill S. Wyant | Management | | For | | For | | |
| | 1K. | Election of Director: Daniel W. Yohannes | Management | | For | | For | | |
| | 2. | Advisory Resolution to Approve Executive
Compensation. | Management | | For | | For | | |
| | 3. | Approval of the Amendment to the 2019 Stock Incentive
Plan. | Management | | For | | For | | |
| | 4. | Approval of the 2021 Employee Stock Purchase Plan. | Management | | For | | For | | |
| | 5. | Ratification of the Appointment of Deloitte & Touche LLP
as the Company's Independent Registered Public
Accounting Firm for 2021. | Management | | For | | For | | |
| | 6. | Stockholder Proposal - Shareholder Right to Act by
Written Consent. | Shareholder | | For | | Against | | |
| | COVESTRO AG | | |
| | Security | D15349109 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 16-Apr-2021 | |
| | ISIN | DE0006062144 | | | | | | Agenda | 713657748 - Management |
| | Record Date | 25-Mar-2021 | | | | | | Holding Recon Date | 25-Mar-2021 | |
| | City / | Country | TBD | / | Germany | | | | | Vote Deadline Date | 06-Apr-2021 | |
| | SEDOL(s) | BDQZKF4 - BF16XB3 - BJF2274 -
BYNJRQ6 - BYTBWY9 - BYW5Y20 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE
FOUND DIRECTLY ON THE ISSUER'S-WEBSITE
(PLEASE REFER TO THE MATERIAL URL SECTION
OF THE APPLICATION). IF YOU-WISH TO ACT ON
THESE ITEMS, YOU WILL NEED TO REQUEST A
MEETING ATTEND AND-VOTE YOUR SHARES
DIRECTLY AT THE COMPANY'S MEETING. COUNTER
PROPOSALS CANNOT-BE REFLECTED ON THE
BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 1.30 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR
2021 | Management | | For | | For | | |
| | 6 | ELECT LISE KINGO TO THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | APPROVE CREATION OF EUR 58 MILLION POOL OF
CAPITAL WITH PARTIAL EXCLUSION OF
PREEMPTIVE RIGHTS | Management | | For | | For | | |
| | 8 | APPROVE REMUNERATION POLICY | Management | | For | | For | | |
| | 9 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | CMMT | 08 MAR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXY EDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE.
THANK YOU | Non-Voting | | | | | | |
| | CMMT | 08 MAR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | EVOLUTION AB | | |
| | Security | W3287P115 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 16-Apr-2021 | |
| | ISIN | SE0012673267 | | | | | | Agenda | 713746420 - Management |
| | Record Date | 08-Apr-2021 | | | | | | Holding Recon Date | 08-Apr-2021 | |
| | City / | Country | TBD | / | Sweden | | | | | Vote Deadline Date | 08-Apr-2021 | |
| | SEDOL(s) | BJXSCH4 - BK4PJY7 - BKF19V1 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS
AN AGAINST VOTE IF THE MEETING-REQUIRES
APPROVAL FROM THE MAJORITY OF PARTICIPANTS
TO PASS A RESOLUTION | Non-Voting | | | | | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) IS REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPENING OF THE MEETING | Non-Voting | | | | | | |
| | 2 | ELECTION OF CHAIRMAN OF THE MEETING:
FREDRIK PALM | Non-Voting | | | | | | |
| | 3.A | ELECTION OF ONE PERSON TO VERIFY THE
MINUTES OF THE MEETING: OSSIAN EKDAHL | Non-Voting | | | | | | |
| | 4 | PREPARATION AND APPROVAL OF THE VOTING
LIST | Non-Voting | | | | | | |
| | 5 | APPROVAL OF AGENDA | Non-Voting | | | | | | |
| | 6 | DETERMINATION OF WHETHER THE MEETING HAS
BEEN DULY CONVENED | Non-Voting | | | | | | |
| | 7.A | RESOLUTION ON ADOPTION OF THE INCOME
STATEMENT AND BALANCE SHEET AS WELL AS THE
CONSOLIDATED INCOME STATEMENT AND THE
CONSOLIDATED BALANCE SHEET | Management | | For | | For | | |
| | 7.B | RESOLUTION ON THE DISPOSITION OF THE
COMPANY'S PROFIT OR LOSS AS SHOWN IN THE
ADOPTED BALANCE SHEET: THE BOARD OF
DIRECTORS PROPOSES A DIVIDEND OF EUR 0.68
PER SHARE AND THAT TUESDAY 20 APRIL 2021 IS
THE RECORD DATE FOR RECEIVING THE DIVIDEND | Management | | For | | For | | |
| | 7CI | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: JENS VON BAHR | Management | | For | | For | | |
| | 7CII | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: JOEL CITRON | Management | | For | | For | | |
| | 7CIII | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: JONAS ENGWALL | Management | | For | | For | | |
| | 7CIV | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: CECILIA LAGER | Management | | For | | For | | |
| | 7CV | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: IAN LIVINGSTONE | Management | | For | | For | | |
| | 7CVI | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: FREDRIK OSTERBERG | Management | | For | | For | | |
| | 7CVII | RESOLUTION ON DISCHARGE FROM LIABILITY OF
MEMBER OF THE BOARD AND THE MANAGING
DIRECTOR: MARTIN CARLESUND | Management | | For | | For | | |
| | 8 | DETERMINATION OF THE NUMBER OF MEMBERS OF
THE BOARD OF DIRECTORS TO BE ELECTED: FIVE
BOARD MEMBERS BE ELECTED | Management | | For | | For | | |
| | 9 | DETERMINATION OF THE FEES TO BE PAID TO THE
BOARD OF DIRECTORS | Management | | For | | For | | |
| | 10.A1 | ELECTION OF THE BOARD OF DIRECTOR: JENS VON
BAHR | Management | | For | | For | | |
| | 10.A2 | ELECTION OF THE BOARD OF DIRECTOR: JOEL
CITRON | Management | | For | | For | | |
| | 10.A3 | ELECTION OF THE BOARD OF DIRECTOR: JONAS
ENGWALL | Management | | For | | For | | |
| | 10.A4 | ELECTION OF THE BOARD OF DIRECTOR: IAN
LIVINGSTONE | Management | | For | | For | | |
| | 10.A5 | ELECTION OF THE BOARD OF DIRECTOR: FREDRIK
OSTERBERG | Management | | For | | For | | |
| | 10.B | ELECTION OF JENS VON BAHR AS CHAIRMAN OF
THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 11 | DETERMINATION OF FEES TO BE PAID TO THE
AUDITOR | Management | | For | | For | | |
| | 12 | ELECTION OF AUDITOR: THE NOMINATION
COMMITTEE PROPOSES, IN ACCORDANCE WITH
THE AUDIT COMMITTEE'S RECOMMENDATION,
THAT THE REGISTERED ACCOUNTING FIRM
OHRLINGS PRICEWATERHOUSECOOPERS AB BE
RE-ELECTED AS AUDITOR FOR THE PERIOD UNTIL
THE CLOSE OF THE ANNUAL GENERAL MEETING
2022. OHRLINGS PRICEWATERHOUSECOOPERS AB
HAS INFORMED THE NOMINATION COMMITTEE
THAT THE AUTHORISED PUBLIC ACCOUNTANT
JOHAN ENGSTAM WILL BE APPOINTED AS
AUDITOR-IN-CHARGE IF OHRLINGS
PRICEWATERHOUSECOOPERS AB IS RE-ELECTED
AS AUDITOR | Management | | For | | For | | |
| | 13 | RESOLUTION ON THE INSTRUCTION TO THE
NOMINATION COMMITTEE | Management | | Against | | Against | | |
| | 14 | RESOLUTION ON THE REMUNERATION REPORT | Management | | Against | | Against | | |
| | 15 | RESOLUTION ON AMENDMENTS TO SECTION 1 OF
THE ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | 16.A | RESOLUTION ON AUTHORISATION FOR THE BOARD
OF DIRECTORS TO ACQUIRE OWN SHARES | Management | | For | | For | | |
| | 16.B | RESOLUTION ON AUTHORIZATION FOR THE BOARD
OF DIRECTORS TO TRANSFER OWN SHARES | Management | | For | | For | | |
| | 17 | RESOLUTION ON AUTHORISATION FOR THE BOARD
OF DIRECTORS TO ISSUE SHARES, WARRANTS
AND CONVERTIBLE DEBT | Management | | For | | For | | |
| | 18 | RESOLUTION ON AUTHORISATION FOR THE BOARD
OF DIRECTORS TO RE-PURCHASE WARRANTS | Management | | For | | For | | |
| | 19 | CLOSING OF THE MEETING | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 532298 DUE TO RECEIPT OF-UPDATED
AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE-DISREGARDED IF VOTE
DEADLINE EXTENSIONS ARE GRANTED.
THEREFORE PLEASE-REINSTRUCT ON THIS
MEETING NOTICE ON THE NEW JOB. IF HOWEVER
VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED
IN THE MARKET, THIS MEETING WILL BE CLOSED
AND-YOUR VOTE INTENTIONS ON THE ORIGINAL
MEETING WILL BE APPLICABLE. PLEASE-ENSURE
VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE
ORIGINAL MEETING, AND AS-SOON AS POSSIBLE
ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | | | | | | |
| | EIFFAGE SA | | |
| | Security | F2924U106 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 21-Apr-2021 | |
| | ISIN | FR0000130452 | | | | | | Agenda | 713683010 - Management |
| | Record Date | 16-Apr-2021 | | | | | | Holding Recon Date | 16-Apr-2021 | |
| | City / | Country | TBD | / | France | | | | | Vote Deadline Date | 12-Apr-2021 | |
| | SEDOL(s) | B13X013 - B142G22 - B28GX71 -
BMT6VB0 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN | Non-Voting | | | | | | |
| | CMMT | 15 MAR 2021: PLEASE NOTE THAT SHAREHOLDER
DETAILS ARE REQUIRED TO VOTE AT-THIS
MEETING. IF NO SHAREHOLDER DETAILS ARE
PROVIDED, YOUR INSTRUCTION MAY-CARRY A
HEIGHTENED RISK OF BEING REJECTED. THANK
YOU AND INTERMEDIARY CLIENTS-ONLY - PLEASE
NOTE THAT IF YOU ARE CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER-THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING
THE UNDERLYING-SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON-HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE-SPEAK TO YOUR DEDICATED CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE AND-
PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIs) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIs TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER | Non-Voting | | | | | | |
| | | WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIs WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIs WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | | | | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | 06 APR 2021: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202104022100755-40
AND-PLEASE NOTE THAT THIS IS A REVISION DUE
TO RECEIPT OF UPDATED BALO LINK AND-CHANGE
IN NUMBERING OF RESOLUTIONS. IF YOU HAVE
ALREADY SENT IN YOUR VOTES,-PLEASE DO NOT
VOTE AGAIN UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL-INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE CORPORATE FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | | | | | |
| | 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | | | | | |
| | 3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR
ENDED 31 DECEMBER 2020 AND SETTING OF THE
DIVIDEND | Management | | | | | | |
| | 4 | RENEWAL OF THE TERM OF OFFICE OF MRS. MARIE
LEMARIE, AS DIRECTOR | Management | | | | | | |
| | 5 | RENEWAL OF THE TERM OF OFFICE OF MRS.
CAROL XUEREF, AS DIRECTOR | Management | | | | | | |
| | 6 | RENEWAL OF THE TERM OF OFFICE OF MR.
DOMINIQUE MARCEL, AS DIRECTOR | Management | | | | | | |
| | 7 | RATIFICATION OF THE PROVISIONAL APPOINTMENT
AND RENEWAL OF MR. PHILIPPE VIDAL AS
DIRECTOR, IN REPLACEMENT OF MR. BRUNO
FLICHY, FOLLOWING HIS RESIGNATION | Management | | | | | | |
| | 8 | APPROVAL OF THE COMPENSATION POLICY FOR
THE MEMBERS OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 9 | APPROVAL OF THE COMPENSATION POLICY FOR
THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Management | | | | | | |
| | 10 | APPROVAL OF THE INFORMATION REFERRED TO IN
SECTION I OF ARTICLE L.22-10-9 OF THE FRENCH
COMMERCIAL CODE | Management | | | | | | |
| | 11 | APPROVAL OF THE FIXED, VARIABLE AND
EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL
REMUNERATION AND BENEFITS OF ANY KIND PAID
DURING THE PAST FINANCIAL YEAR OR GRANTED
IN RESPECT OF THE SAME FINANCIAL YEAR TO MR.
BENOIT DE RUFFRAY, CHAIRMAN AND CHIEF
EXECUTIVE OFFICER, PURSUANT TO THE
REMUNERATION POLICY APPROVED BY THE
EIFFAGE GENERAL MEETING ON 22 APRIL 2020 | Management | | | | | | |
| | 12 | AUTHORISATION TO BE GRANTED TO THE BOARD
OF DIRECTORS IN ORDER FOR THE COMPANY TO
REPURCHASE ITS OWN SHARES PURSUANT TO
THE PROVISIONS OF ARTICLE L.22-10-62 OF THE
FRENCH COMMERCIAL CODE | Management | | | | | | |
| | 13 | AUTHORISATION TO BE GRANTED TO THE BOARD
OF DIRECTORS TO CANCEL THE SHARES BOUGHT
BACK BY THE COMPANY UNDER THE PROVISIONS
OF ARTICLE L.22-10-62 OF THE FRENCH
COMMERCIAL CODE | Management | | | | | | |
| | 14 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO INCREASE THE
CAPITAL BY CAPITALISATION OF RESERVES,
PROFITS AND/OR PREMIUMS | Management | | | | | | |
| | 15 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO ISSUE COMMON
SHARES GRANTING, WHERE APPLICABLE, ACCESS
TO COMMON SHARES OR TO THE ALLOCATION OF
DEBT SECURITIES AND/OR TO TRANSFERABLE
SECURITIES GRANTING ACCESS TO THE CAPITAL,
WITH RETENTION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT | Management | | | | | | |
| | 16 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO ISSUE COMMON
SHARES GRANTING, WHERE APPLICABLE, ACCESS
TO COMMON SHARES OR TO THE ALLOCATION OF
DEBT SECURITIES AND/OR TRANSFERABLE
SECURITIES GRANTING ACCESS TO THE CAPITAL,
WITH CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT BY WAY OF A PUBLIC
OFFERING (EXCLUDING THE OFFERS REFERRED
TO IN SECTION 1 OF ARTICLE L.411-2 OF THE
FRENCH MONETARY AND FINANCIAL CODE)
AND/OR AS CONSIDERATION FOR SECURITIES AS
PART OF A PUBLIC EXCHANGE OFFER | Management | | | | | | |
| | 17 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO ISSUE COMMON
SHARES GRANTING, WHERE APPLICABLE, ACCESS
TO COMMON SHARES OR TO THE ALLOCATION OF
DEBT SECURITIES AND/OR TRANSFERABLE
SECURITIES GRANTING ACCESS TO THE CAPITAL,
WITH CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT BY AN OFFER REFERRED TO
IN SECTION 1 OF ARTICLE L.411-2 OF THE FRENCH
MONETARY AND FINANCIAL CODE | Management | | | | | | |
| | 18 | AUTHORISATION TO INCREASE THE AMOUNT OF
ISSUES | Management | | | | | | |
| | 19 | DELEGATION TO THE BOARD OF DIRECTORS TO
INCREASE THE CAPITAL BY ISSUING COMMON
SHARES AND/OR TRANSFERABLE SECURITIES
GIVING ACCESS TO THE CAPITAL WITHIN THE LIMIT
OF 10% OF THE CAPITAL IN ORDER TO
REMUNERATE CONTRIBUTIONS IN KIND OF
SECURITIES OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL | Management | | | | | | |
| | 20 | OVERALL LIMITATION OF THE CEILINGS OF THE
DELEGATIONS PROVIDED FOR IN THE 16TH, 17TH
AND 19TH RESOLUTIONS OF THIS MEETING | Management | | | | | | |
| | 21 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO INCREASE THE
CAPITAL BY ISSUING COMMON SHARES AND/OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE CAPITAL WITH CANCELLATION OF THE PRE-
EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF THE
MEMBERS OF A COMPANY SAVINGS PLAN
PURSUANT TO ARTICLES L.3332-18 AND
FOLLOWING OF THE FRENCH LABOUR CODE | Management | | | | | | |
| | 22 | AUTHORIZATION TO BE GRANTED TO THE BOARD
OF DIRECTORS TO ALLOCATE FREE EXISTING
SHARES TO EMPLOYEES AND/OR CERTAIN
CORPORATE OFFICERS | Management | | | | | | |
| | 23 | POWERS TO CARRY OUT FORMALITIES | Management | | | | | | |
| | REGIONS FINANCIAL CORPORATION | | |
| | Security | 7591EP100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | RF | | | | | | Meeting Date | 21-Apr-2021 | |
| | ISIN | US7591EP1005 | | | | | | Agenda | 935344452 - Management |
| | Record Date | 22-Feb-2021 | | | | | | Holding Recon Date | 22-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 20-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Carolyn H. Byrd | Management | | For | | For | | |
| | 1B. | Election of Director: Don DeFosset | Management | | For | | For | | |
| | 1C. | Election of Director: Samuel A. Di Piazza, Jr. | Management | | For | | For | | |
| | 1D. | Election of Director: Zhanna Golodryga | Management | | For | | For | | |
| | 1E. | Election of Director: John D. Johns | Management | | For | | For | | |
| | 1F. | Election of Director: Ruth Ann Marshall | Management | | For | | For | | |
| | 1G. | Election of Director: Charles D. McCrary | Management | | For | | For | | |
| | 1H. | Election of Director: James T. Prokopanko | Management | | For | | For | | |
| | 1I. | Election of Director: Lee J. Styslinger III | Management | | For | | For | | |
| | 1J. | Election of Director: José S. Suquet | Management | | For | | For | | |
| | 1K. | Election of Director: John M. Turner, Jr. | Management | | For | | For | | |
| | 1L. | Election of Director: Timothy Vines | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Ernst & Young LLP as the
Independent Registered Public Accounting Firm for 2021. | Management | | For | | For | | |
| | 3. | Advisory Vote on Executive Compensation. | Management | | For | | For | | |
| | VEOLIA ENVIRONNEMENT SA | | |
| | Security | F9686M107 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 22-Apr-2021 | |
| | ISIN | FR0000124141 | | | | | | Agenda | 713822383 - Management |
| | Record Date | 19-Apr-2021 | | | | | | Holding Recon Date | 19-Apr-2021 | |
| | City / | Country | TBD | / | France | | | | | Vote Deadline Date | 13-Apr-2021 | |
| | SEDOL(s) | 4031879 - 4104704 - B28N2S6 -
BF44897 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IMPORTANT ADDITIONAL
MEETING INFORMATION IS AVAILABLE BY-CLICKING
ON THE MATERIAL URL LINK:-https://www.journal-
officiel.gouv.fr/balo/document/202104022100777-40 | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 533434 DUE TO RECEIPT OF-CHANGE
IN NUMBERING OF RESOLUTIONS AND DELETION
OF COMMENT. ALL VOTES-RECEIVED ON THE
PREVIOUS MEETING WILL BE DISREGARDED IF
VOTE DEADLINE-EXTENSIONS ARE GRANTED.
THEREFORE PLEASE REINSTRUCT ON THIS
MEETING NOTICE ON-THE NEW JOB. IF HOWEVER
VOTE DEADLINE EXTENSIONS ARE NOT GRANTED | Non-Voting | | | | | | |
| | | IN THE-MARKET, THIS MEETING WILL BE CLOSED
AND YOUR VOTE INTENTIONS ON THE ORIGINAL-
MEETING WILL BE APPLICABLE. PLEASE ENSURE
VOTING IS SUBMITTED PRIOR TO CUTOFF-ON THE
ORIGINAL MEETING, AND AS SOON AS POSSIBLE
ON THIS NEW AMENDED MEETING.-THANK YOU. | | | | | | | | | |
| | 1 | APPROVAL OF THE COMPANY'S FINANCIAL
STATEMENTS: THE SHAREHOLDERS' MEETING,
AFTER HAVING REVIEWED THE REPORTS OF THE
BOARD OF DIRECTORS AND THE AUDITORS,
APPROVES THE COMPANY'S FINANCIAL
STATEMENTS FOR THE FISCAL YEAR THAT ENDED
IN 2020, AS PRESENTED TO THE MEETING | Management | | For | | For | | |
| | 2 | CONSOLIDATED FINANCIAL STATEMENTS: THE
SHAREHOLDERS' MEETING, AFTER HAVING
REVIEWED THE REPORTS OF THE BOARD OF
DIRECTORS AND THE AUDITORS, APPROVES THE
CONSOLIDATED FINANCIAL STATEMENTS FOR SAID
FISCAL YEAR AS PRESENTED TO THE MEETING | Management | | For | | For | | |
| | 3 | APPROVAL OF THE EXPENSE AND CHARGE: THE
SHAREHOLDERS' MEETING APPROVES THE NON-
DEDUCTIBLE EXPENSES AND CHARGES
AMOUNTING TO EUR 1,048,908.00 | Management | | For | | For | | |
| | 4 | RESULTS APPROPRIATION: THE SHAREHOLDERS'
MEETING APPROVES THE FINANCIAL STATEMENTS
AND RESOLVES TO ALLOCATE EARNINGS AS
FOLLOWS: ORIGIN: - EARNINGS FOR THE
FINANCIAL YEAR: EUR 620,912,828.00 -
DISTRIBUTABLE RESERVES: EUR 7,104,501,770.00 -
RETAINED EARNINGS: EUR 1,307,827,016.00 -
DISTRIBUTABLE INCOME: EUR 9,033,241,614.00
ALLOCATION: - LEGAL RESERVE: EUR
289,305,682.00 - DIVIDENDS: EUR 396,040,182.00
(DIVIDED INTO 565,771,689 SHARES) - RETAINED
EARNINGS: EUR 1,532,699,662 - CAPITALIZATION:
EUR 2,893,056,810.00 - SHARE PREMIUM: EUR
7,104,501,770.00 THE SHAREHOLDERS WILL BE
GRANTED A NET DIVIDEND OF EUR 0.70 PER
SHARE, WHICH WILL BE ELIGIBLE FOR THE 40
PERCENT DEDUCTION PROVIDED BY THE FRENCH
GENERAL TAX CODE. THIS DIVIDEND WILL BE PAID
ON MAY 12TH 2021. AS REQUIRED BY LAW, IT IS
REMINDED THAT, FOR THE LAST THREE FINANCIAL
YEARS, THE DIVIDENDS WERE PAID FOLLOWS: EUR
0.50 PER SHARE FOR FISCAL YEAR 2019 EUR 0.92
PER SHARE FOR FISCAL YEAR 2018 EUR 0.84 PER
SHARE FOR FISCAL YEAR 2017 | Management | | For | | For | | |
| | 5 | SPECIAL REPORT: THE SHAREHOLDERS' MEETING,
AFTER REVIEWING THE SPECIAL REPORT OF THE
AUDITORS ON AGREEMENTS GOVERNED BY
ARTICLE L. 225-38 AND L.225-40 TO L.225-42 OF THE
FRENCH COMMERCIAL CODE, APPROVES THIS
REPORT AS WELL AS THE NEW AGREEMENT
APPROVED BY THE BOARD OF DIRECTORS DURING
THIS FISCAL YEAR, AND TAKES NOTE OF THE
INFORMATION RELATING TO THE AGREEMENTS
CONCLUDED AND THE COMMITMENTS MADE
DURING PREVIOUS FISCAL YEARS | Management | | For | | For | | |
| | 6 | RENEWAL OF A TERM OF OFFICE: THE
SHAREHOLDERS' MEETING RENEWS THE
APPOINTMENT OF LA CAISSE DES DEPOTS ET
CONSIGNATIONS REPRESENTED BY MR OLIVIER
MAREUSE AS DIRECTOR FOR A 4-YEAR PERIOD, I.E.
UNTIL THE SHAREHOLDERS' MEETING CALLED TO
RULE ON THE FINANCIAL STATEMENTS FOR THE
2024 FISCAL YEAR | Management | | For | | For | | |
| | 7 | RENEWAL OF A TERM OF OFFICE: THE
SHAREHOLDERS' MEETING RENEWS THE
APPOINTMENT OF MRS MARION GUILLOU AS
DIRECTOR FOR A 4-YEAR PERIOD, I.E. UNTIL THE
SHAREHOLDERS' MEETING CALLED TO RULE ON
THE FINANCIAL STATEMENTS FOR THE 2024 FISCAL
YEAR | Management | | For | | For | | |
| | 8 | RENEWAL OF A TERM OF OFFICE: THE
SHAREHOLDERS' MEETING DECIDES TO APPOINT
OF MR PIERRE-ANDRE DE CHALENDAR AS
DIRECTOR FOR A 4-YEAR PERIOD, I.E. UNTIL THE
SHAREHOLDERS' MEETING CALLED TO RULE ON
THE FINANCIAL STATEMENTS FOR THE 2024 FISCAL
YEAR | Management | | For | | For | | |
| | 9 | APPROVAL OF THE AMENDMENT OF THE INTERNAL
ECONOMIC PERFORMANCE CRITERION: THE
SHAREHOLDERS' MEETING APPROVES THE
AMENDMENT OF THE INTERNAL ECONOMIC
PERFORMANCE CRITERION (NET CURRENT
INCOME GROUP SHARE PER SHARE) LINKED TO
THE ACQUISITION OF PERFORMANCE SHARES
ALLOCATED TO THE CEO, UNDER PLAN 1 GRANTED
BY THE BOARD OF DIRECTORS ON MAY 2ND 2018 | Management | | For | | For | | |
| | 10 | APPROVAL OF THE AMENDMENT OF THE INTERNAL
ECONOMIC PERFORMANCE CRITERION: THE
SHAREHOLDERS' MEETING APPROVES THE
AMENDMENT OF THE INTERNAL ECONOMIC
PERFORMANCE CRITERION (NET CURRENT
INCOME GROUP SHARE PER SHARE) LINKED TO
THE ACQUISITION OF PERFORMANCE SHARES
ALLOCATED TO THE CEO, UNDER PLAN 2 GRANTED
BY THE BOARD OF DIRECTORS ON APRIL 31ST 2019 | Management | | For | | For | | |
| | 11 | APPROVAL OF THE AMENDMENT OF THE INTERNAL
ECONOMIC PERFORMANCE CRITERION: THE
SHAREHOLDERS' MEETING APPROVES THE
AMENDMENT OF THE INTERNAL ECONOMIC
PERFORMANCE CRITERION (NET CURRENT
INCOME GROUP SHARE PER SHARE) LINKED TO
THE ACQUISITION OF PERFORMANCE SHARES
ALLOCATED TO THE CEO, UNDER PLAN 3 GRANTED
BY THE BOARD OF DIRECTORS ON MAY 5TH 2020 | Management | | For | | For | | |
| | 12 | COMPENSATION OF EXECUTIVE CORPORATE
OFFICERS: THE SHAREHOLDERS' MEETING
APPROVES THE INFORMATION MENTIONED IN
ARTICLE L. 22-10-9 I OF THE FRENCH COMMERCIAL
CODE, AND THE FIXED, VARIABLE AND ONE-OFF
COMPONENTS OF THE TOTAL COMPENSATION AS
WELL AS THE BENEFITS OR PERKS OF ANY KIND
PAID AND AWARDED TO THE MR ANTOINE FREROT
AS THE CEO FOR THE CURRENT OR PREVIOUS
FISCAL YEARS | Management | | For | | For | | |
| | 13 | COMPENSATION OF CORPORATE OFFICERS: THE
SHAREHOLDERS' MEETING APPROVES THE
INFORMATION MENTIONED IN ARTICLE L. 22-10-9 I
OF THE FRENCH COMMERCIAL CODE REGARDING
THE COMPENSATION OF THE CORPORATE
OFFICERS (EXCLUDING EXECUTIVES) FOR THE
2020 FISCAL YEAR | Management | | For | | For | | |
| | 14 | APPROVAL OF THE COMPENSATION POLICY: THE
SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE CEO,
FOR THE 2021 FISCAL YEAR | Management | | For | | For | | |
| | 15 | COMPENSATION OF CORPORATE OFFICERS: THE
SHAREHOLDERS' MEETING APPROVES THE
INFORMATION MENTIONED IN ARTICLE L. 22-10-9 I
OF THE FRENCH COMMERCIAL CODE REGARDING
THE COMPENSATION OF THE CORPORATE
OFFICERS (EXCLUDING EXECUTIVES) FOR THE
2021 FISCAL YEAR | Management | | For | | For | | |
| | 16 | AUTHORIZATION TO BUY BACK SHARES: THE
SHAREHOLDERS' MEETING AUTHORIZES THE
BOARD OF DIRECTORS TO BUY BACK THE
COMPANY'S SHARES ON THE OPEN MARKET,
SUBJECT TO THE CONDITIONS DESCRIBED BELOW:
MAXIMUM PURCHASE PRICE: EUR 36.00, MAXIMUM
NUMBER OF SHARES TO BE ACQUIRED: 10
PERCENT OF THE SHARES COMPOSING THE
SHARE CAPITAL (I.E. 57,861,136 SHARES), THE
NUMBER OF SHARES ACQUIRED BY THE COMPANY
WITH A VIEW TO RETAINING OR DELIVERING IN
CASH OR IN AN EXCHANGE AS PART OF A MERGER,
DIVESTMENT OR CAPITAL CONTRIBUTION CANNOT | Management | | For | | For | | |
| | | EXCEED 5 PERCENT OF ITS CAPITAL. MAXIMUM
FUNDS INVESTED IN THE SHARE BUYBACKS: EUR
1,000,000,000.00. THIS AUTHORIZATION IS GIVEN
FOR AN 18-MONTH PERIOD. THIS AUTHORIZATION
SUPERSEDES THE FRACTION UNUSED OF ANY AND
ALL EARLIER DELEGATIONS TO THE SAME EFFECT | | | | | | | | | |
| | 17 | CAPITAL INCREASE THROUGH ISSUANCE, WITH
PREFERRED SUBSCRIPTION RIGHTS MAINTAINED,
OF SHARES AND-OR SECURITIES: THE
SHAREHOLDERS' MEETING DELEGATES TO THE
BOARD OF DIRECTORS THE NECESSARY POWERS
TO INCREASE THE CAPITAL, UP TO EUR
868,000,000.00 (I.E. 30 PERCENT OF THE SHARE
CAPITAL), BY ISSUANCE OF SHARES (EXCLUDING
PREFERENCE SHARES) AND-OR SECURITIES
GIVING ACCESS TO THE COMPANY'S OR A
RELATED COMPANY'S SHARE CAPITAL (INCLUDING
EQUITY SECURITIES GIVING RIGHTS TO DEBT
SECURITIES), WITH PREFERENTIAL SUBSCRIPTION
RIGHTS MAINTAINED. THE SHAREHOLDERS'
MEETING SETS THE MAXIMUM OVERALL VALUE OF
THE CAPITAL INCREASE CARRIED OUT BY
RESOLUTIONS 17 TO 21 TO EUR 868,000,000.00.
THIS AUTHORIZATION IS GRANTED FOR A 26-
MONTH PERIOD. THIS AUTHORIZATION
SUPERSEDES THE FRACTION UNUSED OF THE
AUTHORIZATION GIVEN BY THE SHAREHOLDERS'
MEETING ON APRIL 22TH 2020 IN RESOLUTION 15.
THE SHAREHOLDERS' MEETING DELEGATES ALL
POWERS TO THE BOARD OF DIRECTORS TO TAKE
ALL NECESSARY MEASURES AND ACCOMPLISH ALL
NECESSARY FORMALITIES | Management | | For | | For | | |
| | 18 | ISSUE OF SECURITIES IN THE EVENT OF A PUBLIC
EXCHANGE OFFER: THE SHAREHOLDERS' MEETING
GIVES ALL POWERS TO THE BOARD OF DIRECTORS
TO ISSUE, UP TO EUR 868,000,000.00 (I.E. 30
PERCENT OF THE SHARE CAPITAL), SHARES
(EXCLUDING PREFERENCE SHARES) AND-OR
SECURITIES GIVING ACCESS TO THE COMPANY'S
OR A RELATED COMPANY'S SHARE CAPITAL
(INCLUDING EQUITY SECURITIES GIVING RIGHTS
TO DEBT SECURITIES), IN CONSIDERATION FOR
SECURITIES TENDERED AS A PART OF A PUBLIC
EXCHANGE OFFER INITIATED BY THE COMPANY
CONCERNING THE SHARES OF ANOTHER
COMPANY, WITH CANCELATION OF PREFERENTIAL
SUBSCRIPTION RIGHTS. THIS AUTHORIZATION IS
GRANTED FOR A 26-MONTH PERIOD. THIS
AUTHORIZATION SUPERSEDES THE FRACTION
UNUSED OF THE AUTHORIZATION GIVEN BY THE
SHAREHOLDERS' MEETING ON APRIL 22TH 2020 IN
RESOLUTION 16. THE SHAREHOLDERS' MEETING
DELEGATES ALL POWERS TO THE BOARD OF
DIRECTORS TO TAKE ALL NECESSARY MEASURES
AND ACCOMPLISH ALL NECESSARY FORMALITIES | Management | | For | | For | | |
| | 19 | AUTHORIZATION TO INCREASE THE NUMBER OF
SECURITIES TO BE ISSUED (OVERSUBSCRIPTION):
THE SHAREHOLDERS' MEETING AUTHORIZES THE
BOARD OF DIRECTORS TO INCREASE THE NUMBER
OF SECURITIES IN THE EVENT THOSE EXCEED THE
INITIAL NUMBER OF SECURITIES TO BE ISSUED
(OVERSUBSCRIPTION), UP TO 15 PERCENT, WITHIN
30 DAYS OF THE SUBSCRIPTION CLOSING. THIS
DELEGATION IS GIVEN FOR A 26-MONTH PERIOD.
THIS AUTHORIZATION SUPERSEDES THE FRACTION
UNUSED OF THE AUTHORIZATION GIVEN BY THE
SHAREHOLDERS' MEETING ON APRIL 22TH 2020 IN
RESOLUTION 19 | Management | | For | | For | | |
| | 20 | SHARE CAPITAL INCREASE RESERVED FOR
EMPLOYEES: THE SHAREHOLDERS' MEETING
AUTHORIZES THE BOARD OF DIRECTORS TO
INCREASE THE SHARE CAPITAL, IN FAVOR OF
EMPLOYEES AND CORPORATE OFFICERS OF THE
COMPANY WHO ARE MEMBERS OF A COMPANY
SAVINGS PLAN, WITH CANCELLATION OF
PREFERENTIAL SUBSCRIPTION RIGHTS, BY
ISSUANCE OF SHARES (EXCLUDING PREFERENCE
SHARES) AND-OR SECURITIES GIVING ACCESS TO
THE COMPANY'S OR A RELATED COMPANY'S
SHARE CAPITAL (INCLUDING EQUITY SECURITIES
GIVING RIGHTS TO DEBT SECURITIES). THIS
DELEGATION IS GIVEN FOR A 26-MONTH PERIOD
AND FOR A NOMINAL AMOUNT THAT SHALL NOT
EXCEED EUR 57,861,136.00 (I.E. 2 PERCENT OF THE
SHARE CAPITAL). THIS AUTHORIZATION
SUPERSEDES THE FRACTION UNUSED OF THE
AUTHORIZATION GIVEN BY THE SHAREHOLDERS'
MEETING ON APRIL 22TH 2020 IN RESOLUTION 21.
THE SHAREHOLDERS' MEETING DELEGATES ALL
POWERS TO THE BOARD OF DIRECTORS TO TAKE
ALL NECESSARY MEASURES AND ACCOMPLISH ALL
NECESSARY FORMALITIES | Management | | For | | For | | |
| | 21 | CAPITAL INCREASE BY ISSUING SHARES WITHOUT
PREFERRED SUBSCRIPTION RIGHT BY OFFERS:
THE SHAREHOLDERS' MEETING TO THE BOARD OF
DIRECTORS TO INCREASE THE SHARE CAPITAL UP
TO EUR 17,358,340.00 (I.E. 0.6 PERCENT OF THE
SHARE CAPITAL), BY ISSUANCE OF SHARES
(EXCLUDING PREFERENCE SHARES) AND-OR
SECURITIES GIVING ACCESS TO THE COMPANY'S
OR A RELATED COMPANY'S SHARE CAPITAL
(INCLUDING EQUITY SECURITIES GIVING RIGHTS
TO DEBT SECURITIES), WITH CANCELATION OF
PREFERENTIAL SUBSCRIPTION RIGHTS IN FAVOR
OF: - EMPLOYEES AND CORPORATE OFFICERS; -
UCITS, SHAREHOLDING INVESTED IN COMPANY
SECURITIES WHOSE SHAREHOLDERS WILL BE
PERSONS MENTIONED ABOVE; - ANY BANKING
ESTABLISHMENT INTERVENING AT THE REQUEST
OF THE COMPANY TO SET UP A SHAREHOLDING
SCHEME OR A SAVINGS SCHEME FOR THE BENEFIT | Management | | For | | For | | |
| | | OF THE PERSONS MENTIONED ABOVE; THE
PRESENT DELEGATION IS GIVEN FOR AN 18-MONTH
PERIOD AND SUPERSEDES THE FRACTION UNUSED
OF THE AUTHORIZATION GIVEN BY THE
SHAREHOLDERS' MEETING ON APRIL 22TH 2020 IN
RESOLUTION 22. THE SHAREHOLDERS' MEETING
DELEGATES ALL POWERS TO THE BOARD OF
DIRECTORS | | | | | | | | | |
| | 22 | ALLOCATION OF SHARES FREE OF CHARGE: THE
SHAREHOLDERS' MEETING AUTHORIZES THE
BOARD OF DIRECTORS TO GRANT FOR FREE,
EXISTING OR FUTURE SHARES, IN FAVOR OF THE
EMPLOYEES OR THE CORPORATE OFFICERS OF
THE COMPANY AND RELATED COMPANIES, FOR AN
AMOUNT REPRESENTING 0.5 PERCENT OF THE
SHARE CAPITAL. THE TOTAL NUMBER OF SHARES
ALLOCATED TO THE EXECUTIVE CORPORATE
OFFICERS OF THE COMPANY MAY NOT EXCEED
0.04 PERCENT OF THE SHARE CAPITAL. THE
PRESENT DELEGATION IS GIVEN FOR A 26-MONTH
PERIOD. THIS AUTHORIZATION SUPERSEDES THE
FRACTION UNUSED OF THE AUTHORIZATION GIVEN
BY THE SHAREHOLDERS' MEETING ON APRIL 22TH
2020 IN RESOLUTION 23. THE SHAREHOLDERS'
MEETING DELEGATES ALL POWERS TO THE BOARD
OF DIRECTORS TO TAKE ALL NECESSARY
MEASURES AND ACCOMPLISH ALL NECESSARY
FORMALITIES | Management | | For | | For | | |
| | 23 | AMENDMENT TO ARTICLES OF THE BYLAWS: THE
SHAREHOLDERS' MEETING DECIDES TO ADD TO
ARTICLE 11 OF THE BYLAWS A 3RD PARAGRAPH
PERTAINING TO THE APPOINTMENT OF A
DIRECTOR REPRESENTING EMPLOYEE
SHAREHOLDERS | Management | | For | | For | | |
| | 24 | NEW ARTICLES OF THE BYLAWS: THE
SHAREHOLDERS' MEETING DECIDES TO OVERHAUL
THE ARTICLES OF THE BYLAWS FOR THEM TO
COMPLY WITH THE LEGAL PROVISIONS IN FORCE.
THE SHAREHOLDERS' MEETING DECIDES TO
AMEND ARTICLE 11: ' COMPOSITION OF THE BOARD
OF DIRECTORS' OF THE BYLAWS | Management | | For | | For | | |
| | 25 | POWERS TO ACCOMPLISH FORMALITIES: THE
SHAREHOLDERS' MEETING GRANTS FULL POWERS
TO THE BEARER OF AN ORIGINAL, A COPY OR
EXTRACT OF THE MINUTES OF THIS MEETING TO
CARRY OUT ALL FILINGS, PUBLICATIONS AND
OTHER FORMALITIES PRESCRIBED BY LAW | Management | | For | | For | | |
| | THE AES CORPORATION | | |
| | Security | 00130H105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AES | | | | | | Meeting Date | 22-Apr-2021 | |
| | ISIN | US00130H1059 | | | | | | Agenda | 935343397 - Management |
| | Record Date | 01-Mar-2021 | | | | | | Holding Recon Date | 01-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Janet G. Davidson | Management | | For | | For | | |
| | 1B. | Election of Director: Andrés R. Gluski | Management | | For | | For | | |
| | 1C. | Election of Director: Tarun Khanna | Management | | For | | For | | |
| | 1D. | Election of Director: Holly K. Koeppel | Management | | For | | For | | |
| | 1E. | Election of Director: Julia M. Laulis | Management | | For | | For | | |
| | 1F. | Election of Director: James H. Miller | Management | | For | | For | | |
| | 1G. | Election of Director: Alain Monié | Management | | For | | For | | |
| | 1H. | Election of Director: John B. Morse, Jr. | Management | | For | | For | | |
| | 1I. | Election of Director: Moisés Naím | Management | | For | | For | | |
| | 1J. | Election of Director: Teresa M. Sebastian | Management | | For | | For | | |
| | 2. | To approve, on an advisory basis, the Company's
executive compensation. | Management | | For | | For | | |
| | 3. | To ratify the appointment of Ernst & Young LLP as the
independent auditor of the Company for fiscal year 2021. | Management | | For | | For | | |
| | 4. | To vote on a non-binding Stockholder proposal seeking
to adopt a by-law to subject any by-law or charter
amendments to a Stockholder vote. | Shareholder | | Against | | For | | |
| | AGNC INVESTMENT CORP. | | |
| | Security | 00123Q104 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AGNC | | | | | | Meeting Date | 22-Apr-2021 | |
| | ISIN | US00123Q1040 | | | | | | Agenda | 935345199 - Management |
| | Record Date | 26-Feb-2021 | | | | | | Holding Recon Date | 26-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Donna J. Blank | Management | | For | | For | | |
| | 1B. | Election of Director: Morris A. Davis | Management | | For | | For | | |
| | 1C. | Election of Director: John D. Fisk | Management | | For | | For | | |
| | 1D. | Election of Director: Prue B. Larocca | Management | | For | | For | | |
| | 1E. | Election of Director: Paul E. Mullings | Management | | For | | For | | |
| | 1F. | Election of Director: Frances R. Spark | Management | | For | | For | | |
| | 1G. | Election of Director: Gary D. Kain | Management | | For | | For | | |
| | 2. | Approval of the Amended and Restated AGNC
Investment Corp. 2016 Equity and Incentive
Compensation Plan. | Management | | For | | For | | |
| | 3. | Advisory vote to approve the compensation of our named
executive officers. | Management | | For | | For | | |
| | 4. | Ratification of appointment of Ernst & Young LLP as our
independent public accountant for the year ending
December 31, 2021. | Management | | For | | For | | |
| | LOCKHEED MARTIN CORPORATION | | |
| | Security | 539830109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LMT | | | | | | Meeting Date | 22-Apr-2021 | |
| | ISIN | US5398301094 | | | | | | Agenda | 935349933 - Management |
| | Record Date | 26-Feb-2021 | | | | | | Holding Recon Date | 26-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Daniel F. Akerson | Management | | For | | For | | |
| | 1B. | Election of Director: David B. Burritt | Management | | For | | For | | |
| | 1C. | Election of Director: Bruce A. Carlson | Management | | For | | For | | |
| | 1D. | Election of Director: Joseph F. Dunford, Jr. | Management | | For | | For | | |
| | 1E. | Election of Director: James O. Ellis, Jr. | Management | | For | | For | | |
| | 1F. | Election of Director: Thomas J. Falk | Management | | For | | For | | |
| | 1G. | Election of Director: Ilene S. Gordon | Management | | For | | For | | |
| | 1H. | Election of Director: Vicki A. Hollub | Management | | For | | For | | |
| | 1I. | Election of Director: Jeh C. Johnson | Management | | For | | For | | |
| | 1J. | Election of Director: Debra L. Reed-Klages | Management | | For | | For | | |
| | 1K. | Election of Director: James D. Taiclet | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Ernst & Young LLP as
Independent Auditors for 2021. | Management | | For | | For | | |
| | 3. | Advisory Vote to Approve the Compensation of our
Named Executive Officers (Say-on-Pay). | Management | | For | | For | | |
| | 4. | Stockholder Proposal to Adopt Stockholder Action By
Written Consent. | Shareholder | | For | | Against | | |
| | 5. | Stockholder Proposal to issue a Report on Human Rights
Due Diligence. | Shareholder | | Against | | For | | |
| | NATIONAL BANK OF CANADA | | |
| | Security | 633067103 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 23-Apr-2021 | |
| | ISIN | CA6330671034 | | | | | | Agenda | 713662686 - Management |
| | Record Date | 24-Feb-2021 | | | | | | Holding Recon Date | 24-Feb-2021 | |
| | City / | Country | VIRTUAL
MEETIN
G | / | Canada | | | | | Vote Deadline Date | 19-Apr-2021 | |
| | SEDOL(s) | 2077303 - 2239686 - 4059923 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTIONS 2 AND 4 AND 'IN FAVOR' OR
'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.01
TO 1.16 AND 3. THANK YOU | Non-Voting | | | | | | |
| | 1.01 | ELECTION OF DIRECTOR: MARYSE BERTRAND | Management | | For | | For | | |
| | 1.02 | ELECTION OF DIRECTOR: PIERRE BLOUIN | Management | | For | | For | | |
| | 1.03 | ELECTION OF DIRECTOR: PIERRE BOIVIN | Management | | For | | For | | |
| | 1.04 | ELECTION OF DIRECTOR: MANON BROUILLETTE | Management | | For | | For | | |
| | 1.05 | ELECTION OF DIRECTOR: YVON CHAREST | Management | | For | | For | | |
| | 1.06 | ELECTION OF DIRECTOR: PATRICIA CURADEAU-
GROU | Management | | For | | For | | |
| | 1.07 | ELECTION OF DIRECTOR: LAURENT FERREIRA | Management | | For | | For | | |
| | 1.08 | ELECTION OF DIRECTOR: JEAN HOUDE | Management | | For | | For | | |
| | 1.09 | ELECTION OF DIRECTOR: KAREN KINSLEY | Management | | For | | For | | |
| | 1.10 | ELECTION OF DIRECTOR: REBECCA MCKILLICAN | Management | | For | | For | | |
| | 1.11 | ELECTION OF DIRECTOR: ROBERT PAR | Management | | For | | For | | |
| | 1.12 | ELECTION OF DIRECTOR: LINO A. SAPUTO | Management | | For | | For | | |
| | 1.13 | ELECTION OF DIRECTOR: ANDREE SAVOIE | Management | | For | | For | | |
| | 1.14 | ELECTION OF DIRECTOR: MACKY TALL | Management | | For | | For | | |
| | 1.15 | ELECTION OF DIRECTOR: PIERRE THABET | Management | | For | | For | | |
| | 1.16 | ELECTION OF DIRECTOR: LOUIS VACHON | Management | | For | | For | | |
| | 2 | ADVISORY RESOLUTION TO ACCEPT THE
APPROACH TAKEN BY THE BANK'S BOARD OF
DIRECTORS WITH RESPECT TO EXECUTIVE
COMPENSATION | Management | | For | | For | | |
| | 3 | APPOINTMENT OF DELOITTE LLP AS INDEPENDENT
AUDITOR | Management | | For | | For | | |
| | 4 | REPLENISHMENT OF THE NUMBER OF COMMON
SHARES RESERVED FOR THE BANK'S STOCK
OPTION PLAN | Management | | For | | For | | |
| | International Business Machines Corporation | | |
| | Security | 459200101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | IBM | | | | | | Meeting Date | 27-Apr-2021 | |
| | ISIN | US4592001014 | | | | | | Agenda | 935346949 - Management |
| | Record Date | 26-Feb-2021 | | | | | | Holding Recon Date | 26-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 26-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for one year term: Thomas Buberl | Management | | For | | For | | |
| | 1B. | Election of Director for one year term: Michael L. Eskew | Management | | For | | For | | |
| | 1C. | Election of Director for one year term: David N. Farr | Management | | For | | For | | |
| | 1D. | Election of Director for one year term: Alex Gorsky | Management | | For | | For | | |
| | 1E. | Election of Director for one year term: Michelle J. Howard | Management | | For | | For | | |
| | 1F. | Election of Director for one year term: Arvind Krishna | Management | | For | | For | | |
| | 1G. | Election of Director for one year term: Andrew N. Liveris | Management | | For | | For | | |
| | 1H. | Election of Director for one year term: F. William McNabb
III | Management | | For | | For | | |
| | 1I. | Election of Director for one year term: Martha E. Pollack | Management | | For | | For | | |
| | 1J. | Election of Director for one year term: Joseph R. Swedish | Management | | For | | For | | |
| | 1K. | Election of Director for one year term: Peter R. Voser | Management | | For | | For | | |
| | 1L. | Election of Director for one year term: Frederick H.
Waddell | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Independent Registered
Public Accounting Firm. | Management | | For | | For | | |
| | 3. | Advisory Vote on Executive Compensation. | Management | | Against | | Against | | |
| | 4. | Stockholder Proposal to Have an Independent Board
Chairman. | Shareholder | | Against | | For | | |
| | 5. | Stockholder Proposal on the Right to Act by Written
Consent. | Shareholder | | For | | Against | | |
| | 6. | Stockholder Proposal Requesting the Company Publish
Annually a Report Assessing its Diversity, Equity and
Inclusion Efforts. | Shareholder | | For | | For | | |
| | DOMINO'S PIZZA, INC. | | |
| | Security | 25754A201 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DPZ | | | | | | Meeting Date | 27-Apr-2021 | |
| | ISIN | US25754A2015 | | | | | | Agenda | 935348400 - Management |
| | Record Date | 03-Mar-2021 | | | | | | Holding Recon Date | 03-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 26-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | David A. Brandon | | | | For | | For | | |
| | | 2 | Richard E. Allison, Jr. | | | | For | | For | | |
| | | 3 | C. Andrew Ballard | | | | For | | For | | |
| | | 4 | Andrew B. Balson | | | | For | | For | | |
| | | 5 | Corie S. Barry | | | | For | | For | | |
| | | 6 | Diana F. Cantor | | | | For | | For | | |
| | | 7 | Richard L. Federico | | | | For | | For | | |
| | | 8 | James A. Goldman | | | | For | | For | | |
| | | 9 | Patricia E. Lopez | | | | For | | For | | |
| | 2. | Ratification of the selection of PricewaterhouseCoopers
LLP as the independent registered public accounting firm
for the Company for the 2021 fiscal year. | Management | | For | | For | | |
| | 3. | Advisory vote to approve the compensation of the named
executive officers of the Company. | Management | | For | | For | | |
| | BRITISH AMERICAN TOBACCO PLC | | |
| | Security | G1510J102 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 28-Apr-2021 | |
| | ISIN | GB0002875804 | | | | | | Agenda | 713831320 - Management |
| | Record Date | | | | | | | Holding Recon Date | 26-Apr-2021 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 22-Apr-2021 | |
| | SEDOL(s) | 0287580 - 5617278 - B3DCKS1 -
B3F9DG9 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 532482 DUE TO RECEIPT OF-DELETION
FOR RESOLUTION NUMBER 9. ALL VOTES
RECEIVED ON THE PREVIOUS MEETING-WILL BE
DISREGARDED IF VOTE DEADLINE EXTENSIONS
ARE GRANTED. THEREFORE PLEASE-REINSTRUCT
ON THIS MEETING NOTICE ON THE NEW JOB. IF
HOWEVER VOTE DEADLINE-EXTENSIONS ARE NOT
GRANTED IN THE MARKET, THIS MEETING WILL BE
CLOSED AND-YOUR VOTE INTENTIONS ON THE
ORIGINAL MEETING WILL BE APPLICABLE. PLEASE-
ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF
ON THE ORIGINAL MEETING, AND AS-SOON AS
POSSIBLE ON THIS NEW AMENDED MEETING.
THANK YOU | Non-Voting | | | | | | |
| | 1 | RECEIPT OF THE 2020 ANNUAL REPORT AND
ACCOUNTS | Management | | For | | For | | |
| | 2 | APPROVAL OF THE 2020 DIRECTORS'
REMUNERATION REPORT | Management | | Against | | Against | | |
| | 3 | REAPPOINTMENT OF THE AUDITORS: KPMG LLP | Management | | For | | For | | |
| | 4 | AUTHORITY FOR THE AUDIT COMMITTEE TO AGREE
THE AUDITORS' REMUNERATION | Management | | For | | For | | |
| | 5 | RE-ELECTION OF LUC JOBIN AS A DIRECTOR (A, N) | Management | | For | | For | | |
| | 6 | RE-ELECTION OF JACK BOWLES AS A DIRECTOR | Management | | For | | For | | |
| | 7 | RE-ELECTION OF TADEU MARROCO AS A
DIRECTOR | Management | | For | | For | | |
| | 8 | RE-ELECTION OF SUE FARR AS A DIRECTOR | Management | | For | | For | | |
| | 9 | RE-ELECTION OF JEREMY FOWDEN AS A DIRECTOR
(A, N) | Non-Voting | | | | | | |
| | 10 | RE-ELECTION OF DR MARION HELMES AS A
DIRECTOR (N, R) | Management | | For | | For | | |
| | 11 | RE-ELECTION OF HOLLY KELLER KOEPPEL AS A
DIRECTOR (A, N) | Management | | For | | For | | |
| | 12 | RE-ELECTION OF SAVIO KWAN AS A DIRECTOR (N,
R) | Management | | For | | For | | |
| | 13 | RE-ELECTION OF DIMITRI PANAYOTOPOULOS AS A
DIRECTOR (N, R) | Management | | For | | For | | |
| | 14 | ELECTION OF KAREN GUERRA AS A DIRECTOR (N,
R) WHO HAS BEEN APPOINTED SINCE THE LAST
ANNUAL GENERAL MEETING | Management | | For | | For | | |
| | 15 | ELECTION OF DARRELL THOMAS AS A DIRECTOR
(A, N), WHO HAS BEEN APPOINTED SINCE THE LAST
ANNUAL GENERAL MEETING | Management | | For | | For | | |
| | 16 | RENEWAL OF THE DIRECTORS' AUTHORITY TO
ALLOT SHARES | Management | | For | | For | | |
| | 17 | RENEWAL OF THE DIRECTORS' AUTHORITY TO
DISAPPLY PRE-EMPTION RIGHTS | Management | | For | | For | | |
| | 18 | AUTHORITY FOR THE COMPANY TO PURCHASE ITS
OWN SHARES | Management | | For | | For | | |
| | 19 | AUTHORITY TO MAKE DONATIONS TO POLITICAL
ORGANISATIONS AND TO INCUR POLITICAL
EXPENDITURE | Management | | For | | For | | |
| | 20 | NOTICE PERIOD FOR GENERAL MEETINGS | Management | | For | | For | | |
| | NEWMONT CORPORATION | | |
| | Security | 651639106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NEM | | | | | | Meeting Date | 28-Apr-2021 | |
| | ISIN | US6516391066 | | | | | | Agenda | 935348183 - Management |
| | Record Date | 02-Mar-2021 | | | | | | Holding Recon Date | 02-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Patrick Awuah. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1B. | Election of Director: Gregory Boyce. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1C. | Election of Director: Bruce Brook. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1D. | Election of Director: Maura Clark. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1E. | Election of Director: Matthew Coon Come. (Please note
that an Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1F. | Election of Director: José Manuel Madero. (Please note
that an Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1G. | Election of Director: René Médori. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1H. | Election of Director: Jane Nelson. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1I. | Election of Director: Thomas Palmer. (Please note that
an Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1J. | Election of Director: Julio Quintana. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 1K. | Election of Director: Susan Story. (Please note that an
Against vote is treated as a Withhold) | Management | | For | | For | | |
| | 2. | Approve, on an Advisory Basis, Named Executive Officer
Compensation. | Management | | For | | For | | |
| | 3. | Ratify Appointment of Independent Registered Public
Accounting Firm for 2021. | Management | | For | | For | | |
| | HCA HEALTHCARE, INC. | | |
| | Security | 40412C101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HCA | | | | | | Meeting Date | 28-Apr-2021 | |
| | ISIN | US40412C1018 | | | | | | Agenda | 935354237 - Management |
| | Record Date | 08-Mar-2021 | | | | | | Holding Recon Date | 08-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Thomas F. Frist III | Management | | For | | For | | |
| | 1B. | Election of Director: Samuel N. Hazen | Management | | For | | For | | |
| | 1C. | Election of Director: Meg G. Crofton | Management | | For | | For | | |
| | 1D. | Election of Director: Robert J. Dennis | Management | | For | | For | | |
| | 1E. | Election of Director: Nancy-Ann DeParle | Management | | For | | For | | |
| | 1F. | Election of Director: William R. Frist | Management | | For | | For | | |
| | 1G. | Election of Director: Charles O. Holliday, Jr | Management | | For | | For | | |
| | 1H. | Election of Director: Michael W. Michelson | Management | | For | | For | | |
| | 1I. | Election of Director: Wayne J. Riley, M.D. | Management | | For | | For | | |
| | 2. | To ratify the appointment of Ernst & Young LLP as our
independent registered public accounting firm for the year
ending December 31, 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve named executive officer
compensation. | Management | | For | | For | | |
| | 4. | Stockholder proposal, if properly presented at the
meeting, requesting that the Board of Directors take the
steps necessary to allow stockholders to act by written
consent. | Shareholder | | Against | | For | | |
| | 5. | Stockholder proposal, if properly presented at the
meeting, requesting a report on the feasibility of
increasing the impact of quality metrics on executive
compensation. | Shareholder | | Against | | For | | |
| | VISTRA CORP. | | |
| | Security | 92840M102 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VST | | | | | | Meeting Date | 28-Apr-2021 | |
| | ISIN | US92840M1027 | | | | | | Agenda | 935375344 - Management |
| | Record Date | 16-Mar-2021 | | | | | | Holding Recon Date | 16-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 27-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Scott B. Helm | Management | | For | | For | | |
| | 1B. | Election of Director: Hilary E. Ackermann | Management | | For | | For | | |
| | 1C. | Election of Director: Arcilia C. Acosta | Management | | For | | For | | |
| | 1D. | Election of Director: Gavin R. Baiera | Management | | For | | For | | |
| | 1E. | Election of Director: Paul M. Barbas | Management | | For | | For | | |
| | 1F. | Election of Director: Lisa Crutchfield | Management | | For | | For | | |
| | 1G. | Election of Director: Brian K. Ferraioli | Management | | For | | For | | |
| | 1H. | Election of Director: Jeff D. Hunter | Management | | For | | For | | |
| | 1I. | Election of Director: Curtis A. Morgan | Management | | For | | For | | |
| | 1J. | Election of Director: John R. Sult | Management | | For | | For | | |
| | 2. | Approve, on an advisory basis, the 2020 compensation of
the Company's named executive officers. | Management | | For | | For | | |
| | 3. | Ratify the selection of Deloitte & Touche LLP as the
Company's independent registered public accounting firm
for the year ending December 31, 2021. | Management | | For | | For | | |
| | BASF SE | | |
| | Security | D06216317 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 29-Apr-2021 | |
| | ISIN | DE000BASF111 | | | | | | Agenda | 713711629 - Management |
| | Record Date | 22-Apr-2021 | | | | | | Holding Recon Date | 22-Apr-2021 | |
| | City / | Country | LUDWIG
SHAFEN
AM
RHEIN | / | Germany | | | | | Vote Deadline Date | 19-Apr-2021 | |
| | SEDOL(s) | 0083142 - 5086577 - 5086599 -
B6SL277 - BF0Z8M7 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL. | Non-Voting | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE. | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 3.30 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR
2021 | Management | | For | | For | | |
| | 6 | ELECT LIMING CHEN TO THE SUPERVISORY BOARD | Management | | For | | For | | |
| | CMMT | 07 APR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO CHANGE IN RECORD DATE-FROM
21 APR 2021 TO 22 APR 2021 AND ADDITION OF
COMMENT. IF YOU HAVE ALREADY-SENT IN YOUR
VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU
DECIDE TO AMEND YOUR-ORIGINAL
INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | CMMT | 07 APR 2021: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIS)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIS TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | NRG ENERGY, INC. | | |
| | Security | 629377508 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NRG | | | | | | Meeting Date | 29-Apr-2021 | |
| | ISIN | US6293775085 | | | | | | Agenda | 935347446 - Management |
| | Record Date | 01-Mar-2021 | | | | | | Holding Recon Date | 01-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 28-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: E. Spencer Abraham | Management | | For | | For | | |
| | 1B. | Election of Director: Antonio Carrillo | Management | | For | | For | | |
| | 1C. | Election of Director: Matthew Carter, Jr. | Management | | For | | For | | |
| | 1D. | Election of Director: Lawrence S. Coben | Management | | For | | For | | |
| | 1E. | Election of Director: Heather Cox | Management | | For | | For | | |
| | 1F. | Election of Director: Elisabeth B. Donohue | Management | | For | | For | | |
| | 1G. | Election of Director: Mauricio Gutierrez | Management | | For | | For | | |
| | 1H. | Election of Director: Paul W. Hobby | Management | | For | | For | | |
| | 1I. | Election of Director: Alexandra Pruner | Management | | For | | For | | |
| | 1J. | Election of Director: Anne C. Schaumburg | Management | | For | | For | | |
| | 1K. | Election of Director: Thomas H. Weidemeyer | Management | | For | | For | | |
| | 2. | To approve, on a non-binding advisory basis, the
compensation of the Company's named executive
officers. | Management | | For | | For | | |
| | 3. | To ratify the appointment of KPMG LLP as the
Company's independent registered public accounting firm
for fiscal year 2021. | Management | | For | | For | | |
| | ENDESA SA | | |
| | Security | E41222113 | | | | | | Meeting Type | Ordinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 30-Apr-2021 | |
| | ISIN | ES0130670112 | | | | | | Agenda | 713721884 - Management |
| | Record Date | 23-Apr-2021 | | | | | | Holding Recon Date | 23-Apr-2021 | |
| | City / | Country | TBD | / | Spain | | | | | Vote Deadline Date | 27-Apr-2021 | |
| | SEDOL(s) | 5271782 - 5285501 - B0ZNJC8 -
BF445L8 - BHZLFC3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE INDIVIDUAL ANNUAL FINANCIAL
STATEMENTS OF ENDESA, S.A. BALANCE SHEE,
INCOME STATEMENT, STATEMENT OF CHANGES IN
NET EQUITY STATEMENT OF RECOGNIZED INCOME
AND EXPENSES AND STATEMENT OF TOTAL
CHANGES IN NET EQUITY, CASH FLOW STATEMENT
AND NOTES TO THE FINANCIAL STATEMENTS, AS
WELL AS OF THE CONSOLIDATED ANNUAL
FINANCIAL STATEMENTS OF ENDESA, S.A. AND ITS
SUBSIDIARY COMPANIES CONSOLIDATED
STATEMENT OF FINANCIAL POSITION,
CONSOLIDATED INCOME STATEMENT,
CONSOLIDATED STATEMENT OF OTHER
COMPREHENSIVE INCOME, CONSOLIDATED
STATEMENT OF CHANGES IN NET EQUITY,
CONSOLIDATED CASH FLOW STATEMENT AND
NOTES TO THE FINANCIAL STATEMENTS, FOR
FISCAL YEAR ENDING DECEMBER 31, 2020 | Management | | For | | For | | |
| | 2 | APPROVAL OF THE INDIVIDUAL MANAGEMENT
REPORT OF ENDESA, S.A. AND THE CONSOLIDATED
MANAGEMENT REPORT OF ENDESA, S.A. AND ITS
SUBSIDIARY COMPANIES FOR FISCAL YEAR
ENDING 31 DECEMBER 2020 | Management | | For | | For | | |
| | 3 | APPROVAL OF THE NON FINANCIAL INFORMATION
AND SUSTAINABILITY STATEMENT OF THE
CONSOLIDATED GROUP FOR FISCAL YEAR ENDING
31 DECEMBER 2020 | Management | | For | | For | | |
| | 4 | APPROVAL OF THE CORPORATE MANAGEMENT
FOR FISCAL YEAR ENDING 31 DECEMBER 2020 | Management | | For | | For | | |
| | 5 | APPROVAL OF THE APPLICATION OF EARNINGS
FOR FISCAL YEAR ENDING 31 DECEMBER 2020 | Management | | For | | For | | |
| | 6.1 | ADDITION OF A NEW ARTICLE ARTICLE 26.TER IN
THE CORPORATE BYLAWS THAT WOULD PROVIDE
THE OPTION TO HOLD A REMOTE ONLY GENERAL
MEETING | Management | | For | | For | | |
| | 6.2 | AMENDMENT OF ARTICLES 26.BIS, 27, 30 AND 33 OF
THE CORPORATE BYLAWS, ALLOWING THE
SHAREHOLDERS PROXYHOLDERS TO ATTEND
GENERAL MEETINGS REMOTELY AND
INTRODUCING OTHER IMPROVEMENTS RELATING
TO REMOTE ATTENDANCE | Management | | For | | For | | |
| | 6.3 | AMENDMENT OF ARTICLE 40 OF THE CORPORATE
BYLAWS TO INTRODUCE TECHNICAL
IMPROVEMENTS TO THE PROVISIONS GOVERNING
DIRECTOR COMPENSATION | Management | | For | | For | | |
| | 6.4 | AMENDMENT OF ARTICLE 43 OF THE CORPORATE
BYLAWS TO UPDATE THE PROVISIONS GOVERNING
REMOTE BOARD MEETINGS | Management | | For | | For | | |
| | 7.1 | ADDITION OF A NEW ARTICLE ARTICLE 10.TER IN
THE GENERAL SHAREHOLDERS MEETING
REGULATIONS THAT WOULD PROVIDE THE OPTION
TO HOLD A REMOTE ONLY GENERAL MEETING | Management | | For | | For | | |
| | 7.2 | AMENDMENT OF ARTICLES 9, 10, 10 BIS, 11, 16 AND
21 OF THE GENERAL SHAREHOLDERS MEETING
REGULATIONS, ALLOWING THE SHAREHOLDERS
PROXYHOLDERS TO ATTEND GENERAL MEETINGS
REMOTELY AND INTRODUCING OTHER
IMPROVEMENTS RELATING TO REMOTE
ATTENDANCE | Management | | For | | For | | |
| | 8 | ESTABLISHMENT OF THE NUMBER OF MEMBERS
OF THE BOARD OF DIRECTORS AT ELEVEN | Management | | For | | For | | |
| | 9 | BINDING VOTE ON THE ANNUAL REPORT ON
DIRECTORS COMPENSATION | Management | | For | | For | | |
| | 10 | APPROVAL OF THE DIRECTORS COMPENSATION
POLICY FOR 2021 2023 | Management | | For | | For | | |
| | 11 | APPROVAL OF THE STRATEGIC INCENTIVE 2021
2023 | Management | | For | | For | | |
| | 12 | DELEGATION TO THE BOARD OF DIRECTORS TO
EXECUTE AND IMPLEMENT RESOLUTIONS
ADOPTED BY THE GENERAL MEETING, AS WELL AS
TO SUBSTITUTE THE POWERS ENTRUSTED
THERETO BY THE GENERAL MEETING, AND
GRANTING OF POWERS TO THE BOARD OF
DIRECTORS TO RECORD SUCH RESOLUTIONS IN A
PUBLIC INSTRUMENT AND REGISTER SUCH
RESOLUTIONS | Management | | For | | For | | |
| | ADMIRAL GROUP PLC | | |
| | Security | G0110T106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 30-Apr-2021 | |
| | ISIN | GB00B02J6398 | | | | | | Agenda | 713724082 - Management |
| | Record Date | | | | | | | Holding Recon Date | 28-Apr-2021 | |
| | City / | Country | CARDIFF | / | United
Kingdom | | | | | Vote Deadline Date | 26-Apr-2021 | |
| | SEDOL(s) | B02J639 - B0BD762 - B288KD2 -
BKSG1X9 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | TO RECEIVE THE FINANCIAL STATEMENTS AND THE
REPORTS OF THE DIRECTORS AND THE AUDITORS
FOR THE YEAR ENDED 31 DECEMBER 2020 | Management | | For | | For | | |
| | 2 | TO APPROVE THE DIRECTORS' REMUNERATION
REPORT (EXCLUDING THE DIRECTORS'
REMUNERATION POLICY) FOR THE FINANCIAL
YEAR ENDED 31 DECEMBER 2020 | Management | | For | | For | | |
| | 3 | TO APPROVE THE DIRECTORS' REMUNERATION
POLICY FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 4 | TO DECLARE A FINAL DIVIDEND ON THE ORDINARY
SHARES OF THE COMPANY FOR THE YEAR ENDED
31 DECEMBER 2020 OF 86 PENCE PER ORDINARY
SHARE, PAYABLE TO ALL ORDINARY
SHAREHOLDERS ON THE COMPANY'S REGISTER
OF MEMBERS AT THE CLOSE OF BUSINESS ON 7
MAY 2021 | Management | | For | | For | | |
| | 5 | TO APPOINT JAYAPRAKASA RANGASWAMI AS A
NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 6 | TO APPOINT MILENA MONDINI-DE-FOCATIIS AS A
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 7 | TO RE-APPOINT GERAINT JONES AS A EXECUTIVE
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 8 | TO RE-APPOINT ANNETTE COURT AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 9 | TO RE-APPOINT JEAN PARK AS A NON-EXECUTIVE
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 10 | TO RE-APPOINT GEORGE MANNING ROUNTREE AS
A NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 11 | TO RE-APPOINT OWEN CLARKE AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 12 | TO RE-APPOINT JUSTINE ROBERTS AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 13 | TO RE-APPOINT ANDREW CROSSLEY AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 14 | TO RE-APPOINT MICHAEL BRIERLEY AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 15 | TO RE-APPOINT KAREN GREEN AS A NON-
EXECUTIVE DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 16 | TO RE-APPOINT DELOITTE LLP AS THE AUDITORS
OF THE COMPANY FROM THE CONCLUSION OF
THIS MEETING UNTIL THE CONCLUSION OF THE
NEXT GENERAL MEETING AT WHICH ACCOUNTS
ARE LAID | Management | | For | | For | | |
| | 17 | TO AUTHORISE THE AUDIT COMMITTEE (ON
BEHALF OF THE BOARD) TO DETERMINE THE
REMUNERATION OF THE AUDITORS | Management | | For | | For | | |
| | 18 | TO AMEND THE COMPANY'S DISCRETIONARY FREE
SHARE SCHEME RULES BY: (I) REMOVING THE GBP
2,000,000 CAP FROM THE ANNUAL AWARD LIMIT;
AND (II) REDUCING THE PERCENTAGE CAP
ASSOCIATED WITH AWARDS OVER GBP 1,000,000
FROM 600% TO 500% | Management | | For | | For | | |
| | 19 | TO AUTHORISE THE COMPANY AND ALL
COMPANIES THAT ARE ITS SUBSIDIARIES AT ANY
TIME DURING THE PERIOD FOR WHICH THIS
RESOLUTION HAS EFFECT FOR THE PURPOSES OF
SECTION 366 OF THE COMPANIES ACT 2006 (CA
2006) TO: (I) MAKE POLITICAL DONATIONS TO
POLITICAL PARTIES OR INDEPENDENT ELECTION
CANDIDATES (AS SUCH TERMS ARE DEFINED IN
SECTIONS 363 AND 364 OF THE CA 2006), NOT
EXCEEDING GBP 100,000 IN AGGREGATE; (II) MAKE
POLITICAL DONATIONS TO POLITICAL
ORGANISATIONS OTHER THAN POLITICAL PARTIES
(AS SUCH TERMS ARE DEFINED IN SECTIONS 363
AND 364 OF THE CA 2006), NOT EXCEEDING GBP
100,000 IN AGGREGATE; AND (III) TO INCUR
POLITICAL EXPENDITURE (AS SUCH TERM IS
DEFINED IN SECTION 365 OF THE CA 2006), NOT
EXCEEDING GBP 100,000 IN AGGREGATE, DURING
THE PERIOD BEGINNING WITH THE DATE OF THE
PASSING OF THIS RESOLUTION AND ENDING ON
THE EARLIER OF, THE CONCLUSION OF THE NEXT
AGM OF THE COMPANY OR 30 JUNE 2022, UNLESS
PREVIOUSLY RENEWED, VARIED OR REVOKED BY
THE COMPANY IN GENERAL MEETING, PROVIDED
THAT THE MAXIMUM AMOUNTS REFERRED TO IN (I),
(II) AND (III) MAY COMPRISE SUMS IN DIFFERENT
CURRENCIES WHICH SHALL BE CONVERTED AT
SUCH RATE AS THE BOARD MAY IN ITS ABSOLUTE
DISCRETION DETERMINE TO BE APPROPRIATE | Management | | For | | For | | |
| | 20 | THAT, IN SUBSTITUTION FOR ALL EXISTING
AUTHORITIES, THE DIRECTORS BE GENERALLY
AND UNCONDITIONALLY AUTHORISED IN
ACCORDANCE WITH SECTION 551 OF THE CA 2006
TO EXERCISE ALL THE POWERS OF THE COMPANY
TO ALLOT SHARES IN THE COMPANY OR GRANT
RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY | Management | | For | | For | | |
| | | SECURITY INTO SHARES IN THE COMPANY: (I) UP
TO AN AGGREGATE NOMINAL AMOUNT OF GBP
99,007; AND (II) COMPRISING EQUITY SECURITIES
(AS DEFINED IN SECTION 560(1) OF THE CA 2006)
UP TO A FURTHER AGGREGATE NOMINAL AMOUNT
OF GBP 99,007 IN CONNECTION WITH AN OFFER BY
WAY OF A RIGHTS ISSUE, PROVIDED THAT THE
AUTHORITIES CONFERRED BY SUB PARAGRAPHS
(I) AND (II) ABOVE SHALL EXPIRE (UNLESS
PREVIOUSLY RENEWED, VARIED OR REVOKED BY
THE COMPANY IN GENERAL MEETING) AT THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM
OF THE COMPANY AFTER THE DATE OF THE
PASSING OF THIS RESOLUTION OR 30 JUNE 2022,
BUT, IN EACH CASE, SO THAT THE COMPANY MAY
MAKE OFFERS AND ENTER INTO AGREEMENTS
BEFORE THE AUTHORITY EXPIRES WHICH WOULD,
OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR
RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY
SECURITY INTO SHARES TO BE GRANTED AFTER
THE AUTHORITY EXPIRES AND THE DIRECTORS
MAY ALLOT SHARES OR GRANT SUCH RIGHTS
UNDER ANY SUCH OFFER OR AGREEMENT AS IF
THE AUTHORITY HAD NOT EXPIRED. REFERENCES
IN THIS RESOLUTION 20 TO THE NOMINAL AMOUNT
OF RIGHTS TO SUBSCRIBE FOR OR TO CONVERT
ANY SECURITY INTO SHARES (INCLUDING WHERE
SUCH RIGHTS ARE REFERRED TO AS EQUITY
SECURITIES AS DEFINED IN SECTION 560(1) OF THE
CA 2006) ARE TO THE NOMINAL AMOUNT OF
SHARES THAT MAY BE ALLOTTED PURSUANT TO
THE RIGHTS. FOR THE PURPOSES OF THIS
RESOLUTION 20 "RIGHTS ISSUE" MEANS AN OFFER
TO: (A) ORDINARY SHAREHOLDERS IN
PROPORTION (AS NEARLY AS MAY BE
PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND
(B) HOLDERS OF OTHER EQUITY SECURITIES, AS
REQUIRED BY THE RIGHTS OF THOSE SECURITIES
OR, SUBJECT TO SUCH RIGHTS, AS THE
DIRECTORS OTHERWISE CONSIDER NECESSARY,
TO SUBSCRIBE FOR FURTHER SECURITIES BY
MEANS OF THE ISSUE OF A RENOUNCEABLE
LETTER (OR OTHER NEGOTIABLE DOCUMENT)
WHICH MAY BE TRADED FOR A PERIOD BEFORE
PAYMENT FOR THE SECURITIES IS DUE, INCLUDING
AN OFFER TO WHICH THE DIRECTORS MAY IMPOSE
ANY LIMITS OR RESTRICTIONS OR MAKE ANY
OTHER ARRANGEMENTS WHICH THEY CONSIDER
NECESSARY OR APPROPRIATE TO DEAL WITH
TREASURY SHARES, FRACTIONAL ENTITLEMENTS,
RECORD DATES, LEGAL, REGULATORY OR
PRACTICAL PROBLEMS IN, OR UNDER THE LAWS
OF, ANY TERRITORY OR ANY OTHER MATTER | | | | | | | | | |
| | 21 | THAT, IN SUBSTITUTION FOR ALL EXISTING
AUTHORITIES AND SUBJECT TO THE PASSING OF
RESOLUTION 20, THE DIRECTORS BE GENERALLY
EMPOWERED PURSUANT TO SECTION 570 OF THE
CA 2006 TO ALLOT EQUITY SECURITIES (AS
DEFINED IN SECTION 560(1) OF THE CA 2006) FOR
CASH PURSUANT TO THE AUTHORITY GRANTED BY
RESOLUTION 20 AND/OR PURSUANT TO SECTION
573 OF THE CA 2006 TO SELL ORDINARY SHARES
HELD BY THE COMPANY AS TREASURY SHARES
FOR CASH, IN EACH CASE FREE OF THE
RESTRICTION IN SECTION 561 OF THE CA 2006,
SUCH AUTHORITY TO BE LIMITED: (I) TO THE
ALLOTMENT OF EQUITY SECURITIES AND/OR SALE
OF TREASURY SHARES FOR CASH IN CONNECTION
WITH AN OFFER OF EQUITY SECURITIES (BUT IN
THE CASE OF AN ALLOTMENT PURSUANT TO THE
AUTHORITY GRANTED BY PARAGRAPH (II) OF
RESOLUTION 20, BY WAY OF A RIGHTS ISSUE
ONLY): (A) TO ORDINARY SHAREHOLDERS IN
PROPORTION (AS NEARLY AS MAY BE
PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND
(B) TO HOLDERS OF OTHER EQUITY SECURITIES,
AS REQUIRED BY THE RIGHTS OF THOSE
SECURITIES OR, SUBJECT TO SUCH RIGHTS, AS
THE DIRECTORS OTHERWISE CONSIDER
NECESSARY, AND SO THAT THE DIRECTORS MAY
IMPOSE ANY LIMITS OR RESTRICTIONS OR MAKE
ANY OTHER ARRANGEMENTS WHICH THEY
CONSIDER NECESSARY OR APPROPRIATE TO DEAL
WITH TREASURY SHARES, FRACTIONAL
ENTITLEMENTS, RECORD DATES, LEGAL,
REGULATORY OR PRACTICAL PROBLEMS IN, OR
UNDER THE LAWS OF, ANY TERRITORY OR ANY
OTHER MATTER; AND (II) TO THE ALLOTMENT OF
EQUITY SECURITIES PURSUANT TO THE
AUTHORITY GRANTED BY PARAGRAPH (I) OF
RESOLUTION 20 AND/OR SALE OF TREASURY
SHARES FOR CASH (IN EACH CASE OTHERWISE
THAN IN THE CIRCUMSTANCES SET OUT IN
PARAGRAPH (I) OF THIS RESOLUTION 21) UP TO A
NOMINAL AMOUNT OF GBP 14,851 (CALCULATED, IN
THE CASE OF EQUITY SECURITIES WHICH ARE
RIGHTS TO SUBSCRIBE FOR, OR TO CONVERT
SECURITIES INTO, ORDINARY SHARES BY
REFERENCE TO THE AGGREGATE NOMINAL
AMOUNT OF RELEVANT SHARES WHICH MAY BE
ALLOTTED PURSUANT TO SUCH RIGHTS), SUCH
AUTHORITY TO APPLY UNTIL THE EARLIER OF THE
CONCLUSION OF THE NEXT AGM OF THE COMPANY
OR 30 JUNE 2022, UNLESS PREVIOUSLY RENEWED,
VARIED OR REVOKED BY THE COMPANY IN
GENERAL MEETING BUT, IN EACH CASE, SO THAT
THE COMPANY MAY MAKE OFFERS AND ENTER
INTO AGREEMENTS BEFORE THE AUTHORITY
EXPIRES WHICH WOULD, OR MIGHT, REQUIRE
EQUITY SECURITIES TO BE ALLOTTED (AND/OR | Management | | For | | For | | |
| | | TREASURY SHARES TO BE SOLD) AFTER THE
AUTHORITY EXPIRES AND THE DIRECTORS MAY
ALLOT EQUITY SECURITIES (AND/OR SELL
TREASURY SHARES) UNDER ANY SUCH OFFER OR
AGREEMENT AS IF THE AUTHORITY HAD NOT
EXPIRED. FOR THE PURPOSE OF THIS RESOLUTION
21, "RIGHTS ISSUE" HAS THE SAME MEANING AS IN
RESOLUTION 20 ABOVE | | | | | | | | | |
| | 22 | THAT, IN ADDITION TO ANY AUTHORITY GRANTED
UNDER RESOLUTION 21, AND SUBJECT TO THE
PASSING OF RESOLUTION 20, THE DIRECTORS BE
GENERALLY EMPOWERED PURSUANT TO SECTION
570 OF THE CA 2006 TO ALLOT EQUITY SECURITIES
(AS DEFINED IN SECTION 560(1) OF THE CA 2006)
FOR CASH PURSUANT TO THE AUTHORITY
GRANTED BY RESOLUTION 20 AND/OR PURSUANT
TO SECTION 573 OF THE CA 2006 TO SELL
ORDINARY SHARES HELD BY THE COMPANY AS
TREASURY SHARES FOR CASH, IN EACH CASE
FREE OF THE RESTRICTION IN SECTION 561 OF
THE CA 2006, SUCH AUTHORITY TO BE: LIMITED TO
THE ALLOTMENT OF EQUITY SECURITIES AND/OR
SALE OF TREASURY SHARES FOR CASH UP TO AN
AGGREGATE NOMINAL AMOUNT OF GBP 14,851
(CALCULATED, IN THE CASE OF EQUITY
SECURITIES WHICH ARE RIGHTS TO SUBSCRIBE
FOR, OR TO CONVERT SECURITIES INTO,
ORDINARY SHARES BY REFERENCE TO THE
AGGREGATE NOMINAL AMOUNT OF RELEVANT
SHARES WHICH MAY BE ALLOTTED PURSUANT TO
SUCH RIGHTS); AND (II) USED ONLY FOR THE
PURPOSES OF FINANCING (OR REFINANCING, IF
THE AUTHORITY IS TO BE USED WITHIN SIX
MONTHS AFTER THE ORIGINAL TRANSACTION) A
TRANSACTION WHICH THE DIRECTORS OF THE
COMPANY DETERMINE TO BE AN ACQUISITION OR
OTHER CAPITAL INVESTMENT OF A KIND
CONTEMPLATED BY THE STATEMENT OF
PRINCIPLES ON DISAPPLYING PRE-EMPTION
RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-
EMPTION GROUP PRIOR TO THE DATE OF THIS
NOTICE, SUCH AUTHORITY TO APPLY UNTIL THE
EARLIER OF THE CONCLUSION OF THE NEXT AGM
OF THE COMPANY OR 30 JUNE 2022 UNLESS
PREVIOUSLY RENEWED, VARIED OR REVOKED BY
THE COMPANY IN GENERAL MEETING BUT, IN EACH
CASE, SO THAT THE COMPANY MAY MAKE OFFERS
AND ENTER INTO AGREEMENTS BEFORE THE
AUTHORITY EXPIRES WHICH WOULD, OR MIGHT,
REQUIRE EQUITY SECURITIES TO BE ALLOTTED
(AND/OR TREASURY SHARES TO BE SOLD) AFTER
THE AUTHORITY EXPIRES AND THE DIRECTORS OF
THE COMPANY MAY ALLOT EQUITY SECURITIES
(AND/OR SELL TREASURY SHARES) UNDER ANY
SUCH OFFER OR AGREEMENT AS IF THE
AUTHORITY CONFERRED HEREBY HAD NOT
EXPIRED | Management | | For | | For | | |
| | 23 | THAT: (I) THE PAYMENT OF 27.7P PER ORDINARY
SHARE BY WAY OF INTERIM DIVIDEND PAID ON 21
OCTOBER 2009 (THE 2009 INTERIM DIVIDEND) AND
THE APPROPRIATION, FOR THE PURPOSES OF THE
PREPARATION OF THE COMPANY'S AUDITED
FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR
ENDED 31 DECEMBER 2009, OF THE
DISTRIBUTABLE PROFITS OF THE COMPANY TO
THE PAYMENT OF THE 2009 INTERIM DIVIDEND AND
THE RESULTING ENTRY FOR THE DISTRIBUTABLE
PROFITS OF THE COMPANY IN SUCH FINANCIAL
STATEMENTS, BE AND ARE HEREBY AUTHORISED
BY REFERENCE TO THE SAME RECORD DATE AS
THE ORIGINAL ACCOUNTING ENTRIES FOR THE
2009 INTERIM DIVIDEND; (II) THE PAYMENT OF 32.6P
PER ORDINARY SHARE BY WAY OF INTERIM
DIVIDEND PAID ON 20 OCTOBER 2010 (THE 2010
INTERIM DIVIDEND) AND THE APPROPRIATION, FOR
THE PURPOSES OF THE PREPARATION OF THE
COMPANY'S AUDITED FINANCIAL STATEMENTS FOR
THE FINANCIAL YEAR ENDED 31 DECEMBER 2010,
OF THE DISTRIBUTABLE PROFITS OF THE
COMPANY TO THE PAYMENT OF THE 2010 INTERIM
DIVIDEND AND THE RESULTING ENTRY FOR THE
DISTRIBUTABLE PROFITS OF THE COMPANY IN
SUCH FINANCIAL STATEMENTS, BE AND ARE
HEREBY AUTHORISED BY REFERENCE TO THE
SAME RECORD DATE AS THE ORIGINAL
ACCOUNTING ENTRIES FOR THE 2010 INTERIM
DIVIDEND; (III) THE PAYMENT OF 91.2P PER
ORDINARY SHARE BY WAY OF INTERIM DIVIDEND
PAID ON 2 OCTOBER 2020 (THE 2020 INTERIM
DIVIDEND) AND THE APPROPRIATION OF
DISTRIBUTABLE PROFITS OF THE COMPANY (AS
SHOWN IN THE INTERIM ACCOUNTS OF THE
COMPANY MADE UP TO 11 AUGUST 2020 AND FILED
WITH THE REGISTRAR OF COMPANIES ON 16
OCTOBER 2020) TO THE PAYMENT OF THE 2020
INTERIM DIVIDEND BE AND IS HEREBY
AUTHORISED BY REFERENCE TO THE SAME
RECORD DATE AS THE ORIGINAL ACCOUNTING
ENTRIES FOR THE 2020 INTERIM DIVIDEND; (IV) ANY
AND ALL CLAIMS WHICH THE COMPANY HAS OR
MAY HAVE ARISING OUT OF OR IN CONNECTION
WITH THE PAYMENT OF THE 2009 INTERIM
DIVIDEND, THE 2010 INTERIM DIVIDEND OR THE
2020 INTERIM DIVIDEND (TOGETHER, THE
RELEVANT DISTRIBUTIONS) AGAINST ITS
SHAREHOLDERS WHO APPEARED ON THE
REGISTER OF SHAREHOLDERS ON THE RELEVANT
RECORD DATE FOR EACH RELEVANT
DISTRIBUTION (OR THE PERSONAL
REPRESENTATIVES AND THEIR SUCCESSORS IN
TITLE (AS APPROPRIATE) OF A SHAREHOLDER'S
ESTATE IF HE OR SHE IS DECEASED) BE WAIVED
AND RELEASED, AND A DEED OF RELEASE IN
FAVOUR OF SUCH SHAREHOLDERS (OR THE | Management | | For | | For | | |
| | | PERSONAL REPRESENTATIVES AND THEIR
SUCCESSORS IN TITLE (AS APPROPRIATE) OF A
SHAREHOLDER'S ESTATE IF HE OR SHE IS
DECEASED) BE ENTERED INTO BY THE COMPANY
IN THE FORM PRODUCED TO THE AGM AND
INITIALLED BY THE CHAIR FOR THE PURPOSES OF
IDENTIFICATION AND ANY DIRECTOR IN THE
PRESENCE OF A WITNESS, ANY TWO DIRECTORS
OR ANY DIRECTOR AND THE COMPANY
SECRETARY BE AUTHORISED TO EXECUTE THE
SAME AS A DEED POLL FOR AND ON BEHALF OF
THE COMPANY; AND (V) ANY AND ALL CLAIMS
WHICH THE COMPANY HAS OR MAY HAVE AGAINST
EACH OF ITS DIRECTORS AND EACH OF DAVID
STEVENS, MANFRED ALDAG, KEVIN CHIDWICK,
HENRY ENGELHARDT, DAVID JACKSON, DAVID
JAMES, MARGARET JOHNSON, LUCY KELLAWAY,
ALASTAIR LYONS AND JOHN SUSSENS (THE
FORMER DIRECTORS) OR THE PERSONAL
REPRESENTATIVES AND THEIR SUCCESSORS IN
TITLE (AS APPROPRIATE) OF HIS OR HER ESTATE IF
SUCH DIRECTOR OR FORMER DIRECTOR IS
DECEASED, ARISING OUT OF OR IN CONNECTION
WITH THE APPROVAL, DECLARATION OR PAYMENT
OF THE RELEVANT DISTRIBUTIONS BE WAIVED AND
RELEASED AND THAT A DEED OF RELEASE IN
FAVOUR OF EACH OF SUCH DIRECTORS AND
FORMER DIRECTORS (OR THE PERSONAL
REPRESENTATIVES AND THEIR SUCCESSORS IN
TITLE OF HIS OR HER ESTATE IF SUCH DIRECTOR
OR FORMER DIRECTOR IS DECEASED), BE
ENTERED INTO BY THE COMPANY IN THE FORM
PRODUCED TO THE AGM AND INITIALLED BY THE
CHAIR FOR PURPOSES OF IDENTIFICATION AND
ANY DIRECTOR IN THE PRESENCE OF A WITNESS,
ANY TWO DIRECTORS OR ANY DIRECTOR AND THE
COMPANY SECRETARY BE AUTHORISED TO
EXECUTE THE SAME AS A DEED POLL FOR AND ON
BEHALF OF THE COMPANY | | | | | | | | | |
| | 24 | THAT THE COMPANY BE GENERALLY AND
UNCONDITIONALLY AUTHORISED, PURSUANT TO
AND IN ACCORDANCE WITH SECTION 701 OF THE
CA 2006, TO MAKE ONE OR MORE MARKET
PURCHASES (WITHIN THE MEANING OF SECTION
693(4) OF THE CA 2006) ON THE LONDON STOCK
EXCHANGE OF ORDINARY SHARES OF 0.1P IN THE
CAPITAL OF THE COMPANY (ORDINARY SHARES)
PROVIDED THAT: (I) THE MAXIMUM AGGREGATE
NUMBER OF ORDINARY SHARES AUTHORISED TO
BE PURCHASED IS 14,851,058 (REPRESENTING 5.00
PER CENT. OF THE ISSUED ORDINARY SHARE
CAPITAL); (II) THE MINIMUM PRICE (EXCLUDING
EXPENSES) WHICH MAY BE PAID FOR AN
ORDINARY SHARE IS THE NOMINAL VALUE OF
SUCH SHARE; (III) THE MAXIMUM PRICE
(EXCLUDING EXPENSES) WHICH MAY BE PAID FOR
AN ORDINARY SHARE SHALL BE THE HIGHER OF (1) | Management | | For | | For | | |
| | | AN AMOUNT EQUAL TO 105 PER CENT. OF THE
AVERAGE OF THE MIDDLE MARKET QUOTATIONS
FOR AN ORDINARY SHARE AS DERIVED FROM THE
LONDON STOCK EXCHANGE DAILY OFFICIAL LIST
FOR THE 5 BUSINESS DAYS IMMEDIATELY
PRECEDING THE DAY ON WHICH THAT ORDINARY
SHARE IS PURCHASED AND (2) THE HIGHER OF THE
PRICE OF THE LAST INDEPENDENT TRADE AND
THE HIGHEST CURRENT INDEPENDENT BID FOR AN
ORDINARY SHARE ON THE TRADING VENUE
WHERE THE PURCHASE IS CARRIED OUT; (IV) THIS
AUTHORITY EXPIRES AT THE EARLIER OF THE
CONCLUSION OF THE NEXT AGM OF THE COMPANY
OR 30 JUNE 2022; AND (V) THE COMPANY MAY
MAKE A CONTRACT TO PURCHASE ORDINARY
SHARES UNDER THIS AUTHORITY BEFORE THE
EXPIRY OF THE AUTHORITY WHICH WILL OR MAY
BE EXECUTED WHOLLY OR PARTLY AFTER THE
EXPIRY OF THE AUTHORITY AND MAY MAKE A
PURCHASE OF ORDINARY SHARES IN PURSUANCE
OF ANY SUCH CONTRACT | | | | | | | | | |
| | 25 | THAT A GENERAL MEETING OTHER THAN AN
ANNUAL GENERAL MEETING MAY BE CALLED ON
NOT LESS THAN 14 CLEAR DAYS' NOTICE | Management | | For | | For | | |
| | CREDIT SUISSE GROUP AG | | |
| | Security | H3698D419 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 30-Apr-2021 | |
| | ISIN | CH0012138530 | | | | | | Agenda | 713895982 - Management |
| | Record Date | 27-Apr-2021 | | | | | | Holding Recon Date | 27-Apr-2021 | |
| | City / | Country | HORGEN | / | Switzerland | | | | | Vote Deadline Date | 23-Apr-2021 | |
| | SEDOL(s) | 7154706 - 7171589 - B0ZGJC7 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 535624 DUE TO RECEIPT OF-DELETION
OF RESOLUTIONS 2, 6.2.1 AND 6.2.3. ALL VOTES
RECEIVED ON THE-PREVIOUS MEETING WILL BE
DISREGARDED IF VOTE DEADLINE EXTENSIONS
ARE GRANTED.-THEREFORE PLEASE REINSTRUCT
ON THIS MEETING NOTICE ON THE NEW JOB. IF
HOWEVER-VOTE DEADLINE EXTENSIONS ARE NOT
GRANTED IN THE MARKET, THIS MEETING WILL BE-
CLOSED AND YOUR VOTE INTENTIONS ON THE
ORIGINAL MEETING WILL BE APPLICABLE.-PLEASE
ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF
ON THE ORIGINAL MEETING,-AND AS SOON AS
POSSIBLE ON THIS NEW AMENDED MEETING.
THANK YOU | Non-Voting | | | | | | |
| | 1.1 | CONSULTATIVE VOTE ON THE 2020
COMPENSATION REPORT | Management | | | | | | |
| | 1.2 | APPROVAL OF THE 2020 MANAGEMENT REPORT,
THE 2020 PARENT COMPANY FINANCIAL
STATEMENTS, AND THE 2020 GROUP
CONSOLIDATED FINANCIAL STATEMENTS | Management | | | | | | |
| | 3 | APPROPRIATION OF RETAINED EARNINGS AND
ORDINARY DISTRIBUTION OF DIVIDENDS PAYABLE
OUT OF RETAINED EARNINGS AND CAPITAL
CONTRIBUTION RESERVES: CHF 0.29 PER SHARE | Management | | | | | | |
| | 4 | INCREASE AND EXTENSION OF THE AUTHORIZED
CAPITAL | Management | | | | | | |
| | 5.1.1 | ELECTION OF ANTONIO HORTA-OSORIO AS
MEMBER AND CHAIRMAN OF THE BOARD OF
DIRECTORS | Management | | | | | | |
| | 5.1.2 | RE-ELECTION OF IRIS BOHNET AS MEMBER OF THE
BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.3 | RE-ELECTION OF CHRISTIAN GELLERSTAD AS
MEMBER OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.4 | RE-ELECTION OF ANDREAS GOTTSCHLING AS
MEMBER OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.5 | RE-ELECTION OF MICHAEL KLEIN AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.6 | RE-ELECTION OF SHAN LI AS MEMBER OF THE
BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.7 | RE-ELECTION OF SERAINA MACIA AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.8 | RE-ELECTION OF RICHARD MEDDINGS AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.1.9 | RE-ELECTION OF KAI S. NARGOLWALA AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.110 | RE-ELECTION OF ANA PAULA PESSOA AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.111 | RE-ELECTION OF SEVERIN SCHWAN AS MEMBER
OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.112 | ELECTION OF CLARE BRADY AS MEMBER OF THE
BOARD OF DIRECTORS | Management | | | | | | |
| | 5.113 | ELECTION OF BLYTHE MASTERS AS MEMBER OF
THE BOARD OF DIRECTORS | Management | | | | | | |
| | 5.2.1 | RE-ELECTION OF IRIS BOHNET AS MEMBER OF THE
COMPENSATION COMMITTEE | Management | | | | | | |
| | 5.2.2 | RE-ELECTION OF CHRISTIAN GELLERSTAD AS
MEMBER OF THE COMPENSATION COMMITTEE | Management | | | | | | |
| | 5.2.3 | RE-ELECTION OF MICHAEL KLEIN AS MEMBER OF
THE COMPENSATION COMMITTEE | Management | | | | | | |
| | 5.2.4 | RE-ELECTION OF KAI S. NARGOLWALA AS MEMBER
OF THE COMPENSATION COMMITTEE | Management | | | | | | |
| | 5.2.5 | ELECTION OF BLYTHE MASTERS AS MEMBER OF
THE COMPENSATION COMMITTEE | Management | | | | | | |
| | 6.1 | APPROVAL OF THE COMPENSATION OF THE BOARD
OF DIRECTORS | Management | | | | | | |
| | 6.2.2 | APPROVAL OF THE COMPENSATION OF THE
EXECUTIVE BOARD: FIXED COMPENSATION | Management | | | | | | |
| | 7.1 | ELECTION OF THE INDEPENDENT AUDITORS:
PRICEWATERHOUSECOOPERS AG, ZURICH | Management | | | | | | |
| | 7.2 | ELECTION OF THE SPECIAL AUDITORS: BDO AG,
ZURICH | Management | | | | | | |
| | 7.3 | ELECTION OF THE INDEPENDENT PROXY: LAW
OFFICE KELLER PARTNERSHIP, ZURICH | Management | | | | | | |
| | CMMT | IF, AT THE ANNUAL GENERAL MEETING,
SHAREHOLDERS OR THE BOARD OF DIRECTORS
PUT-FORWARD ANY ADDITIONAL PROPOSALS OR
AMENDMENTS TO PROPOSALS ALREADY SET OUT-
IN THE PUBLISHED AGENDA OR ANY PROPOSALS
UNDER ART. 700 PARA. 3 OF THE SWISS-CODE OF
OBLIGATIONS, I HEREBY AUTHORIZE THE
INDEPENDENT PROXY TO VOTE ON SUCH-
PROPOSALS AS FOLLOWS | Non-Voting | | | | | | |
| | 8.1 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: PROPOSALS OF
SHAREHOLDERS | Shareholder | | | | | | |
| | 8.2 | PROPOSALS OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | DISH NETWORK CORPORATION | | |
| | Security | 25470M109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DISH | | | | | | Meeting Date | 30-Apr-2021 | |
| | ISIN | US25470M1099 | | | | | | Agenda | 935354605 - Management |
| | Record Date | 09-Mar-2021 | | | | | | Holding Recon Date | 09-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 29-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Kathleen Q. Abernathy | | | | For | | For | | |
| | | 2 | George R. Brokaw | | | | For | | For | | |
| | | 3 | James DeFranco | | | | For | | For | | |
| | | 4 | Cantey M. Ergen | | | | For | | For | | |
| | | 5 | Charles W. Ergen | | | | For | | For | | |
| | | 6 | Afshin Mohebbi | | | | For | | For | | |
| | | 7 | Tom A. Ortolf | | | | For | | For | | |
| | | 8 | Joseph T. Proietti | | | | For | | For | | |
| | 2. | To ratify the appointment of KPMG LLP as our
independent registered public accounting firm for the
fiscal year ending December 31, 2021. | Management | | For | | For | | |
| | 3. | To amend and restate our 2001 Nonemployee Director
Stock Option Plan. | Management | | For | | For | | |
| | LEIDOS HOLDINGS, INC. | | |
| | Security | 525327102 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LDOS | | | | | | Meeting Date | 30-Apr-2021 | |
| | ISIN | US5253271028 | | | | | | Agenda | 935355582 - Management |
| | Record Date | 10-Mar-2021 | | | | | | Holding Recon Date | 10-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 29-Apr-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Gregory R. Dahlberg | Management | | For | | For | | |
| | 1B. | Election of Director: David G. Fubini | Management | | For | | For | | |
| | 1C. | Election of Director: Miriam E. John | Management | | For | | For | | |
| | 1D. | Election of Director: Frank Kendall III | Management | | For | | For | | |
| | 1E. | Election of Director: Robert C. Kovarik, Jr. | Management | | For | | For | | |
| | 1F. | Election of Director: Harry M.J. Kraemer, Jr. | Management | | For | | For | | |
| | 1G. | Election of Director: Roger A. Krone | Management | | For | | For | | |
| | 1H. | Election of Director: Gary S. May | Management | | For | | For | | |
| | 1I. | Election of Director: Surya N. Mohapatra | Management | | For | | For | | |
| | 1J. | Election of Director: Robert S. Shapard | Management | | For | | For | | |
| | 1K. | Election of Director: Susan M. Stalnecker | Management | | For | | For | | |
| | 1L. | Election of Director: Noel B. Williams | Management | | For | | For | | |
| | 2. | Approve, by an advisory vote, executive compensation. | Management | | For | | For | | |
| | 3. | The ratification of the appointment of Deloitte & Touche
LLP as our independent registered public accounting firm
for the fiscal year ending December 31, 2021. | Management | | For | | For | | |
| | ALLY FINANCIAL INC. | | |
| | Security | 02005N100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ALLY | | | | | | Meeting Date | 04-May-2021 | |
| | ISIN | US02005N1000 | | | | | | Agenda | 935348070 - Management |
| | Record Date | 08-Mar-2021 | | | | | | Holding Recon Date | 08-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 03-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Franklin W. Hobbs | Management | | For | | For | | |
| | 1B. | Election of Director: Kenneth J. Bacon | Management | | For | | For | | |
| | 1C. | Election of Director: Katryn (Trynka) Shineman Blake | Management | | For | | For | | |
| | 1D. | Election of Director: Maureen A. Breakiron-Evans | Management | | For | | For | | |
| | 1E. | Election of Director: William H. Cary | Management | | For | | For | | |
| | 1F. | Election of Director: Mayree C. Clark | Management | | For | | For | | |
| | 1G. | Election of Director: Kim S. Fennebresque | Management | | For | | For | | |
| | 1H. | Election of Director: Marjorie Magner | Management | | For | | For | | |
| | 1I. | Election of Director: Brian H. Sharples | Management | | For | | For | | |
| | 1J. | Election of Director: John J. Stack | Management | | For | | For | | |
| | 1K. | Election of Director: Michael F. Steib | Management | | For | | For | | |
| | 1L. | Election of Director: Jeffrey J. Brown | Management | | For | | For | | |
| | 2. | Advisory vote on executive compensation. | Management | | For | | For | | |
| | 3. | Advisory vote on the frequency of the stockholder
advisory vote on executive compensation. | Management | | 1 Year | | For | | |
| | 4. | Approval of the Ally Financial Inc. Incentive
Compensation Plan, amended and restated effective as
of May 4, 2021. | Management | | For | | For | | |
| | 5. | Approval of the Ally Financial Inc. Non-Employee
Directors Equity Compensation Plan, amended and
restated effective as of May 4, 2021. | Management | | For | | For | | |
| | 6. | Approval of the Ally Financial Inc. Employee Stock
Purchase Plan, amended and restated effective as of
May 4, 2021. | Management | | For | | For | | |
| | 7. | Ratification of the Audit Committee's engagement of
Deloitte & Touche LLP as the Company's independent
registered public accounting firm for 2021. | Management | | For | | For | | |
| | BRISTOL-MYERS SQUIBB COMPANY | | |
| | Security | 110122108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BMY | | | | | | Meeting Date | 04-May-2021 | |
| | ISIN | US1101221083 | | | | | | Agenda | 935359643 - Management |
| | Record Date | 15-Mar-2021 | | | | | | Holding Recon Date | 15-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 03-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A) | Election of Director: Peter J. Arduini | Management | | For | | For | | |
| | 1B) | Election of Director: Michael W. Bonney | Management | | For | | For | | |
| | 1C) | Election of Director: Giovanni Caforio, M.D. | Management | | For | | For | | |
| | 1D) | Election of Director: Julia A. Haller, M.D. | Management | | For | | For | | |
| | 1E) | Election of Director: Paula A. Price | Management | | For | | For | | |
| | 1F) | Election of Director: Derica W. Rice | Management | | For | | For | | |
| | 1G) | Election of Director: Theodore R. Samuels | Management | | For | | For | | |
| | 1H) | Election of Director: Gerald L. Storch | Management | | For | | For | | |
| | 1I) | Election of Director: Karen Vousden, Ph.D. | Management | | For | | For | | |
| | 1J) | Election of Director: Phyllis R. Yale | Management | | For | | For | | |
| | 2. | Advisory Vote to Approve the Compensation of our
Named Executive Officers. | Management | | For | | For | | |
| | 3. | Approval of the Company's 2021 Stock Award and
Incentive Plan. | Management | | For | | For | | |
| | 4. | Ratification of the Appointment of an Independent
Registered Public Accounting Firm. | Management | | For | | For | | |
| | 5. | Approval of an Amendment to the Certificate of
Incorporation to Lower the Ownership Threshold for
Special Shareholder Meetings to 15%. | Management | | For | | For | | |
| | 6. | Shareholder Proposal on Adoption of a Board Policy that
the Chairperson of the Board be an Independent Director. | Shareholder | | Against | | For | | |
| | 7. | Shareholder Proposal on Shareholder Right to Act by
Written Consent. | Shareholder | | Against | | For | | |
| | 8. | Shareholder Proposal to Lower the Ownership Threshold
for Special Shareholder Meetings to 10%. | Shareholder | | Against | | For | | |
| | PHILIP MORRIS INTERNATIONAL INC. | | |
| | Security | 718172109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PM | | | | | | Meeting Date | 05-May-2021 | |
| | ISIN | US7181721090 | | | | | | Agenda | 935359112 - Management |
| | Record Date | 12-Mar-2021 | | | | | | Holding Recon Date | 12-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 04-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Brant Bonin Bough | Management | | For | | For | | |
| | 1B. | Election of Director: André Calantzopoulos | Management | | For | | For | | |
| | 1C. | Election of Director: Michel Combes | Management | | For | | For | | |
| | 1D. | Election of Director: Juan José Daboub | Management | | For | | For | | |
| | 1E. | Election of Director: Werner Geissler | Management | | For | | For | | |
| | 1F. | Election of Director: Lisa A. Hook | Management | | For | | For | | |
| | 1G. | Election of Director: Jun Makihara | Management | | For | | For | | |
| | 1H. | Election of Director: Kalpana Morparia | Management | | For | | For | | |
| | 1I. | Election of Director: Lucio A. Noto | Management | | For | | For | | |
| | 1J. | Election of Director: Jacek Olczak | Management | | For | | For | | |
| | 1K. | Election of Director: Frederik Paulsen | Management | | For | | For | | |
| | 1L. | Election of Director: Robert B. Polet | Management | | For | | For | | |
| | 1M. | Election of Director: Shlomo Yanai | Management | | For | | For | | |
| | 2. | Advisory Vote Approving Executive Compensation. | Management | | For | | For | | |
| | 3. | Ratification of the Selection of Independent Auditors. | Management | | For | | For | | |
| | RIO TINTO LTD | | |
| | Security | Q81437107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | AU000000RIO1 | | | | | | Agenda | 713713988 - Management |
| | Record Date | 04-May-2021 | | | | | | Holding Recon Date | 04-May-2021 | |
| | City / | Country | PERTH | / | Australia | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 5782068 - 6220103 - BHZLR16 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 508747 DUE TO RECEIPT OF-UPDATED
AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE-DISREGARDED AND YOU WILL
NEED TO REINSTRUCT ON THIS MEETING NOTICE.
THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FOR
PROPOSALS 2, 3, 4 AND 17 VOTES-CAST BY ANY
INDIVIDUAL OR RELATED PARTY WHO BENEFIT
FROM THE PASSING OF THE-PROPOSAL/S WILL BE
DISREGARDED BY THE COMPANY. HENCE, IF YOU
HAVE OBTAINED-BENEFIT OR EXPECT TO OBTAIN
FUTURE BENEFIT (AS REFERRED IN THE COMPANY-
ANNOUNCEMENT) VOTE ABSTAIN ON THE
RELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-
ACKNOWLEDGE THAT YOU HAVE OBTAINED
BENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE-
PASSING OF THE RELEVANT PROPOSAL/S. BY
VOTING (FOR OR AGAINST) ON THE ABOVE-
MENTIONED PROPOSAL/S, YOU ACKNOWLEDGE
THAT YOU HAVE NOT OBTAINED BENEFIT-NEITHER
EXPECT TO OBTAIN BENEFIT BY THE PASSING OF
THE RELEVANT PROPOSAL/S-AND YOU COMPLY
WITH THE VOTING EXCLUSION | Non-Voting | | | | | | |
| | 1 | RECEIPT OF THE 2020 ANNUAL REPORT | Management | | For | | For | | |
| | 2 | APPROVAL OF THE REMUNERATION POLICY | Management | | For | | For | | |
| | 3 | APPROVAL OF THE DIRECTORS' REMUNERATION
REPORT: IMPLEMENTATION REPORT | Management | | Against | | Against | | |
| | 4 | APPROVAL OF THE DIRECTORS' REMUNERATION
REPORT | Management | | Against | | Against | | |
| | 5 | TO RE-ELECT MEGAN CLARK AC AS A DIRECTOR | Management | | For | | For | | |
| | 6 | TO RE-ELECT HINDA GHARBI AS A DIRECTOR | Management | | For | | For | | |
| | 7 | TO RE-ELECT SIMON HENRY AS A DIRECTOR | Management | | For | | For | | |
| | 8 | TO RE-ELECT SAM LAIDLAW AS A DIRECTOR | Management | | For | | For | | |
| | 9 | TO RE-ELECT SIMON MCKEON AO AS A DIRECTOR | Management | | For | | For | | |
| | 10 | TO RE-ELECT JENNIFER NASON AS A DIRECTOR | Management | | For | | For | | |
| | 11 | TO RE-ELECT JAKOB STAUSHOLM AS A DIRECTOR | Management | | For | | For | | |
| | 12 | TO RE-ELECT SIMON THOMPSON AS A DIRECTOR | Management | | For | | For | | |
| | 13 | TO RE-ELECT NGAIRE WOODS CBE AS A DIRECTOR | Management | | For | | For | | |
| | 14 | RE-APPOINTMENT OF AUDITORS: TO RE-APPOINT
KPMG LLP AS AUDITORS OF RIO TINTO PLC TO
HOLD OFFICE UNTIL THE CONCLUSION OF RIO
TINTO'S 2022 ANNUAL GENERAL MEETINGS | Management | | For | | For | | |
| | 15 | REMUNERATION OF AUDITORS | Management | | For | | For | | |
| | 16 | AUTHORITY TO MAKE POLITICAL DONATIONS | Management | | For | | For | | |
| | 17 | RENEWAL OF AND AMENDMENT TO THE RIO TINTO
GLOBAL EMPLOYEE SHARE PLAN | Management | | For | | For | | |
| | 18 | RENEWAL OF OFF-MARKET AND ON-MARKET
SHARE BUY-BACK AUTHORITIES (SPECIAL
RESOLUTION) | Management | | For | | For | | |
| | 19 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: REQUISITIONED
RESOLUTION ON EMISSIONS TARGETS | Shareholder | | For | | For | | |
| | 20 | PLEASE NOTE THAT THIS RESOLUTION IS A
SHAREHOLDER PROPOSAL: REQUISITIONED
RESOLUTION ON CLIMATE-RELATED LOBBYING | Shareholder | | For | | For | | |
| | DEUTSCHE POST AG | | |
| | Security | D19225107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | DE0005552004 | | | | | | Agenda | 713717823 - Management |
| | Record Date | 29-Apr-2021 | | | | | | Holding Recon Date | 29-Apr-2021 | |
| | City / | Country | BONN | / | Germany | | | | | Vote Deadline Date | 26-Apr-2021 | |
| | SEDOL(s) | 4617859 - B0ZKVD4 - BF0Z6X4 -
BHZLDY1 - BTDY3J1 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT
TO PARAGRAPH 21 OF THE SECURITIES-TRADE
ACT ON 9TH JULY 2015 AND THE OVER-RULING OF
THE DISTRICT COURT IN-COLOGNE JUDGMENT
FROM 6TH JUNE 2012 THE VOTING PROCESS HAS
NOW CHANGED WITH-REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.
FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY
TO DISCLOSE RESPECTIVE FINAL BENEFICIARY
VOTING RIGHTS THEREFORE-THE CUSTODIAN
BANK / AGENT IN THE MARKET WILL BE SENDING
THE VOTING DIRECTLY-TO MARKET AND IT IS THE
END INVESTORS RESPONSIBILITY TO ENSURE THE-
REGISTRATION ELEMENT IS COMPLETE WITH THE
ISSUER DIRECTLY, SHOULD THEY HOLD-MORE
THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | | | | | | |
| | CMMT | THE VOTE/REGISTRATION DEADLINE AS
DISPLAYED ON PROXYEDGE IS SUBJECT TO
CHANGE-AND WILL BE UPDATED AS SOON AS
BROADRIDGE RECEIVES CONFIRMATION FROM
THE SUB-CUSTODIANS REGARDING THEIR
INSTRUCTION DEADLINE. FOR ANY QUERIES
PLEASE-CONTACT YOUR CLIENT SERVICES
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS
CAN BE FOUND DIRECTLY ON THE-ISSUER'S
WEBSITE (PLEASE REFER TO THE MATERIAL URL
SECTION OF THE-APPLICATION). IF YOU WISH TO
ACT ON THESE ITEMS, YOU WILL NEED TO
REQUEST A-MEETING ATTEND AND VOTE YOUR
SHARES DIRECTLY AT THE COMPANY'S MEETING.-
COUNTER PROPOSALS CANNOT BE REFLECTED IN
THE BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 1.35 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | For | | For | | |
| | 5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR FISCAL YEAR 2021 | Management | | For | | For | | |
| | 6.1 | ELECT INGRID DELTENRE TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.2 | ELECT KATJA WINDT TO THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 6.3 | ELECT NIKOLAUS VON BOMHARD TO THE
SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | APPROVE CREATION OF EUR 130 MILLION POOL OF
CAPITAL WITHOUT PREEMPTIVE RIGHTS | Management | | For | | For | | |
| | 8 | AUTHORIZE SHARE REPURCHASE PROGRAM AND
REISSUANCE OR CANCELLATION OF
REPURCHASED SHARES | Management | | For | | For | | |
| | 9 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN
REPURCHASING SHARES | Management | | For | | For | | |
| | 10 | APPROVE REMUNERATION POLICY | Management | | For | | For | | |
| | 11 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | CMMT | 07 APR 2021: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIS)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIS TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | CMMT | 07 APR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT.-IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | RITCHIE BROTHERS AUCTIONEERS INC | | |
| | Security | 767744105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | CA7677441056 | | | | | | Agenda | 713722153 - Management |
| | Record Date | 12-Mar-2021 | | | | | | Holding Recon Date | 12-Mar-2021 | |
| | City / | Country | VIRTUAL | / | Canada | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 2202729 - 2345390 - B4SGB82 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY
FOR RESOLUTION NUMBERS 1.A TO 1.I AND 2.
THANK YOU | Non-Voting | | | | | | |
| | 1.A | ELECTION OF DIRECTOR: ERIK OLSSON | Management | | For | | For | | |
| | 1.B | ELECTION OF DIRECTOR: ANN FANDOZZI | Management | | For | | For | | |
| | 1.C | ELECTION OF DIRECTOR: BEVERLEY ANNE
BRISCOE | Management | | For | | For | | |
| | 1.D | ELECTION OF DIRECTOR: ROBERT G. ELTON | Management | | For | | For | | |
| | 1.E | ELECTION OF DIRECTOR: J. KIM FENNELL | Management | | For | | For | | |
| | 1.F | ELECTION OF DIRECTOR: AMY GUGGENHEIM
SHENKAN | Management | | For | | For | | |
| | 1.G | ELECTION OF DIRECTOR: SARAH RAISS | Management | | For | | For | | |
| | 1.H | ELECTION OF DIRECTOR: CHRISTOPHER
ZIMMERMAN | Management | | For | | For | | |
| | 1.I | ELECTION OF DIRECTOR: ADAM DEWITT | Management | | Against | | Against | | |
| | 2 | APPOINTMENT OF ERNST & YOUNG LLP AS
AUDITORS OF THE COMPANY FOR THE ENSUING
YEAR AND AUTHORIZING THE AUDIT COMMITTEE
TO FIX THEIR REMUNERATION | Management | | For | | For | | |
| | 3 | APPROVAL, ON AN ADVISORY BASIS, OF A NON-
BINDING ADVISORY RESOLUTION ACCEPTING THE
COMPANY'S APPROACH TO EXECUTIVE
COMPENSATION | Management | | For | | For | | |
| | CANADIAN NATURAL RESOURCES LTD | | |
| | Security | 136385101 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | CA1363851017 | | | | | | Agenda | 713725717 - Management |
| | Record Date | 17-Mar-2021 | | | | | | Holding Recon Date | 17-Mar-2021 | |
| | City / | Country | VIRTUAL
MEETIN
G | / | Canada | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 2125202 - 2171573 - 5313673 -
BHZLCK0 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN'
ONLY FOR RESOLUTION NUMBERS-1.1 TO 1.11 AND
2. THANK YOU | Non-Voting | | | | | | |
| | 1.1 | ELECTION OF DIRECTOR: CATHERINE M. BEST | Management | | For | | For | | |
| | 1.2 | ELECTION OF DIRECTOR: M. ELIZABETH CANNON | Management | | For | | For | | |
| | 1.3 | ELECTION OF DIRECTOR: N. MURRAY EDWARDS | Management | | For | | For | | |
| | 1.4 | ELECTION OF DIRECTOR: CHRISTOPHER L. FONG | Management | | For | | For | | |
| | 1.5 | ELECTION OF DIRECTOR: AMBASSADOR GORDON
D. GIFFIN | Management | | For | | For | | |
| | 1.6 | ELECTION OF DIRECTOR: WILFRED A. GOBERT | Management | | For | | For | | |
| | 1.7 | ELECTION OF DIRECTOR: STEVE W. LAUT | Management | | For | | For | | |
| | 1.8 | ELECTION OF DIRECTOR: TIM S. MCKAY | Management | | For | | For | | |
| | 1.9 | ELECTION OF DIRECTOR: HONOURABLE FRANK J.
MCKENNA | Management | | For | | For | | |
| | 1.10 | ELECTION OF DIRECTOR: DAVID A. TUER | Management | | For | | For | | |
| | 1.11 | ELECTION OF DIRECTOR: ANNETTE M.
VERSCHUREN | Management | | For | | For | | |
| | 2 | THE APPOINTMENT OF
PRICEWATERHOUSECOOPERS LLP. CHARTERED
ACCOUNTANTS, CALGARY, ALBERTA, AS AUDITORS
OF THE CORPORATION FOR THE ENSUING YEAR
AND THE AUTHORIZATION OF THE AUDIT
COMMITTEE OF THE BOARD OF DIRECTORS OF
THE CORPORATION TO FIX REMUNERATION | Management | | For | | For | | |
| | 3 | ON AN ADVISORY BASIS, ACCEPTING THE
CORPORATION'S APPROACH TO EXECUTIVE
COMPENSATION AS DESCRIBED IN INFORMATION
CIRCULAR | Management | | For | | For | | |
| | MAGNA INTERNATIONAL INC | | |
| | Security | 559222401 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | CA5592224011 | | | | | | Agenda | 713733841 - Management |
| | Record Date | 19-Mar-2021 | | | | | | Holding Recon Date | 19-Mar-2021 | |
| | City / | Country | VIRTUAL | / | Canada | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 2554475 - 2554549 - 5973033 -
BHZLMD3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN'
ONLY FOR RESOLUTION NUMBERS-1.A TO 1.L AND
2. THANK YOU | Non-Voting | | | | | | |
| | 1.A | ELECTION OF DIRECTOR: PETER G. BOWIE | Management | | For | | For | | |
| | 1.B | ELECTION OF DIRECTOR: MARY S. CHAN | Management | | For | | For | | |
| | 1.C | ELECTION OF DIRECTOR: HON. V. PETER HARDER | Management | | For | | For | | |
| | 1.D | ELECTION OF DIRECTOR: SEETARAMA S. KOTAGIRI
(CEO) | Management | | For | | For | | |
| | 1.E | ELECTION OF DIRECTOR: DR. KURT J. LAUK | Management | | For | | For | | |
| | 1.F | ELECTION OF DIRECTOR: ROBERT F. MACLELLAN | Management | | For | | For | | |
| | 1.G | ELECTION OF DIRECTOR: MARY LOU MAHER | Management | | For | | For | | |
| | 1.H | ELECTION OF DIRECTOR: CYNTHIA A. NIEKAMP | Management | | For | | For | | |
| | 1.I | ELECTION OF DIRECTOR: WILLIAM A. RUH | Management | | For | | For | | |
| | 1.J | ELECTION OF DIRECTOR: DR. INDIRA V.
SAMARASEKERA | Management | | For | | For | | |
| | 1.K | ELECTION OF DIRECTOR: LISA S. WESTLAKE | Management | | For | | For | | |
| | 1.L | ELECTION OF DIRECTOR: WILLIAM L. YOUNG | Management | | For | | For | | |
| | 2 | REAPPOINTMENT OF DELOITTE LLP AS THE
INDEPENDENT AUDITOR OF THE CORPORATION
AND AUTHORIZATION OF THE AUDIT COMMITTEE
TO FIX THE INDEPENDENT AUDITOR'S
REMUNERATION | Management | | For | | For | | |
| | 3 | RESOLVED, ON AN ADVISORY BASIS AND NOT TO
DIMINISH THE ROLES AND RESPONSIBILITIES OF
THE BOARD OF DIRECTORS, THAT THE
SHAREHOLDERS ACCEPT THE APPROACH TO
EXECUTIVE COMPENSATION DISCLOSED IN THE
ACCOMPANYING MANAGEMENT INFORMATION
CIRCULAR/PROXY STATEMENT | Management | | For | | For | | |
| | BAE SYSTEMS PLC | | |
| | Security | G06940103 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | GB0002634946 | | | | | | Agenda | 713754427 - Management |
| | Record Date | | | | | | | Holding Recon Date | 04-May-2021 | |
| | City / | Country | FARNBO
ROUGH | / | United
Kingdom | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 0263494 - 5473759 - BKT32R0 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 01 | REPORT AND ACCOUNTS | Management | | For | | For | | |
| | 02 | REMUNERATION REPORT | Management | | Against | | Against | | |
| | 03 | FINAL DIVIDEND: 14.3 PENCE PER ORDINARY
SHARE | Management | | For | | For | | |
| | 04 | RE-ELECT THOMAS ARSENEAULT | Management | | For | | For | | |
| | 05 | RE-ELECT SIR ROGER CARR | Management | | For | | For | | |
| | 06 | RE-ELECT DAME ELIZABETH CORLEY | Management | | For | | For | | |
| | 07 | RE-ELECT BRADLEY GREVE | Management | | For | | For | | |
| | 08 | RE-ELECT JANE GRIFFITHS | Management | | For | | For | | |
| | 09 | RE-ELECT CHRISTOPHER GRIGG | Management | | For | | For | | |
| | 10 | RE-ELECT STEPHEN PEARCE | Management | | For | | For | | |
| | 11 | RE-ELECT NICOLE PIASECKI | Management | | For | | For | | |
| | 12 | RE-ELECT IAN TYLER | Management | | For | | For | | |
| | 13 | RE-ELECT CHARLES WOODBURN | Management | | For | | For | | |
| | 14 | ELECT NICHOLAS ANDERSON | Management | | For | | For | | |
| | 15 | ELECT DAME CAROLYN FAIRBAIRN | Management | | For | | For | | |
| | 16 | RE-APPOINTMENT OF AUDITORS: DELOITTE LLP | Management | | For | | For | | |
| | 17 | REMUNERATION OF AUDITORS | Management | | For | | For | | |
| | 18 | POLITICAL DONATIONS UP TO SPECIFIED LIMITS | Management | | For | | For | | |
| | 19 | AUTHORITY TO ALLOT NEW SHARES | Management | | For | | For | | |
| | 20 | DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | | For | | For | | |
| | 21 | PURCHASE OWN SHARES | Management | | For | | For | | |
| | 22 | NOTICE OF GENERAL MEETINGS | Management | | For | | For | | |
| | 23 | AMEND ARTICLES OF ASSOCIATION | Management | | For | | For | | |
| | JARDINE MATHESON HOLDINGS LTD | | |
| | Security | G50736100 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | BMG507361001 | | | | | | Agenda | 713869420 - Management |
| | Record Date | | | | | | | Holding Recon Date | 04-May-2021 | |
| | City / | Country | HAMILT
ON | / | Bermuda | | | | | Vote Deadline Date | 29-Apr-2021 | |
| | SEDOL(s) | 2841586 - B02TXX8 - B28D2V9 -
B7TB046 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | TO RECEIVE AND CONSIDER THE FINANCIAL
STATEMENTS AND THE INDEPENDENT AUDITORS'
REPORT FOR THE YEAR ENDED 31ST DECEMBER
2020 | Management | | | | | | |
| | 2 | TO DECLARE A FINAL DIVIDEND FOR THE YEAR
ENDED 31ST DECEMBER 2020 | Management | | | | | | |
| | 3 | TO RE-ELECT GRAHAM BAKER AS A DIRECTOR | Management | | | | | | |
| | 4 | TO RE-ELECT ALEX NEWBIGGING AS A DIRECTOR | Management | | | | | | |
| | 5 | TO RE-ELECT Y.K. PANG AS A DIRECTOR | Management | | | | | | |
| | 6 | TO RE-ELECT PERCY WEATHERALL AS A DIRECTOR | Management | | | | | | |
| | 7 | TO RE-APPOINT THE AUDITORS AND TO
AUTHORISE THE DIRECTORS TO FIX THEIR
REMUNERATION | Management | | | | | | |
| | 8 | THAT: (A) THE EXERCISE BY THE DIRECTORS
DURING THE RELEVANT PERIOD (FOR THE
PURPOSES OF THIS RESOLUTION, 'RELEVANT
PERIOD' BEING THE PERIOD FROM THE PASSING
OF THIS RESOLUTION UNTIL THE EARLIER OF THE
CONCLUSION OF THE NEXT ANNUAL GENERAL
MEETING, OR THE EXPIRATION OF THE PERIOD
WITHIN WHICH SUCH MEETING IS REQUIRED BY
LAW TO BE HELD, OR THE REVOCATION OR
VARIATION OF THIS RESOLUTION BY AN ORDINARY
RESOLUTION OF THE SHAREHOLDERS OF THE
COMPANY IN GENERAL MEETING) OF ALL POWERS
OF THE COMPANY TO ALLOT OR ISSUE SHARES
AND TO MAKE AND GRANT OFFERS, AGREEMENTS
AND OPTIONS WHICH WOULD OR MIGHT REQUIRE
SHARES TO BE ALLOTTED, ISSUED OR DISPOSED
OF DURING OR AFTER THE END OF THE RELEVANT
PERIOD UP TO AN AGGREGATE NOMINAL AMOUNT
OF USD 60.0 MILLION, BE AND IS HEREBY
GENERALLY AND UNCONDITIONALLY APPROVED;
AND (B) THE AGGREGATE NOMINAL AMOUNT OF
SHARE CAPITAL ALLOTTED OR AGREED
CONDITIONALLY OR UNCONDITIONALLY TO BE
ALLOTTED WHOLLY FOR CASH (WHETHER
PURSUANT TO AN OPTION OR OTHERWISE) BY THE | Management | | | | | | |
| | | DIRECTORS PURSUANT TO THE APPROVAL IN
PARAGRAPH (A), OTHERWISE THAN PURSUANT TO
A RIGHTS ISSUE (FOR THE PURPOSES OF THIS
RESOLUTION, 'RIGHTS ISSUE' BEING AN OFFER OF
SHARES OR OTHER SECURITIES TO HOLDERS OF
SHARES OR OTHER SECURITIES ON THE REGISTER
ON A FIXED RECORD DATE IN PROPORTION TO
THEIR THEN HOLDINGS OF SUCH SHARES OR
OTHER SECURITIES OR OTHERWISE IN
ACCORDANCE WITH THE RIGHTS ATTACHING
THERETO (SUBJECT TO SUCH EXCLUSIONS OR
OTHER ARRANGEMENTS AS THE DIRECTORS MAY
DEEM NECESSARY OR EXPEDIENT IN RELATION TO
FRACTIONAL ENTITLEMENTS OR LEGAL OR
PRACTICAL PROBLEMS UNDER THE LAWS OF, OR
THE REQUIREMENTS OF ANY RECOGNISED
REGULATORY BODY OR ANY STOCK EXCHANGE IN,
ANY TERRITORY)), OR THE ISSUE OF SHARES
PURSUANT TO THE COMPANY'S SHARE-BASED
LONG-TERM INCENTIVE PLANS, SHALL NOT
EXCEED USD 8.9 MILLION, AND THE SAID
APPROVAL SHALL BE LIMITED ACCORDINGLY | | | | | | | | | |
| | THE KRAFT HEINZ COMPANY | | |
| | Security | 500754106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KHC | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | US5007541064 | | | | | | Agenda | 935357396 - Management |
| | Record Date | 08-Mar-2021 | | | | | | Holding Recon Date | 08-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 05-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Gregory E. Abel | Management | | For | | For | | |
| | 1B. | Election of Director: Alexandre Behring | Management | | For | | For | | |
| | 1C. | Election of Director: John T. Cahill | Management | | For | | For | | |
| | 1D. | Election of Director: João M. Castro-Neves | Management | | For | | For | | |
| | 1E. | Election of Director: Lori Dickerson Fouché | Management | | For | | For | | |
| | 1F. | Election of Director: Timothy Kenesey | Management | | For | | For | | |
| | 1G. | Election of Director: Elio Leoni Sceti | Management | | For | | For | | |
| | 1H. | Election of Director: Susan Mulder | Management | | For | | For | | |
| | 1I. | Election of Director: Miguel Patricio | Management | | For | | For | | |
| | 1J. | Election of Director: John C. Pope | Management | | For | | For | | |
| | 1K. | Election of Director: Alexandre Van Damme | Management | | For | | For | | |
| | 2. | Advisory vote to approve executive compensation. | Management | | For | | For | | |
| | 3. | Ratification of the selection of PricewaterhouseCoopers
LLP as our independent auditors for 2021. | Management | | For | | For | | |
| | UNITED RENTALS, INC. | | |
| | Security | 911363109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | URI | | | | | | Meeting Date | 06-May-2021 | |
| | ISIN | US9113631090 | | | | | | Agenda | 935359782 - Management |
| | Record Date | 09-Mar-2021 | | | | | | Holding Recon Date | 09-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 05-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: José B. Alvarez | Management | | For | | For | | |
| | 1B. | Election of Director: Marc A. Bruno | Management | | For | | For | | |
| | 1C. | Election of Director: Matthew J. Flannery | Management | | For | | For | | |
| | 1D. | Election of Director: Bobby J. Griffin | Management | | For | | For | | |
| | 1E. | Election of Director: Kim Harris Jones | Management | | For | | For | | |
| | 1F. | Election of Director: Terri L. Kelly | Management | | For | | For | | |
| | 1G. | Election of Director: Michael J. Kneeland | Management | | For | | For | | |
| | 1H. | Election of Director: Gracia C. Martore | Management | | For | | For | | |
| | 1I. | Election of Director: Filippo Passerini | Management | | For | | For | | |
| | 1J. | Election of Director: Donald C. Roof | Management | | For | | For | | |
| | 1K. | Election of Director: Shiv Singh | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Public Accounting Firm. | Management | | For | | For | | |
| | 3. | Advisory Approval of Executive Compensation. | Management | | For | | For | | |
| | 4. | Stockholder Proposal to Improve Shareholder Written
Consent. | Shareholder | | For | | Against | | |
| | CSX CORPORATION | | |
| | Security | 126408103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CSX | | | | | | Meeting Date | 07-May-2021 | |
| | ISIN | US1264081035 | | | | | | Agenda | 935354390 - Management |
| | Record Date | 08-Mar-2021 | | | | | | Holding Recon Date | 08-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 06-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Donna M. Alvarado | Management | | For | | For | | |
| | 1B. | Election of Director: Thomas P. Bostick | Management | | For | | For | | |
| | 1C. | Election of Director: James M. Foote | Management | | For | | For | | |
| | 1D. | Election of Director: Steven T. Halverson | Management | | For | | For | | |
| | 1E. | Election of Director: Paul C. Hilal | Management | | For | | For | | |
| | 1F. | Election of Director: David M. Moffett | Management | | For | | For | | |
| | 1G. | Election of Director: Linda H. Riefler | Management | | For | | For | | |
| | 1H. | Election of Director: Suzanne M. Vautrinot | Management | | For | | For | | |
| | 1I. | Election of Director: James L. Wainscott | Management | | For | | For | | |
| | 1J. | Election of Director: J. Steven Whisler | Management | | For | | For | | |
| | 1K. | Election of Director: John J. Zillmer | Management | | For | | For | | |
| | 2. | The ratification of the appointment of Ernst & Young LLP
as the Independent Registered Public Accounting Firm
for 2021. | Management | | For | | For | | |
| | 3. | Advisory (non-binding) resolution to approve
compensation for the Company's named executive
officers. | Management | | For | | For | | |
| | ABBVIE INC. | | |
| | Security | 00287Y109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ABBV | | | | | | Meeting Date | 07-May-2021 | |
| | ISIN | US00287Y1091 | | | | | | Agenda | 935357891 - Management |
| | Record Date | 08-Mar-2021 | | | | | | Holding Recon Date | 08-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 06-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Roxanne S. Austin | | | | For | | For | | |
| | | 2 | Richard A. Gonzalez | | | | For | | For | | |
| | | 3 | Rebecca B. Roberts | | | | For | | For | | |
| | | 4 | Glenn F. Tilton | | | | For | | For | | |
| | 2. | Ratification of Ernst & Young LLP as AbbVie's
independent registered public accounting firm for 2021. | Management | | For | | For | | |
| | 3. | Say on Pay-An advisory vote on the approval of
executive compensation. | Management | | For | | For | | |
| | 4. | Approval of the Amended and Restated 2013 Incentive
Stock Program. | Management | | For | | For | | |
| | 5. | Approval of the Amended and Restated 2013 Employee
Stock Purchase Plan for non-U.S. employees. | Management | | For | | For | | |
| | 6. | Approval of a management proposal regarding
amendment of the certificate of incorporation to eliminate
supermajority voting. | Management | | For | | For | | |
| | 7. | Stockholder Proposal - to Issue an Annual Report on
Lobbying. | Shareholder | | Against | | For | | |
| | 8. | Stockholder Proposal - to Adopt a Policy to Require
Independent Chairman. | Shareholder | | Against | | For | | |
| | INTERNATIONAL PAPER COMPANY | | |
| | Security | 460146103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | IP | | | | | | Meeting Date | 10-May-2021 | |
| | ISIN | US4601461035 | | | | | | Agenda | 935359833 - Management |
| | Record Date | 11-Mar-2021 | | | | | | Holding Recon Date | 11-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 07-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1a. | Election of Director (one-year term): Christopher M.
Connor | Management | | For | | For | | |
| | 1b. | Election of Director (one-year term): Ahmet C. Dorduncu | Management | | For | | For | | |
| | 1c. | Election of Director (one-year term): Ilene S. Gordon | Management | | For | | For | | |
| | 1d. | Election of Director (one-year term): Anders Gustafsson | Management | | For | | For | | |
| | 1e. | Election of Director (one-year term): Jacqueline C.
Hinman | Management | | For | | For | | |
| | 1f. | Election of Director (one-year term): Clinton A. Lewis, Jr. | Management | | For | | For | | |
| | 1g. | Election of Director (one-year term): DG Macpherson | Management | | For | | For | | |
| | 1h. | Election of Director (one-year term): Kathryn D. Sullivan | Management | | For | | For | | |
| | 1i. | Election of Director (one-year term): Mark S. Sutton | Management | | For | | For | | |
| | 1j. | Election of Director (one-year term): Anton V. Vincent | Management | | For | | For | | |
| | 1k. | Election of Director (one-year term): Ray G. Young | Management | | For | | For | | |
| | 2. | Ratification of Deloitte & Touche LLP as the Company's
Independent Registered Public Accounting Firm for 2021. | Management | | For | | For | | |
| | 3. | A Non-Binding Resolution to Approve the Compensation
of the Company's Named Executive Officers, as
Disclosed Under the Heading "Compensation Discussion
& Analysis". | Management | | For | | For | | |
| | 4. | Shareowner Proposal to Reduce Ownership Threshold
for Requesting Action by Written Consent. | Shareholder | | For | | Against | | |
| | STANLEY BLACK & DECKER, INC. | | |
| | Security | 854502101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SWK | | | | | | Meeting Date | 10-May-2021 | |
| | ISIN | US8545021011 | | | | | | Agenda | 935369125 - Management |
| | Record Date | 11-Mar-2021 | | | | | | Holding Recon Date | 11-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 07-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Andrea J. Ayers | Management | | For | | For | | |
| | 1B. | Election of Director: George W. Buckley | Management | | For | | For | | |
| | 1C. | Election of Director: Patrick D. Campbell | Management | | For | | For | | |
| | 1D. | Election of Director: Carlos M. Cardoso | Management | | For | | For | | |
| | 1E. | Election of Director: Robert B. Coutts | Management | | For | | For | | |
| | 1F. | Election of Director: Debra A. Crew | Management | | For | | For | | |
| | 1G. | Election of Director: Michael D. Hankin | Management | | For | | For | | |
| | 1H. | Election of Director: James M. Loree | Management | | For | | For | | |
| | 1I. | Election of Director: Jane M. Palmieri | Management | | For | | For | | |
| | 1J. | Election of Director: Mojdeh Poul | Management | | For | | For | | |
| | 1K. | Election of Director: Dmitri L. Stockton | Management | | For | | For | | |
| | 1L. | Election of Director: Irving Tan | Management | | For | | For | | |
| | 2. | To approve, on an advisory basis, the compensation of
the Company's named executive officers. | Management | | For | | For | | |
| | 3. | To approve the selection of Ernst & Young LLP as the
Company's independent auditors for the Company's 2021
fiscal year. | Management | | For | | For | | |
| | 4. | To consider a management proposal to amend the
Certificate of Incorporation to allow shareholders to act by
written consent. | Management | | For | | For | | |
| | 5. | To consider a management proposal to amend the
Certificate of Incorporation to eliminate supermajority
vote provisions applicable to the Company under the
Connecticut Business Corporation Act. | Management | | For | | For | | |
| | 6. | To consider a management proposal to amend the
Certificate of Incorporation to eliminate supermajority
vote provisions of capital stock related to approval of
business combinations with interested shareholders and
clarify when no shareholder vote is required. | Management | | For | | For | | |
| | 7. | To consider a management proposal to amend the
Certificate of Incorporation to adopt a majority voting
standard in an uncontested election of Directors. | Management | | For | | For | | |
| | ASTRAZENECA PLC | | |
| | Security | G0593M107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | GB0009895292 | | | | | | Agenda | 713747648 - Management |
| | Record Date | | | | | | | Holding Recon Date | 06-May-2021 | |
| | City / | Country | CAMBRI
DGE | / | United
Kingdom | | | | | Vote Deadline Date | 05-May-2021 | |
| | SEDOL(s) | 0989529 - 4983884 - BRTM7T3 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | TO RECEIVE THE COMPANY'S ACCOUNTS, THE
REPORTS OF THE DIRECTORS AND AUDITOR AND
THE STRATEGIC REPORT FOR THE YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 2 | TO CONFIRM DIVIDENDS | Management | | For | | For | | |
| | 3 | TO REAPPOINT PRICEWATERHOUSECOOPERS LLP
AS AUDITOR | Management | | For | | For | | |
| | 4 | TO AUTHORISE THE DIRECTORS TO AGREE THE
REMUNERATION OF THE AUDITOR | Management | | For | | For | | |
| | 5A | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: LEIF JOHANSSON | Management | | For | | For | | |
| | 5B | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: PASCAL SORIOT | Management | | For | | For | | |
| | 5C | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: MARC DUNOYER | Management | | For | | For | | |
| | 5D | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: PHILIP BROADLEY | Management | | For | | For | | |
| | 5E | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: EUAN ASHLEY | Management | | For | | For | | |
| | 5F | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: MICHEL DEMARE | Management | | For | | For | | |
| | 5G | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: DEBORAH DISANZO | Management | | For | | For | | |
| | 5H | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: DIANA LAYFIELD | Management | | For | | For | | |
| | 5I | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: SHERI MCCOY | Management | | For | | For | | |
| | 5J | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: TONY MOK | Management | | For | | For | | |
| | 5K | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: NAZNEEN RAHMAN | Management | | For | | For | | |
| | 5L | TO ELECT OR RE-ELECT THE FOLLOWING
DIRECTORS: MARCUS WALLENBERG | Management | | For | | For | | |
| | 6 | TO APPROVE THE ANNUAL REPORT ON
REMUNERATION FOR THE YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 7 | TO APPROVE THE DIRECTORS' REMUNERATION
POLICY | Management | | Against | | Against | | |
| | 8 | TO AUTHORISE LIMITED POLITICAL DONATIONS | Management | | For | | For | | |
| | 9 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Management | | For | | For | | |
| | 10 | TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-
EMPTION RIGHTS | Management | | For | | For | | |
| | 11 | TO AUTHORISE THE DIRECTORS TO FURTHER
DISAPPLY PRE-EMPTION RIGHTS FOR
ACQUISITIONS AND SPECIFIED CAPITAL
INVESTMENTS | Management | | For | | For | | |
| | 12 | TO AUTHORISE THE COMPANY TO PURCHASE ITS
OWN SHARES | Management | | For | | For | | |
| | 13 | TO REDUCE THE NOTICE PERIOD FOR GENERAL
MEETINGS | Management | | For | | For | | |
| | 14 | TO AMEND THE RULES OF THE PERFORMANCE
SHARE PLAN 2020 | Management | | For | | For | | |
| | SOLVAY SA | | |
| | Security | B82095116 | | | | | | Meeting Type | Ordinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | BE0003470755 | | | | | | Agenda | 713858629 - Management |
| | Record Date | 27-Apr-2021 | | | | | | Holding Recon Date | 27-Apr-2021 | |
| | City / | Country | BRUXEL
LES | / | Belgium | | | | | Vote Deadline Date | 03-May-2021 | |
| | SEDOL(s) | 4821100 - B1BDGT5 - B28ZTH0 -
B7MC1B0 - BF447V2 - BJ053X1 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1. | PRESENTATION OF THE MANAGEMENT REPORT
2020 INCLUDING THE DECLARATION OF-
CORPORATE GOVERNANCE, EXTERNAL AUDITOR'S
REPORT | Non-Voting | | | | | | |
| | 2. | PROPOSAL TO APPROVE THE COMPENSATION
REPORT FOUND IN CHAPTER 5 OF THE
DECLARATION OF CORPORATE GOVERNANCE | Management | | | | | | |
| | 3. | PRESENTATION OF THE CONSOLIDATED
ACCOUNTS FROM 2020 AND THE EXTERNAL AUDIT-
REPORT ON THE CONSOLIDATED ACCOUNTS | Non-Voting | | | | | | |
| | 4. | APPROVAL OF ANNUAL ACCOUNTS FROM 2020 AND
THE ALLOCATION OF RESULTS, SETTING OF
DIVIDEND | Management | | | | | | |
| | 5.a | PROPOSAL TO GRANT DISCHARGE OF LIABILITY TO
BE GIVEN TO BOARD MEMBERS | Management | | | | | | |
| | 5.b | PROPOSAL TO GRANT DISCHARGE TO THE
EXTERNAL AUDITOR | Management | | | | | | |
| | 6.a | ACKNOWLEDMENT THAT THE TERMS OF OFFICE OF
MR NICOLAS BOEL, MRS LLHAM KADRI,-MR
BERNARD DE LAGUICHE, MR HERVE COPPENS
D'EECKENBRUGGE, MRS EVELYN DU-MONCEAU,
MRS FRANCOISE DE VIRON, MRS AMPARO
MORALEDA AND MRS AGNES LEMARCHAND-
EXPIRE AT THE END OF THIS MEETING | Non-Voting | | | | | | |
| | 6.b1. | PROPOSAL TO RENEW THE MANDATE OF MR
NICOLAS BOEL | Management | | | | | | |
| | 6.b2. | PROPOSAL TO RENEW THE MANDATE OF MRS
ILHAM KADRI | Management | | | | | | |
| | 6.b3. | PROPOSAL TO RENEW THE MANDATE OF MR
BERNARD DE LAGUICHE | Management | | | | | | |
| | 6.b4. | PROPOSAL TO RENEW THE MANDATE OF MRS.
FRANCOISE DE VIRON | Management | | | | | | |
| | 6.b5. | PROPOSAL TO RENEW THE MANDATE OF MRS
AGNES LEMARCHAND | Management | | | | | | |
| | 6.c | PROPOSAL TO CONFIRM THE APPOINTMENT OF
MRS FRANCOISE DE VIRON AS AN INDEPENDENT
DIRECTOR ON THE BOARD OF DIRECTORS | Management | | | | | | |
| | 6.d | PROPOSAL TO CONFIRM THE APPOINTMENT OF
MRS AGNES LEMARCHAND AS AN INDEPENDENT
DIRECTOR ON THE BOARD OF DIRECTORS | Management | | | | | | |
| | 6.e | PROPOSAL TO RE-ELECT MR HERVE COPPENS
D'EECKENBRUGGE FOR A PERIOD OF THREE
YEARS. HIS TERM OF OFFICE WILL EXPIRE AT THE
END OF THE ORDINARY SHAREHOLDERS' MEETING
OF MAY 2024 | Management | | | | | | |
| | 6.f | ACKNOWLEDGMENT TAHT THE TERM OF OFFICE
OF MRS EVELYN DU MONCEAU EXPIRES AT-THIS
MEETING, HAVING REACHED THE AGE LIMIT | Non-Voting | | | | | | |
| | 6.g | PROPOSAL THAT MR EDOUARD JANSSEN BE
APPOINTED AS DIRECTOR FOR A PERIOD OF FOUR
YEARS TO REPLACE MRS EVELYN DU MONCEAU.
MR EDOUARD JANSSEN'S TERM OF OFFICE WILL
EXPIRE AT THE END OF THE ORDINARY
SHAREHOLDERS' MEETING OF MAY 2025 | Management | | | | | | |
| | 6.h | ACKNOWLEDGMENT TAHT MRS AMPARO
MORALEDA HAS DECIDED, FOR PERSONAL
REASONS,-NOT TO REQUEST THE RENEWAL OF
HER TERM OF OFFICE AS DIRECTOR | Non-Voting | | | | | | |
| | 6.i | PROPOSAL THAT MR WOLFGANG COLBERG BE
APPOINTED AS DIRECTOR FOR A PERIOD OF FOUR
YEARS TO REPLACE MRS AMPARO MORALEDA. MR
WOLFGANG COLBERG'S TERM OF OFFICE WILL
EXPIRE AT THE END OF THE ORDINARY
SHAREHOLDERS' MEETING OF MAY 2025 | Management | | | | | | |
| | 6.j | PROPOSAL THAT MR WOLFGANG COLBERG BE
APPOINTED AS AN INDEPENDENT DIRECTOR ON
THE BOARD OF DIRECTORS | Management | | | | | | |
| | 7. | MISCELLANEOUS | Non-Voting | | | | | | |
| | CMMT | 27 APR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF THE-TEXT OF
RESOLUTION 6.b1 AND ADDITION OF COMMENT. IF
YOU HAVE ALREADY SENT IN-YOUR VOTES,
PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE
TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK
YOU | Non-Voting | | | | | | |
| | CMMT | 27 APR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | ASTRAZENECA PLC | | |
| | Security | G0593M107 | | | | | | Meeting Type | Ordinary General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | GB0009895292 | | | | | | Agenda | 713898495 - Management |
| | Record Date | | | | | | | Holding Recon Date | 06-May-2021 | |
| | City / | Country | CAMBRI
DGE | / | United
Kingdom | | | | | Vote Deadline Date | 05-May-2021 | |
| | SEDOL(s) | 0989529 - 4983884 - BRTM7T3 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | PROPOSED ACQUISITION BY THE COMPANY OF
ALEXION PHARMACEUTICALS INC | Management | | For | | For | | |
| | CMMT | 23 APR 2021: PLEASE NOTE THAT THE MEETING
TYPE CHANGED FROM EGM TO OGM. IF-YOU HAVE
ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | 3M COMPANY | | |
| | Security | 88579Y101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MMM | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | US88579Y1010 | | | | | | Agenda | 935359085 - Management |
| | Record Date | 16-Mar-2021 | | | | | | Holding Recon Date | 16-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 10-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Elect the member to the Board of Directors for a term of
one year: Thomas "Tony" K. Brown | Management | | For | | For | | |
| | 1B. | Elect the member to the Board of Directors for a term of
one year: Pamela J. Craig | Management | | For | | For | | |
| | 1C. | Elect the member to the Board of Directors for a term of
one year: David B. Dillon | Management | | For | | For | | |
| | 1D. | Elect the member to the Board of Directors for a term of
one year: Michael L. Eskew | Management | | For | | For | | |
| | 1E. | Elect the member to the Board of Directors for a term of
one year: James R. Fitterling | Management | | For | | For | | |
| | 1F. | Elect the member to the Board of Directors for a term of
one year: Herbert L. Henkel | Management | | For | | For | | |
| | 1G. | Elect the member to the Board of Directors for a term of
one year: Amy E. Hood | Management | | For | | For | | |
| | 1H. | Elect the member to the Board of Directors for a term of
one year: Muhtar Kent | Management | | For | | For | | |
| | 1I. | Elect the member to the Board of Directors for a term of
one year: Dambisa F. Moyo | Management | | For | | For | | |
| | 1J. | Elect the member to the Board of Directors for a term of
one year: Gregory R. Page | Management | | For | | For | | |
| | 1K. | Elect the member to the Board of Directors for a term of
one year: Michael F. Roman | Management | | For | | For | | |
| | 1L. | Elect the member to the Board of Directors for a term of
one year: Patricia A. Woertz | Management | | For | | For | | |
| | 2. | To ratify the appointment of PricewaterhouseCoopers
LLP as 3M's independent registered public accounting
firm. | Management | | For | | For | | |
| | 3. | Advisory approval of executive compensation. | Management | | For | | For | | |
| | 4. | To approve the amendment and restatement of 3M
Company 2016 Long-Term Incentive Plan. | Management | | For | | For | | |
| | 5. | Shareholder proposal on setting target amounts for CEO
compensation. | Shareholder | | Against | | For | | |
| | 6. | Shareholder proposal on transitioning the Company to a
public benefit corporation. | Shareholder | | Against | | For | | |
| | LKQ CORPORATION | | |
| | Security | 501889208 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LKQ | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | US5018892084 | | | | | | Agenda | 935362878 - Management |
| | Record Date | 15-Mar-2021 | | | | | | Holding Recon Date | 15-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 10-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Patrick Berard | Management | | For | | For | | |
| | 1B. | Election of Director: Meg A. Divitto | Management | | For | | For | | |
| | 1C. | Election of Director: Robert M. Hanser | Management | | For | | For | | |
| | 1D. | Election of Director: Joseph M. Holsten | Management | | For | | For | | |
| | 1E. | Election of Director: Blythe J. McGarvie | Management | | For | | For | | |
| | 1F. | Election of Director: John W. Mendel | Management | | For | | For | | |
| | 1G. | Election of Director: Jody G. Miller | Management | | For | | For | | |
| | 1H. | Election of Director: Guhan Subramanian | Management | | For | | For | | |
| | 1I. | Election of Director: Xavier Urbain | Management | | For | | For | | |
| | 1J. | Election of Director: Jacob H. Welch | Management | | For | | For | | |
| | 1K. | Election of Director: Dominick Zarcone | Management | | For | | For | | |
| | 2. | Ratification of the appointment of Deloitte & Touche LLP
as our independent registered public accounting firm for
our fiscal year ending December 31, 2021. | Management | | For | | For | | |
| | 3. | Approval, on an advisory basis, of the compensation of
our named executive officers. | Management | | For | | For | | |
| | CONOCOPHILLIPS | | |
| | Security | 20825C104 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | COP | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | US20825C1045 | | | | | | Agenda | 935367602 - Management |
| | Record Date | 15-Mar-2021 | | | | | | Holding Recon Date | 15-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 10-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | ELECTION OF DIRECTOR: Charles E. Bunch | Management | | For | | For | | |
| | 1B. | ELECTION OF DIRECTOR: Caroline Maury Devine | Management | | For | | For | | |
| | 1C. | ELECTION OF DIRECTOR: John V. Faraci | Management | | For | | For | | |
| | 1D. | ELECTION OF DIRECTOR: Jody Freeman | Management | | For | | For | | |
| | 1E. | ELECTION OF DIRECTOR: Gay Huey Evans | Management | | For | | For | | |
| | 1F. | ELECTION OF DIRECTOR: Jeffrey A. Joerres | Management | | For | | For | | |
| | 1G. | ELECTION OF DIRECTOR: Ryan M. Lance | Management | | For | | For | | |
| | 1H. | ELECTION OF DIRECTOR: Timothy A. Leach | Management | | For | | For | | |
| | 1I. | ELECTION OF DIRECTOR: William H. McRaven | Management | | For | | For | | |
| | 1J. | ELECTION OF DIRECTOR: Sharmila Mulligan | Management | | For | | For | | |
| | 1K. | ELECTION OF DIRECTOR: Eric D. Mullins | Management | | For | | For | | |
| | 1L. | ELECTION OF DIRECTOR: Arjun N. Murti | Management | | For | | For | | |
| | 1M. | ELECTION OF DIRECTOR: Robert A. Niblock | Management | | For | | For | | |
| | 1N. | ELECTION OF DIRECTOR: David T. Seaton | Management | | For | | For | | |
| | 1O. | ELECTION OF DIRECTOR: R.A. Walker | Management | | For | | For | | |
| | 2. | Proposal to ratify appointment of Ernst & Young LLP as
ConocoPhillips' independent registered public accounting
firm for 2021. | Management | | For | | For | | |
| | 3. | Advisory Approval of Executive Compensation. | Management | | For | | For | | |
| | 4. | Simple Majority Vote Standard. | Management | | For | | For | | |
| | 5. | Emission Reduction Targets. | Shareholder | | Against | | For | | |
| | ALEXION PHARMACEUTICALS, INC. | | |
| | Security | 015351109 | | | | | | Meeting Type | Special |
| | Ticker Symbol | ALXN | | | | | | Meeting Date | 11-May-2021 | |
| | ISIN | US0153511094 | | | | | | Agenda | 935410124 - Management |
| | Record Date | 30-Mar-2021 | | | | | | Holding Recon Date | 30-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 10-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | To adopt the Agreement and Plan of Merger, dated as of
December 12, 2020 (as it may be amended from time to
time, the "merger agreement") by and among Alexion,
AstraZeneca PLC ("AstraZeneca"), Delta Omega Sub
Holdings Inc., a wholly owned subsidiary of AstraZeneca
("Bidco"), Delta Omega Sub Holdings Inc. 1, a direct,
wholly owned subsidiary of Bidco and Delta Omega Sub
Holdings LLC 2, a direct, wholly owned subsidiary of
Bidco (the "merger proposal"). | Management | | For | | For | | |
| | 2. | To approve, on a non-binding, advisory basis, the
compensation that may be paid or become payable to
Alexion's named executive officers that is based on or
otherwise relates to the transactions contemplated by the
merger agreement. | Management | | For | | For | | |
| | 3. | To approve the adjournment of the Alexion special
meeting, if necessary or appropriate, to solicit additional
proxies if there are not sufficient votes at the time of the
Alexion special meeting to approve the merger proposal
or to ensure that any supplement or amendment to this
proxy statement/ prospectus is timely provided to Alexion
stockholders. | Management | | For | | For | | |
| | CREDIT AGRICOLE SA | | |
| | Security | F22797108 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | FR0000045072 | | | | | | Agenda | 713725185 - Management |
| | Record Date | 07-May-2021 | | | | | | Holding Recon Date | 07-May-2021 | |
| | City / | Country | PARIS | / | France | | | | | Vote Deadline Date | 04-May-2021 | |
| | SEDOL(s) | 7262610 - B032831 - B0ZGJB6 -
BF44585 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | 26 MAR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE AND
PLEASE NOTE THAT IF YOU HOLD-CREST
DEPOSITORY INTERESTS (CDIs) AND PARTICIPATE
AT THIS MEETING, YOU (OR-YOUR CREST
SPONSORED MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A-TRANSFER OF THE
RELEVANT CDIs TO THE ESCROW ACCOUNT
SPECIFIED IN THE-ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE-COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS-SETTLED, THE CDIs WILL BE BLOCKED IN THE
CREST SYSTEM. THE CDIs WILL BE-RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE | Non-Voting | | | | | | |
| | | BUSINESS DAY PRIOR TO-MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED,-THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE-CREST SYSTEM. BY VOTING ON THIS
MEETING, YOUR CREST SPONSORED-
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION AS THE AUTHORIZATION TO TAKE-
THE NECESSARY ACTION WHICH WILL INCLUDE
TRANSFERRING YOUR INSTRUCTED POSITION-TO
ESCROW. PLEASE CONTACT YOUR CREST
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR-
FURTHER INFORMATION ON THE CUSTODY
PROCESS AND WHETHER OR NOT THEY REQUIRE-
SEPARATE INSTRUCTIONS FROM YOU AND PLEASE
NOTE THAT SHAREHOLDER DETAILS ARE-
REQUIRED TO VOTE AT THIS MEETING. IF NO
SHAREHOLDER DETAILS ARE PROVIDED,-YOUR
INSTRUCTION MAY CARRY A HEIGHTENED RISK OF
BEING REJECTED. THANK YOU | | | | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | 26 APR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF THE-TEXT OF
COMMENT. IF YOU HAVE ALREADY SENT IN YOUR
VOTES, PLEASE DO NOT VOTE-AGAIN UNLESS YOU
DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU AND-PLEASE NOTE
THAT IMPORTANT ADDITIONAL MEETING
INFORMATION IS AVAILABLE BY-CLICKING ON THE
MATERIAL URL LINK:-https://www.journal-
officiel.gouv.fr/balo/document/202104262100066-50
AND-PLEASE NOTE THAT THIS IS A REVISION DUE
TO CHANGE IN NUMBERING OF ALL-RESOLUTIONS
AND MODIFICATION OF COMMENT. IF YOU HAVE
ALREADY SENT IN YOUR-VOTES, PLEASE DO NOT
VOTE AGAIN UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | 1 | AMENDMENTS TO THE COMPANY'S BYLAWS TO
ALLOW THE PAYMENT OF THE DIVIDEND IN
SHARES | Management | | For | | For | | |
| | 2 | APPROVAL OF THE CORPORATE FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 - APPROVAL OF THE OVERALL
AMOUNT OF NON-DEDUCTIBLE EXPENSES AND
COSTS | Management | | For | | For | | |
| | 3 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 4 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR
2020 AND SETTING OF THE DIVIDEND | Management | | For | | For | | |
| | 5 | OPTION FOR THE PAYMENT OF THE DIVIDEND IN
SHARES | Management | | For | | For | | |
| | 6 | APPROVAL OF THE LOAN AGREEMENT BETWEEN
CREDIT AGRICOLE S.A. AND CREDIT DU MAROC, TO
RESPOND TO THE REQUEST OF THE MOROCCAN
SUPERVISOR THAT THE INSTITUTIONS UNDER ITS
SUPERVISION RETAIN THE 2019 DIVIDEND, ISSUED
AFTER THE GENERAL MEETING, IN ACCORDANCE
WITH ARTICLES L.225-38 AND FOLLOWING OF THE
FRENCH COMMERCIAL CODE | Management | | For | | For | | |
| | 7 | APPROVAL OF THE AMENDMENT TO THE
ASSOCIATES' PACT, SIGNED ON 8 JUNE 2018,
SPECIFYING THE RULES OF GOVERNANCE OF
CAGIP, IN ACCORDANCE WITH ARTICLES L.225-38
AND FOLLOWING OF THE FRENCH COMMERCIAL
CODE | Management | | For | | For | | |
| | 8 | APPROVAL OF THE AMENDMENT TO THE
AGREEMENT FOR THE TRANSFER OF CREDIT
AGRICOLE S.A.'S DSB ACTIVITY TO CACIB,
RELATING TO THE MODIFICATION OF THE SCOPE
OF THE TRANSFER OF GOODWILL BETWEEN
CREDIT AGRICOLE SA AND CA-CIB ON 1 JANUARY
2018, IN ACCORDANCE WITH ARTICLES L.225-38
AND FOLLOWING OF THE FRENCH COMMERCIAL
CODE | Management | | For | | For | | |
| | 9 | APPROVAL OF THE FOUR TAX CONSOLIDATION
AGREEMENTS RENEWED BY THE BOARD ON 10
FEBRUARY 2021, IN ACCORDANCE WITH ARTICLES
L.225-38 AND FOLLOWING OF THE FRENCH
COMMERCIAL CODE | Management | | For | | For | | |
| | 10 | APPROVAL OF THE AMENDMENT TO THE
AMENDING LOAN AGREEMENT DATED 10 OCTOBER
2017, CONCLUDED BETWEEN CREDIT AGRICOLE SA
AND CAISSE REGIONALE DE NORMANDIE, IN
ACCORDANCE WITH ARTICLES L.225-38 AND
FOLLOWING OF THE FRENCH COMMERCIAL CODE | Management | | For | | For | | |
| | 11 | APPOINTMENT OF MRS. AGNES AUDIER AS
DIRECTOR, AS A REPLACEMENT FOR MRS.
LAURENCE DORS | Management | | For | | For | | |
| | 12 | APPOINTMENT OF MRS. MARIANNE LAIGNEAU AS
DIRECTOR, AS A REPLACEMENT FOR MRS. MONICA
MONDARDINI | Management | | For | | For | | |
| | 13 | APPOINTMENT OF MRS. ALESSIA MOSCA AS
DIRECTOR, AS A REPLACEMENT FOR MRS.
CAROLINE CATOIRE | Management | | For | | For | | |
| | 14 | APPOINTMENT OF MR. OLIVIER AUFFRAY AS
DIRECTOR, AS A REPLACEMENT FOR MR. PHILIPPE
DE WAAL | Management | | For | | For | | |
| | 15 | APPOINTMENT OF MR. CHRISTOPHE LESUR AS
DIRECTOR REPRESENTING EMPLOYEE
SHAREHOLDERS AND MRS. CAROLINE CORBIERE
AS HIS DEPUTY, AS A REPLACEMENT FOR THE
POSITION OF DIRECTOR REPRESENTING
EMPLOYEE SHAREHOLDERS OF REGIONAL FUNDS
(CAISSES REGIONALES) OCCUPIED BY MRS.
PASCALE BERGER | Management | | For | | For | | |
| | 16 | RENEWAL OF THE TERM OF OFFICE OF MR. LOUIS
TERCINIER AS DIRECTOR | Management | | For | | For | | |
| | 17 | RENEWAL OF THE TERM OF OFFICE OF SAS, RUE
DE LA BOETIE AS DIRECTOR | Management | | For | | For | | |
| | 18 | RATIFICATION OF THE CO-OPTATION OF MRS.
NICOLE GOURMELON AS DIRECTOR, AS A
REPLACEMENT FOR MRS. RENE TALAMONA, WHO
RESIGNED | Management | | For | | For | | |
| | 19 | RENEWAL OF THE TERM OF OFFICE OF MRS.
NICOLE GOURMELON AS DIRECTOR | Management | | For | | For | | |
| | 20 | APPROVAL OF THE COMPENSATION POLICY FOR
THE CHAIRMAN OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 21 | APPROVAL OF THE COMPENSATION POLICY FOR
THE CHIEF EXECUTIVE OFFICER | Management | | For | | For | | |
| | 22 | APPROVAL OF THE COMPENSATION POLICY FOR
THE DEPUTY CHIEF EXECUTIVE OFFICER | Management | | For | | For | | |
| | 23 | APPROVAL OF THE COMPENSATION POLICY FOR
DIRECTORS | Management | | For | | For | | |
| | 24 | APPROVAL OF THE ELEMENTS MAKING UP THE
TOTAL COMPENSATION AND BENEFITS OF ANY
KIND PAID DURING THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 OR GRANTED FOR THE SAME
FINANCIAL YEAR TO MR. DOMINIQUE LEFEBVRE,
CHAIRMAN OF THE BOARD OF DIRECTORS | Management | | For | | For | | |
| | 25 | APPROVAL OF THE FIXED, VARIABLE AND
EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL
COMPENSATION AND BENEFITS OF ANY KIND PAID
DURING THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 OR ALLOCATED FOR THE SAME
FINANCIAL YEAR TO MR. PHILIPPE BRASSAC, CHIEF
EXECUTIVE OFFICER | Management | | For | | For | | |
| | 26 | APPROVAL OF THE FIXED, VARIABLE AND
EXCEPTIONAL ELEMENTS MAKING UP THE TOTAL
COMPENSATION AND BENEFITS OF ANY KIND PAID
DURING THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 OR ALLOCATED FOR THE SAME
FINANCIAL YEAR TO MR. XAVIER MUSCA, DEPUTY
CHIEF EXECUTIVE OFFICER | Management | | For | | For | | |
| | 27 | APPROVAL OF THE COMPENSATION REPORT | Management | | For | | For | | |
| | 28 | OPINION ON THE TOTAL AMOUNT OF
COMPENSATION PAID DURING THE PAST
FINANCIAL YEAR TO CATEGORIES OF EMPLOYEES
WHOSE PROFESSIONAL ACTIVITIES HAVE A
SIGNIFICANT IMPACT ON THE RISK PROFILE OF
THE COMPANY OR GROUP, AS REFERRED TO IN
ARTICLE L.511-71 OF THE FRENCH MONETARY AND
FINANCIAL CODE | Management | | For | | For | | |
| | 29 | AUTHORIZATION TO BE GRANTED TO THE BOARD
OF DIRECTORS TO PURCHASE OR ARRANGE FOR
THE PURCHASE OF THE COMPANY'S SHARES | Management | | For | | For | | |
| | 30 | AMENDMENTS TO THE BYLAWS TO TAKE NOTE OF
THE RENUMBERING OF THE FRENCH COMMERCIAL
CODE RESULTING FROM ORDER NO. 2020-1142 OF
16 SEPTEMBER 2020 CREATING, WITHIN THE
FRENCH COMMERCIAL CODE, A CHAPTER
RELATING TO COMPANIES WHOSE SECURITIES
ARE ADMITTED TO TRADING ON A REGULATED
MARKET OR ON A MULTILATERAL TRADING
FACILITY | Management | | For | | For | | |
| | 31 | AMENDMENT TO ARTICLE 11 OF THE BYLAWS TO
DETERMINE THE PROCEDURES FOR APPOINTING
DIRECTORS REPRESENTING EMPLOYEES IN
ACCORDANCE WITH THE PROVISIONS OF ARTICLE
L. 225-27-1 OF THE FRENCH COMMERCIAL CODE | Management | | For | | For | | |
| | 32 | AUTHORIZATION TO BE GRANTED TO THE BOARD
OF DIRECTORS TO INCREASE THE SHARE CAPITAL
BY ISSUING SHARES AND/OR TRANSFERABLE
SECURITIES GRANTING ACCESS, IMMEDIATELY OR
IN THE FUTURE, TO THE CAPITAL, WITH
CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT, RESERVED FOR
EMPLOYEES OF THE COMPANIES OF THE CREDIT
AGRICOLE GROUP WHO ARE MEMBERS OF A
COMPANY SAVINGS PLAN | Management | | For | | For | | |
| | 33 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO INCREASE THE SHARE CAPITAL
WITH CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT, BY ISSUING SHARES OR
TRANSFERABLE SECURITIES GRANTING ACCESS,
IMMEDIATELY OR IN THE FUTURE, TO THE CAPITAL,
RESERVED FOR A CATEGORY OF BENEFICIARIES,
IN THE CONTEXT OF AN EMPLOYEE
SHAREHOLDING OPERATION | Management | | For | | For | | |
| | 34 | POWERS TO CARRY OUT FORMALITIES | Management | | For | | For | | |
| | BAYERISCHE MOTOREN WERKE AG | | |
| | Security | D12096109 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | DE0005190003 | | | | | | Agenda | 713727355 - Management |
| | Record Date | 20-Apr-2021 | | | | | | Holding Recon Date | 20-Apr-2021 | |
| | City / | Country | MUENCH
EN | / | Germany | | | | | Vote Deadline Date | 30-Apr-2021 | |
| | SEDOL(s) | 5756029 - 5757260 - 7080179 -
B0Z5366 - B82TK11 - BF0Z6T0 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE 'MATERIAL URL' DROPDOWN AT THE
TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN
IN-PLACE. FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THESE SHARES HAVE NO
VOTING RIGHTS, SHOULD YOU WISH TO-ATTEND
THE MEETING PERSONALLY, YOU MAY APPLY FOR
AN ENTRANCE CARD | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL | Non-Voting | | | | | | |
| | CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE
FOUND DIRECTLY ON THE ISSUER'S-WEBSITE
(PLEASE REFER TO THE MATERIAL URL SECTION
OF THE APPLICATION). IF YOU-WISH TO ACT ON
THESE ITEMS, YOU WILL NEED TO REQUEST A
MEETING ATTEND AND-VOTE YOUR SHARES
DIRECTLY AT THE COMPANY'S MEETING. COUNTER
PROPOSALS CANNOT-BE REFLECTED ON THE
BALLOT ON PROXYEDGE | Non-Voting | | | | | | |
| | 1 | RECEIVE FINANCIAL STATEMENTS AND
STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 1.90 PER ORDINARY SHARE AND EUR 1.92
PER PREFERRED SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD
FOR FISCAL YEAR 2020 | Management | | Abstain | | Against | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | Abstain | | Against | | |
| | 5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR FISCAL YEAR 2021 | Management | | For | | For | | |
| | 6.1 | ELECT MARC BITZER TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.2 | ELECT RACHEL EMPEY TO THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.3 | ELECT CHRISTOPH SCHMIDT TO THE
SUPERVISORY BOARD | Management | | For | | For | | |
| | 7 | APPROVE REMUNERATION POLICY | Management | | Against | | Against | | |
| | 8 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | For | | For | | |
| | 9.1 | AMEND ARTICLES RE: PARTICIPATION OF
SUPERVISORY BOARD MEMBERS IN THE ANNUAL
GENERAL MEETING BY MEANS OF AUDIO AND
VIDEO TRANSMISSION | Management | | For | | For | | |
| | 9.2 | AMEND ARTICLES RE: PROOF OF ENTITLEMENT | Management | | For | | For | | |
| | 9.3 | AMEND ARTICLES RE: PARTICIPATION AND VOTING
RIGHTS | Management | | For | | For | | |
| | 10 | AMEND AFFILIATION AGREEMENT WITH BMW BANK
GMBH | Management | | For | | For | | |
| | KINROSS GOLD CORP | | |
| | Security | 496902404 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | CA4969024047 | | | | | | Agenda | 713823804 - Management |
| | Record Date | 19-Mar-2021 | | | | | | Holding Recon Date | 19-Mar-2021 | |
| | City / | Country | VIRTUAL | / | Canada | | | | | Vote Deadline Date | 06-May-2021 | |
| | SEDOL(s) | B03Z841 - B04NVW3 - B04RM33 -
BHZLKJ5 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR
'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.1 TO
1.9 AND 2. THANK YOU | Non-Voting | | | | | | |
| | 1.1 | ELECTION OF DIRECTOR: IAN ATKINSON | Management | | For | | For | | |
| | 1.2 | ELECTION OF DIRECTOR: KERRY D. DYTE | Management | | For | | For | | |
| | 1.3 | ELECTION OF DIRECTOR: GLENN A. IVES | Management | | For | | For | | |
| | 1.4 | ELECTION OF DIRECTOR: AVE G. LETHBRIDGE | Management | | For | | For | | |
| | 1.5 | ELECTION OF DIRECTOR: ELIZABETH D.
MCGREGOR | Management | | For | | For | | |
| | 1.6 | ELECTION OF DIRECTOR: CATHERINE MCLEOD-
SELTZER | Management | | For | | For | | |
| | 1.7 | ELECTION OF DIRECTOR: KELLY J. OSBORNE | Management | | For | | For | | |
| | 1.8 | ELECTION OF DIRECTOR: J. PAUL ROLLINSON | Management | | For | | For | | |
| | 1.9 | ELECTION OF DIRECTOR: DAVID A. SCOTT | Management | | For | | For | | |
| | 2 | TO APPROVE THE APPOINTMENT OF KPMG LLP,
CHARTERED ACCOUNTANTS, AS AUDITORS OF THE
COMPANY FOR THE ENSUING YEAR AND TO
AUTHORIZE THE DIRECTORS TO FIX THEIR
REMUNERATION | Management | | For | | For | | |
| | 3 | TO CONSIDER AND, IF THOUGHT FIT, TO PASS, AN
ORDINARY RESOLUTION RECONFIRMING THE
SHAREHOLDER RIGHTS PLAN | Management | | For | | For | | |
| | 4 | TO CONSIDER, AND, IF DEEMED APPROPRIATE, TO
PASS AN ADVISORY RESOLUTION ON KINROSS'
APPROACH TO EXECUTIVE COMPENSATION | Management | | For | | For | | |
| | IRON MOUNTAIN INC. | | |
| | Security | 46284V101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | IRM | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | US46284V1017 | | | | | | Agenda | 935361624 - Management |
| | Record Date | 15-Mar-2021 | | | | | | Holding Recon Date | 15-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for a one-year term: Jennifer Allerton | Management | | For | | For | | |
| | 1B. | Election of Director for a one-year term: Pamela M.
Arway | Management | | For | | For | | |
| | 1C. | Election of Director for a one-year term: Clarke H. Bailey | Management | | For | | For | | |
| | 1D. | Election of Director for a one-year term: Kent P. Dauten | Management | | For | | For | | |
| | 1E. | Election of Director for a one-year term: Monte Ford | Management | | For | | For | | |
| | 1F. | Election of Director for a one-year term: Per-Kristian
Halvorsen | Management | | For | | For | | |
| | 1G. | Election of Director for a one-year term: Robin L. Matlock | Management | | For | | For | | |
| | 1H. | Election of Director for a one-year term: William L.
Meaney | Management | | For | | For | | |
| | 1I. | Election of Director for a one-year term: Wendy J.
Murdock | Management | | For | | For | | |
| | 1J. | Election of Director for a one-year term: Walter C.
Rakowich | Management | | For | | For | | |
| | 1K. | Election of Director for a one-year term: Doyle R. Simons | Management | | For | | For | | |
| | 1L. | Election of Director for a one-year term: Alfred J.
Verrecchia | Management | | For | | For | | |
| | 2. | The approval of an amendment to the 2014 Stock and
Cash Incentive Plan (the "2014 Plan") to increase the
number of shares of common stock of the Company
("Common Stock") authorized for issuance, to extend the
termination date of the 2014 Plan, to provide that, other
than in certain circumstances, no equity-based award will
vest before the first anniversary of the date of grant and
to provide that dividends and dividend equivalents are not
paid with respect to stock options or stock appreciation
rights. | Management | | For | | For | | |
| | 3. | The approval of an amendment to the Iron Mountain
Incorporated 2013 Employee Stock Purchase Plan (the
"2013 ESPP"), to increase the number of shares of
Common Stock authorized for issuance thereunder by
1,000,000. | Management | | For | | For | | |
| | 4. | The approval of a non-binding, advisory resolution
approving the compensation of our named executive
officers as described in the Iron Mountain Incorporated
Proxy Statement. | Management | | For | | For | | |
| | 5. | The ratification of the selection by the Audit Committee of
Deloitte & Touche LLP as Iron Mountain Incorporated's
independent registered public accounting firm for the year
ending December 31, 2021. | Management | | For | | For | | |
| | PULTEGROUP, INC. | | |
| | Security | 745867101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PHM | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | US7458671010 | | | | | | Agenda | 935365646 - Management |
| | Record Date | 18-Mar-2021 | | | | | | Holding Recon Date | 18-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Brian P. Anderson | Management | | For | | For | | |
| | 1B. | Election of Director: Bryce Blair | Management | | For | | For | | |
| | 1C. | Election of Director: Richard W. Dreiling | Management | | For | | For | | |
| | 1D. | Election of Director: Thomas J. Folliard | Management | | For | | For | | |
| | 1E. | Election of Director: Cheryl W. Grisé | Management | | For | | For | | |
| | 1F. | Election of Director: André J. Hawaux | Management | | For | | For | | |
| | 1G. | Election of Director: J. Phillip Holloman | Management | | For | | For | | |
| | 1H. | Election of Director: Ryan R. Marshall | Management | | For | | For | | |
| | 1I. | Election of Director: John R. Peshkin | Management | | For | | For | | |
| | 1J. | Election of Director: Scott F. Powers | Management | | For | | For | | |
| | 1K. | Election of Director: Lila Snyder | Management | | For | | For | | |
| | 2. | Ratification of appointment of Ernst & Young LLP as our
independent registered public accounting firm for 2021. | Management | | For | | For | | |
| | 3. | Say-on-pay: Advisory vote to approve executive
compensation. | Management | | For | | For | | |
| | GILEAD SCIENCES, INC. | | |
| | Security | 375558103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GILD | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | US3755581036 | | | | | | Agenda | 935366561 - Management |
| | Record Date | 19-Mar-2021 | | | | | | Holding Recon Date | 19-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director to serve for the next year: Jacqueline
K. Barton, Ph.D. | Management | | For | | For | | |
| | 1B. | Election of Director to serve for the next year: Jeffrey A.
Bluestone, Ph.D. | Management | | For | | For | | |
| | 1C. | Election of Director to serve for the next year: Sandra J.
Horning, M.D. | Management | | For | | For | | |
| | 1D. | Election of Director to serve for the next year: Kelly A.
Kramer | Management | | For | | For | | |
| | 1E. | Election of Director to serve for the next year: Kevin E.
Lofton | Management | | For | | For | | |
| | 1F. | Election of Director to serve for the next year: Harish
Manwani | Management | | For | | For | | |
| | 1G. | Election of Director to serve for the next year: Daniel P.
O'Day | Management | | For | | For | | |
| | 1H. | Election of Director to serve for the next year: Javier J.
Rodriguez | Management | | For | | For | | |
| | 1I. | Election of Director to serve for the next year: Anthony
Welters | Management | | For | | For | | |
| | 2. | To ratify the selection of Ernst & Young LLP by the Audit
Committee of the Board of Directors as the independent
registered public accounting firm of Gilead for the fiscal
year ending December 31, 2021. | Management | | For | | For | | |
| | 3. | To approve, on an advisory basis, the compensation of
our Named Executive Officers as presented in the Proxy
Statement. | Management | | For | | For | | |
| | 4. | To vote on a stockholder proposal, if properly presented
at the meeting, requesting that the Board adopt a policy
that the Chairperson of the Board of Directors be an
independent director. | Shareholder | | Against | | For | | |
| | LABORATORY CORP. OF AMERICA HOLDINGS | | |
| | Security | 50540R409 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LH | | | | | | Meeting Date | 12-May-2021 | |
| | ISIN | US50540R4092 | | | | | | Agenda | 935373059 - Management |
| | Record Date | 24-Mar-2021 | | | | | | Holding Recon Date | 24-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Kerrii B. Anderson | Management | | For | | For | | |
| | 1B. | Election of Director: Jean-Luc Bélingard | Management | | For | | For | | |
| | 1C. | Election of Director: Jeffrey A. Davis | Management | | For | | For | | |
| | 1D. | Election of Director: D. Gary Gilliland, M.D., Ph.D. | Management | | For | | For | | |
| | 1E. | Election of Director: Garheng Kong, M.D., Ph.D. | Management | | For | | For | | |
| | 1F. | Election of Director: Peter M. Neupert | Management | | For | | For | | |
| | 1G. | Election of Director: Richelle P. Parham | Management | | For | | For | | |
| | 1H. | Election of Director: Adam H. Schechter | Management | | For | | For | | |
| | 1I. | Election of Director: Kathryn E. Wengel | Management | | For | | For | | |
| | 1J. | Election of Director: R. Sanders Williams, M.D. | Management | | For | | For | | |
| | 2. | To approve, by non-binding vote, executive
compensation. | Management | | For | | For | | |
| | 3. | Ratification of the appointment of Deloitte and Touche
LLP as Laboratory Corporation of America Holdings'
independent registered public accounting firm for the year
ending December 31, 2021. | Management | | For | | For | | |
| | 4. | Shareholder proposal seeking an amendment to our
proxy access by-law to remove the aggregation limit. | Shareholder | | Against | | For | | |
| | VERIZON COMMUNICATIONS INC. | | |
| | Security | 92343V104 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VZ | | | | | | Meeting Date | 13-May-2021 | |
| | ISIN | US92343V1044 | | | | | | Agenda | 935364846 - Management |
| | Record Date | 15-Mar-2021 | | | | | | Holding Recon Date | 15-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 12-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1a. | Election of Director: Shellye L. Archambeau | Management | | For | | For | | |
| | 1b. | Election of Director: Roxanne S. Austin | Management | | For | | For | | |
| | 1c. | Election of Director: Mark T. Bertolini | Management | | For | | For | | |
| | 1d. | Election of Director: Melanie L. Healey | Management | | For | | For | | |
| | 1e. | Election of Director: Clarence Otis, Jr. | Management | | For | | For | | |
| | 1f. | Election of Director: Daniel H. Schulman | Management | | For | | For | | |
| | 1g. | Election of Director: Rodney E. Slater | Management | | For | | For | | |
| | 1h. | Election of Director: Hans E. Vestberg | Management | | For | | For | | |
| | 1i. | Election of Director: Gregory G. Weaver | Management | | For | | For | | |
| | 2 | Advisory Vote to Approve Executive Compensation | Management | | For | | For | | |
| | 3 | Ratification of Appointment of Independent Registered
Public Accounting Firm | Management | | For | | For | | |
| | 4 | Shareholder Action by Written Consent | Shareholder | | Against | | For | | |
| | 5 | Amend Clawback Policy | Shareholder | | Against | | For | | |
| | 6 | Shareholder Ratification of Annual Equity Awards | Shareholder | | Against | | For | | |
| | UNITED PARCEL SERVICE, INC. | | |
| | Security | 911312106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | UPS | | | | | | Meeting Date | 13-May-2021 | |
| | ISIN | US9113121068 | | | | | | Agenda | 935365002 - Management |
| | Record Date | 22-Mar-2021 | | | | | | Holding Recon Date | 22-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 12-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director to serve until the 2022 Annual
Meeting: Carol B. Tomé | Management | | For | | For | | |
| | 1B. | Election of Director to serve until the 2022 Annual
Meeting: Rodney C. Adkins | Management | | For | | For | | |
| | 1C. | Election of Director to serve until the 2022 Annual
Meeting: Eva C. Boratto | Management | | For | | For | | |
| | 1D. | Election of Director to serve until the 2022 Annual
Meeting: Michael J. Burns | Management | | For | | For | | |
| | 1E. | Election of Director to serve until the 2022 Annual
Meeting: Wayne M. Hewett | Management | | For | | For | | |
| | 1F. | Election of Director to serve until the 2022 Annual
Meeting: Angela Hwang | Management | | For | | For | | |
| | 1G. | Election of Director to serve until the 2022 Annual
Meeting: Kate E. Johnson | Management | | For | | For | | |
| | 1H. | Election of Director to serve until the 2022 Annual
Meeting: William R. Johnson | Management | | For | | For | | |
| | 1I. | Election of Director to serve until the 2022 Annual
Meeting: Ann M. Livermore | Management | | For | | For | | |
| | 1J. | Election of Director to serve until the 2022 Annual
Meeting: Franck J. Moison | Management | | For | | For | | |
| | 1K. | Election of Director to serve until the 2022 Annual
Meeting: Christiana Smith Shi | Management | | For | | For | | |
| | 1L. | Election of Director to serve until the 2022 Annual
Meeting: Russell Stokes | Management | | For | | For | | |
| | 1M. | Election of Director to serve until the 2022 Annual
Meeting: Kevin Warsh | Management | | For | | For | | |
| | 2. | To approve on an advisory basis a resolution on UPS
executive compensation. | Management | | For | | For | | |
| | 3. | To approve the 2021 UPS Omnibus Incentive
Compensation Plan. | Management | | For | | For | | |
| | 4. | To ratify the appointment of Deloitte & Touche LLP as
UPS's independent registered public accounting firm for
the year ending December 31, 2021. | Management | | For | | For | | |
| | 5. | To prepare an annual report on UPS's lobbying activities. | Shareholder | | Against | | For | | |
| | 6. | To reduce the voting power of UPS class A stock from 10
votes per share to one vote per share. | Shareholder | | For | | Against | | |
| | 7. | To prepare a report on reducing UPS's total contribution
to climate change. | Shareholder | | For | | Against | | |
| | 8. | To transition UPS to a public benefit corporation. | Shareholder | | Against | | For | | |
| | 9. | To prepare a report assessing UPS's diversity and
inclusion efforts. | Shareholder | | For | | Against | | |
| | CVS HEALTH CORPORATION | | |
| | Security | 126650100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CVS | | | | | | Meeting Date | 13-May-2021 | |
| | ISIN | US1266501006 | | | | | | Agenda | 935366927 - Management |
| | Record Date | 17-Mar-2021 | | | | | | Holding Recon Date | 17-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 12-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Fernando Aguirre | Management | | For | | For | | |
| | 1B. | Election of Director: C. David Brown II | Management | | For | | For | | |
| | 1C. | Election of Director: Alecia A. DeCoudreaux | Management | | For | | For | | |
| | 1D. | Election of Director: Nancy-Ann M. DeParle | Management | | For | | For | | |
| | 1E. | Election of Director: David W. Dorman | Management | | For | | For | | |
| | 1F. | Election of Director: Roger N. Farah | Management | | For | | For | | |
| | 1G. | Election of Director: Anne M. Finucane | Management | | For | | For | | |
| | 1H. | Election of Director: Edward J. Ludwig | Management | | For | | For | | |
| | 1I. | Election of Director: Karen S. Lynch | Management | | For | | For | | |
| | 1J. | Election of Director: Jean-Pierre Millon | Management | | For | | For | | |
| | 1K. | Election of Director: Mary L. Schapiro | Management | | For | | For | | |
| | 1L. | Election of Director: William C. Weldon | Management | | For | | For | | |
| | 1M. | Election of Director: Tony L. White | Management | | For | | For | | |
| | 2. | Ratification of the appointment of our independent
registered public accounting firm for 2021. | Management | | For | | For | | |
| | 3. | Say on Pay, a proposal to approve, on an advisory basis,
the Company's executive compensation. | Management | | For | | For | | |
| | 4. | Stockholder proposal for reducing the threshold for our
stockholder right to act by written consent. | Shareholder | | Against | | For | | |
| | 5. | Stockholder proposal regarding our independent Board
Chair. | Shareholder | | Against | | For | | |
| | THE WESTERN UNION COMPANY | | |
| | Security | 959802109 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | WU | | | | | | Meeting Date | 14-May-2021 | |
| | ISIN | US9598021098 | | | | | | Agenda | 935371005 - Management |
| | Record Date | 24-Mar-2021 | | | | | | Holding Recon Date | 24-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 13-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1a. | Election of Director: Martin I. Cole | Management | | For | | For | | |
| | 1b. | Election of Director: Hikmet Ersek | Management | | For | | For | | |
| | 1c. | Election of Director: Richard A. Goodman | Management | | For | | For | | |
| | 1d. | Election of Director: Betsy D. Holden | Management | | For | | For | | |
| | 1e. | Election of Director: Jeffrey A. Joerres | Management | | For | | For | | |
| | 1f. | Election of Director: Michael A. Miles, Jr. | Management | | For | | For | | |
| | 1g. | Election of Director: Timothy P. Murphy | Management | | For | | For | | |
| | 1h. | Election of Director: Joyce A. Phillips | Management | | For | | For | | |
| | 1i. | Election of Director: Jan Siegmund | Management | | For | | For | | |
| | 1j. | Election of Director: Angela A. Sun | Management | | For | | For | | |
| | 1k. | Election of Director: Solomon D. Trujillo | Management | | For | | For | | |
| | 2. | Advisory Vote to Approve Executive Compensation | Management | | For | | For | | |
| | 3. | Ratification of Selection of Ernst & Young LLP as
Independent Registered Public Accounting Firm for 2021 | Management | | For | | For | | |
| | 4. | Stockholder Proposal Regarding Stockholder Right to Act
by Written Consent | Shareholder | | Against | | For | | |
| | ASM INTERNATIONAL NV | | |
| | Security | N07045201 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 17-May-2021 | |
| | ISIN | NL0000334118 | | | | | | Agenda | 713792821 - Management |
| | Record Date | 19-Apr-2021 | | | | | | Holding Recon Date | 19-Apr-2021 | |
| | City / | Country | ALMERE | / | Netherlands | | | | | Vote Deadline Date | 10-May-2021 | |
| | SEDOL(s) | 5165294 - 5584480 - B4LDZ66 -
BK71W21 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | 1. | OPENING / ANNOUNCEMENTS | Non-Voting | | | | | | |
| | 2. | REPORT ON THE FINANCIAL YEAR 2020 | Non-Voting | | | | | | |
| | 3. | REMUNERATION REPORT 2020 | Management | | | | | | |
| | 4. | ADOPTION OF THE ANNUAL ACCOUNTS 2020 | Management | | | | | | |
| | 5. | ADOPTION OF DIVIDEND PROPOSAL | Management | | | | | | |
| | 6. | DISCHARGE OF THE MEMBERS OF THE
MANAGEMENT BOARD | Management | | | | | | |
| | 7. | DISCHARGE OF THE MEMBERS OF THE
SUPERVISORY BOARD | Management | | | | | | |
| | 8. | COMPOSITION OF THE MANAGEMENT BOARD:
APPOINTMENT OF MR. PAUL VERHAGEN AS
MEMBER TO THE MANAGEMENT BOARD | Management | | | | | | |
| | 9. | COMPOSITION OF THE SUPERVISORY BOARD:
REAPPOINTMENT OF MRS. STEFANIE KAHLE-
GALONSKE TO THE SUPERVISORY BOARD | Management | | | | | | |
| | 10. | APPOINTMENT OF THE COMPANY'S AUDITOR FOR
THE FINANCIAL YEAR 2021: KPMG ACCOUNTANTS
N.V | Management | | | | | | |
| | 11. | DESIGNATION OF THE MANAGEMENT BOARD AS
THE COMPETENT BODY TO ISSUE COMMON-
SHARES AND RIGHTS TO ACQUIRE COMMON
SHARES AND TO SET ASIDE ANY PRE-EMPTIVE-
RIGHTS | Non-Voting | | | | | | |
| | 11.a | DESIGNATION OF THE MANAGEMENT BOARD AS
THE COMPETENT BODY TO ISSUE COMMON
SHARES AND RIGHTS TO ACQUIRE COMMON
SHARES | Management | | | | | | |
| | 11.b | DESIGNATION OF THE MANAGEMENT BOARD AS
THE COMPETENT BODY TO SET ASIDE ANY PRE-
EMPTIVE RIGHTS WITH RESPECT TO THE ISSUE OF
COMMON SHARES AND RIGHTS TO ACQUIRE
COMMON SHARES | Management | | | | | | |
| | 12. | AUTHORIZATION OF THE MANAGEMENT BOARD TO
REPURCHASE COMMON SHARES IN THE COMPANY | Management | | | | | | |
| | 13. | AMENDMENT OF ARTICLES OF ASSOCIATION | Management | | | | | | |
| | 14. | WITHDRAWAL OF TREASURY SHARES | Management | | | | | | |
| | 15. | ANY OTHER BUSINESS | Non-Voting | | | | | | |
| | 16. | CLOSURE | Non-Voting | | | | | | |
| | CMMT | 03 MAY 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO MODIFICATION OF TEXT-IN
RESOLUTION 10. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT VOTE-AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | ROYAL DUTCH SHELL PLC | | |
| | Security | G7690A118 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 18-May-2021 | |
| | ISIN | GB00B03MM408 | | | | | | Agenda | 713926737 - Management |
| | Record Date | | | | | | | Holding Recon Date | 14-May-2021 | |
| | City / | Country | CAREL
VAN
BYLAND
TLAAN | / | United
Kingdom | | | | | Vote Deadline Date | 12-May-2021 | |
| | SEDOL(s) | B03MM40 - B09CBN6 - B0DX3B7 -
BYQ7YD3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | RECEIPT OF ANNUAL REPORT AND ACCOUNTS | Management | | For | | For | | |
| | 2. | APPROVAL OF DIRECTORS REMUNERATION
REPORT | Management | | For | | For | | |
| | 3. | APPOINTMENT OF JANE HOLL LUTE AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 4. | REAPPOINTMENT OF BEN VAN BEURDEN AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 5. | REAPPOINTMENT OF DICK BOER AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 6. | REAPPOINTMENT OF NEIL CARSON AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 7. | REAPPOINTMENT OF ANN GODBEHERE AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 8. | REAPPOINTMENT OF EULEEN GOH AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 9. | REAPPOINTMENT OF CATHERINE HUGHES AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 10. | REAPPOINTMENT OF MARTINA HUND-MEJEAN AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 11. | REAPPOINTMENT OF SIR ANDREW MACKENZIE AS
A DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 12. | REAPPOINTMENT OF ABRAHAM BRAM SCHOT AS A
DIRECTOR OF THE COMPANY | Management | | For | | For | | |
| | 13. | REAPPOINTMENT OF JESSICA UHL AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 14. | REAPPOINTMENT OF GERRIT ZALM AS A DIRECTOR
OF THE COMPANY | Management | | For | | For | | |
| | 15. | REAPPOINTMENT OF AUDITORS: ERNST & YOUNG
LLP | Management | | For | | For | | |
| | 16. | REMUNERATION OF AUDITORS | Management | | For | | For | | |
| | 17. | AUTHORITY TO ALLOT SHARES | Management | | For | | For | | |
| | 18. | DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | | For | | For | | |
| | 19. | AUTHORITY TO PURCHASE OWN SHARES | Management | | For | | For | | |
| | 20. | SHELLS ENERGY TRANSITION STRATEGY | Management | | For | | For | | |
| | 21. | PLEASE NOTE THAT THIS IS A SHAREHOLDER
PROPOSAL: SHAREHOLDER RESOLUTION: THE
COMPANY HAS RECEIVED NOTICE PURSUANT TO
THE UK COMPANIES ACT 2006 OF THE INTENTION
TO MOVE THE RESOLUTION SET FORTH ON PAGE 6
AND INCORPORATED HEREIN BY WAY OF
REFERENCE AT THE COMPANY'S 2021 AGM. THE
RESOLUTION HAS BEEN REQUISITIONED BY A
GROUP OF SHAREHOLDERS AND SHOULD BE READ
TOGETHER WITH THEIR STATEMENT IN SUPPORT
OF THEIR PROPOSED RESOLUTION SET FORTHON
PAGE 6. | Shareholder | | Against | | For | | |
| | CMMT | 03 MAY 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO CHANGE IN NUMBERING-FOR
ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN
YOUR VOTES, PLEASE DO NOT-VOTE AGAIN
UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL
INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | CHIPOTLE MEXICAN GRILL, INC. | | |
| | Security | 169656105 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CMG | | | | | | Meeting Date | 18-May-2021 | |
| | ISIN | US1696561059 | | | | | | Agenda | 935375320 - Management |
| | Record Date | 23-Mar-2021 | | | | | | Holding Recon Date | 23-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 17-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Albert S. Baldocchi | | | | For | | For | | |
| | | 2 | Matthew A. Carey | | | | For | | For | | |
| | | 3 | Gregg Engles | | | | For | | For | | |
| | | 4 | Patricia Fili-Krushel | | | | For | | For | | |
| | | 5 | Neil W. Flanzraich | | | | For | | For | | |
| | | 6 | Mauricio Gutierrez | | | | For | | For | | |
| | | 7 | Robin Hickenlooper | | | | For | | For | | |
| | | 8 | Scott Maw | | | | For | | For | | |
| | | 9 | Ali Namvar | | | | For | | For | | |
| | | 10 | Brian Niccol | | | | For | | For | | |
| | | 11 | Mary Winston | | | | For | | For | | |
| | 2. | An advisory vote to approve the compensation of our
executive officers as disclosed in the proxy statement
("say-on-pay"). | Management | | For | | For | | |
| | 3. | Ratification of the appointment of Ernst & Young LLP as
our independent registered public accounting firm for the
year ending December 31, 2021. | Management | | For | | For | | |
| | 4. | Shareholder Proposal - Written Consent of Shareholders. | Shareholder | | For | | Against | | |
| | PPL CORPORATION | | |
| | Security | 69351T106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PPL | | | | | | Meeting Date | 18-May-2021 | |
| | ISIN | US69351T1060 | | | | | | Agenda | 935382628 - Management |
| | Record Date | 26-Feb-2021 | | | | | | Holding Recon Date | 26-Feb-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 17-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Arthur P. Beattie | Management | | For | | For | | |
| | 1B. | Election of Director: Steven G. Elliott | Management | | For | | For | | |
| | 1C. | Election of Director: Raja Rajamannar | Management | | For | | For | | |
| | 1D. | Election of Director: Craig A. Rogerson | Management | | Against | | Against | | |
| | 1E. | Election of Director: Vincent Sorgi | Management | | For | | For | | |
| | 1F. | Election of Director: Natica von Althann | Management | | For | | For | | |
| | 1G. | Election of Director: Keith H. Williamson | Management | | For | | For | | |
| | 1H. | Election of Director: Phoebe A. Wood | Management | | For | | For | | |
| | 1I. | Election of Director: Armando Zagalo de Lima | Management | | For | | For | | |
| | 2. | Advisory vote to approve compensation of named
executive officers. | Management | | For | | For | | |
| | 3. | Ratification of the appointment of Independent
Registered Public Accounting Firm. | Management | | For | | For | | |
| | SAMPO PLC | | |
| | Security | X75653109 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 19-May-2021 | |
| | ISIN | FI0009003305 | | | | | | Agenda | 713697398 - Management |
| | Record Date | 06-May-2021 | | | | | | Holding Recon Date | 06-May-2021 | |
| | City / | Country | HELSINK
I | / | Finland | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | 5226038 - 5333853 - B114X86 -
BHZLRC7 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | A POA IS NEEDED TO APPOINT OWN
REPRESENTATIVE BUT IS NOT NEEDED IF A
FINNISH-SUB/BANK IS APPOINTED EXCEPT IF THE
SHAREHOLDER IS FINNISH THEN A POA WOULD-
STILL BE REQUIRED. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | OPENING OF THE MEETING | Non-Voting | | | | | | |
| | 2 | CALLING THE MEETING TO ORDER: ATTORNEY-AT-
LAW MIKKO HEINONEN | Non-Voting | | | | | | |
| | 3 | ELECTION OF PERSONS TO SCRUTINIZE THE
MINUTES AND TO SUPERVISE THE COUNTING-OF
VOTES: LAWYER LAURI MARJAMAKI SHALL
SCRUTINIZE THE MINUTES AND SUPERVISE-THE
COUNTING OF THE VOTES | Non-Voting | | | | | | |
| | 4 | RECORDING THE LEGALITY OF THE MEETING | Non-Voting | | | | | | |
| | 5 | RECORDING THE ATTENDANCE AT THE MEETING
AND ADOPTION OF THE LIST OF VOTES | Non-Voting | | | | | | |
| | 6 | PRESENTATION OF THE FINANCIAL STATEMENTS,
THE BOARD OF DIRECTORS' REPORT AND-THE
AUDITOR'S REPORT FOR THE YEAR 2020 | Non-Voting | | | | | | |
| | 7 | ADOPTION OF THE FINANCIAL STATEMENTS | Management | | | | | | |
| | 8 | RESOLUTION ON THE USE OF THE PROFIT SHOWN
ON THE BALANCE SHEET AND THE PAYMENT OF
DIVIDEND: EUR 1.70 PER SHARE | Management | | | | | | |
| | 9 | RESOLUTION ON THE DISCHARGE OF THE
MEMBERS OF THE BOARD OF DIRECTORS AND THE
PRESIDENT AND CEO FROM LIABILITY FOR THE
FINANCIAL YEAR 2020 | Management | | | | | | |
| | 10 | REMUNERATION REPORT FOR GOVERNING BODIES | Management | | | | | | |
| | CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE
PROPOSED BY NOMINATION AND-REMUNERATION
COMMITTEE AND BOARD DOES NOT MAKE ANY
RECOMMENDATION ON THESE-PROPOSALS. THE
STANDING INSTRUCTIONS ARE DISABLED FOR THIS
MEETING | Non-Voting | | | | | | |
| | 11 | RESOLUTION ON THE REMUNERATION OF THE
MEMBERS OF THE BOARD OF DIRECTORS | Management | | | | | | |
| | 12 | RESOLUTION ON THE NUMBER OF MEMBERS OF
THE BOARD OF DIRECTORS: EIGHT (8) | Management | | | | | | |
| | 13 | ELECTION OF THE MEMBERS OF THE BOARD OF
DIRECTORS: THE NOMINATION AND
REMUNERATION COMMITTEE OF THE BOARD OF
DIRECTORS PROPOSES THAT THE CURRENT
MEMBERS OF THE BOARD CHRISTIAN CLAUSEN,
FIONA CLUTTERBUCK, GEORG EHRNROOTH,
JANNICA FAGERHOLM, JOHANNA LAMMINEN, RISTO
MURTO AND BJORN WAHLROOS BE RE-ELECTED
FOR A TERM CONTINUING UNTIL THE CLOSE OF
THE NEXT ANNUAL GENERAL MEETING. OF THE
CURRENT MEMBERS ANTTI MAKINEN IS NOT
AVAILABLE FOR RE-ELECTION. THE COMMITTEE
PROPOSES THAT MARKUS RAURAMO BE ELECTED
AS A NEW MEMBER TO THE BOARD | Management | | | | | | |
| | 14 | RESOLUTION ON THE REMUNERATION OF THE
AUDITOR | Management | | | | | | |
| | 15 | ELECTION OF THE AUDITOR: THE AUDIT
COMMITTEE OF THE BOARD OF DIRECTORS
PROPOSES THAT THE AUTHORIZED PUBLIC
ACCOUNTANT FIRM DELOITTE LTD BE ELECTED AS
THE COMPANY'S AUDITOR UNTIL CLOSE OF THE
NEXT ANNUAL GENERAL MEETING. DELOITTE LTD
HAS ANNOUNCED THAT JUKKA VATTULAINEN, APA,
WILL ACT AS THE PRINCIPALLY RESPONSIBLE
AUDITOR IF THE ANNUAL GENERAL MEETING
ELECTS DELOITTE LTD TO ACT AS THE COMPANY'S
AUDITOR | Management | | | | | | |
| | 16 | AUTHORIZING THE BOARD OF DIRECTORS TO
DECIDE ON THE REPURCHASE OF THE COMPANY'S
OWN SHARES | Management | | | | | | |
| | 17 | CLOSING OF THE MEETING | Non-Voting | | | | | | |
| | CMMT | 18 MAR 2021: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIS)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIS TO THE ESCROW ACCOUNT | Non-Voting | | | | | | |
| | | SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU | | | | | | | | | |
| | CMMT | 18 MAR 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENTS.-IF
YOU HAVE ALREADY SENT IN YOUR VOTES,
PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE
TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK
YOU | Non-Voting | | | | | | |
| | CMMT | 18 MAR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | LUMEN TECHNOLOGIES, INC. | | |
| | Security | 550241103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LUMN | | | | | | Meeting Date | 19-May-2021 | |
| | ISIN | US5502411037 | | | | | | Agenda | 935382832 - Management |
| | Record Date | 25-Mar-2021 | | | | | | Holding Recon Date | 25-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 18-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Quincy L. Allen | Management | | For | | For | | |
| | 1B. | Election of Director: Martha Helena Bejar | Management | | For | | For | | |
| | 1C. | Election of Director: Peter C. Brown | Management | | For | | For | | |
| | 1D. | Election of Director: Kevin P. Chilton | Management | | For | | For | | |
| | 1E. | Election of Director: Steven T. "Terry" Clontz | Management | | For | | For | | |
| | 1F. | Election of Director: T. Michael Glenn | Management | | For | | For | | |
| | 1G. | Election of Director: W. Bruce Hanks | Management | | For | | For | | |
| | 1H. | Election of Director: Hal Stanley Jones | Management | | For | | For | | |
| | 1I. | Election of Director: Michael Roberts | Management | | For | | For | | |
| | 1J. | Election of Director: Laurie Siegel | Management | | For | | For | | |
| | 1K. | Election of Director: Jeffrey K. Storey | Management | | For | | For | | |
| | 2. | Ratify the appointment of KPMG LLP as our independent
auditor for 2021. | Management | | For | | For | | |
| | 3. | Ratify the amendment to our Amended and Restated
NOL Rights Plan. | Management | | For | | For | | |
| | 4. | Advisory vote to approve our executive compensation. | Management | | For | | For | | |
| | NN GROUP N.V. | | |
| | Security | N64038107 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 20-May-2021 | |
| | ISIN | NL0010773842 | | | | | | Agenda | 713836407 - Management |
| | Record Date | 22-Apr-2021 | | | | | | Holding Recon Date | 22-Apr-2021 | |
| | City / | Country | VIRTUAL
MEETIN
G | / | Netherlands | | | | | Vote Deadline Date | 12-May-2021 | |
| | SEDOL(s) | BDFC799 - BF446T3 - BNG62F1 -
BNG8PQ9 - BP7Q9G4 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1. | OPENING | Non-Voting | | | | | | |
| | 2. | 2020 ANNUAL REPORT | Non-Voting | | | | | | |
| | 3. | PROPOSAL TO GIVE A POSITIVE ADVICE ON THE
2020 REMUNERATION REPORT | Management | | For | | For | | |
| | 4.A. | PROPOSAL TO ADOPT THE ANNUAL ACCOUNTS
FOR THE FINANCIAL YEAR 2020 | Management | | For | | For | | |
| | 4.B. | EXPLANATION OF THE DIVIDEND POLICY | Non-Voting | | | | | | |
| | 4.C. | PROPOSAL TO PAY OUT DIVIDEND: THE EXECUTIVE
BOARD PROPOSES, WHICH PROPOSAL IS
APPROVED BY THE SUPERVISORY BOARD, TO PAY
OUT A FINAL DIVIDEND OF EUR 1.47 PER ORDINARY
SHARE, OR APPROXIMATELY EUR 456 MILLION IN
TOTAL | Management | | For | | For | | |
| | 5.A. | PROPOSAL TO RELEASE THE MEMBERS OF THE
EXECUTIVE BOARD FROM LIABILITY FOR THEIR
RESPECTIVE DUTIES PERFORMED DURING THE
FINANCIAL YEAR 2020 | Management | | For | | For | | |
| | 5.B. | PROPOSAL TO RELEASE THE MEMBERS OF THE
SUPERVISORY BOARD FROM LIABILITY FOR THEIR
RESPECTIVE DUTIES PERFORMED DURING THE
FINANCIAL YEAR 2020 | Management | | For | | For | | |
| | 6.A. | PROPOSAL TO APPOINT CECILIA REYES AS
MEMBER OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 6.B. | PROPOSAL TO APPOINT ROB LELIEVELD AS
MEMBER OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 6.C. | PROPOSAL TO APPOINT INGA BEALE AS MEMBER
OF THE SUPERVISORY BOARD | Management | | For | | For | | |
| | 7. | PROPOSAL TO APPROVE AN INCREASE OF
VARIABLE REMUNERATION CAPS IN SPECIAL
CIRCUMSTANCES | Management | | For | | For | | |
| | 8.A.i | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD
AS THE COMPETENT BODY TO RESOLVE TO ISSUE
ORDINARY SHARES AND TO GRANT RIGHTS TO
SUBSCRIBE FOR ORDINARY SHARES | Management | | For | | For | | |
| | 8A.ii | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD
AS THE COMPETENT BODY TO RESOLVE TO LIMIT
OR EXCLUDE PREEMPTIVE RIGHTS OF EXISTING
SHAREHOLDERS WHEN ISSUING ORDINARY
SHARES AND GRANTING RIGHTS TO SUBSCRIBE
FOR ORDINARY SHARES PURSUANT TO AGENDA
ITEM 8.A.(I) | Management | | For | | For | | |
| | 8.B. | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD
AS THE COMPETENT BODY TO RESOLVE TO ISSUE
ORDINARY SHARES AND TO GRANT RIGHTS TO
SUBSCRIBE FOR ORDINARY SHARES BY WAY OF A
RIGHTS ISSUE | Management | | For | | For | | |
| | 9. | PROPOSAL TO AUTHORISE THE EXECUTIVE BOARD
TO ACQUIRE ORDINARY SHARES IN THE
COMPANY'S SHARE CAPITAL | Management | | For | | For | | |
| | 10. | PROPOSAL TO REDUCE THE ISSUED SHARE
CAPITAL BY CANCELLATION OF ORDINARY SHARES
HELD BY THE COMPANY | Management | | For | | For | | |
| | 11. | ANY OTHER BUSINESS AND CLOSING | Non-Voting | | | | | | |
| | CMMT | 09 APR 2021: INTERMEDIARY CLIENTS ONLY -
PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF-
DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED-CLIENT
SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | 03 MAY 2021: PLEASE NOTE THAT THIS IS A
REVISION DUE TO ADDITION OF COMMENT-AND
CHANGE IN NUMBERING FOR RESOLUTIONS 8A.i
and 8A.ii. IF YOU HAVE ALREADY-SENT IN YOUR
VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU
DECIDE TO AMEND YOUR-ORIGINAL
INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | MORGAN STANLEY | | |
| | Security | 617446448 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MS | | | | | | Meeting Date | 20-May-2021 | |
| | ISIN | US6174464486 | | | | | | Agenda | 935372312 - Management |
| | Record Date | 22-Mar-2021 | | | | | | Holding Recon Date | 22-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 19-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Elizabeth Corley | Management | | For | | For | | |
| | 1B. | Election of Director: Alistair Darling | Management | | For | | For | | |
| | 1C. | Election of Director: Thomas H. Glocer | Management | | For | | For | | |
| | 1D. | Election of Director: James P. Gorman | Management | | For | | For | | |
| | 1E. | Election of Director: Robert H. Herz | Management | | For | | For | | |
| | 1F. | Election of Director: Nobuyuki Hirano | Management | | For | | For | | |
| | 1G. | Election of Director: Hironori Kamezawa | Management | | For | | For | | |
| | 1H. | Election of Director: Shelley B. Leibowitz | Management | | For | | For | | |
| | 1I. | Election of Director: Stephen J. Luczo | Management | | For | | For | | |
| | 1J. | Election of Director: Jami Miscik | Management | | For | | For | | |
| | 1K. | Election of Director: Dennis M. Nally | Management | | For | | For | | |
| | 1L. | Election of Director: Mary L. Schapiro | Management | | For | | For | | |
| | 1M. | Election of Director: Perry M. Traquina | Management | | For | | For | | |
| | 1N. | Election of Director: Rayford Wilkins, Jr. | Management | | For | | For | | |
| | 2. | To ratify the appointment of Deloitte & Touche LLP as
independent auditor. | Management | | For | | For | | |
| | 3. | To approve the compensation of executives as disclosed
in the proxy statement (non-binding advisory vote). | Management | | For | | For | | |
| | 4. | To approve the amended and restated Equity Incentive
Compensation Plan. | Management | | For | | For | | |
| | ALTRIA GROUP, INC. | | |
| | Security | 02209S103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MO | | | | | | Meeting Date | 20-May-2021 | |
| | ISIN | US02209S1033 | | | | | | Agenda | 935381640 - Management |
| | Record Date | 29-Mar-2021 | | | | | | Holding Recon Date | 29-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 19-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: John T. Casteen III | Management | | For | | For | | |
| | 1B. | Election of Director: Dinyar S. Devitre | Management | | For | | For | | |
| | 1C. | Election of Director: William F. Gifford, Jr. | Management | | For | | For | | |
| | 1D. | Election of Director: Debra J. Kelly-Ennis | Management | | For | | For | | |
| | 1E. | Election of Director: W. Leo Kiely III | Management | | For | | For | | |
| | 1F. | Election of Director: Kathryn B. McQuade | Management | | For | | For | | |
| | 1G. | Election of Director: George Muñoz | Management | | For | | For | | |
| | 1H. | Election of Director: Mark E. Newman | Management | | For | | For | | |
| | 1I. | Election of Director: Nabil Y. Sakkab | Management | | For | | For | | |
| | 1J. | Election of Director: Virginia E. Shanks | Management | | For | | For | | |
| | 1K. | Election of Director: Ellen R. Strahlman | Management | | For | | For | | |
| | 2. | Ratification of the Selection of Independent Registered
Public Accounting Firm. | Management | | For | | For | | |
| | 3. | Non-Binding Advisory Vote to Approve the Compensation
of Altria's Named Executive Officers. | Management | | Against | | Against | | |
| | 4. | Shareholder Proposal - Review and Report on Underage
Tobacco Prevention Policies and Marketing Practices. | Shareholder | | Against | | For | | |
| | 5. | Shareholder Proposal - Disclosure of Lobbying Policies
and Practices. | Shareholder | | Against | | For | | |
| | FRESENIUS SE & CO. KGAA | | |
| | Security | D27348263 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 21-May-2021 | |
| | ISIN | DE0005785604 | | | | | | Agenda | 713839895 - Management |
| | Record Date | 29-Apr-2021 | | | | | | Holding Recon Date | 29-Apr-2021 | |
| | City / | Country | HOMBUR | / | Germany | | | | | Vote Deadline Date | 11-May-2021 | |
| | SEDOL(s) | 4352097 - B28H8N5 - BD3VR65 -
BF0Z6Z6 - BF29XZ5 - BHZLGP3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE
ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH
ONLY. IF YOU WISH TO SEE THE AGENDA IN
GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK
UNDER THE MATERIAL URL DROPDOWN AT THE
TOP OF THE BALLOT.-THE GERMAN AGENDAS FOR
ANY EXISTING OR PAST MEETINGS WILL REMAIN IN
PLACE.-FOR FURTHER INFORMATION, PLEASE
CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | ACCORDING TO GERMAN LAW, IN CASE OF
SPECIFIC CONFLICTS OF INTEREST IN-
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE-
NOT ENTITLED TO EXERCISE YOUR VOTING
RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS-AND YOU
HAVE NOT COMPLIED WITH ANY OF YOUR
MANDATORY VOTING RIGHTS-NOTIFICATIONS
PURSUANT TO THE GERMAN SECURITIES TRADING
ACT (WPHG). FOR-QUESTIONS IN THIS REGARD
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO
NOT HAVE ANY INDICATION REGARDING SUCH
CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION
FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-
USUAL. | Non-Voting | | | | | | |
| | CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE
FOUND DIRECTLY ON THE ISSUER'S-WEBSITE
(PLEASE REFER TO THE MATERIAL URL SECTION
OF THE APPLICATION). IF YOU-WISH TO ACT ON
THESE ITEMS, YOU WILL NEED TO REQUEST A
MEETING ATTEND AND-VOTE YOUR SHARES
DIRECTLY AT THE COMPANY'S MEETING. COUNTER
PROPOSALS CANNOT-BE REFLECTED ON THE
BALLOT ON PROXYEDGE. | Non-Voting | | | | | | |
| | 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS FOR FISCAL YEAR 2020 | Management | | | | | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF EUR 0.88 PER SHARE | Management | | | | | | |
| | 3 | APPROVE DISCHARGE OF PERSONALLY LIABLE
PARTNER FOR FISCAL YEAR 2020 | Management | | | | | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD
FOR FISCAL YEAR 2020 | Management | | | | | | |
| | 5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS
AUDITORS FOR FISCAL YEAR 2021 | Management | | | | | | |
| | 6 | APPROVE REMUNERATION POLICY | Management | | | | | | |
| | 7 | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | | | | | |
| | 8.1 | ELECT MICHAEL ALBRECHT TO THE SUPERVISORY
BOARD | Management | | | | | | |
| | 8.2 | ELECT MICHAEL DIEKMANN TO THE SUPERVISORY
BOARD | Management | | | | | | |
| | 8.3 | ELECT WOLFGANG KIRSCH TO THE SUPERVISORY
BOARD | Management | | | | | | |
| | 8.4 | ELECT IRIS LOEW-FRIEDRICH TO THE
SUPERVISORY BOARD | Management | | | | | | |
| | 8.5 | ELECT KLAUS-PETER MUELLER TO THE
SUPERVISORY BOARD | Management | | | | | | |
| | 8.6 | ELECT HAUKE STARS TO THE SUPERVISORY
BOARD | Management | | | | | | |
| | 9.1 | ELECT MICHAEL DIEKMANN AS MEMBER OF THE
JOINT COMMITTEE | Management | | | | | | |
| | 9.2 | ELECT HAUKE STARS AS MEMBER OF THE JOINT
COMMITTEE | Management | | | | | | |
| | CARREFOUR SA | | |
| | Security | F13923119 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 21-May-2021 | |
| | ISIN | FR0000120172 | | | | | | Agenda | 713937158 - Management |
| | Record Date | 18-May-2021 | | | | | | Holding Recon Date | 18-May-2021 | |
| | City / | Country | MASSY | / | France | | | | | Vote Deadline Date | 07-May-2021 | |
| | SEDOL(s) | 5641567 - 5660249 - B0Z8677 -
BF445B8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CUSTODIAN)
WILL BE REQUIRED TO-INSTRUCT A TRANSFER OF
THE RELEVANT CDIS TO THE ESCROW ACCOUNT
SPECIFIED IN-THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS TRANSFER
WILL NEED-TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE. ONCE THIS TRANSFER-
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM. THE CDIS WILL BE-RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS DAY PRIOR TO-MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED,-THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE-CREST SYSTEM. BY VOTING ON THIS
MEETING, YOUR CUSTODIAN MAY USE YOUR VOTE-
INSTRUCTION AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL-INCLUDE
TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR-CUSTODIAN
DIRECTLY FOR FURTHER INFORMATION ON THE
CUSTODY PROCESS AND WHETHER-OR NOT THEY
REQUIRE SEPARATE INSTRUCTIONS FROM YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IMPORTANT ADDITIONAL
MEETING INFORMATION IS AVAILABLE BY-CLICKING
ON THE MATERIAL URL LINK:-https://www.journal-
officiel.gouv.fr/balo/document/202104142100938-45 | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE. | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE COMPANY FINANCIAL
STATEMENTS FOR THE YEAR ENDED DECEMBER
31, 2020 | Management | | For | | For | | |
| | 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE YEAR ENDED DECEMBER
31, 2020 | Management | | For | | For | | |
| | 3 | ALLOCATION OF EARNINGS AND SETTING OF THE
DIVIDEND | Management | | For | | For | | |
| | 4 | APPROVAL OF RELATED-PARTY AGREEMENTS
REFERRED TO IN ARTICLES L. 225-38 ET SEQ. OF
THE FRENCH COMMERCIAL CODE | Management | | For | | For | | |
| | 5 | RENEWAL OF THE APPOINTMENT OF ALEXANDRE
BOMPARD AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | Against | | Against | | |
| | 6 | RENEWAL OF THE APPOINTMENT OF PHILIPPE
HOUZE AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | Against | | Against | | |
| | 7 | RENEWAL OF THE APPOINTMENT OF STEPHANE
ISRAEL AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | For | | For | | |
| | 8 | RENEWAL OF THE APPOINTMENT OF CLAUDIA
ALMEIDA E SILVA AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | For | | For | | |
| | 9 | RENEWAL OF THE APPOINTMENT OF NICOLAS
BAZIRE AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | Against | | Against | | |
| | 10 | RENEWAL OF THE APPOINTMENT OF STEPHANE
COURBIT AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | For | | For | | |
| | 11 | RENEWAL OF THE APPOINTMENT OF AURORE
DOMONT AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | For | | For | | |
| | 12 | RENEWAL OF THE APPOINTMENT OF MATHILDE
LEMOINE AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | For | | For | | |
| | 13 | RENEWAL OF THE APPOINTMENT OF PATRICIA
MOULIN-LEMOINE AS A MEMBER OF THE BOARD OF
DIRECTORS | Management | | Against | | Against | | |
| | 14 | RENEWAL OF THE APPOINTMENT OF DELOITTE &
ASSOCIES AS PRINCIPAL STATUTORY AUDITOR
AND TERMINATION OF THE APPOINTMENT OF BEAS
AS ALTERNATE STATUTORY AUDITOR | Management | | For | | For | | |
| | 15 | TERMINATION OF THE APPOINTMENTS OF KPMG SA
AS PRINCIPAL STATUTORY AUDITOR AND
SALUSTRO AS ALTERNATE STATUTORY AUDITOR | Management | | For | | For | | |
| | 16 | APPROVAL OF THE INFORMATION RELATING TO
THE COMPENSATION OF COMPANY OFFICERS
REFERRED TO IN ARTICLE L. 22-10-9 OF THE
FRENCH COMMERCIAL CODE | Management | | For | | For | | |
| | 17 | APPROVAL OF THE FIXED, VARIABLE AND
EXCEPTIONAL COMPONENTS OF THE TOTAL
COMPENSATION AND BENEFITS IN KIND DUE OR
PAID FOR THE 2020 FINANCIAL YEAR TO
ALEXANDRE BOMPARD, CHAIRMAN AND CHIEF
EXECUTIVE OFFICER | Management | | Against | | Against | | |
| | 18 | APPROVAL OF THE 2021 COMPENSATION POLICY
FOR THE CHAIRMAN AND CHIEF EXECUTIVE
OFFICER | Management | | Against | | Against | | |
| | 19 | APPROVAL OF THE 2021 COMPENSATION POLICY
FOR DIRECTORS | Management | | For | | For | | |
| | 20 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 18 MONTHS TO
TRADE IN COMPANY SHARES | Management | | For | | For | | |
| | 21 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 18 MONTHS TO
REDUCE THE SHARE CAPITAL BY CANCELLING
SHARES | Management | | For | | For | | |
| | 22 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
ISSUE SHARES AND EQUITY SECURITIES GIVING
ACCESS TO OTHER EQUITY SECURITIES OR
CONFERRING ENTITLEMENT TO THE ALLOCATION
OF DEBT SECURITIES, AS WELL AS SECURITIES
GIVING ACCESS TO EQUITY SECURITIES TO BE
ISSUED, WITH PRE-EMPTIVE SUBSCRIPTION
RIGHTS FOR EXISTING SHAREHOLDERS, FOR A
MAXIMUM NOMINAL AMOUNT OF FIVE HUNDRED
(500) MILLION EUROS | Management | | For | | For | | |
| | 23 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
ISSUE SHARES AND EQUITY SECURITIES GIVING
ACCESS TO OTHER EQUITY SECURITIES OR
CONFERRING ENTITLEMENT TO THE ALLOCATION
OF DEBT SECURITIES, AS WELL AS SECURITIES
GIVING ACCESS TO EQUITY SECURITIES TO BE
ISSUED, WITHOUT PRE-EMPTIVE SUBSCRIPTION
RIGHTS FOR EXISTING SHAREHOLDERS, BY WAY
OF PUBLIC OFFERING OTHER THAN THOSE WITHIN
THE SCOPE OF ARTICLE L. 411-2 1 OF THE FRENCH
MONETARY AND FINANCIAL CODE OR BY WAY OF
PUBLIC OFFERING IMPLEMENTED BY THE
COMPANY ON THE SECURITIES OF ANOTHER
COMPANY, FOR A MAXIMUM NOMINAL AMOUNT OF
ONE HUNDRED SEVENTY-FIVE (175) MILLION
EUROS | Management | | For | | For | | |
| | 24 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
ISSUE SHARES AND EQUITY SECURITIES GIVING
ACCESS TO OTHER EQUITY SECURITIES OR
CONFERRING ENTITLEMENT TO THE ALLOCATION
OF DEBT SECURITIES, AS WELL AS SECURITIES
GIVING ACCESS TO EQUITY SECURITIES TO BE
ISSUED, WITHOUT PRE-EMPTIVE SUBSCRIPTION
RIGHTS FOR EXISTING SHAREHOLDERS, BY WAY
OF AN OFFER WITHIN THE SCOPE OF ARTICLE L.
411-2 1 OF THE FRENCH MONETARY AND
FINANCIAL CODE, FOR A MAXIMUM NOMINAL
AMOUNT OF ONE HUNDRED SEVENTY- VE (175)
MILLION EUROS | Management | | For | | For | | |
| | 25 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
INCREASE THE NUMBER OF SHARES TO BE ISSUED
IN THE CASE OF AN INCREASE IN SHARE CAPITAL,
WITH OR WITHOUT PRE-EMPTIVE SUBSCRIPTION
RIGHTS FOR EXISTING SHAREHOLDERS, BY UP TO
15% ABOVE THE INITIAL SHARE CAPITAL INCREASE | Management | | For | | For | | |
| | 26 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
ISSUE SHARES AND EQUITY SECURITIES, NOT
EXCEEDING 10% OF THE SHARE CAPITAL, GIVING
ACCESS TO OTHER EQUITY SECURITIES OR
CONFERRING ENTITLEMENT TO THE ALLOCATION
OF DEBT SECURITIES, AS WELL AS SECURITIES
GIVING ACCESS TO EQUITY SECURITIES TO BE
ISSUED, IN REMUNERATION OF CONTRIBUTIONS IN
KIND GRANTED TO THE COMPANY | Management | | For | | For | | |
| | 27 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
INCREASE THE SHARE CAPITAL BY
INCORPORATION OF PREMIUMS, RESERVES AND
PROFITS FOR A MAXIMUM NOMINAL AMOUNT OF
FIVE HUNDRED (500) MILLION EUROS | Management | | For | | For | | |
| | 28 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
INCREASE THE SHARE CAPITAL, WITHOUT PRE-
EMPTIVE SUBSCRIPTIONS RIGHTS FOR EXISTING
SHAREHOLDERS, IN FAVOUR OF EMPLOYEES WHO
ARE MEMBERS OF A COMPANY SAVINGS PLAN,
FOR A MAXIMUM NOMINAL AMOUNT OF THIRTY-
FIVE (35) MILLION EUROS | Management | | For | | For | | |
| | 29 | AUTHORISATION GRANTED TO THE BOARD OF
DIRECTORS FOR A PERIOD OF 26 MONTHS TO
ALLOCATE FREE NEW OR EXISTING SHARES TO
EMPLOYEES AND OFFICERS OF THE COMPANY
AND ITS SUBSIDIARIES, ENTAILING A WAIVER BY
EXISTING SHAREHOLDERS OF THEIR PRE-EMPTIVE
SUBSCRIPTION RIGHTS TO THE FREE SHARES TO
BE ISSUED, WITHIN A LIMIT OF 0.8% OF THE
CAPITAL | Management | | Against | | Against | | |
| | 30 | POWERS TO CARRY OUT FORMALITIES | Management | | For | | For | | |
| | QUEST DIAGNOSTICS INCORPORATED | | |
| | Security | 74834L100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DGX | | | | | | Meeting Date | 21-May-2021 | |
| | ISIN | US74834L1008 | | | | | | Agenda | 935378819 - Management |
| | Record Date | 22-Mar-2021 | | | | | | Holding Recon Date | 22-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 20-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1.1 | Election of Director: Vicky B. Gregg | Management | | For | | For | | |
| | 1.2 | Election of Director: Wright L. Lassiter III | Management | | For | | For | | |
| | 1.3 | Election of Director: Timothy L. Main | Management | | For | | For | | |
| | 1.4 | Election of Director: Denise M. Morrison | Management | | For | | For | | |
| | 1.5 | Election of Director: Gary M. Pfeiffer | Management | | For | | For | | |
| | 1.6 | Election of Director: Timothy M. Ring | Management | | For | | For | | |
| | 1.7 | Election of Director: Stephen H. Rusckowski | Management | | For | | For | | |
| | 1.8 | Election of Director: Helen I. Torley | Management | | For | | For | | |
| | 1.9 | Election of Director: Gail R. Wilensky | Management | | For | | For | | |
| | 2. | An advisory resolution to approve the executive officer
compensation disclosed in the Company's 2021 proxy
statement. | Management | | For | | For | | |
| | 3. | Ratification of the appointment of our independent
registered public accounting firm for 2021. | Management | | For | | For | | |
| | 4. | Stockholder proposal regarding the right to act by written
consent, if properly presented at the meeting. | Shareholder | | For | | Against | | |
| | THE ALLSTATE CORPORATION | | |
| | Security | 020002101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ALL | | | | | | Meeting Date | 25-May-2021 | |
| | ISIN | US0200021014 | | | | | | Agenda | 935387402 - Management |
| | Record Date | 26-Mar-2021 | | | | | | Holding Recon Date | 26-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 24-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Donald E. Brown | Management | | For | | For | | |
| | 1B. | Election of Director: Kermit R. Crawford | Management | | For | | For | | |
| | 1C. | Election of Director: Michael L. Eskew | Management | | For | | For | | |
| | 1D. | Election of Director: Richard T. Hume | Management | | For | | For | | |
| | 1E. | Election of Director: Margaret M. Keane | Management | | For | | For | | |
| | 1F. | Election of Director: Siddharth N. Mehta | Management | | For | | For | | |
| | 1G. | Election of Director: Jacques P. Perold | Management | | For | | For | | |
| | 1H. | Election of Director: Andrea Redmond | Management | | For | | For | | |
| | 1I. | Election of Director: Gregg M. Sherrill | Management | | For | | For | | |
| | 1J. | Election of Director: Judith A. Sprieser | Management | | For | | For | | |
| | 1K. | Election of Director: Perry M. Traquina | Management | | For | | For | | |
| | 1L. | Election of Director: Thomas J. Wilson | Management | | For | | For | | |
| | 2. | Advisory vote to approve the compensation of the named
executives. | Management | | For | | For | | |
| | 3. | Ratification of the appointment of Deloitte & Touche LLP
as Allstate's independent registered public accountant for
2021. | Management | | For | | For | | |
| | 4. | Shareholder proposal to amend proxy access. | Shareholder | | Against | | For | | |
| | VIACOMCBS INC. | | |
| | Security | 92556H206 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VIAC | | | | | | Meeting Date | 25-May-2021 | |
| | ISIN | US92556H2067 | | | | | | Agenda | 935392097 - Management |
| | Record Date | 26-Mar-2021 | | | | | | Holding Recon Date | 26-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 24-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | THE ENCLOSED MATERIALS HAVE BEEN SENT TO
YOU FOR INFORMATIONAL PURPOSES ONLY | Management | | For | | For | | |
| | PUBLICIS GROUPE SA | | |
| | Security | F7607Z165 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 26-May-2021 | |
| | ISIN | FR0000130577 | | | | | | Agenda | 713867212 - Management |
| | Record Date | 21-May-2021 | | | | | | Holding Recon Date | 21-May-2021 | |
| | City / | Country | PARIS | / | France | | | | | Vote Deadline Date | 19-May-2021 | |
| | SEDOL(s) | 4380429 - 4380548 - B28LGL1 -
BF44745 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | 13 APR 2021: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS (CDIs)-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIs TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIs WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIs WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE-
TRANSFERRING YOUR INSTRUCTED POSITION TO | Non-Voting | | | | | | |
| | | ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU. AND-
PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | | | | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | 07 MAY 2021: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202104092100836-43
AND-https://www.journal-
officiel.gouv.fr/balo/document/202105072101454-55
AND-PLEASE NOTE THAT THIS IS A REVISION DUE
TO MODIFICATION OF COMMENT AND DUE TO-
RECEIPT OF UPDATED BALO LINK. IF YOU HAVE
ALREADY SENT IN YOUR VOTES, PLEASE-DO NOT
VOTE AGAIN UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS.-THANK YOU | Non-Voting | | | | | | |
| | 1 | THE SHAREHOLDERS' MEETING, AFTER HAVING
REVIEWED THE REPORTS OF THE EXECUTIVE
COMMITTEE, THE SUPERVISORY BOARD AND THE
AUDITORS, APPROVES THE COMPANY'S FINANCIAL
STATEMENTS FOR THE FISCAL YEAR THAT ENDED
IN 2020, AS PRESENTED TO THE MEETING,
SHOWING EARNINGS AMOUNTING TO EUR
63,769,554.31 | Management | | For | | For | | |
| | 2 | THE SHAREHOLDERS' MEETING, AFTER HAVING
REVIEWED THE REPORTS OF THE EXECUTIVE
COMMITTEE, THE SUPERVISORY BOARD AND THE
AUDITORS, APPROVES THE CONSOLIDATED
FINANCIAL STATEMENTS FOR SAID FISCAL YEAR,
AS PRESENTED TO THE MEETING, SHOWING NET
EARNINGS AMOUNTING TO EUR 576,000,000.00
(GROUP SHARE) | Management | | For | | For | | |
| | 3 | THE SHAREHOLDERS' MEETING APPROVES THE
RECOMMENDATIONS OF THE EXECUTIVE
COMMITTEE AND RESOLVES TO ALLOCATE THE
EARNINGS FOR THE YEAR AS FOLLOWS: ORIGIN
EARNINGS: EUR 63,769,554.31 LEGAL RESERVE:
EUR (293,279.08) RETAINED EARNINGS: EUR
2,228,793.85 DISTRIBUTABLE INCOME: EUR
65,705,069.08 SHARE PREMIUM: EUR 429,833,006.92
ALLOCATION DIVIDENDS: EUR 495,538,076.00 (ON
THE BASIS OF 247,769,038 SHARES ON DECEMBER
31ST 2020) THE SHAREHOLDERS WILL BE GRANTED
A NET DIVIDEND OF EUR 2.00 PER SHARE THAT
WILL BE ELIGIBLE FOR THE 40 PERCENT
DEDUCTION PROVIDED BY THE FRENCH GENERAL
TAX CODE. THIS DIVIDEND WILL BE PAID ON JULY
6TH 2021. AS REQUIRED BY LAW, IT IS REMINDED
THAT, FOR THE LAST THREE FINANCIAL YEARS,
THE DIVIDENDS ELIGIBLE FOR THE 40 PERCENT
DEDUCTION PROVIDED BY THE FRENCH GENERAL
TAX CODE WERE PAID AS FOLLOWS: EUR 2.00 PER
SHARE FOR FISCAL YEAR 2017, EUR 2.12 PER
SHARE FOR FISCAL YEAR 2018, EUR 1.15 PER
SHARE FOR FISCAL YEAR 2019 | Management | | For | | For | | |
| | 4 | THE DIVIDEND PAYMENT WILL BE FULLY-PARTLY
CARRIED OUT EITHER IN CASH OR IN SHARES AS
PER THE FOLLOWING CONDITIONS: THE OPTION
WILL BE EFFECTIVE FROM JUNE 17TH TO JUNE
30TH 2021 (INCLUSIVE), THE SHAREHOLDERS WHO
HAVE NOT OPTED FOR A DIVIDEND PAYMENT IN
SHARES AT THE END OF THIS PERIOD, WILL BE
PAID IN CASH. IF THE AMOUNT OF THE DIVIDENDS
FOR WHICH THE OPTION IS EXERCISED DOES NOT
CORRESPOND TO A WHOLE NUMBER OF
SECURITIES, THE SHAREHOLDER WILL RECEIVE
THE NUMBER OF SHARES IMMEDIATELY HIGHER
AND WILL PAY THE DIFFERENCE IN CASH, OR THE
NUMBER OF SHARES IMMEDIATELY LOWER PLUS
AN AMOUNT IN CASH. THE DIVIDEND PAYMENT
WILL BE CARRIED OUT IN CASH OR IN SHARES ON
JULY 6TH 2021. THE SHAREHOLDERS' MEETING
DELEGATES ALL POWERS TO THE EXECUTIVE
COMMITTEE TO TAKE ALL NECESSARY MEASURES
AND ACCOMPLISH ALL NECESSARY FORMALITIES | Management | | For | | For | | |
| | 5 | THE SHAREHOLDERS' MEETING, AFTER REVIEWING
THE SPECIAL REPORT OF THE AUDITORS ON
AGREEMENTS GOVERNED BY ARTICLE L.225-86 ET
SEQ. OF THE FRENCH COMMERCIAL CODE, DULY
NOTES THE CONCLUSIONS OF SAID REPORT
WHICH INCLUDES NO NEW AGREEMENTS ENTERED
INTO DURING SAID FISCAL YEAR | Management | | For | | For | | |
| | 6 | THE SHAREHOLDERS' MEETING RENEWS THE
APPOINTMENT OF MR. MAURICE LEVY AS MEMBER
OF THE SUPERVISORY BOARD FOR A 4-YEAR
PERIOD, I.E. UNTIL THE SHAREHOLDERS' MEETING
CALLED TO RULE ON THE FINANCIAL STATEMENTS
FOR THE 2024 FISCAL YEAR | Management | | For | | For | | |
| | 7 | THE SHAREHOLDERS' MEETING RENEWS THE
APPOINTMENT OF MR. SIMON BADINTER AS
MEMBER OF THE SUPERVISORY BOARD FOR A 4-
YEAR PERIOD, I.E. UNTIL THE SHAREHOLDERS'
MEETING CALLED TO RULE ON THE FINANCIAL
STATEMENTS FOR THE 2024 FISCAL YEAR | Management | | For | | For | | |
| | 8 | THE SHAREHOLDERS' MEETING RENEWS THE
APPOINTMENT OF MR. JEAN CHAREST AS MEMBER
OF THE SUPERVISORY BOARD FOR A 4-YEAR
PERIOD, I.E. UNTIL THE SHAREHOLDERS' MEETING
CALLED TO RULE ON THE FINANCIAL STATEMENTS
FOR THE 2024 FISCAL YEAR | Management | | For | | For | | |
| | 9 | THE SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE
CHAIRMAN OF THE SUPERVISORY BOARD FOR THE
2021 FISCAL YEAR | Management | | Against | | Against | | |
| | 10 | THE SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE
MEMBERS OF THE SUPERVISORY BOARD FOR THE
2021 FISCAL YEAR | Management | | For | | For | | |
| | 11 | THE SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE
CHAIRMAN OF THE EXECUTIVE COMMITTEE FOR
THE 2021 FISCAL YEAR | Management | | For | | For | | |
| | 12 | THE SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE
MEMBER OF THE EXECUTIVE COMMITTEE, MR.
MICHEL-ALAIN PROCH, FOR THE 2021 FISCAL YEAR | Management | | For | | For | | |
| | 13 | THE SHAREHOLDERS' MEETING APPROVES THE
COMPENSATION POLICY APPLICABLE TO THE
MEMBERS OF THE EXECUTIVE COMMITTEE FOR
THE 2021 FISCAL YEAR | Management | | For | | For | | |
| | 14 | THE SHAREHOLDERS' MEETING APPROVES THE
INFORMATION RELATED TO THE COMPENSATION
FOR SAID FISCAL YEAR, IN ACCORDANCE WITH
THE ARTICLE L.22-10-9 OF THE FRENCH
COMMERCIAL CODE | Management | | For | | For | | |
| | 15 | THE SHAREHOLDERS' MEETING APPROVES THE
FIXED, VARIABLE AND ONE-OFF COMPONENTS OF
THE TOTAL COMPENSATION AS WELL AS THE
BENEFITS OR PERKS OF ANY KIND PAID OR
AWARDED TO THE CHAIRMAN OF THE
SUPERVISORY BOARD, MR. MAURICE LEVY, FOR
SAID FISCAL YEAR | Management | | Against | | Against | | |
| | 16 | THE SHAREHOLDERS' MEETING APPROVES THE
FIXED, VARIABLE AND ONE-OFF COMPONENTS OF
THE TOTAL COMPENSATION AS WELL AS THE
BENEFITS OR PERKS OF ANY KIND PAID OR
AWARDED TO THE CHAIRMAN OF THE EXECUTIVE
COMMITTEE, MR. ARTHUR SADOUN, FOR SAID
FISCAL YEAR | Management | | Against | | Against | | |
| | 17 | THE SHAREHOLDERS' MEETING APPROVES THE
FIXED, VARIABLE AND ONE-OFF COMPONENTS OF
THE TOTAL COMPENSATION AS WELL AS THE
BENEFITS OR PERKS OF ANY KIND PAID OR
AWARDED TO THE MEMBER OF THE EXECUTIVE
COMMITTEE, MR. JEAN-MICHEL ETIENNE, FOR SAID
FISCAL YEAR | Management | | For | | For | | |
| | 18 | THE SHAREHOLDERS' MEETING APPROVES THE
FIXED, VARIABLE AND ONE-OFF COMPONENTS OF
THE TOTAL COMPENSATION AS WELL AS THE
BENEFITS OR PERKS OF ANY KIND PAID OR
AWARDED TO THE MEMBER OF THE EXECUTIVE
COMMITTEE, MRS. ANNE-GARBIELLE
HEILBRONNER, FOR SAID FISCAL YEAR | Management | | For | | For | | |
| | 19 | THE SHAREHOLDERS' MEETING APPROVES THE
FIXED, VARIABLE AND ONE-OFF COMPONENTS OF
THE TOTAL COMPENSATION AS WELL AS THE
BENEFITS OR PERKS OF ANY KIND PAID OR
AWARDED TO THE MEMBER OF THE EXECUTIVE
COMMITTEE, MR. STEVE KING, FOR SAID FISCAL
YEAR | Management | | For | | For | | |
| | 20 | THE SHAREHOLDERS' MEETING AUTHORISES THE
EXECUTIVE COMMITTEE TO BUY BACK THE
COMPANY'S SHARES ON THE OPEN MARKET,
SUBJECT TO THE CONDITIONS DESCRIBED BELOW:
MAXIMUM PURCHASE PRICE: EUR 85.00, MAXIMUM
NUMBER OF SHARES TO BE ACQUIRED: 10
PERCENT OF THE SHARE CAPITAL, MAXIMUM
FUNDS INVESTED IN THE SHARE BUYBACKS: EUR
2,106,036,823.00. THE NUMBER OF SHARES
ACQUIRED BY THE COMPANY WITH A VIEW TO
RETAINING OR DELIVERING IN CASH OR IN AN
EXCHANGE AS PART OF A MERGER, DIVESTMENT
OR CAPITAL CONTRIBUTION CANNOT EXCEED 5
PERCENT OF ITS CAPITAL. THIS AUTHORISATION IS
GIVEN FOR AN 18-MONTH PERIOD AND
SUPERSEDES THE FRACTION UNUSED OF THE | Management | | For | | For | | |
| | | AUTHORISATION GIVEN BY THE SHAREHOLDERS'
MEETING OF MAY 27TH 2020 IN RESOLUTION NR,
20. THE SHAREHOLDERS' MEETING DELEGATES
ALL POWERS TO THE EXECUTIVE COMMITTEE TO
TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES | | | | | | | | | |
| | 21 | THE SHAREHOLDERS' MEETING GRANTS ALL
POWERS TO THE EXECUTIVE COMMITTEE TO
REDUCE THE SHARE CAPITAL, ON ONE OR MORE
OCCASIONS, BY CANCELLING ALL OR PART OF THE
SHARES HELD BY THE COMPANY IN CONNECTION
WITH THE STOCK REPURCHASE PLANS
AUTHORISED BY THE SHAREHOLDERS' MEETING
UNDER ARTICLE L.22-10-62 OF THE FRENCH
COMMERCIAL CODE, IN PARTICULAR UNDER
PREVIOUS RESOLUTION NUMBER 20, UP TO A
MAXIMUM OF 10 PERCENT OF THE SHARE CAPITAL
OVER A 24-MONTH PERIOD. THIS AUTHORISATION
IS GIVEN FOR A 26-MONTH PERIOD AND
SUPERSEDES THE FRACTION UNUSED OF THE
AUTHORISATION GIVEN BY THE SHAREHOLDERS'
MEETING OF MAY 29TH 2019 IN RESOLUTION NR,
23. THE SHAREHOLDERS' MEETING DELEGATES
ALL POWERS TO THE EXECUTIVE COMMITTEE TO
TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES | Management | | For | | For | | |
| | 22 | THE SHAREHOLDERS' MEETING AUTHORISES THE
EXECUTIVE COMMITTEE TO GRANT, FOR FREE, ON
ONE OR MORE OCCASIONS, EXISTING OR FUTURE
ORDINARY SHARES, IN FAVOUR OF THE
BENEFICIARIES TO BE CHOSEN AMONG THE
EMPLOYEES OR CERTAIN AMONG THEM, OR
CERTAIN CATEGORIES OF EMPLOYEES, AND-OR
THE EXECUTIVE CORPORATE OFFICERS OF THE
COMPANY OR RELATED COMPANIES OR
ECONOMIC INTEREST GROUPS. THEY MAY NOT
REPRESENT MORE THAN 3 PERCENT OF THE
SHARE CAPITAL, GIVEN THAT THE NUMBER OF
SHARES ALLOCATED TO THE EXECUTIVE
CORPORATE OFFICERS SHALL NOT EXCEED 0.3
PERCENT OF THE SHARE CAPITAL. THE PRESENT
DELEGATION IS GIVEN FOR A 38-MONTH PERIOD
AND SUPERSEDES THE FRACTION UNUSED OF THE
AUTHORISATION GIVEN BY THE SHAREHOLDERS'
MEETING OF MAY 30TH 2018 IN RESOLUTION NR,
27. THE SHAREHOLDERS' MEETING DELEGATES
ALL POWERS TO THE EXECUTIVE COMMITTEE TO
TAKE ALL NECESSARY MEASURES AND
ACCOMPLISH ALL NECESSARY FORMALITIES | Management | | For | | For | | |
| | 23 | THE SHAREHOLDERS' MEETING AUTHORISES THE
EXECUTIVE COMMITTEE TO INCREASE THE SHARE
CAPITAL, ON ONE OR MORE OCCASIONS, AT ITS
SOLE DISCRETION, UP TO A MAXIMUM NOMINAL
AMOUNT OF EUR 2,800,000.00, IN FAVOUR OF
MEMBERS OF A COMPANY SAVINGS PLAN OF THE
COMPANY OR RELATED COMPANIES, WITH | Management | | For | | For | | |
| | | CANCELLATION OF PREFERENTIAL SUBSCRIPTION
RIGHTS, BY ISSUANCE OF ORDINARY SHARES OR
ANY SECURITIES GIVING ACCESS TO ORDINARY
SHARES TO BE ISSUED BY THE COMPANY OR ONE
OF ITS SUBSIDIARIES (PREFERENCE SHARES AND
SECURITIES GIVING ACCESS TO PREFERENCE
SHARES EXCLUDED). THIS AMOUNT SHALL COUNT
AGAINST THE OVERALL VALUE OF EUR
30,000,000.00 SET FORTH IN RESOLUTION NUMBER
21 ADOPTED BY THE MEETING OF MAY 27TH 2020
OR IN RESOLUTIONS OF THE SAME KIND WHICH
COULD POSSIBLY REPLACE SAID RESOLUTIONS
DURING THIS DELEGATION'S VALIDITY. THIS
DELEGATION, GIVEN FOR 26 MONTHS,
SUPERSEDES THE AUTHORISATION GIVEN BY THE
MEETING OF MAY 27TH 2020 IN RESOLUTION NR,
29. THE SHAREHOLDERS' MEETING DELEGATES
ALL POWERS TO THE EXECUTIVE COMMITTEE | | | | | | | | | |
| | 24 | THE MEETING AUTHORISES THE EXECUTIVE
COMMITTEE TO INCREASE THE CAPITAL UP TO EUR
2,800,000.00, BY ISSUANCE OF ORDINARY SHARES
OR SECURITIES GIVING ACCESS TO ORDINARY
SHARES TO BE ISSUED BY THE COMPANY OR ONE
OF ITS SUBSIDIARIES OR GIVING RIGHT TO THE
ALLOCATION OF DEBT SECURITIES (PREFERENCE
SHARES AND SECURITIES GIVING ACCESS TO
PREFERENCE SHARES EXCLUDED), WITH
CANCELLATION OF PREFERENTIAL SUBSCRIPTION
RIGHTS IN FAVOUR OF BENEFICIARIES TO BE
CHOSEN AMONG GROUP'S EMPLOYEES OR
CORPORATE OFFICERS, OPCVM OR ENTITIES OF
EMPLOYEE SHAREHOLDING THAT HOLDS
COMPANY'S SHARES AND WHOSE SHAREHOLDERS
ARE PERSONS MENTIONED ABOVE, FINANCIAL
INSTITUTIONS OR SUBSIDIARIES ACTING ON THE
COMPANY'S REQUEST TO IMPLEMENT A
SHAREHOLDING OR SAVINGS PLAN IN FAVOUR OF
PERSONS MENTIONED ABOVE. THIS AMOUNT
SHALL COUNT AGAINST THE OVERALL VALUE SET
FORTH IN RESOLUTION NR 21 ADOPTED BY THE
MEETING OF MAY 27TH 2020. DELEGATION GIVEN
FOR 18 MONTHS, SUPERSEDED THE
AUTHORISATION GIVEN BY THE MEETING OF MAY
27TH 2020 IN RESOLUTION NR 30 | Management | | For | | For | | |
| | 25 | THE SHAREHOLDERS' MEETING RESOLVES TO
BRING THE ARTICLES OF THE BYLAWS INTO
CONFORMITY WITH THE LEGAL AND REGULATORY
PROVISIONS, SUBJECT TO THE RATIFICATION OF
THESE AMENDMENTS BY THE NEXT
EXTRAORDINARY SHAREHOLDERS' MEETING | Management | | For | | For | | |
| | 26 | THE SHAREHOLDERS' MEETING GRANTS FULL
POWERS TO THE BEARER OF AN ORIGINAL, A COPY
OR EXTRACT OF THE MINUTES OF THIS MEETING
TO CARRY OUT ALL FILINGS, PUBLICATIONS AND
OTHER FORMALITIES PRESCRIBED BY LAW | Management | | For | | For | | |
| | HYDRO ONE LTD | | |
| | Security | 448811208 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 26-May-2021 | |
| | ISIN | CA4488112083 | | | | | | Agenda | 713900872 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | VIRTUAL | / | Canada | | | | | Vote Deadline Date | 20-May-2021 | |
| | SEDOL(s) | BN92LP9 - BYNH2K9 - BYYXJY9 -
BZCDDG8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE
ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY
FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN'
ONLY FOR RESOLUTION NUMBERS-1.A TO 1.K AND
2. THANK YOU | Non-Voting | | | | | | |
| | 1.A | ELECTION OF DIRECTOR: CHERIE BRANT | Management | | For | | For | | |
| | 1.B | ELECTION OF DIRECTOR: BLAIR COWPER-SMITH | Management | | For | | For | | |
| | 1.C | ELECTION OF DIRECTOR: DAVID HAY | Management | | For | | For | | |
| | 1.D | ELECTION OF DIRECTOR: TIMOTHY HODGSON | Management | | For | | For | | |
| | 1.E | ELECTION OF DIRECTOR: JESSICA MCDONALD | Management | | For | | For | | |
| | 1.F | ELECTION OF DIRECTOR: STACEY MOWBRAY | Management | | For | | For | | |
| | 1.G | ELECTION OF DIRECTOR: MARK POWESKA | Management | | For | | For | | |
| | 1.H | ELECTION OF DIRECTOR: RUSSEL ROBERTSON | Management | | For | | For | | |
| | 1.I | ELECTION OF DIRECTOR: WILLIAM SHEFFIELD | Management | | For | | For | | |
| | 1.J | ELECTION OF DIRECTOR: MELISSA SONBERG | Management | | For | | For | | |
| | 1.K | ELECTION OF DIRECTOR: SUSAN WOLBURGH
JENAH | Management | | For | | For | | |
| | 2 | APPOINT KPMG LLP AS EXTERNAL AUDITORS FOR
THE ENSUING YEAR AND AUTHORIZE THE
DIRECTORS TO FIX THEIR REMUNERATION | Management | | For | | For | | |
| | 3 | ADVISORY RESOLUTION ON HYDRO ONE LIMITED'S
APPROACH TO EXECUTIVE COMPENSATION | Management | | For | | For | | |
| | ANTHEM, INC. | | |
| | Security | 036752103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ANTM | | | | | | Meeting Date | 26-May-2021 | |
| | ISIN | US0367521038 | | | | | | Agenda | 935387488 - Management |
| | Record Date | 22-Mar-2021 | | | | | | Holding Recon Date | 22-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 25-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1.1 | Election of Director: Lewis Hay, III | Management | | For | | For | | |
| | 1.2 | Election of Director: Antonio F. Neri | Management | | For | | For | | |
| | 1.3 | Election of Director: Ramiro G. Peru | Management | | For | | For | | |
| | 2. | Advisory vote to approve the compensation of our named
executive officers. | Management | | For | | For | | |
| | 3. | To ratify the appointment of Ernst & Young LLP as the
independent registered public accounting firm for 2021. | Management | | For | | For | | |
| | MEDICAL PROPERTIES TRUST, INC. | | |
| | Security | 58463J304 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MPW | | | | | | Meeting Date | 26-May-2021 | |
| | ISIN | US58463J3041 | | | | | | Agenda | 935430239 - Management |
| | Record Date | 29-Mar-2021 | | | | | | Holding Recon Date | 29-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 25-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Edward K. Aldag, Jr. | Management | | For | | For | | |
| | 1B. | Election of Director: G. Steven Dawson | Management | | For | | For | | |
| | 1C. | Election of Director: R. Steven Hamner | Management | | For | | For | | |
| | 1D. | Election of Director: Caterina A. Mozingo | Management | | For | | For | | |
| | 1E. | Election of Director: Elizabeth N. Pitman | Management | | For | | For | | |
| | 1F. | Election of Director: C. Reynolds Thompson, III | Management | | For | | For | | |
| | 1G. | Election of Director: D. Paul Sparks, Jr. | Management | | For | | For | | |
| | 1H. | Election of Director: Michael G. Stewart | Management | | For | | For | | |
| | 2. | To ratify the appointment of PricewaterhouseCoopers
LLP as independent registered public accounting firm for
the fiscal year ending December 31, 2021. | Management | | For | | For | | |
| | 3. | Non-binding, advisory approval of the Company's
executive compensation. | Management | | For | | For | | |
| | SEVEN & I HOLDINGS CO.,LTD. | | |
| | Security | J7165H108 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 27-May-2021 | |
| | ISIN | JP3422950000 | | | | | | Agenda | 713987569 - Management |
| | Record Date | 28-Feb-2021 | | | | | | Holding Recon Date | 28-Feb-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 25-May-2021 | |
| | SEDOL(s) | B0FS5D6 - B0J9LH1 - B0L4N67 | | | | Quick Code | 33820 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Isaka, Ryuichi | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Goto, Katsuhiro | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Ito, Junro | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Yamaguchi, Kimiyoshi | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Maruyama, Yoshimichi | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Nagamatsu, Fumihiko | Management | | Against | | Against | | |
| | 2.7 | Appoint a Director Kimura, Shigeki | Management | | Against | | Against | | |
| | 2.8 | Appoint a Director Joseph Michael DePinto | Management | | Against | | Against | | |
| | 2.9 | Appoint a Director Tsukio, Yoshio | Management | | For | | For | | |
| | 2.10 | Appoint a Director Ito, Kunio | Management | | For | | For | | |
| | 2.11 | Appoint a Director Yonemura, Toshiro | Management | | For | | For | | |
| | 2.12 | Appoint a Director Higashi, Tetsuro | Management | | For | | For | | |
| | 2.13 | Appoint a Director Kazuko Rudy | Management | | For | | For | | |
| | 3 | Appoint a Corporate Auditor Habano, Noriyuki | Management | | For | | For | | |
| | LYONDELLBASELL INDUSTRIES N.V. | | |
| | Security | N53745100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LYB | | | | | | Meeting Date | 28-May-2021 | |
| | ISIN | NL0009434992 | | | | | | Agenda | 935393518 - Management |
| | Record Date | 30-Mar-2021 | | | | | | Holding Recon Date | 30-Mar-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 26-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Jacques Aigrain | Management | | For | | For | | |
| | 1B. | Election of Director: Lincoln Benet | Management | | For | | For | | |
| | 1C. | Election of Director: Jagjeet (Jeet) Bindra | Management | | For | | For | | |
| | 1D. | Election of Director: Robin Buchanan | Management | | For | | For | | |
| | 1E. | Election of Director: Anthony (Tony) Chase | Management | | For | | For | | |
| | 1F. | Election of Director: Stephen Cooper | Management | | For | | For | | |
| | 1G. | Election of Director: Nance Dicciani | Management | | For | | For | | |
| | 1H. | Election of Director: Robert (Bob) Dudley | Management | | For | | For | | |
| | 1I. | Election of Director: Claire Farley | Management | | For | | For | | |
| | 1J. | Election of Director: Michael Hanley | Management | | For | | For | | |
| | 1K. | Election of Director: Albert Manifold | Management | | For | | For | | |
| | 1L. | Election of Director: Bhavesh (Bob) Patel | Management | | For | | For | | |
| | 2. | Discharge of Directors from Liability. | Management | | For | | For | | |
| | 3. | Adoption of 2020 Dutch Statutory Annual Accounts. | Management | | For | | For | | |
| | 4. | Appointment of PricewaterhouseCoopers Accountants
N.V. as the Auditor of our 2021 Dutch Statutory Annual
Accounts. | Management | | For | | For | | |
| | 5. | Ratification of PricewaterhouseCoopers LLP as our
Independent Registered Public Accounting Firm. | Management | | For | | For | | |
| | 6. | Advisory Vote Approving Executive Compensation (Say-
on-Pay). | Management | | For | | For | | |
| | 7. | Authorization to Conduct Share Repurchases. | Management | | For | | For | | |
| | 8. | Cancellation of Shares. | Management | | For | | For | | |
| | 9. | Amendment and Restatement of Long Term Incentive
Plan. | Management | | For | | For | | |
| | 10. | Amendment and Restatement of Employee Stock
Purchase Plan. | Management | | For | | For | | |
| | LYONDELLBASELL INDUSTRIES N.V. | | |
| | Security | N53745100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LYB | | | | | | Meeting Date | 28-May-2021 | |
| | ISIN | NL0009434992 | | | | | | Agenda | 935432815 - Management |
| | Record Date | 30-Apr-2021 | | | | | | Holding Recon Date | 30-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 26-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Jacques Aigrain | Management | | For | | For | | |
| | 1B. | Election of Director: Lincoln Benet | Management | | For | | For | | |
| | 1C. | Election of Director: Jagjeet (Jeet) Bindra | Management | | For | | For | | |
| | 1D. | Election of Director: Robin Buchanan | Management | | For | | For | | |
| | 1E. | Election of Director: Anthony (Tony) Chase | Management | | For | | For | | |
| | 1F. | Election of Director: Stephen Cooper | Management | | For | | For | | |
| | 1G. | Election of Director: Nance Dicciani | Management | | For | | For | | |
| | 1H. | Election of Director: Robert (Bob) Dudley | Management | | For | | For | | |
| | 1I. | Election of Director: Claire Farley | Management | | For | | For | | |
| | 1J. | Election of Director: Michael Hanley | Management | | For | | For | | |
| | 1K. | Election of Director: Albert Manifold | Management | | For | | For | | |
| | 1L. | Election of Director: Bhavesh (Bob) Patel | Management | | For | | For | | |
| | 2. | Discharge of Directors from Liability. | Management | | For | | For | | |
| | 3. | Adoption of 2020 Dutch Statutory Annual Accounts. | Management | | For | | For | | |
| | 4. | Appointment of PricewaterhouseCoopers Accountants
N.V. as the Auditor of our 2021 Dutch Statutory Annual
Accounts. | Management | | For | | For | | |
| | 5. | Ratification of PricewaterhouseCoopers LLP as our
Independent Registered Public Accounting Firm. | Management | | For | | For | | |
| | 6. | Advisory Vote Approving Executive Compensation (Say-
on-Pay). | Management | | For | | For | | |
| | 7. | Authorization to Conduct Share Repurchases. | Management | | For | | For | | |
| | 8. | Cancellation of Shares. | Management | | For | | For | | |
| | 9. | Amendment and Restatement of Long Term Incentive
Plan. | Management | | For | | For | | |
| | 10. | Amendment and Restatement of Employee Stock
Purchase Plan. | Management | | For | | For | | |
| | COGNIZANT TECHNOLOGY SOLUTIONS CORPORATION | | |
| | Security | 192446102 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CTSH | | | | | | Meeting Date | 01-Jun-2021 | |
| | ISIN | US1924461023 | | | | | | Agenda | 935406973 - Management |
| | Record Date | 05-Apr-2021 | | | | | | Holding Recon Date | 05-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 28-May-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director to serve until the 2022 annual
meeting: Zein Abdalla | Management | | For | | For | | |
| | 1B. | Election of Director to serve until the 2022 annual
meeting: Vinita Bali | Management | | For | | For | | |
| | 1C. | Election of Director to serve until the 2022 annual
meeting: Maureen Breakiron-Evans | Management | | For | | For | | |
| | 1D. | Election of Director to serve until the 2022 annual
meeting: Archana Deskus | Management | | For | | For | | |
| | 1E. | Election of Director to serve until the 2022 annual
meeting: John M. Dineen | Management | | For | | For | | |
| | 1F. | Election of Director to serve until the 2022 annual
meeting: Brian Humphries | Management | | For | | For | | |
| | 1G. | Election of Director to serve until the 2022 annual
meeting: Leo S. Mackay, Jr. | Management | | For | | For | | |
| | 1H. | Election of Director to serve until the 2022 annual
meeting: Michael Patsalos-Fox | Management | | For | | For | | |
| | 1I. | Election of Director to serve until the 2022 annual
meeting: Joseph M. Velli | Management | | For | | For | | |
| | 1J. | Election of Director to serve until the 2022 annual
meeting: Sandra S. Wijnberg | Management | | For | | For | | |
| | 2. | Approve, on an advisory (non-binding) basis, the
compensation of the company's named executive
officers. | Management | | For | | For | | |
| | 3. | Ratify the appointment of PricewaterhouseCoopers LLP
as the company's independent registered public
accounting firm for the year ending December 31, 2021. | Management | | For | | For | | |
| | 4. | Shareholder proposal requesting that the board of
directors take action as necessary to permit shareholder
action by written consent. | Shareholder | | Against | | For | | |
| | GODADDY INC. | | |
| | Security | 380237107 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GDDY | | | | | | Meeting Date | 02-Jun-2021 | |
| | ISIN | US3802371076 | | | | | | Agenda | 935402646 - Management |
| | Record Date | 12-Apr-2021 | | | | | | Holding Recon Date | 12-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 01-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Herald Y. Chen | | | | For | | For | | |
| | | 2 | Brian H. Sharples | | | | For | | For | | |
| | | 3 | Leah Sweet | | | | For | | For | | |
| | 2. | Ratification of the appointment of Ernst & Young LLP as
our independent registered public accounting firm for the
fiscal year ending December 31, 2021. | Management | | For | | For | | |
| | 3. | To approve named executive officer compensation in a
non-binding advisory vote. | Management | | For | | For | | |
| | COMPAGNIE DE SAINT-GOBAIN SA | | |
| | Security | F80343100 | | | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | | | Meeting Date | 03-Jun-2021 | |
| | ISIN | FR0000125007 | | | | | | Agenda | 713823549 - Management |
| | Record Date | 31-May-2021 | | | | | | Holding Recon Date | 31-May-2021 | |
| | City / | Country | TBD | / | France | | | | | Vote Deadline Date | 25-May-2021 | |
| | SEDOL(s) | 3166813 - 7380482 - 7380545 -
7380716 - 7381377 - 7448250 -
BF447R8 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING | Non-Voting | | | | | | |
| | | YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU. | | | | | | | | | |
| | CMMT | PLEASE NOTE THAT DUE TO THE CURRENT
COVID19 CRISIS AND IN ACCORDANCE WITH THE-
PROVISIONS ADOPTED BY THE FRENCH
GOVERNMENT UNDER LAW NO. 2020-1379 OF-
NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY
LAW NO 2020-1614 OF DECEMBER 18,-2020 THE
GENERAL MEETING WILL TAKE PLACE BEHIND
CLOSED DOORS WITHOUT THE-PHYSICAL
PRESENCE OF THE SHAREHOLDERS. TO COMPLY
WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY
REQUESTS TO ATTEND THE MEETING IN PERSON.
SHOULD THIS-SITUATION CHANGE, THE COMPANY
ENCOURAGES ALL SHAREHOLDERS TO
REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | | | | | | |
| | CMMT | 03 MAY 2021: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202104282101234-51
AND-PLEASE NOTE THAT THIS IS A REVISION DUE
TO CHANGE IN MEETING TYPE FROM EGM TO-MIX
AND RECEIPT OF UPDATED BALO LINK. IF YOU
HAVE ALREADY SENT IN YOUR VOTES,-FOR MID:
548001 PLEASE DO NOT VOTE AGAIN UNLESS YOU
DECIDE TO AMEND YOUR-ORIGINAL
INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 539254 DUE TO RECEIVED-CHANGE IN
THE NUMBERING OF THE RESOLUTIONS. ALL
VOTES RECEIVED ON THE-PREVIOUS MEETING
WILL BE DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS-MEETING NOTICE. THANK
YOU | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | 1 | APPROVAL OF THE CORPORATE FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 31
DECEMBER 2020 | Management | | For | | For | | |
| | 3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR
ENDED 31 DECEMBER 2020 AND SETTING OF THE
DIVIDEND | Management | | For | | For | | |
| | 4 | APPOINTMENT OF MR. BENOIT BAZIN AS DIRECTOR | Management | | For | | For | | |
| | 5 | RENEWAL OF THE TERM OF OFFICE OF MRS.
PAMELA KNAPP AS DIRECTOR | Management | | For | | For | | |
| | 6 | RENEWAL OF THE TERM OF OFFICE OF MRS.
AGNES LEMARCHAND AS DIRECTOR | Management | | For | | For | | |
| | 7 | RENEWAL OF THE TERM OF OFFICE OF MR. GILLES
SCHNEPP AS DIRECTOR | Management | | For | | For | | |
| | 8 | RENEWAL OF THE TERM OF OFFICE OF MRS.
SIBYLLE DAUNIS AS DIRECTOR REPRESENTING
EMPLOYEE SHAREHOLDERS | Management | | For | | For | | |
| | 9 | APPROVAL OF THE COMPENSATION ELEMENTS
PAID DURING THE FINANCIAL YEAR 2020 OR
ALLOCATED FOR THE SAME FINANCIAL YEAR TO
MR. PIERRE-ANDRE DE CHALENDAR, CHAIRMAN
AND CHIEF EXECUTIVE OFFICER | Management | | Against | | Against | | |
| | 10 | APPROVAL OF THE COMPENSATION ELEMENTS
PAID DURING THE FINANCIAL YEAR 2020 OR
ALLOCATED FOR THE SAME FINANCIAL YEAR TO
MR. BENOIT BAZIN, DEPUTY CHIEF EXECUTIVE
OFFICER | Management | | Against | | Against | | |
| | 11 | APPROVAL OF THE INFORMATION RELATING TO
THE COMPENSATION OF CORPORATE OFFICERS
MENTIONED IN SECTION I OF ARTICLE L.22-10-9 OF
THE FRENCH COMMERCIAL CODE AND INCLUDED
IN THE CORPORATE GOVERNANCE REPORT | Management | | For | | For | | |
| | 12 | APPROVAL OF THE COMPENSATION POLICY
ELEMENTS OF THE CHAIRMAN AND CHIEF
EXECUTIVE OFFICER FOR 2021 (UNTIL 30 JUNE 2021
INCLUSIVE) | Management | | For | | For | | |
| | 13 | APPROVAL OF THE COMPENSATION POLICY
ELEMENTS OF THE DEPUTY CHIEF EXECUTIVE
OFFICER FOR 2021 (UNTIL 30 JUNE 2021 INCLUSIVE | Management | | For | | For | | |
| | 14 | APPROVAL OF THE COMPENSATION POLICY
ELEMENTS OF THE CHIEF EXECUTIVE OFFICER
FOR 2021 (AS OF THE 1ST JULY 2021) | Management | | For | | For | | |
| | 15 | APPROVAL OF THE COMPENSATION POLICY
ELEMENTS OF THE CHAIRMAN OF THE BOARD OF
DIRECTORS FOR 2021(AS OF THE 1ST JULY 2021) | Management | | For | | For | | |
| | 16 | APPROVAL OF THE COMPENSATION POLICY
ELEMENTS OF DIRECTORS FOR 2021 | Management | | For | | For | | |
| | 17 | AUTHORIZATION FOR THE BOARD OF DIRECTORS
TO TRADE IN THE COMPANY'S SHARES | Management | | For | | For | | |
| | 18 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED WITH AN INCREASE IN
THE SHARE CAPITAL, BY ISSUING, WITH
RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION
RIGHT, SHARES OF THE COMPANY OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE CAPITAL OF THE COMPANY OR OF
SUBSIDIARIES, BY THE ISSUE OF NEW SHARES,
FOR A MAXIMUM NOMINAL AMOUNT OF FOUR
HUNDRED AND TWENTY-SIX MILLION EUROS
(SHARES), EXCLUDING ANY ADJUSTMENTS I.E.
APPROXIMATELY 20% OF THE SHARE CAPITAL,
WITH THE AMOUNTS SET OUT IN THE NINETEENTH,
THE TWENTIETH, THE TWENTY-FIRST, THE
TWENTY-SECOND AND THE TWENTY-THIRD
RESOLUTIONS BEING DEDUCTED FROM THIS
AMOUNT AND ONE AND A HALF BILLION EUROS
(TRANSFERABLE SECURITIES IN THE FORM OF
DEBT SECURITIES GRANTING ACCESS TO THE
CAPITAL OF THE COMPANY OR OF SUBSIDIARIES),
WITH IMPUTATION ON THIS AMOUNT OF THOSE
SET OUT IN THE NINETEENTH, THE TWENTIETH
AND THE TWENTY-FIRST RESOLUTIONS FOR THE
ISSUE OF TRANSFERABLE SECURITIES IN THE
FORM OF DEBT SECURITIES GRANTING ACCESS TO
THE CAPITAL OF THE COMPANY OR OF
SUBSIDIARIES | Management | | For | | For | | |
| | 19 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED, WITH CANCELLATION OF
THE PRE-EMPTIVE SUBSCRIPTION RIGHT BUT WITH
THE POSSIBILITY OF GRANTING A PRIORITY
PERIOD FOR SHAREHOLDERS, BY A PUBLIC
OFFERING OTHER THAN THOSE REFERRED TO IN
ARTICLE L.411-2 OF THE FRENCH MONETARY AND
FINANCIAL CODE, WITH THE ISSUE OF SHARES OF
THE COMPANY OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL OF THE
COMPANY OR OF ITS SUBSIDIARIES BY THE ISSUE
OF NEW SHARES, OR NEW SHARES OF THE
COMPANY TO WHICH WOULD GRANT ENTITLEMENT
TO TRANSFERABLE SECURITIES TO BE ISSUED, IF
ANY, BY SUBSIDIARIES, FOR A MAXIMUM NOMINAL
AMOUNT OF TWO HUNDRED AND THIRTEEN
MILLION EUROS (SHARES), EXCLUDING ANY
ADJUSTMENTS, I.E., APPROXIMATELY 10% OF THE
SHARE CAPITAL, WITH IMPUTATION ON THIS
AMOUNT OF THOSE SET OUT IN THE TWENTIETH,
THE TWENTY-FIRST AND THE TWENTY-SECOND
RESOLUTIONS, AND ONE AND A HALF BILLION
EUROS (TRANSFERABLE SECURITIES IN THE FORM
OF DEBT SECURITIES GRANTING ACCESS TO THE
CAPITAL OF THE COMPANY OR OF SUBSIDIARIES)
WITH IMPUTATION ON THIS AMOUNT OF THOSE
SET OUT IN THE TWENTIETH, THE TWENTY-FIRST
AND THE TWENTY-SECOND RESOLUTIONS FOR
THE ISSUE OF TRANSFERABLE SECURITIES IN THE | Management | | For | | For | | |
| | | FORM OF DEBT SECURITIES GRANTING ACCESS TO
THE CAPITAL OF THE COMPANY OR OF
SUBSIDIARIES, THE AMOUNTS OF THE CAPITAL
INCREASE AND THE ISSUE OF DEBT SECURITIES
TO BE DEDUCTED FROM THE CORRESPONDING
CEILINGS SET IN THE EIGHTEENTH RESOLUTION | | | | | | | | | |
| | 20 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED WITH THE ISSUE, WITH
CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHTS, OF SHARES OF THE
COMPANY OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL OF THE
COMPANY OR OF SUBSIDIARIES BY THE ISSUE OF
NEW SHARES, OR OF NEW SHARES OF THE
COMPANY TO WHICH WOULD GRANT ENTITLEMENT
TO TRANSFERABLE SECURITIES TO BE ISSUED BY
SUBSIDIARIES, IF ANY, BY WAY OF A PUBLIC
OFFERING AS REFERRED TO IN SECTION 1 OF
ARTICLE L.411-2 OF THE FRENCH MONETARY AND
FINANCIAL CODE, FOR A MAXIMUM NOMINAL
AMOUNT OF TWO HUNDRED AND THIRTEEN
MILLION EUROS (SHARES) EXCLUDING ANY
ADJUSTMENTS, I.E., APPROXIMATELY 10% OF THE
SHARE CAPITAL, AND OF ONE AND A HALF BILLION
EUROS (TRANSFERABLE SECURITIES IN THE FORM
OF DEBT SECURITIES GRANTING ACCESS TO THE
CAPITAL OF THE COMPANY OR OF SUBSIDIARIES),
THE AMOUNTS OF THE CAPITAL INCREASE AND
THE ISSUE OF DEBT SECURITIES TO BE DEDUCTED
FROM THE CORRESPONDING CEILINGS SET IN THE
NINETEENTH RESOLUTION | Management | | For | | For | | |
| | 21 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO INCREASE THE NUMBER OF
SECURITIES TO BE ISSUED IN THE EVENT OF
OVERSUBSCRIPTION DURING THE ISSUE, WITH OR
WITHOUT PRE-EMPTIVE SUBSCRIPTION RIGHTS, OF
SHARES OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL, WITHIN THE
LEGAL AND REGULATORY LIMITS (15% OF THE
INITIAL ISSUES AS OF THE DATE OF THIS MEETING)
AND WITHIN THE CORRESPONDING CEILINGS SET
BY THE RESOLUTIONS THAT DECIDED ON THE
INITIAL ISSUE | Management | | For | | For | | |
| | 22 | POSSIBILITY TO PROCEED WITH A CAPITAL
INCREASE, WITH CANCELLATION OF THE PRE-
EMPTIVE SUBSCRIPTION RIGHT, WITHIN THE LIMIT
OF 10% OF THE SHARE CAPITAL, EXCLUDING ANY
ADJUSTMENT, IN ORDER TO REMUNERATE
CONTRIBUTIONS IN KIND CONSISTING OF EQUITY
SECURITIES OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL, THE
AMOUNTS OF THE CAPITAL INCREASE AND OF THE
TRANSFERABLE SECURITIES TO BE ISSUED TO BE
DEDUCTED FROM THE CEILING SET IN THE
NINETEENTH RESOLUTION | Management | | For | | For | | |
| | 23 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED WITH AN INCREASE IN
THE SHARE CAPITAL BY INCORPORATION OF
PREMIUMS, RESERVES, PROFITS OR OTHERS, FOR
A MAXIMUM NOMINAL AMOUNT OF ONE HUNDRED
AND SIX MILLION EUROS EXCLUDING ANY
ADJUSTMENTS, I.E., APPROXIMATELY 5% OF THE
SHARE CAPITAL, THIS AMOUNT TO BE DEDUCTED
FROM THE CEILING SET IN THE EIGHTEENTH
RESOLUTION | Management | | For | | For | | |
| | 24 | AUTHORIZATION TO BE GRANTED TO THE BOARD
OF DIRECTORS TO SET, IN ACCORDANCE WITH THE
TERMS AND CONDITIONS DETERMINED BY THE
GENERAL MEETING, THE ISSUE PRICE BY THE
COMPANY OF SHARES OR TRANSFERABLE
SECURITIES GRANTING ACCESS TO THE CAPITAL,
BY WAY OF A PUBLIC OFFERING WITH
CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT, WITHIN THE LIMIT OF 10%
OF THE SHARE CAPITAL PER 12-MONTH PERIOD | Management | | For | | For | | |
| | 25 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED WITH ISSUES OF EQUITY
SECURITIES RESERVED FOR MEMBERS OF
EMPLOYEE SAVINGS PLANS, WITH CANCELLATION
OF THE PRE-EMPTIVE RIGHT OF SUBSCRIPTION,
FOR A MAXIMUM NOMINAL AMOUNT OF FIFTY-TWO
MILLION EUROS, EXCLUDING ANY ADJUSTMENTS,
I.E. APPROXIMATELY 2.4% OF THE SHARE CAPITAL | Management | | Against | | Against | | |
| | 26 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO
REDUCE THE SHARE CAPITAL BY CANCELLING
SHARES REPRESENTING UP TO 10% OF THE
COMPANY'S CAPITAL PER 24-MONTHS PERIOD | Management | | For | | For | | |
| | 27 | POWERS FOR THE EXECUTION OF THE DECISIONS
OF THE MEETING AND FOR FORMALITIES | Management | | For | | For | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | ADYEN N.V. | | |
| | Security | N3501V104 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 03-Jun-2021 | |
| | ISIN | NL0012969182 | | | | | | Agenda | 713974219 - Management |
| | Record Date | 06-May-2021 | | | | | | Holding Recon Date | 06-May-2021 | |
| | City / | Country | TBD | / | Netherlands | | | | | Vote Deadline Date | 26-May-2021 | |
| | SEDOL(s) | BFYT900 - BJK3KP6 - BYVR1Y8 -
BZ1HM42 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1. | OPENING AND ANNOUNCEMENTS | Non-Voting | | | | | | |
| | 2. | ANNUAL REPORT; MANAGEMENT BOARD
REMUNERATION; SUPERVISORY BOARD
REMUNERATION;-ADOPTION OF THE ANNUAL
ACCOUNTS; DIVIDEND POLICY; DETERMINATION OF
DIVIDEND | Non-Voting | | | | | | |
| | 2.a. | DISCUSSION OF THE MANAGEMENT BOARD'S
REPORT AND THE SUPERVISORY BOARD'S-REPORT
FOR THE PAST FINANCIAL YEAR. THE
MANAGEMENT BOARD WILL GIVE A-PRESENTATION
ON THE PERFORMANCE OF THE COMPANY IN 2020.
FURTHERMORE, THE-SUPERVISORY BOARD'S
REPORT AND ACCOUNTANT STATEMENTS WILL BE
DISCUSSED | Non-Voting | | | | | | |
| | 2.b. | DISCUSSION OF THE REMUNERATION REPORT
OVER THE YEAR 2020 INCLUDING THE
MANAGEMENT BOARD AND SUPERVISORY
BOARD'S REMUNERATION FOR THE PAST
FINANCIAL YEAR. PLEASE REFER TO THE
REMUNERATION REPORT FOR THE FINANCIAL
YEAR 2020 (IN ACCORDANCE WITH THE COMPANY'S
EXISTING REMUNERATION POLICY AS APPROVED
BY THE GENERAL MEETING OF SHAREHOLDERS
WHICH WAS HELD ON 26 MAY 2020) INCLUDED IN
OUR ANNUAL REPORT ON PAGE 88, AS PUBLISHED
ON OUR WEBSITE | Management | | For | | For | | |
| | 2.c. | IT IS PROPOSED TO ADOPT THE ANNUAL
ACCOUNTS FOR THE FINANCIAL YEAR 2020 AS
DRAWN UP BY THE MANAGEMENT BOARD AND
SIGNED BY THE MANAGEMENT BOARD AND THE
SUPERVISORY BOARD.
PRICEWATERHOUSECOOPERS N.V. (PWC) HAS
AUDITED THE ANNUAL ACCOUNTS AND HAS
ISSUED AN UNQUALIFIED AUDITOR'S REPORT | Management | | For | | For | | |
| | 2.d. | DISCUSSION OF THE POLICY ON DIVIDEND,
RESERVATIONS AND DISTRIBUTIONS. PLEASE-
REFER TO THE DIVIDEND POLICY PUBLISHED ON
THE COMPANY'S WEBSITE, AS FURTHER-
REFERRED TO ON PAGE 128 OF THE ANNUAL
REPORT FOR THE FINANCIAL YEAR 2020. IN-
ACCORDANCE WITH THE ARTICLES OF
ASSOCIATION OF THE COMPANY, THE
MANAGEMENT-BOARD, WITH THE APPROVAL OF
THE SUPERVISORY BOARD, DECIDED TO
ALLOCATE THE-PROFITS FOR THE FINANCIAL YEAR
2020 TO THE RESERVES OF THE COMPANY | Non-Voting | | | | | | |
| | 3. | IT IS PROPOSED TO DISCHARGE THE MEMBERS OF
THE MANAGEMENT BOARD (IN 2020 BEING PIETER
VAN DER DOES (CEO), ARNOUT SCHUIJFF (CTO),
INGO UYTDEHAAGE (CFO), ROELANT PRINS (CCO),
MARITTE SWART (CLCO) AND KAMRAN ZAKI (COO))
FROM LIABILITY IN RESPECT OF THE
PERFORMANCE OF THEIR MANAGEMENT DUTIES
TO THE EXTENT THAT SUCH PERFORMANCE IS
APPARENT FROM THE ANNUAL ACCOUNTS FOR
THE FINANCIAL YEAR 2020 OR HAS BEEN
OTHERWISE DISCLOSED TO THE GENERAL
MEETING BEFORE THE RESOLUTION IS ADOPTED.
IT IS FURTHERMORE PROPOSED TO DISCHARGE
THE MEMBERS OF THE MANAGEMENT BOARD WHO
RESIGNED IN THE COURSE OF 2020 (BEING JOOP
WIJN (FORMER CSRO) AND SAM HALSE (FORMER
COO)) FROM LIABILITY FOR MANAGEMENT DUTIES
PERFORMED IN THE FINANCIAL YEAR 2020 UNTIL
THEIR EFFECTIVE DATE OF RESIGNATION | Management | | For | | For | | |
| | 4. | IT IS PROPOSED TO DISCHARGE THE MEMBERS OF
THE SUPERVISORY BOARD (IN 2020 BEING PIERO
OVERMARS, DELFIN RUEDA, JOEP VAN BEURDEN
AND PAMELA JOSEPH) FROM LIABILITY IN RESPECT
OF THE PERFORMANCE OF THEIR SUPERVISORY
DUTIES TO THE EXTENT THAT SUCH
PERFORMANCE IS APPARENT FROM THE ANNUAL
ACCOUNTS FOR THE FINANCIAL YEAR 2020 OR HAS
BEEN OTHERWISE DISCLOSED TO THE GENERAL
MEETING BEFORE THE RESOLUTION IS ADOPTED | Management | | For | | For | | |
| | 5. | PROPOSAL REAPPOINTMENT INGO JEROEN
UYTDEHAAGE AS MEMBER OF THE MANAGEMENT
BOARD WITH THE TITLE CHIEF FINANCIAL OFFICER | Management | | For | | For | | |
| | 6. | PROPOSAL REAPPOINTMENT DELFIN RUEDA
ARROYO AS MEMBER OF THE SUPERVISORY
BOARD | Management | | For | | For | | |
| | 7. | IT IS PROPOSED TO RENEW THE AUTHORITY OF
THE MANAGEMENT BOARD, SUBJECT TO THE
SUPERVISORY BOARD S APPROVAL, TO ISSUE
ORDINARY SHARES OR TO GRANT RIGHTS TO
SUBSCRIBE FOR ORDINARY SHARES FOR A
PERIOD OF 18 MONTHS FROM THE DATE OF THIS
GENERAL MEETING UP TO 10% OF THE TOTAL
NUMBER OF SHARES ISSUED AT THE TIME OF THE
GENERAL MEETING FOR ANY PURPOSES. ONCE
THIS AUTHORIZATION IS APPROVED, THIS WILL
REPLACE THE CURRENT AUTHORIZATIONS. ONCE
APPROVED, THE AUTHORIZATION CANNOT BE
REVOKED | Management | | For | | For | | |
| | 8. | IT IS PROPOSED TO RENEW THE AUTHORITY OF
THE MANAGEMENT BOARD, SUBJECT TO THE
SUPERVISORY BOARD'S APPROVAL, TO RESTRICT
OR EXCLUDE APPLICABLE PRE-EMPTIVE RIGHTS
WHEN ISSUING ORDINARY SHARES OR GRANTING
RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES AS
SET OUT IN ITEM 7 ABOVE FOR A PERIOD OF 18
MONTHS FROM THE DATE OF THIS GENERAL
MEETING. ONCE THIS AUTHORIZATION IS
APPROVED, THIS WILL REPLACE THE CURRENT
AUTHORIZATIONS. ONCE APPROVED, THE
AUTHORIZATION CANNOT BE REVOKED | Management | | For | | For | | |
| | 9. | AUTHORITY TO ACQUIRE OWN SHARES | Management | | For | | For | | |
| | 10. | IN ACCORDANCE WITH THE RECOMMENDATIONS
OF THE AUDIT COMMITTEE, THE SUPERVISORY
BOARD PROPOSES TO REAPPOINT PWC AS
EXTERNAL AUDITOR OF THE COMPANY FOR THE
CURRENT FINANCIAL YEAR | Management | | For | | For | | |
| | 11. | ANY OTHER BUSINESS AND CLOSING | Non-Voting | | | | | | |
| | CMMT | "INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE" | Non-Voting | | | | | | |
| | CITRIX SYSTEMS, INC. | | |
| | Security | 177376100 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CTXS | | | | | | Meeting Date | 04-Jun-2021 | |
| | ISIN | US1773761002 | | | | | | Agenda | 935400666 - Management |
| | Record Date | 06-Apr-2021 | | | | | | Holding Recon Date | 06-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 03-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Robert M. Calderoni | Management | | For | | For | | |
| | 1B. | Election of Director: Nanci E. Caldwell | Management | | For | | For | | |
| | 1C. | Election of Director: Murray J. Demo | Management | | For | | For | | |
| | 1D. | Election of Director: Ajei S. Gopal | Management | | For | | For | | |
| | 1E. | Election of Director: David J. Henshall | Management | | For | | For | | |
| | 1F. | Election of Director: Thomas E. Hogan | Management | | For | | For | | |
| | 1G. | Election of Director: Moira A. Kilcoyne | Management | | For | | For | | |
| | 1H. | Election of Director: Robert E. Knowling, Jr. | Management | | For | | For | | |
| | 1I. | Election of Director: Peter J. Sacripanti | Management | | For | | For | | |
| | 1J. | Election of Director: J. Donald Sherman | Management | | For | | For | | |
| | 2. | Ratification of the appointment of Ernst & Young LLP as
the Company's independent registered public accounting
firm for 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve the compensation of the
Company's named executive officers. | Management | | For | | For | | |
| | 4. | Shareholder proposal regarding simple majority voting
provisions. | Shareholder | | For | | | | |
| | TARGET CORPORATION | | |
| | Security | 87612E106 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | TGT | | | | | | Meeting Date | 09-Jun-2021 | |
| | ISIN | US87612E1064 | | | | | | Agenda | 935412635 - Management |
| | Record Date | 12-Apr-2021 | | | | | | Holding Recon Date | 12-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 08-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Douglas M. Baker, Jr. | Management | | For | | For | | |
| | 1B. | Election of Director: George S. Barrett | Management | | For | | For | | |
| | 1C. | Election of Director: Brian C. Cornell | Management | | For | | For | | |
| | 1D. | Election of Director: Robert L. Edwards | Management | | For | | For | | |
| | 1E. | Election of Director: Melanie L. Healey | Management | | For | | For | | |
| | 1F. | Election of Director: Donald R. Knauss | Management | | For | | For | | |
| | 1G. | Election of Director: Christine A. Leahy | Management | | For | | For | | |
| | 1H. | Election of Director: Monica C. Lozano | Management | | For | | For | | |
| | 1I. | Election of Director: Mary E. Minnick | Management | | For | | For | | |
| | 1J. | Election of Director: Derica W. Rice | Management | | For | | For | | |
| | 1K. | Election of Director: Kenneth L. Salazar | Management | | For | | For | | |
| | 1L. | Election of Director: Dmitri L. Stockton | Management | | For | | For | | |
| | 2. | Company proposal to ratify the appointment of Ernst &
Young LLP as our independent registered public
accounting firm. | Management | | For | | For | | |
| | 3. | Company proposal to approve, on an advisory basis, our
executive compensation (Say on Pay). | Management | | For | | For | | |
| | 4. | Shareholder proposal to amend the proxy access bylaw
to remove the shareholder group limit. | Shareholder | | Against | | For | | |
| | DAVITA INC. | | |
| | Security | 23918K108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DVA | | | | | | Meeting Date | 10-Jun-2021 | |
| | ISIN | US23918K1088 | | | | | | Agenda | 935415148 - Management |
| | Record Date | 13-Apr-2021 | | | | | | Holding Recon Date | 13-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 09-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Pamela M. Arway | Management | | For | | For | | |
| | 1B. | Election of Director: Charles G. Berg | Management | | For | | For | | |
| | 1C. | Election of Director: Barbara J. Desoer | Management | | For | | For | | |
| | 1D. | Election of Director: Paul J. Diaz | Management | | For | | For | | |
| | 1E. | Election of Director: Shawn M. Guertin | Management | | For | | For | | |
| | 1F. | Election of Director: John M. Nehra | Management | | For | | For | | |
| | 1G. | Election of Director: Paula A. Price | Management | | For | | For | | |
| | 1H. | Election of Director: Javier J. Rodriguez | Management | | For | | For | | |
| | 1I. | Election of Director: Phyllis R. Yale | Management | | For | | For | | |
| | 2. | To ratify the appointment of KPMG LLP as our
independent registered public accounting firm for fiscal
year 2021. | Management | | For | | For | | |
| | 3. | To approve, on an advisory basis, the compensation of
our named executive officers. | Management | | Against | | Against | | |
| | 4. | Stockholder proposal regarding political contributions
disclosure, if properly presented at the meeting. | Shareholder | | Against | | For | | |
| | GAMING AND LEISURE PROPERTIES, INC. | | |
| | Security | 36467J108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GLPI | | | | | | Meeting Date | 10-Jun-2021 | |
| | ISIN | US36467J1088 | | | | | | Agenda | 935417065 - Management |
| | Record Date | 05-Apr-2021 | | | | | | Holding Recon Date | 05-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 09-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Peter M. Carlino | Management | | For | | For | | |
| | 1B. | Election of Director: Carol ("Lili") Lynton | Management | | For | | For | | |
| | 1C. | Election of Director: Joseph W. Marshall, III | Management | | For | | For | | |
| | 1D. | Election of Director: James B. Perry | Management | | For | | For | | |
| | 1E. | Election of Director: Barry F. Schwartz | Management | | For | | For | | |
| | 1F. | Election of Director: Earl C. Shanks | Management | | For | | For | | |
| | 1G. | Election of Director: E. Scott Urdang | Management | | For | | For | | |
| | 2. | To ratify the appointment of Deloitte & Touche LLP as the
Company's independent registered public accounting firm
for the current fiscal year. | Management | | For | | For | | |
| | 3. | To approve, on a non-binding advisory basis, the
Company's executive compensation. | Management | | For | | For | | |
| | SONOVA HOLDING AG | | |
| | Security | H8024W106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 15-Jun-2021 | |
| | ISIN | CH0012549785 | | | | | | Agenda | 714185750 - Management |
| | Record Date | 09-Jun-2021 | | | | | | Holding Recon Date | 09-Jun-2021 | |
| | City / | Country | STAEFA | / | Switzerland | | | | | Vote Deadline Date | 07-Jun-2021 | |
| | SEDOL(s) | 7156036 - B02HYL7 - BKJ8YB3 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1.1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS | Management | | For | | For | | |
| | 1.2 | APPROVE REMUNERATION REPORT (NON-BINDING) | Management | | For | | For | | |
| | 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF CHF 3.20 PER SHARE | Management | | For | | For | | |
| | 3 | APPROVE DISCHARGE OF BOARD AND SENIOR
MANAGEMENT | Management | | For | | For | | |
| | 4.1.1 | REELECT ROBERT SPOERRY AS DIRECTOR AND
BOARD CHAIRMAN | Management | | For | | For | | |
| | 4.1.2 | REELECT LYNN BLEIL AS DIRECTOR | Management | | For | | For | | |
| | 4.1.3 | REELECT LUKAS BRAUNSCHWEILER AS DIRECTOR | Management | | For | | For | | |
| | 4.1.4 | REELECT STACY SENG AS DIRECTOR | Management | | For | | For | | |
| | 4.1.5 | REELECT RONALD VAN DER VIS AS DIRECTOR | Management | | For | | For | | |
| | 4.1.6 | REELECT JINLONG WANG AS DIRECTOR | Management | | For | | For | | |
| | 4.1.7 | REELECT ADRIAN WIDMER AS DIRECTOR | Management | | For | | For | | |
| | 4.2.1 | ELECT GREGORY BEHAR AS DIRECTOR | Management | | For | | For | | |
| | 4.2.2 | ELECT ROLAND DIGGELMANN AS DIRECTOR | Management | | For | | For | | |
| | 4.3 | REAPPOINT STACY SENG AS MEMBER OF THE
NOMINATION AND COMPENSATION COMMITTEE | Management | | For | | For | | |
| | 4.4.1 | APPOINT LUKAS BRAUNSCHWEILER AS MEMBER
OF THE NOMINATION AND COMPENSATION
COMMITTEE | Management | | For | | For | | |
| | 4.4.2 | APPOINT ROLAND DIGGELMANN AS MEMBER OF
THE NOMINATION AND COMPENSATION
COMMITTEE | Management | | For | | For | | |
| | 4.5 | RATIFY ERNST YOUNG AG AS AUDITORS | Management | | For | | For | | |
| | 4.6 | DESIGNATE KELLER KLG AS INDEPENDENT PROXY | Management | | For | | For | | |
| | 5.1 | APPROVE REMUNERATION OF DIRECTORS IN THE
AMOUNT OF CHF 3.1 MILLION | Management | | For | | For | | |
| | 5.2 | APPROVE REMUNERATION OF EXECUTIVE
COMMITTEE IN THE AMOUNT OF CHF 15.8 MILLION | Management | | For | | For | | |
| | 6 | APPROVE CHF 61,299 REDUCTION IN SHARE
CAPITAL AS PART OF THE SHARE BUYBACK
PROGRAM VIA CANCELLATION OF REPURCHASED
SHARES | Management | | For | | For | | |
| | EBAY INC. | | |
| | Security | 278642103 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | EBAY | | | | | | Meeting Date | 15-Jun-2021 | |
| | ISIN | US2786421030 | | | | | | Agenda | 935418790 - Management |
| | Record Date | 19-Apr-2021 | | | | | | Holding Recon Date | 19-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 14-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Anthony J. Bates | Management | | For | | For | | |
| | 1B. | Election of Director: Adriane M. Brown | Management | | For | | For | | |
| | 1C. | Election of Director: Diana Farrell | Management | | For | | For | | |
| | 1D. | Election of Director: Logan D. Green | Management | | For | | For | | |
| | 1E. | Election of Director: Bonnie S. Hammer | Management | | For | | For | | |
| | 1F. | Election of Director: E. Carol Hayles | Management | | For | | For | | |
| | 1G. | Election of Director: Jamie Iannone | Management | | For | | For | | |
| | 1H. | Election of Director: Kathleen C. Mitic | Management | | For | | For | | |
| | 1I. | Election of Director: Matthew J. Murphy | Management | | For | | For | | |
| | 1J. | Election of Director: Paul S. Pressler | Management | | For | | For | | |
| | 1K. | Election of Director: Mohak Shroff | Management | | For | | For | | |
| | 1L. | Election of Director: Robert H. Swan | Management | | For | | For | | |
| | 1M. | Election of Director: Perry M. Traquina | Management | | For | | For | | |
| | 2. | Ratification of appointment of independent auditors. | Management | | For | | For | | |
| | 3. | Advisory vote to approve named executive officer
compensation. | Management | | Against | | Against | | |
| | 4. | Executive Compensation, if properly presented. | Shareholder | | Against | | For | | |
| | 5. | Right to Act by Written Consent, if properly presented. | Shareholder | | For | | Against | | |
| | METLIFE, INC. | | |
| | Security | 59156R108 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | MET | | | | | | Meeting Date | 15-Jun-2021 | |
| | ISIN | US59156R1086 | | | | | | Agenda | 935424274 - Management |
| | Record Date | 22-Apr-2021 | | | | | | Holding Recon Date | 22-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 14-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Cheryl W. Grisé | Management | | For | | For | | |
| | 1B. | Election of Director: Carlos M. Gutierrez | Management | | For | | For | | |
| | 1C. | Election of Director: Gerald L. Hassell | Management | | For | | For | | |
| | 1D. | Election of Director: David L. Herzog | Management | | For | | For | | |
| | 1E. | Election of Director: R. Glenn Hubbard, Ph.D. | Management | | For | | For | | |
| | 1F. | Election of Director: Edward J. Kelly, III | Management | | For | | For | | |
| | 1G. | Election of Director: William E. Kennard | Management | | For | | For | | |
| | 1H. | Election of Director: Michel A. Khalaf | Management | | For | | For | | |
| | 1I. | Election of Director: Catherine R. Kinney | Management | | For | | For | | |
| | 1J. | Election of Director: Diana L. McKenzie | Management | | For | | For | | |
| | 1K. | Election of Director: Denise M. Morrison | Management | | For | | For | | |
| | 1L. | Election of Director: Mark A. Weinberger | Management | | For | | For | | |
| | 2. | Ratification of appointment of Deloitte & Touche LLP as
MetLife, Inc.'s Independent Auditor for 2021. | Management | | For | | For | | |
| | 3. | Advisory (non-binding) vote to approve the compensation
paid to MetLife, Inc.'s Named Executive Officers. | Management | | For | | For | | |
| | FIDELITY NATIONAL FINANCIAL, INC. | | |
| | Security | 31620R303 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FNF | | | | | | Meeting Date | 16-Jun-2021 | |
| | ISIN | US31620R3030 | | | | | | Agenda | 935420896 - Management |
| | Record Date | 19-Apr-2021 | | | | | | Holding Recon Date | 19-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 15-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Raymond R. Quirk | | | | For | | For | | |
| | | 2 | Sandra D. Morgan | | | | For | | For | | |
| | | 3 | Heather H. Murren | | | | For | | For | | |
| | | 4 | John D. Rood | | | | For | | For | | |
| | 2. | Approval of a non-binding advisory resolution on the
compensation paid to our named executive officers. | Management | | For | | For | | |
| | 3. | Ratification of the appointment of Ernst & Young LLP as
our independent registered public accounting firm for the
2021 fiscal year. | Management | | For | | For | | |
| | ONO PHARMACEUTICAL CO.,LTD. | | |
| | Security | J61546115 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 17-Jun-2021 | |
| | ISIN | JP3197600004 | | | | | | Agenda | 714196373 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | OSAKA | / | Japan | | | | | Vote Deadline Date | 15-Jun-2021 | |
| | SEDOL(s) | 6660107 - B02K7P1 - B3FHJD2 | | | | Quick Code | 45280 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Sagara, Gyo | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Tsujinaka, Toshihiro | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Takino, Toichi | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Ono, Isao | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Idemitsu, Kiyoaki | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Nomura, Masao | Management | | For | | For | | |
| | 2.7 | Appoint a Director Okuno, Akiko | Management | | For | | For | | |
| | 2.8 | Appoint a Director Nagae, Shusaku | Management | | For | | For | | |
| | 3 | Appoint a Corporate Auditor Tanisaka, Hironobu | Management | | Against | | Against | | |
| | 4 | Approve Details of Compensation as Stock-Linked
Compensation Type Stock Options for Directors | Management | | For | | For | | |
| | TOKYO ELECTRON LIMITED | | |
| | Security | J86957115 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 17-Jun-2021 | |
| | ISIN | JP3571400005 | | | | | | Agenda | 714204118 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 15-Jun-2021 | |
| | SEDOL(s) | 5791707 - 6895675 - B02LVL8 | | | | Quick Code | 80350 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Tsuneishi, Tetsuo | Management | | Against | | Against | | |
| | 1.2 | Appoint a Director Kawai, Toshiki | Management | | Against | | Against | | |
| | 1.3 | Appoint a Director Sasaki, Sadao | Management | | Against | | Against | | |
| | 1.4 | Appoint a Director Nunokawa, Yoshikazu | Management | | Against | | Against | | |
| | 1.5 | Appoint a Director Nagakubo, Tatsuya | Management | | Against | | Against | | |
| | 1.6 | Appoint a Director Sunohara, Kiyoshi | Management | | Against | | Against | | |
| | 1.7 | Appoint a Director Ikeda, Seisu | Management | | Against | | Against | | |
| | 1.8 | Appoint a Director Mitano, Yoshinobu | Management | | Against | | Against | | |
| | 1.9 | Appoint a Director Charles Ditmars Lake II | Management | | For | | For | | |
| | 1.10 | Appoint a Director Sasaki, Michio | Management | | For | | For | | |
| | 1.11 | Appoint a Director Eda, Makiko | Management | | For | | For | | |
| | 1.12 | Appoint a Director Ichikawa, Sachiko | Management | | For | | For | | |
| | 2 | Appoint a Corporate Auditor Wagai, Kyosuke | Management | | For | | For | | |
| | 3 | Approve Payment of Bonuses to Directors | Management | | For | | For | | |
| | 4 | Approve Issuance of Share Acquisition Rights as Stock-
Linked Compensation Type Stock Options for Directors | Management | | For | | For | | |
| | 5 | Approve Issuance of Share Acquisition Rights as Stock-
Linked Compensation Type Stock Options for Corporate
Officers of the Company and the Company's Subsidiaries | Management | | For | | For | | |
| | 6 | Approve Details of the Compensation to be received by
Outside Directors | Management | | For | | For | | |
| | MITSUI & CO.,LTD. | | |
| | Security | J44690139 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 18-Jun-2021 | |
| | ISIN | JP3893600001 | | | | | | Agenda | 714176864 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 16-Jun-2021 | |
| | SEDOL(s) | 5736463 - 6597302 - B03KWZ5 | | | | Quick Code | 80310 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Yasunaga, Tatsuo | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Hori, Kenichi | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Uchida, Takakazu | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Fujiwara, Hirotatsu | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Omachi, Shinichiro | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Kometani, Yoshio | Management | | Against | | Against | | |
| | 2.7 | Appoint a Director Yoshikawa, Miki | Management | | Against | | Against | | |
| | 2.8 | Appoint a Director Uno, Motoaki | Management | | Against | | Against | | |
| | 2.9 | Appoint a Director Takemasu, Yoshiaki | Management | | Against | | Against | | |
| | 2.10 | Appoint a Director Kobayashi, Izumi | Management | | For | | For | | |
| | 2.11 | Appoint a Director Jenifer Rogers | Management | | For | | For | | |
| | 2.12 | Appoint a Director Samuel Walsh | Management | | For | | For | | |
| | 2.13 | Appoint a Director Uchiyamada, Takeshi | Management | | For | | For | | |
| | 2.14 | Appoint a Director Egawa, Masako | Management | | For | | For | | |
| | 3 | Appoint a Corporate Auditor Mori, Kimitaka | Management | | For | | For | | |
| | ITOCHU CORPORATION | | |
| | Security | J2501P104 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 18-Jun-2021 | |
| | ISIN | JP3143600009 | | | | | | Agenda | 714183302 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | OSAKA | / | Japan | | | | | Vote Deadline Date | 16-Jun-2021 | |
| | SEDOL(s) | 5754335 - 6467803 - B02H2R9 | | | | Quick Code | 80010 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Okafuji, Masahiro | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Suzuki, Yoshihisa | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Ishii, Keita | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Yoshida, Tomofumi | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Fukuda, Yuji | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Kobayashi, Fumihiko | Management | | Against | | Against | | |
| | 2.7 | Appoint a Director Hachimura, Tsuyoshi | Management | | Against | | Against | | |
| | 2.8 | Appoint a Director Muraki, Atsuko | Management | | For | | For | | |
| | 2.9 | Appoint a Director Kawana, Masatoshi | Management | | For | | For | | |
| | 2.10 | Appoint a Director Nakamori, Makiko | Management | | For | | For | | |
| | 2.11 | Appoint a Director Ishizuka, Kunio | Management | | For | | For | | |
| | 3.1 | Appoint a Corporate Auditor Majima, Shingo | Management | | For | | For | | |
| | 3.2 | Appoint a Corporate Auditor Kikuchi, Masumi | Management | | For | | For | | |
| | NITTO DENKO CORPORATION | | |
| | Security | J58472119 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 18-Jun-2021 | |
| | ISIN | JP3684000007 | | | | | | Agenda | 714204005 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | OSAKA | / | Japan | | | | | Vote Deadline Date | 16-Jun-2021 | |
| | SEDOL(s) | 6641801 - B19PJR2 - B1R1SP3 | | | | Quick Code | 69880 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2 | Approve Payment of Bonuses to Directors | Management | | For | | For | | |
| | 3.1 | Appoint a Director Takasaki, Hideo | Management | | For | | For | | |
| | 3.2 | Appoint a Director Todokoro, Nobuhiro | Management | | For | | For | | |
| | 3.3 | Appoint a Director Miki, Yosuke | Management | | For | | For | | |
| | 3.4 | Appoint a Director Iseyama, Yasuhiro | Management | | For | | For | | |
| | 3.5 | Appoint a Director Furuse, Yoichiro | Management | | For | | For | | |
| | 3.6 | Appoint a Director Hatchoji, Takashi | Management | | For | | For | | |
| | 3.7 | Appoint a Director Fukuda, Tamio | Management | | For | | For | | |
| | 3.8 | Appoint a Director WONG Lai Yong | Management | | For | | For | | |
| | 3.9 | Appoint a Director Sawada, Michitaka | Management | | For | | For | | |
| | 4 | Approve Details of the Compensation to be received by
Corporate Officers | Management | | For | | For | | |
| | NOMURA HOLDINGS, INC. | | |
| | Security | J58646100 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 21-Jun-2021 | |
| | ISIN | JP3762600009 | | | | | | Agenda | 714212634 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 17-Jun-2021 | |
| | SEDOL(s) | 4601045 - 6643108 - 6650487 | | | | Quick Code | 86040 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Nagai, Koji | Management | | For | | For | | |
| | 1.2 | Appoint a Director Okuda, Kentaro | Management | | For | | For | | |
| | 1.3 | Appoint a Director Teraguchi, Tomoyuki | Management | | For | | For | | |
| | 1.4 | Appoint a Director Ogawa, Shoji | Management | | For | | For | | |
| | 1.5 | Appoint a Director Ishimura, Kazuhiko | Management | | For | | For | | |
| | 1.6 | Appoint a Director Takahara, Takahisa | Management | | For | | For | | |
| | 1.7 | Appoint a Director Shimazaki, Noriaki | Management | | For | | For | | |
| | 1.8 | Appoint a Director Sono, Mari | Management | | For | | For | | |
| | 1.9 | Appoint a Director Laura Simone Unger | Management | | For | | For | | |
| | 1.10 | Appoint a Director Victor Chu | Management | | For | | For | | |
| | 1.11 | Appoint a Director J.Christopher Giancarlo | Management | | For | | For | | |
| | 1.12 | Appoint a Director Patricia Mosser | Management | | For | | For | | |
| | CAPCOM CO.,LTD. | | |
| | Security | J05187109 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 22-Jun-2021 | |
| | ISIN | JP3218900003 | | | | | | Agenda | 714183439 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | OSAKA | / | Japan | | | | | Vote Deadline Date | 20-Jun-2021 | |
| | SEDOL(s) | 5973118 - 6173694 - B3BGPY6 | | | | Quick Code | 96970 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director who is not Audit and Supervisory
Committee Member Tsujimoto, Kenzo | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director who is not Audit and Supervisory
Committee Member Tsujimoto, Haruhiro | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director who is not Audit and Supervisory
Committee Member Miyazaki, Satoshi | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director who is not Audit and Supervisory
Committee Member Egawa, Yoichi | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director who is not Audit and Supervisory
Committee Member Nomura, Kenkichi | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director who is not Audit and Supervisory
Committee Member Muranaka, Toru | Management | | For | | For | | |
| | 2.7 | Appoint a Director who is not Audit and Supervisory
Committee Member Mizukoshi, Yutaka | Management | | For | | For | | |
| | 2.8 | Appoint a Director who is not Audit and Supervisory
Committee Member Kotani, Wataru | Management | | For | | For | | |
| | SOFTBANK CORP. | | |
| | Security | J75963132 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 22-Jun-2021 | |
| | ISIN | JP3732000009 | | | | | | Agenda | 714250696 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 20-Jun-2021 | |
| | SEDOL(s) | BF5M0K5 - BG1VK14 - BHM1QJ0 | | | | Quick Code | 94340 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Amend Articles to: Establish the Articles Related to
Shareholders Meeting held without specifying a venue | Management | | For | | For | | |
| | 2.1 | Appoint a Director Miyauchi, Ken | Management | | For | | For | | |
| | 2.2 | Appoint a Director Miyakawa, Junichi | Management | | For | | For | | |
| | 2.3 | Appoint a Director Shimba, Jun | Management | | For | | For | | |
| | 2.4 | Appoint a Director Imai, Yasuyuki | Management | | For | | For | | |
| | 2.5 | Appoint a Director Fujihara, Kazuhiko | Management | | For | | For | | |
| | 2.6 | Appoint a Director Son, Masayoshi | Management | | For | | For | | |
| | 2.7 | Appoint a Director Kawabe, Kentaro | Management | | For | | For | | |
| | 2.8 | Appoint a Director Horiba, Atsushi | Management | | For | | For | | |
| | 2.9 | Appoint a Director Kamigama, Takehiro | Management | | For | | For | | |
| | 2.10 | Appoint a Director Oki, Kazuaki | Management | | For | | For | | |
| | 2.11 | Appoint a Director Uemura, Kyoko | Management | | For | | For | | |
| | 2.12 | Appoint a Director Hishiyama, Reiko | Management | | For | | For | | |
| | 2.13 | Appoint a Director Koshi, Naomi | Management | | For | | For | | |
| | 3 | Approve Details of the Compensation to be received by
Directors | Management | | For | | For | | |
| | DELL TECHNOLOGIES INC. | | |
| | Security | 24703L202 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DELL | | | | | | Meeting Date | 22-Jun-2021 | |
| | ISIN | US24703L2025 | | | | | | Agenda | 935431673 - Management |
| | Record Date | 26-Apr-2021 | | | | | | Holding Recon Date | 26-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Michael S. Dell* | | | | For | | For | | |
| | | 2 | David W. Dorman* | | | | For | | For | | |
| | | 3 | Egon Durban* | | | | For | | For | | |
| | | 4 | William D. Green* | | | | For | | For | | |
| | | 5 | Simon Patterson* | | | | For | | For | | |
| | | 6 | Lynn M. Vojvodich* | | | | For | | For | | |
| | | 7 | Ellen J. Kullman# | | | | For | | For | | |
| | 2. | Ratification of the appointment of
PricewaterhouseCoopers LLP as Dell Technologies Inc.'s
independent registered public accounting firm for fiscal
year ending January 28, 2022. | Management | | For | | For | | |
| | 3. | Approval, on an advisory basis, of the compensation of
Dell Technologies Inc.'s named executive officers as
disclosed in the proxy statement. | Management | | Against | | Against | | |
| | AJINOMOTO CO.,INC. | | |
| | Security | J00882126 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 23-Jun-2021 | |
| | ISIN | JP3119600009 | | | | | | Agenda | 714196335 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | 5573392 - 6010906 - B03NQ52 | | | | Quick Code | 28020 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2 | Amend Articles to: Reduce the Board of Directors Size,
Reduce Term of Office of Directors to One Year,
Transition to a Company with Three Committees, Allow
the Board of Directors to Authorize Appropriation of
Surplus and Purchase Own Shares | Management | | For | | For | | |
| | 3.1 | Appoint a Director Nishii, Takaaki | Management | | For | | For | | |
| | 3.2 | Appoint a Director Fukushi, Hiroshi | Management | | For | | For | | |
| | 3.3 | Appoint a Director Tochio, Masaya | Management | | For | | For | | |
| | 3.4 | Appoint a Director Nosaka, Chiaki | Management | | For | | For | | |
| | 3.5 | Appoint a Director Kurashima, Kaoru | Management | | For | | For | | |
| | 3.6 | Appoint a Director Nawa, Takashi | Management | | For | | For | | |
| | 3.7 | Appoint a Director Iwata, Kimie | Management | | For | | For | | |
| | 3.8 | Appoint a Director Toki, Atsushi | Management | | For | | For | | |
| | 3.9 | Appoint a Director Amano, Hideki | Management | | For | | For | | |
| | 3.10 | Appoint a Director Indo, Mami | Management | | For | | For | | |
| | 3.11 | Appoint a Director Nakayama, Joji | Management | | For | | For | | |
| | TDK CORPORATION | | |
| | Security | J82141136 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 23-Jun-2021 | |
| | ISIN | JP3538800008 | | | | | | Agenda | 714203988 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | 6869302 - B00LPQ3 - B1B7N63 -
BJ05245 | | | | Quick Code | 67620 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Ishiguro, Shigenao | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Yamanishi, Tetsuji | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Sumita, Makoto | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Osaka, Seiji | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Sato, Shigeki | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Ishimura, Kazuhiko | Management | | For | | For | | |
| | 2.7 | Appoint a Director Nakayama, Kozue | Management | | For | | For | | |
| | 2.8 | Appoint a Director Iwai, Mutsuo | Management | | For | | For | | |
| | KDDI CORPORATION | | |
| | Security | J31843105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 23-Jun-2021 | |
| | ISIN | JP3496400007 | | | | | | Agenda | 714212711 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | 5674444 - 6248990 - B06NQV5 | | | | Quick Code | 94330 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director Tanaka, Takashi | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director Takahashi, Makoto | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director Shoji, Takashi | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director Muramoto, Shinichi | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director Mori, Keiichi | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director Morita, Kei | Management | | Against | | Against | | |
| | 2.7 | Appoint a Director Amamiya, Toshitake | Management | | Against | | Against | | |
| | 2.8 | Appoint a Director Takeyama, Hirokuni | Management | | Against | | Against | | |
| | 2.9 | Appoint a Director Yoshimura, Kazuyuki | Management | | Against | | Against | | |
| | 2.10 | Appoint a Director Yamaguchi, Goro | Management | | Against | | Against | | |
| | 2.11 | Appoint a Director Yamamoto, Keiji | Management | | Against | | Against | | |
| | 2.12 | Appoint a Director Oyagi, Shigeo | Management | | For | | For | | |
| | 2.13 | Appoint a Director Kano, Riyo | Management | | For | | For | | |
| | 2.14 | Appoint a Director Goto, Shigeki | Management | | For | | For | | |
| | 3 | Appoint a Corporate Auditor Asahina, Yukihiro | Management | | For | | For | | |
| | RESONA HOLDINGS, INC. | | |
| | Security | J6448E106 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 23-Jun-2021 | |
| | ISIN | JP3500610005 | | | | | | Agenda | 714242637 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | OSAKA | / | Japan | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | 6421553 - B02K8Y7 - B0QYRW6 | | | | Quick Code | 83080 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Higashi, Kazuhiro | Management | | For | | For | | |
| | 1.2 | Appoint a Director Minami, Masahiro | Management | | For | | For | | |
| | 1.3 | Appoint a Director Noguchi, Mikio | Management | | For | | For | | |
| | 1.4 | Appoint a Director Kawashima, Takahiro | Management | | For | | For | | |
| | 1.5 | Appoint a Director Matsui, Tadamitsu | Management | | For | | For | | |
| | 1.6 | Appoint a Director Sato, Hidehiko | Management | | For | | For | | |
| | 1.7 | Appoint a Director Baba, Chiharu | Management | | For | | For | | |
| | 1.8 | Appoint a Director Iwata, Kimie | Management | | For | | For | | |
| | 1.9 | Appoint a Director Egami, Setsuko | Management | | For | | For | | |
| | 1.10 | Appoint a Director Ike, Fumihiko | Management | | For | | For | | |
| | THE KROGER CO. | | |
| | Security | 501044101 | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KR | | | | | | Meeting Date | 24-Jun-2021 | |
| | ISIN | US5010441013 | | | | | | Agenda | 935432889 - Management |
| | Record Date | 26-Apr-2021 | | | | | | Holding Recon Date | 26-Apr-2021 | |
| | City / | Country | | / | United
States | | | | | Vote Deadline Date | 23-Jun-2021 | |
| | SEDOL(s) | | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Nora A. Aufreiter | Management | | For | | For | | |
| | 1B. | Election of Director: Kevin M. Brown | Management | | For | | For | | |
| | 1C. | Election of Director: Anne Gates | Management | | For | | For | | |
| | 1D. | Election of Director: Karen M. Hoguet | Management | | For | | For | | |
| | 1E. | Election of Director: W. Rodney McMullen | Management | | For | | For | | |
| | 1F. | Election of Director: Clyde R. Moore | Management | | For | | For | | |
| | 1G. | Election of Director: Ronald L. Sargent | Management | | For | | For | | |
| | 1H. | Election of Director: J. Amanda Sourry Knox | Management | | For | | For | | |
| | 1I. | Election of Director: Mark S. Sutton | Management | | For | | For | | |
| | 1J. | Election of Director: Ashok Vemuri | Management | | For | | For | | |
| | 2. | Approval, on an advisory basis, of Kroger's executive
compensation. | Management | | For | | For | | |
| | 3. | Ratification of PricewaterhouseCoopers LLP, as auditors. | Management | | For | | For | | |
| | 4. | A shareholder proposal, if properly presented, to issue a
report assessing the environmental impacts of using
unrecyclable packaging for private label brands. | Shareholder | | Against | | For | | |
| | ENEOS HOLDINGS,INC. | | |
| | Security | J29699105 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 25-Jun-2021 | |
| | ISIN | JP3386450005 | | | | | | Agenda | 714196400 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | TOKYO | / | Japan | | | | | Vote Deadline Date | 23-Jun-2021 | |
| | SEDOL(s) | B55WTC0 - B627LW9 - B6R59M4 | | | | Quick Code | 50200 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1 | Approve Appropriation of Surplus | Management | | For | | For | | |
| | 2.1 | Appoint a Director who is not Audit and Supervisory
Committee Member Sugimori, Tsutomu | Management | | Against | | Against | | |
| | 2.2 | Appoint a Director who is not Audit and Supervisory
Committee Member Ota, Katsuyuki | Management | | Against | | Against | | |
| | 2.3 | Appoint a Director who is not Audit and Supervisory
Committee Member Yokoi, Yoshikazu | Management | | Against | | Against | | |
| | 2.4 | Appoint a Director who is not Audit and Supervisory
Committee Member Iwase, Junichi | Management | | Against | | Against | | |
| | 2.5 | Appoint a Director who is not Audit and Supervisory
Committee Member Yatabe, Yasushi | Management | | Against | | Against | | |
| | 2.6 | Appoint a Director who is not Audit and Supervisory
Committee Member Hosoi, Hiroshi | Management | | Against | | Against | | |
| | 2.7 | Appoint a Director who is not Audit and Supervisory
Committee Member Murayama, Seiichi | Management | | Against | | Against | | |
| | 2.8 | Appoint a Director who is not Audit and Supervisory
Committee Member Saito, Takeshi | Management | | Against | | Against | | |
| | 2.9 | Appoint a Director who is not Audit and Supervisory
Committee Member Ota, Hiroko | Management | | For | | For | | |
| | 2.10 | Appoint a Director who is not Audit and Supervisory
Committee Member Miyata, Yoshiiku | Management | | For | | For | | |
| | 2.11 | Appoint a Director who is not Audit and Supervisory
Committee Member Kudo, Yasumi | Management | | For | | For | | |
| | 3.1 | Appoint a Director who is Audit and Supervisory
Committee Member Nishimura, Shingo | Management | | For | | For | | |
| | 3.2 | Appoint a Director who is Audit and Supervisory
Committee Member Mitsuya, Yuko | Management | | For | | For | | |
| | SG HOLDINGS CO.,LTD. | | |
| | Security | J7134P108 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 25-Jun-2021 | |
| | ISIN | JP3162770006 | | | | | | Agenda | 714212696 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | KYOTO | / | Japan | | | | | Vote Deadline Date | 23-Jun-2021 | |
| | SEDOL(s) | BFFY885 - BG0L640 | | | | Quick Code | 91430 | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Kuriwada, Eiichi | Management | | Against | | Against | | |
| | 1.2 | Appoint a Director Matsumoto, Hidekazu | Management | | Against | | Against | | |
| | 1.3 | Appoint a Director Motomura, Masahide | Management | | Against | | Against | | |
| | 1.4 | Appoint a Director Nakajima, Shunichi | Management | | Against | | Against | | |
| | 1.5 | Appoint a Director Kawanago, Katsuhiro | Management | | Against | | Against | | |
| | 1.6 | Appoint a Director Takaoka, Mika | Management | | For | | For | | |
| | 1.7 | Appoint a Director Sagisaka, Osami | Management | | For | | For | | |
| | 1.8 | Appoint a Director Akiyama, Masato | Management | | For | | For | | |
| | 2.1 | Appoint a Corporate Auditor Nakanishi, Takashi | Management | | For | | For | | |
| | 2.2 | Appoint a Corporate Auditor Tajima, Satoshi | Management | | For | | For | | |
| | 2.3 | Appoint a Corporate Auditor Okamura, Kenichiro | Management | | For | | For | | |
| | 2.4 | Appoint a Corporate Auditor Oshima, Yoshitaka | Management | | For | | For | | |
| | FUJITSU LIMITED | | |
| | Security | J15708159 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 28-Jun-2021 | |
| | ISIN | JP3818000006 | | | | | | Agenda | 714250406 - Management |
| | Record Date | 31-Mar-2021 | | | | | | Holding Recon Date | 31-Mar-2021 | |
| | City / | Country | KANAGA
WA | / | Japan | | | | | Vote Deadline Date | 24-Jun-2021 | |
| | SEDOL(s) | 5485301 - 6356945 - B02DX74 | | | | Quick Code | 67020 | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | | Please reference meeting materials. | Non-Voting | | | | | | |
| | 1.1 | Appoint a Director Tokita, Takahito | Management | | For | | For | | |
| | 1.2 | Appoint a Director Furuta, Hidenori | Management | | For | | For | | |
| | 1.3 | Appoint a Director Isobe, Takeshi | Management | | For | | For | | |
| | 1.4 | Appoint a Director Yamamoto, Masami | Management | | For | | For | | |
| | 1.5 | Appoint a Director Mukai, Chiaki | Management | | For | | For | | |
| | 1.6 | Appoint a Director Abe, Atsushi | Management | | For | | For | | |
| | 1.7 | Appoint a Director Kojo, Yoshiko | Management | | For | | For | | |
| | 1.8 | Appoint a Director Scott Callon | Management | | For | | For | | |
| | 1.9 | Appoint a Director Sasae, Kenichiro | Management | | For | | For | | |
| | 2 | Appoint a Corporate Auditor Hirose, Yoichi | Management | | Against | | Against | | |
| | 3 | Appoint a Substitute Corporate Auditor Namba, Koichi | Management | | For | | For | | |
| | 4 | Approve Details of the Compensation to be received by
Directors | Management | | For | | For | | |
| | 5 | Approve Details of the Performance-based Stock
Compensation to be received by Directors | Management | | For | | For | | |
| | QIAGEN NV | | |
| | Security | N72482123 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 29-Jun-2021 | |
| | ISIN | NL0012169213 | | | | | | Agenda | 714380588 - Management |
| | Record Date | 01-Jun-2021 | | | | | | Holding Recon Date | 01-Jun-2021 | |
| | City / | Country | VIRTUAL | / | Netherlands | | | | | Vote Deadline Date | 21-Jun-2021 | |
| | SEDOL(s) | BDQZJW4 - BYXS688 - BYXS699 -
BYXS6B1 - BYXS6C2 | | | | Quick Code | | |
| | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
IS REQUIRED FOR THIS MEETING. IF NO-
BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR
INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 583994 DUE TO RECEIPT OF-UPDATED
AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS
MEETING WILL BE-DISREGARDED IF VOTE
DEADLINE EXTENSIONS ARE GRANTED.
THEREFORE PLEASE-REINSTRUCT ON THIS
MEETING NOTICE ON THE NEW JOB. IF HOWEVER
VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED
IN THE MARKET, THIS MEETING WILL BE CLOSED
AND-YOUR VOTE INTENTIONS ON THE ORIGINAL
MEETING WILL BE APPLICABLE. PLEASE-ENSURE
VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE
ORIGINAL MEETING, AND AS-SOON AS POSSIBLE
ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | | | | | | |
| | 1 | ADOPT FINANCIAL STATEMENTS AND STATUTORY
REPORTS | Management | | For | | For | | |
| | 2 | APPROVE REMUNERATION REPORT | Management | | Against | | Against | | |
| | 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD | Management | | For | | For | | |
| | 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD | Management | | For | | For | | |
| | 5.a | REELECT METIN COLPAN TO SUPERVISORY BOARD | Management | | For | | For | | |
| | 5.b | REELECT THOMAS EBELING TO SUPERVISORY
BOARD | Management | | For | | For | | |
| | 5.c | REELECT TORALF HAAG TO SUPERVISORY BOARD | Management | | For | | For | | |
| | 5.d | REELECT ROSS L. LEVINE TO SUPERVISORY
BOARD | Management | | For | | For | | |
| | 5.e | REELECT ELAINE MARDIS TO SUPERVISORY
BOARD | Management | | For | | For | | |
| | 5.f | REELECT LAWRENCE A. ROSEN TO SUPERVISORY
BOARD | Management | | For | | For | | |
| | 5.g | REELECT ELIZABETH E. TALLETT TO SUPERVISORY
BOARD | Management | | For | | For | | |
| | 6.a | REELECT THIERRY BERNARD TO MANAGEMENT
BOARD | Management | | For | | For | | |
| | 6.b | REELECT ROLAND SACKERS TO MANAGEMENT
BOARD | Management | | For | | For | | |
| | 7 | APPROVE REMUNERATION POLICY FOR
MANAGEMENT BOARD | Management | | Against | | Against | | |
| | 8.a | APPROVE PARTIAL AMENDMENT OF
REMUNERATION POLICY FOR SUPERVISORY
BOARD | Management | | Against | | Against | | |
| | 8.b | APPROVE REMUNERATION OF SUPERVISORY
BOARD | Management | | Against | | Against | | |
| | 9 | RATIFY KPMG ACCOUNTANTS N.V. AS AUDITORS | Management | | For | | For | | |
| | 10.a | GRANT BOARD AUTHORITY TO ISSUE SHARES | Management | | Against | | Against | | |
| | 10.b | AUTHORIZE BOARD TO EXCLUDE PREEMPTIVE
RIGHTS FROM SHARE ISSUANCES | Management | | For | | For | | |
| | 10.c | AUTHORIZE BOARD TO EXCLUDE PREEMPTIVE
RIGHTS FROM SHARE ISSUANCES IN CONNECTION
TO MERGERS, ACQUISITIONS OR STRATEGIC
ALLIANCES | Management | | Against | | Against | | |
| | 11 | AUTHORIZE REPURCHASE OF ISSUED SHARE
CAPITAL | Management | | For | | For | | |
| | 12 | AMEND ARTICLES OF ASSOCIATION IN
CONNECTION WITH CHANGES TO DUTCH LAW | Management | | For | | For | | |
| | KINGFISHER PLC | | |
| | Security | G5256E441 | | | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | | | Meeting Date | 30-Jun-2021 | |
| | ISIN | GB0033195214 | | | | | | Agenda | 713867503 - Management |
| | Record Date | | | | | | | Holding Recon Date | 28-Jun-2021 | |
| | City / | Country | LONDON | / | United
Kingdom | | | | | Vote Deadline Date | 22-Jun-2021 | |
| | SEDOL(s) | 3319521 - 7617339 - BMGJKH1 | | | | Quick Code | | |
| | Item | Proposal | | Proposed
by | | Vote | For/Against
Management | | |
| | 1 | THAT THE COMPANY'S ANNUAL ACCOUNTS FOR
THE FINANCIAL YEAR ENDED 31 JANUARY 2021
TOGETHER WITH THE STRATEGIC REPORT, THE
DIRECTORS' REPORT, AND INDEPENDENT
AUDITOR'S REPORT ON THOSE ACCOUNTS (THE
'ANNUAL REPORT AND ACCOUNTS') BE RECEIVED | Management | | For | | For | | |
| | 2 | THAT THE DIRECTORS' REMUNERATION REPORT
(EXCLUDING THAT PART CONTAINING THE
DIRECTORS' REMUNERATION POLICY) (THE 'DRR')
SET OUT ON PAGES 82 TO 107 OF THE ANNUAL
REPORT AND ACCOUNTS BE RECEIVED AND
APPROVED | Management | | For | | For | | |
| | 3 | THAT A FINAL DIVIDEND OF 5.50 PENCE PER
ORDINARY SHARE BE DECLARED FOR PAYMENT
ON 5 JULY 2021 TO THOSE SHAREHOLDERS ON
THE REGISTER AT THE CLOSE OF BUSINESS ON 4
JUNE 2021 | Management | | For | | For | | |
| | 4 | THAT CATHERINE BRADLEY BE ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 5 | THAT TONY BUFFIN BE ELECTED AS A DIRECTOR
OF THE COMPANY WITH EFFECT FROM THE END
OF THE MEETING | Management | | For | | For | | |
| | 6 | THAT CLAUDIA ARNEY BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 7 | THAT BERNARD BOT BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 8 | THAT JEFF CARR BE RE-ELECTED AS A DIRECTOR
OF THE COMPANY WITH EFFECT FROM THE END
OF THE MEETING | Management | | For | | For | | |
| | 9 | THAT ANDREW COSSLETT BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 10 | THAT THIERRY GARNIER BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 11 | THAT SOPHIE GASPERMENT BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 12 | THAT RAKHI GOSS-CUSTARD BE RE-ELECTED AS A
DIRECTOR OF THE COMPANY WITH EFFECT FROM
THE END OF THE MEETING | Management | | For | | For | | |
| | 13 | THAT DELOITTE LLP BE RE-ELECTED AS AUDITOR
OF THE COMPANY TO HOLD OFFICE UNTIL THE
CONCLUSION OF THE NEXT GENERAL MEETING AT
WHICH ACCOUNTS ARE LAID BEFORE THE
COMPANY | Management | | For | | For | | |
| | 14 | THAT THE AUDIT COMMITTEE BE AUTHORISED TO
DETERMINE THE REMUNERATION OF THE AUDITOR | Management | | For | | For | | |
| | 15 | THAT THE COMPANY BE AUTHORISED TO MAKE
POLITICAL DONATIONS | Management | | For | | For | | |
| | 16 | THAT THE COMPANY BE AUTHORISED TO ALLOT
NEW SHARES | Management | | For | | For | | |
| | 17 | THAT THE COMPANY BE AUTHORISED TO DISAPPLY
PRE-EMPTION RIGHTS | Management | | For | | For | | |
| | 18 | THAT THE COMPANY BE AUTHORISED TO DISAPPLY
PRE-EMPTION RIGHTS FOR AN ADDITIONAL FIVE
PERCENT | Management | | For | | For | | |
| | 19 | THAT THE COMPANY BE AUTHORISED TO
PURCHASE ITS OWN SHARES | Management | | For | | For | | |
| | 20 | THAT A GENERAL MEETING OTHER THAN AN
ANNUAL GENERAL MEETING MAY BE CALLED ON
NOT LESS THAN 14 CLEAR DAYS' NOTICE | Management | | For | | For | | |
| Registrant: LeaderShares AlphaFactor US Core Equity ETF | | | | | Item 1, Exhibit 15 | | | |
| Investment Company Act file number: 811- 22963 | | | | | | | | | |
| Reporting Period: July 1, 2020-June 30, 2021 | | | | | | | | | |
| | | | | | | | | | | | |
| | Primary Ticker Symbol | Security ID | Meeting Date | Meeting Type | Proposal Number | Proposal Long Text | Proposed By | Recommended Vote | Vote Date | Vote | Account Name |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 3 | Ratification of the selection of Grant Thornton LLP as Credit Acceptance Corporation's independent registered public accounting firm for 2020. | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CREDIT ACCEPTANCE CORPORATION | CACC | 225310101 | 15-Jul-2020 | Annual | 2 | Advisory vote to approve named executive officer compensation. | Management | F | 05-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| E*TRADE FINANCIAL CORPORATION | ETFC | 269246401 | 17-Jul-2020 | Special | 3 | Proposal to adjourn the E*TRADE special meeting, if necessary or appropriate, to solicit additional proxies in favor of the merger agreement proposal if there are not sufficient votes at the time of such adjournment to adopt the merger agreement. | Management | F | 17-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| E*TRADE FINANCIAL CORPORATION | ETFC | 269246401 | 17-Jul-2020 | Special | 1 | Proposal to adopt the Agreement and Plan of Merger, dated as of February 20, 2020 (as it may be amended from time to time, the "merger agreement"), by and among Morgan Stanley, Moon-Eagle Merger Sub, Inc. and E*TRADE Financial Corporation ("E*TRADE"). | Management | F | 17-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| E*TRADE FINANCIAL CORPORATION | ETFC | 269246401 | 17-Jul-2020 | Special | 2 | Proposal to approve, on an advisory (non-binding) basis, certain compensation that may be paid or become payable to E*TRADE's named executive officers in connection with the merger. | Management | F | 17-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | 28-Jul-2020 | Annual | 3 | Ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | F | 24-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | 28-Jul-2020 | Annual | 5 | To approve the Spectrum Brands Holdings, Inc. 2020 Omnibus Equity Plan. | Management | F | 24-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | 28-Jul-2020 | Annual | 1 | Election of Class II Director: Kenneth C. Ambrecht | Management | F | 24-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | 28-Jul-2020 | Annual | 2 | Election of Class II Director: Hugh R. Rovit | Management | F | 24-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | 28-Jul-2020 | Annual | 4 | To approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | F | 24-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 15 | Shareholder proposal on disclosure of lobbying activities and expenditures. | Shareholder | N | 19-Jun-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 12 | Ratification of the appointment of Deloitte & Touche LLP as the company's independent registered public accounting firm for the fiscal year ending March 31, 2021. | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 14 | Shareholder proposal on action by written consent of shareholders. | Shareholder | N | 19-Jun-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 16 | Shareholder proposal on statement of purpose of a corporation. | Shareholder | N | 19-Jun-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 1 | Election of Director for a one-year term: Dominic J. Caruso | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 2 | Election of Director for a one-year term: N. Anthony Coles, M.D. | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 3 | Election of Director for a one-year term: M. Christine Jacobs | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 4 | Election of Director for a one-year term: Donald R. Knauss | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 5 | Election of Director for a one-year term: Marie L. Knowles | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 6 | Election of Director for a one-year term: Bradley E. Lerman | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 7 | Election of Director for a one-year term: Maria Martinez | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 8 | Election of Director for a one-year term: Edward A. Mueller | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 9 | Election of Director for a one-year term: Susan R. Salka | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 10 | Election of Director for a one-year term: Brian S. Tyler | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 11 | Election of Director for a one-year term: Kenneth E. Washington, Ph.D. | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MCKESSON CORPORATION | MCK | 58155Q103 | 29-Jul-2020 | Annual | 13 | Advisory vote on executive compensation. | Management | F | 19-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| RALPH LAUREN CORPORATION | RL | 751212101 | 30-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| RALPH LAUREN CORPORATION | RL | 751212101 | 30-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| RALPH LAUREN CORPORATION | RL | 751212101 | 30-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| RALPH LAUREN CORPORATION | RL | 751212101 | 30-Jul-2020 | Annual | 2 | Ratification of appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending March 27, 2021. | Management | F | 21-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| RALPH LAUREN CORPORATION | RL | 751212101 | 30-Jul-2020 | Annual | 3 | Approval, on an advisory basis, of the compensation of our named executive officers and our compensation philosophy, policies and practices as described in the accompanying Proxy Statement. | Management | F | 21-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 6 | To approve the expected appointment of Ernst & Young LLP as independent auditors for fiscal year 2021. | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 1 | Election of Director: Margot L. Carter | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 2 | Election of Director: Michael R. Nicolais | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 3 | Election of Director: Mary P. Ricciardello | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 4 | Election of Director: Richard R. Stewart | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EAGLE MATERIALS INC | EXP | 26969P108 | 05-Aug-2020 | Annual | 5 | Advisory resolution regarding the compensation of our named executive officers. | Management | F | 27-Jun-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending March 31, 2021 | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 14 | Approval of increase in shares available under the DXC Technology Company 2017 Non-Employee Director Incentive Plan | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 13 | Approval of increase in shares available under the DXC Technology Company 2017 Omnibus Incentive Plan | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 1 | Election of Director: Mukesh Aghi | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 2 | Election of Director: Amy E. Alving | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 3 | Election of Director: David A. Barnes | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 4 | Election of Director: Raul J. Fernandez | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 5 | Election of Director: David L. Herzog | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 6 | Election of Director: Mary L. Krakauer | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 7 | Election of Director: Ian C. Read | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 8 | Election of Director: Michael J. Salvino | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 9 | Election of Director: Manoj P. Singh | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 10 | Election of Director: Robert F. Woods | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DXC TECHNOLOGY COMPANY | DXC | 23355L106 | 13-Aug-2020 | Annual | 12 | Approval, by advisory vote, of named executive officer compensation | Management | F | 03-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 11 | Stockholder proposal regarding political spending disclosure. | Shareholder | N | 23-Jul-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 9 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 1 | Election of Director: Sue Barsamian | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 2 | Election of Director: Eric K. Brandt | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 3 | Election of Director: Frank E. Dangeard | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 4 | Election of Director: Nora M. Denzel | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 5 | Election of Director: Peter A. Feld | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 6 | Election of Director: Kenneth Y. Hao | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 7 | Election of Director: David W. Humphrey | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 8 | Election of Director: Vincent Pilette | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 10 | Advisory vote to approve executive compensation. | Management | F | 23-Jul-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 12 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2021. | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 1 | Election of Director for a one-year term: Edward Barnholt | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 2 | Election of Director for a one-year term: Robert Calderoni | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 3 | Election of Director for a one-year term: Jeneanne Hanley | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 4 | Election of Director for a one-year term: Emiko Higashi | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 5 | Election of Director for a one-year term: Kevin Kennedy | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 6 | Election of Director for a one-year term: Gary Moore | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 7 | Election of Director for a one-year term: Marie Myers | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 8 | Election of Director for a one-year term: Kiran Patel | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 9 | Election of Director for a one-year term: Victor Peng | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 10 | Election of Director for a one-year term: Robert Rango | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 11 | Election of Director for a one-year term: Richard Wallace | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 14 | Stockholder proposal regarding proxy access, if properly submitted at the Annual Meeting. | Shareholder | N | 24-Sep-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| KLA CORPORATION | KLAC | 482480100 | 04-Nov-2020 | Annual | 13 | Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | F | 24-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 4 | Ratification of Selection of Independent Registered Public Accounting Firm. | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 5 | Stockholder Proposal Regarding Pay Equity Report. | Shareholder | N | 21-Sep-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 3 | Approve the Oracle Corporation 2020 Equity Incentive Plan. | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 6 | Stockholder Proposal Regarding Independent Board Chair. | Shareholder | N | 21-Sep-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 2 | Advisory Vote to Approve Compensation of Named Executive Officers. | Management | F | 21-Sep-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 10 | To ratify the appointment of Ernst & Young LLP to act as registered independent accountants of the Company for the fiscal year ending June 30, 2021. | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 1 | Election of Director: Richard A. Beck | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 2 | Election of Director: Celeste A. Clark | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 3 | Election of Director: Dean Hollis | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 4 | Election of Director: Shervin J. Korangy | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 5 | Election of Director: Mark L. Schiller | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 6 | Election of Director: Michael B. Sims | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 7 | Election of Director: Glenn W. Welling | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 8 | Election of Director: Dawn M. Zier | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HAIN CELESTIAL GROUP, INC. | HAIN | 405217100 | 24-Nov-2020 | Annual | 9 | To approve, on an advisory basis, named executive officer compensation. | Management | F | 14-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PALO ALTO NETWORKS, INC. | PANW | 697435105 | 09-Dec-2020 | Annual | 4 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2021. | Management | F | 22-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PALO ALTO NETWORKS, INC. | PANW | 697435105 | 09-Dec-2020 | Annual | 1 | Election of Class III Director: Nikesh Arora | Management | F | 22-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PALO ALTO NETWORKS, INC. | PANW | 697435105 | 09-Dec-2020 | Annual | 2 | Election of Class III Director: Carl Eschenbach | Management | F | 22-Oct-2020 | A | LDRSHRS ALPHAFACT US CORE ETF |
| PALO ALTO NETWORKS, INC. | PANW | 697435105 | 09-Dec-2020 | Annual | 3 | Election of Class III Director: Lorraine Twohill | Management | F | 22-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PALO ALTO NETWORKS, INC. | PANW | 697435105 | 09-Dec-2020 | Annual | 5 | To approve, on an advisory basis, the compensation of our named executive officers. | Management | F | 22-Oct-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UBIQUITI INC. | UI | 90353W103 | 10-Dec-2020 | Annual | 2 | Ratification of the appointment of KPMG LLP as Ubiquiti's independent registered public accounting firm for the fiscal year ending June 30, 2021. | Management | F | 04-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UBIQUITI INC. | UI | 90353W103 | 10-Dec-2020 | Annual | 4 | The approval of the Ubiquiti Inc. 2020 Omnibus Incentive Plan. | Management | F | 04-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UBIQUITI INC. | UI | 90353W103 | 10-Dec-2020 | Annual | 1 | Election of Class III Director: Robert J. Pera | Management | F | 04-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UBIQUITI INC. | UI | 90353W103 | 10-Dec-2020 | Annual | 3 | The approval of Ubiquiti's named executive officer compensation, on an advisory and non-binding basis. | Management | F | 04-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 6 | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending July 31, 2021. | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 9 | To approve the Guidewire Software, Inc. 2020 Stock Plan. | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 10 | To consider a stockholder proposal regarding adoption of a simple majority voting standard in the Company's Certificate of Incorporation and Bylaws for all actions that require a vote by stockholders, if properly presented at the meeting. | Shareholder | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 1 | Election of Director: Andrew Brown | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 2 | Election of Director: Margaret Dillon | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 3 | Election of Director: Michael Keller | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 4 | Election of Director: Catherine P. Lego | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 5 | Election of Director: Mike Rosenbaum | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 8 | To approve, on an advisory basis, the frequency of future non-binding, advisory votes to approve the compensation of the Company's named executive officers. | Management | 1 | 13-Nov-2020 | 1 | LDRSHRS ALPHAFACT US CORE ETF |
| GUIDEWIRE SOFTWARE, INC. | GWRE | 40171V100 | 15-Dec-2020 | Annual | 7 | To approve, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the Proxy Statement. | Management | F | 13-Nov-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 13 | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm. | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 1 | Election of Director: Steven J. Demetriou | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 2 | Election of Director: Christopher M.T. Thompson | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 3 | Election of Director: General Vincent K. Brooks | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 4 | Election of Director: Robert C. Davidson, Jr. | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 5 | Election of Director: General Ralph E. Eberhart | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 6 | Election of Director: Manny Fernandez | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 7 | Election of Director: Georgette D. Kiser | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 8 | Election of Director: Linda Fayne Levinson | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 9 | Election of Director: Barbara L. Loughran | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 10 | Election of Director: Robert A. McNamara | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 11 | Election of Director: Peter J. Robertson | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JACOBS ENGINEERING GROUP INC. | J | 469814107 | 26-Jan-2021 | Annual | 12 | Advisory vote to approve the Company's executive compensation. | Management | F | 13-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 17 | To vote on a stockholder proposal requesting stockholders' right to act by written consent, if properly presented. | Shareholder | N | 11-Dec-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 16 | Approval of an amendment to our Certificate of Incorporation to enable the adoption of a special meeting right for Class A common stockholders. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 1 | Election of Director: Lloyd A. Carney | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 2 | Election of Director: Mary B. Cranston | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 3 | Election of Director: Francisco Javier Fernández-Carbajal | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 4 | Election of Director: Alfred F. Kelly, Jr. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 5 | Election of Director: Ramon Laguarta | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 6 | Election of Director: John F. Lundgren | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 7 | Election of Director: Robert W. Matschullat | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 8 | Election of Director: Denise M. Morrison | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 9 | Election of Director: Suzanne Nora Johnson | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 10 | Election of Director: Linda J. Rendle | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 11 | Election of Director: John A. C. Swainson | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 12 | Election of Director: Maynard G. Webb, Jr. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 15 | Approval of the Visa Inc. 2007 Equity Incentive Compensation Plan, as amended and restated. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 18 | To vote on a stockholder proposal to amend our principles of executive compensation program, if properly presented. | Shareholder | N | 11-Dec-2020 | N | LDRSHRS ALPHAFACT US CORE ETF |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 13 | Approval, on an advisory basis, of compensation paid to our named executive officers. | Management | F | 11-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 2 | Ratification of KPMG LLP as Independent Registered Public Accounting Firm. | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 3 | Approval, by non-binding advisory vote, of Emerson Electric Co. executive compensation. | Management | F | 16-Dec-2020 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 12 | A shareholder proposal entitled "Shareholder Proposal to Improve Executive Compensation Program". | Shareholder | N | 07-Jan-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 9 | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for fiscal 2021. | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 11 | A shareholder proposal entitled "Shareholder Proxy Access Amendments". | Shareholder | N | 07-Jan-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 1 | Election of Director: James Bell | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 2 | Election of Director: Tim Cook | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 3 | Election of Director: Al Gore | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 4 | Election of Director: Andrea Jung | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 5 | Election of Director: Art Levinson | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 6 | Election of Director: Monica Lozano | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 7 | Election of Director: Ron Sugar | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 8 | Election of Director: Sue Wagner | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 10 | Advisory vote to approve executive compensation. | Management | F | 07-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 14 | Stockholder proposal regarding lobbying disclosure. | Shareholder | N | 17-Jan-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 12 | Ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2021. | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 1 | Election of Director: Bradley W. Buss | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 2 | Election of Director: Robert G. Card | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 3 | Election of Director: Diane C. Creel | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 4 | Election of Director: Jacqueline C. Hinman | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 5 | Election of Director: Lydia H. Kennard | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 6 | Election of Director: W. Troy Rudd | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 7 | Election of Director: Clarence T. Schmitz | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 8 | Election of Director: Douglas W. Stotlar | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 9 | Election of Director: Daniel R. Tishman | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 10 | Election of Director: Sander van't Noordende | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 11 | Election of Director: General Janet C. Wolfenbarger | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AECOM | ACM | 00766T100 | 24-Feb-2021 | Annual | 13 | Advisory vote to approve the Company's executive compensation. | Management | F | 17-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 11 | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2021. | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 1 | Election of Director: Braden R. Kelly | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 2 | Election of Director: Fabiola R. Arredondo | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 3 | Election of Director: James D. Kirsner | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 4 | Election of Director: William J. Lansing | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 5 | Election of Director: Eva Manolis | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 6 | Election of Director: Marc F. McMorris | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 7 | Election of Director: Joanna Rees | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 8 | Election of Director: David A. Rey | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 9 | To approve the 2021 Long-Term Incentive Plan. | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FAIR ISAAC CORPORATION | FICO | 303250104 | 03-Mar-2021 | Annual | 10 | To approve the advisory (non-binding) resolution relating to the named executive officer compensation as disclosed in the proxy statement. | Management | F | 28-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 12 | Ratification of the appointment of KPMG LLP as Applied Materials' independent registered public accounting firm for fiscal year 2021. | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 14 | Approval of the Omnibus Employees' Stock Purchase Plan. | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 13 | Approval of the amended and restated Employee Stock Incentive Plan. | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 16 | Shareholder proposal to improve the executive compensation program and policy to include CEO pay ratio and other factors. | Shareholder | N | 29-Jan-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 1 | Election of Director: Rani Borkar | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 2 | Election of Director: Judy Bruner | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 3 | Election of Director: Xun (Eric) Chen | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 4 | Election of Director: Aart J. de Geus | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 5 | Election of Director: Gary E. Dickerson | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 6 | Election of Director: Thomas J. Iannotti | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 7 | Election of Director: Alexander A. Karsner | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 8 | Election of Director: Adrianna C. Ma | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 9 | Election of Director: Yvonne McGill | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 10 | Election of Director: Scott A. McGregor | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 15 | Shareholder proposal to adopt a policy, and amend our governing documents as necessary, to require the Chairman of the Board to be independent whenever possible including the next Chairman of the Board transition. | Shareholder | N | 29-Jan-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| APPLIED MATERIALS, INC. | AMAT | 038222105 | 11-Mar-2021 | Annual | 11 | Approval, on an advisory basis, of the compensation of Applied Materials' named executive officers for fiscal year 2020. | Management | F | 29-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 11-Mar-2021 | Special | 1 | Approval of the S&P Global Share Issuance. To vote on a proposal to approve the issuance of S&P Global Inc. common stock, par value $1.00 per share, to the shareholders of IHS Markit Ltd. in connection with the merger contemplated by Agreement and Plan of Merger dated Nov. 29, 2020, as amended by Amendment No. 1, dated as of January 20, 2021, and as it may further be amended from time to time, by and among S&P Global Inc., Sapphire Subsidiary, Ltd. and IHS Markit Ltd. | Management | F | 27-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 10 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2021. | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 1 | Election of Director: Stephen P. MacMillan | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 2 | Election of Director: Sally W. Crawford | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 3 | Election of Director: Charles J. Dockendorff | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 4 | Election of Director: Scott T. Garrett | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 5 | Election of Director: Ludwig N. Hantson | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 6 | Election of Director: Namal Nawana | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 7 | Election of Director: Christiana Stamoulis | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 8 | Election of Director: Amy M. Wendell | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOLOGIC, INC. | HOLX | 436440101 | 11-Mar-2021 | Annual | 9 | A non-binding advisory resolution to approve executive compensation. | Management | F | 23-Jan-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 6 | To ratify the Audit and Finance Committee's appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm. | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 1 | Election of Director: Mala Anand | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 2 | Election of Director: Koh Boon Hwee | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 3 | Election of Director: Michael R. McMullen | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 4 | Election of Director: Daniel K. Podolsky, M.D. | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AGILENT TECHNOLOGIES, INC. | A | 00846U101 | 17-Mar-2021 | Annual | 5 | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | Management | F | 05-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 4 | To ratify the Audit and Finance Committee's appointment of PricewaterhouseCoopers LLP as Keysight's independent registered public accounting firm. | Management | F | 03-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 1 | Election of Director: Ronald S. Nersesian | Management | F | 03-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 2 | Election of Director: Charles J. Dockendorff | Management | F | 03-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 3 | Election of Director: Robert A. Rango | Management | F | 03-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 6 | To approve, on a non-binding advisory basis, the frequency of the stockholder vote on the compensation of Keysight's named executive officers. | Management | 1 | 03-Feb-2021 | 1 | LDRSHRS ALPHAFACT US CORE ETF |
| KEYSIGHT TECHNOLOGIES, INC. | KEYS | 49338L103 | 18-Mar-2021 | Annual | 5 | To approve, on a non-binding advisory basis, the compensation of Keysight's named executive officers. | Management | F | 03-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 13 | Ratify Deloitte & Touche LLP as independent auditors for the fiscal year-ending November 30, 2021. | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 1 | Election of Director: Linda L. Adamany | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 2 | Election of Director: Barry J. Alperin | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 3 | Election of Director: Robert D. Beyer | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 4 | Election of Director: Francisco L. Borges | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 5 | Election of Director: Brian P. Friedman | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 6 | Election of Director: MaryAnne Gilmartin | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 7 | Election of Director: Richard B. Handler | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 8 | Election of Director: Jacob M. Katz | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 9 | Election of Director: Michael T. O'Kane | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 10 | Election of Director: Joseph S. Steinberg | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 12 | Approval of Jefferies' New Equity Compensation Plan. | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | 25-Mar-2021 | Annual | 11 | Approve named executive officer compensation on an advisory basis. | Management | F | 14-Feb-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 11 | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for 2021. | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 1 | Election of Director: Jean S. Blackwell | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 2 | Election of Director: William M. Brown | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 3 | Election of Director: Edward G. Galante | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 4 | Election of Director: Kathryn M. Hill | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 5 | Election of Director: David F. Hoffmeister | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 6 | Election of Director: Dr. Jay V. Ihlenfeld | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 7 | Election of Director: Deborah J. Kissire | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 8 | Election of Director: Kim K.W. Rucker | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 9 | Election of Director: Lori J. Ryerkerk | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 10 | Election of Director: John K. Wulff | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CELANESE CORPORATION | CE | 150870103 | 15-Apr-2021 | Annual | 12 | Advisory vote to approve executive compensation. | Management | F | 07-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 13 | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on December 3, 2021. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 1 | Election of Director for a term of one year: Amy Banse | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 2 | Election of Director for a term of one year: Melanie Boulden | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 3 | Election of Director for a term of one year: Frank Calderoni | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 4 | Election of Director for a term of one year: James Daley | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 5 | Election of Director for a term of one year: Laura Desmond | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 6 | Election of Director for a term of one year: Shantanu Narayen | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 7 | Election of Director for a term of one year: Kathleen Oberg | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 8 | Election of Director for a term of one year: Dheeraj Pandey | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 9 | Election of Director for a term of one year: David Ricks | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 10 | Election of Director for a term of one year: Daniel Rosensweig | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 11 | Election of Director for a term of one year: John Warnock | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 12 | Approve the Adobe Inc. 2019 Equity Incentive Plan, as amended, to increase the available share reserve by 6 million shares. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 14 | Approve, on an advisory basis, the compensation of our named executive officers. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 12 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 1 | Election of Director: Kerrii B. Anderson | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 2 | Election of Director: Arthur F. Anton | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 3 | Election of Director: Jeff M. Fettig | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 4 | Election of Director: Richard J. Kramer | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 5 | Election of Director: John G. Morikis | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 6 | Election of Director: Christine A. Poon | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 7 | Election of Director: Aaron M. Powell | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 8 | Election of Director: Michael H. Thaman | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 9 | Election of Director: Matthew Thornton III | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 10 | Election of Director: Steven H. Wunning | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE SHERWIN-WILLIAMS COMPANY | SHW | 824348106 | 21-Apr-2021 | Annual | 11 | Advisory approval of the compensation of the named executives. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 13 | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 14 | Stockholder proposal to permit shareholder action by written consent. | Shareholder | N | 10-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 1 | Election of Director: Mark A. Blinn | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 2 | Election of Director: Todd M. Bluedorn | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 3 | Election of Director: Janet F. Clark | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 4 | Election of Director: Carrie S. Cox | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 5 | Election of Director: Martin S. Craighead | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 6 | Election of Director: Jean M. Hobby | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 7 | Election of Director: Michael D. Hsu | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 8 | Election of Director: Ronald Kirk | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 9 | Election of Director: Pamela H. Patsley | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 10 | Election of Director: Robert E. Sanchez | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 11 | Election of Director: Richard K. Templeton | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 12 | Board proposal regarding advisory approval of the Company's executive compensation. | Management | F | 10-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 12 | Ratification of Appointment of Ernst & Young LLP as Independent Auditors for 2021. | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 14 | Stockholder Proposal to Adopt Stockholder Action By Written Consent. | Shareholder | N | 14-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 1 | Election of Director: Daniel F. Akerson | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 2 | Election of Director: David B. Burritt | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 3 | Election of Director: Bruce A. Carlson | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 4 | Election of Director: Joseph F. Dunford, Jr. | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 5 | Election of Director: James O. Ellis, Jr. | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 6 | Election of Director: Thomas J. Falk | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 7 | Election of Director: Ilene S. Gordon | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 8 | Election of Director: Vicki A. Hollub | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 9 | Election of Director: Jeh C. Johnson | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 10 | Election of Director: Debra L. Reed-Klages | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 11 | Election of Director: James D. Taiclet | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 15 | Stockholder Proposal to issue a Report on Human Rights Due Diligence. | Shareholder | N | 14-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 13 | Advisory Vote to Approve the Compensation of our Named Executive Officers (Say-on-Pay). | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 14 | Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2021. | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 1 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Sallie B. Bailey | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 2 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: William M. Brown | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 3 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Peter W. Chiarelli | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 4 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Thomas A. Corcoran | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 5 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Thomas A. Dattilo | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 6 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Roger B. Fradin | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 7 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Lewis Hay III | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 8 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Lewis Kramer | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 9 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Christopher E. Kubasik | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 10 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Rita S. Lane | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 11 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Robert B. Millard | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 12 | Election of Director for a Term Expiring at the 2022 Annual Meeting of Shareholders: Lloyd W. Newton | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| L3HARRIS TECHNOLOGIES INC. | LHX | 502431109 | 23-Apr-2021 | Annual | 13 | Approval, in an Advisory Vote, of the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Management | F | 14-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ROLLINS, INC. | ROL | 775711104 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ROLLINS, INC. | ROL | 775711104 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ROLLINS, INC. | ROL | 775711104 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ROLLINS, INC. | ROL | 775711104 | 27-Apr-2021 | Annual | 2 | To ratify the appointment of Grant Thornton LLP as independent registered public accounting firm of the Company for fiscal year ending December 31, 2021. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ROLLINS, INC. | ROL | 775711104 | 27-Apr-2021 | Annual | 3 | To amend the Restated Certificate of Incorporation of the Company to increase the total number of authorized shares of capital stock from 550,500,000 shares to 800,500,000 shares, such that authorized shares of common stock would be increased from 550,000,000 to 800,000,000 and authorized shares of preferred stock would remain 500,000. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 3 | Ratifying the appointment of Deloitte & Touche LLP as independent auditors for fiscal 2021. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VALMONT INDUSTRIES, INC. | VMI | 920253101 | 27-Apr-2021 | Annual | 2 | Advisory approval of the company's executive compensation. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 11 | To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 1 | Election of Director: Henry A. Fernandez | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 2 | Election of Director: Robert G. Ashe | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 3 | Election of Director: Wayne Edmunds | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 4 | Election of Director: Catherine R. Kinney | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 5 | Election of Director: Jacques P. Perold | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 6 | Election of Director: Sandy C. Rattray | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 7 | Election of Director: Linda H. Riefler | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 8 | Election of Director: Marcus L. Smith | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 9 | Election of Director: Paula Volent | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MSCI INC. | MSCI | 55354G100 | 27-Apr-2021 | Annual | 10 | To approve, by non-binding vote, our executive compensation, as described in these proxy materials. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 15 | Stockholder proposal regarding lobbying activities. | Shareholder | N | 19-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 14 | The ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the year ended December 31, 2021. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 17 | Stockholder proposal regarding diversity and inclusion efforts. | Shareholder | N | 19-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 1 | Election of Director: W. Lance Conn | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 2 | Election of Director: Kim C. Goodman | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 3 | Election of Director: Craig A. Jacobson | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 4 | Election of Director: Gregory B. Maffei | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 5 | Election of Director: John D. Markley, Jr. | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 6 | Election of Director: David C. Merritt | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 7 | Election of Director: James E. Meyer | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 8 | Election of Director: Steven A. Miron | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 9 | Election of Director: Balan Nair | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 10 | Election of Director: Michael A. Newhouse | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 11 | Election of Director: Mauricio Ramos | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 12 | Election of Director: Thomas M. Rutledge | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 13 | Election of Director: Eric L. Zinterhofer | Management | F | 19-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 16 | Stockholder proposal regarding Chairman of the Board and CEO roles. | Shareholder | N | 19-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 18 | Stockholder proposal regarding disclosure of greenhouse gas emissions. | Shareholder | N | 19-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| CHARTER COMMUNICATIONS, INC. | CHTR | 16119P108 | 27-Apr-2021 | Annual | 19 | Stockholder proposal regarding EEO-1 reports. | Shareholder | N | 19-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 3 | Proposal to ratify the appointment of BancShares' independent accountants for 2021. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FIRST CITIZENS BANCSHARES, INC. | FCNCA | 31946M103 | 27-Apr-2021 | Annual | 2 | Non-binding advisory resolution ("say-on-pay" resolution) to approve compensation paid or provided to BancShares' named executive officers as disclosed in the proxy statement for the Annual Meeting. | Management | F | 12-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 11 | To ratify the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 1 | Election of Director: James M. Cracchiolo | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 2 | Election of Director: Dianne Neal Blixt | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 3 | Election of Director: Amy DiGeso | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 4 | Election of Director: Lon R. Greenberg | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 5 | Election of Director: Jeffrey Noddle | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 6 | Election of Director: Robert F. Sharpe, Jr. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 7 | Election of Director: Brian T. Shea | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 8 | Election of Director: W. Edward Walter III | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 9 | Election of Director: Christopher J. Williams | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMERIPRISE FINANCIAL, INC. | AMP | 03076C106 | 28-Apr-2021 | Annual | 10 | To approve the compensation of the named executive officers by a nonbinding advisory vote. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 18 | Shareholder Proposal Regarding Conversion to a Public Benefit Corporation. | Shareholder | N | 21-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 15 | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for 2021. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 16 | Shareholder Proposal Regarding Shareholder Right to Act by Written Consent. | Shareholder | N | 21-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 17 | Shareholder Proposal Regarding a Report on the Effects of the Use of Mandatory Arbitration. | Shareholder | N | 21-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 1 | Election of Director: M. Michele Burns | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 2 | Election of Director: Drew G. Faust | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 3 | Election of Director: Mark A. Flaherty | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 4 | Election of Director: Ellen J. Kullman | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 5 | Election of Director: Lakshmi N. Mittal | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 6 | Election of Director: Adebayo O. Ogunlesi | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 7 | Election of Director: Peter Oppenheimer | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 8 | Election of Director: David M. Solomon | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 9 | Election of Director: Jan E. Tighe | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 10 | Election of Director: Jessica R. Uhl | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 11 | Election of Director: David A. Viniar | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 12 | Election of Director: Mark O. Winkelman | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 14 | Approval of The Goldman Sachs Amended and Restated Stock Incentive Plan (2021). | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 19 | Shareholder Proposal Regarding a Racial Equity Audit | Shareholder | N | 21-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation (Say on Pay). | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 12 | Ratification of Auditor. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 17 | Stockholder Proposal Regarding Right to Act by Written Consent. | Shareholder | N | 09-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 1 | Election of Director: John W. Culver | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 2 | Election of Director: Robert W. Decherd | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 3 | Election of Director: Michael D. Hsu | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 4 | Election of Director: Mae C. Jemison, M.D. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 5 | Election of Director: S. Todd Maclin | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 6 | Election of Director: Sherilyn S. McCoy | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 7 | Election of Director: Christa S. Quarles | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 8 | Election of Director: Ian C. Read | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 9 | Election of Director: Dunia A. Shive | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 10 | Election of Director: Mark T. Smucker | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 11 | Election of Director: Michael D. White | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 16 | Reduce Ownership Threshold required to call a Special Meeting of Stockholders. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 14 | Approval of 2021 Equity Participation Plan. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 15 | Approval of 2021 Outside Directors' Compensation Plan. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 13 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 09-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 12 | The ratification of the Audit and Finance Committee's appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 1 | Election of Director: Nancy E. Cooper | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 2 | Election of Director: David C. Everitt | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 3 | Election of Director: Reginald Fils-Aimé | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 4 | Election of Director: Lauren P. Flaherty | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 5 | Election of Director: David M. Foulkes | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 6 | Election of Director: Joseph W. McClanathan | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 7 | Election of Director: David V. Singer | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 8 | Election of Director: Jane L. Warner | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 9 | Election of Director: J. Steven Whisler | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 10 | Election of Director: Roger J. Wood | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUNSWICK CORPORATION | BC | 117043109 | 05-May-2021 | Annual | 11 | Advisory vote to approve the compensation of our Named Executive Officers. | Management | F | 21-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 14 | Ratify the selection of Ernst & Young LLP as our independent auditor for 2021. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 16 | Shareholder proposal to transition to a Public Benefit Corporation. | Shareholder | N | 04-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 15 | Approve, on an advisory basis, the Company's Greenhouse Gas (GHG) Emissions Reduction Plan. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 1 | Election of Director: Marco Alverà | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 2 | Election of Director: William J. Amelio | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 3 | Election of Director: William D. Green | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 4 | Election of Director: Stephanie C. Hill | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 5 | Election of Director: Rebecca Jacoby | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 6 | Election of Director: Monique F. Leroux | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 7 | Election of Director: Ian P. Livingston | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 8 | Election of Director: Maria R. Morris | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 9 | Election of Director: Douglas L. Peterson | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 10 | Election of Director: Edward B. Rust, Jr. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 11 | Election of Director: Kurt L. Schmoke | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 12 | Election of Director: Richard E. Thornburgh | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| S&P GLOBAL INC. | SPGI | 78409V104 | 05-May-2021 | Annual | 13 | Approve, on an advisory basis, the executive compensation program for the Company's named executive officers. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 16 | Shareholder Proposal - Special Shareholder Meeting Vote Threshold. | Shareholder | N | 25-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 17 | Shareholder Proposal - Report on Sugar and Public Health. | Shareholder | N | 25-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 18 | Shareholder Proposal - Report on External Public Health Costs. | Shareholder | N | 25-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2021. | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 1 | Election of Director: Segun Agbaje | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 2 | Election of Director: Shona L. Brown | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 3 | Election of Director: Cesar Conde | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 4 | Election of Director: Ian Cook | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 5 | Election of Director: Dina Dublon | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 6 | Election of Director: Michelle Gass | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 7 | Election of Director: Ramon L. Laguarta | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 8 | Election of Director: Dave Lewis | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 9 | Election of Director: David C. Page | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 10 | Election of Director: Robert C. Pohlad | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 11 | Election of Director: Daniel Vasella | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 12 | Election of Director: Darren Walker | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 13 | Election of Director: Alberto Weisser | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 15 | Advisory approval of the Company's executive compensation. | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 9 | RATIFICATION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 1 | ELECTION OF DIRECTORS: Robert F. Spoerry | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 2 | ELECTION OF DIRECTOR: Wah-Hui Chu | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 3 | ELECTION OF DIRECTOR: Domitille Doat-Le Bigot | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 4 | ELECTION OF DIRECTOR: Olivier A. Filliol | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 5 | ELECTION OF DIRECTOR: Elisha W. Finney | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 6 | ELECTION OF DIRECTOR: Richard Francis | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 7 | ELECTION OF DIRECTOR: Michael A. Kelly | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 8 | ELECTION OF DIRECTOR: Thomas P. Salice | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 11 | APPROVAL OF THE METTLER-TOLEDO INTERNATIONAL INC. 2013 EQUITY INCENTIVE PLAN (AMENDED AND RESTATED EFFECTIVE AS OF MAY 6, 2021). | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METTLER-TOLEDO INTERNATIONAL INC. | MTD | 592688105 | 06-May-2021 | Annual | 10 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | F | 18-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 14 | Ratify Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 13 | Approve the 2021 Omnibus Stock Compensation Plan | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 15 | Advisory Vote on Stockholder Proposal Requesting that the Board of Directors Take Steps Necessary to Permit Stockholders to Act by Written Consent | Shareholder | N | 30-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 1 | Election of Director: HUMBERTO P. ALFONSO | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 2 | Election of Director: VANESSA L. ALLEN SUTHERLAND | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 3 | Election of Director: BRETT D. BEGEMANN | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 4 | Election of Director: MARK J. COSTA | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 5 | Election of Director: EDWARD L. DOHENY II | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 6 | Election of Director: JULIE F. HOLDER | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 7 | Election of Director: RENÉE J. HORNBAKER | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 8 | Election of Director: KIM ANN MINK | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 9 | Election of Director: JAMES J. O'BRIEN | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 10 | Election of Director: DAVID W. RAISBECK | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 11 | Election of Director: CHARLES K. STEVENS III | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EASTMAN CHEMICAL COMPANY | EMN | 277432100 | 06-May-2021 | Annual | 12 | Advisory Approval of Executive Compensation as Disclosed in Proxy Statement | Management | F | 30-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 14 | Ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for the current year ending December 31, 2021. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 16 | Stockholder proposal regarding proxy access, if properly presented. | Shareholder | N | 24-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 1 | Election of Director: Douglas M. Baker, Jr. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 2 | Election of Director: Shari L. Ballard | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 3 | Election of Director: Barbara J. Beck | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 4 | Election of Director: Christophe Beck | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 5 | Election of Director: Jeffrey M. Ettinger | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 6 | Election of Director: Arthur J. Higgins | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 7 | Election of Director: Michael Larson | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 8 | Election of Director: David W. MacLennan | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 9 | Election of Director: Tracy B. McKibben | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 10 | Election of Director: Lionel L. Nowell, III | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 11 | Election of Director: Victoria J. Reich | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 12 | Election of Director: Suzanne M. Vautrinot | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 13 | Election of Director: John J. Zillmer | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 15 | Advisory vote to approve the compensation of executives disclosed in the Proxy Statement. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 8 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2021. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 10 | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK FROM 300,000,000 TO 500,000,000. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 1 | Election of Director: Evelyn S. Dilsaver | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 2 | Election of Director: Cathy R. Gates | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 3 | Election of Director: John A. Heil | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 4 | Election of Director: Jon L. Luther | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 5 | Election of Director: Richard W. Neu | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 6 | Election of Director: Scott L. Thompson | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 7 | Election of Director: Robert B. Trussell, Jr. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TEMPUR SEALY INTERNATIONAL, INC. | TPX | 88023U101 | 06-May-2021 | Annual | 9 | ADVISORY VOTE TO APPROVE THE COMPENSATION OF NAMED EXECUTIVE OFFICERS. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 11 | Ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of Cadence for its fiscal year ending January 1, 2022. | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 12 | Stockholder proposal regarding written consent. | Shareholder | N | 28-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 1 | Election of Director: Mark W. Adams | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 2 | Election of Director: Ita Brennan | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 3 | Election of Director: Lewis Chew | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 4 | Election of Director: Julia Liuson | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 5 | Election of Director: James D. Plummer | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 6 | Election of Director: Alberto Sangiovanni-Vincentelli | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 7 | Election of Director: John B. Shoven | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 8 | Election of Director: Young K. Sohn | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 9 | Election of Director: Lip-Bu Tan | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CADENCE DESIGN SYSTEMS, INC. | CDNS | 127387108 | 06-May-2021 | Annual | 10 | Advisory resolution to approve named executive officer compensation. | Management | F | 28-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 12 | The ratification of the appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for 2021. | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 1 | Election of Director: Donna M. Alvarado | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 2 | Election of Director: Thomas P. Bostick | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 3 | Election of Director: James M. Foote | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 4 | Election of Director: Steven T. Halverson | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 5 | Election of Director: Paul C. Hilal | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 6 | Election of Director: David M. Moffett | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 7 | Election of Director: Linda H. Riefler | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 8 | Election of Director: Suzanne M. Vautrinot | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 9 | Election of Director: James L. Wainscott | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 10 | Election of Director: J. Steven Whisler | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 11 | Election of Director: John J. Zillmer | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 13 | Advisory (non-binding) resolution to approve compensation for the Company's named executive officers. | Management | F | 26-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 14 | Stockholder proposal for a report on voting by our funds and portfolios on matters related to climate change. | Shareholder | N | 25-Mar-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 13 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2021. | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 1 | Election of Director: Mark S. Bartlett | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 2 | Election of Director: Mary K. Bush | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 3 | Election of Director: Dina Dublon | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 4 | Election of Director: Dr. Freeman A. Hrabowski, III | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 5 | Election of Director: Robert F. MacLellan | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 6 | Election of Director: Olympia J. Snowe | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 7 | Election of Director: Robert J. Stevens | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 8 | Election of Director: William J. Stromberg | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 9 | Election of Director: Richard R. Verma | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 10 | Election of Director: Sandra S. Wijnberg | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 11 | Election of Director: Alan D. Wilson | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| T. ROWE PRICE GROUP, INC. | TROW | 74144T108 | 11-May-2021 | Annual | 12 | To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. | Management | F | 25-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALEXION PHARMACEUTICALS, INC. | ALXN | 015351109 | 11-May-2021 | Special | 3 | To approve the adjournment of the Alexion special meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the Alexion special meeting to approve the merger proposal or to ensure that any supplement or amendment to this proxy statement/ prospectus is timely provided to Alexion stockholders. | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALEXION PHARMACEUTICALS, INC. | ALXN | 015351109 | 11-May-2021 | Special | 1 | To adopt the Agreement and Plan of Merger, dated as of December 12, 2020 (as it may be amended from time to time, the "merger agreement") by and among Alexion, AstraZeneca PLC ("AstraZeneca"), Delta Omega Sub Holdings Inc., a wholly owned subsidiary of AstraZeneca ("Bidco"), Delta Omega Sub Holdings Inc. 1, a direct, wholly owned subsidiary of Bidco and Delta Omega Sub Holdings LLC 2, a direct, wholly owned subsidiary of Bidco (the "merger proposal"). | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALEXION PHARMACEUTICALS, INC. | ALXN | 015351109 | 11-May-2021 | Special | 2 | To approve, on a non-binding, advisory basis, the compensation that may be paid or become payable to Alexion's named executive officers that is based on or otherwise relates to the transactions contemplated by the merger agreement. | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 2 | To ratify the appointment of Ernst & Young LLP as Arrow's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ARROW ELECTRONICS, INC. | ARW | 042735100 | 12-May-2021 | Annual | 3 | To approve, by non-binding vote, named executive officer compensation. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 2 | Ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SERVICE CORPORATION INTERNATIONAL | SCI | 817565104 | 12-May-2021 | Annual | 3 | To approve, by advisory vote, named executive officer compensation. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SYNEOS HEALTH, INC. | SYNH | 87166B102 | 12-May-2021 | Annual | 5 | To ratify the appointment of the Company's independent auditors Deloitte & Touche LLP. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SYNEOS HEALTH, INC. | SYNH | 87166B102 | 12-May-2021 | Annual | 1 | Election of Director: Thomas Allen | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SYNEOS HEALTH, INC. | SYNH | 87166B102 | 12-May-2021 | Annual | 2 | Election of Director: Linda A. Harty | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SYNEOS HEALTH, INC. | SYNH | 87166B102 | 12-May-2021 | Annual | 3 | Election of Director: Alistair Macdonald | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SYNEOS HEALTH, INC. | SYNH | 87166B102 | 12-May-2021 | Annual | 4 | To approve on an advisory (nonbinding) basis our executive compensation. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 14 | Ratification of the selection of Deloitte & Touche LLP as the Company's independent auditing firm for the year ending December 31, 2021. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 1 | Election of Director: John D. Barr | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 2 | Election of Director: Lisa Davis | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 3 | Election of Director: Wolfgang Dürheimer | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 4 | Election of Director: Michael R. Eisenson | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 5 | Election of Director: Robert H. Kurnick, Jr. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 6 | Election of Director: Kimberly J. McWaters | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 7 | Election of Director: Greg Penske | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 8 | Election of Director: Roger S. Penske | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 9 | Election of Director: Sandra E. Pierce | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 10 | Election of Director: Greg C. Smith | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 11 | Election of Director: Ronald G. Steinhart | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 12 | Election of Director: H. Brian Thompson | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 13 | Election of Director: Masashi Yamanaka | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PENSKE AUTOMOTIVE GROUP, INC. | PAG | 70959W103 | 12-May-2021 | Annual | 15 | Approval, by non-binding vote, of executive compensation. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 9 | To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm for the Company for fiscal year 2021. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 1 | Election of Director: Alan S. Batey | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 2 | Election of Director: Kevin L. Beebe | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 3 | Election of Director: Timothy R. Furey | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 4 | Election of Director: Liam K. Griffin | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 5 | Election of Director: Christine King | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 6 | Election of Director: David P. McGlade | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 7 | Election of Director: Robert A. Schriesheim | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 8 | Election of Director: Kimberly S. Stevenson | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 11 | To approve the Company's Amended and Restated 2015 Long-Term Incentive Plan. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 12 | To approve a stockholder proposal regarding supermajority voting provisions. | Shareholder | / | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SKYWORKS SOLUTIONS, INC. | SWKS | 83088M102 | 12-May-2021 | Annual | 10 | To approve, on an advisory basis, the compensation of the Company's named executive officers, as described in the Company's Proxy Statement. | Management | F | 29-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASCO CORPORATION | MAS | 574599106 | 12-May-2021 | Annual | 5 | To ratify the selection of PricewaterhouseCoopers LLP as independent auditors for the Company for 2021. | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASCO CORPORATION | MAS | 574599106 | 12-May-2021 | Annual | 3 | Election of Director: John C. Plant | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASCO CORPORATION | MAS | 574599106 | 12-May-2021 | Annual | 1 | Election of Director: Mark R. Alexander | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASCO CORPORATION | MAS | 574599106 | 12-May-2021 | Annual | 2 | Election of Director: Marie A. Ffolkes | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASCO CORPORATION | MAS | 574599106 | 12-May-2021 | Annual | 4 | To approve, by non-binding advisory vote, the compensation paid to the Company's named executive officers, as disclosed pursuant to the compensation disclosure rules of the SEC, including the Compensation Discussion and Analysis, the compensation tables and the related materials disclosed in the Proxy Statement. | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 15 | Shareholder proposal requesting an EEO-1 Report Disclosure, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 16 | Shareholder proposal requesting an Annual Diversity and Inclusion Efforts Report, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2021. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 1 | Election of Director: Andrew H. Card Jr. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 2 | Election of Director: William J. DeLaney | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 3 | Election of Director: David B. Dillon | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 4 | Election of Director: Lance M. Fritz | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 5 | Election of Director: Deborah C. Hopkins | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 6 | Election of Director: Jane H. Lute | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 7 | Election of Director: Michael R. McCarthy | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 8 | Election of Director: Thomas F. McLarty III | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 9 | Election of Director: Jose H. Villarreal | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 10 | Election of Director: Christopher J. Williams | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 13 | Adoption of the Union Pacific Corporation 2021 Stock Incentive Plan. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 14 | Adoption of the Union Pacific Corporation 2021 Employee Stock Purchase Plan. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 17 | Shareholder proposal requesting an Annual Emissions Reduction Plan & annual advisory vote on Emissions Reduction Plan, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 12 | An advisory vote to approve executive compensation ("Say on Pay"). | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 17 | Proposal regarding a report on lobbying activity alignment with Paris Climate Agreement. | Shareholder | N | 01-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP, independent registered public accounting firm, as Norfolk Southern's independent auditors for the year ending December 31, 2021. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 1 | Election of Director: Thomas D. Bell, Jr. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 2 | Election of Director: Mitchell E. Daniels, Jr. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 3 | Election of Director: Marcela E. Donadio | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 4 | Election of Director: John C. Huffard, Jr. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 5 | Election of Director: Christopher T. Jones | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 6 | Election of Director: Thomas C. Kelleher | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 7 | Election of Director: Steven F. Leer | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 8 | Election of Director: Michael D. Lockhart | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 9 | Election of Director: Amy E. Miles | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 10 | Election of Director: Claude Mongeau | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 11 | Election of Director: Jennifer F. Scanlon | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 12 | Election of Director: James A. Squires | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 13 | Election of Director: John R. Thompson | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 16 | Proposal regarding revisions to ownership requirements for proxy access. | Shareholder | N | 01-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 15 | Approval of the advisory resolution on executive compensation, as disclosed in the proxy statement for the 2021 Annual Meeting of Shareholders. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 13 | Ratification of the appointment of PricewaterhouseCoopers LLP as Assurant's Independent Registered Public Accounting Firm for 2021. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 1 | Election of Director: Elaine D. Rosen | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 2 | Election of Director: Paget L. Alves | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 3 | Election of Director: J. Braxton Carter | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 4 | Election of Director: Juan N. Cento | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 5 | Election of Director: Alan B. Colberg | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 6 | Election of Director: Harriet Edelman | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 7 | Election of Director: Lawrence V. Jackson | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 8 | Election of Director: Jean-Paul L. Montupet | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 9 | Election of Director: Debra J. Perry | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 10 | Election of Director: Ognjen (Ogi) Redzic | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 11 | Election of Director: Paul J. Reilly | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 12 | Election of Director: Robert W. Stein | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 15 | Approval of Amendment to the Assurant, Inc. 2017 Long Term Equity Incentive Plan. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ASSURANT, INC. | AIZ | 04621X108 | 13-May-2021 | Annual | 14 | Advisory approval of the 2020 compensation of the Company's named executive officers. | Management | F | 24-Mar-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SBA COMMUNICATIONS CORPORATION | SBAC | 78410G104 | 13-May-2021 | Annual | 3 | Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2021 fiscal year. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SBA COMMUNICATIONS CORPORATION | SBAC | 78410G104 | 13-May-2021 | Annual | 1 | Election of Director For a three-year term expiring at the 2024 Annual Meeting: Mary S. Chan | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SBA COMMUNICATIONS CORPORATION | SBAC | 78410G104 | 13-May-2021 | Annual | 2 | Election of Director For a three-year term expiring at the 2024 Annual Meeting: George R. Krouse, Jr. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SBA COMMUNICATIONS CORPORATION | SBAC | 78410G104 | 13-May-2021 | Annual | 4 | Approval, on an advisory basis, of the compensation of SBA's named executive officers. | Management | F | 01-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 13 | Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2021. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 1 | Election of Director: Joe Mansueto | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 2 | Election of Director: Kunal Kapoor | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 3 | Election of Director: Robin Diamonte | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 4 | Election of Director: Cheryl Francis | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 5 | Election of Director: Steve Joynt | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 6 | Election of Director: Steve Kaplan | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 7 | Election of Director: Gail Landis | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 8 | Election of Director: Bill Lyons | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 9 | Election of Director: Doniel Sutton | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 10 | Election of Director: Caroline Tsay | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 11 | Approve the Morningstar, Inc. Amended and Restated 2011 Stock Incentive Plan. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MORNINGSTAR, INC. | MORN | 617700109 | 14-May-2021 | Annual | 12 | Advisory vote to approve executive compensation. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 11 | To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of Zynga for its fiscal year ending December 31, 2021. | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 12 | Shareholder proposal to amend the shareholding threshold to call a Special Meeting. | Shareholder | N | 08-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 1 | Election of Director to serve until the next annual meeting: Mark Pincus | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 2 | Election of Director to serve until the next annual meeting: Frank Gibeau | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 3 | Election of Director to serve until the next annual meeting: Dr. Regina E. Dugan | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 4 | Election of Director to serve until the next annual meeting: William "Bing" Gordon | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 5 | Election of Director to serve until the next annual meeting: Louis J. Lavigne, Jr. | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 6 | Election of Director to serve until the next annual meeting: Carol G. Mills | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 7 | Election of Director to serve until the next annual meeting: Janice M. Roberts | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 8 | Election of Director to serve until the next annual meeting: Ellen F. Siminoff | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 9 | Election of Director to serve until the next annual meeting: Noel B. Watson | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ZYNGA INC. | ZNGA | 98986T108 | 17-May-2021 | Annual | 10 | To approve, on an advisory basis, the compensation of Zynga's named executive officers. | Management | F | 08-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 11 | Ratification of the appointment of PricewaterhouseCoopers LLP as Sealed Air's independent auditor for the year ending December 31, 2021. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 1 | Election of Director: Zubaid Ahmad | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 2 | Election of Director: Françoise Colpron | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 3 | Election of Director: Edward L. Doheny II | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 4 | Election of Director: Michael P. Doss | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 5 | Election of Director: Henry R. Keizer | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 6 | Election of Director: Harry A. Lawton III | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 7 | Election of Director: Neil Lustig | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 8 | Election of Director: Suzanne B. Rowland | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 9 | Election of Director: Jerry R. Whitaker | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 10 | Amendment and restatement of 2014 Omnibus Incentive Plan. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SEALED AIR CORPORATION | SEE | 81211K100 | 18-May-2021 | Annual | 12 | Approval, as an advisory vote, of Sealed Air's 2020 executive compensation. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 8 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 1 | Election of Director for One-Year Term: Gregory Q. Brown | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 2 | Election of Director for One-Year Term: Kenneth D. Denman | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 3 | Election of Director for One-Year Term: Egon P. Durban | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 4 | Election of Director for One-Year Term: Clayton M. Jones | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 5 | Election of Director for One-Year Term: Judy C. Lewent | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 6 | Election of Director for One-Year Term: Gregory K. Mondre | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 7 | Election of Director for One-Year Term: Joseph M. Tucci | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MOTOROLA SOLUTIONS, INC. | MSI | 620076307 | 18-May-2021 | Annual | 9 | Advisory approval of the Company's executive compensation. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SS&C TECHNOLOGIES HOLDINGS, INC. | SSNC | 78467J100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SS&C TECHNOLOGIES HOLDINGS, INC. | SSNC | 78467J100 | 19-May-2021 | Annual | 3 | The ratification of PricewaterhouseCoopers LLP as SS&C's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SS&C TECHNOLOGIES HOLDINGS, INC. | SSNC | 78467J100 | 19-May-2021 | Annual | 2 | The approval of the compensation of the named executive officers. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 3 | To ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of Fiserv, Inc. for 2021. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FISERV, INC. | FISV | 337738108 | 19-May-2021 | Annual | 2 | To approve, on an advisory basis, the compensation of the named executive officers of Fiserv, Inc. | Management | F | 07-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 1 | DIRECTOR | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 3 | Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| OLD DOMINION FREIGHT LINE, INC. | ODFL | 679580100 | 19-May-2021 | Annual | 2 | Approval, on an advisory basis, of the compensation of the Company's named executive officers. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 10 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 1 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Francis A. Hondal | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 2 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Daniel G. Kaye | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 3 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Joan Lamm-Tennant | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 4 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Kristi A. Matus | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 5 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Ramon de Oliveira | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 6 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Mark Pearson | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 7 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Bertram L. Scott | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 8 | Election of Director for a one-year term ending at the 2022 Annual Meeting: George Stansfield | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 9 | Election of Director for a one-year term ending at the 2022 Annual Meeting: Charles G.T. Stonehill | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EQUITABLE HOLDINGS, INC. | EQH | 29452E101 | 20-May-2021 | Annual | 11 | Advisory vote to approve the compensation paid to our named executive officers. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 16 | Shareholder Proposal Regarding Political Contributions Congruency Analysis. | Shareholder | N | 06-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 13 | Ratification of the Appointment of KPMG LLP. | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 15 | Shareholder Proposal Regarding Amendment of Shareholder Written Consent Right. | Shareholder | N | 06-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 17 | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain. | Shareholder | N | 06-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 1 | Election of Director: Gerard J. Arpey | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 2 | Election of Director: Ari Bousbib | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 3 | Election of Director: Jeffery H. Boyd | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 4 | Election of Director: Gregory D. Brenneman | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 5 | Election of Director: J. Frank Brown | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 6 | Election of Director: Albert P. Carey | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 7 | Election of Director: Helena B. Foulkes | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 8 | Election of Director: Linda R. Gooden | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 9 | Election of Director: Wayne M. Hewett | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 10 | Election of Director: Manuel Kadre | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 11 | Election of Director: Stephanie C. Linnartz | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 12 | Election of Director: Craig A. Menear | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 14 | Advisory Vote to Approve Executive Compensation ("Say-on-Pay"). | Management | F | 06-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 2 | To ratify the appointment of Ernst & Young LLP as the Company's auditors for the fiscal year ending December 31, 2021. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GENTEX CORPORATION | GNTX | 371901109 | 20-May-2021 | Annual | 3 | To approve, on an advisory basis, compensation of the Company's named executive officers. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 11 | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 1 | Election of Director: Lydia I. Beebe | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 2 | Election of Director: Lu M. Córdova | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 3 | Election of Director: Robert J. Druten | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 4 | Election of Director: Antonio O. Garza, Jr. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 5 | Election of Director: David Garza-Santos | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 6 | Election of Director: Janet H. Kennedy | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 7 | Election of Director: Mitchell J. Krebs | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 8 | Election of Director: Henry J. Maier | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 9 | Election of Director: Thomas A. McDonnell | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 10 | Election of Director: Patrick J. Ottensmeyer | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| KANSAS CITY SOUTHERN | KSU | 485170302 | 20-May-2021 | Annual | 12 | An Advisory vote to approve the 2020 compensation of our named executive officers. | Management | F | 10-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 12 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 1 | Election of Director: James F. Albaugh | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 2 | Election of Director: Amy E. Alving | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 3 | Election of Director: Sharon R. Barner | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 4 | Election of Director: Joseph S. Cantie | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 5 | Election of Director: Robert F. Leduc | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 6 | Election of Director: David J. Miller | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 7 | Election of Director: Jody G. Miller | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 8 | Election of Director: Tolga I. Oal | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 9 | Election of Director: Nicole W. Piasecki | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 10 | Election of Director: John C. Plant | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 11 | Election of Director: Ulrich R. Schmidt | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 14 | Shareholder Proposal regarding an independent Board Chairman. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| HOWMET AEROSPACE INC. | HWM | 443201108 | 25-May-2021 | Annual | 13 | To approve, on an advisory basis, executive compensation. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 10 | To ratify the appointment of Ernst & Young LLP as Dollar General Corporation's independent registered public accounting firm for fiscal 2021. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 13 | To vote on a shareholder proposal regarding shareholders' ability to call special meetings of shareholders. | Shareholder | N | 04-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 12 | To approve an amendment to the amended and restated charter of Dollar General Corporation to allow shareholders holding 25% or more of our common stock to request special meetings of shareholders. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 1 | Election of Director: Warren F. Bryant | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 2 | Election of Director: Michael M. Calbert | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 3 | Election of Director: Patricia D. Fili-Krushel | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 4 | Election of Director: Timothy I. McGuire | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 5 | Election of Director: William C. Rhodes, III | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 6 | Election of Director: Debra A. Sandler | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 7 | Election of Director: Ralph E. Santana | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 8 | Election of Director: Todd J. Vasos | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 11 | To approve the Dollar General Corporation 2021 Stock Incentive Plan. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DOLLAR GENERAL CORPORATION | DG | 256677105 | 26-May-2021 | Annual | 9 | To approve, on an advisory (non-binding) basis, the resolution regarding the compensation of Dollar General Corporation's named executive officers as disclosed in the proxy statement. | Management | F | 04-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 13 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2021. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 14 | Stockholder proposal - Stockholder right to act by written consent. | Shareholder | N | 14-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 15 | Stockholder Proposal - Assessing Inclusion in the Workplace. | Shareholder | N | 14-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 1 | Election of Director: Rodney C. Adkins | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 2 | Election of Director: Jonathan Christodoro | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 3 | Election of Director: John J. Donahoe | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 4 | Election of Director: David W. Dorman | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 5 | Election of Director: Belinda J. Johnson | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 6 | Election of Director: Gail J. McGovern | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 7 | Election of Director: Deborah M. Messemer | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 8 | Election of Director: David M. Moffett | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 9 | Election of Director: Ann M. Sarnoff | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 10 | Election of Director: Daniel H. Schulman | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 11 | Election of Director: Frank D. Yeary | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 12 | Advisory vote to approve named executive officer compensation. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 2 | The auditors ratification proposal, to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2021. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 5 | The stockholder proposal, requesting that our board of directors provides for a majority vote standard in uncontested director elections, if properly presented at the meeting. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 4 | The say-on-frequency proposal, to approve, on an advisory basis, the frequency at which future say-on-pay votes will be held. | Management | 3 | 16-Apr-2021 | 3 | LDRSHRS ALPHAFACT US CORE ETF |
| LIBERTY BROADBAND CORPORATION | LBRDA | 530307107 | 26-May-2021 | Annual | 3 | The say-on-pay proposal, to approve, on an advisory basis, the compensation of our named executive officers as described in the proxy statement under the heading "Executive Compensation." | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 23 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 22 | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 11 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 13 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 16 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 17 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 18 | SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 19 | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 20 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 21 | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 1 | Election of Director: Jeffrey P. Bezos | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 2 | Election of Director: Keith B. Alexander | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 3 | Election of Director: Jamie S. Gorelick | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 4 | Election of Director: Daniel P. Huttenlocher | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 5 | Election of Director: Judith A. McGrath | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 6 | Election of Director: Indra K. Nooyi | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 7 | Election of Director: Jonathan J. Rubinstein | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 8 | Election of Director: Thomas O. Ryder | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 9 | Election of Director: Patricia Q. Stonesifer | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 10 | Election of Director: Wendell P. Weeks | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 14 | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 12 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 15 | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 4 | A shareholder proposal regarding dual class capital structure. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 2 | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 8 | A shareholder proposal regarding platform misuse. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 9 | A shareholder proposal regarding public benefit corporation. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 3 | To approve an amendment to the director compensation policy. | Management | F | 13-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 5 | A shareholder proposal regarding an independent chair. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 6 | A shareholder proposal regarding child exploitation. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 7 | A shareholder proposal regarding human/civil rights expert on board. | Shareholder | N | 13-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 18 | Ratification of the appointment of Deloitte LLP as BlackRock's independent registered public accounting firm for the fiscal year 2021. | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 20 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Eliminate certain supermajority vote requirements. | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 22 | Shareholder Proposal - Amend Certificate of Incorporation to convert to a public benefit corporation. | Shareholder | N | 22-May-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 21 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Eliminate certain provisions that are no longer applicable and make certain other technical revisions. | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 1 | Election of Director: Bader M. Alsaad | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 2 | Election of Director: Pamela Daley | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 3 | Election of Director: Jessica P. Einhorn | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 4 | Election of Director: Laurence D. Fink | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 5 | Election of Director: William E. Ford | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 6 | Election of Director: Fabrizio Freda | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 7 | Election of Director: Murry S. Gerber | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 8 | Election of Director: Margaret "Peggy" L. Johnson | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 9 | Election of Director: Robert S. Kapito | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 10 | Election of Director: Cheryl D. Mills | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 11 | Election of Director: Gordon M. Nixon | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 12 | Election of Director: Charles H. Robbins | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 13 | Election of Director: Marco Antonio Slim Domit | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 14 | Election of Director: Hans E. Vestberg | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 15 | Election of Director: Susan L. Wagner | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 16 | Election of Director: Mark Wilson | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 19 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Provide shareholders with the right to call a special meeting. | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 17 | Approval, in a non-binding advisory vote, of the compensation for named executive officers. | Management | F | 22-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 10 | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 11 | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board take steps to permit stockholder action by written consent. | Shareholder | N | 14-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 1 | Election of Director: D. James Bidzos | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 2 | Election of Director: Yehuda Ari Buchalter | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 3 | Election of Director: Kathleen A. Cote | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 4 | Election of Director: Thomas F. Frist III | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 5 | Election of Director: Jamie S. Gorelick | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 6 | Election of Director: Roger H. Moore | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 7 | Election of Director: Louis A. Simpson | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 8 | Election of Director: Timothy Tomlinson | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VERISIGN, INC. | VRSN | 92343E102 | 27-May-2021 | Annual | 9 | To approve, on a non-binding, advisory basis, the Company's executive compensation. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 3 | Ratification of the appointment of Deloitte & Touche LLP as Lowe's independent registered public accounting firm for fiscal 2021. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 4 | Shareholder proposal regarding amending the Company's proxy access bylaw to remove shareholder aggregation limits. | Shareholder | N | 16-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 2 | Advisory vote to approve Lowe's named executive officer compensation in fiscal 2020. | Management | F | 16-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 3 | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 2 | To authorize and approve an amendment to the Amended and Restated Certificate of Incorporation of the Company, as amended, to permit an increase in the size of the Board of Directors of the Company for a period of time. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| SILGAN HOLDINGS INC. | SLGN | 827048109 | 01-Jun-2021 | Annual | 4 | Advisory vote to approve the compensation of the Company's named executive officers. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 9 | Ratify the appointment of KPMG LLP as FTI Consulting, Inc.'s independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 1 | Election of Director: Brenda J. Bacon | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 2 | Election of Director: Mark S. Bartlett | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 3 | Election of Director: Claudio Costamagna | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 4 | Election of Director: Vernon Ellis | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 5 | Election of Director: Nicholas C. Fanandakis | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 6 | Election of Director: Steven H. Gunby | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 7 | Election of Director: Gerard E. Holthaus | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 8 | Election of Director: Laureen E. Seeger | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| FTI CONSULTING, INC. | FCN | 302941109 | 02-Jun-2021 | Annual | 10 | Vote on an advisory (non-binding) resolution to approve the compensation of the named executive officers for the year ended December 31, 2020 at the 2021 Annual Meeting of Shareholders. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 17 | Report on Alignment of Racial Justice Goals and Starting Wages. | Shareholder | N | 23-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 15 | Report on Refrigerants Released from Operations. | Shareholder | N | 23-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 16 | Report on Lobbying Disclosures. | Shareholder | N | 23-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 14 | Ratification of Ernst & Young LLP as Independent Accountants. | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 18 | Create a Pandemic Workforce Advisory Council. | Shareholder | N | 23-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 19 | Report on Statement of the Purpose of a Corporation. | Shareholder | N | 23-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 1 | Election of Director: Cesar Conde | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 2 | Election of Director: Timothy P. Flynn | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 3 | Election of Director: Sarah J. Friar | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 4 | Election of Director: Carla A. Harris | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 5 | Election of Director: Thomas W. Horton | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 6 | Election of Director: Marissa A. Mayer | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 7 | Election of Director: C. Douglas McMillon | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 8 | Election of Director: Gregory B. Penner | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 9 | Election of Director: Steven S Reinemund | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 10 | Election of Director: Randall L. Stephenson | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 11 | Election of Director: S. Robson Walton | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 12 | Election of Director: Steuart L. Walton | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 13 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 23-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 10 | Ratification of the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 1 | Election of Director: Laura Alber | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 2 | Election of Director: Esi Eggleston Bracey | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 3 | Election of Director: Scott Dahnke, Chair | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 4 | Election of Director: Anne Mulcahy | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 5 | Election of Director: William Ready | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 6 | Election of Director: Sabrina Simmons | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 7 | Election of Director: Frits van Paasschen | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 8 | The amendment of our 2001 Long-Term Incentive Plan. | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| WILLIAMS-SONOMA, INC. | WSM | 969904101 | 02-Jun-2021 | Annual | 9 | An advisory vote to approve executive compensation. | Management | F | 19-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 12 | Ratification of the appointment of Ernst & Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 13 | Approval of Alphabet's 2021 Stock Plan. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 14 | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 16 | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 17 | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 18 | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 19 | A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 20 | A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 21 | A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 1 | Election of Director: Larry Page | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 2 | Election of Director: Sergey Brin | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 3 | Election of Director: Sundar Pichai | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 4 | Election of Director: John L. Hennessy | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 5 | Election of Director: Frances H. Arnold | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 6 | Election of Director: L. John Doerr | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 7 | Election of Director: Roger W. Ferguson Jr. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 8 | Election of Director: Ann Mather | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 9 | Election of Director: Alan R. Mulally | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 10 | Election of Director: K. Ram Shriram | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 11 | Election of Director: Robin L. Washington | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 15 | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 11 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 9 | Election of Director: Edwina D. Woodbury | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 1 | Election of Director: Emma S. Battle | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 2 | Election of Director: Daniel W. Campbell | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 3 | Election of Director: Andrew D. Lipman | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 4 | Election of Director: Steven J. Lund | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 5 | Election of Director: Laura Nathanson | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 6 | Election of Director: Ryan S. Napierski | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 7 | Election of Director: Thomas R. Pisano | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 8 | Election of Director: Zheqing (Simon) Shen | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NU SKIN ENTERPRISES, INC. | NUS | 67018T105 | 02-Jun-2021 | Annual | 10 | Advisory approval of our executive compensation. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 12 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the 2021 fiscal year. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 13 | Approval of the Amended and Restated 2011 Employee Stock Purchase Plan. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 1 | Election of Director for term expiring in 2022: Peter E. Bisson | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 2 | Election of Director for term expiring in 2022: Richard J. Bressler | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 3 | Election of Director for term expiring in 2022: Raul E. Cesan | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 4 | Election of Director for term expiring in 2022: Karen E. Dykstra | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 5 | Election of Director for term expiring in 2022: Anne Sutherland Fuchs | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 6 | Election of Director for term expiring in 2022: William O. Grabe | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 7 | Election of Director for term expiring in 2022: Eugene A. Hall | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 8 | Election of Director for term expiring in 2022: Stephen G. Pagliuca | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 9 | Election of Director for term expiring in 2022: Eileen M. Serra | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 10 | Election of Director for term expiring in 2022: James C. Smith | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| GARTNER, INC. | IT | 366651107 | 03-Jun-2021 | Annual | 11 | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | F | 20-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 3 | Proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year ending December 31, 2021. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| VIRTU FINANCIAL INC | VIRT | 928254101 | 03-Jun-2021 | Annual | 2 | Advisory Vote to Approve Compensation of Named Executive Officers. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 11 | Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 13 | Shareholder proposal regarding simple majority voting provisions. | Shareholder | / | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 1 | Election of Director: Robert M. Calderoni | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 2 | Election of Director: Nanci E. Caldwell | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 3 | Election of Director: Murray J. Demo | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 4 | Election of Director: Ajei S. Gopal | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 5 | Election of Director: David J. Henshall | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 6 | Election of Director: Thomas E. Hogan | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 7 | Election of Director: Moira A. Kilcoyne | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 8 | Election of Director: Robert E. Knowling, Jr. | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 9 | Election of Director: Peter J. Sacripanti | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 10 | Election of Director: J. Donald Sherman | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| CITRIX SYSTEMS, INC. | CTXS | 177376100 | 04-Jun-2021 | Annual | 12 | Advisory vote to approve the compensation of the Company's named executive officers. | Management | F | 18-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUKER CORPORATION | BRKR | 116794108 | 04-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUKER CORPORATION | BRKR | 116794108 | 04-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUKER CORPORATION | BRKR | 116794108 | 04-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUKER CORPORATION | BRKR | 116794108 | 04-Jun-2021 | Annual | 3 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BRUKER CORPORATION | BRKR | 116794108 | 04-Jun-2021 | Annual | 2 | Approval on an advisory basis of the 2020 compensation of our named executive officers, as discussed in the Proxy Statement. | Management | F | 21-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 13 | If properly presented at the 2021 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold for calling a special meeting of shareholders. | Shareholder | N | 27-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2021. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 12 | Approval of an amendment to the UnitedHealth Group 1993 Employee Stock Purchase Plan. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 1 | Election of Director: Richard T. Burke | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 2 | Election of Director: Timothy P. Flynn | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 3 | Election of Director: Stephen J. Hemsley | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 4 | Election of Director: Michele J. Hooper | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 5 | Election of Director: F. William McNabb III | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 6 | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 7 | Election of Director: John H. Noseworthy, M.D. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 8 | Election of Director: Gail R. Wilensky, Ph.D. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 9 | Election of Director: Andrew Witty | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 10 | Advisory approval of the Company's executive compensation. | Management | F | 27-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NEXSTAR MEDIA GROUP, INC. | NXST | 65336K103 | 09-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 12-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NEXSTAR MEDIA GROUP, INC. | NXST | 65336K103 | 09-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 12-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NEXSTAR MEDIA GROUP, INC. | NXST | 65336K103 | 09-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 12-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NEXSTAR MEDIA GROUP, INC. | NXST | 65336K103 | 09-Jun-2021 | Annual | 2 | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 12-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| NEXSTAR MEDIA GROUP, INC. | NXST | 65336K103 | 09-Jun-2021 | Annual | 3 | Approval, by an advisory vote, of executive compensation. | Management | F | 12-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DISCOVERY, INC. | DISCA | 25470F104 | 10-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DISCOVERY, INC. | DISCA | 25470F104 | 10-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DISCOVERY, INC. | DISCA | 25470F104 | 10-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DISCOVERY, INC. | DISCA | 25470F104 | 10-Jun-2021 | Annual | 2 | Ratification of the appointment of PricewaterhouseCoopers LLP as Discovery, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 12 | Stockholder proposal regarding political contributions disclosure, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 10 | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for fiscal year 2021. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 1 | Election of Director: Pamela M. Arway | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 2 | Election of Director: Charles G. Berg | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 3 | Election of Director: Barbara J. Desoer | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 4 | Election of Director: Paul J. Diaz | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 5 | Election of Director: Shawn M. Guertin | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 6 | Election of Director: John M. Nehra | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 7 | Election of Director: Paula A. Price | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 8 | Election of Director: Javier J. Rodriguez | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 9 | Election of Director: Phyllis R. Yale | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| DAVITA INC. | DVA | 23918K108 | 10-Jun-2021 | Annual | 11 | To approve, on an advisory basis, the compensation of our named executive officers. | Management | F | 25-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 13 | Ratification of appointment of Deloitte & Touche LLP as MetLife, Inc.'s Independent Auditor for 2021. | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 1 | Election of Director: Cheryl W. Grisé | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 2 | Election of Director: Carlos M. Gutierrez | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 3 | Election of Director: Gerald L. Hassell | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 4 | Election of Director: David L. Herzog | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 5 | Election of Director: R. Glenn Hubbard, Ph.D. | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 6 | Election of Director: Edward J. Kelly, III | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 7 | Election of Director: William E. Kennard | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 8 | Election of Director: Michel A. Khalaf | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 9 | Election of Director: Catherine R. Kinney | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 10 | Election of Director: Diana L. McKenzie | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 11 | Election of Director: Denise M. Morrison | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 12 | Election of Director: Mark A. Weinberger | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 14 | Advisory (non-binding) vote to approve the compensation paid to MetLife, Inc.'s Named Executive Officers. | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 14 | Ratification of appointment of independent auditors. | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 16 | Executive Compensation, if properly presented. | Shareholder | N | 28-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 17 | Right to Act by Written Consent, if properly presented. | Shareholder | N | 28-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 1 | Election of Director: Anthony J. Bates | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 2 | Election of Director: Adriane M. Brown | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 3 | Election of Director: Diana Farrell | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 4 | Election of Director: Logan D. Green | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 5 | Election of Director: Bonnie S. Hammer | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 6 | Election of Director: E. Carol Hayles | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 7 | Election of Director: Jamie Iannone | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 8 | Election of Director: Kathleen C. Mitic | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 9 | Election of Director: Matthew J. Murphy | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 10 | Election of Director: Paul S. Pressler | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 11 | Election of Director: Mohak Shroff | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 12 | Election of Director: Robert H. Swan | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 13 | Election of Director: Perry M. Traquina | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| EBAY INC. | EBAY | 278642103 | 15-Jun-2021 | Annual | 15 | Advisory vote to approve named executive officer compensation. | Management | F | 28-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 3 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BLACK KNIGHT, INC. | BKI | 09215C105 | 16-Jun-2021 | Annual | 2 | Approval of a non-binding advisory resolution on the compensation paid to our named executive officers. | Management | F | 29-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 12 | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending January 29, 2022. | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 14 | To vote on a shareholder proposal entitled "Right to Act by Written Consent". | Shareholder | N | 06-May-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 1 | Election of Director: Corie S. Barry | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 2 | Election of Director: Lisa M. Caputo | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 3 | Election of Director: J. Patrick Doyle | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 4 | Election of Director: David W. Kenny | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 5 | Election of Director: Mario J. Marte | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 6 | Election of Director: Karen A. McLoughlin | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 7 | Election of Director: Thomas L. Millner | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 8 | Election of Director: Claudia F. Munce | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 9 | Election of Director: Richelle P. Parham | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 10 | Election of Director: Steven E. Rendle | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 11 | Election of Director: Eugene A. Woods | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| BEST BUY CO., INC. | BBY | 086516101 | 16-Jun-2021 | Annual | 13 | To approve in a non-binding advisory vote our named executive officer compensation. | Management | F | 06-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWILIO INC. | TWLO | 90138F102 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWILIO INC. | TWLO | 90138F102 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWILIO INC. | TWLO | 90138F102 | 16-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWILIO INC. | TWLO | 90138F102 | 16-Jun-2021 | Annual | 2 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWILIO INC. | TWLO | 90138F102 | 16-Jun-2021 | Annual | 3 | Approval of, on a non-binding advisory basis, the compensation of the Company's named executive officers. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 10 | To ratify the appointment of the Company's Independent Registered Public Accounting Firm for 2021. | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 1 | Election of Director: Patrick Drahi | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 2 | Election of Director: Gerrit Jan Bakker | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 3 | Election of Director: Manon Brouillette | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 4 | Election of Director: David Drahi | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 5 | Election of Director: Dexter Goei | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 6 | Election of Director: Mark Mullen | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 7 | Election of Director: Dennis Okhuijsen | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 8 | Election of Director: Charles Stewart | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ALTICE USA, INC. | ATUS | 02156K103 | 16-Jun-2021 | Annual | 9 | Election of Director: Raymond Svider | Management | F | 03-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 12 | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 1 | Election of Director: Reveta Bowers | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 2 | Election of Director: Robert Corti | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 3 | Election of Director: Hendrik Hartong III | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 4 | Election of Director: Brian Kelly | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 5 | Election of Director: Robert Kotick | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 6 | Election of Director: Barry Meyer | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 7 | Election of Director: Robert Morgado | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 8 | Election of Director: Peter Nolan | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 9 | Election of Director: Dawn Ostroff | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 10 | Election of Director: Casey Wasserman | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 11 | To provide advisory approval of our executive compensation. | Management | F | 04-May-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 16 | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2021. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 19 | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 18 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 1 | Election of Director: Ajay Banga | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 2 | Election of Director: Merit E. Janow | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 3 | Election of Director: Richard K. Davis | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 4 | Election of Director: Steven J. Freiberg | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 5 | Election of Director: Julius Genachowski | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 6 | Election of Director: Choon Phong Goh | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 7 | Election of Director: Oki Matsumoto | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 8 | Election of Director: Michael Miebach | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 9 | Election of Director: Youngme Moon | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 10 | Election of Director: Rima Qureshi | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 11 | Election of Director: José Octavio Reyes Lagunes | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 12 | Election of Director: Gabrielle Sulzberger | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 13 | Election of Director: Jackson Tai | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 14 | Election of Director: Lance Uggla | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 17 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 15 | Advisory approval of Mastercard's executive compensation. | Management | F | 30-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 9 | Shareholder proposal no. 6 has been withdrawn | Shareholder | N | 14-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 7 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 8 | The approval of an amendment to our amended and restated certificate of incorporation to declassify our board of directors. | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 1 | Election of Director: Jesse Cohn | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 2 | Election of Director: Martha Lane Fox | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 3 | Election of Director: Fei-Fei Li | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 4 | Election of Director: David Rosenblatt | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 10 | A stockholder proposal regarding a director candidate with human and/or civil rights expertise, if properly presented at the Annual Meeting. | Shareholder | N | 14-Apr-2021 | N | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 6 | The approval, on an advisory basis, of the frequency of future stockholder advisory votes on the compensation of our named executive officers. | Management | 1 | 14-Apr-2021 | 1 | LDRSHRS ALPHAFACT US CORE ETF |
| TWITTER, INC. | TWTR | 90184L102 | 24-Jun-2021 | Annual | 5 | The approval, on an advisory basis, of the compensation of our named executive officers ("Say-on-Pay"). | Management | F | 14-Apr-2021 | F | LDRSHRS ALPHAFACT US CORE ETF |
| Registrant: Redwood AlphaFactor Tactical International Fund | | | | Item 1, Exhibit 17 | | |
| Investment Company Act file number: 811- 22963 | | | | | | | | |
| Reporting Period: July 1, 2020-June 30, 2021 | | | | | | | | | |
| | | | | | | | | | | | |
| | Primary Ticker Symbol | Security ID | Meeting Date | Meeting Type | Proposal Number | Proposal Long Text | Proposed By | Recommended Vote | Vote Date | Vote | Account Name |
| BAIDU, INC. | BIDU | 056752108 | 01-Mar-2021 | Special | 1 | Change of Authorised Share Capital by One-to-Eighty Subdivision of Shares: By an Ordinary Resolution that each share classified as Class A ordinary shares, Class B ordinary shares and preferred shares of a par value of US$0.00005 each in the share capital of the Company (including authorised issued and unissued class A ordinary shares, class B ordinary shares and preferred shares) be sub-divided into 80 shares of a par value of US$0.000000625 each (the "Subdivision"), such that, following ...(due to space limits, see proxy material for full proposal). | Management | / | 05-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 27 | Re-election of the Statutory Auditor. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 2 | Discharge from Liability of the Members of the Board of Directors and the Executive Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 3 | Appropriation of Available Earnings of Novartis AG as per Balance Sheet and Declaration of Dividend for 2020. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 5 | Further Share Repurchases. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 28 | Re-election of the Independent Proxy. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 29 | Amendment to Article 20 Paragraph 3 of the Articles of Incorporation. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 30 | General instructions in case of alternative motions under the agenda items published in the Notice of Annual General Meeting, and/or of motions relating to additional agenda items according to Article 700 paragraph 3 of the Swiss Code of Obligations. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 9 | Re-election of Joerg Reinhardt as Member and Chairman. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 10 | Re-election of Nancy C. Andrews | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 11 | Re-election of Ton Buechner | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 12 | Re-election of Patrice Bula | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 13 | Re-election of Elizabeth Doherty | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 14 | Re-election of Ann Fudge | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 15 | Re-election of Bridgette Heller | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 16 | Re-election of Frans van Houten | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 17 | Re-election of Simon Moroney | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 18 | Re-election of Andreas von Planta | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 19 | Re-election of Charles L. Sawyers | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 20 | Re-election of Enrico Vanni | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 21 | Re-election of William T. Winters | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 22 | Re-election of Patrice Bula to the Compensation Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 23 | Re-election of Bridgette Heller to the Compensation Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 24 | Re-election of Enrico Vanni to the Compensation Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 25 | Re-Election of William T. Winters to the Compensation Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 26 | Election of Simon Moroney to the Compensation Committee. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 1 | Approval of the Operating and Financial Review of Novartis AG, the Financial Statements of Novartis AG and the Group Consolidated Financial Statements for the 2020 Financial Year. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 4 | Reduction of Share Capital. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 6 | Binding Vote on the Maximum Aggregate Amount of Compensation for the Board of Directors from the 2021 Annual General Meeting to the 2022 Annual General Meeting. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 7 | Binding Vote on the Maximum Aggregate Amount of Compensation for the Executive Committee for the Financial Year 2022. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| NOVARTIS AG | NVS | 66987V109 | 02-Mar-2021 | Annual | 8 | Advisory Vote on the 2020 Compensation Report. | Management | F | 04-Feb-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 4 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, shall be appointed independent auditor and Group auditor for the 2021 financial year. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 5 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, shall, in addition, be appointed independent auditor to review the condensed financial statements and the interim management report (Section 115 (5) German Securities Trading Act (Wertpapierhandelsgesetz - WpHG) in the 2021 financial year. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 6 | The appointment of Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft, Stuttgart, resolved by the shareholders meeting on June 19, 2020 under agenda item 8, as independent auditor for any review of additional interim financial reports (Section 115 (7) German Securities Trading Act) in the first quarter of the 2021 financial year is repealed; instead, PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, is appointed ...(due to space limits, see proxy statement for full proposal). | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 7 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, is also appointed as independent auditor for any review of additional interim financial reports (Section 115 (7) German Securities Trading Act) in the third quarter of the 2021 financial year and the first quarter of the 2022 financial year. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 13 | Additional item on the agenda at the request of a shareholder: Resolution on the amendment of Section 16 (3) of the Articles of Incorporation of Deutsche Telekom AG. | Shareholder | / | 16-Mar-2021 | N | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 11 | Resolution on the approval of the compensation system for the Board of Management members. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 12 | Resolution on the compensation of Supervisory Board members. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 1 | Resolution on the appropriation of net income. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 9 | Resolution on the authorization to acquire and use own shares with possible exclusion of subscription rights and any right to tender shares as well as of the option to redeem own shares, reducing the capital stock. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 10 | Resolution on the authorization to use equity derivatives to acquire own shares with possible exclusion of any right to tender shares. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 8 | Election of a Supervisory Board member. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 2 | Resolution on the approval of the actions of the members of the Board of Management for the 2020 financial year. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 3 | Resolution on the approval of the actions of the members of the Supervisory Board for the 2020 financial year. | Management | / | 16-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 4 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, shall be appointed independent auditor and Group auditor for the 2021 financial year. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 5 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, shall, in addition, be appointed independent auditor to review the condensed financial statements and the interim management report (Section 115 (5) German Securities Trading Act (Wertpapierhandelsgesetz - WpHG) in the 2021 financial year. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 6 | The appointment of Ernst & Young GmbH Wirtschaftsprüfungsgesellschaft, Stuttgart, resolved by the shareholders meeting on June 19, 2020 under agenda item 8, as independent auditor for any review of additional interim financial reports (Section 115 (7) German Securities Trading Act) in the first quarter of the 2021 financial year is repealed; instead, PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, is appointed ...(due to space limits, see proxy statement for full proposal). | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 7 | PricewaterhouseCoopers GmbH Wirtschaftsprüfungsgesellschaft, Frankfurt am Main, is also appointed as independent auditor for any review of additional interim financial reports (Section 115 (7) German Securities Trading Act) in the third quarter of the 2021 financial year and the first quarter of the 2022 financial year. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 1 | Resolution on the appropriation of net income. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 2 | Resolution on the approval of the actions of the members of the Board of Management for the 2020 financial year. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 3 | Resolution on the approval of the actions of the members of the Supervisory Board for the 2020 financial year. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 8 | Election of a Supervisory Board member. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 9 | Resolution on the authorization to acquire and use own shares with possible exclusion of subscription rights and any right to tender shares as well as of the option to redeem own shares, reducing the capital stock. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 10 | Resolution on the authorization to use equity derivatives to acquire own shares with possible exclusion of any right to tender shares. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 11 | Resolution on the approval of the compensation system for the Board of Management members. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 12 | Resolution on the compensation of Supervisory Board members. | Management | / | 18-Mar-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| DEUTSCHE TELEKOM AG | DTEGY | 251566105 | 01-Apr-2021 | Annual | 13 | Additional item on the agenda at the request of a shareholder: Resolution on the amendment of Section 16 (3) of the Articles of Incorporation of Deutsche Telekom AG. | Shareholder | / | 18-Mar-2021 | N | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 9 | Appointment of the external auditors for the fiscal year ending 31st December 2021, and approval of their fees. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 8 | Approval of the Company's compensation report for the year ended 31st December 2020. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 4 | Allocation of results and approval of dividend payment for the year ended 31st December 2020. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 10 | Authorization to the Board of Directors to cause the distribution of all shareholder communications, including its shareholder meeting and proxy materials and annual reports to shareholders, by such electronic means as is permitted by any applicable laws or regulations. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 6 | Election of the members of the Board of Directors. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 1 | Consideration of the consolidated management report and related management certifications on the Company's consolidated financial statements as of and for the year ended 31st December 2020, and on the annual accounts as at 31st December 2020, and of the external auditors' reports on such consolidated financial statements and annual accounts. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 2 | Approval of the Company's consolidated financial statements as of and for the year ended 31st December 2020. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 3 | Approval of the Company's annual accounts as at 31st December 2020. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 5 | Discharge of the members of the Board of Directors for the exercise of their mandate throughout the year ended 31st December 2020. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 7 | Approval of the compensation payable to the members of the Board of Directors for the year ending 31st December 2021. | Management | / | 04-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 9 | Appointment of the external auditors for the fiscal year ending 31st December 2021, and approval of their fees. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 1 | Consideration of the consolidated management report and related management certifications on the Company's consolidated financial statements as of and for the year ended 31st December 2020, and on the annual accounts as at 31st December 2020, and of the external auditors' reports on such consolidated financial statements and annual accounts. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 2 | Approval of the Company's consolidated financial statements as of and for the year ended 31st December 2020. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 3 | Approval of the Company's annual accounts as at 31st December 2020. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 4 | Allocation of results and approval of dividend payment for the year ended 31st December 2020. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 5 | Discharge of the members of the Board of Directors for the exercise of their mandate throughout the year ended 31st December 2020. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 6 | Election of the members of the Board of Directors. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 7 | Approval of the compensation payable to the members of the Board of Directors for the year ending 31st December 2021. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 8 | Approval of the Company's compensation report for the year ended 31st December 2020. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| TENARIS, S.A. | TS | 88031M109 | 03-May-2021 | Annual | 10 | Authorization to the Board of Directors to cause the distribution of all shareholder communications, including its shareholder meeting and proxy materials and annual reports to shareholders, by such electronic means as is permitted by any applicable laws or regulations. | Management | / | 23-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 15 | Reappointment of Auditors. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 18 | Disapplication of pre-emption rights. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 17 | Authority to allot shares. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 21 | Shareholder resolution. | Shareholder | N | 16-Apr-2021 | N | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 19 | Authority to purchase own shares. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 20 | Shell's Energy Transition Strategy. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 4 | Reappointment of Ben van Beurden as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 5 | Reappointment of Dick Boer as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 6 | Reappointment of Neil Carson as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 7 | Reappointment of Ann Godbehere as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 8 | Reappointment of Euleen Goh as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 9 | Reappointment of Catherine Hughes as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 10 | Reappointment of Martina Hund-Mejean as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 11 | Reappointment of Sir Andrew Mackenzie as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 12 | Reappointment of Abraham (Bram) Schot as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 13 | Reappointment of Jessica Uhl as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 14 | Reappointment of Gerrit Zalm as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 3 | Appointment of Jane Holl Lute as a Director of the Company. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 16 | Remuneration of Auditors. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 1 | Receipt of Annual Report & Accounts. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL DUTCH SHELL PLC | RDSA | 780259206 | 18-May-2021 | Annual | 2 | Approval of Directors' Remuneration Report. | Management | F | 16-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 5 | Election of the auditor and group auditor for fiscal year 2021 as well as the auditor for the potential review of the half year financial report for fiscal year 2021 and other interim financial information. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 12 | Resolution on the authorization to purchase and use treasury shares pursuant to section 71 (1) no. 8 AktG and on the exclusion of subscription rights. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 2 | Resolution on the allocation of distributable profit. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 6 | Election to the Supervisory Board: Dr. Dieter Schenk | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 7 | Election to the Supervisory Board and to the Joint Committee: Rolf A. Classon | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 8 | Election to the Supervisory Board: Gregory Sorensen, MD | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 9 | Election to the Supervisory Board and to the Joint Committee: Dr. Dorothea Wenzel | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 10 | Election to the Supervisory Board: Pascale Witz | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 11 | Election to the Supervisory Board: Prof. Dr. Gregor Zünd | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 1 | Resolution on the approval of the annual financial statements of Fresenius Medical Care AG & Co. KGaA for fiscal year 2020. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 4 | Resolution on the approval of the actions of the Supervisory Board for fiscal year 2020. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| FRESENIUS MEDICAL CARE AG & CO. KGAA | FMS | 358029106 | 20-May-2021 | Annual | 3 | Resolution on the approval of the actions of the General Partner for fiscal year 2020. | Management | F | 22-Apr-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 5 | Appointment of Public Accounting Firm to Audit the Company's Consolidated Financial Statement and Financial Statement of the Social and Environmental Responsibility Program for Financial Year of 2021. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 6 | Approval on Amendment of the Articles of Association of the Company. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 3 | Determination on Utilization of the Company's Net Profit for Financial Year of 2020. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 4 | Determination of Bonus for the Financial year of 2020, Salary for Board of Directors and Honorarium for Board of Commissioners Including other Facilities and Benefits for the Year of 2021. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 7 | Ratification on Regulation of Minister of State Owned Enterprise Number: PER-11/MBU/11/2020 concerning Management Contract and Annual Management Contract of State Owned Enterprise's Directors. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 8 | Changes to the Management of the Company. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 1 | Approval of Annual Report and Ratification of the Company's Consolidated Financial Statement for Financial Year of 2020 as well as the Board of Commissioner's Supervision Duty Implementation Report for Financial Year of 2020. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| PT TELKOM INDONESIA (PERSERO) TBK | TLK | 715684106 | 28-May-2021 | Annual | 2 | Ratification of the Company's Annual Report of Partnerships and Community Development Program for Financial Year of 2020. | Management | F | 14-May-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 23 | To consider and approve the appointment of auditors of the Company for the year 2021, and to authorize the Board of Directors to determine their remuneration. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 21 | To consider and approve the renewal by the Company of liability insurance for Directors, Supervisors and senior management. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 24 | To grant a general mandate to the Board of Directors of the Company to allot, issue and deal with new H Shares of the Company of an amount of not more than 20% of the H Shares in issue as at the date of passing of this special resolution. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 4 | To consider and approve the profit distribution plan of the Company for the year 2020. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 2 | To consider and approve the report of the Board of Supervisors of the Company for the year 2020. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 5 | To consider and approve the remuneration of Directors and Supervisors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 22 | To consider and approve the continued donations by the Company to China Life Foundation. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 6 | To consider and approve the election of Mr. Wang Bin as an Executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 7 | To consider and approve the election of Mr. Su Hengxuan as an Executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 8 | To consider and approve the election of Mr. Li Mingguang as an Executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 9 | To consider and approve the election of Ms. Huang Xiumei as an Executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 10 | To consider and approve the election of Mr. Yuan Changqing as a Non-executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 11 | To consider and approve the election of Mr. Wu Shaohua as a Non- executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 12 | To consider and approve the election of Mr. Sheng Hetai as a Non-executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 13 | To consider and approve the election of Mr. Wang Junhui as a Non-executive Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 14 | To consider and approve the election of Mr. Tang Xin as an Independent Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 15 | To consider and approve the election of Ms. Leung Oi-Sie Elsie as an Independent Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 16 | To consider and approve the election of Mr. Lam Chi Kuen as an Independent Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 17 | To consider and approve the election of Mr. Zhai Haitao as an Independent Director of the seventh session of the Board of Directors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 18 | To consider and approve the election of Mr. Jia Yuzeng as a Non- employee Representative Supervisor of the seventh session of the Board of Supervisors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 19 | To consider and approve the election of Mr. Han Bing as a Non- employee Representative Supervisor of the seventh session of the Board of Supervisors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 20 | To consider and approve the election of Mr. Niu Kailong as a Non-employee Representative Supervisor of the seventh session of the Board of Supervisors of the Company. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 3 | To consider and approve the financial report of the Company for the year 2020. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| CHINA LIFE INSURANCE COMPANY LIMITED | LFC | 16939P106 | 30-Jun-2021 | Annual | 1 | To consider and approve the report of the Board of Directors of the Company for the year 2020. | Management | F | 04-Jun-2021 | F | REDWOOD ALPHAFACT INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: A.A. CHISHOLM | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: J. COTE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: T.N. DARUVALA | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: D.F. DENISON | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: C. DEVINE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: D. MCKAY | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: K. TAYLOR | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: M. TURCKE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: T. VANDAL | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: B.A. VAN KRALINGEN | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: F. VETTESE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: J. YABUKI | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 14 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP (PWC) AS AUDITOR | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 15 | ADVISORY VOTE ON THE BANK'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDERS REQUEST THAT THE ROYAL BANK OF CANADA ("RBC" OR THE "COMPANY") ADOPT COMPANY-WIDE, QUANTITATIVE, TIME-BOUND TARGETS FOR REDUCING GREENHOUSE GAS (GHG) EMISSIONS ASSOCIATED WITH THE COMPANY'S UNDERWRITING AND LENDING ACTIVITIES AND ISSUE AN ANNUAL REPORT, AT REASONABLE COST AND OMITTING PROPRIETARY INFORMATION, DISCUSSING ITS PLANS AND PROGRESS TOWARDS ACHIEVING THESE TARGETS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 17 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BOARD OF DIRECTORS AND MANAGEMENT REDEFINE THE PURPOSE OF THE ROYAL BANK AS AN ORGANIZATION, AND THAT ONE OF THE BOARD OF DIRECTORS' COMMITTEES BE TASKED WITH OVERSEEING THE DEPLOYMENT OF THE POLICIES, UNDERTAKINGS AND INITIATIVES BEING IMPLEMENTED TO MAKE THIS NEW STRATEGIC ORIENTATION A REALITY, MORE SPECIFICALLY IN TERMS OF HEALTH, THE ENVIRONMENT, HUMAN RESOURCES AND STAKEHOLDER RELATIONS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 18 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BANK PRODUCE A REPORT ON LOANS IT HAS GRANTED OVER THE LAST FEW YEARS IN SUPPORT OF CIRCULAR ECONOMY | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 19 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BANK ADOPT A TARGET HIGHER THAN 40% FOR THE COMPOSITION OF ITS BOARD OF DIRECTORS FOR THE NEXT FIVE YEARS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 1 | 08 MAR 2021: PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 07-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 20 | 08 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT IN COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 07-Mar-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: NORA A. AUFREITER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: GUILLERMO E. BABATZ | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: SCOTT B. BONHAM | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: LYNN K. PATTERSON | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: MICHAEL D. PENNER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: BRIAN J. PORTER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: UNA M. POWER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: AARON W. REGENT | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: CALIN ROVINESCU | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: SUSAN L. SEGAL | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: L. SCOTT THOMSON | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 14 | ELECTION OF DIRECTOR: BENITA M. WARMBOLD | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 15 | APPOINTMENT OF KPMG LLP AS AUDITORS | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 16 | ADVISORY VOTE ON NON-BINDING RESOLUTION ON EXECUTIVE COMPENSATION APPROACH | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 17 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: CIRCULAR ECONOMY: IT IS PROPOSED THAT THE BANK PRODUCE A REPORT ON THE LOANS IT HAS MADE IN RECENT YEARS TO SUPPORT THE CIRCULAR ECONOMY | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 18 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: DISCLOSURE OF EQUITY RATIO: IT IS PROPOSED THAT THE BANK DISCLOSE THE COMPENSATION RATIO (EQUITY RATIO) USED BY THE COMPENSATION COMMITTEE AS PART OF ITS COMPENSATION SETTING PROCESS | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 19 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: DIVERSITY TARGET: IT IS PROPOSED THAT THE BANK SET A TARGET OF MORE THAN 40% OF THE BOARD MEMBERS FOR THE NEXT FIVE YEARS | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 508619 DUE TO RECEIPT OF CHANGE IN TEXT OF RESOLUTIONS 4, 5 AND 6. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 01-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 01-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: PAVITER S. BINNING | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: SCOTT B. BONHAM | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: WARREN BRYANT | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: CHRISTIE J.B. CLARK | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: DANIEL DEBOW | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: WILLIAM A. DOWNE | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: JANICE FUKAKUSA | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: M. MARIANNE HARRIS | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: CLAUDIA KOTCHKA | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: BETH PRITCHARD | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: SARAH RAISS | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: GALEN G. WESTON | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 14 | APPOINTMENT OF KPMG LLP AS AUDITOR AND AUTHORIZATION OF THE DIRECTORS TO FIX THE AUDITOR'S REMUNERATION | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 15 | VOTE ON THE ADVISORY RESOLUTION ON THE APPROACH TO EXECUTIVE COMPENSATION | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLVED: SHAREHOLDERS REQUEST THE BOARD PREPARE AND PUBLISH A REPORT EXAMINING CAPITAL AND RISK MANAGEMENT PRACTICES DURING THE PANDEMIC, IN TERMS OF BALANCING THE INTERESTS OF LOBLAW'S STAKEHOLDERS AND MONITORING/ASSESSING ACTIONS THAT COULD CAUSE LOBLAW UNDUE REPUTATIONAL RISK. THE REPORT SHOULD INCLUDE THE RATIONALE FOR (I) LOBLAW'S DECISION TO PURCHASE CAD261 MILLION IN SHARES FROM ITS MAJORITY SHAREHOLDER WHILE ENDING HERO TO FRONTLINE EMPLOYEES AFTER THREE MONTHS, AND (II) NOT HAVING THE BOARD OR THE RISK AND COMPLIANCE COMMITTEE DELIBERATE ON THE DECISION TO END HERO PAY. | Shareholder | N | 07-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 07-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 17 | 08 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 07-Apr-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: ERIK OLSSON | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: ANN FANDOZZI | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: BEVERLEY ANNE BRISCOE | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: ROBERT G. ELTON | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: J. KIM FENNELL | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: AMY GUGGENHEIM SHENKAN | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: SARAH RAISS | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: CHRISTOPHER ZIMMERMAN | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: ADAM DEWITT | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 11 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE AUDIT COMMITTEE TO FIX THEIR REMUNERATION | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 12 | APPROVAL, ON AN ADVISORY BASIS, OF A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.A TO 1.I AND 2. THANK YOU | Non-Voting | M | 25-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: NICOLE S. ARNABOLDI | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: GUY L.T. BAINBRIDGE | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: JOSEPH P. CARON | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: JOHN M. CASSADAY | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: SUSAN F. DABARNO | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: JULIE E. DICKSON | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: SHEILA S.FRASER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: ROY GORI | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: TSUN-YAN HSIEH | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: DONALD R. LINDSAY | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: JOHN R.V. PALMER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: C. JAMES PRIEUR | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 14 | ELECTION OF DIRECTOR: ANDREA S. ROSEN | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 15 | ELECTION OF DIRECTOR: LEAGH E. TURNER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 16 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 17 | ADVISORY RESOLUTION ACCEPTING APPROACH TO EXECUTIVE COMPENSATION | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.14 AND 2. THANK YOU | Non-Voting | M | 24-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: DIANA CHANT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: NORMAN JASKOLKA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: CYNTHIA TRUDELL | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.3. THANK YOU | Non-Voting | M | 08-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 3 | ELECTION OF CLASS B DIRECTOR: CHANTAL BELANGER | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 4 | ELECTION OF CLASS B DIRECTOR: LISE CROTEAU | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 5 | ELECTION OF CLASS B DIRECTOR: NORMAND PROVOST | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 6 | APPOINT ERNST & YOUNG LLP AS EXTERNAL AUDITOR. | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 7 | ADOPTION OF AN ADVISORY RESOLUTION ON THE BOARD OF DIRECTORS OF THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 522654 DUE TO RECEIVED UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 15-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTIONS 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1,3 AND 2. THANK YOU | Non-Voting | M | 15-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: CHRISTOPHER M. BURLEY | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: MAURA J. CLARK | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: RUSSELL K. GIRLING | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: MIRANDA C. HUBBS | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: RAJ S. KUSHWAHA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: ALICE D. LABERGE | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: CONSUELO E. MADERE | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: CHARLES V. MAGRO | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: KEITH G. MARTELL | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: AARON W. REGENT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: MAYO M. SCHMIDT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: NELSON LUIZ COSTA SILVA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 14 | RE-APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITOR OF THE CORPORATION | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 15 | A NON-BINDING ADVISORY RESOLUTION TO ACCEPT THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 08-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 2 | BUSINESS REPORT AND FINANCIAL STATEMENTS OF 2020. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 3 | PROPOSAL OF DISTRIBUTION OF PROFITS OF 2020. PROPOSED CASH DIVIDEND TWD 3.5 PER SHARE FOR COMMON SHARES. PROPOSED CASH DIVIDEND TWD 1.75 PER SHARE FOR PREFERRED SHARES 1101B. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 4 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN R.M.C CORP.,SHAREHOLDER NO.20048715,CHANG AN PING AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 5 | THE ELECTION OF THE DIRECTOR.:C. F. KOO FOUNDATION,SHAREHOLDER NO.20178935,LI JONG PEIR AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 6 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN CEMENT CORP.,SHAREHOLDER NO.20016949,CHANG KANG LUNG, JASON AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 7 | THE ELECTION OF THE DIRECTOR.:INTERNATIONAL CSRC INVESTMENT HOLDINGS CO., LTD.,SHAREHOLDER NO.20055830,LO C.M., KENNETH AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 8 | THE ELECTION OF THE DIRECTOR.:FU PIN INVESTMENT CO., LTD.,SHAREHOLDER NO.20420701,WANG POR YUAN AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 9 | THE ELECTION OF THE DIRECTOR.:TAI HO FARMING CO., LTD.,SHAREHOLDER NO.20040219,KOO KUNG YI AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 10 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN CEMENT CORP.,SHAREHOLDER NO.20016949,CHEN CHI TE AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 11 | THE ELECTION OF THE DIRECTOR.:FU PIN INVESTMENT CO., LTD.,SHAREHOLDER NO.20420701,HSIEH CHI CHIA AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 12 | THE ELECTION OF THE DIRECTOR.:HENG QIANG INVESTMENT CO., LTD.,SHAREHOLDER NO.20420700,WEN CHIEN AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 13 | THE ELECTION OF THE DIRECTOR.:HENG QIANG INVESTMENT CO., LTD.,SHAREHOLDER NO.20420700,TSAI CHIH CHUNG AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 14 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:CHIAO YU CHENG,SHAREHOLDER NO.A120667XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 15 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:WANG VICTOR,SHAREHOLDER NO.Q100187XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 16 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:CHOU LING TAI,SHAREHOLDER NO.20180174 | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 17 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LIN MEI HWA,SHAREHOLDER NO.F201284XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 18 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LIN SHIOU LING,SHAREHOLDER NO.A202924XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 19 | TO APPROVE THE AMENDMENTS ON PART OF RULES OF PROCEDURES FOR THE ACQUISITION AND DISPOSAL OF ASSETS. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 20 | TO APPROVE THE AMENDMENTS ON PART OF RULES OF PROCEDURE FOR ANNUAL SHAREHOLDERS' MEETING. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 21 | REMOVAL OF NON COMPETE RESTRICTIONS FOR NEW DIRECTORS. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 517459 DUE TO RECEIVED CHANGE IN NUMBERING OF RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 2 | Appoint a Director Minegishi, Masumi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Idekoba, Hisayuki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Senaha, Ayano | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Rony Kahan | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Izumiya, Naoki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Totoki, Hiroki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 11 | Amend Articles to: Establish the Articles Related to Shareholders Meeting held without specifying a venue | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 9 | Approve Details of the Stock Compensation to be received by Directors, etc. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 25-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 8 | Appoint a Substitute Corporate Auditor Tanaka, Miho | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 10 | Approve Details of Compensation as Stock Options for Directors (Excluding Outside Directors) | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Hayashi, Kaoru | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Hata, Shonosuke | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Murakami, Atsuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Yuki, Shingo | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Miyazaki, Kanako | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kato, Tomoharu | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Miyajima, Kazuyoshi | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Kinoshita, Masayuki | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Tada, Kazukuni | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 12 | Appoint a Corporate Auditor Nemoto, Yuko | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 28-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 13 | Approve Details of Compensation as Stock-Linked Compensation Type Stock Options for Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 14 | Approve Details of Compensation as Stock Options for Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Okafuji, Masahiro | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Suzuki, Yoshihisa | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Ishii, Keita | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Yoshida, Tomofumi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Fukuda, Yuji | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kobayashi, Fumihiko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Hachimura, Tsuyoshi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Muraki, Atsuko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kawana, Masatoshi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Nakamori, Makiko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Ishizuka, Kunio | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 14 | Appoint a Corporate Auditor Majima, Shingo | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 15 | Appoint a Corporate Auditor Kikuchi, Masumi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 20-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 1 | TO APPROVE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 2 | TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2020 EARNINGS. PROPOSED CASH DIVIDEND :TWD 4 PER SHARE. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 3 | TO APPROVE THE LIFTING OF DIRECTOR OF NON-COMPETITION RESTRICTIONS. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 12 | Appoint a Substitute Director who is Audit and Supervisory Committee Member Karatsu, Osamu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 2 | Appoint a Director who is not Audit and Supervisory Committee Member Yoshida, Yoshiaki | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 3 | Appoint a Director who is not Audit and Supervisory Committee Member Karatsu, Osamu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 4 | Appoint a Director who is not Audit and Supervisory Committee Member Urabe, Toshimitsu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 5 | Appoint a Director who is not Audit and Supervisory Committee Member Nicholas Benes | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 6 | Appoint a Director who is not Audit and Supervisory Committee Member Tsukakoshi, Soichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 7 | Appoint a Director who is not Audit and Supervisory Committee Member Fujita, Atsushi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 8 | Appoint a Director who is not Audit and Supervisory Committee Member Tsukui, Koichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 9 | Appoint a Director who is not Audit and Supervisory Committee Member Douglas Lefever | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 10 | Appoint a Director who is Audit and Supervisory Committee Member Kurita, Yuichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 11 | Appoint a Director who is Audit and Supervisory Committee Member Namba, Koichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 13 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 14 | Approve Details of the Stock Compensation to be received by Directors (Excluding Outside Directors and Directors who are Audit and Supervisory Committee Members) | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 1 | TO RATIFY THE 2020 FINANCIAL STATEMENTS (INCLUDING 2020 BUSINESS REPORT) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 2 | TO RATIFY THE 2020 RETAINED EARNINGS DISTRIBUTION (CASH DIVIDEND NT2.234 PER SHARE) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 3 | TO DISCUSS AND APPROVE THE CASH DISTRIBUTION FROM CAPITAL SURPLUS (CASH NT1.016 PER SHARE) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 4 | TO DISCUSS AND APPROVE THE AMENDMENT OF ARTICLES OF INCORPORATION OF THE COMPANY | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 5 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,DOUGLAS HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 6 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,PETER HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 7 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,JAN NILSSON AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 8 | THE ELECTION OF THE DIRECTOR:YUAN DING CO., LTD. ,SHAREHOLDER NO.0017366,CHAMPION LEE AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 9 | THE ELECTION OF THE DIRECTOR:YUAN DING CO., LTD. ,SHAREHOLDER NO.0017366,JEFF HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 10 | THE ELECTION OF THE DIRECTOR:DING YUAN INTERNATIONAL INVESTMENT CO., LTD. ,SHAREHOLDER NO.0001212,TOON LIM AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 11 | THE ELECTION OF THE DIRECTOR:U-MING MARINE TRANSPORT CORP. ,SHAREHOLDER NO.0051567,NOBUTAKA KURATA AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 12 | THE ELECTION OF THE DIRECTOR:ASIA INVESTMENT CORP. ,SHAREHOLDER NO.0015088,BONNIE PENG AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 13 | THE ELECTION OF THE INDEPENDENT DIRECTOR:LAWRENCE JUEN-YEE LAU,SHAREHOLDER NO.1944121XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 14 | THE ELECTION OF THE INDEPENDENT DIRECTOR:JYUO-MIN SHYU,SHAREHOLDER NO.F102333XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 15 | THE ELECTION OF THE INDEPENDENT DIRECTOR:TA-SUNG LEE,SHAREHOLDER NO.F120669XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 16 | TO DISCUSS TO RELEASE THE NON-COMPETITION RESTRICTION ON DIRECTORS IN ACCORDANCE WITH ARTICLE 209 OF THE COMPANY LAW | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 17 | 26 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTION 5.10. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 26-May-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Tanaka, Takashi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Takahashi, Makoto | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Shoji, Takashi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Muramoto, Shinichi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Mori, Keiichi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Morita, Kei | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Amamiya, Toshitake | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Takeyama, Hirokuni | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Yoshimura, Kazuyuki | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Yamaguchi, Goro | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Yamamoto, Keiji | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 14 | Appoint a Director Oyagi, Shigeo | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 15 | Appoint a Director Kano, Riyo | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 16 | Appoint a Director Goto, Shigeki | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 17 | Appoint a Corporate Auditor Asahina, Yukihiro | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 26-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 1 | 2020 COMPANY'S BUSINESS REPORTS AND FINANCIAL STATEMENTS. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 2 | ADOPTION OF THE PROPOSAL FOR DISTRIBUTION OF 2020 PROFITS. PROPOSED CASH DIVIDEND: TWD 2.7 PER SHARE. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 3 | AMENDMENT TO THE COMPANY'S RULES OF PROCEDURE FOR SHAREHOLDERS MEETING. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 4 | AMENDMENT TO THE COMPANY'S PROCEDURES FOR ELECTION OF DIRECTORS. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 5 | DELETION OF THE NON COMPETITION PROMISE BAN IMPOSED UPON THE COMPANY'S DIRECTORS AND INDEPENDENT DIRECTORS ACCORDING TO THE ARTICLE 209 OF COMPANY ACT. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Karube, Jun | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Kashitani, Ichiro | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Kondo, Takahiro | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Tominaga, Hiroshi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Iwamoto, Hideyuki | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Fujisawa, Kumi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Komoto, Kunihito | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Didier Leroy | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Inoue, Yukari | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 12 | Approve Payment of Bonuses to Corporate Officers | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director who is not Audit and Supervisory Committee Member Sugimori, Tsutomu | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director who is not Audit and Supervisory Committee Member Ota, Katsuyuki | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director who is not Audit and Supervisory Committee Member Yokoi, Yoshikazu | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director who is not Audit and Supervisory Committee Member Iwase, Junichi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director who is not Audit and Supervisory Committee Member Yatabe, Yasushi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director who is not Audit and Supervisory Committee Member Hosoi, Hiroshi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director who is not Audit and Supervisory Committee Member Murayama, Seiichi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director who is not Audit and Supervisory Committee Member Saito, Takeshi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director who is not Audit and Supervisory Committee Member Ota, Hiroko | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director who is not Audit and Supervisory Committee Member Miyata, Yoshiiku | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director who is not Audit and Supervisory Committee Member Kudo, Yasumi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Director who is Audit and Supervisory Committee Member Nishimura, Shingo | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 15 | Appoint a Director who is Audit and Supervisory Committee Member Mitsuya, Yuko | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 21-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Kobayashi, Ken | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Kakiuchi, Takehiko | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Masu, Kazuyuki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Murakoshi, Akira | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Hirai, Yasuteru | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kashiwagi, Yutaka | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Nishiyama, Akihiko | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Saiki, Akitaka | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Tatsuoka, Tsuneyoshi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Miyanaga, Shunichi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Akiyama, Sakie | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 25-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Nakazato, Yoshiaki | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Nozaki, Akira | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Matsumoto, Nobuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Higo, Toru | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kanayama, Takahiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Nakano, Kazuhisa | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Ishii, Taeko | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kinoshita, Manabu | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Corporate Auditor Imai, Koji | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Corporate Auditor Wakamatsu, Shoji | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 3 | Amend Articles to: Eliminate the Articles Related to Counselors and/or Advisors, Approve Minor Revisions | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 28-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 15 | Approve Payment of Bonuses to Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Substitute Corporate Auditor Mishina, Kazuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 1 | Approve Appropriation of Surplus | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Mori, Kazuhiko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Nishikawa, Yoichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Kanei, Masashi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Nishino, Hiroshi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Horiguchi, Tadayoshi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Yamamoto, Shigeo | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Hisabayashi, Yoshinari | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Matsubayashi, Shigeyuki | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kodera, Kazuhiro | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Chiba, Yujiro | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Sasaki, Toshihiko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Director Hasegawa, Eiichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 15 | Appoint a Corporate Auditor Ishimaru, Ikuko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 16 | Appoint a Corporate Auditor Tanaka, Chikara | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 17 | Appoint a Corporate Auditor Fujita, Koji | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 18 | Appoint a Corporate Auditor Shimazaki, Makoto | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 2 | Amend Articles to: Approve Minor Revisions | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 19 | Appoint a Substitute Corporate Auditor Sasaki, Shinichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: A.A. CHISHOLM | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: J. COTE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: T.N. DARUVALA | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: D.F. DENISON | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: C. DEVINE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: D. MCKAY | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: K. TAYLOR | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: M. TURCKE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: T. VANDAL | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: B.A. VAN KRALINGEN | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: F. VETTESE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: J. YABUKI | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 14 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP (PWC) AS AUDITOR | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 15 | ADVISORY VOTE ON THE BANK'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDERS REQUEST THAT THE ROYAL BANK OF CANADA ("RBC" OR THE "COMPANY") ADOPT COMPANY-WIDE, QUANTITATIVE, TIME-BOUND TARGETS FOR REDUCING GREENHOUSE GAS (GHG) EMISSIONS ASSOCIATED WITH THE COMPANY'S UNDERWRITING AND LENDING ACTIVITIES AND ISSUE AN ANNUAL REPORT, AT REASONABLE COST AND OMITTING PROPRIETARY INFORMATION, DISCUSSING ITS PLANS AND PROGRESS TOWARDS ACHIEVING THESE TARGETS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 17 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BOARD OF DIRECTORS AND MANAGEMENT REDEFINE THE PURPOSE OF THE ROYAL BANK AS AN ORGANIZATION, AND THAT ONE OF THE BOARD OF DIRECTORS' COMMITTEES BE TASKED WITH OVERSEEING THE DEPLOYMENT OF THE POLICIES, UNDERTAKINGS AND INITIATIVES BEING IMPLEMENTED TO MAKE THIS NEW STRATEGIC ORIENTATION A REALITY, MORE SPECIFICALLY IN TERMS OF HEALTH, THE ENVIRONMENT, HUMAN RESOURCES AND STAKEHOLDER RELATIONS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 18 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BANK PRODUCE A REPORT ON LOANS IT HAS GRANTED OVER THE LAST FEW YEARS IN SUPPORT OF CIRCULAR ECONOMY | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 19 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: IT IS PROPOSED THAT THE BANK ADOPT A TARGET HIGHER THAN 40% FOR THE COMPOSITION OF ITS BOARD OF DIRECTORS FOR THE NEXT FIVE YEARS | Shareholder | N | 07-Mar-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 1 | 08 MAR 2021: PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 07-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| ROYAL BANK OF CANADA | | 780087102 | 08-Apr-2021 | Annual General Meeting | 20 | 08 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT IN COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 07-Mar-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: NORA A. AUFREITER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: GUILLERMO E. BABATZ | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: SCOTT B. BONHAM | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: LYNN K. PATTERSON | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: MICHAEL D. PENNER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: BRIAN J. PORTER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: UNA M. POWER | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: AARON W. REGENT | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: CALIN ROVINESCU | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: SUSAN L. SEGAL | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: L. SCOTT THOMSON | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 14 | ELECTION OF DIRECTOR: BENITA M. WARMBOLD | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 15 | APPOINTMENT OF KPMG LLP AS AUDITORS | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 16 | ADVISORY VOTE ON NON-BINDING RESOLUTION ON EXECUTIVE COMPENSATION APPROACH | Management | F | 01-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 17 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: CIRCULAR ECONOMY: IT IS PROPOSED THAT THE BANK PRODUCE A REPORT ON THE LOANS IT HAS MADE IN RECENT YEARS TO SUPPORT THE CIRCULAR ECONOMY | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 18 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: DISCLOSURE OF EQUITY RATIO: IT IS PROPOSED THAT THE BANK DISCLOSE THE COMPENSATION RATIO (EQUITY RATIO) USED BY THE COMPENSATION COMMITTEE AS PART OF ITS COMPENSATION SETTING PROCESS | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 19 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: DIVERSITY TARGET: IT IS PROPOSED THAT THE BANK SET A TARGET OF MORE THAN 40% OF THE BOARD MEMBERS FOR THE NEXT FIVE YEARS | Shareholder | N | 01-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 508619 DUE TO RECEIPT OF CHANGE IN TEXT OF RESOLUTIONS 4, 5 AND 6. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 01-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| BANK OF NOVA SCOTIA | | 064149107 | 13-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 01-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: PAVITER S. BINNING | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: SCOTT B. BONHAM | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: WARREN BRYANT | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: CHRISTIE J.B. CLARK | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: DANIEL DEBOW | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: WILLIAM A. DOWNE | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: JANICE FUKAKUSA | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: M. MARIANNE HARRIS | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: CLAUDIA KOTCHKA | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: BETH PRITCHARD | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: SARAH RAISS | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: GALEN G. WESTON | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 14 | APPOINTMENT OF KPMG LLP AS AUDITOR AND AUTHORIZATION OF THE DIRECTORS TO FIX THE AUDITOR'S REMUNERATION | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 15 | VOTE ON THE ADVISORY RESOLUTION ON THE APPROACH TO EXECUTIVE COMPENSATION | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: RESOLVED: SHAREHOLDERS REQUEST THE BOARD PREPARE AND PUBLISH A REPORT EXAMINING CAPITAL AND RISK MANAGEMENT PRACTICES DURING THE PANDEMIC, IN TERMS OF BALANCING THE INTERESTS OF LOBLAW'S STAKEHOLDERS AND MONITORING/ASSESSING ACTIONS THAT COULD CAUSE LOBLAW UNDUE REPUTATIONAL RISK. THE REPORT SHOULD INCLUDE THE RATIONALE FOR (I) LOBLAW'S DECISION TO PURCHASE CAD261 MILLION IN SHARES FROM ITS MAJORITY SHAREHOLDER WHILE ENDING HERO TO FRONTLINE EMPLOYEES AFTER THREE MONTHS, AND (II) NOT HAVING THE BOARD OR THE RISK AND COMPLIANCE COMMITTEE DELIBERATE ON THE DECISION TO END HERO PAY. | Shareholder | N | 07-Apr-2021 | N | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 07-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| LOBLAW COMPANIES LTD | | 539481101 | 06-May-2021 | Annual General Meeting | 17 | 08 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 4. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 07-Apr-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: ERIK OLSSON | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: ANN FANDOZZI | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: BEVERLEY ANNE BRISCOE | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: ROBERT G. ELTON | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: J. KIM FENNELL | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: AMY GUGGENHEIM SHENKAN | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: SARAH RAISS | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: CHRISTOPHER ZIMMERMAN | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: ADAM DEWITT | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 11 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE AUDIT COMMITTEE TO FIX THEIR REMUNERATION | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 12 | APPROVAL, ON AN ADVISORY BASIS, OF A NON-BINDING ADVISORY RESOLUTION ACCEPTING THE COMPANY'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 25-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RITCHIE BROTHERS AUCTIONEERS INC | | 767744105 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.A TO 1.I AND 2. THANK YOU | Non-Voting | M | 25-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: NICOLE S. ARNABOLDI | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: GUY L.T. BAINBRIDGE | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: JOSEPH P. CARON | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: JOHN M. CASSADAY | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: SUSAN F. DABARNO | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: JULIE E. DICKSON | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: SHEILA S.FRASER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: ROY GORI | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: TSUN-YAN HSIEH | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: DONALD R. LINDSAY | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: JOHN R.V. PALMER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: C. JAMES PRIEUR | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 14 | ELECTION OF DIRECTOR: ANDREA S. ROSEN | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 15 | ELECTION OF DIRECTOR: LEAGH E. TURNER | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 16 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 17 | ADVISORY RESOLUTION ACCEPTING APPROACH TO EXECUTIVE COMPENSATION | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MANULIFE FINANCIAL CORP | | 56501R106 | 06-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.14 AND 2. THANK YOU | Non-Voting | M | 24-Mar-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: DIANA CHANT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: NORMAN JASKOLKA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: CYNTHIA TRUDELL | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| CANADIAN TIRE CORP LTD | | 136681202 | 13-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.3. THANK YOU | Non-Voting | M | 08-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 3 | ELECTION OF CLASS B DIRECTOR: CHANTAL BELANGER | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 4 | ELECTION OF CLASS B DIRECTOR: LISE CROTEAU | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 5 | ELECTION OF CLASS B DIRECTOR: NORMAND PROVOST | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 6 | APPOINT ERNST & YOUNG LLP AS EXTERNAL AUDITOR. | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 7 | ADOPTION OF AN ADVISORY RESOLUTION ON THE BOARD OF DIRECTORS OF THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 15-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 522654 DUE TO RECEIVED UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 15-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| QUEBECOR INC | | 748193208 | 13-May-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTIONS 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1,3 AND 2. THANK YOU | Non-Voting | M | 15-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 2 | ELECTION OF DIRECTOR: CHRISTOPHER M. BURLEY | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 3 | ELECTION OF DIRECTOR: MAURA J. CLARK | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 4 | ELECTION OF DIRECTOR: RUSSELL K. GIRLING | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 5 | ELECTION OF DIRECTOR: MIRANDA C. HUBBS | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 6 | ELECTION OF DIRECTOR: RAJ S. KUSHWAHA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 7 | ELECTION OF DIRECTOR: ALICE D. LABERGE | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 8 | ELECTION OF DIRECTOR: CONSUELO E. MADERE | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 9 | ELECTION OF DIRECTOR: CHARLES V. MAGRO | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 10 | ELECTION OF DIRECTOR: KEITH G. MARTELL | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 11 | ELECTION OF DIRECTOR: AARON W. REGENT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 12 | ELECTION OF DIRECTOR: MAYO M. SCHMIDT | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 13 | ELECTION OF DIRECTOR: NELSON LUIZ COSTA SILVA | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 14 | RE-APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS, AS AUDITOR OF THE CORPORATION | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 15 | A NON-BINDING ADVISORY RESOLUTION TO ACCEPT THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | Management | F | 08-Apr-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| NUTRIEN LTD | | 67077M108 | 17-May-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.12 AND 2. THANK YOU | Non-Voting | M | 08-Apr-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 2 | BUSINESS REPORT AND FINANCIAL STATEMENTS OF 2020. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 3 | PROPOSAL OF DISTRIBUTION OF PROFITS OF 2020. PROPOSED CASH DIVIDEND TWD 3.5 PER SHARE FOR COMMON SHARES. PROPOSED CASH DIVIDEND TWD 1.75 PER SHARE FOR PREFERRED SHARES 1101B. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 4 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN R.M.C CORP.,SHAREHOLDER NO.20048715,CHANG AN PING AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 5 | THE ELECTION OF THE DIRECTOR.:C. F. KOO FOUNDATION,SHAREHOLDER NO.20178935,LI JONG PEIR AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 6 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN CEMENT CORP.,SHAREHOLDER NO.20016949,CHANG KANG LUNG, JASON AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 7 | THE ELECTION OF THE DIRECTOR.:INTERNATIONAL CSRC INVESTMENT HOLDINGS CO., LTD.,SHAREHOLDER NO.20055830,LO C.M., KENNETH AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 8 | THE ELECTION OF THE DIRECTOR.:FU PIN INVESTMENT CO., LTD.,SHAREHOLDER NO.20420701,WANG POR YUAN AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 9 | THE ELECTION OF THE DIRECTOR.:TAI HO FARMING CO., LTD.,SHAREHOLDER NO.20040219,KOO KUNG YI AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 10 | THE ELECTION OF THE DIRECTOR.:CHIA HSIN CEMENT CORP.,SHAREHOLDER NO.20016949,CHEN CHI TE AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 11 | THE ELECTION OF THE DIRECTOR.:FU PIN INVESTMENT CO., LTD.,SHAREHOLDER NO.20420701,HSIEH CHI CHIA AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 12 | THE ELECTION OF THE DIRECTOR.:HENG QIANG INVESTMENT CO., LTD.,SHAREHOLDER NO.20420700,WEN CHIEN AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 13 | THE ELECTION OF THE DIRECTOR.:HENG QIANG INVESTMENT CO., LTD.,SHAREHOLDER NO.20420700,TSAI CHIH CHUNG AS REPRESENTATIVE | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 14 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:CHIAO YU CHENG,SHAREHOLDER NO.A120667XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 15 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:WANG VICTOR,SHAREHOLDER NO.Q100187XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 16 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:CHOU LING TAI,SHAREHOLDER NO.20180174 | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 17 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LIN MEI HWA,SHAREHOLDER NO.F201284XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 18 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LIN SHIOU LING,SHAREHOLDER NO.A202924XXX | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 19 | TO APPROVE THE AMENDMENTS ON PART OF RULES OF PROCEDURES FOR THE ACQUISITION AND DISPOSAL OF ASSETS. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 20 | TO APPROVE THE AMENDMENTS ON PART OF RULES OF PROCEDURE FOR ANNUAL SHAREHOLDERS' MEETING. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 21 | REMOVAL OF NON COMPETE RESTRICTIONS FOR NEW DIRECTORS. | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TAIWAN CEMENT CORP | | Y8415D106 | 11-Jun-2021 | Annual General Meeting | 1 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 517459 DUE TO RECEIVED CHANGE IN NUMBERING OF RESOLUTIONS. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 2 | Appoint a Director Minegishi, Masumi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Idekoba, Hisayuki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Senaha, Ayano | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Rony Kahan | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Izumiya, Naoki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Totoki, Hiroki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 11 | Amend Articles to: Establish the Articles Related to Shareholders Meeting held without specifying a venue | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 9 | Approve Details of the Stock Compensation to be received by Directors, etc. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 25-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 8 | Appoint a Substitute Corporate Auditor Tanaka, Miho | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| RECRUIT HOLDINGS CO.,LTD. | | J6433A101 | 17-Jun-2021 | Annual General Meeting | 10 | Approve Details of Compensation as Stock Options for Directors (Excluding Outside Directors) | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Hayashi, Kaoru | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Hata, Shonosuke | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Murakami, Atsuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Yuki, Shingo | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Miyazaki, Kanako | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kato, Tomoharu | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Miyajima, Kazuyoshi | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Kinoshita, Masayuki | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Tada, Kazukuni | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 12 | Appoint a Corporate Auditor Nemoto, Yuko | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 28-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 13 | Approve Details of Compensation as Stock-Linked Compensation Type Stock Options for Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KAKAKU.COM,INC. | | J29258100 | 17-Jun-2021 | Annual General Meeting | 14 | Approve Details of Compensation as Stock Options for Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Okafuji, Masahiro | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Suzuki, Yoshihisa | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Ishii, Keita | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Yoshida, Tomofumi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Fukuda, Yuji | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kobayashi, Fumihiko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Hachimura, Tsuyoshi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Muraki, Atsuko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kawana, Masatoshi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Nakamori, Makiko | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Ishizuka, Kunio | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 14 | Appoint a Corporate Auditor Majima, Shingo | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 15 | Appoint a Corporate Auditor Kikuchi, Masumi | Management | F | 20-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ITOCHU CORPORATION | | J2501P104 | 18-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 20-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 1 | TO APPROVE 2020 BUSINESS REPORT AND FINANCIAL STATEMENTS. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 2 | TO APPROVE THE PROPOSAL FOR DISTRIBUTION OF 2020 EARNINGS. PROPOSED CASH DIVIDEND :TWD 4 PER SHARE. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| HON HAI PRECISION INDUSTRY CO LTD | | Y36861105 | 23-Jun-2021 | Annual General Meeting | 3 | TO APPROVE THE LIFTING OF DIRECTOR OF NON-COMPETITION RESTRICTIONS. | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 12 | Appoint a Substitute Director who is Audit and Supervisory Committee Member Karatsu, Osamu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 2 | Appoint a Director who is not Audit and Supervisory Committee Member Yoshida, Yoshiaki | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 3 | Appoint a Director who is not Audit and Supervisory Committee Member Karatsu, Osamu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 4 | Appoint a Director who is not Audit and Supervisory Committee Member Urabe, Toshimitsu | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 5 | Appoint a Director who is not Audit and Supervisory Committee Member Nicholas Benes | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 6 | Appoint a Director who is not Audit and Supervisory Committee Member Tsukakoshi, Soichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 7 | Appoint a Director who is not Audit and Supervisory Committee Member Fujita, Atsushi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 8 | Appoint a Director who is not Audit and Supervisory Committee Member Tsukui, Koichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 9 | Appoint a Director who is not Audit and Supervisory Committee Member Douglas Lefever | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 10 | Appoint a Director who is Audit and Supervisory Committee Member Kurita, Yuichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 11 | Appoint a Director who is Audit and Supervisory Committee Member Namba, Koichi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 13 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 14 | Approve Details of the Stock Compensation to be received by Directors (Excluding Outside Directors and Directors who are Audit and Supervisory Committee Members) | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ADVANTEST CORPORATION | | J00210104 | 23-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 1 | TO RATIFY THE 2020 FINANCIAL STATEMENTS (INCLUDING 2020 BUSINESS REPORT) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 2 | TO RATIFY THE 2020 RETAINED EARNINGS DISTRIBUTION (CASH DIVIDEND NT2.234 PER SHARE) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 3 | TO DISCUSS AND APPROVE THE CASH DISTRIBUTION FROM CAPITAL SURPLUS (CASH NT1.016 PER SHARE) | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 4 | TO DISCUSS AND APPROVE THE AMENDMENT OF ARTICLES OF INCORPORATION OF THE COMPANY | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 5 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,DOUGLAS HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 6 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,PETER HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 7 | THE ELECTION OF THE DIRECTOR:YUAN DING INVESTMENT CO., LTD. ,SHAREHOLDER NO.0000001,JAN NILSSON AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 8 | THE ELECTION OF THE DIRECTOR:YUAN DING CO., LTD. ,SHAREHOLDER NO.0017366,CHAMPION LEE AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 9 | THE ELECTION OF THE DIRECTOR:YUAN DING CO., LTD. ,SHAREHOLDER NO.0017366,JEFF HSU AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 10 | THE ELECTION OF THE DIRECTOR:DING YUAN INTERNATIONAL INVESTMENT CO., LTD. ,SHAREHOLDER NO.0001212,TOON LIM AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 11 | THE ELECTION OF THE DIRECTOR:U-MING MARINE TRANSPORT CORP. ,SHAREHOLDER NO.0051567,NOBUTAKA KURATA AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 12 | THE ELECTION OF THE DIRECTOR:ASIA INVESTMENT CORP. ,SHAREHOLDER NO.0015088,BONNIE PENG AS REPRESENTATIVE | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 13 | THE ELECTION OF THE INDEPENDENT DIRECTOR:LAWRENCE JUEN-YEE LAU,SHAREHOLDER NO.1944121XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 14 | THE ELECTION OF THE INDEPENDENT DIRECTOR:JYUO-MIN SHYU,SHAREHOLDER NO.F102333XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 15 | THE ELECTION OF THE INDEPENDENT DIRECTOR:TA-SUNG LEE,SHAREHOLDER NO.F120669XXX | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 16 | TO DISCUSS TO RELEASE THE NON-COMPETITION RESTRICTION ON DIRECTORS IN ACCORDANCE WITH ARTICLE 209 OF THE COMPANY LAW | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| FAR EASTONE TELECOMMUNICATIONS CO LTD | | Y7540C108 | 23-Jun-2021 | Annual General Meeting | 17 | 26 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTION 5.10. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 26-May-2021 | | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Tanaka, Takashi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Takahashi, Makoto | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Shoji, Takashi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Muramoto, Shinichi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Mori, Keiichi | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Morita, Kei | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Amamiya, Toshitake | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Takeyama, Hirokuni | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Yoshimura, Kazuyuki | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Yamaguchi, Goro | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Yamamoto, Keiji | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 14 | Appoint a Director Oyagi, Shigeo | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 15 | Appoint a Director Kano, Riyo | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 16 | Appoint a Director Goto, Shigeki | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 17 | Appoint a Corporate Auditor Asahina, Yukihiro | Management | F | 26-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| KDDI CORPORATION | | J31843105 | 23-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 26-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 1 | 2020 COMPANY'S BUSINESS REPORTS AND FINANCIAL STATEMENTS. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 2 | ADOPTION OF THE PROPOSAL FOR DISTRIBUTION OF 2020 PROFITS. PROPOSED CASH DIVIDEND: TWD 2.7 PER SHARE. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 3 | AMENDMENT TO THE COMPANY'S RULES OF PROCEDURE FOR SHAREHOLDERS MEETING. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 4 | AMENDMENT TO THE COMPANY'S PROCEDURES FOR ELECTION OF DIRECTORS. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| UNI-PRESIDENT ENTERPRISES CORP | | Y91475106 | 23-Jun-2021 | Annual General Meeting | 5 | DELETION OF THE NON COMPETITION PROMISE BAN IMPOSED UPON THE COMPANY'S DIRECTORS AND INDEPENDENT DIRECTORS ACCORDING TO THE ARTICLE 209 OF COMPANY ACT. | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Karube, Jun | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Kashitani, Ichiro | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Kondo, Takahiro | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Tominaga, Hiroshi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Iwamoto, Hideyuki | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Fujisawa, Kumi | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Komoto, Kunihito | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Didier Leroy | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Inoue, Yukari | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 01-Jun-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| TOYOTA TSUSHO CORPORATION | | J92719111 | 24-Jun-2021 | Annual General Meeting | 12 | Approve Payment of Bonuses to Corporate Officers | Management | F | 01-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director who is not Audit and Supervisory Committee Member Sugimori, Tsutomu | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director who is not Audit and Supervisory Committee Member Ota, Katsuyuki | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director who is not Audit and Supervisory Committee Member Yokoi, Yoshikazu | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director who is not Audit and Supervisory Committee Member Iwase, Junichi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director who is not Audit and Supervisory Committee Member Yatabe, Yasushi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director who is not Audit and Supervisory Committee Member Hosoi, Hiroshi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director who is not Audit and Supervisory Committee Member Murayama, Seiichi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director who is not Audit and Supervisory Committee Member Saito, Takeshi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director who is not Audit and Supervisory Committee Member Ota, Hiroko | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director who is not Audit and Supervisory Committee Member Miyata, Yoshiiku | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director who is not Audit and Supervisory Committee Member Kudo, Yasumi | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Director who is Audit and Supervisory Committee Member Nishimura, Shingo | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 15 | Appoint a Director who is Audit and Supervisory Committee Member Mitsuya, Yuko | Management | F | 21-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENEOS HOLDINGS,INC. | | J29699105 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 21-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Kobayashi, Ken | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Kakiuchi, Takehiko | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Masu, Kazuyuki | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Murakoshi, Akira | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Hirai, Yasuteru | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kashiwagi, Yutaka | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Nishiyama, Akihiko | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Saiki, Akitaka | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Tatsuoka, Tsuneyoshi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Miyanaga, Shunichi | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Akiyama, Sakie | Management | F | 25-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| MITSUBISHI CORPORATION | | J43830116 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 25-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 2 | Approve Appropriation of Surplus | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Nakazato, Yoshiaki | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Nozaki, Akira | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Matsumoto, Nobuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Higo, Toru | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Kanayama, Takahiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Nakano, Kazuhisa | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Ishii, Taeko | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kinoshita, Manabu | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Corporate Auditor Imai, Koji | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Corporate Auditor Wakamatsu, Shoji | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 3 | Amend Articles to: Eliminate the Articles Related to Counselors and/or Advisors, Approve Minor Revisions | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 1 | Please reference meeting materials. | Non-Voting | M | 28-May-2021 | M | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 15 | Approve Payment of Bonuses to Directors | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| SUMITOMO METAL MINING CO.,LTD. | | J77712180 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Substitute Corporate Auditor Mishina, Kazuhiro | Management | F | 28-May-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 1 | Approve Appropriation of Surplus | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 3 | Appoint a Director Mori, Kazuhiko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 4 | Appoint a Director Nishikawa, Yoichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 5 | Appoint a Director Kanei, Masashi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 6 | Appoint a Director Nishino, Hiroshi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 7 | Appoint a Director Horiguchi, Tadayoshi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 8 | Appoint a Director Yamamoto, Shigeo | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 9 | Appoint a Director Hisabayashi, Yoshinari | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 10 | Appoint a Director Matsubayashi, Shigeyuki | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 11 | Appoint a Director Kodera, Kazuhiro | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 12 | Appoint a Director Chiba, Yujiro | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 13 | Appoint a Director Sasaki, Toshihiko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 14 | Appoint a Director Hasegawa, Eiichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 15 | Appoint a Corporate Auditor Ishimaru, Ikuko | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 16 | Appoint a Corporate Auditor Tanaka, Chikara | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 17 | Appoint a Corporate Auditor Fujita, Koji | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 18 | Appoint a Corporate Auditor Shimazaki, Makoto | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 2 | Amend Articles to: Approve Minor Revisions | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| IIDA GROUP HOLDINGS CO.,LTD. | | J23426109 | 25-Jun-2021 | Annual General Meeting | 19 | Appoint a Substitute Corporate Auditor Sasaki, Shinichi | Management | F | 04-Jun-2021 | F | TRST REDWOOD TACTICAL INTERNATIONAL |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 19-Jan-2021 | ExtraOrdinary General Meeting | 3 | TO RESOLVE ON THE PROPOSAL TO CHANGE THE COMPANY'S BYLAWS TO INCREASE THE NUMBER OF MEMBERS OF THE EXECUTIVE BOARD FROM 7 TO 8 AND, AS APPROPRIATE, MAKE MINOR WORDING ADJUSTMENTS TO PARAGRAPH 1 OF ARTICLE 21 AND TO THE PARAGRAPH ONLY OF ARTICLE 13, UNDER THE COMPARATIVE TABLE PROVIDED IN THE MANAGEMENT PROPOSAL, AND, IF THE PROPOSAL IS APPROVED, CONSOLIDATE THE BYLAWS | Management | F | 19-Jan-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 19-Jan-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 19-Jan-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 19-Jan-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 19-Jan-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | ExtraOrdinary General Meeting | 3 | TO RESOLVE ON THE PROPOSAL FOR THE EXTENSION OF THE COOPERATION AND SUPPORT AGREEMENT, THROUGH THE EXECUTION OF ITS 14TH AMENDMENT, TO BE ENTERED INTO BETWEEN TELECOM ITALIA S.P.A., ON THE ONE HAND, AND THE COMPANY, ON THE OTHER HAND | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | ExtraOrdinary General Meeting | 4 | TO RESOLVE ON THE COMPANY'S LONG-TERM INCENTIVE PLAN PROPOSAL | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | ExtraOrdinary General Meeting | 5 | TO RESOLVE ON THE AMENDMENT AND RESTATEMENT OF THE COMPANY'S BYLAWS | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 02-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 02-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 3 | TO RESOLVE ON THE MANAGEMENTS REPORT AND THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE FISCAL YEAR ENDED ON DECEMBER 31ST, 2020 | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 4 | TO RESOLVE ON THE MANAGEMENTS PROPOSAL FOR THE ALLOCATION OF THE RESULTS OF THE 2020 FISCAL YEAR AND THE DISTRIBUTION OF DIVIDENDS BY THE COMPANY | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 5 | TO RESOLVE ON THE COMPOSITION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 6 | TO RESOLVE ON THE CLASSIFICATION OF THE CANDIDATES BELOW FOR THE POSITIONS OF INDEPENDENT MEMBERS OF THE BOARD OF DIRECTORS ACCORDING TO THE INDEPENDENCE CRITERIA OF THE NOVO MERCADO REGULATIONS OF B3 S.A. BRASIL BOLSA, BALCAO NOVO MERCADO REGULATIONS FLAVIA MARIA BITTENCOURT GESNER JOSE DE OLIVEIRA FILHO HERCULANO ANIBAL ALVES, AND NICANDRO DURANTE | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 7 | ELECTION OF MEMBERS OF THE BOARD OF DIRECTORS. INDICATION OF EACH SLATE OF CANDIDATES AND OF ALL THE NAMES THAT ARE ON IT. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THEY DEAL WITH THESE FIELDS OCCUR. . AGOSTINO NUZZOLO CARLO NARDELLO ELISABETTA PAOLA ROMANO FLAVIA MARIA BITTENCOURT GESNER JOSE DE OLIVEIRA FILHO HERCULANO ANIBAL ALVES MICHELE VALENSISE NICANDRO DURANTE PIETRO LABRIOLA SABRINA DI BARTOLOMEO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 8 | IF ONE OF THE CANDIDATES THAT MAKE UP THE CHOSEN SLATE CEASES TO BE PART OF IT, CAN THE VOTES CORRESPONDING TO HIS SHARES CONTINUE TO BE CAST ON THE CHOSEN SLATE | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 10 | IN THE EVENT OF THE ADOPTION OF THE CUMULATIVE VOTING PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES ACROSS THE MEMBERS OF THE SLATE THAT YOU HAVE CHOSEN IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS THROUGH THE CUMULATIVE VOTING PROCESS, HIS VOTE MUST BE COUNTED AS ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 11 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: AGOSTINO NUZZOLO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 12 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: CARLO NARDELLO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 13 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: ELISABETTA PAOLA ROMANO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 14 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: FLAVIA MARIA BITTENCOURT | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 15 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: GESNER JOSE DE OLIVEIRA FILHO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 16 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: HERCULANO ANIBAL ALVES | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 17 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MICHELE VALENSISE | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 18 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: NICANDRO DURANTE | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 19 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: PIETRO LABRIOLA | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 20 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: SABRINA DI BARTOLOMEO | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 21 | TO RESOLVE ON THE COMPOSITION OF THE FISCAL COUNCIL OF THE COMPANY | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 22 | ELECTION OF MEMBERS OF THE FISCAL COUNCIL BY SLATE. INDICATION OF EACH SLATE OF CANDIDATES AND OF ALL THE NAMES THAT ARE ON IT. WALMIR URBANO KESSELI, HEINZ EGON LOWEN JOSINO DE ALMEIDA FONSECA, JOAO VERNER JUENEMANN JARBAS TADEU BARSANTI RIBEIRO, ANNA MARIA C. GOUVEA GUIMARAES | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 23 | IF ONE OF THE CANDIDATES LEAVES THE SINGLE GROUP TO ACCOMMODATE THE ELECTION IN A SEPARATE MANNER REFERRED IN ARTICLE 161, PARAGRAPH 4, AND ARTICLE 240 OF LAW NR. 6,404.1976, THE VOTES CORRESPONDING TO YOUR SHARES CAN STILL BE GIVEN TO THE CHOSEN GROUP | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 24 | TO RESOLVE ON THE COMPENSATION PROPOSAL FOR THE COMPANY'S MANAGEMENT, MEMBERS OF COMMITTEES AND MEMBERS OF THE FISCAL COUNCIL OF THE COMPANY FOR THE 2021 FISCAL YEAR | Management | F | 02-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 02-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 02-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TIM SA | | P9153B104 | 30-Mar-2021 | Annual General Meeting | 9 | FOR THE PROPOSAL 7 REGARDING THE ADOPTION OF CUMULATIVE VOTING, PLEASE BE ADVISED THAT YOU CAN ONLY VOTE FOR OR ABSTAIN. AN AGAINST VOTE ON THIS PROPOSAL REQUIRES PERCENTAGES TO BE ALLOCATED AMONGST THE DIRECTORS IN PROPOSAL 8.1 TO 8.10 IN THIS CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IN ORDER TO ALLOCATE PERCENTAGES AMONGST THE DIRECTORS. | Non-Voting | M | 02-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 4 | REMOVAL OF MR. ROBERTO DA CUNHA CASTELLO BRANCO FROM THE POSITION OF MEMBER OF THE BOARD OF DIRECTORS OF PETROBRAS, WHICH, ONCE EFFECTIVE, PURSUANT TO THE PROVISIONS OF PARAGRAPH 3 OF ART. 141 OF THE BRAZILIAN CORPORATION LAW, WILL RESULT IN THE REMOVAL OF THE OTHER SEVEN MEMBERS OF THE BOARD OF DIRECTORS OF PETROBRAS ELECTED BY THE MULTIPLE VOTE PROCESS IN THE ANNUAL GENERAL MEETING OF JULY 22, 2020 | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 5 | DO YOU WISH TO REQUEST THE ADOPTION OF THE MULTIPLE VOTE PROCESS FOR THE ELECTION OF THE BOARD OF DIRECTORS, PURSUANT TO ART. 141 OF LAW 6,404 OF 1976 | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 6 | ELECTION OF THE BOARD OF DIRECTORS BY SINGLE GROUP OF CANDIDATES, CANDIDATES NOMINATED BY THE CONTROLLING. INDICATION OF ALL THE NAMES THAT MAKE UP THE BY SLATE. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. EDUARDO BACELLAR LEAL FERREIRA. JOAQUIM SILVA E LUNA. RUY FLAKS SCHNEIDER. MARCIO ANDRADE WEBER. MURILO MARROQUIM DE SOUZA. SONIA JULIA SULZBECK VILLALOBOS. CYNTHIA SANTANA SILVEIRA. ANA SILVIA CORSO MATTE | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 7 | IF ONE OF THE CANDIDATES ON THE CHOSEN SLATE IS NO LONGER ON IT, CAN THE VOTES CORRESPONDING TO HIS OR HER ACTIONS CONTINUE TO BE CONFERRED TO THE CHOSEN SLATE | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 9 | IN CASE OF ADOPTION OF THE MULTIPLE VOTE ELECTION PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES TO THE MEMBERS OF THE SLATE YOU CHOSE. IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS BY THE MULTIPLE VOTE PROCESS, HIS, HER VOTE SHOULD BE COMPUTED AS ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 10 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. EDUARDO BACELLAR LEAL FERREIRA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 11 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. JOAQUIM SILVA E LUNA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 12 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. RUY FLAKS SCHNEIDER | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 13 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. MARCIO ANDRADE WEBER | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 14 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. MURILO MARROQUIM DE SOUZA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 15 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. SONIA JULIA SULZBECK VILLALOBOS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 16 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. CYNTHIA SANTANA SILVEIRA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 17 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. ANA SILVIA CORSO MATTE | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 18 | IN CASE OF ADOPTION OF THE MULTIPLE VOTE ELECTION PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES AMONG THE CANDIDATES YOU CHOSE. IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS THROUGH THE MULTIPLE VOTE PROCESS, HIS VOTE SHALL BE COMPUTED AS AN ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING VOTING SHARES ALSO COMPLETES THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION ADDRESSED IN THESE FIELDS OCCURS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 19 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: EDUARDO BACELLAR LEAL FERREIRA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 20 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: JOAQUIM SILVA E LUNA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 21 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: RUY FLAKS SCHNEIDER | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 22 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MARCIO ANDRADE WEBER | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 23 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MURILO MARROQUIM DE SOUZA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 24 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: SONIA JULIA SULZBECK VILLALOBOS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 25 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: CYNTHIA SANTANA SILVEIRA | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 26 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: ANA SILVIA CORSO MATTE | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 27 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: LEONARDO PIETRO ANTONELLI, INDICATED BY MINORITY SHAREHOLDERS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 28 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MARCELO GASPARINO DA SILVA, INDICATED BY MINORITY SHAREHOLDERS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 29 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: PEDRO RODRIGUES GALVAO DE MEDEIROS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 30 | ELECTION OF THE CHAIRMAN OF THE BOARD OF DIRECTORS OF PETROBRAS | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 31 | IN CASE OF A SECOND CALL OF THIS GENERAL MEETING, CAN THE VOTING INSTRUCTIONS CONTAINED IN THIS BALLOT BE CONSIDERED FOR THE SECOND CALL AS WELL | Management | F | 23-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 23-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 23-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 3 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 534241 DUE TO RECEIPT OF ADDITIONAL RESOLUTION 8.11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 23-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 12-Apr-2021 | ExtraOrdinary General Meeting | 8 | FOR THE PROPOSAL 5 REGARDING THE ADOPTION OF CUMULATIVE VOTING, PLEASE BE ADVISED THAT YOU CAN ONLY VOTE FOR OR ABSTAIN. AN AGAINST VOTE ON THIS PROPOSAL REQUIRES PERCENTAGES TO BE ALLOCATED AMONGST THE DIRECTORS IN PROPOSAL 6.1 TO 6.8. IN THIS CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IN ORDER TO ALLOCATE PERCENTAGES AMONGST THE DIRECTORS | Non-Voting | M | 23-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 4 | ASSESSING THE MANAGEMENTS ACCOUNTS, EXAMINING, DISCUSSING AND VOTING ON THE MANAGEMENTS REPORT AND THE COMPANY'S FINANCIAL STATEMENTS, WITH THE REPORT FROM THE INDEPENDENT AUDITORS AND THE FISCAL COUNCIL REPORT, FOR THE FISCAL YEAR ENDED ON DECEMBER 31, 2020 | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 5 | PROPOSAL FOR THE ALLOCATION OF THE LOSS PROFIT FOR THE FISCAL YEAR OF 2020 | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 6 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION . AGNES MARIA DE ARAGAO DA COSTA, JAIREZ ELOI DE SOUSA PAULISTA SERGIO HENRIQUE LOPES DE SOUSA, ALAN SAMPAIO SANTOS JOSE FRANCO MEDEIROS DE MORAIS, GILDENORA BATISTA DANTAS MILHOMEM | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 7 | IF ONE OF THE CANDIDATES ON THE SLATE IS NO LONGER ON IT TO ACCOMMODATE THE SEPARATE ELECTION REFERRED TO IN ARTICLES 161, 4, AND 240 OF LAW 6404, OF 1976, CAN THE VOTES CORRESPONDING TO HIS HER SHARES CONTINUE TO BE CAST FOR THE SLATE CHOSEN | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 8 | SEPARATE ELECTION OF A MEMBER OF THE FISCAL COUNCIL BY MINORITY SHAREHOLDERS HOLDING SHARES OF VOTING RIGHTS. THE SHAREHOLDER MUST COMPLETE THIS FIELD SHOULD HE HAVE LEFT THE GENERAL ELECTION FIELD BLANK: PATRICIA VALENTE STIERLI, PRINCIPAL. ROBERT JUENEMANN, SUBSTITUTE | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 9 | ESTABLISHING THE COMPENSATION FOR THE MEMBERS OF THE MANAGEMENT, FISCAL COUNCIL AND ADVISORY COMMITTEES OF THE BOARD OF DIRECTORS | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 10 | IN THE EVENT OF A SECOND CALL OF THIS GENERAL MEETING, MAY THE VOTING INSTRUCTIONS INCLUDED IN THIS BALLOT FORM BE CONSIDERED ALSO FOR THE SECOND CALL OF MEETING | Management | F | 24-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 24-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 24-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | Annual General Meeting | 3 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 531671 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | M | 24-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | ExtraOrdinary General Meeting | 2 | PROPOSAL FOR THE MERGER OF COMPANHIA DE DESENVOLVIMENTO E MODERNIZACAO DE PLANTAS INDUSTRIAIS S.A CDMPI BY PETROLEO BRASILEIRO S.A PETROBRAS TO 1. TO RATIFY THE CONTRACTING OF MOREIRA ASSOCIADOS AUDITORES INDEPENDENTES MOREIRA ASSOCIADOS BY PETROBRAS FOR THE PREPARATION OF THE APPRAISAL REPORT, AT BOOK VALUE, OF PDETS SHAREHOLDERS EQUITY, PURSUANT TO PARAGRAPH 1 OF ARTICLE 227 OF LAW 6404, OF DECEMBER 15, 1976 2. TO APPROVE THE APPRAISAL REPORT PREPARED BY MOREIRA FOR THE APPRAISAL, AT BOOK VALUE, OF CDMPS SHAREHOLDERS EQUITY 3. TO APPROVE, IN ALL ITS TERMS AND CONDITIONS, THE PROTOCOL AND JUSTIFICATION OF THE MERGER, EXECUTED BETWEEN CDMPI AND PETROBRAS ON 02.24.2021 4. TO APPROVE THE MERGER OF CDMPI BY PETROBRAS, WITH ITS CONSEQUENT EXTINCTION, WITHOUT INCREASING THE CAPITAL STOCK OF PETROBRAS, AND 5. TO AUTHORIZE PETROBRAS BOARD OF EXECUTIVE OFFICERS TO PERFORM ALL ACTS REQUIRED TO EFFECT THE MERGER AND REGULARIZATION OF THE SITUATION OF THE ACQUIRED COMPANY AND THE SURVIVING COMPANY BEFORE THE COMPETENT BODIES, AS NECESSARY | Management | F | 19-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | ExtraOrdinary General Meeting | 3 | IN THE EVENT OF A SECOND CALL OF THIS GENERAL MEETING, MAY THE VOTING INSTRUCTIONS INCLUDED IN THIS BALLOT FORM BE CONSIDERED ALSO FOR THE SECOND CALL OF MEETING | Management | F | 19-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 19-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | ExtraOrdinary General Meeting | 4 | 18 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE FROM 09 APR 2021 TO 12 APR 2021. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 19-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| PETROLEO BRASILEIRO SA - PETROBRAS | | P78331132 | 14-Apr-2021 | ExtraOrdinary General Meeting | 5 | 17 MAR 2021: PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 19-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 3 | EXAMINE THE MANAGEMENTS ACCOUNTS, ANALYZE, DISCUSS AND VOTE ON THE COMPANY'S FINANCIAL STATEMENTS, IN CONJUNCTION WITH THE MANAGEMENT REPORT, INDEPENDENT AUDITORS REPORT AND AUDIT COMMITTEES OPINION REGARDING THE FISCAL YEAR ENDED ON DECEMBER 31, 2020, AS PER THE SHAREHOLDERS MEETING MANUAL | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 4 | RESOLVE ON THE PROFITABILITY ALLOCATION FOR THE FISCAL YEAR ENDED DECEMBER 31, 2020 AND ON THE DISTRIBUTION OF DIVIDENDS TO THE SHAREHOLDERS OF THE COMPANY, AS PER THE SHAREHOLDERS MEETING MANUAL | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 5 | ELECTION OF THE FISCAL COUNCIL BY CANDIDATE. TOTAL MEMBERS TO BE ELECTED,2. APPOINTMENT OF CANDIDATES FOR THE FISCAL COUNCIL, THE SHAREHOLDER MIGHT APPOINT AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. CREMENIO MEDOLA NETTO, EFFECTIVE AND JUAREZ ROSA DA SILVA, SUBSTITUTE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 6 | ELECTION OF THE FISCAL COUNCIL BY CANDIDATE. TOTAL MEMBERS TO BE ELECTED,2. APPOINTMENT OF CANDIDATES FOR THE FISCAL COUNCIL, THE SHAREHOLDER MIGHT APPOINT AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. CHARLES EDWARDS ALLEN, EFFECTIVE AND STAEL PRATA SILVA FILHO, SUBSTITUTE | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 7 | SET THE ANNUAL GLOBAL REMUNERATION OF THE BOARD OF DIRECTORS AND OF THE MEMBERS OF THE FISCAL BOARD FOR THE FISCAL YEAR OF 2021, AS PER THE SHAREHOLDERS MEETING MANUAL | Management | F | 07-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 07-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| TELEFONICA BRASIL SA | | P9T369176 | 15-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 07-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 2 | TO DELIBERATE ON THE MANAGEMENT ACCOUNTS, EXAMINE, DISCUSS AND VOTE ON THE FINANCIAL STATEMENTS WITH RESPECT TO THE FISCAL YEAR ENDING DECEMBER 31, 2020 | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 3 | TO DELIBERATE ON THE CAPITAL BUDGET FOR PROFIT RETENTION | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 4 | TO DELIBERATE ON THE ALLOCATION OF PROFITS FOR THE FISCAL YEAR 2020 AND THE DISTRIBUTION OF DIVIDENDS | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 5 | TO DELIBERATE ON THE AMOUNT OF PARTICIPATION OF THE EMPLOYEES IN THE RESULTS FOR THE FISCAL YEAR 2020 | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 6 | TO DELIBERATE ON THE AGGREGATE COMPENSATION OF THE MEMBERS OF THE MANAGEMENT OF THE COMPANY FOR FISCAL YEAR 2021 | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 7 | DO YOU WISH TO REQUEST THE INSTALLATION OF THE FISCAL COUNCIL, PURSUANT TO ART. 161 OF LAW NO. 6,404, 1976 | Management | F | 28-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 28-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ENGIE BRASIL ENERGIA SA | | P37625103 | 28-Apr-2021 | Annual General Meeting | 8 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 28-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 3 | TO VOTE ON THE FINANCIAL STATEMENTS AND THE ACCOUNTS OF ADMINISTRATOR OF THE FINANCIAL YEAR ENDED IN DECEMBER 31, 2020 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 4 | TO VOTE ON ALLOCATION OF THE NET PROFIT OF THE FINANCIAL YEAR ENDED IN DECEMBER 31, 2020 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 5 | TO VOTE ON THE NUMBER OF 9 NINE MEMBERS FOR THE COMPANY'S BOARD OF DIRECTORS | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 6 | DO YOU WISH TO ELECT A MEMBER OF THE BOARD OF DIRECTORS BY A SEPARATE ELECTION, IN THE TERMS OF ARTICLE 141, 4, I, OF THE BRAZILIAN LAW NO. 6.404 OF DECEMBER 15, 1976 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 7 | DO YOU WISH TO REQUEST A MULTIPLE VOTING PROCEDURE FOR THE ELECTION OF MEMBERS OF THE COMPANY'S BOARD OF DIRECTORS, IN THE TERMS OF ARTICLE 141 OF THE BRAZILIAN LAW NO. 6.404 OF DECEMBER 15, 1976 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 8 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. JEREMIAH ALPHONSUS OCALLAGHAN | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 9 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. JOSE BATISTA SOBRINHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 10 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. AGUINALDO GOMES RAMOS FILHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 11 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. ALBA PETTENGILL. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 12 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. GELSON LUIZ MERISIO. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 13 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. GILBERTO MEIRELLES XANDO BAPTISTA. INDEPENDENTE | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 14 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. LEILA ABRAHAM LORIA. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 15 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. MARCIO GUEDES PEREIRA JUNIOR. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 16 | APPOINTMENT OF CANDIDATES TO THE BOARD OF DIRECTORS, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. WESLEY MENDONCA BATISTA FILHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 18 | IN THE EVENT OF THE ADOPTION OF THE CUMULATIVE VOTING PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES ACROSS THE MEMBERS OF THE SLATE THAT YOU HAVE CHOSEN. IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS THROUGH THE CUMULATIVE VOTING PROCESS, HIS VOTE MUST BE COUNTED AS ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 19 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. JEREMIAH ALPHONSUS OCALLAGHAN | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 20 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. JOSE BATISTA SOBRINHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 21 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. AGUINALDO GOMES RAMOS FILHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 22 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. ALBA PETTENGILL. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 23 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. GELSON LUIZ MERISIO. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 24 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. GILBERTO MEIRELLES XANDO BAPTISTA. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 25 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. LEILA ABRAHAM LORIA. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 26 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. MARCIO GUEDES PEREIRA JUNIOR. INDEPENDENT | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 27 | VISUALIZATION OF ALL CANDIDATES TO INDICATE THE PERCENTAGE OF VOTES TO BE ATTRIBUTED. WESLEY MENDONCA BATISTA FILHO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 28 | TO VOTE ON THE NUMBER OF 4 FOUR MEMBERS AND 4 FOUR ALTERNATES FOR THE COMPANY'S FISCAL COUNCIL, GIVEN THAT SUCH NUMBER COULD BE INCREASED BY 1 ONE MEMBER TO A TOTAL OF 5 FIVE MEMBERS, IN CASE OF SEPARATED ELECTION | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 29 | DO YOU WISH TO REQUEST THE INSTATEMENT OF THE FISCAL COUNCIL, UNDER THE TERMS OF ARTICLE 161 OF LAW 6,404 OF 1976 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 30 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. ADRIAN LIMA DA HORA. ANDRE ALCANTARA OCAMPOS | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 31 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. DEMETRIUS NICHELE MACEI. MARCOS GODOY BROGIATO | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 32 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. JOSE PAULO DA SILVA FILHO. SANDRO DOMINGUES RAFFAI | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 33 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL, THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. ROBERTO LAMB. ORLANDO OCTAVIO DE FREITAS JUNIOR | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 34 | TO FIX THE TOTAL AMOUNT OF THE ANNUAL REMUNERATION OF THE COMPANY'S ADMINISTRATORS AND MEMBERS OF THE COMPANY'S FISCAL COUNCIL | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | Annual General Meeting | 17 | FOR THE PROPOSAL 7 REGARDING THE ADOPTION OF CUMULATIVE VOTING, PLEASE BE ADVISED THAT YOU CAN ONLY VOTE FOR OR ABSTAIN. AN AGAINST VOTE ON THIS PROPOSAL REQUIRES PERCENTAGES TO BE ALLOCATED AMONGST THE DIRECTORS IN PROPOSAL 8.1 TO 8.9. IN THIS CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IN ORDER TO ALLOCATE PERCENTAGES AMONGST THE DIRECTORS | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | ExtraOrdinary General Meeting | 3 | TO VOTE ON THE CHANGE ARTICLES 1, 2, 5, 6, 10, 11, 12, 13, 14, 15, 18, 19, 20, 21, 27, 29, 30, 32 E 54, AS WELL AS EXCLUDE ARTICLE 25 OF THE BYLAWS, AS PER ADMINISTRATION PROPOSAL | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | ExtraOrdinary General Meeting | 4 | TO CONSOLIDATE THE BYLAWS OF THE COMPANY | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| JBS SA | | P59695109 | 28-Apr-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 3 | TO RECEIVE THE ACCOUNTS FROM THE ADMINISTRATORS, TO EXAMINE, DISCUSS AND VOTE ON THE FINANCIAL STATEMENTS OF THE COMPANY, IN RELATION TO THE FISCAL YEAR THAT ENDED ON DECEMBER 31, 2020, TOGETHER WITH THE ANNUAL REPORT FROM THE MANAGEMENT, THE REPORT FROM THE INDEPENDENT AUDITORS, THE OPINION OF THE FISCAL COUNCIL AND THE SUMMARIZED ANNUAL REPORT FROM THE AUDIT COMMITTEE | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 4 | DELIBERATE THE DESTINATION OF THE RESULTS FROM THE FISCAL YEAR THAT ENDED ON DECEMBER 31, 2020, AND THE DISTRIBUTION OF DIVIDENDS | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 5 | ELECTION OF MEMBERS OF THE FISCAL COUNCIL BY SLATE. INDICATION OF EACH SLATE OF CANDIDATES AND OF ALL THE NAMES THAT ARE ON IT. FABIO BERNACCHI MAIA, EFFECTIVE. HUMBERTO MACEDO PUCCINELLI, SUBSTITUTE. ERNESTO MASCELLANI NETO, EFFECTIVE. CASSIANO QUEVEDO ROSAS DE AVILA, SUBSTITUTE. EDSON TOMAS DE LIMA FILHO, EFFECTIVE. NANCI CORTAZZO MENDES GALUZIO, SUBSTITUTE | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 6 | IF ONE OF THE CANDIDATES WHO IS PART OF THE SLATE CEASES TO BE PART OF IT IN ORDER TO ACCOMMODATE THE SEPARATE ELECTION THAT IS DEALT WITH IN ARTICLE 161, 4 AND ARTICLE 240 OF LAW 6,404 OF 1976, CAN THE VOTES CORRESPONDING TO YOUR SHARES CONTINUE TO BE CONFERRED ON THE CHOSEN SLATE | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 7 | ESTABLISHMENT OF THE AGGREGATE ANNUAL REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS, THE MEMBERS OF THE AUDIT AND FISCAL COUNCIL FOR THE OF 2021 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | ExtraOrdinary General Meeting | 3 | TO RATIFY THE APPOINTMENT OF A MEMBER OF THE BOARD OF DIRECTORS OF THE COMPANY TO SERVE OUT THE REMAINDER OF THE TERM IN OFFICE UNTIL THE ANNUAL GENERAL MEETING OF 2022 | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | ExtraOrdinary General Meeting | 4 | DELIBERATE OF THE AMENDMENT OF THE CORPORATE BYLAWS OF THE COMPANY | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | ExtraOrdinary General Meeting | 5 | TO APPROVE THE NEW OF THE CORPORATE BYLAWS | Management | F | 30-Mar-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA DE SANEAMENTO BASICO DO ESTADO DE SAO PA | | P2R268136 | 29-Apr-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 30-Mar-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 4 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. THE FOLLOWING FIELD SHOULD ONLY BE FILLED IN IF THE SHAREHOLDER HAS REPLIED NO TO THE PREVIOUS QUESTION. ROBERTO EGYDIO SETUBAL EFFECTIVE. RICARDO EGYDIO SETUBAL SUBSTITUTE | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 5 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. THE FOLLOWING FIELD SHOULD ONLY BE FILLED IN IF THE SHAREHOLDER HAS REPLIED NO TO THE PREVIOUS QUESTION. HENRI PENCHAS EFFECTIVE | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 6 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. THE FOLLOWING FIELD SHOULD ONLY BE FILLED IN IF THE SHAREHOLDER HAS REPLIED NO TO THE PREVIOUS QUESTION. FERNANDO MARQUES OLIVEIRA INDEPENDENT EFFECTIVE | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 7 | DO YOU WISH TO REQUEST THE ADOPTION OF A SEPARATE VOTE FOR THE ELECTION OF THE BOARD OF DIRECTORS | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 8 | INDICATION OF CANDIDATES FOR THE BOARD OF DIRECTORS BY SHAREHOLDERS HOLDING SHARE PREFERRED SHARES WITHOUT VOTING RIGHTS OR RESTRICTED VOTING RIGHTS. THE SHAREHOLDER CAN ONLY FILL THIS FIELD IF HE IS THE UNINTERRUPTED HOLDER OF THE SHARES WITH WHICH HE VOTES DURING THE 3 MONTHS IMMEDIATELY PRIOR TO THE GENERAL MEETING. NAME. PRINCIPAL NAME. SUBSTITUTE | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 9 | IF IT TURNS OUT THAT NEITHER THE HOLDERS OF VOTING SHARES NOR THE HOLDERS OF PREFERRED SHARES WITHOUT VOTING RIGHTS OR RESTRICTED VOTING RIGHTS, RESPECTIVELY, MADE UP THE QUORUM REQUIRED IN ITEMS I AND II OF PARAGRAPH 4 OF ARTICLE 141 OF LAW N6.404 OF 1976, YOU WANT YOUR VOTE BE ADDED TO THE VOTES OF THE VOTING SHARES IN ORDER TO ELECT TO THE BOARD OF DIRECTORS ADMINISTRATION THE CANDIDATE WITH THE HIGHEST NUMBER OF VOTES AMONG ALL THOSE WHO, OF THIS REMOTE BALLOT PAPER, RUN FOR ELECTION SEPARATELY | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 10 | SEPARATE ELECTION OF A MEMBER OF THE FISCAL COUNCIL BY SHAREHOLDERS WHO HOLD PREFERRED SHARES WITHOUT VOTING RIGHTS OR WITH RESTRICTED VOTING RIGHTS. ISAAC BERENSZTEJN EFFECTIVE. PATRICIA VALENTE STIERLI SUBSTITUTE | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 14-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 547577 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | M | 14-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 3 | PLEASE NOTE THAT THE PREFERRED SHAREHOLDERS CAN VOTE ON ITEM 10.2, 10.5, 10.6, 11, 14, 15 AND 19 ONLY. THANK YOU | Non-Voting | M | 14-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 11 | 14 APR 2021: PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 14-Apr-2021 | | TRST REDWOOD TACTICAL BRZEX476914 |
| ITAUSA SA | | P5887P427 | 30-Apr-2021 | Annual General Meeting | 12 | 14 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 556704, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | M | 14-Apr-2021 | | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | ExtraOrdinary General Meeting | 2 | TO APPROVE THE AMENDMENT OF ARTICLE 5 OF THE CORPORATE BYLAWS AND THEIR RESTATEMENT, IN SUCH A WAY AS TO REFLECT THE CAPITAL INCREASE THAT WAS APPROVED BY THE BOARD OF DIRECTORS AT THE MEETING THAT WAS HELD ON FEBRUARY 22, 2021 | Management | F | 07-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 07-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | ExtraOrdinary General Meeting | 3 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 07-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 3 | EXAMINATION, DISCUSSION AND VOTING ON THE MANAGEMENT REPORT, MANAGEMENTS ACCOUNTS AND COMPANY FINANCIAL STATEMENTS, FOR THE YEAR ENDED DECEMBER 31, 2020 | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 4 | TO DECIDE FOR THE NET PROFIT FROM THE FISCAL YEAR THAT ENDED ON DECEMBER 31, 2020 FOR DISTRIBUTION OF DIVIDENDS | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 5 | TO SET THE NUMBER OF MEMBERS TO COMPOSE THE BOARD OF DIRECTORS | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 6 | DO YOU WISH TO REQUEST THE ADOPTION OF THE CUMULATIVE VOTING PROCESS FOR THE ELECTION OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141 OF LAW 6,404 OF 1976 | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 7 | INDICATION OF ALL THE NAMES THAT MAKE UP THE BY SLATE. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH: BENJAMIN STEINBRUCH, ANTONIO BERNARDO VIEIRA MAIA, YOSHIAKI NAKANO, MIGUEL ETHEL SOBRINHO | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 8 | IN THE EVENT THAT ONE OF THE CANDIDATES WHO IS ON THE SLATE CHOSEN CEASES TO BE PART OF THAT SLATE, CAN THE VOTES CORRESPONDING TO YOUR SHARES CONTINUE TO BE CONFERRED ON THE CHOSEN SLATE | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 10 | IN THE EVENT OF THE ADOPTION OF THE CUMULATIVE VOTING PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES ACROSS THE MEMBERS OF THE SLATE THAT YOU HAVE CHOSEN. IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS THROUGH THE CUMULATIVE VOTING PROCESS, HIS VOTE MUST BE COUNTED AS ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 11 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: BENJAMIN STEINBRUCH | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 12 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: ANTONIO BERNARDO VIEIRA MAIA | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 13 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: YOSHIAKI NAKANO | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 14 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MIGUEL ETHEL SOBRINHO | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 15 | DO YOU WISH TO REQUEST THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141, 4, I OF LAW 6,404 OF 1976. SHAREHOLDER CAN ONLY FILL OUT THIS FIELD IF HE HAS BEEN THE OWNER, WITHOUT INTERRUPTION, OF THE SHARES WITH WHICH HE OR SHE IS VOTING DURING THE THREE MONTHS IMMEDIATELY PRIOR TO THE HOLDING OF THE GENERAL MEETING | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 16 | TO ESTABLISH THE AGGREGATE COMPENSATION OF THE BOARD OF DIRECTORS FOR THE 2021 FISCAL YEAR | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 17 | DO YOU WISH TO REQUEST THE INSTATEMENT OF THE FISCAL COUNCIL, UNDER THE TERMS OF ARTICLE 161 OF LAW 6,404 OF 1976 | Management | F | 06-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 06-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 06-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| COMPANHIA SIDERURGICA NACIONAL | | P8661X103 | 30-Apr-2021 | Annual General Meeting | 9 | FOR THE PROPOSAL 7 REGARDING THE ADOPTION OF CUMULATIVE VOTING, PLEASE BE ADVISED THAT YOU CAN ONLY VOTE FOR OR ABSTAIN. AN AGAINST VOTE ON THIS PROPOSAL REQUIRES PERCENTAGES TO BE ALLOCATED AMONGST THE DIRECTORS IN PROPOSAL 8.1 TO 8.4. IN THIS CASE PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE IN ORDER TO ALLOCATE PERCENTAGES AMONGST THE DIRECTORS | Non-Voting | M | 06-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | ExtraOrdinary General Meeting | 3 | TO APPROVE THE AMENDMENT OF THE COMPANY'S BYLAWS AS FOLLOWS I AMEND AS ITEMS N, O AND P, Q, R OF ARTICLE 17 TO UPDATE THE THRESHOLD OF THE BOARD OF DIRECTORS, IN ACCORDANCE WITH THE NEW MONETARY RESTATEMENT INDEX, II AMEND ARTICLE 18 TO IMPROVE WORDING, III AMEND AS ITEM H.I, H.II AND H.III OF ARTICLE 22 TO UPDATE THE THRESHOLD OF THE EXECUTIVE BOARD, IN ACCORDANCE WITH THE NEW MONETARY RESTATEMENT INDEX, AND IV AMEND ARTICLE 39 TO CHANGE THE INDEX FOR UPDATING THE IGPM LIMIT TO IPCA FOR THE APPROVAL LEVELS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE BOARD | Management | F | 04-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | ExtraOrdinary General Meeting | 4 | APPROVE THE CONSOLIDATION OF COMPANY'S BYLAWS | Management | F | 04-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | ExtraOrdinary General Meeting | 5 | IN THE EVENTUALITY OF A SECOND CALL OF THIS MEETING, THE VOTING INSTRUCTIONS IN THIS VOTING LIST MAY ALSO BE CONSIDERED VALID FOR THE PURPOSES OF HOLDING THE MEETING ON SECOND CALL | Management | F | 04-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | ExtraOrdinary General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 04-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | ExtraOrdinary General Meeting | 2 | PLEASE NOTE THAT VOTES 'IN FAVOR' AND 'AGAINST' IN THE SAME AGENDA ITEM ARE NOT ALLOWED. ONLY VOTES IN FAVOR AND/OR ABSTAIN OR AGAINST AND/ OR ABSTAIN ARE ALLOWED. THANK YOU | Non-Voting | M | 04-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 4 | TAKE COGNIZANCE OF THE MANAGEMENT ACCOUNTS, EXAMINE, DISCUSS AND VOTE ON THE COMPANY'S FINANCIAL STATEMENTS AND INDEPENDENT AUDITORS AND FISCAL COUNCIL REPORTS FOR THE FISCAL YEAR ENDED ON DECEMBER 31, 2020 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 5 | APPROVE THE MANAGEMENT PROPOSAL FOR ALLOCATION OF THE NET INCOME FROM THE FISCAL YEAR ENDED ON DECEMBER 31, 2020 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 6 | TO DEFINE, ACCORDING TO THE MANAGEMENT PROPOSAL, AS SEVEN THE NUMBER OF MEMBERS FOR THE BOARD OF DIRECTORS, PURSUANT TO ARTICLE 15 OF THE COMPANY'S BYLAWS, BEING TWO INDEPENDENT MEMBERS | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 7 | DO YOU WISH TO REQUEST THE ADOPTION OF THE CUMULATIVE VOTING PROCESS FOR THE ELECTION OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141 OF LAW 6,404 OF 1976 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 8 | RESOLVE ON QUALIFICATION OF MESSRS. ANTONIO KANDIR AND MARCELO AMARAL MORAES AS INDEPENDENT MEMBER CANDIDATES OF THE BOARD OF DIRECTORS | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 9 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: BO WEN | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 10 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: YUEHUI PAN | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 11 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: GUSTAVO ESTRELLA | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 12 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: ANTONIO KANDIR | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 13 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: MARCELO AMARAL MORAES | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 14 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: LI HONG | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 15 | ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, THE SHAREHOLDER CAN INDICATE AS MANY CANDIDATES AS THERE ARE VACANCIES TO BE FILLED IN THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 7. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IN THE EVENT THE SHAREHOLDER WHO OWNS SHARES WITH VOTING RIGHTS ALSO FILLS OUT THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT IS DEALT WITH IN THESE FIELDS OCCURS: ANSELMO HENRIQUE SETO LEAL | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 17 | IN THE EVENT OF THE ADOPTION OF THE CUMULATIVE VOTING PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES ACROSS THE MEMBERS OF THE SLATE THAT YOU HAVE CHOSEN. IF THE SHAREHOLDER CHOOSES TO ABSTAIN AND THE ELECTION OCCURS THROUGH THE CUMULATIVE VOTING PROCESS, HIS VOTE MUST BE COUNTED AS ABSTENTION IN THE RESPECTIVE RESOLUTION OF THE MEETING | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 18 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: BO WEN | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 19 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: YUEHUI PAN | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 20 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. . GUSTAVO ESTRELLA | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 21 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: ANTONIO KANDIR | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 22 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: MARCELO AMARAL MORAES | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 23 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED: LI HONG | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 24 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. . ANSELMO HENRIQUE SETO LEAL | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 25 | DO YOU WISH TO REQUEST THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141, 4, I OF LAW 6,404 OF 1976. SHAREHOLDER CAN ONLY FILL OUT THIS FIELD IF HE HAS BEEN THE OWNER, WITHOUT INTERRUPTION, OF THE SHARES WITH WHICH HE OR SHE IS VOTING DURING THE THREE MONTHS IMMEDIATELY PRIOR TO THE HOLDING OF THE GENERAL MEETING | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 26 | DO YOU WISH TO VOTE IN THE SEPARATE ELECTION FOR THE CANDIDATE ANTONIO KANDIR SUGGESTED BY THE COMPANY'S MANAGEMENT AS INDEPENDENT MEMBERS OF THE BOARD OF DIRECTORS. THE SHAREHOLDER SHALL ONLY FULFILL THE FIELD IF THE RESOLUTIONS 6, 7, 8 AND 11 WERE LEFT IN BLANK AND IF HE SHE IT HAS CHOSEN TO REQUEST THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS IN FIELD 9 ABOVE AND HAS VOTED NO OR ABSTAIN IN FIELD 4 BELOW. ONCE THAT ONLY ONE CANDIDATE WILL BE ELECTED TO THE POSITION OF MEMBER OF THE BOARD OF DIRECTORS THROUGH THE SEPARATE VOTING PROCEDURE, THE SHAREHOLDER WILL BE ABLE TO VOTE FOR ONLY ONE OF THE CANDIDATES INDICATED IN RESOLUTION 10 OR 11 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 27 | DO YOU WISH TO VOTE IN THE SEPARATE ELECTION FOR THE CANDIDATE MARCELO AMARAL MORAES SUGGESTED BY THE COMPANY'S MANAGEMENT AS INDEPENDENT MEMBERS OF THE BOARD OF DIRECTORS. THE SHAREHOLDER SHALL ONLY FULFILL THE FIELD IF THE RESOLUTIONS 6, 7, 8 AND 11 WERE LEFT IN BLANK AND IF HE SHE IT HAS CHOSEN TO REQUEST THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS IN FIELD 9 ABOVE AND HAS VOTED NO OR ABSTAIN IN FIELD 4 BELOW. ONCE THAT ONLY ONE CANDIDATE WILL BE ELECTED TO THE POSITION OF MEMBER OF THE BOARD OF DIRECTORS THROUGH THE SEPARATE VOTING PROCEDURE, THE SHAREHOLDER WILL BE ABLE TO VOTE FOR ONLY ONE OF THE CANDIDATES INDICATED IN RESOLUTION 10 OR 11 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 28 | RESOLVE ON THE MANAGEMENT PROPOSAL FOR SETTING THE OVERALL ANNUAL AMOUNT OF THE COMPANY'S MANAGEMENT REMUNERATION FOR THE PERIOD FROM MAY 2021 TO APRIL 2022 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 29 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL PER CANDIDATE. THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 3. RICARDO FLORENCE DOS SANTOS, PRINCIPAL MEMBER. REGINALDO FERREIRA ALEXANDRE, SUBSTITUTE MEMBER | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 30 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL PER CANDIDATE. THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 3. VINICIUS NISHIOKA, PRINCIPAL MEMBER. LUIZ CLAUDIO GOMES DO NASCIMENTO, SUBSTITUTE MEMBER | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 31 | APPOINTMENT OF CANDIDATES TO THE FISCAL COUNCIL PER CANDIDATE. THE SHAREHOLDER MAY APPOINT AS MANY CANDIDATES AS THE NUMBER OF VACANCIES TO BE FILLED AT THE GENERAL ELECTION. POSITIONS LIMIT TO BE COMPLETED, 3. RAN ZHANG, PRINCIPAL MEMBER. LI RUIJUAN, SUBSTITUTE MEMBER | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 32 | DO YOU REQUEST THE ADOPTION OF THE SEPARATE ELECTION OF A MEMBER TO THE FISCAL COUNCIL, UNDER THE TERMS OF THE ARTICLE 161, PARAGRAPH 4, ITEM A OF BRAZILIAN CORPORATE LAW. IN CASE YOU CHOOSE NO OR ABSTAIN, YOUR SHARES WILL NOT BE COMPUTED FOR THE REQUEST OF SEPARATE ELECTION OF A FISCAL COUNCILS MEMBER. THE SHAREHOLDER SHALL ONLY FULFILL THE FIELD IF THE RESOLUTIONS 13 WERE LEFT IN BLANK | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 33 | DO YOU WISH TO VOTE FOR THE CANDIDATES RICARDO FLORENCE DOS SANTOS, EFFECTIVE COUNCIL MEMBER, REGINALDO FERREIRA ALEXANDRE, ALTERNATE COUNCIL MEMBER, IN THE SEPARATE ELECTION FOR A MEMBER OF THE FISCAL COUNCIL. THE SHAREHOLDER SHALL ONLY FULFILL THE FIELD IF THE RESOLUTION 13 WAS LEFT IN BLANK AND IF HAD OPTED FOR SEPARATED ELECTION FOR FISCAL COUNCIL ON RESOLUTION 14 ABOVE. ONCE THAT ONLY ONE CANDIDATE WILL BE ELECTED TO THE POSITION OF MEMBER OF THE FISCAL COUNCIL THROUGH THE SEPARATE VOTING PROCEDURE, THE SHAREHOLDER WILL BE ABLE TO VOTE FOR ONLY ONE OF THE CANDIDATES INDICATED IN RESOLUTION 24 OR 25 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 34 | DO YOU WISH TO VOTE FOR THE CANDIDATES MARCIO PRADO, EFFECTIVE COUNCIL MEMBER, PAULO NOBREGA FRADE, ALTERNATE COUNCIL MEMBER, IN THE SEPARATE ELECTION FOR A MEMBER OF THE FISCAL COUNCIL. THE SHAREHOLDER SHALL ONLY FULFILL THE FIELD IF THE RESOLUTION 13 WAS LEFT IN BLANK AND IF HAD OPTED FOR SEPARATED ELECTION FOR FISCAL COUNCIL ON RESOLUTION 14 ABOVE. ONCE THAT ONLY ONE CANDIDATE WILL BE ELECTED TO THE POSITION OF MEMBER OF THE FISCAL COUNCIL THROUGH THE SEPARATE VOTING PROCEDURE, THE SHAREHOLDER WILL BE ABLE TO VOTE FOR ONLY ONE OF THE CANDIDATES INDICATED IN RESOLUTION 24 OR 25 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 35 | RESOLVE ON THE MANAGEMENT PROPOSAL FOR SETTING THE OVERALL ANNUAL AMOUNT OF THE COMPANY'S FISCAL COUNCIL REMUNERATION FOR THE PERIOD FROM MAY 2021 TO APRIL 2022 | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 36 | IF A SECOND CALL NOTICE FOR THE AGM IS NECESSARY, CAN THE VOTING INSTRUCTIONS CONTAINED IN THIS FORM BE ALSO USED IF AN AGM IS HELD AT SECOND CALL | Management | F | 14-Apr-2021 | F | TRST REDWOOD TACTICAL BRZEX476914 |
| CPFL ENERGIA SA | | P3179C105 | 30-Apr-2021 | Annual General Meeting | 1 | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) MAY BE REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET (DEPENDANT UPON THE AVAILABILITY AND USAGE OF THE REMOTE VOTING PLATFORM). ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | M | 14-Apr-2021 | M | TRST REDWOOD TACTICAL BRZEX476914 |
| Registrant: Redwood Systematic Macro Trend (SMarT) Fund | | | | Item 1, Exhibit 20 | | | |
| Investment Company Act file number: 811- 22963 | | | | | | | | |
| Reporting Period: July 1, 2020-June 30, 2021 | | | | | | | | |
| | | | | | | | | | | | |
| | Primary Ticker Symbol | Security ID | Meeting Date | Meeting Type | Proposal Number | Proposal Long Text | Proposed By | Recommended Vote | Vote Date | Vote | Account Name |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 11 | Stockholder proposal regarding political spending disclosure. | Shareholder | N | 23-Jul-2020 | N | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 9 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 1 | Election of Director: Sue Barsamian | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 2 | Election of Director: Eric K. Brandt | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 3 | Election of Director: Frank E. Dangeard | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 4 | Election of Director: Nora M. Denzel | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 5 | Election of Director: Peter A. Feld | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 6 | Election of Director: Kenneth Y. Hao | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 7 | Election of Director: David W. Humphrey | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 8 | Election of Director: Vincent Pilette | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| NORTONLIFELOCK INC. | NLOK | 668771108 | 08-Sep-2020 | Annual | 10 | Advisory vote to approve executive compensation. | Management | F | 23-Jul-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 12 | Ratify, in an advisory, non-binding vote, the appointment of Ernst & Young LLP as the independent auditors of the Company for fiscal year 2021, and to authorize, in a binding vote, the Audit Committee of the Company's Board of Directors to set the auditors' remuneration. | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 13 | In accordance with Irish law, determine the price range at which the Company can re-allot shares that it holds as treasury shares. | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 1 | Election of Director: Mark W. Adams | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 2 | Election of Director: Judy Bruner | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 3 | Election of Director: Michael R. Cannon | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 4 | Election of Director: William T. Coleman | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 5 | Election of Director: Jay L. Geldmacher | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 6 | Election of Director: Dylan G. Haggart | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 7 | Election of Director: Stephen J. Luczo | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 8 | Election of Director: William D. Mosley | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 9 | Election of Director: Stephanie Tilenius | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 10 | Election of Director: Edward J. Zander | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 22-Oct-2020 | Annual | 11 | Approve, in an advisory, non binding vote, the compensation of the Company's named executive officers ("Say-on-Pay"). | Management | F | 03-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 14 | To ratify the appointment of Ernst & Young LLP as our independent auditor for the fiscal year ending June 30, 2021. | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 17 | Shareholder proposal to reduce the share ownership threshold for calling a special meeting of shareholders, if properly presented. | Shareholder | N | 24-Sep-2020 | N | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 1 | Election of Director: Carrie S. Cox | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 2 | Election of Director: Calvin Darden | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 3 | Election of Director: Bruce L. Downey | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 4 | Election of Director: Sheri H. Edison | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 5 | Election of Director: David C. Evans | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 6 | Election of Director: Patricia A. Hemingway Hall | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 7 | Election of Director: Akhil Johri | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 8 | Election of Director: Michael C. Kaufmann | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 9 | Election of Director: Gregory B. Kenny | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 10 | Election of Director: Nancy Killefer | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 11 | Election of Director: J. Michael Losh | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 12 | Election of Director: Dean A. Scarborough | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 13 | Election of Director: John H. Weiland | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 16 | To approve an amendment to our Restated Code of Regulations to reduce the share ownership threshold for calling a special meeting of shareholders. | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 18 | Shareholder proposal to adopt a policy that the chairman of the board be an independent director, if properly presented. | Shareholder | N | 24-Sep-2020 | N | REDWOOD SMART FD |
| CARDINAL HEALTH, INC. | CAH | 14149Y108 | 04-Nov-2020 | Annual | 15 | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 11 | To ratify the appointment of PricewaterhouseCoopers AG as our independent registered public accounting firm for fiscal year 2021. | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 1 | Election of Director: Graeme Liebelt | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 2 | Election of Director: Dr. Armin Meyer | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 3 | Election of Director: Ronald Delia | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 4 | Election of Director: Andrea Bertone | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 5 | Election of Director: Karen Guerra | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 6 | Election of Director: Nicholas (Tom) Long | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 7 | Election of Director: Arun Nayar | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 8 | Election of Director: Jeremy Sutcliffe | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 9 | Election of Director: David Szczupak | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 10 | Election of Director: Philip Weaver | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| AMCOR PLC | AMCR | G0250X107 | 04-Nov-2020 | Annual | 12 | To cast a non-binding, advisory vote on the Company's executive compensation ("Say-on-Pay Vote"). | Management | F | 24-Sep-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 14 | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2021. | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 15 | Shareholder Proposal - Report on Employee Representation on Board of Directors. | Shareholder | N | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 1 | Election of Director: Reid G. Hoffman | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 2 | Election of Director: Hugh F. Johnston | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 3 | Election of Director: Teri L. List-Stoll | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 4 | Election of Director: Satya Nadella | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 5 | Election of Director: Sandra E. Peterson | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 6 | Election of Director: Penny S. Pritzker | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 7 | Election of Director: Charles W. Scharf | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 8 | Election of Director: Arne M. Sorenson | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 9 | Election of Director: John W. Stanton | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 10 | Election of Director: John W. Thompson | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 11 | Election of Director: Emma N. Walmsley | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 12 | Election of Director: Padmasree Warrior | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| MICROSOFT CORPORATION | MSFT | 594918104 | 02-Dec-2020 | Annual | 13 | Advisory vote to approve named executive officer compensation. | Management | F | 22-Oct-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 17 | To vote on a stockholder proposal requesting stockholders' right to act by written consent, if properly presented. | Shareholder | N | 11-Dec-2020 | N | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 16 | Approval of an amendment to our Certificate of Incorporation to enable the adoption of a special meeting right for Class A common stockholders. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 1 | Election of Director: Lloyd A. Carney | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 2 | Election of Director: Mary B. Cranston | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 3 | Election of Director: Francisco Javier Fernández-Carbajal | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 4 | Election of Director: Alfred F. Kelly, Jr. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 5 | Election of Director: Ramon Laguarta | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 6 | Election of Director: John F. Lundgren | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 7 | Election of Director: Robert W. Matschullat | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 8 | Election of Director: Denise M. Morrison | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 9 | Election of Director: Suzanne Nora Johnson | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 10 | Election of Director: Linda J. Rendle | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 11 | Election of Director: John A. C. Swainson | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 12 | Election of Director: Maynard G. Webb, Jr. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 15 | Approval of the Visa Inc. 2007 Equity Incentive Compensation Plan, as amended and restated. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 18 | To vote on a stockholder proposal to amend our principles of executive compensation program, if properly presented. | Shareholder | N | 11-Dec-2020 | N | REDWOOD SMART FD |
| VISA INC. | V | 92826C839 | 26-Jan-2021 | Annual | 13 | Approval, on an advisory basis, of compensation paid to our named executive officers. | Management | F | 11-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 12 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for fiscal year 2021. | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 1 | Election of Director: José E. Almeida | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 2 | Election of Director: Janice M. Babiak | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 3 | Election of Director: David J. Brailer | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 4 | Election of Director: William C. Foote | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 5 | Election of Director: Ginger L. Graham | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 6 | Election of Director: Valerie B. Jarrett | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 7 | Election of Director: John A. Lederer | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 8 | Election of Director: Dominic P. Murphy | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 9 | Election of Director: Stefano Pessina | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 10 | Election of Director: Nancy M. Schlichting | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 11 | Election of Director: James A. Skinner | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 14 | Approval of the 2021 Walgreens Boots Alliance, Inc. Omnibus Incentive Plan. | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 15 | Stockholder proposal requesting an independent Board Chairman. | Shareholder | N | 09-Dec-2020 | N | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 16 | Stockholder proposal requesting report on how health risks from COVID-19 impact the Company's tobacco sales decision-making. | Shareholder | N | 09-Dec-2020 | N | REDWOOD SMART FD |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 13 | Advisory vote to approve named executive officer compensation. | Management | F | 09-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 2 | Ratification of KPMG LLP as Independent Registered Public Accounting Firm. | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 3 | Approval, by non-binding advisory vote, of Emerson Electric Co. executive compensation. | Management | F | 16-Dec-2020 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 12 | A shareholder proposal entitled "Shareholder Proposal to Improve Executive Compensation Program". | Shareholder | N | 07-Jan-2021 | N | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 9 | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for fiscal 2021. | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 11 | A shareholder proposal entitled "Shareholder Proxy Access Amendments". | Shareholder | N | 07-Jan-2021 | N | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 1 | Election of Director: James Bell | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 2 | Election of Director: Tim Cook | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 3 | Election of Director: Al Gore | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 4 | Election of Director: Andrea Jung | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 5 | Election of Director: Art Levinson | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 6 | Election of Director: Monica Lozano | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 7 | Election of Director: Ron Sugar | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 8 | Election of Director: Sue Wagner | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| APPLE INC. | AAPL | 037833100 | 23-Feb-2021 | Annual | 10 | Advisory vote to approve executive compensation. | Management | F | 07-Jan-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 13 | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | N | 26-Feb-2021 | N | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 11 | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2021. | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 14 | Shareholder proposal requesting non-management employees on director nominee candidate lists. | Shareholder | N | 26-Feb-2021 | N | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 1 | Election of Director: Susan E. Arnold | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 2 | Election of Director: Mary T. Barra | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 3 | Election of Director: Safra A. Catz | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 4 | Election of Director: Robert A. Chapek | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 5 | Election of Director: Francis A. deSouza | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 6 | Election of Director: Michael B.G. Froman | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 7 | Election of Director: Robert A. Iger | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 8 | Election of Director: Maria Elena Lagomasino | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 9 | Election of Director: Mark G. Parker | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 10 | Election of Director: Derica W. Rice | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 12 | To approve the advisory resolution on executive compensation. | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 15 | To ratify the selection of PricewaterhouseCoopers LLP as our independent public accountants for our fiscal year ending September 26, 2021. | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 1 | Election of Director: Sylvia Acevedo | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 2 | Election of Director: Mark Fields | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 3 | Election of Director: Jeffrey W. Henderson | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 4 | Election of Director: Gregory N. Johnson | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 5 | Election of Director: Ann M. Livermore | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 6 | Election of Director: Harish Manwani | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 7 | Election of Director: Mark D. McLaughlin | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 8 | Election of Director: Jamie S. Miller | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 9 | Election of Director: Steve Mollenkopf | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 10 | Election of Director: Clark T. Randt, Jr. | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 11 | Election of Director: Irene B. Rosenfeld | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 12 | Election of Director: Kornelis "Neil" Smit | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 13 | Election of Director: Jean-Pascal Tricoire | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 14 | Election of Director: Anthony J. Vinciquerra | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| QUALCOMM INCORPORATED | QCOM | 747525103 | 10-Mar-2021 | Annual | 16 | To approve, on an advisory basis, our executive compensation. | Management | F | 24-Jan-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 10 | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 1 | Election of Director: Ms. Diane M. Bryant | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 2 | Election of Director: Ms. Gayla J. Delly | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 3 | Election of Director: Mr. Raul J. Fernandez | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 4 | Election of Director: Mr. Eddy W. Hartenstein | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 5 | Election of Director: Mr. Check Kian Low | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 6 | Election of Director: Ms. Justine F. Page | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 7 | Election of Director: Dr. Henry Samueli | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 8 | Election of Director: Mr. Hock E. Tan | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 9 | Election of Director: Mr. Harry L. You | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 11 | Approval of an amendment and restatement of Broadcom's 2012 Stock Incentive Plan. | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 12 | Advisory vote to approve compensation of Broadcom's named executive officers. | Management | F | 21-Feb-2021 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 14-Apr-2021 | Special | 4 | Approve any motion by the chair of the EGM to adjourn the EGM, or any adjournments thereof, to another time and place if necessary or appropriate to solicit additional proxies if there are insufficient votes at the time of the EGM to approve proposals 1 and 2. | Management | F | 10-Mar-2021 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 14-Apr-2021 | Special | 3 | Approve, on an advisory, non-binding basis, the reduction of the share premium of Holdings resulting from a capitalisation of the merger reserve arising in its books of account as a result of the consummation of the Scheme in order to create distributable reserves in Holdings. | Management | F | 10-Mar-2021 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 14-Apr-2021 | Special | 2 | Amend the articles of association of Seagate, which are part of the Seagate Constitution, referred to as the "Articles", by adding a new Article 194, so that the Seagate Ordinary Shares that are issued on or after the Voting Record Time will either be subject to the terms of the Scheme or will be immediately and automatically acquired by Holdings for the Scheme Consideration. | Management | F | 10-Mar-2021 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | STX | G7945M107 | 14-Apr-2021 | Special | 1 | Approve the Scheme, as described in the proxy statement, in its original form or with or subject to any modification, addition or condition approved or imposed by the Irish Court, and the directors of Seagate be authorized to take all such action as they consider necessary or appropriate for carrying the Scheme of Arrangement into effect. | Management | F | 10-Mar-2021 | F | REDWOOD SMART FD |
| SEAGATE TECHNOLOGY PLC | | G7945M111 | 14-Apr-2021 | Special | 1 | To approve the Scheme, as described in the proxy statement, in its original form or with or subject to any modification, addition or condition approved or imposed by the Irish Court. | Management | F | 09-Mar-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 13 | Ratification of the appointment of the independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 1 | Election of Director: Daniel Ammann | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 2 | Election of Director: Pamela L. Carter | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 3 | Election of Director: Jean M. Hobby | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 4 | Election of Director: George R. Kurtz | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 5 | Election of Director: Raymond J. Lane | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 6 | Election of Director: Ann M. Livermore | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 7 | Election of Director: Antonio F. Neri | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 8 | Election of Director: Charles H. Noski | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 9 | Election of Director: Raymond E. Ozzie | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 10 | Election of Director: Gary M. Reiner | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 11 | Election of Director: Patricia F. Russo | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 12 | Election of Director: Mary Agnes Wilderotter | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 14 | Approval of the Hewlett Packard Enterprise 2021 Stock Incentive Plan. | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 16 | Advisory vote on the frequency of future advisory votes on executive compensation. | Management | 1 | 26-Feb-2021 | 1 | REDWOOD SMART FD |
| HEWLETT PACKARD ENTERPRISE COMPANY | HPE | 42824C109 | 14-Apr-2021 | Annual | 15 | Advisory vote to approve executive compensation. | Management | F | 26-Feb-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 15 | Ratification of the Appointment of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 14 | Approval of the 2021 Employee Stock Purchase Plan. | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 16 | Stockholder Proposal - Shareholder Right to Act by Written Consent. | Shareholder | N | 07-Mar-2021 | N | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 1 | Election of Director: Samuel R. Allen | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 2 | Election of Director: Gaurdie Banister Jr. | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 3 | Election of Director: Wesley G. Bush | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 4 | Election of Director: Richard K. Davis | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 5 | Election of Director: Debra L. Dial | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 6 | Election of Director: Jeff M. Fettig | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 7 | Election of Director: Jim Fitterling | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 8 | Election of Director: Jacqueline C. Hinman | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 9 | Election of Director: Luis A. Moreno | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 10 | Election of Director: Jill S. Wyant | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 11 | Election of Director: Daniel W. Yohannes | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 13 | Approval of the Amendment to the 2019 Stock Incentive Plan. | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| DOW INC. | DOW | 260557103 | 15-Apr-2021 | Annual | 12 | Advisory Resolution to Approve Executive Compensation. | Management | F | 07-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 13 | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on December 3, 2021. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 1 | Election of Director for a term of one year: Amy Banse | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 2 | Election of Director for a term of one year: Melanie Boulden | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 3 | Election of Director for a term of one year: Frank Calderoni | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 4 | Election of Director for a term of one year: James Daley | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 5 | Election of Director for a term of one year: Laura Desmond | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 6 | Election of Director for a term of one year: Shantanu Narayen | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 7 | Election of Director for a term of one year: Kathleen Oberg | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 8 | Election of Director for a term of one year: Dheeraj Pandey | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 9 | Election of Director for a term of one year: David Ricks | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 10 | Election of Director for a term of one year: Daniel Rosensweig | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 11 | Election of Director for a term of one year: John Warnock | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 12 | Approve the Adobe Inc. 2019 Equity Incentive Plan, as amended, to increase the available share reserve by 6 million shares. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| ADOBE INC | ADBE | 00724F101 | 20-Apr-2021 | Annual | 14 | Approve, on an advisory basis, the compensation of our named executive officers. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 12 | Ratification of the Independent Registered Public Accounting Firm. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 14 | Approval of the Edison International Employee Stock Purchase Plan. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 1 | Election of Director: Jeanne Beliveau-Dunn | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 2 | Election of Director: Michael C. Camuñez | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 3 | Election of Director: Vanessa C.L. Chang | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 4 | Election of Director: James T. Morris | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 5 | Election of Director: Timothy T. O'Toole | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 6 | Election of Director: Pedro J. Pizarro | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 7 | Election of Director: Carey A. Smith | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 8 | Election of Director: Linda G. Stuntz | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 9 | Election of Director: William P. Sullivan | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 10 | Election of Director: Peter J. Taylor | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 11 | Election of Director: Keith Trent | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 15 | Shareholder Proposal Regarding Proxy Access. | Shareholder | N | 14-Mar-2021 | N | REDWOOD SMART FD |
| EDISON INTERNATIONAL | EIX | 281020107 | 22-Apr-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 17 | Shareholder proposal regarding access to COVID-19 products. | Shareholder | N | 14-Mar-2021 | N | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 16 | Shareholder proposal regarding political spending report. | Shareholder | N | 14-Mar-2021 | N | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 13 | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 1 | Election of Director: Ronald E. Blaylock | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 2 | Election of Director: Albert Bourla | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 3 | Election of Director: Susan Desmond-Hellmann | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 4 | Election of Director: Joseph J. Echevarria | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 5 | Election of Director: Scott Gottlieb | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 6 | Election of Director: Helen H. Hobbs | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 7 | Election of Director: Susan Hockfield | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 8 | Election of Director: Dan R. Littman | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 9 | Election of Director: Shantanu Narayen | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 10 | Election of Director: Suzanne Nora Johnson | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 11 | Election of Director: James Quincey | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 12 | Election of Director: James C. Smith | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 15 | Shareholder proposal regarding independent chair policy. | Shareholder | N | 14-Mar-2021 | N | REDWOOD SMART FD |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 14 | 2021 advisory approval of executive compensation. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 17 | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 19 | Civil Rights Audit. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 16 | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2021. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 1 | Election of Director: Mary C. Beckerle | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 2 | Election of Director: D. Scott Davis | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 3 | Election of Director: Ian E. L. Davis | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 4 | Election of Director: Jennifer A. Doudna | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 5 | Election of Director: Alex Gorsky | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 6 | Election of Director: Marillyn A. Hewson | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 7 | Election of Director: Hubert Joly | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 8 | Election of Director: Mark B. McClellan | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 9 | Election of Director: Anne M. Mulcahy | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 10 | Election of Director: Charles Prince | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 11 | Election of Director: A. Eugene Washington | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 12 | Election of Director: Mark A. Weinberger | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 13 | Election of Director: Nadja Y. West | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 14 | Election of Director: Ronald A. Williams | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 18 | Independent Board Chair. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 20 | Executive Compensation Bonus Deferral. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 15 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 16 | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2021. | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 19 | Shareowner Proposal to Amend Proxy Access Bylaw. | Shareholder | N | 18-Mar-2021 | N | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 1 | Election of Director: Tracy A. Atkinson | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 2 | Election of Director: Gregory J. Hayes | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 3 | Election of Director: Thomas A. Kennedy | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 4 | Election of Director: Marshall O. Larsen | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 5 | Election of Director: George R. Oliver | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 6 | Election of Director: Robert K. (Kelly) Ortberg | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 7 | Election of Director: Margaret L. O'Sullivan | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 8 | Election of Director: Dinesh C. Paliwal | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 9 | Election of Director: Ellen M. Pawlikowski | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 10 | Election of Director: Denise L. Ramos | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 11 | Election of Director: Fredric G. Reynolds | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 12 | Election of Director: Brian C. Rogers | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 13 | Election of Director: James A. Winnefeld, Jr. | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 14 | Election of Director: Robert O. Work | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 17 | Approve Raytheon Technologies Corporation Executive Annual Incentive Plan. | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 18 | Approve Amendment to the Raytheon Technologies Corporation 2018 Long-Term Incentive Plan. | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 15 | Advisory Vote to Approve Executive Compensation. | Management | F | 18-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 15 | Ratification of Ernst & Young LLP as independent auditors for 2021. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 1 | Election of Director: Alan S. Armstrong | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 2 | Election of Director: Stephen W. Bergstrom | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 3 | Election of Director: Nancy K. Buese | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 4 | Election of Director: Stephen I. Chazen | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 5 | Election of Director: Charles I. Cogut | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 6 | Election of Director: Michael A. Creel | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 7 | Election of Director: Stacey H. Doré | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 8 | Election of Director: Vicki L. Fuller | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 9 | Election of Director: Peter A. Ragauss | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 10 | Election of Director: Rose M. Robeson | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 11 | Election of Director: Scott D. Sheffield | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 12 | Election of Director: Murray D. Smith | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 13 | Election of Director: William H. Spence | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| THE WILLIAMS COMPANIES, INC. | WMB | 969457100 | 27-Apr-2021 | Annual | 14 | Approval, by nonbinding advisory vote, of the Company's executive compensation. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 13 | Ratification of Appointment of Independent Registered Public Accounting Firm. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 16 | Stockholder Proposal on the Right to Act by Written Consent. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 17 | Stockholder Proposal Requesting the Company Publish Annually a Report Assessing its Diversity, Equity and Inclusion Efforts. | Shareholder | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 1 | Election of Director for one year term: Thomas Buberl | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 2 | Election of Director for one year term: Michael L. Eskew | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 3 | Election of Director for one year term: David N. Farr | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 4 | Election of Director for one year term: Alex Gorsky | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 5 | Election of Director for one year term: Michelle J. Howard | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 6 | Election of Director for one year term: Arvind Krishna | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 7 | Election of Director for one year term: Andrew N. Liveris | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 8 | Election of Director for one year term: F. William McNabb III | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 9 | Election of Director for one year term: Martha E. Pollack | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 10 | Election of Director for one year term: Joseph R. Swedish | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 11 | Election of Director for one year term: Peter R. Voser | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 12 | Election of Director for one year term: Frederick H. Waddell | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 15 | Stockholder Proposal to Have an Independent Board Chairman. | Shareholder | N | 12-Mar-2021 | N | REDWOOD SMART FD |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 14 | Advisory Vote on Executive Compensation. | Management | F | 12-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 10 | To ratify the appointment of PricewaterhouseCoopers LLP as Hanesbrands' independent registered public accounting firm for Hanesbrands' 2021 fiscal year. | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 1 | Election of Director: Cheryl K. Beebe | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 2 | Election of Director: Stephen B. Bratspies | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 3 | Election of Director: Geralyn R. Breig | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 4 | Election of Director: Bobby J. Griffin | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 5 | Election of Director: James C. Johnson | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 6 | Election of Director: Franck J. Moison | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 7 | Election of Director: Robert F. Moran | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 8 | Election of Director: Ronald L. Nelson | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 9 | Election of Director: Ann E. Ziegler | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| HANESBRANDS INC. | HBI | 410345102 | 27-Apr-2021 | Annual | 11 | To approve, on an advisory basis, named executive officer compensation as described in the proxy statement for the Annual Meeting. | Management | F | 16-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 3 | Ratification of the Selection of Ernst & Young LLP as the Company's Independent Auditor for the Fiscal Year Ending December 31, 2021. | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| GENUINE PARTS COMPANY | GPC | 372460105 | 29-Apr-2021 | Annual | 2 | Advisory Vote on Executive Compensation. | Management | F | 04-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 6 | Ratification of the appointment of PricewaterhouseCoopers LLP as Kellogg's independent registered public accounting firm for fiscal year 2021. | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 7 | Management proposal to reduce supermajority vote requirements. | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 8 | Shareowner proposal, if properly presented at the meeting, to adopt shareowner right to call a special meeting. | Shareholder | / | 13-Mar-2021 | N | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 1 | Election of Director (term expires 2024): Carter Cast | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 2 | Election of Director (term expires 2024): Zack Gund | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 3 | Election of Director (term expires 2024): Don Knauss | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 4 | Election of Director (term expires 2024): Mike Schlotman | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| KELLOGG COMPANY | K | 487836108 | 30-Apr-2021 | Annual | 5 | Advisory resolution to approve executive compensation. | Management | F | 13-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 13 | Ratification of appointment of independent auditors. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 15 | Stockholder Right to Act by Written Consent. | Shareholder | N | 14-Mar-2021 | N | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 1 | Election of Director: William E. Kennard | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 2 | Election of Director: Samuel A. Di Piazza, Jr. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 3 | Election of Director: Scott T. Ford | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 4 | Election of Director: Glenn H. Hutchins | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 5 | Election of Director: Debra L. Lee | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 6 | Election of Director: Stephen J. Luczo | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 7 | Election of Director: Michael B. McCallister | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 8 | Election of Director: Beth E. Mooney | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 9 | Election of Director: Matthew K. Rose | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 10 | Election of Director: John T. Stankey | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 11 | Election of Director: Cynthia B. Taylor | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 12 | Election of Director: Geoffrey Y. Yang | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 14 | Advisory approval of executive compensation. | Management | F | 14-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 13 | Shareholder proposal regarding political spending disclosure. | Shareholder | N | 26-Mar-2021 | N | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 11 | Ratification of the appointment of KPMG LLP as the Company's independent auditors for the 2021 fiscal year. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 1 | Election of Director: John D. Wren | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 2 | Election of Director: Mary C. Choksi | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 3 | Election of Director: Leonard S. Coleman, Jr. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 4 | Election of Director: Susan S. Denison | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 5 | Election of Director: Ronnie S. Hawkins | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 6 | Election of Director: Deborah J. Kissire | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 7 | Election of Director: Gracia C. Martore | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 8 | Election of Director: Linda Johnson Rice | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 9 | Election of Director: Valerie M. Williams | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 12 | Approval of the Omnicom Group Inc. 2021 Incentive Award Plan. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| OMNICOM GROUP INC. | OMC | 681919106 | 04-May-2021 | Annual | 10 | Advisory resolution to approve executive compensation. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 13 | Advisory Vote on the Selection of Independent Auditors. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 15 | Shareholder Proposal to reduce the ownership threshold required to call a Special Shareholder meeting. | Shareholder | N | 26-Mar-2021 | N | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 1 | Election of Director: James S. Crown | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 2 | Election of Director: Rudy F. deLeon | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 3 | Election of Director: Cecil D. Haney | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 4 | Election of Director: Mark M. Malcolm | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 5 | Election of Director: James N. Mattis | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 6 | Election of Director: Phebe N. Novakovic | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 7 | Election of Director: C. Howard Nye | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 8 | Election of Director: Catherine B. Reynolds | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 9 | Election of Director: Laura J. Schumacher | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 10 | Election of Director: Robert K. Steel | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 11 | Election of Director: John G. Stratton | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 12 | Election of Director: Peter A. Wall | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 14 | Advisory Vote to approve Executive Compensation. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 11 | Ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 13 | A stockholder proposal to amend the stockholder right to act by written consent. | Shareholder | N | 26-Mar-2021 | N | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 1 | Election of Director: Bridget Ryan Berman | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 2 | Election of Director: Patrick D. Campbell | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 3 | Election of Director: James R. Craigie | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 4 | Election of Director: Brett M. Icahn | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 5 | Election of Director: Jay L. Johnson | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 6 | Election of Director: Gerardo I. Lopez | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 7 | Election of Director: Courtney R. Mather | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 8 | Election of Director: Ravichandra K. Saligram | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 9 | Election of Director: Judith A. Sprieser | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 10 | Election of Director: Robert A. Steele | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| NEWELL BRANDS INC. | NWL | 651229106 | 05-May-2021 | Annual | 12 | Advisory resolution to approve executive compensation. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 15 | Ratification of the Selection of Independent Auditors. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 1 | Election of Director: Brant Bonin Bough | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 2 | Election of Director: André Calantzopoulos | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 3 | Election of Director: Michel Combes | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 4 | Election of Director: Juan José Daboub | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 5 | Election of Director: Werner Geissler | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 6 | Election of Director: Lisa A. Hook | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 7 | Election of Director: Jun Makihara | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 8 | Election of Director: Kalpana Morparia | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 9 | Election of Director: Lucio A. Noto | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 10 | Election of Director: Jacek Olczak | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 11 | Election of Director: Frederik Paulsen | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 12 | Election of Director: Robert B. Polet | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 13 | Election of Director: Shlomo Yanai | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 14 | Advisory Vote Approving Executive Compensation. | Management | F | 26-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 15 | Shareholder Proposal Regarding a Report on Lobbying. | Shareholder | N | 28-Mar-2021 | N | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 14 | Ratification of Appointment of Independent Auditor. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 17 | Shareholder Proposal Regarding Proxy Access Shareholder Aggregation. | Shareholder | N | 28-Mar-2021 | N | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 1 | Election of Director: James A. Bennett | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 2 | Election of Director: Robert M. Blue | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 3 | Election of Director: Helen E. Dragas | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 4 | Election of Director: James O. Ellis, Jr. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 5 | Election of Director: D. Maybank Hagood | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 6 | Election of Director: Ronald W. Jibson | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 7 | Election of Director: Mark J. Kington | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 8 | Election of Director: Joseph M. Rigby | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 9 | Election of Director: Pamela J. Royal, M.D. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 10 | Election of Director: Robert H. Spilman, Jr. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 11 | Election of Director: Susan N. Story | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 12 | Election of Director: Michael E. Szymanczyk | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 16 | Shareholder Proposal Regarding a Policy to Require an Independent Chair. | Shareholder | N | 28-Mar-2021 | N | REDWOOD SMART FD |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 13 | Advisory Vote on Approval of Executive Compensation (Say on Pay). | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 13 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent auditors for 2021. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 1 | Election of Director: Gregory E. Abel | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 2 | Election of Director: Alexandre Behring | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 3 | Election of Director: John T. Cahill | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 4 | Election of Director: João M. Castro-Neves | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 5 | Election of Director: Lori Dickerson Fouché | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 6 | Election of Director: Timothy Kenesey | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 7 | Election of Director: Elio Leoni Sceti | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 8 | Election of Director: Susan Mulder | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 9 | Election of Director: Miguel Patricio | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 10 | Election of Director: John C. Pope | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 11 | Election of Director: Alexandre Van Damme | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| THE KRAFT HEINZ COMPANY | KHC | 500754106 | 06-May-2021 | Annual | 12 | Advisory vote to approve executive compensation. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 7 | Stockholder Proposal - to Issue an Annual Report on Lobbying. | Shareholder | N | 23-Mar-2021 | N | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 2 | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2021. | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 6 | Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 5 | Approval of the Amended and Restated 2013 Employee Stock Purchase Plan for non-U.S. employees. | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 4 | Approval of the Amended and Restated 2013 Incentive Stock Program. | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 8 | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman. | Shareholder | N | 23-Mar-2021 | N | REDWOOD SMART FD |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 3 | Say on Pay-An advisory vote on the approval of executive compensation. | Management | F | 23-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 12 | Ratification of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 14 | Shareowner Proposal to Reduce Ownership Threshold for Requesting Action by Written Consent. | Shareholder | N | 31-Mar-2021 | N | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 1 | Election of Director (one-year term): Christopher M. Connor | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 2 | Election of Director (one-year term): Ahmet C. Dorduncu | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 3 | Election of Director (one-year term): Ilene S. Gordon | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 4 | Election of Director (one-year term): Anders Gustafsson | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 5 | Election of Director (one-year term): Jacqueline C. Hinman | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 6 | Election of Director (one-year term): Clinton A. Lewis, Jr. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 7 | Election of Director (one-year term): DG Macpherson | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 8 | Election of Director (one-year term): Kathryn D. Sullivan | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 9 | Election of Director (one-year term): Mark S. Sutton | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 10 | Election of Director (one-year term): Anton V. Vincent | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 11 | Election of Director (one-year term): Ray G. Young | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| INTERNATIONAL PAPER COMPANY | IP | 460146103 | 10-May-2021 | Annual | 13 | A Non-Binding Resolution to Approve the Compensation of the Company's Named Executive Officers, as Disclosed Under the Heading "Compensation Discussion & Analysis". | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 14 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 16 | Approval of the Prudential Financial, Inc. 2021 Omnibus Incentive Plan. | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 1 | Election of Director: Thomas J. Baltimore, Jr. | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 2 | Election of Director: Gilbert F. Casellas | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 3 | Election of Director: Robert M. Falzon | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 4 | Election of Director: Martina Hund-Mejean | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 5 | Election of Director: Wendy Jones | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 6 | Election of Director: Karl J. Krapek | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 7 | Election of Director: Peter R. Lighte | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 8 | Election of Director: Charles F. Lowrey | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 9 | Election of Director: George Paz | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 10 | Election of Director: Sandra Pianalto | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 11 | Election of Director: Christine A. Poon | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 12 | Election of Director: Douglas A. Scovanner | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 13 | Election of Director: Michael A. Todman | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 17 | Shareholder proposal regarding an Independent Board Chairman. | Shareholder | N | 30-Mar-2021 | N | REDWOOD SMART FD |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 15 | Advisory vote to approve named executive officer compensation. | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 13 | To ratify the appointment of PricewaterhouseCoopers LLP as 3M's independent registered public accounting firm. | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 17 | Shareholder proposal on transitioning the Company to a public benefit corporation. | Shareholder | N | 25-Mar-2021 | N | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 1 | Elect the member to the Board of Directors for a term of one year: Thomas "Tony" K. Brown | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 2 | Elect the member to the Board of Directors for a term of one year: Pamela J. Craig | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 3 | Elect the member to the Board of Directors for a term of one year: David B. Dillon | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 4 | Elect the member to the Board of Directors for a term of one year: Michael L. Eskew | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 5 | Elect the member to the Board of Directors for a term of one year: James R. Fitterling | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 6 | Elect the member to the Board of Directors for a term of one year: Herbert L. Henkel | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 7 | Elect the member to the Board of Directors for a term of one year: Amy E. Hood | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 8 | Elect the member to the Board of Directors for a term of one year: Muhtar Kent | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 9 | Elect the member to the Board of Directors for a term of one year: Dambisa F. Moyo | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 10 | Elect the member to the Board of Directors for a term of one year: Gregory R. Page | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 11 | Elect the member to the Board of Directors for a term of one year: Michael F. Roman | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 12 | Elect the member to the Board of Directors for a term of one year: Patricia A. Woertz | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 15 | To approve the amendment and restatement of 3M Company 2016 Long-Term Incentive Plan. | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 16 | Shareholder proposal on setting target amounts for CEO compensation. | Shareholder | N | 25-Mar-2021 | N | REDWOOD SMART FD |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 14 | Advisory approval of executive compensation. | Management | F | 25-Mar-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 17 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 1 | Election of Director for a one year term expiring in 2022: Richard D. Kinder | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 2 | Election of Director for a one year term expiring in 2022: Steven J. Kean | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 3 | Election of Director for a one year term expiring in 2022: Kimberly A. Dang | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 4 | Election of Director for a one year term expiring in 2022: Ted A. Gardner | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 5 | Election of Director for a one year term expiring in 2022: Anthony W. Hall, Jr. | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 6 | Election of Director for a one year term expiring in 2022: Gary L. Hultquist | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 7 | Election of Director for a one year term expiring in 2022: Ronald L. Kuehn, Jr. | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 8 | Election of Director for a one year term expiring in 2022: Deborah A. Macdonald | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 9 | Election of Director for a one year term expiring in 2022: Michael C. Morgan | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 10 | Election of Director for a one year term expiring in 2022: Arthur C. Reichstetter | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 11 | Election of Director for a one year term expiring in 2022: C. Park Shaper | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 12 | Election of Director for a one year term expiring in 2022: William A. Smith | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 13 | Election of Director for a one year term expiring in 2022: Joel V. Staff | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 14 | Election of Director for a one year term expiring in 2022: Robert F. Vagt | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 15 | Election of Director for a one year term expiring in 2022: Perry M. Waughtal | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 16 | Approval of the Kinder Morgan, Inc. 2021 Amended and Restated Stock Incentive Plan. | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 18 | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | F | 02-Apr-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 10 | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2021. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 1 | Election of Director to serve for the next year: Jacqueline K. Barton, Ph.D. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 2 | Election of Director to serve for the next year: Jeffrey A. Bluestone, Ph.D. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 3 | Election of Director to serve for the next year: Sandra J. Horning, M.D. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 4 | Election of Director to serve for the next year: Kelly A. Kramer | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 5 | Election of Director to serve for the next year: Kevin E. Lofton | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 6 | Election of Director to serve for the next year: Harish Manwani | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 7 | Election of Director to serve for the next year: Daniel P. O'Day | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 8 | Election of Director to serve for the next year: Javier J. Rodriguez | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 9 | Election of Director to serve for the next year: Anthony Welters | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 12 | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | Shareholder | N | 31-Mar-2021 | N | REDWOOD SMART FD |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 11 | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | Management | F | 31-Mar-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 16 | The ratification of the selection by the Audit Committee of Deloitte & Touche LLP as Iron Mountain Incorporated's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 1 | Election of Director for a one-year term: Jennifer Allerton | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 2 | Election of Director for a one-year term: Pamela M. Arway | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 3 | Election of Director for a one-year term: Clarke H. Bailey | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 4 | Election of Director for a one-year term: Kent P. Dauten | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 5 | Election of Director for a one-year term: Monte Ford | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 6 | Election of Director for a one-year term: Per-Kristian Halvorsen | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 7 | Election of Director for a one-year term: Robin L. Matlock | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 8 | Election of Director for a one-year term: William L. Meaney | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 9 | Election of Director for a one-year term: Wendy J. Murdock | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 10 | Election of Director for a one-year term: Walter C. Rakowich | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 11 | Election of Director for a one-year term: Doyle R. Simons | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 12 | Election of Director for a one-year term: Alfred J. Verrecchia | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 13 | The approval of an amendment to the 2014 Stock and Cash Incentive Plan (the "2014 Plan") to increase the number of shares of common stock of the Company ("Common Stock") authorized for issuance, to extend the termination date of the 2014 Plan, to provide that, other than in certain circumstances, no equity-based award will vest before the first anniversary of the date of grant and to provide that dividends and dividend equivalents are not paid with respect to stock options or stock appreciation rights. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 14 | The approval of an amendment to the Iron Mountain Incorporated 2013 Employee Stock Purchase Plan (the "2013 ESPP"), to increase the number of shares of Common Stock authorized for issuance thereunder by 1,000,000. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| IRON MOUNTAIN INC. | IRM | 46284V101 | 12-May-2021 | Annual | 15 | The approval of a non-binding, advisory resolution approving the compensation of our named executive officers as described in the Iron Mountain Incorporated Proxy Statement. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 12 | Ratification of Ernst & Young LLP as our Independent Registered Public Accounting Firm for 2021. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 1 | Election of Director: Glyn F. Aeppel | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 2 | Election of Director: Larry C. Glasscock | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 3 | Election of Director: Karen N. Horn, Ph.D. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 4 | Election of Director: Allan Hubbard | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 5 | Election of Director: Reuben S. Leibowitz | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 6 | Election of Director: Gary M. Rodkin | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 7 | Election of Director: Stefan M. Selig | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 8 | Election of Director: Daniel C. Smith, Ph.D. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 9 | Election of Director: J. Albert Smith, Jr. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 10 | Election of Director: Marta R. Stewart | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 11 | An Advisory Vote to Approve the Compensation of our Named Executive Officers. | Management | F | 29-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 1 | DIRECTOR | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 2 | Ratification of the appointment of PricewaterhouseCoopers LLP to serve as Nucor's independent registered public accounting firm for 2021. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| NUCOR CORPORATION | NUE | 670346105 | 13-May-2021 | Annual | 3 | Approval, on an advisory basis, of Nucor's named executive officer compensation in 2020. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 11 | Ratification of Ernst & Young LLP, an independent registered public accounting firm, as our auditors for the fiscal year ending December 31, 2021. | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 1 | Election of Director: Gary Daichendt | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 2 | Election of Director: Anne DelSanto | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 3 | Election of Director: Kevin DeNuccio | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 4 | Election of Director: James Dolce | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 5 | Election of Director: Christine Gorjanc | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 6 | Election of Director: Janet Haugen | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 7 | Election of Director: Scott Kriens | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 8 | Election of Director: Rahul Merchant | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 9 | Election of Director: Rami Rahim | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 10 | Election of Director: William Stensrud | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| JUNIPER NETWORKS, INC. | JNPR | 48203R104 | 13-May-2021 | Annual | 12 | Approval of a non-binding advisory resolution on executive compensation. | Management | F | 01-Apr-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 11 | Ratification of Appointment of Independent Registered Public Accounting Firm | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 12 | Shareholder Action by Written Consent | Shareholder | N | 30-Mar-2021 | N | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 13 | Amend Clawback Policy | Shareholder | N | 30-Mar-2021 | N | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 14 | Shareholder Ratification of Annual Equity Awards | Shareholder | N | 30-Mar-2021 | N | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 1 | Election of Director: Shellye L. Archambeau | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 2 | Election of Director: Roxanne S. Austin | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 3 | Election of Director: Mark T. Bertolini | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 4 | Election of Director: Melanie L. Healey | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 5 | Election of Director: Clarence Otis, Jr. | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 6 | Election of Director: Daniel H. Schulman | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 7 | Election of Director: Rodney E. Slater | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 8 | Election of Director: Hans E. Vestberg | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 9 | Election of Director: Gregory G. Weaver | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 10 | Advisory Vote to Approve Executive Compensation | Management | F | 30-Mar-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 13 | Ratification of Selection of Ernst & Young LLP as Independent Registered Public Accounting Firm for 2021 | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 14 | Stockholder Proposal Regarding Stockholder Right to Act by Written Consent | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 1 | Election of Director: Martin I. Cole | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 2 | Election of Director: Hikmet Ersek | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 3 | Election of Director: Richard A. Goodman | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 4 | Election of Director: Betsy D. Holden | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 5 | Election of Director: Jeffrey A. Joerres | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 6 | Election of Director: Michael A. Miles, Jr. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 7 | Election of Director: Timothy P. Murphy | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 8 | Election of Director: Joyce A. Phillips | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 9 | Election of Director: Jan Siegmund | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 10 | Election of Director: Angela A. Sun | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 11 | Election of Director: Solomon D. Trujillo | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| THE WESTERN UNION COMPANY | WU | 959802109 | 14-May-2021 | Annual | 12 | Advisory Vote to Approve Executive Compensation | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 13 | Ratification of appointment of independent accountants. | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 1 | Election of Director: Timothy P. Cawley | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 2 | Election of Director: Ellen V. Futter | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 3 | Election of Director: John F. Killian | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 4 | Election of Director: Karol V. Mason | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 5 | Election of Director: John McAvoy | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 6 | Election of Director: Dwight A. McBride | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 7 | Election of Director: William J. Mulrow | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 8 | Election of Director: Armando J. Olivera | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 9 | Election of Director: Michael W. Ranger | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 10 | Election of Director: Linda S. Sanford | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 11 | Election of Director: Deirdre Stanley | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 12 | Election of Director: L. Frederick Sutherland | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| CONSOLIDATED EDISON, INC. | ED | 209115104 | 17-May-2021 | Annual | 14 | Advisory vote to approve named executive officer compensation. | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 17 | Political and electioneering expenditure congruency report. | Shareholder | N | 08-Apr-2021 | N | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 13 | Ratification of independent registered public accounting firm. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 14 | Improve shareholder written consent. | Shareholder | N | 08-Apr-2021 | N | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 1 | Election of Director: Linda B. Bammann | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 2 | Election of Director: Stephen B. Burke | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 3 | Election of Director: Todd A. Combs | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 4 | Election of Director: James S. Crown | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 5 | Election of Director: James Dimon | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 6 | Election of Director: Timothy P. Flynn | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 7 | Election of Director: Mellody Hobson | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 8 | Election of Director: Michael A. Neal | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 9 | Election of Director: Phebe N. Novakovic | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 10 | Election of Director: Virginia M. Rometty | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 12 | Approval of Amended and Restated Long-Term Incentive Plan effective May 18, 2021. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 16 | Independent board chairman. | Shareholder | N | 08-Apr-2021 | N | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 11 | Advisory resolution to approve executive compensation. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 15 | Racial equity audit and report. | Shareholder | N | 08-Apr-2021 | N | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 11 | Ratification of the appointment of Independent Registered Public Accounting Firm. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 1 | Election of Director: Arthur P. Beattie | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 2 | Election of Director: Steven G. Elliott | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 3 | Election of Director: Raja Rajamannar | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 4 | Election of Director: Craig A. Rogerson | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 5 | Election of Director: Vincent Sorgi | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 6 | Election of Director: Natica von Althann | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 7 | Election of Director: Keith H. Williamson | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 8 | Election of Director: Phoebe A. Wood | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 9 | Election of Director: Armando Zagalo de Lima | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| PPL CORPORATION | PPL | 69351T106 | 18-May-2021 | Annual | 10 | Advisory vote to approve compensation of named executive officers. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 15 | Ratify the Appointment of the Independent Registered Public Accounting Firm for 2021. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 1 | Election of Director: Michael J. Anderson | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 2 | Election of Director: Steven J. Demetriou | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 3 | Election of Director: Julia L. Johnson | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 4 | Election of Director: Jesse A. Lynn | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 5 | Election of Director: Donald T. Misheff | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 6 | Election of Director: Thomas N. Mitchell | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 7 | Election of Director: James F. O'Neil III | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 8 | Election of Director: Christopher D. Pappas | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 9 | Election of Director: Luis A. Reyes | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 10 | Election of Director: John W. Somerhalder II | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 11 | Election of Director: Steven E. Strah | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 12 | Election of Director: Andrew Teno | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 13 | Election of Director: Leslie M. Turner | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 14 | Election of Director: Melvin Williams | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| FIRSTENERGY CORP. | FE | 337932107 | 18-May-2021 | Annual | 16 | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | F | 28-Mar-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 12 | Ratify the appointment of KPMG LLP as our independent auditor for 2021. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 13 | Ratify the amendment to our Amended and Restated NOL Rights Plan. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 1 | Election of Director: Quincy L. Allen | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 2 | Election of Director: Martha Helena Bejar | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 3 | Election of Director: Peter C. Brown | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 4 | Election of Director: Kevin P. Chilton | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 5 | Election of Director: Steven T. "Terry" Clontz | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 6 | Election of Director: T. Michael Glenn | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 7 | Election of Director: W. Bruce Hanks | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 8 | Election of Director: Hal Stanley Jones | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 9 | Election of Director: Michael Roberts | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 10 | Election of Director: Laurie Siegel | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 11 | Election of Director: Jeffrey K. Storey | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| LUMEN TECHNOLOGIES, INC. | LUMN | 550241103 | 19-May-2021 | Annual | 14 | Advisory vote to approve our executive compensation. | Management | F | 08-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 14 | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2021. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 15 | A shareholder Proposal regarding special Shareholder Meetings. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 1 | Election of Director: Marc N. Casper | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 2 | Election of Director: Nelson J. Chai | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 3 | Election of Director: C. Martin Harris | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 4 | Election of Director: Tyler Jacks | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 5 | Election of Director: R. Alexandra Keith | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 6 | Election of Director: Thomas J. Lynch | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 7 | Election of Director: Jim P. Manzi | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 8 | Election of Director: James C. Mullen | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 9 | Election of Director: Lars R. Sørensen | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 10 | Election of Director: Debora L. Spar | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 11 | Election of Director: Scott M. Sperling | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 12 | Election of Director: Dion J. Weisler | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THERMO FISHER SCIENTIFIC INC. | TMO | 883556102 | 19-May-2021 | Annual | 13 | An advisory vote to approve named executive officer compensation. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 16 | Shareholder Proposal Regarding Political Contributions Congruency Analysis. | Shareholder | N | 06-Apr-2021 | N | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 13 | Ratification of the Appointment of KPMG LLP. | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 15 | Shareholder Proposal Regarding Amendment of Shareholder Written Consent Right. | Shareholder | N | 06-Apr-2021 | N | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 17 | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain. | Shareholder | N | 06-Apr-2021 | N | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 1 | Election of Director: Gerard J. Arpey | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 2 | Election of Director: Ari Bousbib | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 3 | Election of Director: Jeffery H. Boyd | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 4 | Election of Director: Gregory D. Brenneman | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 5 | Election of Director: J. Frank Brown | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 6 | Election of Director: Albert P. Carey | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 7 | Election of Director: Helena B. Foulkes | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 8 | Election of Director: Linda R. Gooden | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 9 | Election of Director: Wayne M. Hewett | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 10 | Election of Director: Manuel Kadre | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 11 | Election of Director: Stephanie C. Linnartz | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 12 | Election of Director: Craig A. Menear | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 14 | Advisory Vote to Approve Executive Compensation ("Say-on-Pay"). | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 1 | DIRECTOR | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 2 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| VORNADO REALTY TRUST | VNO | 929042109 | 20-May-2021 | Annual | 3 | NON-BINDING, ADVISORY RESOLUTION ON EXECUTIVE COMPENSATION. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 13 | Ratification of the selection of KPMG LLP as Hasbro, Inc.'s independent registered public accounting firm for fiscal 2021. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 1 | Election of Director: Kenneth A. Bronfin | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 2 | Election of Director: Michael R. Burns | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 3 | Election of Director: Hope F. Cochran | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 4 | Election of Director: Lisa Gersh | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 5 | Election of Director: Brian D. Goldner | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 6 | Election of Director: Tracy A. Leinbach | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 7 | Election of Director: Edward M. Philip | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 8 | Election of Director: Laurel J. Richie | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 9 | Election of Director: Richard S. Stoddart | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 10 | Election of Director: Mary Best West | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 11 | Election of Director: Linda K. Zecher | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| HASBRO, INC. | HAS | 418056107 | 20-May-2021 | Annual | 12 | The adoption, on an advisory basis, of a resolution approving the compensation of the Named Executive Officers of Hasbro, Inc., as described in the "Compensation Discussion and Analysis" and "Executive Compensation" sections of the 2021 Proxy Statement. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 10 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 13 | Consideration of a shareholder proposal for shareholder action by written consent, if properly presented at the Annual Meeting. | Shareholder | N | 28-Apr-2021 | N | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 1 | Election of Director: Keith Cozza | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 2 | Election of Director: Joseph J. Echevarria | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 3 | Election of Director: Cheryl Gordon Krongard | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 4 | Election of Director: Scott Letier | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 5 | Election of Director: Nichelle Maynard-Elliott | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 6 | Election of Director: Steven D. Miller | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 7 | Election of Director: James L. Nelson | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 8 | Election of Director: Margarita Paláu-Hernández | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 9 | Election of Director: Giovanni ("John") Visentin | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 14 | Election of Aris Kekedjian as a Director. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 12 | Approval of the Company's amended and restated Equity Compensation Plan for Non-Employee Directors. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| XEROX HOLDINGS CORPORATION | XRX | 98421M106 | 20-May-2021 | Annual | 11 | Approval, on an advisory basis, of the 2020 compensation of our named executive officers. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 15 | Shareholder Proposal - Disclosure of Lobbying Policies and Practices. | Shareholder | N | 09-Apr-2021 | N | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 12 | Ratification of the Selection of Independent Registered Public Accounting Firm. | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 10 | Election of Director: Virginia E. Shanks | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 11 | Election of Director: Ellen R. Strahlman | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 1 | Election of Director: John T. Casteen III | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 2 | Election of Director: Dinyar S. Devitre | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 3 | Election of Director: William F. Gifford, Jr. | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 4 | Election of Director: Debra J. Kelly-Ennis | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 5 | Election of Director: W. Leo Kiely III | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 6 | Election of Director: Kathryn B. McQuade | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 7 | Election of Director: George Muñoz | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 8 | Election of Director: Mark E. Newman | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 9 | Election of Director: Nabil Y. Sakkab | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 14 | Shareholder Proposal - Review and Report on Underage Tobacco Prevention Policies and Marketing Practices. | Shareholder | N | 09-Apr-2021 | N | REDWOOD SMART FD |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 13 | Non-Binding Advisory Vote to Approve the Compensation of Altria's Named Executive Officers. | Management | F | 09-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 15 | Ratification of the appointment of the Company's independent registered public accounting firm for 2021. | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 16 | Shareholder proposal concerning a shareholder right to act by written consent. | Shareholder | N | 06-Apr-2021 | N | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 17 | Shareholder proposal regarding access to COVID-19 products. | Shareholder | N | 06-Apr-2021 | N | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 1 | Election of Director: Leslie A. Brun | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 2 | Election of Director: Mary Ellen Coe | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 3 | Election of Director: Pamela J. Craig | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 4 | Election of Director: Kenneth C. Frazier | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 5 | Election of Director: Thomas H. Glocer | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 6 | Election of Director: Risa J. Lavizzo-Mourey | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 7 | Election of Director: Stephen L. Mayo | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 8 | Election of Director: Paul B. Rothman | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 9 | Election of Director: Patricia F. Russo | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 10 | Election of Director: Christine E. Seidman | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 11 | Election of Director: Inge G. Thulin | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 12 | Election of Director: Kathy J. Warden | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 13 | Election of Director: Peter C. Wendell | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 14 | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | F | 06-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 12 | Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 1 | ELECTION OF DIRECTOR: MARK A. BLINN | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 2 | ELECTION OF DIRECTOR: ROBERT E. BRUNNER | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 3 | ELECTION OF DIRECTOR: MARY CAMPBELL | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 4 | Election of Director: J. Mitchell Dolloff | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 5 | Election of Director: Manuel A. Fernandez | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 6 | Election of Director: Karl G. Glassman | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 7 | Election of Director: Joseph W. McClanathan | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 8 | Election of Director: Judy C. Odom | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 9 | Election of Director: Srikanth Padmanabhan | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 10 | Election of Director: Jai Shah | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 11 | Election of Director: Phoebe A. Wood | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| LEGGETT & PLATT, INCORPORATED | LEG | 524660107 | 25-May-2021 | Annual | 13 | An advisory vote to approve named executive officer compensation as described in the Company's proxy statement. | Management | F | 07-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 19-Mar-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 19-Mar-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 13 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2021. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 14 | Stockholder proposal - Stockholder right to act by written consent. | Shareholder | N | 14-Apr-2021 | N | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 15 | Stockholder Proposal - Assessing Inclusion in the Workplace. | Shareholder | N | 14-Apr-2021 | N | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 1 | Election of Director: Rodney C. Adkins | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 2 | Election of Director: Jonathan Christodoro | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 3 | Election of Director: John J. Donahoe | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 4 | Election of Director: David W. Dorman | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 5 | Election of Director: Belinda J. Johnson | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 6 | Election of Director: Gail J. McGovern | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 7 | Election of Director: Deborah M. Messemer | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 8 | Election of Director: David M. Moffett | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 9 | Election of Director: Ann M. Sarnoff | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 10 | Election of Director: Daniel H. Schulman | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 11 | Election of Director: Frank D. Yeary | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| PAYPAL HOLDINGS, INC. | PYPL | 70450Y103 | 26-May-2021 | Annual | 12 | Advisory vote to approve named executive officer compensation. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 18 | Report on Lobbying. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 13 | Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 16 | Report on Impacts of Net Zero 2050 Scenario. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 17 | Shift to Public Benefit Corporation. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 20 | Special Meetings. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 1 | Election of Director: Wanda M. Austin | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 2 | Election of Director: John B. Frank | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 3 | Election of Director: Alice P. Gast | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 4 | Election of Director: Enrique Hernandez, Jr. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 5 | Election of Director: Marillyn A. Hewson | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 6 | Election of Director: Jon M. Huntsman Jr. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 7 | Election of Director: Charles W. Moorman IV | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 8 | Election of Director: Dambisa F. Moyo | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 9 | Election of Director: Debra Reed-Klages | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 10 | Election of Director: Ronald D. Sugar | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 11 | Election of Director: D. James Umpleby III | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 12 | Election of Director: Michael K. Wirth | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 15 | Reduce Scope 3 Emissions. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 19 | Independent Chair. | Shareholder | N | 10-Apr-2021 | N | REDWOOD SMART FD |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 14 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 12 | Ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of ONEOK, Inc. for the year ending December 31, 2021. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 1 | Election of Director: Brian L. Derksen | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 2 | Election of Director: Julie H. Edwards | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 3 | Election of Director: John W. Gibson | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 4 | Election of Director: Mark W. Helderman | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 5 | Election of Director: Randall J. Larson | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 6 | Election of Director: Steven J. Malcolm | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 7 | Election of Director: Jim W. Mogg | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 8 | Election of Director: Pattye L. Moore | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 9 | Election of Director: Eduardo A. Rodriguez | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 10 | Election of Director: Gerald B. Smith | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 11 | Election of Director: Terry K. Spencer | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| ONEOK, INC. | OKE | 682680103 | 26-May-2021 | Annual | 13 | An advisory vote to approve ONEOK, Inc.'s executive compensation. | Management | F | 10-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 11 | Company proposal to ratify the selection of Deloitte and Touche LLP as the independent registered public accounting firm of the Company for 2021. | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 13 | A shareholder proposal related to the right to act by written consent. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 1 | Election of Director: Richard M. Baudouin | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 2 | Election of Director: Phyllis J. Campbell | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 3 | Election of Director: Richard F. Corrado | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 4 | Election of Director: Joseph C. Hete | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 5 | Election of Director: Raymond E. Johns, Jr. | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 6 | Election of Director: Laura J. Peterson | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 7 | Election of Director: Randy D. Rademacher | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 8 | Election of Director: J. Christopher Teets | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 9 | Election of Director: Jeffrey J. Vorholt | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 10 | Election of Director: Paul S. Williams | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AIR TRANSPORT SERVICES GROUP, INC. | ATSG | 00922R105 | 26-May-2021 | Annual | 12 | Advisory vote on executive compensation. | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 23 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 22 | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 11 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 13 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 16 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 17 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 18 | SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 19 | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 20 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 21 | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 1 | Election of Director: Jeffrey P. Bezos | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 2 | Election of Director: Keith B. Alexander | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 3 | Election of Director: Jamie S. Gorelick | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 4 | Election of Director: Daniel P. Huttenlocher | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 5 | Election of Director: Judith A. McGrath | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 6 | Election of Director: Indra K. Nooyi | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 7 | Election of Director: Jonathan J. Rubinstein | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 8 | Election of Director: Thomas O. Ryder | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 9 | Election of Director: Patricia Q. Stonesifer | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 10 | Election of Director: Wendell P. Weeks | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 14 | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 12 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | F | 16-Apr-2021 | F | REDWOOD SMART FD |
| AMAZON.COM, INC. | AMZN | 023135106 | 26-May-2021 | Annual | 15 | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY. | Shareholder | N | 16-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 4 | A shareholder proposal regarding dual class capital structure. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 2 | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 8 | A shareholder proposal regarding platform misuse. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 9 | A shareholder proposal regarding public benefit corporation. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 3 | To approve an amendment to the director compensation policy. | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 5 | A shareholder proposal regarding an independent chair. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 6 | A shareholder proposal regarding child exploitation. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| FACEBOOK, INC. | FB | 30303M102 | 26-May-2021 | Annual | 7 | A shareholder proposal regarding human/civil rights expert on board. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 04-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 04-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 13-Apr-2021 | N | REDWOOD SMART FD |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 13-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 11 | Ratification of the appointment of PricewaterhouseCoopers LLP as Interpublic's independent registered public accounting firm for the year 2021. | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 13 | Stockholder proposal entitled "Special Stockholder Meetings." | Shareholder | N | 19-Apr-2021 | N | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 1 | Election of Director: Jocelyn Carter-Miller | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 2 | Election of Director: Mary J. Steele Guilfoile | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 3 | Election of Director: Dawn Hudson | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 4 | Election of Director: Philippe Krakowsky | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 5 | Election of Director: Jonathan F. Miller | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 6 | Election of Director: Patrick Q. Moore | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 7 | Election of Director: Michael I. Roth | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 8 | Election of Director: Linda S. Sanford | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 9 | Election of Director: David M. Thomas | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 10 | Election of Director: E. Lee Wyatt Jr. | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | IPG | 460690100 | 27-May-2021 | Annual | 12 | Advisory vote to approve named executive officer compensation. | Management | F | 19-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 15 | Appointment of PricewaterhouseCoopers Accountants N.V. as the Auditor of our 2021 Dutch Statutory Annual Accounts. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 16 | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 21 | Amendment and Restatement of Employee Stock Purchase Plan. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 18 | Authorization to Conduct Share Repurchases. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 19 | Cancellation of Shares. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 1 | Election of Director: Jacques Aigrain | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 2 | Election of Director: Lincoln Benet | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 3 | Election of Director: Jagjeet (Jeet) Bindra | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 4 | Election of Director: Robin Buchanan | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 5 | Election of Director: Anthony (Tony) Chase | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 6 | Election of Director: Stephen Cooper | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 7 | Election of Director: Nance Dicciani | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 8 | Election of Director: Robert (Bob) Dudley | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 9 | Election of Director: Claire Farley | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 10 | Election of Director: Michael Hanley | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 11 | Election of Director: Albert Manifold | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 12 | Election of Director: Bhavesh (Bob) Patel | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 20 | Amendment and Restatement of Long Term Incentive Plan. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 14 | Adoption of 2020 Dutch Statutory Annual Accounts. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 13 | Discharge of Directors from Liability. | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 17 | Advisory Vote Approving Executive Compensation (Say-on-Pay). | Management | F | 10-May-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 15 | Appointment of PricewaterhouseCoopers Accountants N.V. as the Auditor of our 2021 Dutch Statutory Annual Accounts. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 16 | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 21 | Amendment and Restatement of Employee Stock Purchase Plan. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 18 | Authorization to Conduct Share Repurchases. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 19 | Cancellation of Shares. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 1 | Election of Director: Jacques Aigrain | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 2 | Election of Director: Lincoln Benet | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 3 | Election of Director: Jagjeet (Jeet) Bindra | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 4 | Election of Director: Robin Buchanan | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 5 | Election of Director: Anthony (Tony) Chase | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 6 | Election of Director: Stephen Cooper | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 7 | Election of Director: Nance Dicciani | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 8 | Election of Director: Robert (Bob) Dudley | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 9 | Election of Director: Claire Farley | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 10 | Election of Director: Michael Hanley | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 11 | Election of Director: Albert Manifold | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 12 | Election of Director: Bhavesh (Bob) Patel | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 20 | Amendment and Restatement of Long Term Incentive Plan. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 14 | Adoption of 2020 Dutch Statutory Annual Accounts. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 13 | Discharge of Directors from Liability. | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| LYONDELLBASELL INDUSTRIES N.V. | LYB | N53745100 | 28-May-2021 | Annual | 17 | Advisory Vote Approving Executive Compensation (Say-on-Pay). | Management | F | 14-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 12 | Ratification of the appointment of Ernst & Young LLP as Alphabet's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 13 | Approval of Alphabet's 2021 Stock Plan. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 14 | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 16 | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 17 | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 18 | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 19 | A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 20 | A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 21 | A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 1 | Election of Director: Larry Page | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 2 | Election of Director: Sergey Brin | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 3 | Election of Director: Sundar Pichai | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 4 | Election of Director: John L. Hennessy | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 5 | Election of Director: Frances H. Arnold | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 6 | Election of Director: L. John Doerr | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 7 | Election of Director: Roger W. Ferguson Jr. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 8 | Election of Director: Ann Mather | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 9 | Election of Director: Alan R. Mulally | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 10 | Election of Director: K. Ram Shriram | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 11 | Election of Director: Robin L. Washington | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| ALPHABET INC. | GOOGL | 02079K305 | 02-Jun-2021 | Annual | 15 | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 7 | Stockholder proposal entitled, "Proposal 4 - Political Disclosures," if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 5 | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 8 | Stockholder proposal entitled, "Proposal 5 - Simple Majority Vote," if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 9 | Stockholder proposal entitled, "Stockholder Proposal to Improve the Executive Compensation Philosophy," if properly presented at the meeting. | Shareholder | N | 25-Apr-2021 | N | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 1 | Election of Class I Director to hold office until the 2024 Annual Meeting: Richard N. Barton | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 2 | Election of Class I Director to hold office until the 2024 Annual Meeting: Rodolphe Belmer | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 3 | Election of Class I Director to hold office until the 2024 Annual Meeting: Bradford L. Smith | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 4 | Election of Class I Director to hold office until the 2024 Annual Meeting: Anne M. Sweeney | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NETFLIX, INC. | NFLX | 64110L106 | 03-Jun-2021 | Annual | 6 | Advisory approval of the Company's executive officer compensation. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 15 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2022. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 16 | Approval of an amendment to our charter to increase the number of authorized shares of common stock from 2 billion shares to 4 billion shares. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 1 | Election of Director: Robert K. Burgess | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 2 | Election of Director: Tench Coxe | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 3 | Election of Director: John O. Dabiri | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 4 | Election of Director: Persis S. Drell | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 5 | Election of Director: Jen-Hsun Huang | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 6 | Election of Director: Dawn Hudson | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 7 | Election of Director: Harvey C. Jones | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 8 | Election of Director: Michael G. McCaffery | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 9 | Election of Director: Stephen C. Neal | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 10 | Election of Director: Mark L. Perry | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 11 | Election of Director: A. Brooke Seawell | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 12 | Election of Director: Aarti Shah | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 13 | Election of Director: Mark A. Stevens | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| NVIDIA CORPORATION | NVDA | 67066G104 | 03-Jun-2021 | Annual | 14 | Approval of our executive compensation. | Management | F | 25-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 11 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 1 | Election of Director: John H. Alschuler | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 2 | Election of Director: Betsy S. Atkins | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 3 | Election of Director: Edwin T. Burton, III | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 4 | Election of Director: Lauren B. Dillard | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 5 | Election of Director: Stephen L. Green | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 6 | Election of Director: Craig M. Hatkoff | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 7 | Election of Director: Marc Holliday | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 8 | Election of Director: John S. Levy | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 9 | Election of Director: Andrew W. Mathias | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SL GREEN REALTY CORP. | SLG | 78440X804 | 08-Jun-2021 | Annual | 10 | To approve, on a non-binding advisory basis, our executive compensation. | Management | F | 28-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 15 | A stockholder proposal requesting that the Board of Directors take steps necessary to transition Salesforce to a Public Benefit Corporation, if properly presented at the meeting. | Shareholder | N | 30-Apr-2021 | N | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 13 | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 1 | Election of Director: Marc Benioff | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 2 | Election of Director: Craig Conway | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 3 | Election of Director: Parker Harris | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 4 | Election of Director: Alan Hassenfeld | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 5 | Election of Director: Neelie Kroes | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 6 | Election of Director: Colin Powell | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 7 | Election of Director: Sanford Robertson | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 8 | Election of Director: John V. Roos | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 9 | Election of Director: Robin Washington | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 10 | Election of Director: Maynard Webb | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 11 | Election of Director: Susan Wojcicki | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 12 | Amendment and restatement of our 2013 Equity Incentive Plan to increase the number of shares reserved for issuance. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| SALESFORCE.COM, INC. | CRM | 79466L302 | 10-Jun-2021 | Annual | 14 | An advisory vote to approve the fiscal 2021 compensation of our named executive officers. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 16 | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2021. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 19 | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 18 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 1 | Election of Director: Ajay Banga | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 2 | Election of Director: Merit E. Janow | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 3 | Election of Director: Richard K. Davis | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 4 | Election of Director: Steven J. Freiberg | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 5 | Election of Director: Julius Genachowski | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 6 | Election of Director: Choon Phong Goh | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 7 | Election of Director: Oki Matsumoto | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 8 | Election of Director: Michael Miebach | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 9 | Election of Director: Youngme Moon | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 10 | Election of Director: Rima Qureshi | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 11 | Election of Director: José Octavio Reyes Lagunes | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 12 | Election of Director: Gabrielle Sulzberger | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 13 | Election of Director: Jackson Tai | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 14 | Election of Director: Lance Uggla | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 17 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 15 | Advisory approval of Mastercard's executive compensation. | Management | F | 30-Apr-2021 | F | REDWOOD SMART FD |
| Registrant: LeaderShares Equity Skew ETF | | | | | | Item 1, Exhibit 21 | | | |
| Investment Company Act file number: 811- 22963 | | | | | | | | | |
| Reporting Period: July 1, 2020-June 30, 2021 | | | | | | | | | |
| | | | | | | | | | | | |
| | Primary Ticker Symbol | Security ID | Meeting Date | Meeting Type | Proposal Number | Proposal Long Text | Proposed By | Recommended Vote | Vote Date | Vote | Account Name |
| | | | | | | | | | | | |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 1 | DIRECTOR | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 3 | Ratification of the selection of PricewaterhouseCoopers LLP as VF's independent registered public accounting firm for the 2021 fiscal year. | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| VF CORPORATION | VFC | 918204108 | 28-Jul-2020 | Annual | 2 | Advisory vote to approve named executive officer compensation. | Management | F | 19-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 11 | Proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered accounting firm for fiscal 2021. | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 1 | Election of Director: Dennis Segers | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 2 | Election of Director: Raman K. Chitkara | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 3 | Election of Director: Saar Gillai | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 4 | Election of Director: Ronald S. Jankov | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 5 | Election of Director: Mary Louise Krakauer | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 6 | Election of Director: Thomas H. Lee | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 7 | Election of Director: Jon A. Olson | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 8 | Election of Director: Victor Peng | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 9 | Election of Director: Elizabeth W. Vanderslice | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| XILINX, INC. | XLNX | 983919101 | 05-Aug-2020 | Annual | 10 | Proposal to approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | F | 27-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 11 | Ratification of the appointment of KPMG LLP as our independent public registered accounting firm for the fiscal year ending March 31, 2021. | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 12 | To consider and vote upon a stockholder proposal, if properly presented at the Annual Meeting, on whether to allow stockholders to act by written consent. | Shareholder | N | 23-Jun-2020 | N | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 1 | Election of Director: Leonard S. Coleman | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 2 | Election of Director: Jay C. Hoag | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 3 | Election of Director: Jeffrey T. Huber | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 4 | Election of Director: Lawrence F. Probst III | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 5 | Election of Director: Talbott Roche | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 6 | Election of Director: Richard A. Simonson | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 7 | Election of Director: Luis A. Ubinas | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 8 | Election of Director: Heidi J. Ueberroth | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 9 | Election of Director: Andrew Wilson | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| ELECTRONIC ARTS INC. | EA | 285512109 | 06-Aug-2020 | Annual | 10 | Advisory vote to approve named executive officer compensation. | Management | F | 23-Jun-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 7 | To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | N | 01-Aug-2020 | N | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 5 | To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 1 | Election of Class B Director: Alan B. Graf, Jr. | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 2 | Election of Class B Director: Peter B. Henry | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 3 | Election of Class B Director: Michelle A. Peluso | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 6 | To approve the Nike, Inc. Stock Incentive Plan, as amended and restated. | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| NIKE, INC. | NKE | 654106103 | 17-Sep-2020 | Annual | 4 | To approve executive compensation by an advisory vote. | Management | F | 01-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 15 | Stockholder proposal regarding lobbying activity and expenditure report. | Shareholder | N | 11-Aug-2020 | N | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 16 | Stockholder proposal regarding political disclosure. | Shareholder | N | 11-Aug-2020 | N | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 14 | Ratify the appointment of Ernst & Young LLP as FedEx's independent registered public accounting firm for fiscal year 2021. | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 17 | Stockholder proposal regarding employee representation on the Board of Directors. | Shareholder | N | 11-Aug-2020 | N | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 18 | Stockholder proposal regarding shareholder right to act by written consent. | Shareholder | N | 11-Aug-2020 | N | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 19 | Stockholder proposal regarding integrating ESG metrics into executive compensation. | Shareholder | N | 11-Aug-2020 | N | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 1 | Election of Director: MARVIN R. ELLISON | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 2 | Election of Director: SUSAN PATRICIA GRIFFITH | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 3 | Election of Director: JOHN C. ("CHRIS") INGLIS | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 4 | Election of Director: KIMBERLY A. JABAL | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 5 | Election of Director: SHIRLEY ANN JACKSON | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 6 | Election of Director: R. BRAD MARTIN | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 7 | Election of Director: JOSHUA COOPER RAMO | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 8 | Election of Director: SUSAN C. SCHWAB | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 9 | Election of Director: FREDERICK W. SMITH | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 10 | Election of Director: DAVID P. STEINER | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 11 | Election of Director: RAJESH SUBRAMANIAM | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 12 | Election of Director: PAUL S. WALSH | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| FEDEX CORPORATION | FDX | 31428X106 | 21-Sep-2020 | Annual | 13 | Advisory vote to approve named executive officer compensation. | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 14 | Ratify Appointment of the Independent Registered Public Accounting Firm. | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 1 | Election of Director: R. Kerry Clark | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 2 | Election of Director: David M. Cordani | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 3 | Election of Director: Roger W. Ferguson Jr. | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 4 | Election of Director: Jeffrey L. Harmening | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 5 | Election of Director: Maria G. Henry | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 6 | Election of Director: Jo Ann Jenkins | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 7 | Election of Director: Elizabeth C. Lempres | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 8 | Election of Director: Diane L. Neal | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 9 | Election of Director: Steve Odland | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 10 | Election of Director: Maria A. Sastre | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 11 | Election of Director: Eric D. Sprunk | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 12 | Election of Director: Jorge A. Uribe | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| GENERAL MILLS, INC. | GIS | 370334104 | 22-Sep-2020 | Annual | 13 | Advisory Vote on Executive Compensation. | Management | F | 11-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 16 | Shareholder Proposal - Report on Efforts to Eliminate Deforestation. | Shareholder | N | 29-Aug-2020 | N | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 13 | Ratify Appointment of the Independent Registered Public Accounting Firm. | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 15 | Approval of The Procter & Gamble Company International Stock Ownership Plan, As Amended and Restated. | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 17 | Shareholder Proposal - Annual Report on Diversity. | Shareholder | N | 29-Aug-2020 | N | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 1 | ELECTION OF DIRECTOR: Francis S. Blake | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 2 | ELECTION OF DIRECTOR: Angela F. Braly | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 3 | ELECTION OF DIRECTOR: Amy L. Chang | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 4 | ELECTION OF DIRECTOR: Joseph Jimenez | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 5 | ELECTION OF DIRECTOR: Debra L. Lee | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 6 | ELECTION OF DIRECTOR: Terry J. Lundgren | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 7 | ELECTION OF DIRECTOR: Christine M. McCarthy | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 8 | ELECTION OF DIRECTOR: W. James McNerney, Jr. | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 9 | ELECTION OF DIRECTOR: Nelson Peltz | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 10 | ELECTION OF DIRECTOR: David S. Taylor | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 11 | ELECTION OF DIRECTOR: Margaret C. Whitman | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 12 | ELECTION OF DIRECTOR: Patricia A. Woertz | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| THE PROCTER & GAMBLE COMPANY | PG | 742718109 | 13-Oct-2020 | Annual | 14 | Advisory Vote to Approve the Company's Executive Compensation (the "Say on Pay" vote). | Management | F | 29-Aug-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 12 | RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 1 | Election of Director: B. Thomas Golisano | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 2 | Election of Director: Thomas F. Bonadio | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 3 | Election of Director: Joseph G. Doody | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 4 | Election of Director: David J.S. Flaschen | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 5 | Election of Director: Pamela A. Joseph | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 6 | Election of Director: Martin Mucci | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 7 | Election of Director: Joseph M. Tucci | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 8 | Election of Director: Joseph M. Velli | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 9 | Election of Director: Kara Wilson | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 11 | TO APPROVE AND AMEND THE PAYCHEX, INC. 2002 STOCK INCENTIVE PLAN. | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| PAYCHEX, INC. | PAYX | 704326107 | 15-Oct-2020 | Annual | 10 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Management | F | 07-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 1 | DIRECTOR | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 4 | Ratification of Selection of Independent Registered Public Accounting Firm. | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 5 | Stockholder Proposal Regarding Pay Equity Report. | Shareholder | N | 21-Sep-2020 | N | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 3 | Approve the Oracle Corporation 2020 Equity Incentive Plan. | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 6 | Stockholder Proposal Regarding Independent Board Chair. | Shareholder | N | 21-Sep-2020 | N | EQUITY SKEW ETF |
| ORACLE CORPORATION | ORCL | 68389X105 | 04-Nov-2020 | Annual | 2 | Advisory Vote to Approve Compensation of Named Executive Officers. | Management | F | 21-Sep-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 13 | Ratification of the Appointment of Auditors. | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 14 | Stockholder proposal, if properly presented at the meeting, to prepare a Report on Employee Representation on the Board of Directors. | Shareholder | N | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 1 | Election of Director: Peter Bisson | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 2 | Election of Director: Richard T. Clark | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 3 | Election of Director: Linnie M. Haynesworth | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 4 | Election of Director: John P. Jones | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 5 | Election of Director: Francine S. Katsoudas | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 6 | Election of Director: Nazzic S. Keene | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 7 | Election of Director: Thomas J. Lynch | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 8 | Election of Director: Scott F. Powers | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 9 | Election of Director: William J. Ready | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 10 | Election of Director: Carlos A. Rodriguez | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 11 | Election of Director: Sandra S. Wijnberg | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| AUTOMATIC DATA PROCESSING, INC. | ADP | 053015103 | 11-Nov-2020 | Annual | 12 | Advisory Vote on Executive Compensation. | Management | F | 03-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 15 | Ratification of the Selection of Ernst & Young LLP as the Clorox Company's Independent Registered Public Accounting Firm. | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 16 | Approval of the Amended and Restated Certificate of Incorporation to Eliminate Supermajority Voting Provision. | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 1 | Election of Director: Amy Banse | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 2 | Election of Director: Richard H. Carmona | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 3 | Election of Director: Benno Dorer | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 4 | Election of Director: Spencer C. Fleischer | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 5 | Election of Director: Esther Lee | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 6 | Election of Director: A.D. David Mackay | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 7 | Election of Director: Paul Parker | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 8 | Election of Director: Linda Rendle | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 9 | Election of Director: Matthew J. Shattock | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 10 | Election of Director: Kathryn Tesija | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 11 | Election of Director: Pamela Thomas-Graham | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 12 | Election of Director: Russell Weiner | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 13 | Election of Director: Christopher J. Williams | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| THE CLOROX COMPANY | CLX | 189054109 | 18-Nov-2020 | Annual | 14 | Advisory Vote to Approve Executive Compensation. | Management | F | 07-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 14 | To ratify the appointment of Ernst & Young LLP as Sysco's independent registered public accounting firm for fiscal 2021. | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 1 | Election of Director: Daniel J. Brutto | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 2 | Election of Director: John M. Cassaday | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 3 | Election of Director: Joshua D. Frank | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 4 | Election of Director: Larry C. Glasscock | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 5 | Election of Director: Bradley M. Halverson | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 6 | Election of Director: John M. Hinshaw | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 7 | Election of Director: Kevin P. Hourican | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 8 | Election of Director: Hans-Joachim Koerber | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 9 | Election of Director: Stephanie A. Lundquist | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 10 | Election of Director: Nelson Peltz | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 11 | Election of Director: Edward D. Shirley | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 12 | Election of Director: Sheila G. Talton | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| SYSCO CORPORATION | SYY | 871829107 | 20-Nov-2020 | Annual | 13 | To approve, by advisory vote, the compensation paid to Sysco's named executive officers, as disclosed in Sysco's 2020 proxy statement. | Management | F | 08-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 14 | Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2021. | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 11 | Approval of the reincorporation of Cisco from California to Delaware. | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 1 | Election of Director: M. Michele Burns | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 2 | Election of Director: Wesley G. Bush | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 3 | Election of Director: Michael D. Capellas | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 4 | Election of Director: Mark Garrett | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 5 | Election of Director: Dr. Kristina M. Johnson | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 6 | Election of Director: Roderick C. McGeary | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 7 | Election of Director: Charles H. Robbins | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 8 | Election of Director: Arun Sarin | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 9 | Election of Director: Brenton L. Saunders | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 10 | Election of Director: Dr. Lisa T. Su | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 12 | Approval of amendment and restatement of the 2005 Stock Incentive Plan. | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 15 | Approval to have Cisco's Board adopt a policy to have an independent Board chairman. | Shareholder | N | 23-Oct-2020 | N | EQUITY SKEW ETF |
| CISCO SYSTEMS, INC. | CSCO | 17275R102 | 10-Dec-2020 | Annual | 13 | Approval, on an advisory basis, of executive compensation. | Management | F | 23-Oct-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 1 | DIRECTOR | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 2 | Ratification of selection of independent auditors. | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| COSTCO WHOLESALE CORPORATION | COST | 22160K105 | 21-Jan-2021 | Annual | 3 | Approval, on an advisory basis, of executive compensation. | Management | F | 12-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 13 | Ratify the appointment by the Audit Committee of the Board of Directors of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 1 | Election of Director: Prama Bhatt | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 2 | Election of Director: Gary C. Bhojwani | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 3 | Election of Director: Terrell K. Crews | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 4 | Election of Director: Stephen M. Lacy | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 5 | Election of Director: Elsa A. Murano, Ph.D. | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 6 | Election of Director: Susan K. Nestegard | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 7 | Election of Director: William A. Newlands | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 8 | Election of Director: Christopher J. Policinski | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 9 | Election of Director: Jose Luis Prado | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 10 | Election of Director: Sally J. Smith | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 11 | Election of Director: James P. Snee | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 12 | Election of Director: Steven A. White | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| HORMEL FOODS CORPORATION | HRL | 440452100 | 26-Jan-2021 | Annual | 14 | Approve the Named Executive Officer compensation as disclosed in the Company's 2021 annual meeting proxy statement. | Management | F | 17-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 14 | Ratification of the selection of the independent registered public accounting firm. | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 16 | Shareholder proposal seeking to lower the ownership threshold required to call a special shareholders meeting, if properly presented at the meeting. | Shareholder | N | 18-Dec-2020 | N | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 1 | Election of Director: Catherine M. Burzik | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 2 | Election of Director: R. Andrew Eckert | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 3 | Election of Director: Vincent A. Forlenza | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 4 | Election of Director: Claire M. Fraser | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 5 | Election of Director: Jeffrey W. Henderson | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 6 | Election of Director: Christopher Jones | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 7 | Election of Director: Marshall O. Larsen | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 8 | Election of Director: David F. Melcher | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 9 | Election of Director: Thomas E. Polen | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 10 | Election of Director: Claire Pomeroy | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 11 | Election of Director: Rebecca W. Rimel | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 12 | Election of Director: Timothy M. Ring | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 13 | Election of Director: Bertram L. Scott | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| BECTON, DICKINSON AND COMPANY | BDX | 075887109 | 26-Jan-2021 | Annual | 15 | Advisory vote to approve named executive officer compensation. | Management | F | 18-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 12 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for fiscal year 2021. | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 1 | Election of Director: José E. Almeida | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 2 | Election of Director: Janice M. Babiak | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 3 | Election of Director: David J. Brailer | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 4 | Election of Director: William C. Foote | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 5 | Election of Director: Ginger L. Graham | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 6 | Election of Director: Valerie B. Jarrett | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 7 | Election of Director: John A. Lederer | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 8 | Election of Director: Dominic P. Murphy | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 9 | Election of Director: Stefano Pessina | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 10 | Election of Director: Nancy M. Schlichting | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 11 | Election of Director: James A. Skinner | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 14 | Approval of the 2021 Walgreens Boots Alliance, Inc. Omnibus Incentive Plan. | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 15 | Stockholder proposal requesting an independent Board Chairman. | Shareholder | N | 09-Dec-2020 | N | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 16 | Stockholder proposal requesting report on how health risks from COVID-19 impact the Company's tobacco sales decision-making. | Shareholder | N | 09-Dec-2020 | N | EQUITY SKEW ETF |
| WALGREENS BOOTS ALLIANCE, INC. | WBA | 931427108 | 28-Jan-2021 | Annual | 13 | Advisory vote to approve named executive officer compensation. | Management | F | 09-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 2 | Ratification of KPMG LLP as Independent Registered Public Accounting Firm. | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| EMERSON ELECTRIC CO. | EMR | 291011104 | 02-Feb-2021 | Annual | 3 | Approval, by non-binding advisory vote, of Emerson Electric Co. executive compensation. | Management | F | 16-Dec-2020 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 13 | Ratification of the appointment of Deloitte & Touche LLP as Deere's independent registered public accounting firm for fiscal 2021. | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 1 | Election of Director: Tamra A. Erwin | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 2 | Election of Director: Alan C. Heuberger | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 3 | Election of Director: Charles O. Holliday, Jr. | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 4 | Election of Director: Dipak C. Jain | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 5 | Election of Director: Michael O. Johanns | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 6 | Election of Director: Clayton M. Jones | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 7 | Election of Director: John C. May | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 8 | Election of Director: Gregory R. Page | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 9 | Election of Director: Sherry M. Smith | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 10 | Election of Director: Dmitri L. Stockton | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 11 | Election of Director: Sheila G. Talton | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| DEERE & COMPANY | DE | 244199105 | 24-Feb-2021 | Annual | 12 | Advisory vote on executive compensation. | Management | F | 12-Jan-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 13 | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | N | 26-Feb-2021 | N | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 11 | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2021. | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 14 | Shareholder proposal requesting non-management employees on director nominee candidate lists. | Shareholder | N | 26-Feb-2021 | N | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 1 | Election of Director: Susan E. Arnold | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 2 | Election of Director: Mary T. Barra | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 3 | Election of Director: Safra A. Catz | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 4 | Election of Director: Robert A. Chapek | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 5 | Election of Director: Francis A. deSouza | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 6 | Election of Director: Michael B.G. Froman | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 7 | Election of Director: Robert A. Iger | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 8 | Election of Director: Maria Elena Lagomasino | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 9 | Election of Director: Mark G. Parker | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 10 | Election of Director: Derica W. Rice | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| THE WALT DISNEY COMPANY | DIS | 254687106 | 09-Mar-2021 | Annual | 12 | To approve the advisory resolution on executive compensation. | Management | F | 26-Feb-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 14 | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2021. | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 15 | Employee Board Representation. | Shareholder | N | 24-Jan-2021 | N | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 1 | Election of Director: Richard E. Allison, Jr. | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 2 | Election of Director: Rosalind G. Brewer (Withdrawn) | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 3 | Election of Director: Andrew Campion | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 4 | Election of Director: Mary N. Dillon | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 5 | Election of Director: Isabel Ge Mahe | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 6 | Election of Director: Mellody Hobson | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 7 | Election of Director: Kevin R. Johnson | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 8 | Election of Director: Jørgen Vig Knudstorp | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 9 | Election of Director: Satya Nadella | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 10 | Election of Director: Joshua Cooper Ramo | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 11 | Election of Director: Clara Shih | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 12 | Election of Director: Javier G. Teruel | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| STARBUCKS CORPORATION | SBUX | 855244109 | 17-Mar-2021 | Annual | 13 | Advisory resolution to approve our executive officer compensation. | Management | F | 24-Jan-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 10 | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 1 | Election of Director: Ms. Diane M. Bryant | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 2 | Election of Director: Ms. Gayla J. Delly | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 3 | Election of Director: Mr. Raul J. Fernandez | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 4 | Election of Director: Mr. Eddy W. Hartenstein | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 5 | Election of Director: Mr. Check Kian Low | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 6 | Election of Director: Ms. Justine F. Page | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 7 | Election of Director: Dr. Henry Samueli | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 8 | Election of Director: Mr. Hock E. Tan | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 9 | Election of Director: Mr. Harry L. You | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 11 | Approval of an amendment and restatement of Broadcom's 2012 Stock Incentive Plan. | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| BROADCOM INC | AVGO | 11135F101 | 05-Apr-2021 | Annual | 12 | Advisory vote to approve compensation of Broadcom's named executive officers. | Management | F | 21-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 11 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditors for 2021. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 12 | Approval of an amendment and restatement of the 2017 Schlumberger Omnibus Stock Incentive Plan. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 13 | Approval of an amendment and restatement of the Schlumberger Discounted Stock Purchase Plan. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 1 | Election of Director: Patrick de La Chevardière | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 2 | Election of Director: Miguel M. Galuccio | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 3 | Election of Director: Olivier Le Peuch | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 4 | Election of Director: Tatiana A. Mitrova | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 5 | Election of Director: Maria M. Hanssen | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 6 | Election of Director: Mark G. Papa | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 7 | Election of Director: Henri Seydoux | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 8 | Election of Director: Jeff W. Sheets | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 14 | Approval of an amendment and restatement of the 2004 Stock and Deferral Plan for Non-Employee Directors. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 10 | Approval of our consolidated balance sheet as of December 31, 2020; our consolidated statement of income for the year ended December 31, 2020; and our Board of Directors' declarations of dividends in 2020, as reflected in our 2020 Annual Report to Stockholders. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) | SLB | 806857108 | 07-Apr-2021 | Annual | 9 | Approval of the advisory resolution to approve our executive compensation. | Management | F | 28-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 12 | To ratify the appointment of Ernst & Young LLP as HP Inc.'s independent registered public accounting firm for the fiscal year ending October 31, 2021. | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 14 | Stockholder proposal requesting stockholders' right to act by written consent, if properly presented at the annual meeting. | Shareholder | N | 25-Feb-2021 | N | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 1 | Election of Director: Aida M. Alvarez | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 2 | Election of Director: Shumeet Banerji | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 3 | Election of Director: Robert R. Bennett | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 4 | Election of Director: Charles V. Bergh | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 5 | Election of Director: Stacy Brown-Philpot | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 6 | Election of Director: Stephanie A. Burns | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 7 | Election of Director: Mary Anne Citrino | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 8 | Election of Director: Richard Clemmer | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 9 | Election of Director: Enrique Lores | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 10 | Election of Director: Judith Miscik | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 11 | Election of Director: Subra Suresh | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| HP INC. | HPQ | 40434L105 | 13-Apr-2021 | Annual | 13 | To approve, on an advisory basis, HP Inc.'s executive compensation. | Management | F | 25-Feb-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 14 | Ratification of KPMG LLP as our independent auditor for 2021. | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 15 | Stockholder proposal regarding stockholder requests for a record date to initiate written consent. | Shareholder | N | 03-Mar-2021 | N | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 1 | Election of Director: Linda Z. Cook | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 2 | Election of Director: Joseph J. Echevarria | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 3 | Election of Director: Thomas P. "Todd" Gibbons | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 4 | Election of Director: M. Amy Gilliland | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 5 | Election of Director: Jeffrey A. Goldstein | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 6 | Election of Director: K. Guru Gowrappan | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 7 | Election of Director: Ralph Izzo | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 8 | Election of Director: Edmund F. "Ted" Kelly | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 9 | Election of Director: Elizabeth E. Robinson | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 10 | Election of Director: Samuel C. Scott III | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 11 | Election of Director: Frederick O. Terrell | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 12 | Election of Director: Alfred W. "Al" Zollar | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| THE BANK OF NEW YORK MELLON CORPORATION | BK | 064058100 | 13-Apr-2021 | Annual | 13 | Advisory resolution to approve the 2020 compensation of our named executive officers. | Management | F | 03-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 10 | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2021. | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 9 | PROPOSAL TO APPROVE AMENDMENTS TO THE COMPANY'S ARTICLES OF INCORPORATION AND BYLAWS TO REPLACE THE SUPERMAJORITY VOTING REQUIREMENTS. | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 8 | PROPOSAL TO APPROVE AN AMENDMENT TO THE COMPANY'S ARTICLES OF INCORPORATION TO PROVIDE FOR THE ANNUAL ELECTION OF DIRECTORS. | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 1 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: STEVEN A. DAVIS | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 2 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: MICHAEL W. LAMACH | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 3 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: MICHAEL T. NALLY | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 4 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: GUILLERMO NOVO | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 5 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: MARTIN H. RICHENHAGEN | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 6 | ELECTION OF DIRECTOR FOR THE TERM ENDING 2024: CATHERINE R. SMITH | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 11 | SHAREHOLDER PROPOSAL TO ADOPT A POLICY REQUIRING AN INDEPENDENT BOARD CHAIRMAN, IF PROPERLY PRESENTED. | Shareholder | N | 05-Mar-2021 | N | EQUITY SKEW ETF |
| PPG INDUSTRIES, INC. | PPG | 693506107 | 15-Apr-2021 | Annual | 7 | APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS ON AN ADVISORY BASIS. | Management | F | 05-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 13 | Additional Report on Lobbying Activities. | Shareholder | N | 10-Mar-2021 | N | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 12 | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2021. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 14 | Written Consent. | Shareholder | N | 10-Mar-2021 | N | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 1 | Election of Director: Robert A. Bradway | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 2 | Election of Director: David L. Calhoun | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 3 | Election of Director: Lynne M. Doughtie | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 4 | Election of Director: Edmund P. Giambastiani Jr. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 5 | Election of Director: Lynn J. Good | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 6 | Election of Director: Akhil Johri | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 7 | Election of Director: Lawrence W. Kellner | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 8 | Election of Director: Steven M. Mollenkopf | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 9 | Election of Director: John M. Richardson | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 10 | Election of Director: Ronald A. Williams | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| THE BOEING COMPANY | BA | 097023105 | 20-Apr-2021 | Annual | 11 | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 23 | Shareholder proposal requesting a racial equity audit. | Shareholder | N | 09-Mar-2021 | N | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 18 | Ratifying the appointment of our independent registered public accounting firm for 2021. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 19 | Amending and restating the Bank of America Corporation Key Employee Equity Plan. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 20 | Shareholder proposal requesting amendments to our proxy access by law. | Shareholder | N | 09-Mar-2021 | N | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 21 | Shareholder proposal requesting amendments to allow shareholders to act by written consent. | Shareholder | N | 09-Mar-2021 | N | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 22 | Shareholder proposal requesting a change in organizational form. | Shareholder | N | 09-Mar-2021 | N | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 1 | Election of Director: Sharon L. Allen | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 2 | Election of Director: Susan S. Bies | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 3 | Election of Director: Frank P. Bramble, Sr. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 4 | Election of Director: Pierre J.P. de Weck | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 5 | Election of Director: Arnold W. Donald | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 6 | Election of Director: Linda P. Hudson | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 7 | Election of Director: Monica C. Lozano | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 8 | Election of Director: Thomas J. May | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 9 | Election of Director: Brian T. Moynihan | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 10 | Election of Director: Lionel L. Nowell III | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 11 | Election of Director: Denise L. Ramos | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 12 | Election of Director: Clayton S. Rose | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 13 | Election of Director: Michael D. White | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 14 | Election of Director: Thomas D. Woods | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 15 | Election of Director: R. David Yost | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 16 | Election of Director: Maria T. Zuber | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| BANK OF AMERICA CORPORATION | BAC | 060505104 | 20-Apr-2021 | Annual | 17 | Approving our executive compensation (an advisory, nonbinding "Say on Pay" resolution). | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 15 | Shareowner proposal on sugar and public health. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 14 | Ratification of the appointment of Ernst & Young LLP as Independent Auditors. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 1 | Election of Director: Herbert A. Allen | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 2 | Election of Director: Marc Bolland | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 3 | Election of Director: Ana Botín | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 4 | Election of Director: Christopher C. Davis | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 5 | Election of Director: Barry Diller | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 6 | Election of Director: Helene D. Gayle | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 7 | Election of Director: Alexis M. Herman | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 8 | Election of Director: Robert A. Kotick | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 9 | Election of Director: Maria Elena Lagomasino | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 10 | Election of Director: James Quincey | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 11 | Election of Director: Caroline J. Tsay | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 12 | Election of Director: David B. Weinberg | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| THE COCA-COLA COMPANY | KO | 191216100 | 20-Apr-2021 | Annual | 13 | Advisory vote to approve executive compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 13 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 1 | Election of Director: Nicholas K. Akins | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 2 | Election of Director: David J. Anderson | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 3 | Election of Director: J. Barnie Beasley, Jr. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 4 | Election of Director: Art A. Garcia | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 5 | Election of Director: Linda A. Goodspeed | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 6 | Election of Director: Thomas E. Hoaglin | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 7 | Election of Director: Sandra Beach Lin | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 8 | Election of Director: Margaret M. McCarthy | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 9 | Election of Director: Stephen S. Rasmussen | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 10 | Election of Director: Oliver G. Richard III | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 11 | Election of Director: Daryl Roberts | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 12 | Election of Director: Sara Martinez Tucker | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN ELECTRIC POWER COMPANY, INC. | AEP | 025537101 | 20-Apr-2021 | Annual | 14 | Advisory approval of the Company's executive compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 14 | The ratification of the selection of Ernst & Young LLP as our independent auditor for the 2021 fiscal year. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 1 | Election of Director: Warner L. Baxter | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 2 | Election of Director: Dorothy J. Bridges | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 3 | Election of Director: Elizabeth L. Buse | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 4 | Election of Director: Andrew Cecere | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 5 | Election of Director: Kimberly N. Ellison-Taylor | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 6 | Election of Director: Kimberly J. Harris | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 7 | Election of Director: Roland A. Hernandez | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 8 | Election of Director: Olivia F. Kirtley | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 9 | Election of Director: Karen S. Lynch | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 10 | Election of Director: Richard P. McKenney | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 11 | Election of Director: Yusuf I. Mehdi | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 12 | Election of Director: John P. Wiehoff | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 13 | Election of Director: Scott W. Wine | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| U.S. BANCORP | USB | 902973304 | 20-Apr-2021 | Annual | 15 | An advisory vote to approve the compensation of our executives disclosed in the proxy statement. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 12 | Ratification of the appointment of Deloitte & Touche LLP as Independent Auditor for the year 2021. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 1 | Election of Director: Ralph Izzo | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 2 | Election of Director: Shirley Ann Jackson | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 3 | Election of Director: Willie A. Deese | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 4 | Election of Director: David Lilley | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 5 | Election of Director: Barry H. Ostrowsky | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 6 | Election of Director: Scott G. Stephenson | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 7 | Election of Director: Laura A. Sugg | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 8 | Election of Director: John P. Surma | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 9 | Election of Director: Susan Tomasky | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 10 | Election of Director: Alfred W. Zollar | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 13 | Approval of the 2021 Equity Compensation Plan for Outside Directors. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 14 | Approval of the 2021 Long-Term Incentive Plan. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| PUBLIC SERVICE ENTERPRISE GROUP INC. | PEG | 744573106 | 20-Apr-2021 | Annual | 11 | Advisory vote on the approval of executive compensation. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 13 | The ratification of appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 1 | Election of Director: Craig H. Barratt, Ph.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 2 | Election of Director: Joseph C. Beery | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 3 | Election of Director: Gary S. Guthart, Ph.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 4 | Election of Director: Amal M. Johnson | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 5 | Election of Director: Don R. Kania, Ph.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 6 | Election of Director: Amy L. Ladd, M.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 7 | Election of Director: Keith R. Leonard, Jr. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 8 | Election of Director: Alan J. Levy, Ph.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 9 | Election of Director: Jami Dover Nachtsheim | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 10 | Election of Director: Monica P. Reed, M.D. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 11 | Election of Director: Mark J. Rubash | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 14 | To approve the Company's Amended and Restated 2010 Incentive Award Plan. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| INTUITIVE SURGICAL, INC. | ISRG | 46120E602 | 22-Apr-2021 | Annual | 12 | To approve, by advisory vote, the compensation of the Company's Named Executive Officers. | Management | F | 13-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 13 | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 14 | Stockholder proposal to permit shareholder action by written consent. | Shareholder | N | 10-Mar-2021 | N | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 1 | Election of Director: Mark A. Blinn | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 2 | Election of Director: Todd M. Bluedorn | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 3 | Election of Director: Janet F. Clark | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 4 | Election of Director: Carrie S. Cox | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 5 | Election of Director: Martin S. Craighead | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 6 | Election of Director: Jean M. Hobby | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 7 | Election of Director: Michael D. Hsu | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 8 | Election of Director: Ronald Kirk | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 9 | Election of Director: Pamela H. Patsley | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 10 | Election of Director: Robert E. Sanchez | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 11 | Election of Director: Richard K. Templeton | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| TEXAS INSTRUMENTS INCORPORATED | TXN | 882508104 | 22-Apr-2021 | Annual | 12 | Board proposal regarding advisory approval of the Company's executive compensation. | Management | F | 10-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 17 | Shareholder proposal regarding access to COVID-19 products. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 16 | Shareholder proposal regarding political spending report. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 13 | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 1 | Election of Director: Ronald E. Blaylock | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 2 | Election of Director: Albert Bourla | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 3 | Election of Director: Susan Desmond-Hellmann | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 4 | Election of Director: Joseph J. Echevarria | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 5 | Election of Director: Scott Gottlieb | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 6 | Election of Director: Helen H. Hobbs | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 7 | Election of Director: Susan Hockfield | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 8 | Election of Director: Dan R. Littman | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 9 | Election of Director: Shantanu Narayen | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 10 | Election of Director: Suzanne Nora Johnson | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 11 | Election of Director: James Quincey | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 12 | Election of Director: James C. Smith | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 15 | Shareholder proposal regarding independent chair policy. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| PFIZER INC. | PFE | 717081103 | 22-Apr-2021 | Annual | 14 | 2021 advisory approval of executive compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 12 | Ratification of Appointment of Ernst & Young LLP as Independent Auditors for 2021. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 14 | Stockholder Proposal to Adopt Stockholder Action By Written Consent. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 1 | Election of Director: Daniel F. Akerson | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 2 | Election of Director: David B. Burritt | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 3 | Election of Director: Bruce A. Carlson | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 4 | Election of Director: Joseph F. Dunford, Jr. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 5 | Election of Director: James O. Ellis, Jr. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 6 | Election of Director: Thomas J. Falk | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 7 | Election of Director: Ilene S. Gordon | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 8 | Election of Director: Vicki A. Hollub | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 9 | Election of Director: Jeh C. Johnson | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 10 | Election of Director: Debra L. Reed-Klages | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 11 | Election of Director: James D. Taiclet | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 15 | Stockholder Proposal to issue a Report on Human Rights Due Diligence. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| LOCKHEED MARTIN CORPORATION | LMT | 539830109 | 22-Apr-2021 | Annual | 13 | Advisory Vote to Approve the Compensation of our Named Executive Officers (Say-on-Pay). | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 17 | Report on Government Financial Support and Access to COVID-19 Vaccines and Therapeutics. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 19 | Civil Rights Audit. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 16 | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2021. | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 1 | Election of Director: Mary C. Beckerle | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 2 | Election of Director: D. Scott Davis | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 3 | Election of Director: Ian E. L. Davis | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 4 | Election of Director: Jennifer A. Doudna | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 5 | Election of Director: Alex Gorsky | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 6 | Election of Director: Marillyn A. Hewson | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 7 | Election of Director: Hubert Joly | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 8 | Election of Director: Mark B. McClellan | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 9 | Election of Director: Anne M. Mulcahy | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 10 | Election of Director: Charles Prince | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 11 | Election of Director: A. Eugene Washington | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 12 | Election of Director: Mark A. Weinberger | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 13 | Election of Director: Nadja Y. West | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 14 | Election of Director: Ronald A. Williams | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 18 | Independent Board Chair. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 20 | Executive Compensation Bonus Deferral. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| JOHNSON & JOHNSON | JNJ | 478160104 | 22-Apr-2021 | Annual | 15 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 6 | Shareholder Proposal - Lobbying Disclosure. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 7 | Shareholder Proposal - Report on Racial Justice. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 1 | DIRECTOR | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 2 | Ratification of Ernst & Young LLP as Auditors. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 4 | Amendments to the Articles of Incorporation to Eliminate Statutory Supermajority Voting Standards for: Amendments to the Articles of Incorporation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 5 | Amendments to the Articles of Incorporation to Eliminate Statutory Supermajority Voting Standards for: Approval of Certain Extraordinary Transactions. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 8 | Shareholder Proposal - Independent Board Chairman. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| ABBOTT LABORATORIES | ABT | 002824100 | 23-Apr-2021 | Annual | 3 | Say on Pay - An Advisory Vote to Approve Executive Compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 16 | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2021. | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 19 | Shareowner Proposal to Amend Proxy Access Bylaw. | Shareholder | N | 18-Mar-2021 | N | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 1 | Election of Director: Tracy A. Atkinson | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 2 | Election of Director: Gregory J. Hayes | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 3 | Election of Director: Thomas A. Kennedy | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 4 | Election of Director: Marshall O. Larsen | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 5 | Election of Director: George R. Oliver | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 6 | Election of Director: Robert K. (Kelly) Ortberg | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 7 | Election of Director: Margaret L. O'Sullivan | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 8 | Election of Director: Dinesh C. Paliwal | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 9 | Election of Director: Ellen M. Pawlikowski | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 10 | Election of Director: Denise L. Ramos | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 11 | Election of Director: Fredric G. Reynolds | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 12 | Election of Director: Brian C. Rogers | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 13 | Election of Director: James A. Winnefeld, Jr. | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 14 | Election of Director: Robert O. Work | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 17 | Approve Raytheon Technologies Corporation Executive Annual Incentive Plan. | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 18 | Approve Amendment to the Raytheon Technologies Corporation 2018 Long-Term Incentive Plan. | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| RAYTHEON TECHNOLOGIES | RTX | 75513E101 | 26-Apr-2021 | Annual | 15 | Advisory Vote to Approve Executive Compensation. | Management | F | 18-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 15 | A shareholder proposal requesting a report on the impact of Exelon plans involving electric vehicles and charging stations with regard to child labor outside the United States. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 14 | Ratification of PricewaterhouseCoopers LLP as Exelon's Independent Auditor for 2021. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 1 | Election of Director: Anthony Anderson | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 2 | Election of Director: Ann Berzin | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 3 | Election of Director: Laurie Brlas | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 4 | Election of Director: Marjorie Rodgers Cheshire | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 5 | Election of Director: Christopher Crane | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 6 | Election of Director: Yves de Balmann | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 7 | Election of Director: Linda Jojo | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 8 | Election of Director: Paul Joskow | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 9 | Election of Director: Robert Lawless | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 10 | Election of Director: John Richardson | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 11 | Election of Director: Mayo Shattuck III | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 12 | Election of Director: John Young | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXELON CORPORATION | EXC | 30161N101 | 27-Apr-2021 | Annual | 13 | Advisory approval of executive compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 23 | Ratification of the appointment of PricewaterhouseCoopers LLP as Truist's independent registered public accounting firm for 2021. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 1 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Jennifer S. Banner | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 2 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: K. David Boyer, Jr. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 3 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Agnes Bundy Scanlan | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 4 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Anna R. Cablik | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 5 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Dallas S. Clement | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 6 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Paul D. Donahue | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 7 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Paul R. Garcia | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 8 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Patrick C. Graney III | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 9 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Linnie M. Haynesworth | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 10 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Kelly S. King | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 11 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Easter A. Maynard | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 12 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Donna S. Morea | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 13 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Charles A. Patton | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 14 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Nido R. Qubein | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 15 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: David M. Ratcliffe | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 16 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: William H. Rogers, Jr. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 17 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Frank P. Scruggs, Jr. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 18 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Christine Sears | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 19 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Thomas E. Skains | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 20 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Bruce L. Tanner | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 21 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Thomas N. Thompson | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 22 | Election of Director for a one-year term expiring at the 2022 Annual Meeting of Shareholders: Steven C. Voorhees | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| TRUIST FINANCIAL CORPORATION | TFC | 89832Q109 | 27-Apr-2021 | Annual | 24 | Advisory vote to approve Truist's executive compensation program. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 13 | Ratification of Appointment of Independent Registered Public Accounting Firm. | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 16 | Stockholder Proposal on the Right to Act by Written Consent. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 17 | Stockholder Proposal Requesting the Company Publish Annually a Report Assessing its Diversity, Equity and Inclusion Efforts. | Shareholder | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 1 | Election of Director for one year term: Thomas Buberl | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 2 | Election of Director for one year term: Michael L. Eskew | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 3 | Election of Director for one year term: David N. Farr | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 4 | Election of Director for one year term: Alex Gorsky | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 5 | Election of Director for one year term: Michelle J. Howard | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 6 | Election of Director for one year term: Arvind Krishna | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 7 | Election of Director for one year term: Andrew N. Liveris | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 8 | Election of Director for one year term: F. William McNabb III | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 9 | Election of Director for one year term: Martha E. Pollack | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 10 | Election of Director for one year term: Joseph R. Swedish | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 11 | Election of Director for one year term: Peter R. Voser | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 12 | Election of Director for one year term: Frederick H. Waddell | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 15 | Stockholder Proposal to Have an Independent Board Chairman. | Shareholder | N | 12-Mar-2021 | N | EQUITY SKEW ETF |
| International Business Machines Corporation | IBM | 459200101 | 27-Apr-2021 | Annual | 14 | Advisory Vote on Executive Compensation. | Management | F | 12-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 23 | Stockholder proposal requesting a report disclosing information regarding Citi's lobbying payments, policies and activities. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 17 | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2021. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 20 | Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 22 | Stockholder proposal requesting non-management employees on director nominee candidate lists. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 24 | Stockholder proposal requesting a racial equity audit analyzing Citi's adverse impacts on nonwhite stakeholders and communities of color. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 25 | Stockholder proposal requesting that the Board approve an amendment to Citi's Certificate of Incorporation to become a Public Benefit Corporation and to submit the proposed amendment to stockholders for approval. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 1 | Election of Director: Ellen M. Costello | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 2 | Election of Director: Grace E. Dailey | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 3 | Election of Director: Barbara J. Desoer | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 4 | Election of Director: John C. Dugan | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 5 | Election of Director: Jane N. Fraser | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 6 | Election of Director: Duncan P. Hennes | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 7 | Election of Director: Peter B. Henry | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 8 | Election of Director: S. Leslie Ireland | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 9 | Election of Director: Lew W. (Jay) Jacobs, IV | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 10 | Election of Director: Renée J. James | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 11 | Election of Director: Gary M. Reiner | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 12 | Election of Director: Diana L. Taylor | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 13 | Election of Director: James S. Turley | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 14 | Election of Director: Deborah C. Wright | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 15 | Election of Director: Alexander R. Wynaendts | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 16 | Election of Director: Ernesto Zedillo Ponce de Leon | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 19 | Approval of additional authorized shares under the Citigroup 2019 Stock Incentive Plan. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 21 | Stockholder proposal requesting an Independent Board Chairman. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| CITIGROUP INC. | C | 172967424 | 27-Apr-2021 | Annual | 18 | Advisory vote to approve Citi's 2020 Executive Compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 12 | Stockholder proposal regarding supermajority voting provisions if properly presented at the meeting. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 1 | Election of Director: Mark C. Pigott | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 2 | Election of Director: Dame Alison J. Carnwath | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 3 | Election of Director: Franklin L. Feder | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 4 | Election of Director: R. Preston Feight | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 5 | Election of Director: Beth E. Ford | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 6 | Election of Director: Kirk S. Hachigian | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 7 | Election of Director: Roderick C. McGeary | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 8 | Election of Director: John M. Pigott | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 9 | Election of Director: Ganesh Ramaswamy | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 10 | Election of Director: Mark A. Schulz | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| PACCAR INC | PCAR | 693718108 | 27-Apr-2021 | Annual | 11 | Election of Director: Gregory M. E. Spierkel | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 6 | RATIFICATION OF APPOINTMENT OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2021. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 9 | THE STOCKHOLDER PROPOSAL TO ELECT EACH DIRECTOR ANNUALLY AS DESCRIBED IN THE PROXY STATEMENT. | Shareholder | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 8 | APPROVAL OF THE AMENDMENT AND RESTATEMENT OF THE COMPANY'S CERTIFICATE OF INCORPORATION AS DESCRIBED IN THE PROXY STATEMENT. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 1 | Election of Director: Jessica L. Blume | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 2 | Election of Director: Frederick H. Eppinger | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 3 | Election of Director: David L. Steward | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 4 | Election of Director: William L. Trubeck | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 7 | APPROVAL OF THE AMENDMENT TO THE 2012 STOCK INCENTIVE PLAN, AS AMENDED. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| CENTENE CORPORATION | CNC | 15135B101 | 27-Apr-2021 | Annual | 5 | ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 17 | Shareholder Proposal - Report on Incentive-Based Compensation and Risks of Material Losses. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 16 | Shareholder Proposal - Amend Certificate of Incorporation to Become a Delaware Public Benefit Corporation. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 1 | Election of Director: Steven D. Black | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 2 | Election of Director: Mark A. Chancy | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 3 | Election of Director: Celeste A. Clark | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 4 | Election of Director: Theodore F. Craver, Jr. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 5 | Election of Director: Wayne M. Hewett | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 6 | Election of Director: Maria R. Morris | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 7 | Election of Director: Charles H. Noski | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 8 | Election of Director: Richard B. Payne, Jr. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 9 | Election of Director: Juan A. Pujadas | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 10 | Election of Director: Ronald L. Sargent | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 11 | Election of Director: Charles W. Scharf | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 12 | Election of Director: Suzanne M. Vautrinot | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 15 | Shareholder Proposal - Make Shareholder Proxy Access More Accessible. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 18 | Shareholder Proposal - Conduct a Racial Equity Audit. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| WELLS FARGO & COMPANY | WFC | 949746101 | 27-Apr-2021 | Annual | 13 | Advisory resolution to approve executive compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 16 | Shareholder proposal regarding report on risk management and the nuclear weapons industry. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 14 | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2021. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 1 | Election of Director: Joseph Alvarado | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 2 | Election of Director: Charles E. Bunch | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 3 | Election of Director: Debra A. Cafaro | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 4 | Election of Director: Marjorie Rodgers Cheshire | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 5 | Election of Director: David L. Cohen | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 6 | Election of Director: William S. Demchak | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 7 | Election of Director: Andrew T. Feldstein | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 8 | Election of Director: Richard J. Harshman | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 9 | Election of Director: Daniel R. Hesse | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 10 | Election of Director: Linda R. Medler | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 11 | Election of Director: Martin Pfinsgraff | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 12 | Election of Director: Toni Townes-Whitley | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 13 | Election of Director: Michael J. Ward | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| THE PNC FINANCIAL SERVICES GROUP, INC. | PNC | 693475105 | 27-Apr-2021 | Annual | 15 | Advisory vote to approve named executive officer compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 17 | Shareholder proposal - Gender pay gap report. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 15 | Ratification of the appointment of PricewaterhouseCoopers LLP as Cigna's independent registered public accounting firm for 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 16 | Shareholder proposal - Shareholder right to act by written consent. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 18 | Shareholder proposal - Board ideology disclosure policy. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 1 | Election of Director: David M. Cordani | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 2 | Election of Director: William J. DeLaney | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 3 | Election of Director: Eric J. Foss | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 4 | Election of Director: Elder Granger, MD, MG, USA (Retired) | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 5 | Election of Director: Isaiah Harris, Jr. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 6 | Election of Director: George Kurian | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 7 | Election of Director: Kathleen M. Mazzarella | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 8 | Election of Director: Mark B. McClellan, MD, PhD | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 9 | Election of Director: John M. Partridge | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 10 | Election of Director: Kimberly A. Ross | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 11 | Election of Director: Eric C. Wiseman | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 12 | Election of Director: Donna F. Zarcone | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 14 | Approval of the Amended and Restated Cigna Long-Term Incentive Plan. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| CIGNA CORPORATION | CI | 125523100 | 28-Apr-2021 | Annual | 13 | Advisory approval of Cigna's executive compensation. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 18 | Annual Report on Plastic Pollution. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 14 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 16 | Right to Act by Written Consent. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 15 | Amendment and Restatement of the Company's Certificate of Incorporation to Decrease the Ownership Threshold for Stockholders to Call a Special Meeting. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 1 | Election of Director: Amy G. Brady | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 2 | Election of Director: Edward D. Breen | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 3 | Election of Director: Ruby R. Chandy | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 4 | Election of Director: Franklin K. Clyburn, Jr. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 5 | Election of Director: Terrence R. Curtin | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 6 | Election of Director: Alexander M. Cutler | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 7 | Election of Director: Eleuthère I. du Pont | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 8 | Election of Director: Luther C. Kissam | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 9 | Election of Director: Frederick M. Lowery | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 10 | Election of Director: Raymond J. Milchovich | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 11 | Election of Director: Deanna M. Mulligan | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 12 | Election of Director: Steven M. Sterin | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 17 | Annual Disclosure of EEO-1 Data. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| DUPONT DE NEMOURS INC | DD | 26614N102 | 28-Apr-2021 | Annual | 13 | Advisory Resolution to Approve Executive Compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 10 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 12 | Stockholder proposal, if properly presented at the meeting, requesting that the Board of Directors take the steps necessary to allow stockholders to act by written consent. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 1 | Election of Director: Thomas F. Frist III | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 2 | Election of Director: Samuel N. Hazen | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 3 | Election of Director: Meg G. Crofton | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 4 | Election of Director: Robert J. Dennis | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 5 | Election of Director: Nancy-Ann DeParle | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 6 | Election of Director: William R. Frist | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 7 | Election of Director: Charles O. Holliday, Jr | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 8 | Election of Director: Michael W. Michelson | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 9 | Election of Director: Wayne J. Riley, M.D. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 13 | Stockholder proposal, if properly presented at the meeting, requesting a report on the feasibility of increasing the impact of quality metrics on executive compensation. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| HCA HEALTHCARE, INC. | HCA | 40412C101 | 28-Apr-2021 | Annual | 11 | Advisory vote to approve named executive officer compensation. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 5 | Ratification of the selection of PricewaterhouseCoopers LLP as the company's independent auditor for 2021. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 8 | Approval of an amendment to the company's Restated Certificate of Incorporation to eliminate the supermajority provisions. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 9 | Approval of an amendment to the company's Restated Certificate of Incorporation to declassify the Board of Directors. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 10 | Shareholder proposal seeking to prohibit accelerated vesting of equity awards in connection with a change in control. | Shareholder | N | 16-Mar-2021 | N | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 1 | Election of Class I Director: Abdulaziz F. Alkhayyal | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 2 | Election of Class I Director: Jonathan Z. Cohen | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 3 | Election of Class I Director: Michael J. Hennigan | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 4 | Election of Class I Director: Frank M. Semple | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 7 | Approval of the Marathon Petroleum Corporation 2021 Incentive Compensation Plan. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| MARATHON PETROLEUM CORPORATION | MPC | 56585A102 | 28-Apr-2021 | Annual | 6 | Approval, on an advisory basis, of the company's named executive officer compensation. | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 18 | Shareholder Proposal Regarding Conversion to a Public Benefit Corporation. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 15 | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 16 | Shareholder Proposal Regarding Shareholder Right to Act by Written Consent. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 17 | Shareholder Proposal Regarding a Report on the Effects of the Use of Mandatory Arbitration. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 1 | Election of Director: M. Michele Burns | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 2 | Election of Director: Drew G. Faust | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 3 | Election of Director: Mark A. Flaherty | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 4 | Election of Director: Ellen J. Kullman | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 5 | Election of Director: Lakshmi N. Mittal | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 6 | Election of Director: Adebayo O. Ogunlesi | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 7 | Election of Director: Peter Oppenheimer | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 8 | Election of Director: David M. Solomon | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 9 | Election of Director: Jan E. Tighe | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 10 | Election of Director: Jessica R. Uhl | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 11 | Election of Director: David A. Viniar | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 12 | Election of Director: Mark O. Winkelman | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 14 | Approval of The Goldman Sachs Amended and Restated Stock Incentive Plan (2021). | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 19 | Shareholder Proposal Regarding a Racial Equity Audit | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| THE GOLDMAN SACHS GROUP, INC. | GS | 38141G104 | 29-Apr-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation (Say on Pay). | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 13 | Ratification of the Appointment of KPMG LLP as the Company's Independent Registered Public Accounting Firm for the Year 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 1 | Election of Director: Hamid R. Moghadam | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 2 | Election of Director: Cristina G. Bita | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 3 | Election of Director: George L. Fotiades | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 4 | Election of Director: Lydia H. Kennard | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 5 | Election of Director: Irving F. Lyons III | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 6 | Election of Director: Avid Modjtabai | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 7 | Election of Director: David P. O'Connor | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 8 | Election of Director: Olivier Piani | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 9 | Election of Director: Jeffrey L. Skelton | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 10 | Election of Director: Carl B. Webb | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 11 | Election of Director: William D. Zollars | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| PROLOGIS, INC. | PLD | 74340W103 | 29-Apr-2021 | Annual | 12 | Advisory Vote to Approve the Company's Executive Compensation for 2020. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 12 | Ratification of Auditor. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 17 | Stockholder Proposal Regarding Right to Act by Written Consent. | Shareholder | N | 09-Mar-2021 | N | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 1 | Election of Director: John W. Culver | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 2 | Election of Director: Robert W. Decherd | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 3 | Election of Director: Michael D. Hsu | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 4 | Election of Director: Mae C. Jemison, M.D. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 5 | Election of Director: S. Todd Maclin | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 6 | Election of Director: Sherilyn S. McCoy | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 7 | Election of Director: Christa S. Quarles | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 8 | Election of Director: Ian C. Read | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 9 | Election of Director: Dunia A. Shive | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 10 | Election of Director: Mark T. Smucker | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 11 | Election of Director: Michael D. White | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 16 | Reduce Ownership Threshold required to call a Special Meeting of Stockholders. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 14 | Approval of 2021 Equity Participation Plan. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 15 | Approval of 2021 Outside Directors' Compensation Plan. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| KIMBERLY-CLARK CORPORATION | KMB | 494368103 | 29-Apr-2021 | Annual | 13 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 09-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 14 | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 15 | Advisory vote on shareholder proposal regarding shareholder right to act by written consent. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 1 | Election of Director: F. Thaddeus Arroyo | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 2 | Election of Director: Robert H.B. Baldwin, Jr. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 3 | Election of Director: John G. Bruno | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 4 | Election of Director: Kriss Cloninger III | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 5 | Election of Director: William I Jacobs | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 6 | Election of Director: Joia M. Johnson | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 7 | Election of Director: Ruth Ann Marshall | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 8 | Election of Director: Connie D. McDaniel | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 9 | Election of Director: William B. Plummer | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 10 | Election of Director: Jeffrey S. Sloan | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 11 | Election of Director: John T. Turner | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 12 | Election of Director: M. Troy Woods | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| GLOBAL PAYMENTS INC. | GPN | 37940X102 | 29-Apr-2021 | Annual | 13 | Approval, on an advisory basis, of the compensation of our named executive officers for 2020. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 10 | To ratify the appointment by the Audit Committee of the Board of Directors of Deloitte & Touche LLP, independent registered public accounting firm, as auditors for the Company for the year ending December 31, 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 1 | Election of Director to hold office until the 2022 annual meeting: Janet F. Clark | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 2 | Election of Director to hold office until the 2022 annual meeting: Charles R. Crisp | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 3 | Election of Director to hold office until the 2022 annual meeting: Robert P. Daniels | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 4 | Election of Director to hold office until the 2022 annual meeting: James C. Day | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 5 | Election of Director to hold office until the 2022 annual meeting: C. Christopher Gaut | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 6 | Election of Director to hold office until the 2022 annual meeting: Michael T. Kerr | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 7 | Election of Director to hold office until the 2022 annual meeting: Julie J. Robertson | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 8 | Election of Director to hold office until the 2022 annual meeting: Donald F. Textor | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 9 | Election of Director to hold office until the 2022 annual meeting: William R. Thomas | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 11 | To approve the EOG Resources, Inc. 2021 Omnibus Equity Compensation Plan. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EOG RESOURCES, INC. | EOG | 26875P101 | 29-Apr-2021 | Annual | 12 | To approve, by non-binding vote, the compensation of the Company's named executive officers. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 13 | Ratification of appointment of independent auditors. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 15 | Stockholder Right to Act by Written Consent. | Shareholder | N | 14-Mar-2021 | N | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 1 | Election of Director: William E. Kennard | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 2 | Election of Director: Samuel A. Di Piazza, Jr. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 3 | Election of Director: Scott T. Ford | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 4 | Election of Director: Glenn H. Hutchins | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 5 | Election of Director: Debra L. Lee | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 6 | Election of Director: Stephen J. Luczo | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 7 | Election of Director: Michael B. McCallister | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 8 | Election of Director: Beth E. Mooney | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 9 | Election of Director: Matthew K. Rose | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 10 | Election of Director: John T. Stankey | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 11 | Election of Director: Cynthia B. Taylor | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 12 | Election of Director: Geoffrey Y. Yang | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| AT&T INC. | T | 00206R102 | 30-Apr-2021 | Annual | 14 | Advisory approval of executive compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 3 | Shareholder proposal regarding diversity and inclusion reporting. | Shareholder | N | 16-Mar-2021 | N | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 2 | Shareholder proposal regarding the reporting of climate-related risks and opportunities. | Shareholder | N | 16-Mar-2021 | N | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| BERKSHIRE HATHAWAY INC. | BRKB | 084670702 | 01-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 12 | Shareholder proposal to implement a bonus deferral policy. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 10 | Shareholder proposal to disclose direct and indirect lobbying activities and expenditures. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 7 | Ratification of the appointment of Ernst & Young LLP as the independent auditor for 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 9 | Approval of amendments to the company's Articles of Incorporation to eliminate supermajority voting provisions. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 8 | Approval of amendments to the company's Articles of Incorporation to eliminate the classified board structure. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 1 | Election of Director to serve a three year term: K. Baicker, Ph.D. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 2 | Election of Director to serve a three year term: J.E. Fyrwald | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 3 | Election of Director to serve a three year term: J. Jackson | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 4 | Election of Director to serve a three year term: G. Sulzberger | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 5 | Election of Director to serve a three year term: J.P. Tai | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 11 | Shareholder proposal to amend the bylaws to require an independent board chair. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 13 | Shareholder proposal to disclose clawbacks on executive incentive compensation due to misconduct. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| ELI LILLY AND COMPANY | LLY | 532457108 | 03-May-2021 | Annual | 6 | Approval, on an advisory basis, of the compensation paid to the company's named executive officers. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 13 | to consider and act upon the ratification of the appointment of KPMG LLP as independent registered public accounting firm of the Company for the year ending December 31, 2021. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 1 | Election of Director to serve until the next Annual Meeting: Daniel P. Amos | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 2 | Election of Director to serve until the next Annual Meeting: W. Paul Bowers | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 3 | Election of Director to serve until the next Annual Meeting: Toshihiko Fukuzawa | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 4 | Election of Director to serve until the next Annual Meeting: Thomas J. Kenny | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 5 | Election of Director to serve until the next Annual Meeting: Georgette D. Kiser | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 6 | Election of Director to serve until the next Annual Meeting: Karole F. Lloyd | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 7 | Election of Director to serve until the next Annual Meeting: Nobuchika Mori | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 8 | Election of Director to serve until the next Annual Meeting: Joseph L. Moskowitz | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 9 | Election of Director to serve until the next Annual Meeting: Barbara K. Rimer, DrPH | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 10 | Election of Director to serve until the next Annual Meeting: Katherine T. Rohrer | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 11 | Election of Director to serve until the next Annual Meeting: Melvin T. Stith | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| AFLAC INCORPORATED | AFL | 001055102 | 03-May-2021 | Annual | 12 | to consider the following non-binding advisory proposal: "Resolved, on an advisory basis, the shareholders of Aflac Incorporated approve the compensation of the named executive officers, as disclosed pursuant to the compensation disclosure rules of the Securities and Exchange Commission, including the Compensation Discussion and Analysis and accompanying tables and narrative in the Notice of 2021 Annual Meeting of Shareholders and Proxy Statement". | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 17 | Shareholder Proposal to Lower the Ownership Threshold for Special Shareholder Meetings to 10%. | Shareholder | N | 26-Mar-2021 | N | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 13 | Ratification of the Appointment of an Independent Registered Public Accounting Firm. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 16 | Shareholder Proposal on Shareholder Right to Act by Written Consent. | Shareholder | N | 26-Mar-2021 | N | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 14 | Approval of an Amendment to the Certificate of Incorporation to Lower the Ownership Threshold for Special Shareholder Meetings to 15%. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 1 | Election of Director: Peter J. Arduini | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 2 | Election of Director: Michael W. Bonney | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 3 | Election of Director: Giovanni Caforio, M.D. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 4 | Election of Director: Julia A. Haller, M.D. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 5 | Election of Director: Paula A. Price | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 6 | Election of Director: Derica W. Rice | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 7 | Election of Director: Theodore R. Samuels | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 8 | Election of Director: Gerald L. Storch | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 9 | Election of Director: Karen Vousden, Ph.D. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 10 | Election of Director: Phyllis R. Yale | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 12 | Approval of the Company's 2021 Stock Award and Incentive Plan. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 15 | Shareholder Proposal on Adoption of a Board Policy that the Chairperson of the Board be an Independent Director. | Shareholder | N | 26-Mar-2021 | N | EQUITY SKEW ETF |
| BRISTOL-MYERS SQUIBB COMPANY | BMY | 110122108 | 04-May-2021 | Annual | 11 | Advisory Vote to Approve the Compensation of our Named Executive Officers. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 13 | Ratification of Deloitte as Independent Auditor for 2021. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 14 | Approval of Reverse Stock Split and Reduction in our Authorized Stock and Par Value. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 15 | Require Nomination of at Least Two Candidates for Each Board Seat. | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 17 | Report on Meeting the Criteria of the Net Zero Indicator. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 1 | Election of Director: Sébastien Bazin | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 2 | Election of Director: Ashton Carter | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 3 | Election of Director: H. Lawrence Culp, Jr. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 4 | Election of Director: Francisco D'Souza | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 5 | Election of Director: Edward Garden | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 6 | Election of Director: Thomas Horton | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 7 | Election of Director: Risa Lavizzo-Mourey | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 8 | Election of Director: Catherine Lesjak | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 9 | Election of Director: Paula Rosput Reynolds | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 10 | Election of Director: Leslie Seidman | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 11 | Election of Director: James Tisch | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 16 | Require the Chairman of the Board to be Independent. | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| GENERAL ELECTRIC COMPANY | GE | 369604103 | 04-May-2021 | Annual | 12 | Advisory Approval of Our Named Executives' Compensation. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 14 | Ratification of Appointment of Independent Registered Public Accounting Firm. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 15 | Vote to Approve the Omnibus Plan. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 17 | Stockholder Proposal - Right to Act by Written Consent. | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 16 | Vote to Approve the ESPP Amendment. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 1 | Election of Director: José (Joe) Almeida | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 2 | Election of Director: Thomas F. Chen | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 3 | Election of Director: John D. Forsyth | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 4 | Election of Director: Peter S. Hellman | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 5 | Election of Director: Michael F. Mahoney | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 6 | Election of Director: Patricia B. Morrison | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 7 | Election of Director: Stephen N. Oesterle | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 8 | Election of Director: Cathy R. Smith | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 9 | Election of Director: Thomas T. Stallkamp | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 10 | Election of Director: Albert P.L. Stroucken | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 11 | Election of Director: Amy A. Wendell | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 12 | Election of Director: David S. Wilkes | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 18 | Stockholder Proposal - Independent Board Chairman. | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| BAXTER INTERNATIONAL INC. | BAX | 071813109 | 04-May-2021 | Annual | 13 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 19 | Shareholder proposal relating to annual report on diversity. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 16 | Ratification of appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for 2021. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 18 | Shareholder proposal relating to action by written consent. | Shareholder | N | 21-Mar-2021 | N | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 1 | Election of Director for a term of one year: Thomas J. Baltimore | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 2 | Election of Director for a term of one year: Charlene Barshefsky | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 3 | Election of Director for a term of one year: John J. Brennan | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 4 | Election of Director for a term of one year: Peter Chernin | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 5 | Election of Director for a term of one year: Ralph de la Vega | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 6 | Election of Director for a term of one year: Michael O. Leavitt | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 7 | Election of Director for a term of one year: Theodore J. Leonsis | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 8 | Election of Director for a term of one year: Karen L. Parkhill | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 9 | Election of Director for a term of one year: Charles E. Phillips | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 10 | Election of Director for a term of one year: Lynn A. Pike | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 11 | Election of Director for a term of one year: Stephen J. Squeri | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 12 | Election of Director for a term of one year: Daniel L. Vasella | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 13 | Election of Director for a term of one year: Lisa W. Wardell | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 14 | Election of Director for a term of one year: Ronald A. Williams | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 15 | Election of Director for a term of one year: Christopher D. Young | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN EXPRESS COMPANY | AXP | 025816109 | 04-May-2021 | Annual | 17 | Approval, on an advisory basis, of the Company's executive compensation. | Management | F | 21-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 13 | Ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for 2021. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 1 | Election of Trustee: Cotton M. Cleveland | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 2 | Election of Trustee: James S. DiStasio | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 3 | Election of Trustee: Francis A. Doyle | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 4 | Election of Trustee: Linda Dorcena Forry | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 5 | Election of Trustee: Gregory M. Jones | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 6 | Election of Trustee: James J. Judge | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 7 | Election of Trustee: John Y. Kim | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 8 | Election of Trustee: Kenneth R. Leibler | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 9 | Election of Trustee: David H. Long | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 10 | Election of Trustee: William C. Van Faasen | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 11 | Election of Trustee: Frederica M. Williams | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| EVERSOURCE ENERGY | ES | 30040W108 | 05-May-2021 | Annual | 12 | Consider an advisory proposal approving the compensation of our Named Executive Officers. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 13 | Advisory Vote on the Selection of Independent Auditors. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 15 | Shareholder Proposal to reduce the ownership threshold required to call a Special Shareholder meeting. | Shareholder | N | 26-Mar-2021 | N | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 1 | Election of Director: James S. Crown | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 2 | Election of Director: Rudy F. deLeon | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 3 | Election of Director: Cecil D. Haney | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 4 | Election of Director: Mark M. Malcolm | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 5 | Election of Director: James N. Mattis | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 6 | Election of Director: Phebe N. Novakovic | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 7 | Election of Director: C. Howard Nye | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 8 | Election of Director: Catherine B. Reynolds | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 9 | Election of Director: Laura J. Schumacher | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 10 | Election of Director: Robert K. Steel | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 11 | Election of Director: John G. Stratton | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 12 | Election of Director: Peter A. Wall | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| GENERAL DYNAMICS CORPORATION | GD | 369550108 | 05-May-2021 | Annual | 14 | Advisory Vote to approve Executive Compensation. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 14 | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 1 | Election of Director: Jeffrey S. Aronin | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 2 | Election of Director: Mary K. Bush | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 3 | Election of Director: Gregory C. Case | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 4 | Election of Director: Candace H. Duncan | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 5 | Election of Director: Joseph F. Eazor | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 6 | Election of Director: Cynthia A. Glassman | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 7 | Election of Director: Roger C. Hochschild | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 8 | Election of Director: Thomas G. Maheras | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 9 | Election of Director: Michael H. Moskow | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 10 | Election of Director: David L. Rawlinson II | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 11 | Election of Director: Mark A. Thierer | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 12 | Election of Director: Jennifer L. Wong | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| DISCOVER FINANCIAL SERVICES | DFS | 254709108 | 05-May-2021 | Annual | 13 | Advisory vote to approve named executive officer compensation. | Management | F | 14-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 11 | Ratification of Appointment of our Independent Registered Public Accounting Firm. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 13 | Shareholder Proposal Regarding Workforce Involvement in Corporate Governance. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 14 | Shareholder Proposal Regarding Right to Call Special Meetings | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 1 | Election of Director: Mary K. Brainerd | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 2 | Election of Director: Giovanni Caforio, M.D. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 3 | Election of Director: Srikant M. Datar, Ph.D. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 4 | Election of Director: Allan C. Golston (Lead Independent Director) | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 5 | Election of Director: Kevin A. Lobo (Chair of the Board and Chief Executive Officer) | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 6 | Election of Director: Sherilyn S. McCoy | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 7 | Election of Director: Andrew K. Silvernail | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 8 | Election of Director: Lisa M. Skeete Tatum | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 9 | Election of Director: Ronda E. Stryker | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 10 | Election of Director: Rajeev Suri | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STRYKER CORPORATION | SYK | 863667101 | 05-May-2021 | Annual | 12 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 13 | To ratify the selection of Ernst & Young LLP as Danaher's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 15 | To act upon a shareholder proposal requesting that Danaher amend its governing documents to reduce the percentage of shares required for shareholders to call a special meeting of shareholders from 25% to 10%. | Shareholder | N | 26-Mar-2021 | N | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 1 | Election of Director to hold office until the 2022 Annual Meeting: Rainer M. Blair | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 2 | Election of Director to hold office until the 2022 Annual Meeting: Linda Hefner Filler | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 3 | Election of Director to hold office until the 2022 Annual Meeting: Teri List | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 4 | Election of Director to hold office until the 2022 Annual Meeting: Walter G. Lohr, Jr. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 5 | Election of Director to hold office until the 2022 Annual Meeting: Jessica L. Mega, MD | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 6 | Election of Director to hold office until the 2022 Annual Meeting: Mitchell P. Rales | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 7 | Election of Director to hold office until the 2022 Annual Meeting: Steven M. Rales | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 8 | Election of Director to hold office until the 2022 Annual Meeting: Pardis C. Sabeti, MD | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 9 | Election of Director to hold office until the 2022 Annual Meeting: John T. Schwieters | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 10 | Election of Director to hold office until the 2022 Annual Meeting: Alan G. Spoon | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 11 | Election of Director to hold office until the 2022 Annual Meeting: Raymond C. Stevens, Ph.D | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 12 | Election of Director to hold office until the 2022 Annual Meeting: Elias A. Zerhouni, MD | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| DANAHER CORPORATION | DHR | 235851102 | 05-May-2021 | Annual | 14 | To approve on an advisory basis the Company's named executive officer compensation. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 15 | Ratification of the Selection of Independent Auditors. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 1 | Election of Director: Brant Bonin Bough | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 2 | Election of Director: André Calantzopoulos | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 3 | Election of Director: Michel Combes | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 4 | Election of Director: Juan José Daboub | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 5 | Election of Director: Werner Geissler | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 6 | Election of Director: Lisa A. Hook | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 7 | Election of Director: Jun Makihara | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 8 | Election of Director: Kalpana Morparia | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 9 | Election of Director: Lucio A. Noto | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 10 | Election of Director: Jacek Olczak | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 11 | Election of Director: Frederik Paulsen | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 12 | Election of Director: Robert B. Polet | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 13 | Election of Director: Shlomo Yanai | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PHILIP MORRIS INTERNATIONAL INC. | PM | 718172109 | 05-May-2021 | Annual | 14 | Advisory Vote Approving Executive Compensation. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 16 | Shareholder Proposal - Special Shareholder Meeting Vote Threshold. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 17 | Shareholder Proposal - Report on Sugar and Public Health. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 18 | Shareholder Proposal - Report on External Public Health Costs. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2021. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 1 | Election of Director: Segun Agbaje | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 2 | Election of Director: Shona L. Brown | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 3 | Election of Director: Cesar Conde | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 4 | Election of Director: Ian Cook | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 5 | Election of Director: Dina Dublon | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 6 | Election of Director: Michelle Gass | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 7 | Election of Director: Ramon L. Laguarta | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 8 | Election of Director: Dave Lewis | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 9 | Election of Director: David C. Page | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 10 | Election of Director: Robert C. Pohlad | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 11 | Election of Director: Daniel Vasella | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 12 | Election of Director: Darren Walker | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 13 | Election of Director: Alberto Weisser | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| PEPSICO, INC. | PEP | 713448108 | 05-May-2021 | Annual | 15 | Advisory approval of the Company's executive compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 15 | Shareholder Proposal Regarding a Report on Lobbying. | Shareholder | N | 28-Mar-2021 | N | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 14 | Ratification of Appointment of Independent Auditor. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 17 | Shareholder Proposal Regarding Proxy Access Shareholder Aggregation. | Shareholder | N | 28-Mar-2021 | N | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 1 | Election of Director: James A. Bennett | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 2 | Election of Director: Robert M. Blue | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 3 | Election of Director: Helen E. Dragas | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 4 | Election of Director: James O. Ellis, Jr. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 5 | Election of Director: D. Maybank Hagood | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 6 | Election of Director: Ronald W. Jibson | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 7 | Election of Director: Mark J. Kington | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 8 | Election of Director: Joseph M. Rigby | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 9 | Election of Director: Pamela J. Royal, M.D. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 10 | Election of Director: Robert H. Spilman, Jr. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 11 | Election of Director: Susan N. Story | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 12 | Election of Director: Michael E. Szymanczyk | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 16 | Shareholder Proposal Regarding a Policy to Require an Independent Chair. | Shareholder | N | 28-Mar-2021 | N | EQUITY SKEW ETF |
| DOMINION ENERGY, INC. | D | 25746U109 | 05-May-2021 | Annual | 13 | Advisory Vote on Approval of Executive Compensation (Say on Pay). | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 18 | Ratification of the appointment of Ernst & Young as our independent registered public accounting firm for 2021. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 1 | Election of Equity Director: Terrence A. Duffy | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 2 | Election of Equity Director: Timothy S. Bitsberger | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 3 | Election of Equity Director: Charles P. Carey | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 4 | Election of Equity Director: Dennis H. Chookaszian | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 5 | Election of Equity Director: Bryan T. Durkin | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 6 | Election of Equity Director: Ana Dutra | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 7 | Election of Equity Director: Martin J. Gepsman | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 8 | Election of Equity Director: Larry G. Gerdes | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 9 | Election of Equity Director: Daniel R. Glickman | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 10 | Election of Equity Director: Daniel G. Kaye | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 11 | Election of Equity Director: Phyllis M. Lockett | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 12 | Election of Equity Director: Deborah J. Lucas | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 13 | Election of Equity Director: Terry L. Savage | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 14 | Election of Equity Director: Rahael Seifu | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 15 | Election of Equity Director: William R. Shepard | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 16 | Election of Equity Director: Howard J. Siegel | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 17 | Election of Equity Director: Dennis A. Suskind | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| CME GROUP INC. | CME | 12572Q105 | 05-May-2021 | Annual | 19 | Advisory vote on the compensation of our named executive officers. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 14 | Ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm for the current year ending December 31, 2021. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 16 | Stockholder proposal regarding proxy access, if properly presented. | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 1 | Election of Director: Douglas M. Baker, Jr. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 2 | Election of Director: Shari L. Ballard | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 3 | Election of Director: Barbara J. Beck | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 4 | Election of Director: Christophe Beck | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 5 | Election of Director: Jeffrey M. Ettinger | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 6 | Election of Director: Arthur J. Higgins | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 7 | Election of Director: Michael Larson | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 8 | Election of Director: David W. MacLennan | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 9 | Election of Director: Tracy B. McKibben | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 10 | Election of Director: Lionel L. Nowell, III | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 11 | Election of Director: Victoria J. Reich | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 12 | Election of Director: Suzanne M. Vautrinot | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 13 | Election of Director: John J. Zillmer | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| ECOLAB INC. | ECL | 278865100 | 06-May-2021 | Annual | 15 | Advisory vote to approve the compensation of executives disclosed in the Proxy Statement. | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 6 | Shareholder proposal regarding providing a semiannual report on Duke Energy's political contributions and expenditures | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 1 | DIRECTOR | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 2 | Ratification of Deloitte & Touche LLP as Duke Energy's independent registered public accounting firm for 2021 | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 4 | Amendment to the Amended and Restated Certificate of Incorporation of Duke Energy Corporation to eliminate supermajority requirements | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 5 | Shareholder proposal regarding independent board chair | Shareholder | N | 24-Mar-2021 | N | EQUITY SKEW ETF |
| DUKE ENERGY CORPORATION | DUK | 26441C204 | 06-May-2021 | Annual | 3 | Advisory vote to approve Duke Energy's named executive officer compensation | Management | F | 24-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 11 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the 2021 fiscal year. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 12 | To consider and vote upon a stockholder proposal requesting a report to stockholders describing any benefits to the company related to employee participation in company governance. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 1 | Election of Director: Nelda J. Connors | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 2 | Election of Director: Charles J. Dockendorff | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 3 | Election of Director: Yoshiaki Fujimori | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 4 | Election of Director: Donna A. James | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 5 | Election of Director: Edward J. Ludwig | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 6 | Election of Director: Michael F. Mahoney | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 7 | Election of Director: David J. Roux | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 8 | Election of Director: John E. Sununu | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 9 | Election of Director: Ellen M. Zane | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| BOSTON SCIENTIFIC CORPORATION | BSX | 101137107 | 06-May-2021 | Annual | 10 | To approve, on a non-binding, advisory basis, named executive officer compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 11 | Ratification of Deloitte & Touche LLP as Independent Auditors for 2021. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 12 | Approval of the Amendment and Restatement of the WEC Energy Group Omnibus Stock Incentive Plan. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 1 | Election of Director: Curt S. Culver | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 2 | Election of Director: Danny L. Cunningham | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 3 | Election of Director: William M. Farrow III | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 4 | Election of Director: J. Kevin Fletcher | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 5 | Election of Director: Cristina A. Garcia-Thomas | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 6 | Election of Director: Maria C. Green | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 7 | Election of Director: Gale E. Klappa | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 8 | Election of Director: Thomas K. Lane | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 9 | Election of Director: Ulice Payne, Jr. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 10 | Election of Director: Mary Ellen Stanek | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| WEC ENERGY GROUP, INC. | WEC | 92939U106 | 06-May-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation of the Named Executive Officers. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 13 | Ratify the appointment of Ernst & Young LLP as independent auditors for the year ending December 31, 2021. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 15 | Stockholder Proposal Regarding Shareholder Aggregation for Proxy Access. | Shareholder | N | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 1 | Election of Director: M.S. Burke | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 2 | Election of Director: T. Colbert | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 3 | Election of Director: T.K. Crews | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 4 | Election of Director: P. Dufour | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 5 | Election of Director: D.E. Felsinger | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 6 | Election of Director: S.F. Harrison | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 7 | Election of Director: J.R. Luciano | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 8 | Election of Director: P.J. Moore | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 9 | Election of Director: F.J. Sanchez | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 10 | Election of Director: D.A. Sandler | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 11 | Election of Director: L.Z. Schlitz | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 12 | Election of Director: K.R. Westbrook | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ARCHER-DANIELS-MIDLAND COMPANY | ADM | 039483102 | 06-May-2021 | Annual | 14 | Advisory Vote on Executive Compensation. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 13 | Ratification of the selection of Ernst & Young LLP as independent registered public accounting firm of Capital One for 2021. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 1 | Election of Director: Richard D. Fairbank | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 2 | Election of Director: Ime Archibong | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 3 | Election of Director: Ann Fritz Hackett | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 4 | Election of Director: Peter Thomas Killalea | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 5 | Election of Director: Cornelis "Eli" Leenaars | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 6 | Election of Director: François Locoh-Donou | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 7 | Election of Director: Peter E. Raskind | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 8 | Election of Director: Eileen Serra | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 9 | Election of Director: Mayo A. Shattuck III | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 10 | Election of Director: Bradford H. Warner | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 11 | Election of Director: Catherine G. West | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 12 | Election of Director: Craig Anthony Williams | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 15 | Approval and adoption of the Capital One Financial Corporation Sixth Amended and Restated 2004 Stock Incentive Plan. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| CAPITAL ONE FINANCIAL CORPORATION | COF | 14040H105 | 06-May-2021 | Annual | 14 | Advisory approval of Capital One's 2020 Named Executive Officer compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 14 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2021. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 16 | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE SUPERMAJORITY VOTING STANDARD FOR REMOVAL OF DIRECTORS. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 17 | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE SUPERMAJORITY VOTING STANDARDS FOR FUTURE AMENDMENTS TO THE CERTIFICATE OF INCORPORATION APPROVED BY OUR STOCKHOLDERS. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 18 | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE REQUIREMENT FOR A SUPERMAJORITY STOCKHOLDER VOTE FOR FUTURE AMENDMENTS TO CERTAIN BYLAW PROVISIONS. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 19 | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENT TO REMOVE THE REQUIREMENT FOR A SUPERMAJORITY STOCKHOLDER VOTE FOR CERTAIN TRANSACTIONS. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 20 | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENT TO REMOVE THE SUPERMAJORITY VOTING STANDARD FOR CERTAIN BUSINESS COMBINATIONS. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 1 | ELECTION OF DIRECTOR: J.W. Marriott, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 2 | ELECTION OF DIRECTOR: Anthony G. Capuano | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 3 | ELECTION OF DIRECTOR: Deborah M. Harrison | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 4 | ELECTION OF DIRECTOR: Frederick A. Henderson | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 5 | ELECTION OF DIRECTOR: Eric Hippeau | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 6 | ELECTION OF DIRECTOR: Lawrence W. Kellner | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 7 | ELECTION OF DIRECTOR: Debra L. Lee | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 8 | ELECTION OF DIRECTOR: Aylwin B. Lewis | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 9 | ELECTION OF DIRECTOR: David S. Marriott | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 10 | ELECTION OF DIRECTOR: Margaret M. McCarthy | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 11 | ELECTION OF DIRECTOR: George Muñoz | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 12 | ELECTION OF DIRECTOR: Horacio D. Rozanski | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 13 | ELECTION OF DIRECTOR: Susan C. Schwab | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MARRIOTT INTERNATIONAL, INC. | MAR | 571903202 | 07-May-2021 | Annual | 15 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 15 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 1 | Election of Director: Lamberto Andreotti | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 2 | Election of Director: James C. Collins, Jr. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 3 | Election of Director: Klaus A. Engel | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 4 | Election of Director: David C. Everitt | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 5 | Election of Director: Janet P. Giesselman | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 6 | Election of Director: Karen H. Grimes | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 7 | Election of Director: Michael O. Johanns | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 8 | Election of Director: Rebecca B. Liebert | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 9 | Election of Director: Marcos M. Lutz | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 10 | Election of Director: Nayaki Nayyar | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 11 | Election of Director: Gregory R. Page | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 12 | Election of Director: Kerry J. Preete | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 13 | Election of Director: Patrick J. Ward | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CORTEVA INC. | CTVA | 22052L104 | 07-May-2021 | Annual | 14 | Advisory resolution to approve executive compensation of the Company's named executive officers. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 12 | The ratification of the appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for 2021. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 1 | Election of Director: Donna M. Alvarado | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 2 | Election of Director: Thomas P. Bostick | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 3 | Election of Director: James M. Foote | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 4 | Election of Director: Steven T. Halverson | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 5 | Election of Director: Paul C. Hilal | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 6 | Election of Director: David M. Moffett | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 7 | Election of Director: Linda H. Riefler | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 8 | Election of Director: Suzanne M. Vautrinot | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 9 | Election of Director: James L. Wainscott | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 10 | Election of Director: J. Steven Whisler | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 11 | Election of Director: John J. Zillmer | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| CSX CORPORATION | CSX | 126408103 | 07-May-2021 | Annual | 13 | Advisory (non-binding) resolution to approve compensation for the Company's named executive officers. | Management | F | 26-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as ITW's independent registered public accounting firm for 2021. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 13 | A non-binding stockholder proposal, if properly presented at the meeting, to permit stockholders to act by written consent. | Shareholder | N | 28-Mar-2021 | N | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 1 | Election of Director: Daniel J. Brutto | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 2 | Election of Director: Susan Crown | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 3 | Election of Director: Darrell L. Ford | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 4 | Election of Director: James W. Griffith | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 5 | Election of Director: Jay L. Henderson | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 6 | Election of Director: Richard H. Lenny | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 7 | Election of Director: E. Scott Santi | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 8 | Election of Director: David B. Smith, Jr. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 9 | Election of Director: Pamela B. Strobel | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 10 | Election of Director: Anré D. Williams | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ILLINOIS TOOL WORKS INC. | ITW | 452308109 | 07-May-2021 | Annual | 12 | Advisory vote to approve compensation of ITW's named executive officers. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 7 | Stockholder Proposal - to Issue an Annual Report on Lobbying. | Shareholder | N | 23-Mar-2021 | N | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 1 | DIRECTOR | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 2 | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2021. | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 6 | Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 5 | Approval of the Amended and Restated 2013 Employee Stock Purchase Plan for non-U.S. employees. | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 4 | Approval of the Amended and Restated 2013 Incentive Stock Program. | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 8 | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman. | Shareholder | N | 23-Mar-2021 | N | EQUITY SKEW ETF |
| ABBVIE INC. | ABBV | 00287Y109 | 07-May-2021 | Annual | 3 | Say on Pay-An advisory vote on the approval of executive compensation. | Management | F | 23-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 14 | Stockholder proposal to reduce the ownership threshold to call special stockholder meetings to 10%. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 11 | Ratify selection of PricewaterhouseCoopers LLP as Colgate's independent registered public accounting firm. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 1 | Election of Director: John P. Bilbrey | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 2 | Election of Director: John T. Cahill | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 3 | Election of Director: Lisa M. Edwards | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 4 | Election of Director: C. Martin Harris | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 5 | Election of Director: Martina Hund-Mejean | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 6 | Election of Director: Kimberly A. Nelson | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 7 | Election of Director: Lorrie M. Norrington | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 8 | Election of Director: Michael B. Polk | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 9 | Election of Director: Stephen I. Sadove | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 10 | Election of Director: Noel R. Wallace | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 13 | Stockholder proposal on independent Board Chairman. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| COLGATE-PALMOLIVE COMPANY | CL | 194162103 | 07-May-2021 | Annual | 12 | Advisory vote on executive compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 14 | To approve the selection of Ernst & Young LLP as the Company's independent auditors for the Company's 2021 fiscal year. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 16 | To consider a management proposal to amend the Certificate of Incorporation to eliminate supermajority vote provisions applicable to the Company under the Connecticut Business Corporation Act. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 17 | To consider a management proposal to amend the Certificate of Incorporation to eliminate supermajority vote provisions of capital stock related to approval of business combinations with interested shareholders and clarify when no shareholder vote is required. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 18 | To consider a management proposal to amend the Certificate of Incorporation to adopt a majority voting standard in an uncontested election of Directors. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 1 | Election of Director: Andrea J. Ayers | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 2 | Election of Director: George W. Buckley | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 3 | Election of Director: Patrick D. Campbell | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 4 | Election of Director: Carlos M. Cardoso | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 5 | Election of Director: Robert B. Coutts | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 6 | Election of Director: Debra A. Crew | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 7 | Election of Director: Michael D. Hankin | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 8 | Election of Director: James M. Loree | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 9 | Election of Director: Jane M. Palmieri | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 10 | Election of Director: Mojdeh Poul | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 11 | Election of Director: Dmitri L. Stockton | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 12 | Election of Director: Irving Tan | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 15 | To consider a management proposal to amend the Certificate of Incorporation to allow shareholders to act by written consent. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| STANLEY BLACK & DECKER, INC. | SWK | 854502101 | 10-May-2021 | Annual | 13 | To approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 14 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 16 | Approval of the Prudential Financial, Inc. 2021 Omnibus Incentive Plan. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 1 | Election of Director: Thomas J. Baltimore, Jr. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 2 | Election of Director: Gilbert F. Casellas | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 3 | Election of Director: Robert M. Falzon | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 4 | Election of Director: Martina Hund-Mejean | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 5 | Election of Director: Wendy Jones | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 6 | Election of Director: Karl J. Krapek | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 7 | Election of Director: Peter R. Lighte | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 8 | Election of Director: Charles F. Lowrey | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 9 | Election of Director: George Paz | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 10 | Election of Director: Sandra Pianalto | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 11 | Election of Director: Christine A. Poon | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 12 | Election of Director: Douglas A. Scovanner | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 13 | Election of Director: Michael A. Todman | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 17 | Shareholder proposal regarding an Independent Board Chairman. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| PRUDENTIAL FINANCIAL, INC. | PRU | 744320102 | 11-May-2021 | Annual | 15 | Advisory vote to approve named executive officer compensation. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 16 | Proposal to ratify appointment of Ernst & Young LLP as ConocoPhillips' independent registered public accounting firm for 2021. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 18 | Simple Majority Vote Standard. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 19 | Emission Reduction Targets. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 1 | ELECTION OF DIRECTOR: Charles E. Bunch | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 2 | ELECTION OF DIRECTOR: Caroline Maury Devine | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 3 | ELECTION OF DIRECTOR: John V. Faraci | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 4 | ELECTION OF DIRECTOR: Jody Freeman | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 5 | ELECTION OF DIRECTOR: Gay Huey Evans | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 6 | ELECTION OF DIRECTOR: Jeffrey A. Joerres | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 7 | ELECTION OF DIRECTOR: Ryan M. Lance | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 8 | ELECTION OF DIRECTOR: Timothy A. Leach | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 9 | ELECTION OF DIRECTOR: William H. McRaven | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 10 | ELECTION OF DIRECTOR: Sharmila Mulligan | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 11 | ELECTION OF DIRECTOR: Eric D. Mullins | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 12 | ELECTION OF DIRECTOR: Arjun N. Murti | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 13 | ELECTION OF DIRECTOR: Robert A. Niblock | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 14 | ELECTION OF DIRECTOR: David T. Seaton | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 15 | ELECTION OF DIRECTOR: R.A. Walker | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| CONOCOPHILLIPS | COP | 20825C104 | 11-May-2021 | Annual | 17 | Advisory Approval of Executive Compensation. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 10 | Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2021. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 1 | Election of Director: James C. Fish, Jr. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 2 | Election of Director: Andrés R. Gluski | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 3 | Election of Director: Victoria M. Holt | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 4 | Election of Director: Kathleen M. Mazzarella | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 5 | Election of Director: Sean E. Menke | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 6 | Election of Director: William B. Plummer | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 7 | Election of Director: John C. Pope | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 8 | Election of Director: Maryrose T. Sylvester | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 9 | Election of Director: Thomas H. Weidemeyer | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| WASTE MANAGEMENT, INC. | WM | 94106L109 | 11-May-2021 | Annual | 11 | Non-binding, advisory proposal to approve our executive compensation. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 13 | To ratify the appointment of PricewaterhouseCoopers LLP as 3M's independent registered public accounting firm. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 17 | Shareholder proposal on transitioning the Company to a public benefit corporation. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 1 | Elect the member to the Board of Directors for a term of one year: Thomas "Tony" K. Brown | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 2 | Elect the member to the Board of Directors for a term of one year: Pamela J. Craig | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 3 | Elect the member to the Board of Directors for a term of one year: David B. Dillon | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 4 | Elect the member to the Board of Directors for a term of one year: Michael L. Eskew | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 5 | Elect the member to the Board of Directors for a term of one year: James R. Fitterling | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 6 | Elect the member to the Board of Directors for a term of one year: Herbert L. Henkel | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 7 | Elect the member to the Board of Directors for a term of one year: Amy E. Hood | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 8 | Elect the member to the Board of Directors for a term of one year: Muhtar Kent | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 9 | Elect the member to the Board of Directors for a term of one year: Dambisa F. Moyo | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 10 | Elect the member to the Board of Directors for a term of one year: Gregory R. Page | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 11 | Elect the member to the Board of Directors for a term of one year: Michael F. Roman | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 12 | Elect the member to the Board of Directors for a term of one year: Patricia A. Woertz | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 15 | To approve the amendment and restatement of 3M Company 2016 Long-Term Incentive Plan. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 16 | Shareholder proposal on setting target amounts for CEO compensation. | Shareholder | N | 25-Mar-2021 | N | EQUITY SKEW ETF |
| 3M COMPANY | MMM | 88579Y101 | 11-May-2021 | Annual | 14 | Advisory approval of executive compensation. | Management | F | 25-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 16 | To act upon a proposal to ratify the selection of PricewaterhouseCoopers LLP as AIG's independent registered public accounting firm for 2021. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 17 | To vote on a shareholder proposal to give shareholders who hold at least 10 percent of AIG's outstanding common stock the right to call special meetings. | Shareholder | N | 31-Mar-2021 | N | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 1 | Election of Director: JAMES COLE, JR. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 2 | Election of Director: W. DON CORNWELL | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 3 | Election of Director: BRIAN DUPERREAULT | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 4 | Election of Director: JOHN H. FITZPATRICK | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 5 | Election of Director: WILLIAM G. JURGENSEN | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 6 | Election of Director: CHRISTOPHER S. LYNCH | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 7 | Election of Director: LINDA A. MILLS | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 8 | Election of Director: THOMAS F. MOTAMED | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 9 | Election of Director: PETER R. PORRINO | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 10 | Election of Director: AMY L. SCHIOLDAGER | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 11 | Election of Director: DOUGLAS M. STEENLAND | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 12 | Election of Director: THERESE M. VAUGHAN | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 13 | Election of Director: PETER S. ZAFFINO | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 15 | To vote on a proposal to approve the American International Group, Inc. 2021 Omnibus Incentive Plan. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| AMERICAN INTERNATIONAL GROUP, INC. | AIG | 026874784 | 12-May-2021 | Annual | 14 | To vote, on a non-binding advisory basis, to approve executive compensation. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 7 | Shareholder proposal regarding report on climate lobbying. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 4 | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2021. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 3 | Management proposal for the annual election of directors. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 1 | Election of Director for a term of office expiring at the 2024 annual meeting of shareholder: Julie L. Bushman | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 2 | Election of Director for a term of office expiring at the 2024 annual meeting of shareholder: Lisa A. Davis | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 6 | Shareholder proposal regarding greenhouse gas emissions targets. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| PHILLIPS 66 | PSX | 718546104 | 12-May-2021 | Annual | 5 | Advisory vote to approve our executive compensation. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 17 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 1 | Election of Director for a one year term expiring in 2022: Richard D. Kinder | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 2 | Election of Director for a one year term expiring in 2022: Steven J. Kean | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 3 | Election of Director for a one year term expiring in 2022: Kimberly A. Dang | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 4 | Election of Director for a one year term expiring in 2022: Ted A. Gardner | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 5 | Election of Director for a one year term expiring in 2022: Anthony W. Hall, Jr. | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 6 | Election of Director for a one year term expiring in 2022: Gary L. Hultquist | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 7 | Election of Director for a one year term expiring in 2022: Ronald L. Kuehn, Jr. | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 8 | Election of Director for a one year term expiring in 2022: Deborah A. Macdonald | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 9 | Election of Director for a one year term expiring in 2022: Michael C. Morgan | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 10 | Election of Director for a one year term expiring in 2022: Arthur C. Reichstetter | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 11 | Election of Director for a one year term expiring in 2022: C. Park Shaper | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 12 | Election of Director for a one year term expiring in 2022: William A. Smith | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 13 | Election of Director for a one year term expiring in 2022: Joel V. Staff | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 14 | Election of Director for a one year term expiring in 2022: Robert F. Vagt | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 15 | Election of Director for a one year term expiring in 2022: Perry M. Waughtal | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 16 | Approval of the Kinder Morgan, Inc. 2021 Amended and Restated Stock Incentive Plan. | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| KINDER MORGAN, INC. | KMI | 49456B101 | 12-May-2021 | Annual | 18 | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | F | 02-Apr-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 10 | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2021. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 1 | Election of Director to serve for the next year: Jacqueline K. Barton, Ph.D. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 2 | Election of Director to serve for the next year: Jeffrey A. Bluestone, Ph.D. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 3 | Election of Director to serve for the next year: Sandra J. Horning, M.D. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 4 | Election of Director to serve for the next year: Kelly A. Kramer | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 5 | Election of Director to serve for the next year: Kevin E. Lofton | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 6 | Election of Director to serve for the next year: Harish Manwani | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 7 | Election of Director to serve for the next year: Daniel P. O'Day | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 8 | Election of Director to serve for the next year: Javier J. Rodriguez | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 9 | Election of Director to serve for the next year: Anthony Welters | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 12 | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | Shareholder | N | 31-Mar-2021 | N | EQUITY SKEW ETF |
| GILEAD SCIENCES, INC. | GILD | 375558103 | 12-May-2021 | Annual | 11 | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 12 | Ratification of Ernst & Young LLP as our Independent Registered Public Accounting Firm for 2021. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 1 | Election of Director: Glyn F. Aeppel | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 2 | Election of Director: Larry C. Glasscock | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 3 | Election of Director: Karen N. Horn, Ph.D. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 4 | Election of Director: Allan Hubbard | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 5 | Election of Director: Reuben S. Leibowitz | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 6 | Election of Director: Gary M. Rodkin | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 7 | Election of Director: Stefan M. Selig | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 8 | Election of Director: Daniel C. Smith, Ph.D. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 9 | Election of Director: J. Albert Smith, Jr. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 10 | Election of Director: Marta R. Stewart | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SIMON PROPERTY GROUP, INC. | SPG | 828806109 | 12-May-2021 | Annual | 11 | An Advisory Vote to Approve the Compensation of our Named Executive Officers. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 14 | Ratification of the appointment of our independent registered public accounting firm for 2021. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 16 | Stockholder proposal for reducing the threshold for our stockholder right to act by written consent. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 1 | Election of Director: Fernando Aguirre | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 2 | Election of Director: C. David Brown II | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 3 | Election of Director: Alecia A. DeCoudreaux | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 4 | Election of Director: Nancy-Ann M. DeParle | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 5 | Election of Director: David W. Dorman | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 6 | Election of Director: Roger N. Farah | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 7 | Election of Director: Anne M. Finucane | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 8 | Election of Director: Edward J. Ludwig | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 9 | Election of Director: Karen S. Lynch | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 10 | Election of Director: Jean-Pierre Millon | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 11 | Election of Director: Mary L. Schapiro | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 12 | Election of Director: William C. Weldon | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 13 | Election of Director: Tony L. White | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 17 | Stockholder proposal regarding our independent Board Chair. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| CVS HEALTH CORPORATION | CVS | 126650100 | 13-May-2021 | Annual | 15 | Say on Pay, a proposal to approve, on an advisory basis, the Company's executive compensation. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 15 | Shareholder proposal requesting an EEO-1 Report Disclosure, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 16 | Shareholder proposal requesting an Annual Diversity and Inclusion Efforts Report, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2021. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 1 | Election of Director: Andrew H. Card Jr. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 2 | Election of Director: William J. DeLaney | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 3 | Election of Director: David B. Dillon | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 4 | Election of Director: Lance M. Fritz | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 5 | Election of Director: Deborah C. Hopkins | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 6 | Election of Director: Jane H. Lute | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 7 | Election of Director: Michael R. McCarthy | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 8 | Election of Director: Thomas F. McLarty III | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 9 | Election of Director: Jose H. Villarreal | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 10 | Election of Director: Christopher J. Williams | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 13 | Adoption of the Union Pacific Corporation 2021 Stock Incentive Plan. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 14 | Adoption of the Union Pacific Corporation 2021 Employee Stock Purchase Plan. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 17 | Shareholder proposal requesting an Annual Emissions Reduction Plan & annual advisory vote on Emissions Reduction Plan, if properly presented at the Annual Meeting. | Shareholder | N | 01-Apr-2021 | N | EQUITY SKEW ETF |
| UNION PACIFIC CORPORATION | UNP | 907818108 | 13-May-2021 | Annual | 12 | An advisory vote to approve executive compensation ("Say on Pay"). | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 17 | Proposal regarding a report on lobbying activity alignment with Paris Climate Agreement. | Shareholder | N | 01-Apr-2021 | N | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 14 | Ratification of the appointment of KPMG LLP, independent registered public accounting firm, as Norfolk Southern's independent auditors for the year ending December 31, 2021. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 1 | Election of Director: Thomas D. Bell, Jr. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 2 | Election of Director: Mitchell E. Daniels, Jr. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 3 | Election of Director: Marcela E. Donadio | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 4 | Election of Director: John C. Huffard, Jr. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 5 | Election of Director: Christopher T. Jones | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 6 | Election of Director: Thomas C. Kelleher | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 7 | Election of Director: Steven F. Leer | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 8 | Election of Director: Michael D. Lockhart | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 9 | Election of Director: Amy E. Miles | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 10 | Election of Director: Claude Mongeau | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 11 | Election of Director: Jennifer F. Scanlon | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 12 | Election of Director: James A. Squires | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 13 | Election of Director: John R. Thompson | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 16 | Proposal regarding revisions to ownership requirements for proxy access. | Shareholder | N | 01-Apr-2021 | N | EQUITY SKEW ETF |
| NORFOLK SOUTHERN CORPORATION | NSC | 655844108 | 13-May-2021 | Annual | 15 | Approval of the advisory resolution on executive compensation, as disclosed in the proxy statement for the 2021 Annual Meeting of Shareholders. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 21 | To prepare a report assessing UPS's diversity and inclusion efforts. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 19 | To prepare a report on reducing UPS's total contribution to climate change. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 17 | To prepare an annual report on UPS's lobbying activities. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 16 | To ratify the appointment of Deloitte & Touche LLP as UPS's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 18 | To reduce the voting power of UPS class A stock from 10 votes per share to one vote per share. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 20 | To transition UPS to a public benefit corporation. | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 1 | Election of Director to serve until the 2022 Annual Meeting: Carol B. Tomé | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 2 | Election of Director to serve until the 2022 Annual Meeting: Rodney C. Adkins | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 3 | Election of Director to serve until the 2022 Annual Meeting: Eva C. Boratto | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 4 | Election of Director to serve until the 2022 Annual Meeting: Michael J. Burns | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 5 | Election of Director to serve until the 2022 Annual Meeting: Wayne M. Hewett | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 6 | Election of Director to serve until the 2022 Annual Meeting: Angela Hwang | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 7 | Election of Director to serve until the 2022 Annual Meeting: Kate E. Johnson | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 8 | Election of Director to serve until the 2022 Annual Meeting: William R. Johnson | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 9 | Election of Director to serve until the 2022 Annual Meeting: Ann M. Livermore | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 10 | Election of Director to serve until the 2022 Annual Meeting: Franck J. Moison | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 11 | Election of Director to serve until the 2022 Annual Meeting: Christiana Smith Shi | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 12 | Election of Director to serve until the 2022 Annual Meeting: Russell Stokes | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 13 | Election of Director to serve until the 2022 Annual Meeting: Kevin Warsh | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 15 | To approve the 2021 UPS Omnibus Incentive Compensation Plan. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| UNITED PARCEL SERVICE, INC. | UPS | 911312106 | 13-May-2021 | Annual | 14 | To approve on an advisory basis a resolution on UPS executive compensation. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 10 | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 12 | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. | Shareholder | N | 31-Mar-2021 | N | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 1 | Election of Director: Patrick P. Gelsinger | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 2 | Election of Director: James J. Goetz | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 3 | Election of Director: Alyssa Henry | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 4 | Election of Director: Omar Ishrak | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 5 | Election of Director: Risa Lavizzo-Mourey | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 6 | Election of Director: Tsu-Jae King Liu | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 7 | Election of Director: Gregory D. Smith | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 8 | Election of Director: Dion J. Weisler | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 9 | Election of Director: Frank D. Yeary | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 14 | Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting. | Shareholder | N | 31-Mar-2021 | N | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 11 | Advisory vote to approve executive compensation of our listed officers. | Management | F | 31-Mar-2021 | F | EQUITY SKEW ETF |
| INTEL CORPORATION | INTC | 458140100 | 13-May-2021 | Annual | 13 | Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. | Shareholder | N | 31-Mar-2021 | N | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 9 | Stockholder Proposal requesting disclosure of lobbying policy, procedures and oversight; lobbying expenditures; and participation in organizations engaged in lobbying. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 7 | Ratification of the selection of Deloitte & Touche LLP as independent auditors. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 1 | Election of Director: Walter W. Bettinger II | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 2 | Election of Director: Joan T. Dea | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 3 | Election of Director: Christopher V. Dodds | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 4 | Election of Director: Mark A. Goldfarb | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 5 | Election of Director: Bharat B. Masrani | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 6 | Election of Director: Charles A. Ruffel | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 10 | Stockholder Proposal requesting declassification of the board of directors to elect each director annually. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| THE CHARLES SCHWAB CORPORATION | SCHW | 808513105 | 13-May-2021 | Annual | 8 | Advisory vote to approve named executive officer compensation. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 15 | Ratification of Independent Registered Public Accounting Firm. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 17 | Relating to Consideration of a Recapitalization Plan to Provide That All of the Company's Outstanding Stock Have One Vote Per Share. | Shareholder | N | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 1 | Election of Director: Kimberly A. Casiano | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 2 | Election of Director: Anthony F. Earley, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 3 | Election of Director: Alexandra Ford English | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 4 | Election of Director: James D. Farley, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 5 | Election of Director: Henry Ford III | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 6 | Election of Director: William Clay Ford, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 7 | Election of Director: William W. Helman IV | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 8 | Election of Director: Jon M. Huntsman, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 9 | Election of Director: William E. Kennard | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 10 | Election of Director: Beth E. Mooney | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 11 | Election of Director: John L. Thornton | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 12 | Election of Director: John B. Veihmeyer | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 13 | Election of Director: Lynn M. Vojvodich | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 14 | Election of Director: John S. Weinberg | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FORD MOTOR COMPANY | F | 345370860 | 13-May-2021 | Annual | 16 | Say-on-Pay - An Advisory Vote to Approve the Compensation of the Named Executives. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 11 | Ratification of Appointment of Independent Registered Public Accounting Firm | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 12 | Shareholder Action by Written Consent | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 13 | Amend Clawback Policy | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 14 | Shareholder Ratification of Annual Equity Awards | Shareholder | N | 30-Mar-2021 | N | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 1 | Election of Director: Shellye L. Archambeau | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 2 | Election of Director: Roxanne S. Austin | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 3 | Election of Director: Mark T. Bertolini | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 4 | Election of Director: Melanie L. Healey | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 5 | Election of Director: Clarence Otis, Jr. | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 6 | Election of Director: Daniel H. Schulman | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 7 | Election of Director: Rodney E. Slater | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 8 | Election of Director: Hans E. Vestberg | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 9 | Election of Director: Gregory G. Weaver | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| VERIZON COMMUNICATIONS INC. | VZ | 92343V104 | 13-May-2021 | Annual | 10 | Advisory Vote to Approve Executive Compensation | Management | F | 30-Mar-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 11 | Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 14 | Approve the amended Stock Plan for Non-Employee Directors. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 15 | Approve the amended Deferred Compensation Plan for Non-Employee Directors. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 1 | Election of Director: Christopher B. Begley | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 2 | Election of Director: Betsy J. Bernard | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 3 | Election of Director: Michael J. Farrell | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 4 | Election of Director: Robert A. Hagemann | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 5 | Election of Director: Bryan C. Hanson | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 6 | Election of Director: Arthur J. Higgins | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 7 | Election of Director: Maria Teresa Hilado | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 8 | Election of Director: Syed Jafry | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 9 | Election of Director: Sreelakshmi Kolli | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 10 | Election of Director: Michael W. Michelson | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 16 | Approve amendments to our Restated Certificate of Incorporation to permit shareholders to call a special meeting. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 13 | Approve the amended 2009 Stock Incentive Plan. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| ZIMMER BIOMET HOLDINGS, INC. | ZBH | 98956P102 | 14-May-2021 | Annual | 12 | Approve, on a non-binding advisory basis, named executive officer compensation ("Say on Pay"). | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 14 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 15 | A stockholder proposal regarding adoption of a simple majority voting standard, if properly presented at the Annual Meeting. | Shareholder | N | 28-Mar-2021 | N | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 1 | Election of Director for term expiring in 2022: Hon. Sharon Y. Bowen | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 2 | Election of Director for term expiring in 2022: Shantella E. Cooper | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 3 | Election of Director for term expiring in 2022: Charles R. Crisp | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 4 | Election of Director for term expiring in 2022: Duriya M. Farooqui | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 5 | Election of Director for term expiring in 2022: The Rt. Hon. the Lord Hague of Richmond | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 6 | Election of Director for term expiring in 2022: Mark F. Mulhern | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 7 | Election of Director for term expiring in 2022: Thomas E. Noonan | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 8 | Election of Director for term expiring in 2022: Frederic V. Salerno | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 9 | Election of Director for term expiring in 2022: Caroline L. Silver | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 10 | Election of Director for term expiring in 2022: Jeffrey C. Sprecher | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 11 | Election of Director for term expiring in 2022: Judith A. Sprieser | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 12 | Election of Director for term expiring in 2022: Vincent Tese | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| INTERCONTINENTAL EXCHANGE, INC. | ICE | 45866F104 | 14-May-2021 | Annual | 13 | To approve, by non-binding vote, the advisory resolution on executive compensation for named executive officers. | Management | F | 28-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 16 | Shareholder Proposal Requesting a Report on Alignment of Our Lobbying Activities with the Paris Agreement. | Shareholder | N | 29-Mar-2021 | N | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 13 | Ratification of Appointment of Independent Registered Public Accounting Firm. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 15 | Shareholder Proposal Requesting an Amendment to Our Proxy Access Bylaw to Eliminate the Shareholder Nominating Group Limit. | Shareholder | N | 29-Mar-2021 | N | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 1 | Election of Director: Alan L. Boeckmann | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 2 | Election of Director: Andrés Conesa | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 3 | Election of Director: Maria Contreras-Sweet | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 4 | Election of Director: Pablo A. Ferrero | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 5 | Election of Director: William D. Jones | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 6 | Election of Director: Jeffrey W. Martin | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 7 | Election of Director: Bethany J. Mayer | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 8 | Election of Director: Michael N. Mears | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 9 | Election of Director: Jack T. Taylor | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 10 | Election of Director: Cynthia L. Walker | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 11 | Election of Director: Cynthia J. Warner | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 12 | Election of Director: James C. Yardley | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| SEMPRA ENERGY | SRE | 816851109 | 14-May-2021 | Annual | 14 | Advisory Approval of Our Executive Compensation. | Management | F | 29-Mar-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 17 | Political and electioneering expenditure congruency report. | Shareholder | N | 08-Apr-2021 | N | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 13 | Ratification of independent registered public accounting firm. | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 14 | Improve shareholder written consent. | Shareholder | N | 08-Apr-2021 | N | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 1 | Election of Director: Linda B. Bammann | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 2 | Election of Director: Stephen B. Burke | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 3 | Election of Director: Todd A. Combs | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 4 | Election of Director: James S. Crown | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 5 | Election of Director: James Dimon | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 6 | Election of Director: Timothy P. Flynn | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 7 | Election of Director: Mellody Hobson | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 8 | Election of Director: Michael A. Neal | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 9 | Election of Director: Phebe N. Novakovic | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 10 | Election of Director: Virginia M. Rometty | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 12 | Approval of Amended and Restated Long-Term Incentive Plan effective May 18, 2021. | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 16 | Independent board chairman. | Shareholder | N | 08-Apr-2021 | N | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 11 | Advisory resolution to approve executive compensation. | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| JPMORGAN CHASE & CO. | JPM | 46625H100 | 18-May-2021 | Annual | 15 | Racial equity audit and report. | Shareholder | N | 08-Apr-2021 | N | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 13 | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2021. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 1 | Election of Director for a term of office expiring at the 2022 annual meeting: Dr. Wanda M. Austin | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 2 | Election of Director for a term of office expiring at the 2022 annual meeting: Mr. Robert A. Bradway | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 3 | Election of Director for a term of office expiring at the 2022 annual meeting: Dr. Brian J. Druker | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 4 | Election of Director for a term of office expiring at the 2022 annual meeting: Mr. Robert A. Eckert | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 5 | Election of Director for a term of office expiring at the 2022 annual meeting: Mr. Greg C. Garland | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 6 | Election of Director for a term of office expiring at the 2022 annual meeting: Mr. Charles M. Holley, Jr. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 7 | Election of Director for a term of office expiring at the 2022 annual meeting: Dr. Tyler Jacks | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 8 | Election of Director for a term of office expiring at the 2022 annual meeting: Ms. Ellen J. Kullman | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 9 | Election of Director for a term of office expiring at the 2022 annual meeting: Ms. Amy E. Miles | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 10 | Election of Director for a term of office expiring at the 2022 annual meeting: Dr. Ronald D. Sugar | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 11 | Election of Director for a term of office expiring at the 2022 annual meeting: Dr. R. Sanders Williams | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| AMGEN INC. | AMGN | 031162100 | 18-May-2021 | Annual | 12 | Advisory vote to approve our executive compensation. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 17 | Shareholder proposal regarding a report on the costs and benefits of Xcel Energy's voluntary climate-related activities. | Shareholder | N | 07-Apr-2021 | N | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 16 | Company proposal to ratify the appointment of Deloitte & Touche LLP as Xcel Energy Inc.'s independent registered public accounting firm for 2021. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 1 | Election of Director: Lynn Casey | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 2 | Election of Director: Ben Fowke | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 3 | Election of Director: Robert Frenzel | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 4 | Election of Director: Netha Johnson | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 5 | Election of Director: Patricia Kampling | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 6 | Election of Director: George Kehl | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 7 | Election of Director: Richard O'Brien | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 8 | Election of Director: Charles Pardee | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 9 | Election of Director: Christopher Policinski | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 10 | Election of Director: James Prokopanko | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 11 | Election of Director: David Westerlund | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 12 | Election of Director: Kim Williams | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 13 | Election of Director: Timothy Wolf | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 14 | Election of Director: Daniel Yohannes | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| XCEL ENERGY INC. | XEL | 98389B100 | 19-May-2021 | Annual | 15 | Company proposal to approve, on an advisory basis, executive compensation. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 13 | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending January 29, 2022. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 14 | To vote on a stockholder proposal regarding executive share retention, if properly presented at the Annual Meeting. | Shareholder | N | 07-Apr-2021 | N | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 1 | Election of Director: K. Gunnar Bjorklund | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 2 | Election of Director: Michael J. Bush | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 3 | Election of Director: Sharon D. Garrett | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 4 | Election of Director: Michael J. Hartshorn | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 5 | Election of Director: Stephen D. Milligan | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 6 | Election of Director: Patricia H. Mueller | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 7 | Election of Director: George P. Orban | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 8 | Election of Director: Gregory L. Quesnel | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 9 | Election of Director: Larree M. Renda | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 10 | Election of Director: Barbara Rentler | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 11 | Election of Director: Doniel N. Sutton | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| ROSS STORES, INC. | ROST | 778296103 | 19-May-2021 | Annual | 12 | Advisory vote to approve the resolution on the compensation of the named executive officers. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 14 | Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accountants for Fiscal Year Ending December 31, 2021. | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 15 | Consider Employee Pay in Setting Chief Executive Officer Pay. | Shareholder | N | 08-Apr-2021 | N | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 1 | Election of Director: Lewis W.K. Booth | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 2 | Election of Director: Charles E. Bunch | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 3 | Election of Director: Lois D. Juliber | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 4 | Election of Director: Peter W. May | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 5 | Election of Director: Jorge S. Mesquita | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 6 | Election of Director: Jane H. Nielsen | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 7 | Election of Director: Fredric G. Reynolds | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 8 | Election of Director: Christiana S. Shi | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 9 | Election of Director: Patrick T. Siewert | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 10 | Election of Director: Michael A. Todman | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 11 | Election of Director: Jean-François M. L. van Boxmeer | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 12 | Election of Director: Dirk Van de Put | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| MONDELĒZ INTERNATIONAL, INC. | MDLZ | 609207105 | 19-May-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation. | Management | F | 08-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 14 | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's Independent Auditor for fiscal year ending December 31, 2021. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 16 | Shareholder proposal to move to a 10% ownership threshold for shareholders to request action by written consent. | Shareholder | N | 07-Apr-2021 | N | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 1 | Election of Director: Kathy J. Warden | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 2 | Election of Director: David P. Abney | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 3 | Election of Director: Marianne C. Brown | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 4 | Election of Director: Donald E. Felsinger | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 5 | Election of Director: Ann M. Fudge | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 6 | Election of Director: William H. Hernandez | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 7 | Election of Director: Madeleine A. Kleiner | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 8 | Election of Director: Karl J. Krapek | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 9 | Election of Director: Gary Roughead | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 10 | Election of Director: Thomas M. Schoewe | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 11 | Election of Director: James S. Turley | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 12 | Election of Director: Mark A. Welsh III | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 15 | Shareholder proposal that the Company assess and report on potential human rights impacts that could result from governments' use of the Company's products and services, including in conflict-affected areas. | Shareholder | N | 07-Apr-2021 | N | EQUITY SKEW ETF |
| NORTHROP GRUMMAN CORPORATION | NOC | 666807102 | 19-May-2021 | Annual | 13 | Proposal to approve, on an advisory basis, the compensation of the Company's Named Executive Officers. | Management | F | 07-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 12 | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for 2021. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 1 | Election of Director: Ellen R. Alemany | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 2 | Election of Director: Jeffrey A. Goldstein | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 3 | Election of Director: Lisa A. Hook | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 4 | Election of Director: Keith W. Hughes | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 5 | Election of Director: Gary L. Lauer | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 6 | Election of Director: Gary A. Norcross | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 7 | Election of Director: Louise M. Parent | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 8 | Election of Director: Brian T. Shea | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 9 | Election of Director: James B. Stallings, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 10 | Election of Director: Jeffrey E. Stiefler | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| FIDELITY NAT'L INFORMATION SERVICES,INC. | FIS | 31620M106 | 19-May-2021 | Annual | 11 | Advisory vote on Fidelity National Information Services, Inc. executive compensation. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 13 | Ratification of the selection of Ernst & Young LLP as the Company's independent auditors for the fiscal year ending December 31, 2021. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 14 | Advisory vote on shareholder proposal to permit shareholder action by written consent. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 15 | Advisory vote on shareholder proposal to permit shareholder removal of directors without cause. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 1 | Election of Director: David W. Biegler | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 2 | Election of Director: J. Veronica Biggins | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 3 | Election of Director: Douglas H. Brooks | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 4 | Election of Director: William H. Cunningham | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 5 | Election of Director: John G. Denison | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 6 | Election of Director: Thomas W. Gilligan | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 7 | Election of Director: Gary C. Kelly | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 8 | Election of Director: Grace D. Lieblein | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 9 | Election of Director: Nancy B. Loeffler | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 10 | Election of Director: John T. Montford | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 11 | Election of Director: Ron Ricks | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| SOUTHWEST AIRLINES CO. | LUV | 844741108 | 19-May-2021 | Annual | 12 | Advisory vote to approve the compensation of the Company's named executive officers. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 15 | To ratify the appointment of Deloitte & Touche LLP as independent auditor. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 1 | Election of Director: Elizabeth Corley | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 2 | Election of Director: Alistair Darling | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 3 | Election of Director: Thomas H. Glocer | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 4 | Election of Director: James P. Gorman | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 5 | Election of Director: Robert H. Herz | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 6 | Election of Director: Nobuyuki Hirano | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 7 | Election of Director: Hironori Kamezawa | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 8 | Election of Director: Shelley B. Leibowitz | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 9 | Election of Director: Stephen J. Luczo | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 10 | Election of Director: Jami Miscik | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 11 | Election of Director: Dennis M. Nally | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 12 | Election of Director: Mary L. Schapiro | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 13 | Election of Director: Perry M. Traquina | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 14 | Election of Director: Rayford Wilkins, Jr. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 17 | To approve the amended and restated Equity Incentive Compensation Plan. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| MORGAN STANLEY | MS | 617446448 | 20-May-2021 | Annual | 16 | To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory vote). | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 16 | Shareholder Proposal Regarding Political Contributions Congruency Analysis. | Shareholder | N | 06-Apr-2021 | N | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 13 | Ratification of the Appointment of KPMG LLP. | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 15 | Shareholder Proposal Regarding Amendment of Shareholder Written Consent Right. | Shareholder | N | 06-Apr-2021 | N | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 17 | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain. | Shareholder | N | 06-Apr-2021 | N | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 1 | Election of Director: Gerard J. Arpey | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 2 | Election of Director: Ari Bousbib | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 3 | Election of Director: Jeffery H. Boyd | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 4 | Election of Director: Gregory D. Brenneman | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 5 | Election of Director: J. Frank Brown | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 6 | Election of Director: Albert P. Carey | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 7 | Election of Director: Helena B. Foulkes | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 8 | Election of Director: Linda R. Gooden | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 9 | Election of Director: Wayne M. Hewett | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 10 | Election of Director: Manuel Kadre | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 11 | Election of Director: Stephanie C. Linnartz | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 12 | Election of Director: Craig A. Menear | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE HOME DEPOT, INC. | HD | 437076102 | 20-May-2021 | Annual | 14 | Advisory Vote to Approve Executive Compensation ("Say-on-Pay"). | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 15 | Ratification of Selection of Independent Registered Public Accounting Firm. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 1 | Election of Director: Anthony K. Anderson | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 2 | Election of Director: Oscar Fanjul | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 3 | Election of Director: Daniel S. Glaser | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 4 | Election of Director: H. Edward Hanway | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 5 | Election of Director: Deborah C. Hopkins | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 6 | Election of Director: Tamara Ingram | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 7 | Election of Director: Jane H. Lute | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 8 | Election of Director: Steven A. Mills | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 9 | Election of Director: Bruce P. Nolop | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 10 | Election of Director: Marc D. Oken | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 11 | Election of Director: Morton O. Schapiro | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 12 | Election of Director: Lloyd M. Yates | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 13 | Election of Director: R. David Yost | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MARSH & MCLENNAN COMPANIES, INC. | MMC | 571748102 | 20-May-2021 | Annual | 14 | Advisory (Nonbinding) Vote to Approve Named Executive Officer Compensation. | Management | F | 01-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 15 | Advisory vote on a shareholder proposal requesting a report on sugar and public health, if properly presented. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 16 | Advisory vote on a shareholder proposal requesting a report on antibiotics and public health costs, if properly presented. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 14 | Advisory vote to ratify the appointment of Ernst & Young LLP as independent auditor for 2021. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 17 | Advisory vote on a shareholder proposal requesting the ability for shareholders to act by written consent, if properly presented. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 1 | Election of Director for a one-year term expiring in 2022: Lloyd Dean | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 2 | Election of Director for a one-year term expiring in 2022: Robert Eckert | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 3 | Election of Director for a one-year term expiring in 2022: Catherine Engelbert | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 4 | Election of Director for a one-year term expiring in 2022: Margaret Georgiadis | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 5 | Election of Director for a one-year term expiring in 2022: Enrique Hernandez, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 6 | Election of Director for a one-year term expiring in 2022: Christopher Kempczinski | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 8 | Election of Director for a one-year term expiring in 2022: John Mulligan | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 9 | Election of Director for a one-year term expiring in 2022: Sheila Penrose | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 7 | Election of Director for a one-year term expiring in 2022: Richard Lenny | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 11 | Election of Director for a one-year term expiring in 2022: Paul Walsh | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 12 | Election of Director for a one-year term expiring in 2022: Miles White | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 10 | Election of Director for a one-year term expiring in 2022: John Rogers, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MCDONALD'S CORPORATION | MCD | 580135101 | 20-May-2021 | Annual | 13 | Advisory vote to approve executive compensation. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 12 | Ratification of the appointment of KPMG LLP as The Travelers Companies, Inc.'s independent registered public accounting firm for 2021. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 1 | Election of Director: Alan L. Beller | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 2 | Election of Director: Janet M. Dolan | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 3 | Election of Director: Patricia L. Higgins | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 4 | Election of Director: William J. Kane | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 5 | Election of Director: Thomas B. Leonardi | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 6 | Election of Director: Clarence Otis Jr. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 7 | Election of Director: Elizabeth E. Robinson | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 8 | Election of Director: Philip T. Ruegger III | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 9 | Election of Director: Todd C. Schermerhorn | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 10 | Election of Director: Alan D. Schnitzer | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 11 | Election of Director: Laurie J. Thomsen | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 14 | Approve an amendment to The Travelers Companies, Inc. Amended and Restated 2014 Stock Incentive Plan. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| THE TRAVELERS COMPANIES, INC. | TRV | 89417E109 | 20-May-2021 | Annual | 13 | Non-binding vote to approve executive compensation. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 13 | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy's independent registered public accounting firm for 2021. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 16 | A proposal entitled "Right to Act by Written Consent" to request action by written consent of shareholders. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 1 | Election of Director: Sherry S. Barrat | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 2 | Election of Director: James L. Camaren | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 3 | Election of Director: Kenneth B. Dunn | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 4 | Election of Director: Naren K. Gursahaney | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 5 | Election of Director: Kirk S. Hachigian | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 6 | Election of Director: Amy B. Lane | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 7 | Election of Director: David L. Porges | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 8 | Election of Director: James L. Robo | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 9 | Election of Director: Rudy E. Schupp | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 10 | Election of Director: John L. Skolds | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 11 | Election of Director: Lynn M. Utter | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 12 | Election of Director: Darryl L. Wilson | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 15 | Approval of the NextEra Energy, Inc. 2021 Long Term Incentive Plan. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| NEXTERA ENERGY, INC. | NEE | 65339F101 | 20-May-2021 | Annual | 14 | Approval, by non-binding advisory vote, of NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 15 | Shareholder Proposal - Disclosure of Lobbying Policies and Practices. | Shareholder | N | 09-Apr-2021 | N | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 12 | Ratification of the Selection of Independent Registered Public Accounting Firm. | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 10 | Election of Director: Virginia E. Shanks | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 11 | Election of Director: Ellen R. Strahlman | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 1 | Election of Director: John T. Casteen III | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 2 | Election of Director: Dinyar S. Devitre | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 3 | Election of Director: William F. Gifford, Jr. | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 4 | Election of Director: Debra J. Kelly-Ennis | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 5 | Election of Director: W. Leo Kiely III | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 6 | Election of Director: Kathryn B. McQuade | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 7 | Election of Director: George Muñoz | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 8 | Election of Director: Mark E. Newman | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 9 | Election of Director: Nabil Y. Sakkab | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 14 | Shareholder Proposal - Review and Report on Underage Tobacco Prevention Policies and Marketing Practices. | Shareholder | N | 09-Apr-2021 | N | EQUITY SKEW ETF |
| ALTRIA GROUP, INC. | MO | 02209S103 | 20-May-2021 | Annual | 13 | Non-Binding Advisory Vote to Approve the Compensation of Altria's Named Executive Officers. | Management | F | 09-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 13 | The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accountants for fiscal year 2021. | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 1 | Election of Director: P. Robert Bartolo | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 2 | Election of Director: Jay A. Brown | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 3 | Election of Director: Cindy Christy | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 4 | Election of Director: Ari Q. Fitzgerald | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 5 | Election of Director: Andrea J. Goldsmith | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 6 | Election of Director: Lee W. Hogan | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 7 | Election of Director: Tammy K. Jones | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 8 | Election of Director: J. Landis Martin | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 9 | Election of Director: Anthony J. Melone | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 10 | Election of Director: W. Benjamin Moreland | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 11 | Election of Director: Kevin A. Stephens | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 12 | Election of Director: Matthew Thornton, III | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 15 | The non-binding, advisory vote regarding the frequency of voting on the compensation of the Company's named executive officers. | Management | 1 | 06-Apr-2021 | 1 | EQUITY SKEW ETF |
| CROWN CASTLE INTERNATIONAL CORP | CCI | 22822V101 | 21-May-2021 | Annual | 14 | The non-binding, advisory vote to approve the compensation of the Company's named executive officers. | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 13 | Approval of Independent Accountants. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 14 | Shareholder Right To Act By Written Consent. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 1 | Election of Director: Darius Adamczyk | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 2 | Election of Director: Duncan B. Angove | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 3 | Election of Director: William S. Ayer | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 4 | Election of Director: Kevin Burke | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 5 | Election of Director: D. Scott Davis | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 6 | Election of Director: Deborah Flint | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 7 | Election of Director: Judd Gregg | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 8 | Election of Director: Grace D. Lieblein | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 9 | Election of Director: Raymond T. Odierno | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 10 | Election of Director: George Paz | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 11 | Election of Director: Robin L. Washington | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| HONEYWELL INTERNATIONAL INC. | HON | 438516106 | 21-May-2021 | Annual | 12 | Advisory Vote to Approve Executive Compensation. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 15 | Ratification of the appointment of the Company's independent registered public accounting firm for 2021. | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 16 | Shareholder proposal concerning a shareholder right to act by written consent. | Shareholder | N | 06-Apr-2021 | N | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 17 | Shareholder proposal regarding access to COVID-19 products. | Shareholder | N | 06-Apr-2021 | N | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 1 | Election of Director: Leslie A. Brun | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 2 | Election of Director: Mary Ellen Coe | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 3 | Election of Director: Pamela J. Craig | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 4 | Election of Director: Kenneth C. Frazier | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 5 | Election of Director: Thomas H. Glocer | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 6 | Election of Director: Risa J. Lavizzo-Mourey | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 7 | Election of Director: Stephen L. Mayo | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 8 | Election of Director: Paul B. Rothman | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 9 | Election of Director: Patricia F. Russo | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 10 | Election of Director: Christine E. Seidman | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 11 | Election of Director: Inge G. Thulin | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 12 | Election of Director: Kathy J. Warden | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 13 | Election of Director: Peter C. Wendell | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| MERCK & CO., INC. | MRK | 58933Y105 | 25-May-2021 | Annual | 14 | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | F | 06-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 14 | Ratification of the appointment of Deloitte & Touche LLP as Allstate's independent registered public accountant for 2021. | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 15 | Shareholder proposal to amend proxy access. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 1 | Election of Director: Donald E. Brown | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 2 | Election of Director: Kermit R. Crawford | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 3 | Election of Director: Michael L. Eskew | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 4 | Election of Director: Richard T. Hume | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 5 | Election of Director: Margaret M. Keane | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 6 | Election of Director: Siddharth N. Mehta | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 7 | Election of Director: Jacques P. Perold | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 8 | Election of Director: Andrea Redmond | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 9 | Election of Director: Gregg M. Sherrill | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 10 | Election of Director: Judith A. Sprieser | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 11 | Election of Director: Perry M. Traquina | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 12 | Election of Director: Thomas J. Wilson | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| THE ALLSTATE CORPORATION | ALL | 020002101 | 25-May-2021 | Annual | 13 | Advisory vote to approve the compensation of the named executives. | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 19-Mar-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 19-Mar-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 18 | Report on Lobbying. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 13 | Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 16 | Report on Impacts of Net Zero 2050 Scenario. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 17 | Shift to Public Benefit Corporation. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 20 | Special Meetings. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 1 | Election of Director: Wanda M. Austin | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 2 | Election of Director: John B. Frank | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 3 | Election of Director: Alice P. Gast | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 4 | Election of Director: Enrique Hernandez, Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 5 | Election of Director: Marillyn A. Hewson | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 6 | Election of Director: Jon M. Huntsman Jr. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 7 | Election of Director: Charles W. Moorman IV | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 8 | Election of Director: Dambisa F. Moyo | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 9 | Election of Director: Debra Reed-Klages | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 10 | Election of Director: Ronald D. Sugar | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 11 | Election of Director: D. James Umpleby III | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 12 | Election of Director: Michael K. Wirth | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 15 | Reduce Scope 3 Emissions. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 19 | Independent Chair. | Shareholder | N | 10-Apr-2021 | N | EQUITY SKEW ETF |
| CHEVRON CORPORATION | CVX | 166764100 | 26-May-2021 | Annual | 14 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 13 | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2021. | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 15 | Stockholder proposal to amend the appropriate governing documents to reduce the ownership threshold required to call a special meeting of the stockholders. | Shareholder | N | 15-Apr-2021 | N | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 1 | Election of Director: Thomas A. Bartlett | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 2 | Election of Director: Raymond P. Dolan | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 3 | Election of Director: Kenneth R. Frank | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 4 | Election of Director: Robert D. Hormats | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 5 | Election of Director: Gustavo Lara Cantu | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 6 | Election of Director: Grace D. Lieblein | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 7 | Election of Director: Craig Macnab | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 8 | Election of Director: JoAnn A. Reed | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 9 | Election of Director: Pamela D.A. Reeve | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 10 | Election of Director: David E. Sharbutt | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 11 | Election of Director: Bruce L. Tanner | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 12 | Election of Director: Samme L. Thompson | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 16 | Stockholder proposal to require the Board of Directors to create a standing committee to oversee human rights issues. | Shareholder | N | 15-Apr-2021 | N | EQUITY SKEW ETF |
| AMERICAN TOWER CORPORATION | AMT | 03027X100 | 26-May-2021 | Annual | 14 | To approve, on an advisory basis, the Company's executive compensation. | Management | F | 15-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 3 | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending Dec. 31, 2021. | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 4 | A stockholder proposal, related to written consent of stockholders. | Shareholder | N | 16-Apr-2021 | N | EQUITY SKEW ETF |
| EQUINIX, INC. | EQIX | 29444U700 | 26-May-2021 | Annual | 2 | To approve, by a non-binding advisory vote, the compensation of Equinix's named executive officers. | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 16 | Ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for 2021. | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 17 | Approve an amendment to the Restated Certificate of Incorporation to reduce the supermajority vote requirement to a majority vote requirement. | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 1 | Election of Director: Janaki Akella | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 2 | Election of Director: Juanita Powell Baranco | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 3 | Election of Director: Henry A. Clark III | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 4 | Election of Director: Anthony F. Earley, Jr. | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 5 | Election of Director: Thomas A. Fanning | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 6 | Election of Director: David J. Grain | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 7 | Election of Director: Colette D. Honorable | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 8 | Election of Director: Donald M. James | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 9 | Election of Director: John D. Johns | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 10 | Election of Director: Dale E. Klein | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 11 | Election of Director: Ernest J. Moniz | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 12 | Election of Director: William G. Smith, Jr | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 13 | Election of Director: E. Jenner Wood III | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 15 | Approve the 2021 Equity and Incentive Compensation Plan. | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| THE SOUTHERN COMPANY | SO | 842587107 | 26-May-2021 | Annual | 14 | Advisory vote to approve executive compensation. | Management | F | 14-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 7 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 2, 2022. | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 1 | Election of Director: Caroline D. Dorsa | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 2 | Election of Director: Robert S. Epstein, M.D. | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 3 | Election of Director: Scott Gottlieb, M.D. | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 4 | Election of Director: Gary S. Guthart | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 5 | Election of Director: Philip W. Schiller | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 6 | Election of Director: John W. Thompson | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ILLUMINA, INC. | ILMN | 452327109 | 26-May-2021 | Annual | 8 | To approve, on an advisory basis, the compensation of the named executive officers as disclosed in the Proxy Statement. | Management | F | 18-Apr-2021 | F | EQUITY SKEW ETF |
| ANTHEM, INC. | ANTM | 036752103 | 26-May-2021 | Annual | 5 | To ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm for 2021. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| ANTHEM, INC. | ANTM | 036752103 | 26-May-2021 | Annual | 1 | Election of Director: Lewis Hay, III | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| ANTHEM, INC. | ANTM | 036752103 | 26-May-2021 | Annual | 2 | Election of Director: Antonio F. Neri | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| ANTHEM, INC. | ANTM | 036752103 | 26-May-2021 | Annual | 3 | Election of Director: Ramiro G. Peru | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| ANTHEM, INC. | ANTM | 036752103 | 26-May-2021 | Annual | 4 | Advisory vote to approve the compensation of our named executive officers. | Management | F | 10-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 04-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 04-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 7 | Report on Environmental Expenditures. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 8 | Report on Political Contributions. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 9 | Report on Lobbying. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 10 | Report on Climate Lobbying. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 1 | DIRECTOR | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 2 | Ratification of Independent Auditors. | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 5 | Special Shareholder Meetings. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 6 | Report on Scenario Analysis. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 4 | Independent Chairman. | Shareholder | N | 13-Apr-2021 | N | EQUITY SKEW ETF |
| EXXON MOBIL CORPORATION | XOM | 30231G102 | 26-May-2021 | Annual | 3 | Advisory Vote to Approve Executive Compensation. | Management | F | 13-Apr-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 18 | Ratification of the appointment of Deloitte LLP as BlackRock's independent registered public accounting firm for the fiscal year 2021. | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 20 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Eliminate certain supermajority vote requirements. | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 22 | Shareholder Proposal - Amend Certificate of Incorporation to convert to a public benefit corporation. | Shareholder | N | 22-May-2021 | N | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 21 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Eliminate certain provisions that are no longer applicable and make certain other technical revisions. | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 1 | Election of Director: Bader M. Alsaad | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 2 | Election of Director: Pamela Daley | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 3 | Election of Director: Jessica P. Einhorn | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 4 | Election of Director: Laurence D. Fink | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 5 | Election of Director: William E. Ford | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 6 | Election of Director: Fabrizio Freda | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 7 | Election of Director: Murry S. Gerber | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 8 | Election of Director: Margaret "Peggy" L. Johnson | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 9 | Election of Director: Robert S. Kapito | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 10 | Election of Director: Cheryl D. Mills | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 11 | Election of Director: Gordon M. Nixon | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 12 | Election of Director: Charles H. Robbins | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 13 | Election of Director: Marco Antonio Slim Domit | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 14 | Election of Director: Hans E. Vestberg | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 15 | Election of Director: Susan L. Wagner | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 16 | Election of Director: Mark Wilson | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 19 | Approve amendments to BlackRock's Amended and Restated Certificate of Incorporation to: Provide shareholders with the right to call a special meeting. | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| BLACKROCK, INC. | BLK | 09247X101 | 26-May-2021 | Annual | 17 | Approval, in a non-binding advisory vote, of the compensation for named executive officers. | Management | F | 22-May-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 1 | DIRECTOR | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 3 | Ratification of the appointment of Deloitte & Touche LLP as Lowe's independent registered public accounting firm for fiscal 2021. | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 4 | Shareholder proposal regarding amending the Company's proxy access bylaw to remove shareholder aggregation limits. | Shareholder | N | 16-Apr-2021 | N | EQUITY SKEW ETF |
| LOWE'S COMPANIES, INC. | LOW | 548661107 | 28-May-2021 | Annual | 2 | Advisory vote to approve Lowe's named executive officer compensation in fiscal 2020. | Management | F | 16-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 4 | Shareholder Proposal: To conduct independent investigation and report on risks posed by failing to prevent sexual harassment. | Shareholder | N | 25-Apr-2021 | N | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 3 | Ratification of the appointment of our independent auditors. | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| COMCAST CORPORATION | CMCSA | 20030N101 | 02-Jun-2021 | Annual | 2 | Advisory vote on executive compensation. | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 17 | Report on Alignment of Racial Justice Goals and Starting Wages. | Shareholder | N | 23-Apr-2021 | N | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 15 | Report on Refrigerants Released from Operations. | Shareholder | N | 23-Apr-2021 | N | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 16 | Report on Lobbying Disclosures. | Shareholder | N | 23-Apr-2021 | N | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 14 | Ratification of Ernst & Young LLP as Independent Accountants. | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 18 | Create a Pandemic Workforce Advisory Council. | Shareholder | N | 23-Apr-2021 | N | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 19 | Report on Statement of the Purpose of a Corporation. | Shareholder | N | 23-Apr-2021 | N | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 1 | Election of Director: Cesar Conde | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 2 | Election of Director: Timothy P. Flynn | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 3 | Election of Director: Sarah J. Friar | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 4 | Election of Director: Carla A. Harris | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 5 | Election of Director: Thomas W. Horton | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 6 | Election of Director: Marissa A. Mayer | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 7 | Election of Director: C. Douglas McMillon | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 8 | Election of Director: Gregory B. Penner | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 9 | Election of Director: Steven S Reinemund | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 10 | Election of Director: Randall L. Stephenson | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 11 | Election of Director: S. Robson Walton | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 12 | Election of Director: Steuart L. Walton | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| WALMART INC. | WMT | 931142103 | 02-Jun-2021 | Annual | 13 | Advisory Vote to Approve Named Executive Officer Compensation. | Management | F | 23-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 7 | Stockholder proposal requesting the Company issue a climate transition report. | Shareholder | N | 22-Apr-2021 | N | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 8 | Stockholder proposal requesting the Company hold an annual advisory stockholder vote on the Company's climate policies and strategies. | Shareholder | N | 22-Apr-2021 | N | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 1 | DIRECTOR | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 4 | Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 3 | Management proposal to amend the Company's 1999 Omnibus Plan. | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 6 | Stockholder proposal requesting the right of stockholders to act by written consent. | Shareholder | N | 22-Apr-2021 | N | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 5 | Management proposal to amend the Company's Certificate of Incorporation to allow stockholders the right to act by written consent. | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| BOOKING HOLDINGS INC. | BKNG | 09857L108 | 03-Jun-2021 | Annual | 2 | Advisory vote to approve 2020 executive compensation. | Management | F | 22-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 12 | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 1 | Election of Director: Laurence A. Chapman | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 2 | Election of Director: Alexis Black Bjorlin | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 3 | Election of Director: VeraLinn Jamieson | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 4 | Election of Director: Kevin J. Kennedy | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 5 | Election of Director: William G. LaPerch | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 6 | Election of Director: Jean F.H.P. Mandeville | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 7 | Election of Director: Afshin Mohebbi | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 8 | Election of Director: Mark R. Patterson | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 9 | Election of Director: Mary Hogan Preusse | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 10 | Election of Director: Dennis E. Singleton | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 11 | Election of Director: A. William Stein | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| DIGITAL REALTY TRUST, INC. | DLR | 253868103 | 03-Jun-2021 | Annual | 13 | To approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as more fully described in the accompanying Proxy Statement (say on pay). | Management | F | 25-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 13 | If properly presented at the 2021 Annual Meeting of Shareholders, the shareholder proposal set forth in the proxy statement requesting a reduction of the share ownership threshold for calling a special meeting of shareholders. | Shareholder | N | 27-Apr-2021 | N | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 11 | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2021. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 12 | Approval of an amendment to the UnitedHealth Group 1993 Employee Stock Purchase Plan. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 1 | Election of Director: Richard T. Burke | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 2 | Election of Director: Timothy P. Flynn | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 3 | Election of Director: Stephen J. Hemsley | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 4 | Election of Director: Michele J. Hooper | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 5 | Election of Director: F. William McNabb III | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 6 | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 7 | Election of Director: John H. Noseworthy, M.D. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 8 | Election of Director: Gail R. Wilensky, Ph.D. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 9 | Election of Director: Andrew Witty | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| UNITEDHEALTH GROUP INCORPORATED | UNH | 91324P102 | 07-Jun-2021 | Annual | 10 | Advisory approval of the Company's executive compensation. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 13 | Ratification of appointment of PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2022. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 16 | Shareholder proposal for setting target amounts for CEO compensation. | Shareholder | N | 30-Apr-2021 | N | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 1 | Election of Director: Zein Abdalla | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 2 | Election of Director: José B. Alvarez | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 3 | Election of Director: Alan M. Bennett | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 4 | Election of Director: Rosemary T. Berkery | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 5 | Election of Director: David T. Ching | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 6 | Election of Director: C. Kim Goodwin | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 7 | Election of Director: Ernie Herrman | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 8 | Election of Director: Michael F. Hines | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 9 | Election of Director: Amy B. Lane | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 10 | Election of Director: Carol Meyrowitz | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 11 | Election of Director: Jackwyn L. Nemerov | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 12 | Election of Director: John F. O'Brien | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 15 | Shareholder proposal for a report on animal welfare. | Shareholder | N | 30-Apr-2021 | N | EQUITY SKEW ETF |
| THE TJX COMPANIES, INC. | TJX | 872540109 | 08-Jun-2021 | Annual | 14 | Advisory approval of TJX's executive compensation (the say-on-pay vote). | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 13 | Company proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 15 | Shareholder proposal to amend the proxy access bylaw to remove the shareholder group limit. | Shareholder | N | 27-Apr-2021 | N | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 1 | Election of Director: Douglas M. Baker, Jr. | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 2 | Election of Director: George S. Barrett | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 3 | Election of Director: Brian C. Cornell | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 4 | Election of Director: Robert L. Edwards | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 5 | Election of Director: Melanie L. Healey | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 6 | Election of Director: Donald R. Knauss | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 7 | Election of Director: Christine A. Leahy | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 8 | Election of Director: Monica C. Lozano | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 9 | Election of Director: Mary E. Minnick | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 10 | Election of Director: Derica W. Rice | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 11 | Election of Director: Kenneth L. Salazar | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 12 | Election of Director: Dmitri L. Stockton | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| TARGET CORPORATION | TGT | 87612E106 | 09-Jun-2021 | Annual | 14 | Company proposal to approve, on an advisory basis, our executive compensation (Say on Pay). | Management | F | 27-Apr-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 15 | Shareholder Proposal - Report on Diversity and Inclusion. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 14 | Shareholder Proposal - Report on Climate Policy. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 12 | Ratification of our Independent Registered Public Accounting Firm. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 16 | Shareholder Proposal - Transition to a Public Benefit Corporation. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 17 | Shareholder Proposal - Shareholder Action by Written Consent. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 1 | Election of Director: Kelly A. Ayotte | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 2 | Election of Director: David L. Calhoun | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 3 | Election of Director: Daniel M. Dickinson | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 4 | Election of Director: Gerald Johnson | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 5 | Election of Director: David W. MacLennan | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 6 | Election of Director: Debra L. Reed-Klages | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 7 | Election of Director: Edward B. Rust, Jr. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 8 | Election of Director: Susan C. Schwab | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 9 | Election of Director: D. James Umpleby III | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 10 | Election of Director: Miles D. White | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 11 | Election of Director: Rayford Wilkins, Jr. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| CATERPILLAR INC. | CAT | 149123101 | 09-Jun-2021 | Annual | 13 | Advisory Vote to Approve Executive Compensation. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 14 | Ratification of the Selection of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 15 | Shareholder Proposal Regarding Shareholder Written Consent. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 1 | Election of Director: Mary T. Barra | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 2 | Election of Director: Wesley G. Bush | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 3 | Election of Director: Linda R. Gooden | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 4 | Election of Director: Joseph Jimenez | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 5 | Election of Director: Jane L. Mendillo | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 6 | Election of Director: Judith A. Miscik | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 7 | Election of Director: Patricia F. Russo | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 8 | Election of Director: Thomas M. Schoewe | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 9 | Election of Director: Carol M. Stephenson | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 10 | Election of Director: Mark A. Tatum | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 11 | Election of Director: Devin N. Wenig | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 12 | Election of Director: Margaret C. Whitman | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 16 | Shareholder Proposal Regarding a Report on Greenhouse Gas Emissions Targets as a Performance Element of Executive Compensation. | Shareholder | N | 03-May-2021 | N | EQUITY SKEW ETF |
| GENERAL MOTORS COMPANY | GM | 37045V100 | 14-Jun-2021 | Annual | 13 | Advisory Approval of Named Executive Officer Compensation. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 13 | Ratification of appointment of Deloitte & Touche LLP as MetLife, Inc.'s Independent Auditor for 2021. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 1 | Election of Director: Cheryl W. Grisé | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 2 | Election of Director: Carlos M. Gutierrez | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 3 | Election of Director: Gerald L. Hassell | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 4 | Election of Director: David L. Herzog | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 5 | Election of Director: R. Glenn Hubbard, Ph.D. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 6 | Election of Director: Edward J. Kelly, III | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 7 | Election of Director: William E. Kennard | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 8 | Election of Director: Michel A. Khalaf | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 9 | Election of Director: Catherine R. Kinney | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 10 | Election of Director: Diana L. McKenzie | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 11 | Election of Director: Denise M. Morrison | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 12 | Election of Director: Mark A. Weinberger | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| METLIFE, INC. | MET | 59156R108 | 15-Jun-2021 | Annual | 14 | Advisory (non-binding) vote to approve the compensation paid to MetLife, Inc.'s Named Executive Officers. | Management | F | 03-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 16 | A shareholder proposal related to a climate lobbying report. | Shareholder | N | 10-May-2021 | N | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 14 | To ratify the appointment of Ernst & Young LLP as Delta's independent auditors for the year ending December 31, 2021. | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 15 | A shareholder proposal related to the right to act by written consent. | Shareholder | N | 10-May-2021 | N | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 1 | Election of Director: Edward H. Bastian | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 2 | Election of Director: Francis S. Blake | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 3 | Election of Director: Ashton B. Carter | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 4 | Election of Director: David G. DeWalt | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 5 | Election of Director: William H. Easter III | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 6 | Election of Director: Christopher A. Hazleton | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 7 | Election of Director: Michael P. Huerta | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 8 | Election of Director: Jeanne P. Jackson | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 9 | Election of Director: George N. Mattson | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 10 | Election of Director: Sergio A.L. Rial | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 11 | Election of Director: David S. Taylor | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 12 | Election of Director: Kathy N. Waller | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| DELTA AIR LINES, INC. | DAL | 247361702 | 17-Jun-2021 | Annual | 13 | To approve, on an advisory basis, the compensation of Delta's named executive officers. | Management | F | 10-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 12 | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 1 | Election of Director: Reveta Bowers | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 2 | Election of Director: Robert Corti | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 3 | Election of Director: Hendrik Hartong III | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 4 | Election of Director: Brian Kelly | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 5 | Election of Director: Robert Kotick | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 6 | Election of Director: Barry Meyer | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 7 | Election of Director: Robert Morgado | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 8 | Election of Director: Peter Nolan | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 9 | Election of Director: Dawn Ostroff | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 10 | Election of Director: Casey Wasserman | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| ACTIVISION BLIZZARD, INC. | ATVI | 00507V109 | 21-Jun-2021 | Annual | 11 | To provide advisory approval of our executive compensation. | Management | F | 04-May-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 16 | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2021. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 19 | Approval of amendments to Mastercard's Certificate of Incorporation to remove supermajority voting requirements. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 18 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Non-Employee Director Equity Compensation Plan. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 1 | Election of Director: Ajay Banga | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 2 | Election of Director: Merit E. Janow | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 3 | Election of Director: Richard K. Davis | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 4 | Election of Director: Steven J. Freiberg | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 5 | Election of Director: Julius Genachowski | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 6 | Election of Director: Choon Phong Goh | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 7 | Election of Director: Oki Matsumoto | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 8 | Election of Director: Michael Miebach | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 9 | Election of Director: Youngme Moon | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 10 | Election of Director: Rima Qureshi | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 11 | Election of Director: José Octavio Reyes Lagunes | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 12 | Election of Director: Gabrielle Sulzberger | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 13 | Election of Director: Jackson Tai | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 14 | Election of Director: Lance Uggla | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 17 | Approval of the amendment and restatement of the Mastercard Incorporated 2006 Long Term Incentive Plan. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
| MASTERCARD INCORPORATED | MA | 57636Q104 | 22-Jun-2021 | Annual | 15 | Advisory approval of Mastercard's executive compensation. | Management | F | 30-Apr-2021 | F | EQUITY SKEW ETF |
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.
