UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-22991
Reality Shares ETF Trust
(Exact name of registrant as specified in charter)
(Exact name of registrant as specified in charter)
402 West Broadway, Suite 2800
San Diego, CA 92101
(Address of principal executive offices) (Zip code)
(Address of principal executive offices) (Zip code)
Eric R. Ervin
c/o Reality Shares Advisors, LLC
402 West Broadway, Suite 2800
San Diego, CA 92101
(Name and address of agent for service)
(Name and address of agent for service)
(619) 487-1445
Registrant's telephone number, including area code
Date of fiscal year end: October 31
Date of reporting period: July 1, 2020 – June 30, 2021
Item 1. Proxy Voting Record.
The Reality Shares DIVS ETF did not hold any voting securities and, accordingly, did not vote any proxies during the reporting period.
Reality Shares DIVCON Leaders Dividend ETF Investment Company Report | |||||
BOOZ ALLEN HAMILTON HOLDING CORPORATION | |||||
Security 099502106 | Meeting Type | Annual | |||
Ticker Symbol BAH | Meeting Date | 29-Jul-2020 | |||
ISIN US0995021062 | Agenda | 935238508 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director: Ralph W. Shrader | Management | For | For | For | |
1B. Election of Director: Joan Lordi C. Amble | Management | For | For | For | |
1C. Election of Director: Michèle A. Flournoy | Management | For | For | For | |
2. Ratification of the appointment of Ernst & Young LLP as the Company's registered | Management | For | For | For | |
independent public accountants for fiscal year 2021. | |||||
3. Advisory vote to approve the compensation of the Company's named executive officers. | Management | For | For | For | |
4. Approval of the adoption of the Fifth | Management | For | For | For | |
Amended and Restated Certificate of | |||||
Incorporation to, among other things, | |||||
eliminate classification of the Board of | |||||
Directors. | |||||
NIKE, INC. | |||||
Security 654106103 | Meeting Type | Annual | |||
Ticker Symbol NKE | Meeting Date | 17-Sep-2020 | |||
ISIN US6541061031 | Agenda | 935256378 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1a. Election of Class B Director: Alan B. Graf, Jr. | Management | For | For | For | |
1b. Election of Class B Director: Peter B. Henry | Management | For | For | For | |
1c. Election of Class B Director: Michelle A. | Management | For | For | For | |
Peluso | |||||
2. To approve executive compensation by an advisory vote. | Management | For | For | For | |
3. To ratify the appointment of PricewaterhouseCoopers LLP as | Management | For | For | For | |
independent registered public accounting firm. | |||||
4. To approve the Nike, Inc. Stock Incentive | Management | For | For | For | |
Plan, as amended and restated. | |||||
5. To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | Against | Against | For | |
CINTAS CORPORATION | |||||
Security 172908105 | Meeting Type | Annual | |||
Ticker Symbol CTAS | Meeting Date | 27-Oct-2020 | |||
ISIN US1729081059 | Agenda | 935270126 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director: Gerald S. Adolph | Management | For | For | For | |
1B. Election of Director: John F. Barrett | Management | For | For | For | |
1C. Election of Director: Melanie W. Barstad | Management | For | For | For | |
1D. Election of Director: Karen L. Carnahan | Management | For | For | For | |
1E. Election of Director: Robert E. Coletti | Management | For | For | For | |
1F. Election of Director: Scott D. Farmer | Management | For | For | For | |
1G. Election of Director: Joseph Scaminace | Management | For | For | For | |
1H. Election of Director: Ronald W. Tysoe | Management | For | For | For | |
2. To approve, on an advisory basis, named executive officer compensation. | Management | For | For | For | |
3. To ratify Ernst & Young LLP as our independent registered public accounting | Management | For | For | For | |
firm for fiscal year 2021. | |||||
4. A shareholder proposal requesting the | Shareholder | Against | Against | For | |
Company provide a semiannual report on | |||||
political contributions, if properly presented | |||||
at the meeting. | |||||
KLA CORPORATION | |||||
Security 482480100 | Meeting Type | Annual | |||
Ticker Symbol KLAC | Meeting Date | 04-Nov-2020 | |||
ISIN US4824801009 | Agenda | 935275176 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director for a one-year term: Edward Barnholt | Management | For | For | For | |
1B. Election of Director for a one-year term: Robert Calderoni | Management | For | For | For | |
1C. Election of Director for a one-year term: | Management | For | For | For | |
Jeneanne Hanley | |||||
1D. Election of Director for a one-year term: Emiko Higashi | Management | For | For | For | |
1E. Election of Director for a one-year term: Kevin Kennedy | Management | For | For | For | |
1F. Election of Director for a one-year term: Gary Moore | Management | For | For | For | |
1G. Election of Director for a one-year term: | Management | For | For | For | |
Marie Myers | |||||
1H. Election of Director for a one-year term: Kiran Patel | Management | For | For | For | |
1I. Election of Director for a one-year term: Victor Peng | Management | For | For | For | |
1J. Election of Director for a one-year term: Robert Rango | Management | For | For | For | |
1K. Election of Director for a one-year term: | Management | For | For | For | |
Richard Wallace | |||||
2. Ratification of the appointment of PricewaterhouseCoopers LLP as the | Management | For | For | For | |
Company's independent registered public | |||||
accounting firm for the fiscal year ending | |||||
June 30, 2021. | |||||
3. Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | For | For | For | |
4. Stockholder proposal regarding proxy | Shareholder | Against | Against | For | |
access, if properly submitted at the Annual | |||||
Meeting. | |||||
THE ESTEE LAUDER COMPANIES INC. | |||||
Security 518439104 | Meeting Type | Annual | |||
Ticker Symbol EL | Meeting Date | 10-Nov-2020 | |||
ISIN US5184391044 | Agenda | 935274530 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Class III Director: Charlene Barshefsky | Management | For | For | For | |
1B. Election of Class III Director: Wei Sun Christianson | Management | For | For | For | |
1C. Election of Class III Director: Fabrizio Freda | Management | For | For | For | |
1D. Election of Class III Director: Jane Lauder | Management | For | For | For | |
1E. Election of Class III Director: Leonard A. Lauder | Management | For | For | For | |
2. Ratification of appointment of PricewaterhouseCoopers LLP as independent auditors for the 2021 fiscal year. | Management | For | For | For | |
3. Advisory vote to approve executive compensation. | Management | For | For | For | |
RESMED INC. | |||||
Security 761152107 | Meeting Type | Annual | |||
Ticker Symbol RMD | Meeting Date | 19-Nov-2020 | |||
ISIN US7611521078 | Agenda | 935280115 - Management | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director to serve until 2021 annual meeting: Karen Drexler | Management | For | For | For | |
2B. Election of Director to serve until 2021 annual meeting: Michael Farrell | Management | For | For | For | |
2. Ratify our appointment of KPMG LLP as our | Management | For | For | For | |
independent registered public accounting | |||||
firm for the fiscal year ending June 30, | |||||
2021. | |||||
3. Approve, on an advisory basis, the compensation paid to our named executive | Management | For | For | For | |
officers, as disclosed in the proxy statement | |||||
("say-on-pay"). |
Reality Shares DIVCON Dividend Defender ETF Investment Company Report | |||||
BOOZ ALLEN HAMILTON HOLDING CORPORATION | |||||
Security 099502106 | Meeting Type | Annual | |||
Ticker Symbol BAH | Meeting Date | 29-Jul-2020 | |||
ISIN US0995021062 | Agenda | 935238508 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director: Ralph W. Shrader | Management | For | For | For | |
1B. Election of Director: Joan Lordi C. Amble | Management | For | For | For | |
1C. Election of Director: Michèle A. Flournoy | Management | For | For | For | |
2. Ratification of the appointment of Ernst & Young LLP as the Company's registered | Management | For | For | For | |
independent public accountants for fiscal year 2021. | |||||
3. Advisory vote to approve the compensation of the Company's named executive officers. | Management | For | For | For | |
4. Approval of the adoption of the Fifth | Management | For | For | For | |
Amended and Restated Certificate of | |||||
Incorporation to, among other things, | |||||
eliminate classification of the Board of | |||||
Directors. | |||||
NIKE, INC. | |||||
Security 654106103 | Meeting Type | Annual | |||
Ticker Symbol NKE | Meeting Date | 17-Sep-2020 | |||
ISIN US6541061031 | Agenda | 935256378 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1a. Election of Class B Director: Alan B. Graf, Jr. | Management | For | For | For | |
1b. Election of Class B Director: Peter B. Henry | Management | For | For | For | |
1c. Election of Class B Director: Michelle A. | Management | For | For | For | |
Peluso | |||||
2. To approve executive compensation by an advisory vote. | Management | For | For | For | |
3. To ratify the appointment of PricewaterhouseCoopers LLP as | Management | For | For | For | |
independent registered public accounting | |||||
firm. | |||||
4. To approve the Nike, Inc. Stock Incentive | Management | For | For | For | |
Plan, as amended and restated. | |||||
5. To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | Against | Against | For | |
CINTAS CORPORATION | |||||
Security 172908105 | Meeting Type | Annual | |||
Ticker Symbol CTAS | Meeting Date | 27-Oct-2020 | |||
ISIN US1729081059 | Agenda | 935270126 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director: Gerald S. Adolph | Management | For | For | For | |
1B. Election of Director: John F. Barrett | Management | For | For | For | |
1C. Election of Director: Melanie W. Barstad | Management | For | For | For | |
1D. Election of Director: Karen L. Carnah an | Management | For | For | For | |
1E. Election of Director: Robert E. Coletti | Management | For | For | For | |
1F. Election of Director: Scott D. Farmer | Management | For | For | For | |
1G. Election of Director: Joseph Scaminace | Management | For | For | For | |
1H. Election of Director: Ronald W. Tysoe | Management | For | For | For | |
2. To approve, on an advisory basis, named executive officer compensation. | Management | For | For | For | |
3. To ratify Ernst & Young LLP as our independent registered public accounting | Management | For | For | For | |
firm for fiscal year 2021. | |||||
4. A shareholder prop osal req uesting the | Shareholder | Against | Against | For | |
Company provide a semiannual report on | |||||
political contributions, if properly presented | |||||
at the meeting. | |||||
KLA CORPORATION | |||||
Security 482480100 | Meeting Type | Annual | |||
Ticker Symbol KLAC | Meeting Date | 04-Nov-2020 | |||
ISIN US4824801009 | Agenda | 935275176 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director for a one-year term: Edward Barnholt | Management | For | For | For | |
1B. Election of Director for a one-year term: Robert Calderoni | Management | For | For | For | |
1C. Election of Director for a one-year term: | Management | For | For | For | |
Jen eanne Hanley | |||||
1D. Election of Director for a one-year term: Emiko Higashi | Management | For | For | For | |
1E. Election of Director for a one-year term: Kevin Kennedy | Management | For | For | For | |
1F. Election of Director for a one-year term: Gary Moore | Management | For | For | For | |
1G. Election of Director for a one-year term: | Management | For | For | For | |
Marie Myers | |||||
1H. Election of Director for a one-year term: Kiran Patel | Management | For | For | For | |
1I. Election of Director for a one-year term: Victor Peng | Management | For | For | For | |
1J. Election of Director for a one-year term: Robert Rango | Management | For | For | For | |
1K. Election of Director for a one-year term: | Management | For | For | For | |
Richard Wallace | |||||
2. Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public | Management | For | For | For | |
accounting firm for the fiscal year ending | |||||
June 30, 2021. | |||||
3. Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | For | For | For | |
4. Stockholder proposal regarding proxy | Shareholder | Against | Against | For | |
access, if properly submitted at the Annual | |||||
Meeting. | |||||
THE ESTEE LAUDER COMPANIES INC. | |||||
Security 518439104 | Meeting Type | Annual | |||
Ticker Symbol EL | Meeting Date | 10-Nov-2020 | |||
ISIN US5184391044 | Agenda | 935274530 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Class III Director: Charlene Barshefsky | Management | For | For | For | |
1B. Election of Class III Director: Wei Sun Christianson | Management | For | For | For | |
1C. Election of Class III Director: Fabrizio Freda | Management | For | For | For | |
1D. Election of Class III Director: Jane Laud er | Management | For | For | For | |
1E. Election of Class III Director: Leonard A. Laud er | Management | For | For | For | |
2. Ratification of appointment of PricewaterhouseCoopers LLP as independent auditors for the 2021 fiscal year. | Management | For | For | For | |
3. Advisory vote to approve executive compensation. | Management | For | For | For | |
RESMED INC. | |||||
Security 761152107 | Meeting Type | Annual | |||
Ticker Symbol RMD | Meeting Date | 19-Nov-2020 | |||
ISIN US7611521078 | Agenda | 935280115 - Man ag ement | |||
Item Proposal | Proposed | Vote | Management | For/Against | |
by | Recommendation | Management | |||
1A. Election of Director to serve until 2021 annual meeting: Karen Drexler | Management | For | For | For | |
2B. Election of Director to serve until 2021 annual meeting: Michael Farrell | Management | For | For | For | |
2. Ratify our appointment of KPMG LLP as our | Management | For | For | For | |
independent registered public accounting | |||||
firm for the fiscal year ending June 30, | |||||
2021. | |||||
3. Approve, on an advisory basis, the compensation paid to our named executive | Management | For | For | For | |
officers, as disclosed in the proxy statement | |||||
("say-on-pay"). | |||||
Reality Shares NASDAQ NexGen Economy ETF Investment Company Report | |||||||||||||
DAIMLER AG | |||||||||||||
Security | D1668R123 | Meeting Type | Annual Gen eral Meeting | ||||||||||
Ticker Symbol | Meeting Date | 08-Jul-2020 | |||||||||||
ISIN | DE0007100000 | Agenda | 712846407 - Man ag ement | ||||||||||
Item Proposal | Proposed by | Vote | Management Recommendation | 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 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 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 Non-Voting Non-Voting | ||||||||||||
CMMT | ACCORDING TO GERMAN LAW, IN CASE | Non-Voting | |||||||||||
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 | |||||||||||||
CMMT | FURTHER INFORMATION ON COUNTER | Non-Voting | |||||||||||
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 | |||||||||||||
2 | ALLOCATION OF DISTRIBUTABLE PROFIT: IN THE EVENT THAT THE | Management | For | For | For | ||||||||
COMPANY DIRECTLY OR INDIRECTLY | |||||||||||||
HOLDS ANY TREASURY SHARES AT | |||||||||||||
THE DATE OF THE ANNUAL MEETING, | |||||||||||||
THAT ARE NOT ENTITLED TO A | |||||||||||||
DIVIDEND PURSUANT TO SECTION 71B | |||||||||||||
OF THE GERMAN STOCK | |||||||||||||
CORPORATION ACT (AKTIENGESETZ), | |||||||||||||
IT IS RECOMMENDED TO THE ANNUAL | |||||||||||||
MEETING THAT WITH AN UNCHANGED | |||||||||||||
DIVIDEND OF EUR 0.90 PER NO-PAR | |||||||||||||
VALUE SHARE ENTITLED TO DIVIDENDS | |||||||||||||
THE PORTION OF THE DISTRIBUTABLE | |||||||||||||
PROFIT ATTRIBUTABLE TO NO-PAR | |||||||||||||
VALUE SHARES NOT ENTITLED TO | |||||||||||||
DIVIDENDS SHALL BE TRANSFERRED | |||||||||||||
TO RETAINED EARNINGS | |||||||||||||
3 | RATIFICATION OF BOARD OF MANAGEMENT MEMBERS' ACTIONS IN | Management | For | For | For | ||||||||
THE 2019 FINANCIAL YEAR | |||||||||||||
4 RATIFICATION OF SUPERVISORY | Management | For | For | For | |||||||||
BOARD MEMBERS' ACTIONS IN THE | |||||||||||||
2019 FINANCIAL YEAR | |||||||||||||
5.A APPOINTMENT OF AUDITORS FOR THE COMPANY AND FOR THE GROUP: 2020 | Management | For | For | For | |||||||||
FINANCIAL YEAR INCLUDING INTERIM | |||||||||||||
FINANCIAL REPORTS: BASED ON THE | |||||||||||||
RECOMMENDATION OF THE AUDIT | |||||||||||||
COMMITTEE (PRUFUNGSAUSSCHUSS), | |||||||||||||
THE SUPERVISORY BOARD PROPOSES | |||||||||||||
THAT KPMG AG | |||||||||||||
WIRTSCHAFTSPRUEFUNGSGESELLSCH | |||||||||||||
AFT, BERLIN, BE APPOINTED AS THE | |||||||||||||
AUDITOR FOR THE ANNUAL FINANCIAL | |||||||||||||
STATEMENTS, THE AUDITOR FOR THE | |||||||||||||
CONSOLIDATED FINANCIAL | |||||||||||||
STATEMENTS AND THE AUDITOR FOR | |||||||||||||
THE REVIEW OF THE INTERIM | |||||||||||||
FINANCIAL REPORTS FOR THE 2020 | |||||||||||||
FINANCIAL YEAR | |||||||||||||
5.B APPOINTMENT OF AUDITORS FOR THE COMPANY AND FOR THE GROUP: | Management | For | For | For | |||||||||
INTERIM FINANCIAL REPORTS FOR THE | |||||||||||||
2021 FINANCIAL YEAR UNTIL ANNUAL | |||||||||||||
MEETING 2021: BASED ON THE | |||||||||||||
RECOMMENDATION OF THE AUDIT | |||||||||||||
COMMITTEE (PRUFUNGSAUSSCHUSS), | |||||||||||||
THE SUPERVISORY BOARD PROPOSES | |||||||||||||
THAT KPMG AG | |||||||||||||
WIRTSCHAFTSPRUEFUNGSGESELLSCH | |||||||||||||
AFT, BERLIN, BE APPOINTED AS THE | |||||||||||||
AUDITOR FOR THE REVIEW OF THE | |||||||||||||
INTERIM FINANCIAL REPORTS FOR THE | |||||||||||||
2021 FINANCIAL YEAR IN THE PERIOD | |||||||||||||
UNTIL THE NEXT ANNUAL MEETING OF | |||||||||||||
THE SHAREHOLDERS IN THE 2021 | |||||||||||||
FINANCIAL YEAR | |||||||||||||
6 APPROVAL OF THE REMUNERATION SYSTEM FOR THE MEMBERS OF THE | Management | For | For | For | |||||||||
BOARD OF MANAGEMENT | |||||||||||||
7 ELECTION OF TIMOTHEUS HOETTGES | Management | For | For | For | |||||||||
TO THE SUPERVISORY BOARD | |||||||||||||
8 AUTHORIZATION TO ACQUIRE AND USE OWN SHARES AND TO EXCLUDE | Management | For | For | For | |||||||||
SHAREHOLDERS' SUBSCRIPTION | |||||||||||||
RIGHTS AND RIGHTS TO SELL SHARES | |||||||||||||
TO THE COMPANY | |||||||||||||
9 AUTHORIZATION TO USE DERIVATIVE FINANCIAL INSTRUMENTS IN THE | Management | For | For | For | |||||||||
CONTEXT OF ACQUIRING OWN SHARES | |||||||||||||
AND TO EXCLUDE SHAREHOLDERS' | |||||||||||||
SUBSCRIPTION RIGHTS AND RIGHTS | |||||||||||||
TO SELL SHARES TO THE COMPANY | |||||||||||||
10 | AUTHORIZATION TO ISSUE | Management | For | For | For | ||||||||
CONVERTIBLE BONDS AND/OR BONDS | |||||||||||||
WITH WARRANTS AND TO EXCLUDE | |||||||||||||
SHAREHOLDERS' SUBSCRIPTION | |||||||||||||
RIGHTS; CREATION OF CONDITIONAL | |||||||||||||
CAPITAL 2020 AND AMENDMENT TO | |||||||||||||
THE ARTICLES OF INCORPORATION | |||||||||||||
11.A | AMENDMENT OF THE ARTICLES OF INCORPORATION BY NEW ARTICLE 11A | Management | For | For | For | ||||||||
AND NEW SECTION 5 TO ARTICLE 13: | |||||||||||||
AMENDMENT BY NEW ARTICLE 11A | |||||||||||||
(ANNUAL MEETING - VIDEO AND AUDIO | |||||||||||||
TRANSMISSION) | |||||||||||||
11.B | AMENDMENT OF THE ARTICLES OF INCORPORATION BY NEW ARTICLE 11A | Management | For | For | For | ||||||||
AND NEW SECTION 5 TO ARTICLE 13: | |||||||||||||
AMENDMENT BY NEW SECTION 5 TO | |||||||||||||
ARTICLE 13 (ANNUAL MEETING - | |||||||||||||
ELECTRONIC PARTICIPATION OF | |||||||||||||
SHAREHOLDERS) | |||||||||||||
12.A | AMENDMENT TO ARTICLE 16 OF THE ARTICLES OF INCORPORATION | Management | For | For | For | ||||||||
(ANNUAL MEETING - RESOLUTION): | |||||||||||||
DELETION OF ARTICLE 16 SEC. 2 | |||||||||||||
12.B | AMENDMENT TO ARTICLE 16 OF THE | Management | For | For | For | ||||||||
ARTICLES OF INCORPORATION | |||||||||||||
(ANNUAL MEETING - RESOLUTION): | |||||||||||||
AMENDMENT AND REVISION OF | |||||||||||||
ARTICLE 16 SEC. 1 | |||||||||||||
13 | APPROVAL OF THE CONCLUSION OF A PROFIT TRANSFER AGREEMENT | Management | For | For | For | ||||||||
BETWEEN DAIMLER AG AND | |||||||||||||
MERCEDES-BENZ BANK AG | |||||||||||||
SIEMENS AG | |||||||||||||
Security | D69671218 | Meeting Type | ExtraOrdinary Gen eral Meeting | ||||||||||
Ticker Symbol | Meeting Date | 09-Jul-2020 | |||||||||||
ISIN | DE0007236101 | Agenda | 712718228 - Man ag ement | ||||||||||
Item Proposal | Proposed by | Vote | Management Recommendation | 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 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 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 Non-Voting 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 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 1 TO RESOLVE ON THE APPROVAL OF THE SPIN-OFF AND TRANSFER AGREEMENT BETWEEN SIEMENS AG AND SIEMENS ENERGY AG, MUNICH, DATED MAY 22, 2020 | Non-Voting Non-Voting Management For For For | ||||||||||||
HITACHI,LTD. | |||||||||||||
Security Ticker Symbol | J20454112 | Meeting Type Meeting Date | ExtraOrdinary Gen eral Meeting 30-Jul-2020 | ||||||||||
ISIN | JP3788600009 | Agenda 712915480 - Man ag ement | |||||||||||
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
The Transfer Agent in Japan for this event req uires it be registered as an-"EGM" | Non-Voting | ||||||||||||
though the event will be conducted as an | |||||||||||||
"AGM" | |||||||||||||
1.1 | Appoint a Director Ihara, Katsumi | Management | For | For | For | ||||||||
1.2 | Appoint a Director Ravi Venkatesan | Management | For | For | For | ||||||||
1.3 | Appoint a Director Cynthia Carroll | Management | For | For | For | ||||||||
1.4 | Appoint a Director Joe Harlan | Management | For | For | For | ||||||||
1.5 | Appoint a Director George Buckley | Management | For | For | For | ||||||||
1.6 | Appoint a Director Louise Pentland | Management | For | For | For | ||||||||
1.7 | Appoint a Director Mochizuki, Harufumi | Management | For | For | For | ||||||||
1.8 | Appoint a Director Yamamoto, Takatoshi | Management | For | For | For | ||||||||
1.9 | Appoint a Director Yoshihara, Hiroaki | Management | For | For | For | ||||||||
1.10 | Appoint a Director Helmuth Ludwig | Management | For | For | For | ||||||||
1.11 | Appoint a Director Seki, Hideaki | Management | For | For | For | ||||||||
1.12 | Appoint a Director Nakanishi, Hiroaki | Management | For | For | For | ||||||||
1.13 | Appoint a Director Higashihara, Toshiaki | Management | For | For | For | ||||||||
PLUS500 LTD | |||||||||||||
Security | M7S2CK109 | Meeting Type | Annual Gen eral Meeting | ||||||||||
Ticker Symbol | Meeting Date | 16-Sep-2020 | |||||||||||
ISIN | IL0011284465 | Agenda | 713023430 - Man ag ement | ||||||||||
Item Proposal | Proposed | Vote | Management | For/Against | |||||||||
by | Recommendation | Management | |||||||||||
CMMT | AS A CONDITION OF VOTING, ISRAELI | Non-Voting | |||||||||||
MARKET REGULATIONS REQUIRE THAT | |||||||||||||
YOU-DISCLOSE WHETHER YOU HAVE | |||||||||||||
A) A PERSONAL INTEREST IN THIS | |||||||||||||
COMPANY B) ARE A-CONTROLLING | |||||||||||||
SHAREHOLDER IN THIS COMPANY C) | |||||||||||||
ARE A SENIOR OFFICER OF THIS- | |||||||||||||
COMPANY D) THAT YOU ARE AN | |||||||||||||
INSTITUTIONAL CLIENT, JOINT | |||||||||||||
INVESTMENT FUND-MANAGER OR | |||||||||||||
TRUST FUND. BY VOTING THROUGH | |||||||||||||
THE PROXY EDGE PLATFORM YOU | |||||||||||||
ARE-CONFIRMING THE ANSWER FOR A, | |||||||||||||
B AND C TO BE NO AND THE ANSWER | |||||||||||||
FOR D TO BE YES.-SHOULD THIS NOT | |||||||||||||
BE THE CASE, IN ADDITION TO | |||||||||||||
SUBMITTING YOUR VOTE- | |||||||||||||
INSTRUCTION(S) VIA PROXYEDGE, | |||||||||||||
PLEASE CONTACT YOUR CLIENT | |||||||||||||
SERVICE-REPRESENTATIVE | |||||||||||||
PROVIDING THEM WITH THE SPECIFIC | |||||||||||||
DISCLOSURE DETAILS INDICATING- | |||||||||||||
YOUR ACCOUNT INFORMATION AND | |||||||||||||
WHERE YOUR PERSONAL INTEREST | |||||||||||||
LIES. | |||||||||||||
1 | TO RE-ELECT PENELOPE JUDD, WHO RETIRES BY ROTATION PURSUANT TO | Management | For | For | For | ||||||||
ARTICLE 42 OF THE COMPANY'S | |||||||||||||
ARTICLES OF ASSOCIATION, AS AN | |||||||||||||
INDEPENDENT NON-EXECUTIVE | |||||||||||||
DIRECTOR (IF RE-ELECTED, MS. JUDD | |||||||||||||
SHALL CONTINUE TO SERVE AS | |||||||||||||
CHAIRMAN OF THE COMPANY'S BOARD | |||||||||||||
OF DIRECTORS FOLLOWING THE | |||||||||||||
ANNUAL GENERAL MEETING) | |||||||||||||
2 | TO RE-ELECT GAL HABER, WHO | Management | For | For | For | ||||||||
RETIRES BY ROTATION PURSUANT TO | |||||||||||||
ARTICLE 42 OF THE COMPANY'S | |||||||||||||
ARTICLES OF ASSOCIATION, AS A | |||||||||||||
DIRECTOR | |||||||||||||
3 | TO RE-ELECT DAVID ZRUIA, WHO RETIRES BY ROTATION PURSUANT TO | Management | For | For | For | ||||||||
ARTICLE 42 OF THE COMPANY'S | |||||||||||||
ARTICLES OF ASSOCIATION, AS A | |||||||||||||
DIRECTOR | |||||||||||||
4 TO RE-ELECT ELAD EVEN-CHEN, WHO | Management | For | For | For | |||||||||
RETIRES BY ROTATION PURSUANT TO | |||||||||||||
ARTICLE 42 OF THE COMPANY'S | |||||||||||||
ARTICLES OF ASSOCIATION, AS A | |||||||||||||
DIRECTOR | |||||||||||||
5 TO RE-ELECT STEVEN BALDWIN, WHO RETIRES BY ROTATION PURSUANT TO | Management | For | For | For | |||||||||
ARTICLE 42 OF THE COMPANY'S | |||||||||||||
ARTICLES OF ASSOCIATION, AS AN | |||||||||||||
INDEPENDENT NON-EXECUTIVE | |||||||||||||
DIRECTOR | |||||||||||||
6 TO ELECT ANNE GRIM AS AN | Management | For | For | For | |||||||||
EXTERNAL DIRECTOR AND | |||||||||||||
INDEPENDENT NONEXECUTIVE | |||||||||||||
DIRECTOR OF THE COMPANY FOR A | |||||||||||||
THREE YEAR TERM IN ACCORDANCE | |||||||||||||
WITH ISRAELI LAW REQUIREMENTS | |||||||||||||
7 TO RE-APPOINT KESSELMAN & KESSELMAN, A MEMBER FIRM OF | Management | For | For | For | |||||||||
PRICEWATERHOUSECOOPERS | |||||||||||||
INTERNATIONAL LIMITED, AS THE | |||||||||||||
COMPANY'S INDEPENDENT EXTERNAL | |||||||||||||
AUDITOR FOR 2020 | |||||||||||||
8 TO AUTHORISE THE COMPANY'S | Management | For | For | For | |||||||||
BOARD OF DIRECTORS (OR, THE AUDIT | |||||||||||||
COMMITTEE, IF AUTHORISED BY THE | |||||||||||||
BOARD OF DIRECTORS) TO FIX THE | |||||||||||||
REMUNERATION OF THE COMPANY'S | |||||||||||||
INDEPENDENT EXTERNAL AUDITOR | |||||||||||||
9 TO AUTHORISE THE DIRECTORS PURSUANT TO ARTICLE 10(C) OF THE | Management | For | For | For | |||||||||
COMPANY'S ARTICLES OF | |||||||||||||
ASSOCIATION TO ALLOT AND ISSUE UP | |||||||||||||
TO 5,298,958 ORDINARY SHARES | |||||||||||||
(REPRESENTING JUST UNDER 5 PER | |||||||||||||
CENT. OF THE COMPANY'S ISSUED | |||||||||||||
SHARE CAPITAL (EXCLUDING SHARES | |||||||||||||
HELD IN TREASURY)) FOR CASH AS IF | |||||||||||||
ARTICLE 10(B) OF THE ARTICLES OF | |||||||||||||
ASSOCIATION DID NOT APPLY TO SUCH | |||||||||||||
ALLOTMENT | |||||||||||||
10 TO AUTHORISE THE DIRECTORS PURSUANT TO ARTICLE 10(C) OF THE | Management | For | For | For | |||||||||
COMPANY'S ARTICLES OF | |||||||||||||
ASSOCIATION TO ALLOT AND ISSUE UP | |||||||||||||
TO 5,298,958 ORDINARY SHARES | |||||||||||||
(REPRESENTING JUST UNDER 5 PER | |||||||||||||
CENT. OF THE COMPANY'S ISSUED | |||||||||||||
SHARE CAPITAL (EXCLUDING SHARES | |||||||||||||
HELD IN TREASURY)) FOR CASH AS IF | |||||||||||||
ARTICLE 10(B) OF THE ARTICLES OF | |||||||||||||
ASSOCIATION DID NOT APPLY TO SUCH | |||||||||||||
ALLOTMENT AND ISSUE, SUCH | |||||||||||||
AUTHORITY TO BE LIMITED TO THE | |||||||||||||
ALLOTMENT OF EQUITY SECURITIES | |||||||||||||
OR SALE OF TREASURY SHARES, TO | |||||||||||||
BE USED ONLY FOR THE PURPOSES | |||||||||||||
OF: (I) 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 | |||||||||||||
PRE-EMPTION GROUP PRIOR TO THE | |||||||||||||
DATE OF THIS NOTICE; OR (II) | |||||||||||||
REDUCING ANY DEBT SERVICE COSTS | |||||||||||||
THE COMPANY MAY INCUR IN THE | |||||||||||||
FUTURE | |||||||||||||
11 TO AUTHORISE THE COMPANY TO MAKE PURCHASES OF UP TO | Management | For | For | For | |||||||||
10,597,917 ORDINARY SHARES | |||||||||||||
(REPRESENTING JUST UNDER 10 PER | |||||||||||||
CENT. OF THE COMPANY'S ISSUED | |||||||||||||
SHARE CAPITAL (EXCLUDING SHARES | |||||||||||||
HELD IN TREASURY)) FOR CASH | |||||||||||||
12 TO AMEND ARTICLE 41 OF THE COMPANY'S ARTICLES OF ASSOCIATION TO INCREASE THE | Management | For | For | For | |||||||||
MAXIMUM SIZE OF THE COMPANY'S | |||||||||||||
BOARD OF DIRECTORS FROM SEVEN | |||||||||||||
DIRECTORS TO EIGHT DIRECTORS | |||||||||||||
13 AS REQUIRED BY ISRAELI LAW, TO AMEND THE COMPANY'S | Management | For | For | For | |||||||||
REMUNERATION POLICY FOR | |||||||||||||
DIRECTORS AND EXECUTIVES TO | |||||||||||||
INCORPORATE CLAWBACK AND MALUS | |||||||||||||
PROVISIONS | |||||||||||||
14 TO APPROVE THE FEES PAYABLE TO ANNE GRIM FOR HER SERVICES AS A | Management | For | For | For | |||||||||
NON-EXECUTIVE DIRECTOR OF GBP | |||||||||||||
65,000 GROSS PER ANNUM (WHICH | |||||||||||||
AMOUNT SHALL INCREASE IN THE | |||||||||||||
FUTURE TO GBP 75,000 GROSS PER | |||||||||||||
ANNUM IN THE EVENT SHE IS | |||||||||||||
APPOINTED AT A LATER DATE TO | |||||||||||||
CHAIR A COMMITTEE OF THE BOARD) | |||||||||||||
15 TO APPROVE AN INCREASE TO THE FEES PAYABLE TO STEVEN BALDWIN | Management | For | For | For | |||||||||
FOR HIS SERVICES AS A NON- | |||||||||||||
EXECUTIVE DIRECTOR FROM GBP | |||||||||||||
65,000 GROSS PER ANNUM TO GBP | |||||||||||||
75,000 GROSS PER ANNUM EFFECTIVE | |||||||||||||
1 SEPTEMBER 2020 | |||||||||||||
16 TO APPROVE AN INCREASE TO THE | Management | For | For | For | |||||||||
FEES PAYABLE TO DANIEL KING FOR | |||||||||||||
HIS SERVICES AS A NON-EXECUTIVE | |||||||||||||
DIRECTOR FROM GBP 65,000 GROSS | |||||||||||||
PER ANNUM TO GBP 75,000 GROSS | |||||||||||||
PER ANNUM EFFECTIVE 1 SEPTEMBER | |||||||||||||
2020 | |||||||||||||
17 TO APPROVE A SPECIAL BONUS PAYMENT OF NIS 4,250,000 (APPROX. | Management | For | For | For | |||||||||
USD 1,227,000) TO ELAD EVEN-CHEN, | |||||||||||||
THE COMPANY'S EXECUTIVE | |||||||||||||
DIRECTOR AND CHIEF FINANCIAL | |||||||||||||
OFFICER, FOR HIS EXTRAORDINARY | |||||||||||||
CONTRIBUTION AND COMMITMENT IN | |||||||||||||
OBTAINING IN JULY 2020 A HIGHLY | |||||||||||||
BENEFICIAL APPROVAL FROM THE | |||||||||||||
ISRAEL TAX AUTHORITY (ITA) AND THE | |||||||||||||
ISRAEL INNOVATION AUTHORITY (IIA), | |||||||||||||
AS SET FORTH IN THE EXPLANATORY | |||||||||||||
NOTES | |||||||||||||
18 TO APPROVE AN INCREASE TO THE ANNUAL SALARY OF DAVID ZRUIA, THE | Management | For | For | For | |||||||||
COMPANY'S NEW EXECUTIVE | |||||||||||||
DIRECTOR AND CHIEF EXECUTIVE | |||||||||||||
OFFICER, FROM NIS 1,100,000 | |||||||||||||
(APPROX. USD 318,000) PER ANNUM TO | |||||||||||||
NIS 1,520,000 (APPROX. USD 439,000) | |||||||||||||
PER ANNUM, EFFECTIVE 20 APRIL 2020 | |||||||||||||
19 TO APPROVE THE GRANT TO DAVID ZRUIA, THE COMPANY'S NEW | Management | For | For | For | |||||||||
EXECUTIVE DIRECTOR AND CHIEF | |||||||||||||
EXECUTIVE OFFICER OF A | |||||||||||||
RESTRICTED SHARE UNIT (RSU) | |||||||||||||
AWARD UNDER AN ISRAELI COMPLIANT | |||||||||||||
INCENTIVE PROGRAM IN LIEU OF A | |||||||||||||
SIMILAR LTIP AWARD PREVIOUSLY | |||||||||||||
GRANTED TO MR ZRUIA IN HIS PRIOR | |||||||||||||
ROLE AS CHIEF OPERATING OFFICER, | |||||||||||||
WITH AN AGGREGATE VALUE OF UP TO | |||||||||||||
NIS 800,000 (APPROX. USD 231,000), | |||||||||||||
SUBJECT TO THE TERMS SET FORTH IN | |||||||||||||
THE EXPLANATORY NOTES | |||||||||||||
ASX LIMITED | |||||||||||||
Security Q0604U105 | Meeting Type | Annual Gen eral Meeting | |||||||||||
Ticker Symbol | Meeting Date | 30-Sep-2020 | |||||||||||
ISIN AU000000ASX7 | Agenda | 713040107 - Man ag ement | |||||||||||
Item Proposal | Proposed | Vote | Management | For/Against | |||||||||
by | Recommendation | Management | |||||||||||
CMMT VOTING EXCLUSIONS APPLY TO THIS | Non-Voting | ||||||||||||
MEETING FOR PROPOSALS 4 AND 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 | |||||||||||||
3.A TO ELECT MR DAMIAN ROCHE, WHO RETIRES BY ROTATION AND OFFERS | Management | For | For | For | |||||||||
HIMSELF FOR RE-ELECTION AS A | |||||||||||||
DIRECTOR OF ASX | |||||||||||||
3.B TO ELECT MR ROB WOODS, WHO HAVING BEEN APPOINTED A DIRECTOR | Management | For | For | For | |||||||||
OF ASX ON 1 JANUARY 2020 IN | |||||||||||||
ACCORDANCE WITH THE ASX | |||||||||||||
CONSTITUTION, OFFERS HIMSELF FOR | |||||||||||||
ELECTION AS A DIRECTOR OF ASX | |||||||||||||
4 TO ADOPT THE REMUNERATION | Management | For | For | For | |||||||||
REPORT FOR THE YEAR ENDED 30 | |||||||||||||
JUNE 2020 | |||||||||||||
5 TO APPROVE THE GRANT OF PERFORMANCE RIGHTS TO THE MANAGING DIRECTOR AND CEO, MR | Management | For | For | For | |||||||||
DOMINIC STEVENS, AS DESCRIBED IN | |||||||||||||
THE EXPLANATORY NOTES | |||||||||||||
ATOS SE | |||||||||||||
Security | F06116101 | Meeting Type | Ordinary Gen eral Meeting | ||||||||||
Ticker Symbol | Meeting Date | 27-Oct-2020 | |||||||||||
ISIN | FR0000051732 | Agenda | 713156417 - Man ag ement | ||||||||||
Item Proposal | Proposed by | Vote | Management Recommendation | 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. 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. CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 469953 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 CMMT 1 OCT 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/20200921200 4060-114 AND-https://www.journal- officiel.gouv.fr/balo/document/20200928200 4118-117 AND-PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RES 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 Non-Voting Non-Voting Non-Voting | ||||||||||||
1 | FAVOURABLE OPINION ON THE | Management | For | For | For | ||||||||
COMPANY'S MEDIUM-TERM | |||||||||||||
ORIENTATIONS | |||||||||||||
2 | APPOINTMENT OF MR. EDOUARD PHILIPPE AS DIRECTOR | Management | For | For | For | ||||||||
3 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | For | ||||||||
CMMT | 15 OCT 2020: PLEASE NOTE THAT THE | Non-Voting | |||||||||||
MEETING TYPE WAS CHANGED FROM | |||||||||||||
AGM TO OGM.-IF YOU HAVE ALREADY | |||||||||||||
SENT IN YOUR VOTES TO MID 471500, | |||||||||||||
PLEASE DO NOT VOTE-AGAIN UNLESS | |||||||||||||
YOU DECIDE TO AMEND YOUR | |||||||||||||
ORIGINAL INSTRUCTIONS. THANK YOU | |||||||||||||
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Reality Shares ETF Trust
By: /s/ Eric R. Ervin
Eric R. Ervin, President
Date: August 31, 2021