UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number811-22991
Reality Shares ETF Trust
(Exact name of registrant as specified in charter)
402 West Broadway, Suite 2800
San Diego, CA 92101
(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)
(619) 487-1445
(Registrant's telephone number, including area code)
Date of fiscal year end:October 31
Date of reporting period:July 1, 2018 – June 30, 2019
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2018 TO JUNE 30, 2019
Item 1. Proxy Voting Record.
Reality Shares Nasdaq NexGen Economy China ETF
Form NP-X Summary (2018 - 2019)
| JIANGSU ZHONGNAN CONSTRUCTION GROUP CO., LTD. | ||||
| Security | Y4451G103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 06-Jul-2018 | ||
| ISIN | CNE0000011P7 | Agenda | 709688901 - Management | |
| Record Date | 02-Jul-2018 | Holding Recon Date | 02-Jul-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 03-Jul-2018 | |
| SEDOL(s) | 6201595 - BD5CGZ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 965408 DUE TO ADDITION OF- RESOLUTION 2. 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 | PROVISION OF ADDITIONAL GUARANTEE FOR LOANS OF SUBSIDIARIES | Management | For | For | |||
| 2 �� | CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| CMMT | 28 JUN 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN SPLIT-VOTING TAG TO 'Y'. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID: 966805,-PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 84,400 | 0 | 28-Jun-2018 | 04-Jul-2018 |
| DHC SOFTWARE CO., LTD. | ||||
| Security | Y0771R100 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 09-Jul-2018 | ||
| ISIN | CNE000001NL4 | Agenda | 709682478 - Management | |
| Record Date | 02-Jul-2018 | Holding Recon Date | 02-Jul-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 04-Jul-2018 | |
| SEDOL(s) | B18TH93 - BD5CNL3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | REPURCHASE AND CANCELLATION OF SHARES FOR UNFULFILLED PERFORMANCE COMMITMENTS ON UNDERLYING ASSETS AND CAPITAL DECREASE | Management | For | For | |||
| 2 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE SHARE REPURCHASE | Management | For | For | |||
| 3 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION AND HANDLING THE INDUSTRIAL AND COMMERCIAL REGISTRATION AMENDMENT | Management | For | For | |||
| CMMT | 26 JUN 2018: PLEASE NOTE THAT THIS IS A REVISION DUE CHANGE IN SPLIT VOTING-TAG TO YES. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 70,100 | 0 | 26-Jun-2018 | 05-Jul-2018 |
| SUNING.COM CO., LTD. | ||||
| Security | Y82211106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 24-Jul-2018 | ||
| ISIN | CNE000001KF2 | Agenda | 709727880 - Management | |
| Record Date | 18-Jul-2018 | Holding Recon Date | 18-Jul-2018 | |
| City / Country | JIANGSU / China | Vote Deadline Date | 19-Jul-2018 | |
| SEDOL(s) | B01Y312 - B03GXG1 - B1VW6Y7 - BD5CPK6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CHANGE OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 2 | PROVISION OF GUARANTEE FOR SUBSIDIARIES | Management | For | For | |||
| CMMT | 10 JUL 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN SPLIT-VOTING TAG TO Y. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 37,700 | 0 | 10-Jul-2018 | 20-Jul-2018 |
| HEILONGJIANG AGRICULTURE CO LTD | ||||
| Security | Y3120A109 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 27-Jul-2018 | ||
| ISIN | CNE0000019Z9 | Agenda | 709745840 - Management | |
| Record Date | 20-Jul-2018 | Holding Recon Date | 20-Jul-2018 | |
| City / Country | HEILON GJIANG / China | Vote Deadline Date | 24-Jul-2018 | |
| SEDOL(s) | 6519599 - 6535982 - B1VP709 - BFF5BX4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | MANAGEMENT MEASURES ON THE PERFORMANCE APPRAISAL AND REMUNERATION OF THE PERSONS IN CHARGE OF THE COMPANY | Management | For | For | |||
| 2 | PAYMENT OF REMUNERATION TO THE PERSONS IN CHARGE OF THE COMPANY | Management | For | For | |||
| 3 | WITHDRAWAL FROM THE REAL ESTATE BUSINESS | Management | For | For | |||
| CMMT | 13 JUL 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN SPLIT-VOTING TAG TO 'Y'. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 52,900 | 0 | 17-Jul-2018 | 25-Jul-2018 |
| CHINA CITIC BANK CORPORATION LTD | ||||
| Security | Y1434M108 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 08-Aug-2018 | ||
| ISIN | CNE1000000R4 | Agenda | 709681298 - Management | |
| Record Date | 06-Jul-2018 | Holding Recon Date | 06-Jul-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 03-Aug-2018 | |
| SEDOL(s) | B1VXHG9 - B1YMQ55 - BP3R2H3 - BSTK2Y4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 2 | ELECTION OF FANG HEYING AS AN EXECUTIVE DIRECTOR | Management | For | For | |||
| CMMT | 25 JUN 2018: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN SPLIT-VOTING TAG TO YES. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 72,100 | 0 | 26-Jun-2018 | 06-Aug-2018 |
| JIANGSU ZHONGNAN CONSTRUCTION GROUP CO., LTD. | ||||
| Security | Y4451G103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 09-Aug-2018 | ||
| ISIN | CNE0000011P7 | Agenda | 709790871 - Management | |
| Record Date | 06-Aug-2018 | Holding Recon Date | 06-Aug-2018 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 06-Aug-2018 | |
| SEDOL(s) | 6201595 - BD5CGZ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | 2018 STOCK OPTION INCENTIVE PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | |||
| 2 | APPRAISAL MEASURES FOR THE IMPLEMENTATION OF THE 2018 STOCK OPTION INCENTIVE PLAN | Management | For | For | |||
| 3 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE STOCK OPTION INCENTIVE PLAN | Management | For | For | |||
| 4 | CONNECTED TRANSACTION REGARDING SALE OF EQUITIES IN A JOINT STOCK COMPANY | Management | For | For | |||
| 5 | PROVISION OF ADDITIONAL GUARANTEE FOR LOANS OF SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 90,700 | 0 | 26-Jul-2018 | 07-Aug-2018 |
| TRANSFAR ZHILIAN CO., LTD. | ||||
| Security | Y98924106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 22-Aug-2018 | ||
| ISIN | CNE000001JS7 | Agenda | 709816461 - Management | |
| Record Date | 15-Aug-2018 | Holding Recon Date | 15-Aug-2018 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 17-Aug-2018 | |
| SEDOL(s) | B01NVB5 - BD5CKP6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CHANGE OF SOME PROJECTS FINANCED WITH RAISED FUNDS | Management | For | For | |||
| 2 | FEASIBILITY STUDY REPORT ON A PROJECT | Management | For | For | |||
| 3 | PROVISION OF GUARANTEE FOR SUBORDINATE COMPANIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 32,800 | 0 | 07-Aug-2018 | 20-Aug-2018 |
| HYUNION HOLDING CO., LTD. | ||||
| Security | Y71641107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 24-Aug-2018 | ||
| ISIN | CNE100000YV1 | Agenda | 709824014 - Management | |
| Record Date | 20-Aug-2018 | Holding Recon Date | 20-Aug-2018 | |
| City / Country | SHANDO NG / China | Vote Deadline Date | 21-Aug-2018 | |
| SEDOL(s) | B5ZQ085 - BFCCQB1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | PREPLAN FOR SHARE REPURCHASE BY MEANS OF CENTRALIZED BIDDING | Management | For | For | |||
| 2 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE SHARE REPURCHASE | Management | For | For | |||
| 3 | AMENDMENTS TO THE COMPANY'S BUSINESS SCOPE AND ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 57,500 | 0 | 10-Aug-2018 | 22-Aug-2018 |
| JIANGSU ZHONGNAN CONSTRUCTION GROUP CO., LTD. | ||||
| Security | Y4451G103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 30-Aug-2018 | ||
| ISIN | CNE0000011P7 | Agenda | 709837617 - Management | |
| Record Date | 23-Aug-2018 | Holding Recon Date | 23-Aug-2018 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 27-Aug-2018 | |
| SEDOL(s) | 6201595 - BD5CGZ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | ADJUSTMENT OF THE ISSUING VOLUME OF THE PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | |||
| 2 | PROVISION OF ADDITIONAL GUARANTEE FOR LOANS OF SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 90,700 | 0 | 21-Aug-2018 | 28-Aug-2018 |
| HUNDSUN TECHNOLOGIES INC | ||||
| Security | Y3041V109 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 07-Sep-2018 | ||
| ISIN | CNE000001GD5 | Agenda | 709859358 - Management | |
| Record Date | 31-Aug-2018 | Holding Recon Date | 31-Aug-2018 | |
| City / Country | HANGZH OU / China | Vote Deadline Date | 04-Sep-2018 | |
| SEDOL(s) | 6610458 - BP3R6B5 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CONNECTED TRANSACTION REGARDING INVESTMENT IN SETTING UP A PARTNERSHIP (2ND TRANCHE) WITH RELATED PARTIES | Management | For | For | |||
| 2 | OVERALL PLAN OF INVESTMENT AND ASSETS MANAGEMENT FROM 2017 TO 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 13,000 | 0 | 24-Aug-2018 | 05-Sep-2018 |
| NETEASE, INC. | ||||
| Security | 64110W102 | Meeting Type | Annual | |
| Ticker Symbol | NTES | Meeting Date | 07-Sep-2018 | |
| ISIN | US64110W1027 | Agenda | 934868805 - Management | |
| Record Date | 31-Jul-2018 | Holding Recon Date | 31-Jul-2018 | |
| City / Country | / United States | Vote Deadline Date | 04-Sep-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Re-election of director: William Lei Ding | Management | For | For | |||
| 1b. | Re-election of director: Alice Cheng | Management | For | For | |||
| 1c. | Re-election of director: Denny Lee | Management | For | For | |||
| 1d. | Re-election of director: Joseph Tong | Management | For | For | |||
| 1e. | Re-election of director: Lun Feng | Management | For | For | |||
| 1f. | Re-election of director: Michael Leung | Management | For | For | |||
| 1g. | Re-election of director: Michael Tong | Management | For | For | |||
| 2. | Appoint PricewaterhouseCoopers Zhong Tian LLP as independent auditors of NetEase, Inc. for the fiscal year ending December 31, 2018. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 000281046 | BNY MELLON | 243 | 0 | 21-Aug-2018 | 06-Sep-2018 |
| GRG BANKING EQUIPMENT CO LTD | ||||
| Security | Y2889S103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 10-Sep-2018 | ||
| ISIN | CNE100000650 | Agenda | 709868458 - Management | |
| Record Date | 03-Sep-2018 | Holding Recon Date | 03-Sep-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 05-Sep-2018 | |
| SEDOL(s) | B23GZT2 - BD5CLH5 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: METHOD OF THE SHARE REPURCHASE | Management | For | For | |||
| 1.2 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: PRICE RANGE OF SHARES TO BE REPURCHASED | Management | For | For | |||
| 1.3 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: TOTAL AMOUNT AND SOURCE OF THE FUNDS TO BE USED FOR THE REPURCHASE | Management | For | For | |||
| 1.4 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: TYPE, NUMBER AND PERCENTAGE OF SHARES TO BE REPURCHASED | Management | For | For | |||
| 1.5 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: TIME LIMIT OF THE SHARE REPURCHASE | Management | For | For | |||
| 1.6 | REPURCHASE OF SHARES BY MEANS OF CENTRALIZED BIDDING: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | |||
| 2 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE SHARE REPURCHASE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 94,700 | 0 | 27-Aug-2018 | 06-Sep-2018 |
| CHINA UNITED NETWORK COMMUNICATIONS LIMITED | ||||
| Security | Y15117107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 14-Sep-2018 | ||
| ISIN | CNE000001CS2 | Agenda | 709871392 - Management | |
| Record Date | 07-Sep-2018 | Holding Recon Date | 07-Sep-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 11-Sep-2018 | |
| SEDOL(s) | 6547998 - B0376P4 - BP3R2X9 - BSTJPX1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | BY-ELECTION OF LI GUOHUA AS A DIRECTOR | Management | For | For | |||
| 2 | BY-ELECTION OF WANG LU AS A DIRECTOR | Management | For | For | |||
| 3 | ADJUSTMENT OF THE ARRANGEMENT FOR USE OF THE REMAINING AMOUNT OF RAISED FUNDS AND THE INTEREST THEREON | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 78,500 | 0 | 31-Aug-2018 | 12-Sep-2018 |
| DHC SOFTWARE CO., LTD. | ||||
| Security | Y0771R100 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 14-Sep-2018 | ||
| ISIN | CNE000001NL4 | Agenda | 709887713 - Management | |
| Record Date | 10-Sep-2018 | Holding Recon Date | 10-Sep-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 11-Sep-2018 | |
| SEDOL(s) | B18TH93 - BD5CNL3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | BY-ELECTION OF INDEPENDENT DIRECTORS | Management | For | For | |||
| 2 | EXTENSION OF THE IMPLEMENTATION OF SHAREHOLDING INCREASE PLAN BY DE FACTO CONTROLLER | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 75,300 | 0 | 31-Aug-2018 | 12-Sep-2018 |
| TUNGKONG INC | ||||
| Security | Y90019103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 17-Sep-2018 | ||
| ISIN | CNE000001R35 | Agenda | 709843672 - Management | |
| Record Date | 12-Sep-2018 | Holding Recon Date | 12-Sep-2018 | |
| City / Country | SHANDO NG / China | Vote Deadline Date | 05-Sep-2018 | |
| SEDOL(s) | B1Q2Z67 - BD5M0S9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | ELECTION OF NON-INDEPENDENT DIRECTOR: WANG AIXIAN | Management | For | For | |||
| 1.2 | ELECTION OF NON-INDEPENDENT DIRECTOR: SHI FENG | Management | For | For | |||
| 1.3 | ELECTION OF NON-INDEPENDENT DIRECTOR: SHI JIANZHONG | Management | For | For | |||
| 1.4 | ELECTION OF NON-INDEPENDENT DIRECTOR: LIU HONG | Management | For | For | |||
| 1.5 | ELECTION OF NON-INDEPENDENT DIRECTOR: XIA WENQING | Management | For | For | |||
| 2.1 | ELECTION OF INDEPENDENT DIRECTOR: HAO JIYONG | Management | For | For | |||
| 2.2 | ELECTION OF INDEPENDENT DIRECTOR: WAN GANG | Management | For | For | |||
| 2.3 | ELECTION OF INDEPENDENT DIRECTOR: XU BIN | Management | For | For | |||
| 3.1 | ELECTION OF NON-EMPLOYEE SUPERVISOR: LI ANLONG | Management | For | For | |||
| 3.2 | ELECTION OF NON-EMPLOYEE SUPERVISOR: LI FENG | Management | For | For | |||
| 3.3 | ELECTION OF NON-EMPLOYEE SUPERVISOR: LOU BENMEI | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 30,500 | 0 | 21-Aug-2018 | 06-Sep-2018 |
| JIANGSU ZHONGNAN CONSTRUCTION GROUP CO., LTD. | ||||
| Security | Y4451G103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 18-Sep-2018 | ||
| ISIN | CNE0000011P7 | Agenda | 709902351 - Management | |
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 13-Sep-2018 | |
| SEDOL(s) | 6201595 - BD5CGZ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | ELIGIBILITY FOR THE REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS | Management | For | For | |||
| 2.1 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: REGISTRATION VOLUME | Management | For | For | |||
| 2.2 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: ISSUING METHOD AND DATE | Management | For | For | |||
| 2.3 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: BOND TYPE AND DURATION | Management | For | For | |||
| 2.4 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: ISSUING TARGETS | Management | For | For | |||
| 2.5 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: PURPOSE OF THE RAISED FUNDS | Management | For | For | |||
| 2.6 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: ISSUANCE COST | Management | For | For | |||
| 2.7 | REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | |||
| 3 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE REGISTRATION AND ISSUANCE OF SUPER AND SHORT-TERM COMMERCIAL PAPERS | Management | For | For | |||
| 4 | ADJUSTMENT OF THE ISSUING VOLUME OF MEDIUM-TERM NOTES | Management | For | For | |||
| 5 | PROVISION OF ADDITIONAL GUARANTEE FOR LOANS OF SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 90,700 | 0 | 04-Sep-2018 | 14-Sep-2018 |
| JIANGSU ZHONGNAN CONSTRUCTION GROUP CO., LTD. | ||||
| Security | Y4451G103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 11-Oct-2018 | ||
| ISIN | CNE0000011P7 | Agenda | 709960377 - Management | |
| Record Date | 27-Sep-2018 | Holding Recon Date | 27-Sep-2018 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 08-Oct-2018 | |
| SEDOL(s) | 6201595 - BD5CGZ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | TRANSFER OF PARTIAL EQUITIES AND THE RIGHT OF RETURN ON EQUITIES OF WHOLLY-OWNED SUBSIDIARIES AND PROVISION OF GUARANTEE FOR THE TRANSACTION | Management | For | For | |||
| 2 | CONNECTED TRANSACTION REGARDING SALE OF EQUITIES IN WHOLLY-OWNED SUBSIDIARIES | Management | For | For | |||
| 3 | ELIGIBILITY OF REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES | Management | For | For | |||
| 4.1 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: REGISTRATION VOLUME | Management | For | For | |||
| 4.2 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: ISSUING METHOD AND DATE | Management | For | For | |||
| 4.3 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: ISSUE TYPE AND DURATION | Management | For | For | |||
| 4.4 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: ISSUING TARGETS | Management | For | For | |||
| 4.5 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: PURPOSE OF THE RAISED FUNDS | Management | For | For | |||
| 4.6 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: INTEREST RATE | Management | For | For | |||
| 4.7 | REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | |||
| 5 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE REGISTRATION AND ISSUANCE OF PRIVATE PLACEMENT NOTES | Management | For | For | |||
| 6 | ADDITIONAL GUARANTEE FOR FINANCING OF SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 90,700 | 0 | 01-Oct-2018 | 09-Oct-2018 |
| HEILONGJIANG AGRICULTURE CO LTD | ||||
| Security | Y3120A109 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 16-Oct-2018 | ||
| ISIN | CNE0000019Z9 | Agenda | 709964010 - Management | |
| Record Date | 09-Oct-2018 | Holding Recon Date | 09-Oct-2018 | |
| City / Country | HEILON GJIANG / China | Vote Deadline Date | 11-Oct-2018 | |
| SEDOL(s) | 6519599 - 6535982 - B1VP709 - BFF5BX4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | A CONTROLLED SUBSIDIARY'S OFFSETTING DEBTS WITH ASSETS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 34,900 | 0 | 01-Oct-2018 | 12-Oct-2018 |
| BUSINESS-INTELLIGENCE OF ORIENTAL NATIONS CORPORAT | ||||
| Security | Y0918A101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 23-Oct-2018 | ||
| ISIN | CNE100000ZB0 | Agenda | 710007041 - Management | |
| Record Date | 16-Oct-2018 | Holding Recon Date | 16-Oct-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 18-Oct-2018 | |
| SEDOL(s) | B64H1F0 - BD5CFD9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | TO CONSIDER AND APPROVE THE PROPOSAL TO CHANGE THE REGISTERED CAPITAL AND TO REVISE THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | |||
| 2 | TO CONSIDER AND APPROVE THE PROPOSAL TO CHANGE THE IMPLEMENTATION METHODS OF CERTAIN COMMITTED INVESTMENT PROJECTS FROM THE NON-PUBLIC OFFERING | Management | For | For | |||
| 3 | TO CONSIDER AND APPROVE THE PROPOSAL TO PROVIDE GUARANTEES FOR THE COMPANY'S INVESTEE SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 25,000 | 0 | 09-Oct-2018 | 19-Oct-2018 |
| HYUNION HOLDING CO., LTD. | ||||
| Security | Y71641107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 29-Oct-2018 | ||
| ISIN | CNE100000YV1 | Agenda | 710029225 - Management | |
| Record Date | 22-Oct-2018 | Holding Recon Date | 22-Oct-2018 | |
| City / Country | SHANDO NG / China | Vote Deadline Date | 24-Oct-2018 | |
| SEDOL(s) | B5ZQ085 - BFCCQB1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CHANGE OF THE PURPOSE OF SOME REPURCHASED SHARE | Management | For | For | |||
| 2 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 3 | 2018 RESTRICTED STOCK INCENTIVE PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | |||
| 4 | APPRAISAL MANAGEMENT MEASURES FOR THE 2018 RESTRICTED STOCK INCENTIVE PLAN | Management | For | For | |||
| 5 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE RESTRICTED STOCK INCENTIVE PLAN | Management | For | For | |||
| 6.1 | ELECTION OF NON-INDEPENDENT DIRECTOR: LIU GUOPING | Management | For | For | |||
| 6.2 | ELECTION OF NON-INDEPENDENT DIRECTOR: WU YING | Management | For | For | |||
| 6.3 | ELECTION OF NON-INDEPENDENT DIRECTOR: DAI BING | Management | For | For | |||
| 6.4 | ELECTION OF NON-INDEPENDENT DIRECTOR: HONG XIAOMING | Management | For | For | |||
| 6.5 | ELECTION OF NON-INDEPENDENT DIRECTOR: ZHOU JIANFU | Management | For | For | |||
| 6.6 | ELECTION OF NON-INDEPENDENT DIRECTOR: FAN HOUYI | Management | For | For | |||
| 6.7 | ELECTION OF NON-INDEPENDENT DIRECTOR: LI BEN | Management | For | For | |||
| 6.8 | ELECTION OF NON-INDEPENDENT DIRECTOR: SUN ZHEN | Management | For | For | |||
| 7.1 | ELECTION OF INDEPENDENT DIRECTOR: XU GUOLIANG | Management | For | For | |||
| 7.2 | ELECTION OF INDEPENDENT DIRECTOR: ZHU HONGWEI | Management | For | For | |||
| 7.3 | ELECTION OF INDEPENDENT DIRECTOR: ZHANG PENG | Management | For | For | |||
| 7.4 | ELECTION OF INDEPENDENT DIRECTOR: WAN MING | Management | For | For | |||
| 8.1 | ELECTION OF SUPERVISOR: YANG LIANGGANG | Management | For | For | |||
| 8.2 | ELECTION OF SUPERVISOR: WANG ZHIJUN | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 41,000 | 0 | 13-Oct-2018 | 25-Oct-2018 |
| EASY VISIBLE SUPPLY CHAIN MANAGEMENT CO., LTD. | ||||
| Security | Y79329101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 29-Oct-2018 | ||
| ISIN | CNE000000RG7 | Agenda | 710032234 - Management | |
| Record Date | 22-Oct-2018 | Holding Recon Date | 22-Oct-2018 | |
| City / Country | YUNNAN / China | Vote Deadline Date | 24-Oct-2018 | |
| SEDOL(s) | 6005430 - BYV1QG7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLE OF ASSOCIATION | Management | For | For | |||
| 2.1 | ELECTION OF NON-INDEPENDENT DIRECTOR: REN ZIXIANG | Management | For | For | |||
| 2.2 | ELECTION OF NON-INDEPENDENT DIRECTOR: XU JIALI | Management | For | For | |||
| 3.1 | ELECTION OF SUPERVISOR: XIE JIANHUI | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 45,200 | 0 | 16-Oct-2018 | 18-Oct-2018 |
| ALIBABA GROUP HOLDING LIMITED | ||||
| Security | 01609W102 | Meeting Type | Annual | |
| Ticker Symbol | BABA | Meeting Date | 31-Oct-2018 | |
| ISIN | US01609W1027 | Agenda | 934878553 - Management | |
| Record Date | 24-Aug-2018 | Holding Recon Date | 24-Aug-2018 | |
| City / Country | / United States | Vote Deadline Date | 23-Oct-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director to serve for a three year term: JOSEPH C. TSAI | Management | For | For | |||
| 1b. | Election of Director to serve for a three year term: J. MICHAEL EVANS | Management | For | For | |||
| 1c. | Election of Director to serve for a three year term: ERIC XIANDONG JING | Management | For | For | |||
| 1d. | Election of Director to serve for a three year term: BORJE E. EKHOLM | Management | For | For | |||
| 2. | Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 000281046 | BNY MELLON | 545 | 0 | 01-Oct-2018 | 25-Oct-2018 |
| BLUEDON INFORMATION SECURITY TECHNOLOGIES CO LTD | ||||
| Security | Y0774K102 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 05-Nov-2018 | ||
| ISIN | CNE100001CC5 | Agenda | 710084156 - Management | |
| Record Date | 31-Oct-2018 | Holding Recon Date | 31-Oct-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 31-Oct-2018 | |
| SEDOL(s) | B7FF804 - BD5M1M0 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: OBJECTIVE AND PURPOSE OF SHARE REPURCHASE | Management | For | For | |||
| 1.2 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: METHOD OF THE SHARE REPURCHASE | Management | For | For | |||
| 1.3 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: PRICE OR PRICE RANGE OF SHARES TO BE REPURCHASED AND THE PRICING PRINCIPLES | Management | For | For | |||
| 1.4 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: TOTAL AMOUNT AND SOURCE OF THE FUNDS TO BE USED FOR THE REPURCHASE | Management | For | For | |||
| 1.5 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: TYPE, NUMBER AND PERCENTAGE TO THE TOTAL CAPITAL OF SHARES TO BE REPURCHASED | Management | For | For | |||
| 1.6 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: TIME LIMIT OF THE SHARE REPURCHASE | Management | For | For | |||
| 1.7 | SHARE REPURCHASE FOR EMPLOYEE INCENTIVE: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | |||
| 2 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE SHARE REPURCHASE FOR EMPLOYEE INCENTIVE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 51,600 | 0 | 23-Oct-2018 | 01-Nov-2018 |
| CHINA MERCHANTS BANK CO LTD | ||||
| Security | Y14896107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 07-Nov-2018 | ||
| ISIN | CNE000001B33 | Agenda | 709956328 - Management | |
| Record Date | 31-Oct-2018 | Holding Recon Date | 31-Oct-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 02-Nov-2018 | |
| SEDOL(s) | 6518723 - B0376M1 - BP3R273 - BSTJP64 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | BY-ELECTION OF LUO SHENG AS A NON- EXECUTIVE DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 10,200 | 0 | 01-Oct-2018 | 05-Nov-2018 |
| SUNING.COM CO., LTD. | ||||
| Security | Y82211106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 07-Nov-2018 | ||
| ISIN | CNE000001KF2 | Agenda | 710084360 - Management | |
| Record Date | 02-Nov-2018 | Holding Recon Date | 02-Nov-2018 | |
| City / Country | JIANGSU / China | Vote Deadline Date | 02-Nov-2018 | |
| SEDOL(s) | B01Y312 - B03GXG1 - B1VW6Y7 - BD5CPK6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CHANGE OF THE PURPOSE OF SOME RAISED FUNDS | Management | For | For | |||
| 2 | REGISTRATION AND ISSUANCE OF MEDIUM-TERM NOTES | Management | For | For | |||
| 3 | EXPANSION OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 4 | PROVISION OF PERFORMANCE GUARANTEE FOR CONTROLLED SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 26,000 | 0 | 23-Oct-2018 | 05-Nov-2018 |
| AGRICULTURAL BANK OF CHINA | ||||
| Security | Y00289101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 12-Nov-2018 | ||
| ISIN | CNE100000RJ0 | Agenda | 710006936 - Management | |
| Record Date | 12-Oct-2018 | Holding Recon Date | 12-Oct-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 07-Nov-2018 | |
| SEDOL(s) | B620Y41 - BP3R228 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | ELECTION OF WANG JINGDONG AS A SHAREHOLDER SUPERVISOR | Management | For | For | |||
| 2 | ELECTION OF LI WANG AS AN EXTERNAL SUPERVISOR | Management | For | For | |||
| 3 | ELECTION OF ZHANG JIE AS AN EXTERNAL SUPERVISOR | Management | For | For | |||
| 4 | ELECTION OF LIU HONGXIA AS AN EXTERNAL SUPERVISOR | Management | For | For | |||
| 5 | 2017 REMUNERATION STANDARDS FOR DIRECTORS | Management | For | For | |||
| 6 | 2017 REMUNERATION STANDARDS FOR SUPERVISORS | Management | For | For | |||
| 7 | CAPITAL PLAN FROM 2019 TO 2021 | Management | For | For | |||
| 8 | PLAN FOR THE ISSUANCE OF TIER II CAPITAL INSTRUMENTS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 85,000 | 0 | 09-Oct-2018 | 08-Nov-2018 |
| DHC SOFTWARE CO LTD | ||||
| Security | Y2080B107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 13-Nov-2018 | ||
| ISIN | CNE000001NL4 | Agenda | 710132363 - Management | |
| Record Date | 06-Nov-2018 | Holding Recon Date | 06-Nov-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 08-Nov-2018 | |
| SEDOL(s) | B18TH93 - BD5CNL3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 47,500 | 0 | 30-Oct-2018 | 09-Nov-2018 |
| LEO GROUP CO LTD | ||||
| Security | Y9892V106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 13-Nov-2018 | ||
| ISIN | CNE1000000F9 | Agenda | 710132680 - Management | |
| Record Date | 08-Nov-2018 | Holding Recon Date | 08-Nov-2018 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 08-Nov-2018 | |
| SEDOL(s) | B1VYT77 - BD5CHL1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | DOWNWARD ADJUSTMENT TO THE CONVERSION PRICE OF THE COMPANY'S CONVERTIBLE CORPORATE BONDS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 190,100 | 0 | 30-Oct-2018 | 09-Nov-2018 |
| TUNGKONG INC | ||||
| Security | Y9004P104 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 21-Nov-2018 | ||
| ISIN | CNE000001R35 | Agenda | 710180011 - Management | |
| Record Date | 16-Nov-2018 | Holding Recon Date | 16-Nov-2018 | |
| City / Country | SHANDO NG / China | Vote Deadline Date | 09-Nov-2018 | |
| SEDOL(s) | B1Q2Z67 - BD5M0S9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | EXPANSION OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 21,000 | 0 | 07-Nov-2018 | 12-Nov-2018 |
| GRG BANKING EQUIPMENT CO LTD | ||||
| Security | Y2889S103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 23-Nov-2018 | ||
| ISIN | CNE100000650 | Agenda | 710190098 - Management | |
| Record Date | 16-Nov-2018 | Holding Recon Date | 16-Nov-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 20-Nov-2018 | |
| SEDOL(s) | B23GZT2 - BD5CLH5 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CHANGE OF PERFORMANCE COMMITMENTS AND TRANSFER OF EQUITIES IN A COMPANY VIA PUBLIC LISTING | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 72,700 | 0 | 09-Nov-2018 | 21-Nov-2018 |
| AISINO CORP | ||||
| Security | Y0017G124 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 27-Nov-2018 | ||
| ISIN | CNE000001FB1 | Agenda | 710155917 - Management | |
| Record Date | 20-Nov-2018 | Holding Recon Date | 20-Nov-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 22-Nov-2018 | |
| SEDOL(s) | 6651297 - BP3R660 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 2 | PROVISION OF GUARANTEE FOR THE BANK CREDIT LINE APPLIED FOR BY AN OVERSEAS WHOLLY- OWNED SUBSIDIARY | Management | For | For | |||
| 3.1 | ELECTION OF DIRECTOR: SUN ZHE, NON- INDEPENDENT DIRECTOR | Management | For | For | |||
| 3.2 | ELECTION OF DIRECTOR: GU CHAOLING, NON- INDEPENDENT DIRECTOR | Management | For | For | |||
| 3.3 | ELECTION OF DIRECTOR: CHEN RONGXING, NON- INDEPENDENT DIRECTOR | Management | For | For | |||
| 4.1 | ELECTION OF SUPERVISOR: GONG XINGLONG | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 15,300 | 0 | 01-Nov-2018 | 23-Nov-2018 |
| FOSUN INTERNATIONAL LTD | ||||
| Security | Y2618Y108 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 27-Nov-2018 | ||
| ISIN | HK0656038673 | Agenda | 710194123 - Management | |
| Record Date | 21-Nov-2018 | Holding Recon Date | 21-Nov-2018 | |
| City / Country | SHANGH AI / Hong Kong | Vote Deadline Date | 21-Nov-2018 | |
| SEDOL(s) | B1Z7FX0 - B23DHW0 - B23DJG8 - BD8NFY0 - BP3RPY1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE. | Non-Voting | |||||
| 1 | TO APPROVE THE ADOPTION OF THE YUYUAN TRANCHE I SHARE OPTION INCENTIVE SCHEME AND TO AUTHORIZE THE DIRECTORS OF THE COMPANY AND YUYUAN TO EXECUTE ALL SUCH DOCUMENTS AND TAKE ALL STEPS AS THEY CONSIDER TO BE NECESSARY, EXPEDIENT AND APPROPRIATE TO GIVE EFFECT TO THE SCHEME | Management | For | For | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1109/LTN20181109458.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1109/LTN20181109470.PDF | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 25,564 | 0 | 10-Nov-2018 | 22-Nov-2018 |
| EASY VISIBLE SUPPLY CHAIN MANAGEMENT CO., LTD. | ||||
| Security | Y79329101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 06-Dec-2018 | ||
| ISIN | CNE000000RG7 | Agenda | 710221108 - Management | |
| Record Date | 29-Nov-2018 | Holding Recon Date | 29-Nov-2018 | |
| City / Country | YUNNAN / China | Vote Deadline Date | 03-Dec-2018 | |
| SEDOL(s) | 6005430 - BYV1QG7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | CONNECTED TRANSACTION REGARDING PURCHASE OF FACTORING ASSETS FROM CONTROLLED SUBSIDIARIES BY RELATED PARTIES VIA ASSET MANAGEMENT PLAN | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 45,200 | 0 | 22-Nov-2018 | 04-Dec-2018 |
| BLUEDON INFORMATION SECURITY TECHNOLOGIES CO LTD | ||||
| Security | Y0774K102 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 10-Dec-2018 | ||
| ISIN | CNE100001CC5 | Agenda | 710249651 - Management | |
| Record Date | 04-Dec-2018 | Holding Recon Date | 04-Dec-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 05-Dec-2018 | |
| SEDOL(s) | B7FF804 - BD5M1M0 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 128172 DUE TO CHANGE IN- RESOLUTION 2. 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 | DOWNWARD ADJUSTMENT TO THE CONVERSION PRICE | Management | For | For | |||
| 2 | AMENDMENTS TO THE COMPANY'S ARTICLE OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 51,600 | 0 | 29-Nov-2018 | 29-Nov-2018 |
| SUNING.COM CO., LTD. | ||||
| Security | Y82211106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 12-Dec-2018 | ||
| ISIN | CNE000001KF2 | Agenda | 710276090 - Management | |
| Record Date | 06-Dec-2018 | Holding Recon Date | 06-Dec-2018 | |
| City / Country | JIANGSU / China | Vote Deadline Date | 07-Dec-2018 | |
| SEDOL(s) | B01Y312 - B03GXG1 - B1VW6Y7 - BD5CPK6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | EXPANSION OF THE COMPANY'S BUSINESS SCOPE | Management | For | For | |||
| 2 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | |||
| 3 | AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING SHAREHOLDERS' GENERAL MEETINGS | Management | For | For | |||
| 4 | AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING THE BOARD MEETINGS | Management | For | For | |||
| 5 | CONFIRMATION OF PROPERTY LEASING WITH RELATED PARTIES | Management | For | For | |||
| 6 | AUTHORIZATION TO THE MANAGEMENT TEAM TO DISPOSE FINANCIAL ASSETS AVAILABLE FOR SALE AT A PROPER TIME | Management | For | For | |||
| 7 | ADDITIONAL QUOTA FOR RISK INVESTMENT WITH PROPRIETARY FUNDS | Management | For | For | |||
| 8 | CHANGE OF THE IMPLEMENTING PARTIES OF SOME PROJECTS FUNDED WITH RAISED FUNDS | Management | For | For | |||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 129244 DUE TO RECEIPT OF- ADDITIONAL RESOLUTIONS FROM 6 TO 8. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 26,000 | 0 | 04-Dec-2018 | 10-Dec-2018 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | ||||
| Security | Y69790106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 14-Dec-2018 | ||
| ISIN | CNE1000003X6 | Agenda | 710152682 - Management | |
| Record Date | 13-Nov-2018 | Holding Recon Date | 13-Nov-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 10-Dec-2018 | |
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291205.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291197.PDF | Non-Voting | |||||
| 1.1 | TO CONSIDER AND APPROVE THE ELECTION OF MR. NG SING YIP AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||
| 1.2 | TO CONSIDER AND APPROVE THE ELECTION OF MR. CHU YIYUN AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||
| 1.3 | TO CONSIDER AND APPROVE THE ELECTION OF MR. LIU HONG AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | |||
| 2 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE IMPLEMENTATION OF THE LONG- TERM SERVICE PLAN | Management | For | For | |||
| 3 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ISSUING OF DEBT FINANCING INSTRUMENTS | Management | For | For | |||
| 4 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION | Management | For | For | |||
| 5 | TO CONSIDER AND APPROVE THE PLAN REGARDING SHARE BUY-BACK AND RELEVANT AUTHORIZATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 5,872 | 0 | 31-Oct-2018 | 11-Dec-2018 |
| MIDEA GROUP CO LTD | ||||
| Security | Y6S40V103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 21-Dec-2018 | ||
| ISIN | CNE100001QQ5 | Agenda | 710222782 - Management | |
| Record Date | 13-Dec-2018 | Holding Recon Date | 13-Dec-2018 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 18-Dec-2018 | |
| SEDOL(s) | BD5CPP1 - BDVHRJ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | THE MERGER AND ACQUISITION OF WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A- SHARE OFFERING IS IN COMPLIANCE WITH RELEVANT LAWS AND REGULATIONS | Management | For | For | |||
| 2.1 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: PRINCIPALS OF MERGER | Management | For | For | |||
| 2.2 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: METHOD OF MERGER | Management | For | For | |||
| 2.3 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: EFFECTIVE DATE AND COMPLETION DATE OF THE MERGER | Management | For | For | |||
| 2.4 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: STOCK TYPE AND PAR VALUE | Management | For | For | |||
| 2.5 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: ISSUANCE TARGETS | Management | For | For | |||
| 2.6 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: ISSUE PRICE OF THE COMPANY'S SHARE | Management | For | For | |||
| 2.7 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: SWAP PRICE OF WUXI LITTLE SWAN COMPANY LIMITED A SHARE: CNY50.91 PER SHARE, SWAP PRICE OF WUXI LITTLE SWAN COMPANY LIMITED B SHARE: CNY42.07 PER SHARE, | Management | For | For | |||
| 2.8 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: SWAP RATIOS: 1:1.2110 FOR THE A SHARE, I.E. 1 A-SHARE OF WUXI LITTLE SWAN COMPANY LIMITED FOR 1.2110 SHARE OF THE COMPANY, 1:1.0007, I.E. 1 B-SHARE OF WUXI LITTLE SWAN COMPANY LIMITED FOR 1.0007 SHARE OF THE COMPANY | Management | For | For | |||
| 2.9 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: NUMBER OF SHARES ISSUED FOR THE SWAP | Management | For | For | |||
| 2.10 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: APPRAISAL RIGHT FOR THE COMPANY'S SHAREHOLDERS WHO CAST VALID VOTE AGAINST ALL THE PROPOSALS OF THE PLAN, AND CONTINUOUSLY HOLD SHARES FROM THE RECORD DATE OF THE MEETING TO THE DAY OF IMPLEMENTING THE APPRAISAL RIGHT AND IMPLEMENT DECLARATION PROCEDURES WITHIN THE PRESCRIBED TIME | Management | For | For | |||
| 2.11 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: CASH OPTION THE WUXI LITTLE SWAN COMPANY LIMITED'S SHAREHOLDERS WHO CAST VALID VOTE AGAINST ALL THE PROPOSALS OF THE PLAN, AND CONTINUOUSLY HOLD SHARES FROM THE RECORD DATE OF THE MEETING TO THE DAY OF IMPLEMENTING THE APPRAISAL RIGHT AND IMPLEMENT DECLARATION PROCEDURES WITHIN THE PRESCRIBED TIME | Management | For | For | |||
| 2.12 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: ADJUSTMENT MECHANISM FOR APPRAISAL RIGHT FOR THE COMPANY'S SHAREHOLDERS VOTING AGAINST THE PLAN AND CASH OPTION FOR THE WUXI LITTLE SWAN COMPANY LIMITED'S SHAREHOLDERS WHO VOTE AGAINST THE PLAN | Management | For | For | |||
| 2.13 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: IMPLEMENTATION DATE OF THE SHARE SWAP | Management | For | For | |||
| 2.14 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: SHARE SWAP METHOD | Management | For | For | |||
| 2.15 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: TRADING AND CIRCULATION OF THE SHARES TO BE ISSUED | Management | For | For | |||
| 2.16 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: DISPOSAL METHOD FOR FRACTIONAL SHARES | Management | For | For | |||
| 2.17 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: DISPOSAL OF THE RIGHT-LIMITED SHARES OF WUXI LITTLE SWAN COMPANY LIMITED | Management | For | For | |||
| 2.18 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: ARRANGEMENT FOR THE ACCUMULATED RETAINED PROFITS | Management | For | For | |||
| 2.19 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: DISPOSAL OF CREDITOR'S RIGHTS AND DEBTS INVOLVED IN THE MERGER AND ACQUISITION | Management | For | For | |||
| 2.20 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: ARRANGEMENT FOR THE TRANSITIONAL PERIOD OF THE MERGER AND ACQUISITION VIA SHARE SWAP | Management | For | For | |||
| 2.21 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: EMPLOYEE PLACEMENT OF THE MERGER AND ACQUISITION | Management | For | For | |||
| 2.22 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: SETTLEMENT OF THE MERGER AND ACQUISITION | Management | For | For | |||
| 2.23 | PLAN FOR MERGER AND ACQUISITION OF THE WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING: VALID PERIOD OF THE RESOLUTION | Management | For | For | |||
| 3 | REPORT (DRAFT) ON THE CONNECTED TRANSACTION REGARDING MERGER AND ACQUISITION OF WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING | Management | For | For | |||
| 4 | THE MERGER AND ACQUISITION VIA SHARE SWAP DOES NOT CONSTITUTE A CONNECTED TRANSACTION | Management | For | For | |||
| 5 | THE MERGER AND ACQUISITION VIA SHARE SWAP DOES NOT CONSTITUTE A MAJOR ASSETS RESTRUCTURING | Management | For | For | |||
| 6 | THE MERGER AND ACQUISITION VIA SHARE SWAP DOES NOT CONSTITUTE A LISTING BY RESTRUCTURING | Management | For | For | |||
| 7 | THE CONDITIONAL AGREEMENT ON MERGER AND ACQUISITION VIA SHARE SWAP TO BE SIGNED | Management | For | For | |||
| 8 | THE MERGER AND ACQUISITION VIA SHARE SWAP IS IN COMPLIANCE WITH ARTICLE 11 OF THE MANAGEMENT MEASURES ON MAJOR ASSETS RESTRUCTURING OF LISTED COMPANIES AND ARTICLE 4 OF THE PROVISIONS ON SEVERAL ISSUES CONCERNING THE REGULATION OF MAJOR ASSETS RESTRUCTURING OF LISTED COMPANIES | Management | For | For | |||
| 9 | THE MERGER AND ACQUISITION VIA SHARE SWAP IS IN COMPLIANCE WITH ARTICLE 43 OF THE MANAGEMENT MEASURES ON MAJOR ASSETS RESTRUCTURING OF LISTED COMPANIES | Management | For | For | |||
| 10 | FINANCIAL REPORT RELATED TO THE MERGER AND ACQUISITION VIA SHARE SWAP | Management | For | For | |||
| 11 | EVALUATION REPORT OF ANOTHER COMPANY REGARDING THE CONNECTED TRANSACTION OF MERGER AND ACQUISITION OF WUXI LITTLE SWAN COMPANY LIMITED VIA SHARE SWAP AND A-SHARE OFFERING | Management | For | For | |||
| 12 | DILUTED IMMEDIATE RETURN AFTER THE MERGER AND ACQUISITION AND FILLING MEASURES | Management | For | For | |||
| 13 | PROVISION OF APPRAISAL RIGHT FOR THE COMPANY'S SHAREHOLDERS VOTING AGAINST THE PLAN | Management | For | For | |||
| 14 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS IN RELATION TO THE MERGER AND ACQUISITION VIA SHARE SWAP | Management | For | For |
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 7,400 | 0 | 23-Nov-2018 | 19-Dec-2018 |
| BUSINESS-INTELLIGENCE OF ORIENTAL NATIONS CORPORAT | ||||
| Security | Y0918A101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 27-Dec-2018 | ||
| ISIN | CNE100000ZB0 | Agenda | 710326895 - Management | |
| Record Date | 20-Dec-2018 | Holding Recon Date | 20-Dec-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 20-Dec-2018 | |
| SEDOL(s) | B64H1F0 - BD5CFD9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | THE COMPANY'S ELIGIBILITY FOR PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | ||
| 2.1 | PUBLIC ISSUANCE OF CORPORATE BONDS: ISSUING VOLUME | Management | For | For | ||
| 2.2 | PUBLIC ISSUANCE OF CORPORATE BONDS: ISSUING TARGETS AND SUBSCRIPTION METHOD | Management | For | For | ||
| 2.3 | PUBLIC ISSUANCE OF CORPORATE BONDS: ARRANGEMENT FOR PLACEMENT TO EXISTING SHAREHOLDERS | Management | For | For | ||
| 2.4 | PUBLIC ISSUANCE OF CORPORATE BONDS: BOND TYPE AND DURATION | Management | For | For | ||
| 2.5 | PUBLIC ISSUANCE OF CORPORATE BONDS: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 2.6 | PUBLIC ISSUANCE OF CORPORATE BONDS: INTEREST RATE AND ITS DETERMINING METHOD | Management | For | For | ||
| 2.7 | PUBLIC ISSUANCE OF CORPORATE BONDS: SPECIAL CLAUSES FOR THE BOND | Management | For | For | ||
| 2.8 | PUBLIC ISSUANCE OF CORPORATE BONDS: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 2.9 | PUBLIC ISSUANCE OF CORPORATE BONDS: METHOD OF PAYING THE PRINCIPAL AND INTEREST | Management | For | For | ||
| 2.10 | PUBLIC ISSUANCE OF CORPORATE BONDS: LISTING OR TRANSFER PLACE | Management | For | For | ||
| 2.11 | PUBLIC ISSUANCE OF CORPORATE BONDS: UNDERWRITING METHOD | Management | For | For | ||
| 2.12 | PUBLIC ISSUANCE OF CORPORATE BONDS: REPAYMENT GUARANTEE MEASURES | Management | For | For | ||
| 2.13 | PUBLIC ISSUANCE OF CORPORATE BONDS: GUARANTEE CLAUSES | Management | For | For | ||
| 2.14 | PUBLIC ISSUANCE OF CORPORATE BONDS: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | ||
| 3 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | ||
| 4 | PROVISION OF GUARANTEE FOR JOINT STOCK SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 25,000 | 0 | 13-Dec-2018 | 21-Dec-2018 |
| SINODATA CO., LTD. | ||||
| Security | Y7762H108 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 27-Dec-2018 | ||
| ISIN | CNE100001C71 | Agenda | 710327506 - Management | |
| Record Date | 24-Dec-2018 | Holding Recon Date | 24-Dec-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 20-Dec-2018 | |
| SEDOL(s) | B6S7CR5 - BD5CK78 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLE OF ASSOCIATION | Management | For | For | ||
| 2 | AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING THE BOARD MEETINGS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 21,800 | 0 | 13-Dec-2018 | 21-Dec-2018 |
| LEO GROUP CO LTD | ||||
| Security | Y9892V106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 03-Jan-2019 | ||
| ISIN | CNE1000000F9 | Agenda | 710331086 - Management | |
| Record Date | 24-Dec-2018 | Holding Recon Date | 24-Dec-2018 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 28-Dec-2018 | |
| SEDOL(s) | B1VYT77 - BD5CHL1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | ASSETS IMPAIRMENT TEST OF THE UNDERLYING ASSETS OF THE MAJOR ASSETS RESTRUCTURING | Management | For | For | ||
| 2 | PERFORMANCE COMPENSATION OF THE ORIGINAL SHAREHOLDER OF A COMPANY | Management | For | For | ||
| 3 | PERFORMANCE COMPENSATION OF THE ORIGINAL SHAREHOLDER OF ANOTHER COMPANY | Management | For | For | ||
| 4 | CHANGE OF THE COMPANY'S REGISTERED CAPITAL AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION II | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 190,100 | 0 | 15-Dec-2018 | 31-Dec-2018 |
| BANK OF CHINA LTD | ||||
| Security | Y13905107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 04-Jan-2019 | ||
| ISIN | CNE000001N05 | Agenda | 710359488 - Management | |
| Record Date | 27-Dec-2018 | Holding Recon Date | 27-Dec-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 31-Dec-2018 | |
| SEDOL(s) | B180B49 - BP3R239 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | GENERAL AUTHORIZATION FOR THE ISSUANCE OF NEW SHARES | Management | For | For | ||
| 2.1 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: SECURITIES TYPE AND ISSUING VOLUME | Management | For | For | ||
| 2.2 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 2.3 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: BOND DURATION | Management | For | For | ||
| 2.4 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: ISSUING METHOD | Management | For | For | ||
| 2.5 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: ISSUING TARGETS | Management | For | For | ||
| 2.6 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: LOCKUP PERIOD | Management | For | For | ||
| 2.7 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: DIVIDEND DISTRIBUTION CLAUSES | Management | For | For | ||
| 2.8 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: PROVISIONS ON COMPULSORY CONVERSION | Management | For | For | ||
| 2.9 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: CONDITIONAL REDEMPTION CLAUSE | Management | For | For | ||
| 2.10 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: RESTRICTIONS ON VOTING RIGHTS | Management | For | For | ||
| 2.11 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: RESTORATION OF VOTING RIGHT | Management | For | For | ||
| 2.12 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: LIQUIDATION SEQUENCE AND METHOD | Management | For | For | ||
| 2.13 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: RATING ARRANGEMENT | Management | For | For | ||
| 2.14 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: GUARANTEE | Management | For | For | ||
| 2.15 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 2.16 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: TRANSACTION TRANSFER ARRANGEMENT | Management | For | For | ||
| 2.17 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: RELATION BETWEEN DOMESTIC ISSUANCE AND OVERSEAS ISSUANCE | Management | For | For | ||
| 2.18 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: THE VALID PERIOD OF THE RESOLUTION ON THE DOMESTIC ISSUANCE | Management | For | For | ||
| 2.19 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: PENDING DECLARATION AND APPROVAL PROCEDURE FOR THE ISSUANCE | Management | For | For | ||
| 2.20 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES DOMESTICALLY: AUTHORIZATION MATTERS | Management | For | For | ||
| 3.1 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: SECURITIES TYPE AND ISSUING VOLUME | Management | For | For | ||
| 3.2 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 3.3 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: BOND DURATION | Management | For | For | ||
| 3.4 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: ISSUING METHOD | Management | For | For | ||
| 3.5 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: ISSUING TARGETS | Management | For | For | ||
| 3.6 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: LOCKUP PERIOD | Management | For | For | ||
| 3.7 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: DIVIDEND DISTRIBUTION CLAUSES | Management | For | For | ||
| 3.8 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: PROVISIONS ON COMPULSORY CONVERSION | Management | For | For | ||
| 3.9 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: CONDITIONAL REDEMPTION CLAUSE | Management | For | For | ||
| 3.10 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: RESTRICTIONS ON VOTING RIGHTS | Management | For | For | ||
| 3.11 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: RESTORATION OF VOTING RIGHT | Management | For | For | ||
| 3.12 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: LIQUIDATION SEQUENCE AND METHOD | Management | For | For | ||
| 3.13 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: RATING ARRANGEMENT | Management | For | For | ||
| 3.14 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: GUARANTEE | Management | For | For | ||
| 3.15 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 3.16 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: TRANSACTION TRANSFER ARRANGEMENT | Management | For | For | ||
| 3.17 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: RELATION BETWEEN DOMESTIC ISSUANCE AND OVERSEAS ISSUANCE | Management | For | For | ||
| 3.18 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: THE VALID PERIOD OF THE RESOLUTION ON THE OVERSEAS ISSUANCE | Management | For | For | ||
| 3.19 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: PENDING DECLARATION AND APPROVAL PROCEDURE FOR THE ISSUANCE | Management | For | For | ||
| 3.20 | PLAN FOR OVERSEAS NON-PUBLIC OFFERING OF PREFERRED SHARES: AUTHORIZATION MATTERS | Management | For | For | ||
| 4 | DILUTED IMMEDIATE RETURN AFTER THE ISSUANCE OF PREFERRED SHARES AND FILLING MEASURES | Management | For | For | ||
| 5 | FORMULATION OF THE SHAREHOLDER RETURN PLAN FROM 2020 TO 2020 | Management | For | For | ||
| 6 | ELECTION OF WU FULIN AS EXECUTIVE DIRECTOR | Management | For | For | ||
| 7 | ELECTION OF LIN JINGZHEN AS EXECUTIVE DIRECTOR | Management | For | For | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 126832 DUE TO RECEIPT OF- RESOLUTIONS 6 AND 7. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK-YOU. | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 94,500 | 0 | 19-Dec-2018 | 02-Jan-2019 |
| BLUEDON INFORMATION SECURITY TECHNOLOGIES CO LTD | ||||
| Security | Y0774K102 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 14-Jan-2019 | ||
| ISIN | CNE100001CC5 | Agenda | 710392616 - Management | |
| Record Date | 08-Jan-2019 | Holding Recon Date | 08-Jan-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 09-Jan-2019 | |
| SEDOL(s) | B7FF804 - BD5M1M0 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | BY-ELECTION OF DIRECTORS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 51,600 | 0 | 03-Jan-2019 | 10-Jan-2019 |
| SUNING.COM CO., LTD. | ||||
| Security | Y82211106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 16-Jan-2019 | ||
| ISIN | CNE000001KF2 | Agenda | 710392907 - Management | |
| Record Date | 09-Jan-2019 | Holding Recon Date | 09-Jan-2019 | |
| City / Country | JIANGSU / China | Vote Deadline Date | 11-Jan-2019 | |
| SEDOL(s) | B01Y312 - B03GXG1 - B1VW6Y7 - BD5CPK6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | CONNECTED TRANSACTION REGARDING INTRODUCTION OF A STRATEGIC INVESTOR BY A CONTROLLED SUBSIDIARY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 26,000 | 0 | 03-Jan-2019 | 14-Jan-2019 |
| CHINA CITIC BANK CORPORATION LTD | ||||
| Security | Y1434M108 | Meeting Type | Class Meeting | |
| Ticker Symbol | Meeting Date | 30-Jan-2019 | ||
| ISIN | CNE1000000R4 | Agenda | 710331199 - Management | |
| Record Date | 28-Dec-2018 | Holding Recon Date | 28-Dec-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 25-Jan-2019 | |
| SEDOL(s) | B1VXHG9 - BP3R2H3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | EXTENSION OF THE VALID PERIOD OF THE RESOLUTION ON PUBLIC ISSUANCE OF A-SHARE CONVERTIBLE CORPORATE BONDS | Management | For | For | ||
| 2 | EXTENSION OF THE VALID PERIOD OF AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE PUBLIC ISSUANCE AND LISTING OF A-SHARE CONVERTIBLE CORPORATE BONDS | Management | For | For | ||
| 4.1 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: SECURITIES TYPE AND ISSUING VOLUME | Management | For | For | ||
| 4.2 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 4.3 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: BOND DURATION | Management | For | For | ||
| 4.4 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 4.5 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: ISSUING TARGETS AND SUBSCRIPTION METHOD | Management | For | For | ||
| 4.6 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: METHOD OF PARTICIPATION IN PROFIT DISTRIBUTION BY SHAREHOLDERS OF THE PREFERRED STOCKS | Management | For | For | ||
| 4.7 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: PROVISIONS ON COMPULSORY CONVERSION | Management | For | For | ||
| 4.8 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: CONDITIONAL REDEMPTION CLAUSE | Management | For | For | ||
| 4.9 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: RESTRICTIONS ON VOTING RIGHTS AND RESTORATION CLAUSES | Management | For | For | ||
| 4.10 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: LIQUIDATION SEQUENCE AND METHOD | Management | For | For | ||
| 4.11 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: RATING ARRANGEMENT | Management | For | For | ||
| 4.12 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: GUARANTEE ARRANGEMENT | Management | For | For | ||
| 4.13 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: TRANSFER AND TRADING ARRANGEMENT | Management | For | For | ||
| 4.14 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | ||
| 5 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE NON-PUBLIC OFFERING OF PREFERRED SHARES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 53,400 | 0 | 15-Dec-2018 | 28-Jan-2019 |
| CHINA CITIC BANK CORPORATION LTD | ||||
| Security | Y1434M108 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 30-Jan-2019 | ||
| ISIN | CNE1000000R4 | Agenda | 710335452 - Management | |
| Record Date | 28-Dec-2018 | Holding Recon Date | 28-Dec-2018 | |
| City / Country | BEIJING / China | Vote Deadline Date | 25-Jan-2019 | |
| SEDOL(s) | B1VXHG9 - BP3R2H3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | PROPOSAL TO CONTINUE TO EXTEND THE VALIDITY PERIOD OF THE RESOLUTION OF THE GENERAL MEETING OF SHAREHOLDERS ON THE PUBLIC OFFERING OF A SHARES CONVERTIBLE CORPORATE BONDS | Management | For | For | ||
| 2 | PROPOSAL TO REQUEST THE GENERAL MEETING OF SHAREHOLDERS TO CONTINUE TO EXTEND THE AUTHORIZATION PERIOD OF THE BOARD OF DIRECTORS TO DEAL WITH MATTERS IN RELATION TO THE PUBLIC OFFERING OF A SHARE CONVERTIBLE CORPORATE BOND | Management | For | For | ||
| 3 | PROPOSAL ON THE ELIGIBILITY FOR PRIVATE PLACEMENT OF PREFERRED SHARES | Management | For | For | ||
| 4.1 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: TYPE OF SECURITIES TO BE ISSUED AND ISSUE SIZE | Management | For | For | ||
| 4.2 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: PAR VALUE AND ISSUANCE PRICE | Management | For | For | ||
| 4.3 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: PERIOD OF EXISTENCE | Management | For | For | ||
| 4.4 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: USES OF PROCEEDS | Management | For | For | ||
| 4.5 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: METHOD AND OBJECTS OF ISSUANCE | Management | For | For | ||
| 4.6 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: METHOD FOR SHAREHOLDERS OF PREFERRED SHARES TO PARTICIPATE IN PROFIT DISTRIBUTION | Management | For | For | ||
| 4.7 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: MANDATORY CONVERSION PROVISIONS | Management | For | For | ||
| 4.8 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: OPTIONAL REDEMPTION PROVISIONS | Management | For | For | ||
| 4.9 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: RESTRICTIONS ON VOTING RIGHTS AND RECOVERY OF VOTING RIGHTS | Management | For | For | ||
| 4.10 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: SEQUENCE OF SETTLEMENT AND METHOD OF LIQUIDATION | Management | For | For | ||
| 4.11 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: RATING ARRANGEMENT | Management | For | For | ||
| 4.12 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: GUARANTEE ARRANGEMENT | Management | For | For | ||
| 4.13 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: TRANSFER AND TRANSACTION ARRANGEMENTS | Management | For | For | ||
| 4.14 | PROPOSAL ON THE SCHEME OF PRIVATE PLACEMENT OF PREFERRED SHARES: VALID PERIOD OF THIS ISSUANCE RESOLUTION | Management | For | For | ||
| 5 | PROPOSAL TO REQUEST THE GENERAL MEETING OF SHAREHOLDERS TO AUTHORIZE THE BOARD OF DIRECTORS TO HANDLE MATTERS IN RELATION TO THIS PRIVATE PLACEMENT OF PREFERRED SHARES | Management | For | For | ||
| 6 | PROPOSAL TO REVISE THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | ||
| 7 | PROPOSAL ON THE DILUTION OF CURRENT RETURNS OF THE ISSUANCE OF PREFERRED SHARES AND ON THE FILLING MEASURES | Management | For | For | ||
| 8 | PROPOSAL ON THE GENERAL AUTHORIZATIONS FOR ISSUANCE OF FINANCIAL BONDS AND SECOND LEVEL CAPITAL BONDS | Management | For | For | ||
| 9 | PROPOSAL TO FORMULATE THE STOCK INCENTIVE MANAGEMENT POLICY OF THE COMPANY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 53,400 | 0 | 15-Dec-2018 | 28-Jan-2019 |
| XINHU ZHONGBAO CO LTD | ||||
| Security | Y9724T105 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 11-Feb-2019 | ||
| ISIN | CNE000000ZH8 | Agenda | 710456282 - Management | |
| Record Date | 29-Jan-2019 | Holding Recon Date | 29-Jan-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 30-Jan-2019 | |
| SEDOL(s) | 6158594 - BP3R659 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLE OF ASSOCIATION | Management | For | For | ||
| 2 | AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING THE BOARD MEETINGS | Management | For | For | ||
| 3 | PROVISION OF GUARANTEE FOR FRANCHISE SCHOOLS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 92,300 | 0 | 19-Jan-2019 | 31-Jan-2019 |
| MIDEA GROUP CO LTD | ||||
| Security | Y6S40V103 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 15-Feb-2019 | ||
| ISIN | CNE100001QQ5 | Agenda | 710487542 - Management | |
| Record Date | 11-Feb-2019 | Holding Recon Date | 11-Feb-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 12-Feb-2019 | |
| SEDOL(s) | BD5CPP1 - BDVHRJ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against
| ||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION REVISED IN JANUARY 2019 | Management | For | For | ||
| CMMT | 01 FEB 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN TEXT OF- RESOLUTION. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 7,400 | 0 | 30-Jan-2019 | 13-Feb-2019 |
| CHINA MINSHENG BANKING CORPORATION | ||||
| Security | Y1495M104 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 26-Feb-2019 | ||
| ISIN | CNE0000015Y0 | Agenda | 710428764 - Management | |
| Record Date | 25-Jan-2019 | Holding Recon Date | 25-Jan-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 21-Feb-2019 | |
| SEDOL(s) | 6310747 - BP3R2C8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: TYPE OF SECURITIES TO BE ISSUED AND VOLUME | Management | For | For | ||
| 1.2 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: BOND DURATION | Management | For | For | ||
| 1.3 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: ISSUING METHOD | Management | For | For | ||
| 1.4 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: ISSUING TARGETS | Management | For | For | ||
| 1.5 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 1.6 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: DIVIDEND DISTRIBUTION CLAUSES | Management | For | For | ||
| 1.7 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: CONDITIONAL REDEMPTION CLAUSE | Management | For | For | ||
| 1.8 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PROVISIONS ON COMPULSORY CONVERSION | Management | For | For | ||
| 1.9 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: RESTRICTIONS ON AND RESTORATION OF VOTING RIGHTS | Management | For | For | ||
| 1.10 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: LIQUIDATION SEQUENCE AND METHOD | Management | For | For | ||
| 1.11 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 1.12 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: RATING ARRANGEMENT | Management | For | For | ||
| 1.13 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: GUARANTEE ARRANGEMENT | Management | For | For | ||
| 1.14 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: TRANSFER ARRANGEMENT | Management | For | For | ||
| 1.15 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: UPDATED REGULATORY REQUIREMENTS | Management | For | For | ||
| 1.16 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: THE VALID PERIOD OF THE RESOLUTION ON THE NON-PUBLIC PREFERRED SHARE OFFERING | Management | For | For | ||
| 2 | FULL AUTHORIZATION TO THE BOARD AND ITS AUTHORIZED PERSONS TO HANDLE MATTERS REGARDING THE NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS | Management | For | For | ||
| 3 | CAPITAL MANAGEMENT PLAN FROM 2018 TO 2020 | Management | For | For | ||
| 4 | EXTENSION OF THE VALID PERIOD OF THE RESOLUTION AND AUTHORIZATION TO THE BOARD AND ITS AUTHORIZED PERSONS TO HANDLE MATTERS REGARDING THE NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS | Management | For | For | ||
| 5 | ISSUANCE OF NON-FIXED TERM CAPITAL BONDS OVERSEAS AND DOMESTICALLY IN THE NEXT THREE YEARS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 51,760 | 0 | 16-Jan-2019 | 22-Feb-2019 |
| CHINA MINSHENG BANKING CORPORATION | ||||
| Security | Y1495M104 | Meeting Type | Class Meeting | |
| Ticker Symbol | Meeting Date | 26-Feb-2019 | ||
| ISIN | CNE0000015Y0 | Agenda | 710429944 - Management | |
| Record Date | 25-Jan-2019 | Holding Recon Date | 25-Jan-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 21-Feb-2019 | |
| SEDOL(s) | 6310747 - BP3R2C8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: TYPE OF SECURITIES TO BE ISSUED AND VOLUME | Management | For | For | ||
| 1.2 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: BOND DURATION | Management | For | For | ||
| 1.3 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: ISSUING METHOD | Management | For | For | ||
| 1.4 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: ISSUING TARGETS | Management | For | For | ||
| 1.5 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PAR VALUE AND ISSUE PRICE | Management | For | For | ||
| 1.6 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: DIVIDEND DISTRIBUTION CLAUSES | Management | For | For | ||
| 1.7 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: CONDITIONAL REDEMPTION CLAUSE | Management | For | For | ||
| 1.8 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PROVISIONS ON COMPULSORY CONVERSION | Management | For | For | ||
| 1.9 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: RESTRICTIONS ON AND RESTORATION OF VOTING RIGHTS | Management | For | For | ||
| 1.10 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: LIQUIDATION SEQUENCE AND METHOD | Management | For | For | ||
| 1.11 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 1.12 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: RATING ARRANGEMENT | Management | For | For | ||
| 1.13 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: GUARANTEE ARRANGEMENT | Management | For | For | ||
| 1.14 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: TRANSFER ARRANGEMENT | Management | For | For | ||
| 1.15 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: UPDATED REGULATORY REQUIREMENTS | Management | For | For | ||
| 1.16 | PLAN FOR NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS: THE VALID PERIOD OF THE RESOLUTION ON THE NON-PUBLIC PREFERRED SHARE OFFERING | Management | For | For | ||
| 2 | FULL AUTHORIZATION TO THE BOARD AND ITS AUTHORIZED PERSONS TO HANDLE MATTERS REGARDING THE NON-PUBLIC OFFERING OF PREFERRED SHARES OVERSEAS | Management | For | For | ||
| 3 | CAPITAL MANAGEMENT PLAN FROM 2018 TO 2020 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 51,760 | 0 | 16-Jan-2019 | 22-Feb-2019 |
| LEO GROUP CO LTD | ||||
| Security | Y9892V106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 28-Feb-2019 | ||
| ISIN | CNE1000000F9 | Agenda | 710544188 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 25-Feb-2019 | |
| SEDOL(s) | B1VYT77 - BD5CHL1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | SHARE REPURCHASE: OBJECTIVE AND PURPOSE OF SHARE REPURCHASE | Management | For | For | ||
| 1.2 | SHARE REPURCHASE: METHOD OF THE SHARE REPURCHASE | Management | For | For | ||
| 1.3 | SHARE REPURCHASE: TYPE, NUMBER AND PERCENTAGE TO THE TOTAL CAPITAL OF SHARES TO BE REPURCHASED AND TOTAL AMOUNT FOR THE REPURCHASE | Management | For | For | ||
| 1.4 | SHARE REPURCHASE: SOURCE OF THE FUNDS FOR THE REPURCHASE | Management | For | For | ||
| 1.5 | SHARE REPURCHASE: PRICE OR PRICE RANGE OF SHARES TO BE REPURCHASED AND THE PRICING PRINCIPLES | Management | For | For | ||
| 1.6 | SHARE REPURCHASE: TIME LIMIT OF THE SHARE REPURCHASE | Management | For | For | ||
| 1.7 | SHARE REPURCHASE: THE VALID PERIOD OF THE RESOLUTION ON THE SHARE REPURCHASE | Management | For | For | ||
| 1.8 | SHARE REPURCHASE: AUTHORIZATION FOR THE SHARE REPURCHASE | Management | For | For | ||
| 1.9 | SHARE REPURCHASE: FOLLOWING DISPOSAL PLAN AFTER THE SHARE REPURCHASE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 190,100 | 0 | 13-Feb-2019 | 26-Feb-2019 |
| AGRICULTURAL BANK OF CHINA | ||||
| Security | Y00289101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 01-Mar-2019 | ||
| ISIN | CNE100000RJ0 | Agenda | 710431216 - Management | |
| Record Date | 29-Jan-2019 | Holding Recon Date | 29-Jan-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 26-Feb-2019 | |
| SEDOL(s) | B620Y41 - BP3R228 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2019 FIXED ASSETS INVESTMENT BUDGET ARRANGEMENT | Management | For | For | ||
| 2 | ELECTION OF ZHANG KEQIU AS AN EXECUTIVE DIRECTOR | Management | For | For | ||
| 3 | ELECTION OF LIANGGAO MEIYI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 4 | ELECTION OF LIU SHOUYING AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 5 | ELECTION OF LI WEI AS A NON-EXECUTIVE DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 85,000 | 0 | 17-Jan-2019 | 27-Feb-2019 |
| ZTE CORPORATION | ||||
| Security | Y0004F105 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 20-Mar-2019 | ||
| ISIN | CNE1000004Y2 | Agenda | 710475547 - Management | |
| Record Date | 15-Feb-2019 | Holding Recon Date | 15-Feb-2019 | |
| City / Country | SHENZH EN / China | Vote Deadline Date | 14-Mar-2019 | |
| SEDOL(s) | B04KP88 - B04YDP3 - B05Q046 - BD8GJX6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0123/LTN20190123215.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0123/LTN20190123201.PDF | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHED BY THE ISSUER, AGAINST AND ABSTAIN-VOTES FOR RESOLUTIONS 1.1 THROUGH 1.6 WILL BE PROCESSED AS TAKE NO ACTIONBY-THE LOCAL CUSTODIAN BANKS. ONLY FOR VOTES FOR THESE RESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | ||||
| 1.1 | THAT MR. LI ZIXUE BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 1.2 | THAT MR. XU ZIYANG BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 1.3 | THAT MR. LI BUQING BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 1.4 | THAT MR. GU JUNYING BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 1.5 | THAT MR. ZHU WEIMIN BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 1.6 | THAT MS. FANG RONG BE ELECTED AS AN NON- INDEPENDENT DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHED BY THE ISSUER, AGAINST AND ABSTAIN-VOTES FOR RESOLUTIONS 2.1 THROUGH 2.3 WILL BE PROCESSED AS TAKE NO ACTIONBY-THE LOCAL CUSTODIAN BANKS. ONLY FOR VOTES FOR THESE RESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | ||||
| 2.1 | THAT MS. CAI MANLI BE ELECTED AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 2.2 | THAT MR. YUMING BAO BE ELECTED AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 2.3 | THAT MR. GORDON NG BE ELECTED AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE EIGHTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHED BY THE ISSUER, AGAINST AND ABSTAIN-VOTES FOR RESOLUTIONS 3.1 THROUGH 3.2 WILL BE PROCESSED AS TAKE NO ACTIONBY-THE LOCAL CUSTODIAN BANKS. ONLY FOR VOTES FOR THESE RESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | ||||
| 3.1 | THAT MR. SHANG XIAOFENG BE ELECTED AS A SHAREHOLDERS' REPRESENTATIVE SUPERVISOR OF THE EIGHTH SESSION OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 3.2 | THAT MS. ZHANG SUFANG BE ELECTED AS A SHAREHOLDERS' REPRESENTATIVE SUPERVISOR OF THE EIGHTH SESSION OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR A TERM COMMENCING ON 30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | ||
| 4 | RESOLUTION ON THE AUTHORIZATION TO PURCHASE DIRECTORS', SUPERVISORS' AND SENIOR MANAGEMENT'S LIABILITY INSURANCE | Management | For | For | ||
| 5 | RESOLUTION ON CONTINUING CONNECTED TRANSACTIONS UNDER THE "2019-2021 PURCHASE FRAMEWORK AGREEMENT" WITH ZHONGXINGXIN, A CONNECTED PARTY | Management | For | For | ||
| 6 | RESOLUTION ON THE ARRANGEMENT OF THE FLOOR PRICE OF THE NON-PUBLIC ISSUANCE OF A SHARES OF 2018 | Management | For | For | ||
| 7 | RESOLUTION ON THE EXTENSION OF THE VALIDITY PERIOD FOR THE SHAREHOLDERS' RESOLUTIONS IN RELATION TO THE NON-PUBLIC ISSUANCE OF A SHARES OF 2018 | Management | For | For | ||
| 8 | RESOLUTION ON THE AUTHORIZATION IN RELATION TO THE NON-PUBLIC ISSUANCE OF A SHARES OF 2018 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 32,600 | 0 | 24-Jan-2019 | 15-Mar-2019 |
| TUNGHSU AZURE RENEWABLE ENERGY CO., LTD. | ||||
| Security | Y7740V104 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 01-Apr-2019 | ||
| ISIN | CNE0000000D6 | Agenda | 710763144 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
City / Country | BEIJING / China | Vote Deadline Date | 27-Mar-2019 | |
| SEDOL(s) | 6765789 - BD25NN7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | CONNECTED TRANSACTION REGARDING PARTICIPATION IN SETTING UP AN INDUSTRIAL FUND PARTNERSHIP | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,200 | 0 | 26-Mar-2019 | 28-Mar-2019 |
| LEO GROUP CO LTD | ||||
| Security | Y9892V106 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 02-Apr-2019 | ||
| ISIN | CNE1000000F9 | Agenda | 710755971 - Management | |
| Record Date | 27-Mar-2019 | Holding Recon Date | 27-Mar-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 28-Mar-2019 | |
| SEDOL(s) | B1VYT77 - BD5CHL1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | SHARE COMPENSATION REGARDING A COMPANY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 181,200 | 0 | 16-Mar-2019 | 29-Mar-2019 |
| EASY VISIBLE SUPPLY CHAIN MANAGEMENT CO., LTD. | ||||
| Security | Y79329101 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 08-Apr-2019 | ||
| ISIN | CNE000000RG7 | Agenda | 710787726 - Management | |
| Record Date | 01-Apr-2019 | Holding Recon Date | 01-Apr-2019 | |
| City / Country | YUNNAN / China | Vote Deadline Date | 02-Apr-2019 | |
| SEDOL(s) | 6005430 - BYV1QG7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | PLAN FOR A CONTROLLED SUBSIDIARY'S LAUNCHING ASSETS SECURITIZATION OF SUPPLY CHAIN FACTORING ACCOUNTS RECEIVABLE | Management | For | For | ||
| 2 | APPLICATION FOR COMPREHENSIVE CREDIT LINE TO BANKS BY A SUBSIDIARY AND PROVISION OF CONNECTED GUARANTEE BY THE CONTROLLING SHAREHOLDER | Management | For | For | ||
| 3 | 2019 EXTERNAL GUARANTEE | Management | For | For | ||
| 4 | PURCHASE OF LIABILITY INSURANCE FOR DIRECTORS , SUPERVISORS AND SENIOR MANAGEMENT | Management | For | For | ||
| 5 | CHANGE OF THE COMPANY'S DOMICILE, EXPANSION OF THE COMPANY'S BUSINESS SCOPE, AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 40,500 | 0 | 23-Mar-2019 | 03-Apr-2019 |
| HUNDSUN TECHNOLOGIES INC | ||||
| Security | Y3041V109 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 19-Apr-2019 | ||
| ISIN | CNE000001GD5 | Agenda | 710828154 - Management | |
| Record Date | 15-Apr-2019 | Holding Recon Date | 15-Apr-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 16-Apr-2019 | |
| SEDOL(s) | 6610458 - BP3R6B5 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 3 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 4 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 5 | 2018 INTERNAL CONTROL SELF-EVALUATION REPORT | Management | For | For | ||
| 6 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY3.20000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):3.000000 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 7 | REAPPOINTMENT OF AUDIT FIRM AND DETERMINATION OF THE AUDIT FEES: PAN-CHINA CERTIFIED PUBLIC ACCOUNTANTS LLP | Management | For | For | ||
| 8.1 | ELECTION OF DIRECTOR: JING XIANDONG | Management | For | For | ||
| 8.2 | ELECTION OF DIRECTOR: HAN XINYI | Management | For | For | ||
| 8.3 | ELECTION OF DIRECTOR: ZHU CHAO | Management | For | For | ||
| 8.4 | ELECTION OF DIRECTOR: HU XI | Management | For | For | ||
| 8.5 | ELECTION OF DIRECTOR: PENG ZHENGGANG | Management | For | For | ||
| 8.6 | ELECTION OF DIRECTOR: JIANG JIANSHENG | Management | For | For | ||
| 9.1 | ELECTION OF DIRECTOR: LIU SHUFENG | Management | For | For | ||
| 10.1 | ELECTION OF INDEPENDENT DIRECTOR: DING WEI | Management | For | For | ||
| 10.2 | ELECTION OF INDEPENDENT DIRECTOR: GUO TIANYONG | Management | For | For | ||
| 10.3 | ELECTION OF INDEPENDENT DIRECTOR: LIU LANYU | Management | For | For | ||
| 10.4 | ELECTION OF INDEPENDENT DIRECTOR: LIU XIAOLUN | Management | For | For | ||
| 11.1 | ELECTION OF SUPERVISOR: HUANG CHENLI | Management | For | For | ||
| 11.2 | ELECTION OF SUPERVISOR: ZHAO YING | Management | For | For | ||
| CMMT | 02 APR 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF AUDITOR-NAME. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 6,500 | 0 | 02-Apr-2019 | 18-Apr-2019 |
| AISINO CORP | ||||
| Security | Y0017G124 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 23-Apr-2019 | ||
| ISIN | CNE000001FB1 | Agenda | 710822140 - Management | |
| Record Date | 16-Apr-2019 | Holding Recon Date | 16-Apr-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 16-Apr-2019 | |
| SEDOL(s) | 6651297 - BP3R660 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | ESTIMATED CONTINUING CONNECTED TRANSACTIONS IN 2019 | Management | For | For | ||
| 5 | 2018 ANNUAL REPORT | Management | For | For | ||
| 6 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY4.40000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 7 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 8 | 2019 APPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 9 | REPURCHASE AND CANCELLATION OF SOME RESTRICTED STOCKS | Management | For | For | ||
| 10 | A FINANCIAL COOPERATION AGREEMENT TO BE SIGNED WITH A COMPANY | Management | For | For | ||
| 11.1 | ELECTION OF MA TIANHUI AS A NON-INDEPENDENT DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 19,200 | 0 | 30-Mar-2019 | 18-Apr-2019 |
| HEILONGJIANG AGRICULTURE CO LTD | ||||
| Security | Y3120A109 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 26-Apr-2019 | ||
| ISIN | CNE0000019Z9 | Agenda | 710883427 - Management | |
| Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |
| City / Country | HARBIN / China | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | 6519599 - BFF5BX4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 4 | 2018 WORK REPORT OF INDEPENDENT DIRECTORS | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY4.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | 2019 FINANCIAL BUDGET | Management | For | For | ||
| 7 | 2019 ESTIMATED TOTAL AMOUNT OF CONTINUING CONNECTED TRANSACTIONS | Management | For | For | ||
| 8 | REAPPOINTMENT OF AUDIT FIRM, AND THE AUDIT FEES | Management | For | For | ||
| 9 | PAYMENT OF REMUNERATION TO RESPONSIBLE PERSONS IN THE COMPANY | Management | For | For | ||
| 10 | INCREASE OF THE QUOTA OF REVERSE REPURCHASE OF TREASURY BONDS AND STRUCTURED DEPOSITS | Management | For | For | ||
| 11 | SHAREHOLDER RETURN PLAN FROM 2019 TO 2021 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,900 | 0 | 05-Apr-2019 | 24-Apr-2019 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | ||||
| Security | Y69790106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 29-Apr-2019 | ||
| ISIN | CNE1000003X6 | Agenda | 710710028 - Management | |
| Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | |
| City / Country | SHENZH EN / China | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314683.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314648.PDF | Non-Voting | ||||
| 1 | TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2018 | Management | For | For | ||
| 2 | TO CONSIDER AND APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2018 | Management | For | For | ||
| 3 | TO CONSIDER AND APPROVE THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR 2018 AND ITS SUMMARY | Management | For | For | ||
| 4 | TO CONSIDER AND APPROVE THE REPORT OF FINAL ACCOUNTS OF THE COMPANY FOR THE YEAR 2018 INCLUDING THE AUDIT REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR 2018 | Management | For | For | ||
| 5 | TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE YEAR 2018 AND THE PROPOSED DISTRIBUTION OF FINAL DIVIDENDS | Management | For | For | ||
| 6 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE APPOINTMENT OF AUDITORS OF THE COMPANY FOR THE YEAR 2019, RE- APPOINTING PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE PRC AUDITOR AND PRICEWATERHOUSECOOPERS AS THE INTERNATIONAL AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AND AUTHORIZING THE BOARD TO RE-AUTHORIZE THE MANAGEMENT OF THE COMPANY TO FIX THEIR REMUNERATION | Management | For | For | ||
| 7 | TO CONSIDER AND APPROVE THE DEVELOPMENT PLAN OF THE COMPANY FOR THE YEAR 2019-2021 | Management | For | For | ||
| 8 | TO CONSIDER AND APPROVE THE PERFORMANCE EVALUATION OF THE INDEPENDENT NON- EXECUTIVE DIRECTORS FOR THE YEAR 2018 | Management | For | For | ||
| 9 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ISSUE OF DEBT FINANCING INSTRUMENTS | Management | For | For | ||
| 10.1 | TO CONSIDER AND APPROVE THE SHARES REPURCHASE PLAN OF THE COMPANY | Management | For | For | ||
| 10.2 | TO CONSIDER AND APPROVE THE PROPOSED GRANT OF GENERAL MANDATE FOR THE REPURCHASE OF SHARES OF THE COMPANY TO THE BOARD WITH A MAXIMUM AMOUNT OF NO MORE THAN 10% OF THE TOTAL NUMBER SHARES OF THE COMPANY IN ISSUE | Management | For | For | ||
| 11 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED GRANT OF THE GENERAL MANDATE BY THE GENERAL MEETING TO THE BOARD TO ISSUE H SHARES, I.E. THE GRANT OF A GENERAL MANDATE TO THE BOARD TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL H SHARES NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE H SHARES OF THE COMPANY IN ISSUE, REPRESENTING UP TO LIMIT OF 8.15% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE, AT A DISCOUNT (IF ANY) OF NO MORE THAN 10% (RATHER THAN 20% AS LIMITED UNDER THE RULES GOVERNING THE LISTING OF SECURITIES ON THE STOCK EXCHANGE OF HONG KONG LIMITED) TO THE BENCHMARK PRICE AND AUTHORIZE THE BOARD TO MAKE CORRESPONDING AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY AS IT THINKS FIT SO AS TO REFLECT THE NEW CAPITAL STRUCTURE UPON THE ALLOTMENT OR ISSUANCE OF H SHARES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 6,372 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | ||||
| Security | Y69790106 | Meeting Type | Class Meeting | |
| Ticker Symbol | Meeting Date | 29-Apr-2019 | ||
| ISIN | CNE1000003X6 | Agenda | 710710054 - Management | |
| Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | |
| City / Country | SHENZH EN / China | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314669.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314697.PDF | Non-Voting | ||||
| 1.1 | TO CONSIDER AND APPROVE THE RESOLUTIONS REGARDING THE SHARES REPURCHASE PLAN OF THE COMPANY AND THE PROPOSED GRANT OF GENERAL MANDATE FOR THE REPURCHASE OF SHARES OF THE COMPANY: TO CONSIDER AND APPROVE THE SHARES REPURCHASE PLAN OF THE COMPANY | Management | For | For | ||
| 1.2 | TO CONSIDER AND APPROVE THE RESOLUTIONS REGARDING THE SHARES REPURCHASE PLAN OF THE COMPANY AND THE PROPOSED GRANT OF GENERAL MANDATE FOR THE REPURCHASE OF SHARES OF THE COMPANY: TO CONSIDER AND APPROVE THE PROPOSED GRANT OF GENERAL MANDATE FOR THE REPURCHASE OF SHARES OF THE COMPANY TO THE BOARD WITH A MAXIMUM AMOUNT OF NO MORE THAN 10% OF THE TOTAL NUMBER SHARES OF THE COMPANY IN ISSUE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 6,372 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| TUNGHSU AZURE RENEWABLE ENERGY CO., LTD. | ||||
| Security | Y7740V104 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 30-Apr-2019 | ||
| ISIN | CNE0000000D6 | Agenda | 710969570 - Management | |
| Record Date | 25-Apr-2019 | Holding Recon Date | 25-Apr-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 25-Apr-2019 | |
| SEDOL(s) | 6765789 - BD25NN7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | BY-ELECTION OF NON-INDEPENDENT DIRECTORS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,200 | 0 | 16-Apr-2019 | 26-Apr-2019 |
| CHINA UNITED NETWORK COMMUNICATIONS LTD | ||||
| Security | Y15075107 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 08-May-2019 | ||
| ISIN | CNE000001CS2 | Agenda | 711001228 - Management | |
| Record Date | 29-Apr-2019 | Holding Recon Date | 29-Apr-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 03-May-2019 | |
| SEDOL(s) | 6547998 - BP3R2X9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | IMPLEMENTATION OF THE MIXED OWNERSHIP REFORM POLICY AND AMENDMENTS TO THE CORPORATE GOVERNANCE SYSTEMS: AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 1.2 | IMPLEMENTATION OF THE MIXED OWNERSHIP REFORM POLICY AND AMENDMENTS TO THE CORPORATE GOVERNANCE SYSTEMS: AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING SHAREHOLDERS' GENERAL MEETINGS | Management | For | For | ||
| 1.3 | IMPLEMENTATION OF THE MIXED OWNERSHIP REFORM POLICY AND AMENDMENTS TO THE CORPORATE GOVERNANCE SYSTEMS: REVISION OF THE RULES OF PROCEDURE GOVERNING THE BOARD MEETINGS | Management | For | For | ||
| 1.4 | IMPLEMENTATION OF THE MIXED OWNERSHIP REFORM POLICY AND AMENDMENTS TO THE CORPORATE GOVERNANCE SYSTEMS: AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING MEETINGS OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 2 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 3 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.53300000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 4 | APPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 5 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 6 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 7 | 2018 ANNUAL REPORT | Management | For | For | ||
| 8 | CONTINUING CONNECTED TRANSACTIONS | Management | For | For | ||
| 9 | REPURCHASE AND CANCELLATION OF SOME FIRST PHASE RESTRICTED STOCKS GRANTED TO PLAN PARTICIPANTS | Management | For | For | ||
| 10 | ADJUSTMENT OF THE RESTRICTED STOCK INCENTIVE PLAN AND THE EX-DIVIDEND AND SPECIAL MATTERS IN THE FIRST PHASE GRANTING PLAN | Management | For | For | ||
| 11.1 | PRE-VOTING FOR PROPOSALS TO BE SUBMITTED AT A HONG KONG COMPANY'S GENERAL MEETING: 2018 PROFIT DISTRIBUTION PLAN OF A COMPANY | Management | For | For | ||
| 11.2 | PRE-VOTING FOR PROPOSALS TO BE SUBMITTED AT A HONG KONG COMPANY'S GENERAL MEETING: A COMPANY'S SHAREHOLDERS' GENERAL MEETING TO ELECT DIRECTORS AND AUTHORIZE THE BOARD TO DETERMINE THE REMUNERATION FOR DIRECTORS | Management | For | For | ||
| 11.3 | PRE-VOTING FOR PROPOSALS TO BE SUBMITTED AT A HONG KONG COMPANY'S GENERAL MEETING: AUTHORIZATION GRANTED BY THE SHAREHOLDER GENERAL MEETING OF A COMPANY TO ITS BOARD OF DIRECTORS TO PURCHASE STOCKS OF THE SAID COMPANY DURING A DESIGNATED PERIOD OF TIME VIA HONG KONG STOCK EXCHANGE AND (OR) OTHER EXCHANGES ACKNOWLEDGED BY HONG KONG SECURITIES AND FUTURES SUPERVISION COMMITTEE ACCORDING TO APPLICABLE LAWS AND REGULATIONS | Management | For | For | ||
| 11.4 | PRE-VOTING FOR PROPOSALS TO BE SUBMITTED AT A HONG KONG COMPANY'S GENERAL MEETING: AUTHORIZATION OF A COMPANY'S SHAREHOLDERS' GENERAL MEETING TO ITS BOARD OF DIRECTORS TO EXERCISE THE POWER OF RIGHTS ISSUE, ISSUANCE AND DISPOSAL OF ADDITIONAL SHARES OF THIS COMPANY WITHIN CERTAIN PERIOD | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 60,600 | 0 | 19-Apr-2019 | 06-May-2019 |
| SUNING.COM CO., LTD. | ||||
| Security | Y82211106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 08-May-2019 | ||
| ISIN | CNE000001KF2 | Agenda | 711072467 - Management | |
| Record Date | 29-Apr-2019 | Holding Recon Date | 29-Apr-2019 | |
| City / Country | JIANGSU / China | Vote Deadline Date | 03-May-2019 | |
| SEDOL(s) | B01Y312 - B03GXG1 - B1VW6Y7 - BD5CPK6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY1.20000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 6 | 2018 SPECIAL REPORT ON THE DEPOSIT AND USE OF RAISED FUNDS | Management | For | For | ||
| 7 | REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 8 | INVESTMENT AND WEALTH MANAGEMENT WITH PROPRIETARY FUNDS | Management | For | For | ||
| 9 | PURCHASE OF WEALTH MANAGEMENT PRODUCTS WITH IDLE RAISED FUNDS | Management | For | For | ||
| 10 | EXPANSION OF THE COMPANY'S BUSINESS SCOPE AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 11 | CHANGE OF DIRECTORS | Management | For | For | ||
| 12 | EXTERNAL GUARANTEE PROVIDED BY SUBORDINATED GUARANTEE COMPANIES | Management | For | For | ||
| 13 | PROVISION OF GUARANTEE FOR CONTROLLED SUBSIDIARIES | Management | For | For | ||
| 14 | FINANCIAL AID QUOTA FOR SUBSIDIARIES | Management | For | For | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 204135 DUE TO RECEIPT OF- RESOLUTION 14. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 31,500 | 0 | 30-Apr-2019 | 06-May-2019 |
| SHANGHAI 2345 NETWORK HOLDING GROUP CO LTD | ||||
| Security | Y7683P106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 10-May-2019 | ||
| ISIN | CNE1000008K2 | Agenda | 710970004 - Management | |
| Record Date | 06-May-2019 | Holding Recon Date | 06-May-2019 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 07-May-2019 | |
| SEDOL(s) | B29LC34 - BD5CMF0 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 ANNUAL REPORT AND ITS SUMMARY OF THE COMPANY | Management | For | For | ||
| 2 | 2018 FINAL ACCOUNTS REPORT OF THE COMPANY | Management | For | For | ||
| 3 | TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS FOR 2018 | Management | For | For | ||
| 4 | TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF SUPERVISORS FOR 2018 | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN OF THE COMPANY: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.30000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):3.000000 | Management | For | For | ||
| 6 | REAPPOINT THE ACCOUNTING FIRM | Management | For | For | ||
| 7 | COMPLETE COMMITTED INVESTMENT PROJECTS FROM THE NON-PUBLIC OFFERING OF SHARES FOR 2015 AND TO PLAN TO PERMANENTLY REPLENISH THE WORKING CAPITAL WITH SURPLUS PROCEEDS | Management | For | For | ||
| 8 | PURCHASE WEALTH MANAGEMENT PRODUCTS WITH IDLE EQUITY FUNDS | Management | For | For | ||
| 9 | REPURCHASE AND CANCEL THE LOCKED RESTRICTED SHARES GRANTED TO ORIGINAL INCENTIVE PARTICIPANTS WHO ARE UNQUALIFIED FOR INCENTIVE REQUIREMENTS | Management | For | For | ||
| 10 | REVISE RELATED PROVISIONS OF THE ARTICLES OF ASSOCIATION OF THE COMPANY SUCH AS THE REGISTERED CAPITAL AND THE TOTAL VOLUME OF SHARES | Management | For | For | ||
| 11 | REPURCHASE AND CANCEL SOME RESTRICTED SHARES OF RESTRICTED SHARE INCENTIVE PLAN FOR THE YEARS OF 2016 AND 2017 | Management | For | For | ||
| 12 | USE EQUITY FUNDS FOR RISK INVESTMENT | Management | For | For | ||
| 13 | REVISE SOME PROVISIONS OF THE ARTICLES OF ASSOCIATION | Management | For | For | ||
| 14.1 | THE ELECTION OF MR. CHEN YUBING AS A NON- INDEPENDENT DIRECTOR OF THE 7TH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 14.2 | THE ELECTION OF MR. QIU JUNQI AS A NON- INDEPENDENT DIRECTOR OF THE 7TH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 14.3 | THE ELECTION OF MR. FANG ZHENWU AS A NON- INDEPENDENT DIRECTOR OF THE 7TH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 15.1 | TO ELECT MR. XU JUNMIN AS AN INDEPENDENT DIRECTOR OF THE 7TH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 15.2 | TO ELECT MR. LI JIAN AS AN INDEPENDENT DIRECTOR OF THE 7TH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 15.3 | TO ELECT MR. XUE HAIBO AS AN INDEPENDENT DIRECTOR OF THE SEVENTH SESSION OF THE BOARD OF DIRECTORS OF THE COMPANY | Management | For | For | ||
| 16.1 | THE ELECTION OF MR. KANG FENG AS A NON- EMPLOYEE REPRESENTATIVE SUPERVISOR OF THE 7TH SESSION OF THE BOARD OF SUPERVISORS OF THE COMPANY | Management | For | For | ||
| 16.2 | THE ELECTION OF MS. REN YIHUA AS A NON- EMPLOYEE REPRESENTATIVE SUPERVISOR OF THE 7TH SESSION OF THE BOARD OF SUPERVISORS OF THE COMPANY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 80,500 | 0 | 16-Apr-2019 | 08-May-2019 |
| HYUNION HOLDING CO., LTD. | ||||
| Security | Y71641107 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 10-May-2019 | ||
| ISIN | CNE100000YV1 | Agenda | 710984825 - Management | |
| Record Date | 06-May-2019 | Holding Recon Date | 06-May-2019 | |
| City / Country | SHANDO NG / China | Vote Deadline Date | 07-May-2019 | |
| SEDOL(s) | B5ZQ085 - BFCCQB1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.50000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | 2019 PROVISION OF GUARANTEE QUOTA FOR SUBSIDIARIES | Management | For | For | ||
| 7 | 2019 CASH MANAGEMENT BY THE COMPANY AND ITS SUBSIDIARY | Management | For | For | ||
| 8 | PROVISION OF GUARANTEE FOR MORTGAGE LOANS OF CAR BUYERS BY A CONTROLLED SUBSIDIARY | Management | For | For | ||
| 9 | 2019 BANK FINANCING AND RELEVANT AUTHORIZATION | Management | For | For | ||
| 10 | 2019 REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 11 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 12 | AMENDMENTS TO THE COMPANY'S RULES OF PROCEDURE GOVERNING THE BOARD MEETINGS | Management | For | For | ||
| 13 | AMENDMENTS TO THE RULES OF PROCEDURE GOVERNING SHAREHOLDERS' GENERAL MEETINGS | Management | For | For | ||
| 14 | ADJUSTMENT OF THE PURPOSE OF SOME REPURCHASED SHARES | Management | For | For | ||
| 15 | SETTLEMENT OF PROJECTS FINANCED WITH RAISED FUNDS AND SHARE REPURCHASE WITH SOME SURPLUS RAISED FUNDS | Management | For | For | ||
| 16 | REPURCHASE AND CANCELLATION OF THE FIRST PHASE RESTRICTED STOCKS NOT MEETING THE UNLOCKING CONDITIONS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 36,100 | 0 | 17-Apr-2019 | 08-May-2019 |
| MIDEA GROUP CO LTD | ||||
| Security | Y6S40V103 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 13-May-2019 | ||
| ISIN | CNE100001QQ5 | Agenda | 711023440 - Management | |
| Record Date | 06-May-2019 | Holding Recon Date | 06-May-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | BD5CPP1 - BDVHRJ8 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | SHAREHOLDER RETURN PLAN FOR THE NEXT THREE YEARS FROM 2019 TO 2021 | Management | For | For | ||
| 6 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY13.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 7 | THE 6TH PHASE STOCK OPTION INCENTIVE PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | ||
| 8 | FORMULATION OF THE MEASURES ON IMPLEMENTATION AND APPRAISAL OF THE 6TH PHASE STOCK OPTION INCENTIVE PLAN | Management | For | For | ||
| 9 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE 6TH PHASE STOCK OPTION INCENTIVE PLAN | Management | For | For | ||
| 10 | 2019 RESTRICTED STOCK INCENTIVE PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | ||
| 11 | APPRAISAL MEASURES FOR THE IMPLEMENTATION OF THE 2019 RESTRICTED STOCK INCENTIVE PLAN | Management | For | For | ||
| 12 | AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING 2019 RESTRICTED STOCK INCENTIVE PLAN | Management | For | For | ||
| 13 | KEY MANAGEMENT TEAM STOCK OWNERSHIP PLAN AND THE MIDEA GLOBAL PARTNERSHIP PLAN-THE 5TH PHASE STOCK OWNERSHIP PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | ||
| 14 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE 5TH PHASE GLOBAL PARTNERS STOCK OWNERSHIP PLAN | Management | For | For | ||
| 15 | KEY MANAGEMENT TEAM STOCK OWNERSHIP PLAN AND THE MIDEA BUSINESS PARTNERSHIP PLAN-THE 2ND PHASE STOCK OWNERSHIP PLAN (DRAFT) AND ITS SUMMARY | Management | For | For | ||
| 16 | FULL AUTHORIZATION TO THE BOARD TO HANDLE MATTERS REGARDING THE 2ND PHASE BUSINESS PARTNERS STOCK OWNERSHIP PLAN | Management | For | For | ||
| 17 | 2019 PROVISION OF GUARANTEE FOR CONTROLLED SUBSIDIARIES | Management | For | For | ||
| 18 | SPECIAL REPORT ON 2019 FOREIGN EXCHANGE DERIVATIVE BUSINESS | Management | For | For | ||
| 19 | 2019 ENTRUSTED WEALTH MANAGEMENT WITH IDLE PROPRIETARY FUNDS | Management | For | For | ||
| 20 | CONNECTED TRANSACTION REGARDING DEPOSITS AND LOANS BUSINESS WITH A BANK IN 2019 | Management | For | For | ||
| 21 | REAPPOINTMENT OF AUDIT FIRM | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 7,800 | 0 | 23-Apr-2019 | 09-May-2019 |
| XIAOMI CORPORATION | ||||
| Security | G9830T106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 14-May-2019 | ||
| ISIN | KYG9830T1067 | Agenda | 710915185 - Management | |
| Record Date | 07-May-2019 | Holding Recon Date | 07-May-2019 | |
| City / Country | HONG KONG / Cayman Islands | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | BFX5D41 - BG0ZMJ9 - BG21JJ4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0408/LTN20190408485.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0408/LTN20190408543.PDF | 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 | TO RECEIVE THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND THE REPORTS OF THE DIRECTORS (THE "DIRECTOR(S)") AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2018 | Management | For | For | ||
| 2 | TO RE-ELECT KOH TUCK LYE AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 3 | TO RE-ELECT LIU QIN AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 4 | TO RE-ELECT WONG SHUN TAK AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 5 | TO AUTHORIZE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION | Management | For | For | ||
| 6 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY AND TO AUTHORIZE THE BOARD OF DIRECTORS TO FIX ITS REMUNERATION | Management | For | For | ||
| 7 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE THE COMPANY'S SHARES NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING THIS RESOLUTION (THE "SHARE REPURCHASE MANDATE") | Management | For | For | ||
| 8 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH NEW CLASS B ORDINARY SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING THIS RESOLUTION (THE "SHARE ISSUE MANDATE") | Management | For | For | ||
| 9 | CONDITIONAL UPON THE PASSING OF RESOLUTIONS NOS. 7 AND 8, TO EXTEND THE SHARE ISSUE MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE TOTAL NUMBER OF SHARES REPURCHASED BY THE COMPANY UNDER THE SHARE REPURCHASE MANDATE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 41,800 | 0 | 09-Apr-2019 | 09-May-2019 |
| HEILONGJIANG AGRICULTURE CO LTD | ||||
| Security | Y3120A109 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 14-May-2019 | ||
| ISIN | CNE0000019Z9 | Agenda | 711056499 - Management | |
| Record Date | 07-May-2019 | Holding Recon Date | 07-May-2019 | |
| City / Country | HARBIN / China | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | 6519599 - BFF5BX4 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,900 | 0 | 27-Apr-2019 | 09-May-2019 |
| TENCENT HOLDINGS LTD | ||||
| Security | G87572163 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 15-May-2019 | ||
| ISIN | KYG875721634 | Agenda | 710871042 - Management | |
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | |
| City / Country | HONG KONG / Cayman Islands | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | BD8NG70 - BDDXGP3 - BGKG6H8 - BGPHZF7 - BMMV2K8 - BMN9869 - BMNDJT1 - BP3RXY7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0401/LTN201904012222.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0401/LTN201904012246.PDF | 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 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS, THE DIRECTORS' REPORT AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | ||
| 2 | TO DECLARE A FINAL DIVIDEND: HKD1.00 PER SHARE | Management | For | For | ||
| 3.A | TO RE-ELECT MR JACOBUS PETRUS (KOOS) BEKKER AS DIRECTOR | Management | For | For | ||
| 3.B | TO RE-ELECT MR IAN CHARLES STONE AS DIRECTOR | Management | For | For | ||
| 3.C | TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION | Management | For | For | ||
| 4 | TO RE-APPOINT AUDITOR AND AUTHORISE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||
| 5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES (ORDINARY RESOLUTION 5 AS SET OUT IN THE NOTICE OF THE AGM) | Management | For | For | ||
| 6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES (ORDINARY RESOLUTION 6 AS SET OUT IN THE NOTICE OF THE AGM) | Management | For | For | ||
| 7 | TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED (ORDINARY RESOLUTION 7 AS SET OUT IN THE NOTICE OF THE AGM) | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 1,712 | 0 | 04-Apr-2019 | 09-May-2019 |
| TENCENT HOLDINGS LTD | ||||
| Security | G87572163 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 15-May-2019 | ||
| ISIN | KYG875721634 | Agenda | 711051386 - Management | |
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | |
| City / Country | HONG KONG / Cayman Islands | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | BDDXGP3 - BGPHZF7 - BMMV2K8 - BMN9869 - BMNDJT1 - BP3RXY7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0425/LTN201904252117.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0425/LTN201904252125.PDF | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- RESOLUTION 1, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||
| 1 | TO APPROVE THE REFRESHMENT OF SCHEME MANDATE LIMIT UNDER THE SHARE OPTION PLAN OF TENCENT MUSIC ENTERTAINMENT GROUP | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 1,712 | 0 | 27-Apr-2019 | 09-May-2019 |
| BOC HONG KONG (HOLDINGS) LIMITED | ||||
| Security | Y0920U103 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 16-May-2019 | ||
| ISIN | HK2388011192 | Agenda | 710930404 - Management | |
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | |
| City / Country | HONG KONG / Hong Kong | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | 6536112 - B01XWZ6 - B06MVT5 - B16MTV0 - BD8NLQ4 - BP3RP41 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE. | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0410/LTN20190410312.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0410/LTN20190410328.PDF | Non-Voting | ||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS AND THE REPORTS OF DIRECTORS AND OF THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | ||
| 2 | TO DECLARE A FINAL DIVIDEND OF HKD 0.923 PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | ||
| 3.A | TO RE-ELECT MR LIU LIANGE AS A DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.B | TO RE-ELECT MR LIN JINGZHEN AS A DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.C | TO RE-ELECT MDM CHENG EVA AS A DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.D | TO RE-ELECT DR CHOI KOON SHUM AS A DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.E | TO RE-ELECT MR LAW YEE KWAN QUINN AS A DIRECTOR OF THE COMPANY | Management | For | For | ||
| 4 | TO RE-APPOINT ERNST & YOUNG AS AUDITOR OF THE COMPANY AND AUTHORISE THE BOARD OF DIRECTORS OR A DULY AUTHORISED COMMITTEE OF THE BOARD TO DETERMINE THE REMUNERATION OF THE AUDITOR | Management | For | For | ||
| 5 | TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES IN THE COMPANY, NOT EXCEEDING 20% OR, IN THE CASE OF ISSUE OF SHARES SOLELY FOR CASH AND UNRELATED TO ANY ASSET ACQUISITION, NOT EXCEEDING 5% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF PASSING THIS RESOLUTION | Management | For | For | ||
| 6 | TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO BUY BACK SHARES IN THE COMPANY, NOT EXCEEDING 10% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE AS AT THE DATE OF PASSING THIS RESOLUTION | Management | For | For | ||
| 7 | CONDITIONAL ON THE PASSING OF RESOLUTIONS 5 AND 6, TO EXTEND THE GENERAL MANDATE GRANTED BY RESOLUTION 5 BY ADDING THERETO OF THE TOTAL NUMBER OF SHARES OF THE COMPANY BOUGHT BACK UNDER THE GENERAL MANDATE GRANTED PURSUANT TO RESOLUTION 6 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 14,380 | 0 | 11-Apr-2019 | 09-May-2019 |
| TRANSFAR ZHILIAN CO., LTD. | ||||
| Security | Y98924106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 16-May-2019 | ||
| ISIN | CNE000001JS7 | Agenda | 710979800 - Management | |
| Record Date | 09-May-2019 | Holding Recon Date | 09-May-2019 | |
| City / Country | HANGZH OU / China | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | B01NVB5 - BD5CKP6 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY1.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | CONTINUING CONNECTED TRANSACTIONS | Management | For | For | ||
| 7 | APPLICATION FOR CREDIT LINE TO FINANCIAL INSTITUTIONS | Management | For | For | ||
| 8 | 2019 REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 9 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 10 | INDEPENDENT DIRECTORS' LEAVING THEIR POSTS UPON THE EXPIRATION OF THEIR TENURE AND BY- ELECTION OF INDEPENDENT DIRECTORS | Management | For | For | ||
| 11 | LAUNCHING ASSETS POOL BUSINESS WITH A COMPANY AND OTHER FINANCIAL INSTITUTIONS | Management | For | For | ||
| 12 | LAND PURCHASE AND RESERVATION AGREEMENT TO BE SIGNED | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 49,000 | 0 | 17-Apr-2019 | 15-May-2019 |
| BUSINESS-INTELLIGENCE OF ORIENTAL NATIONS CORPORAT | ||||
| Security | Y0918A101 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 17-May-2019 | ||
| ISIN | CNE100000ZB0 | Agenda | 711051918 - Management | |
| Record Date | 10-May-2019 | Holding Recon Date | 10-May-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | B64H1F0 - BD5CFD9 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.10000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | 2019 REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 7 | REMUNERATION FOR DIRECTORS, SUPERVISORS AND SENIOR MANAGEMENT | Management | For | For | ||
| 8 | CASH MANAGEMENT WITH SOME IDLE RAISED FUNDS AND PROPRIETARY FUNDS | Management | For | For | ||
| 9 | PERMANENTLY SUPPLEMENTING THE WORKING CAPITAL WITH SURPLUS RAISED FUNDS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 23,400 | 0 | 27-Apr-2019 | 15-May-2019 |
| GRG BANKING EQUIPMENT CO LTD | ||||
| Security | Y2889S103 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 17-May-2019 | ||
| ISIN | CNE100000650 | Agenda | 711065917 - Management | |
| Record Date | 10-May-2019 | Holding Recon Date | 10-May-2019 | |
| City / Country | GUANGZ HOU / China | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | B23GZT2 - BD5CLH5 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY1.20000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 5 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 6 | 2018 SPECIAL REPORT ON THE DEPOSIT AND USE OF RAISED FUNDS | Management | For | For | ||
| 7 | APPOINTMENT OF 2019 AUDIT FIRM: BDO CHINASHU LUN PAN CERTIFIED PUBLIC ACCOUNTANTS LLP | Management | For | For | ||
| 8 | PROVISION FOR ASSETS IMPAIRMENT | Management | For | For | ||
| 9 | CHANGE OF THE COMPANY'S BUSINESS SCOPE | Management | For | For | ||
| 10 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 11 | CASH MANAGEMENT WITH IDLE PROPRIETARY FUNDS | Management | For | For | ||
| CMMT | 30 APR 2019: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT IN RESOLUTIONS 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 73,400 | 0 | 30-Apr-2019 | 15-May-2019 |
| XINHU ZHONGBAO CO LTD | ||||
| Security | Y9724T105 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 17-May-2019 | ||
| ISIN | CNE000000ZH8 | Agenda | 711066301 - Management | |
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | 6158594 - BP3R659 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | TO CONSIDER AND APPROVE THE PROPOSAL ON 2018 ANNUAL REPORT AND ITS SUMMARY OF THE COMPANY | Management | For | For | ||
| 2 | PROPOSAL ON 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 3 | PROPOSAL ON 2018 WORK REPORT OF THE BOARD OF SUPERVISORS | Management | For | For | ||
| 4 | PROPOSAL ON 2018 FINAL ACCOUNTS REPORT | Management | For | For | ||
| 5 | PROPOSAL ON 2019 FINANCIAL BUDGET REPORT OF THE COMPANY | Management | For | For | ||
| 6 | TO CONSIDER AND APPROVE THE PROPOSAL ON THE PROFIT DISTRIBUTION PLAN FOR 2018: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.59000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 7 | PROPOSAL ON PROVIDING THE GUARANTEE FOR THE SUBSIDIARY FOR 2019 | Management | For | For | ||
| 8 | PROPOSAL FOR THE COMPANY TO CONTINUE TO ESTABLISH A MUTUAL GUARANTEE RELATIONSHIP WITH, AND TO PROVIDE A MUTUAL ECONOMIC GUARANTEES FOR ZHEJIANG XINHU GROUP HOLDINGS CO., LTD. AND ETC | Management | For | For | ||
| 9 | TO CONSIDER AND APPROVE THE ROUTINE RELATED PARTY TRANSACTIONS FOR 2019 | Management | For | For | ||
| 10 | TO CONSIDER AND APPROVE THE PROPOSAL TO PAY THE FEES FOR AUDITORS FOR 2018 AND APPOINT A FINANCIAL AUDITOR FOR 2019 | Management | For | For | ||
| 11 | PROPOSAL ON THE REMUNERATION AND ALLOWANCES OF DIRECTORS AND SUPERVISORS OF THE COMPANY | Management | For | For | ||
| 12 | PROPOSAL TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 112,000 | 0 | 30-Apr-2019 | 15-May-2019 |
| BANK OF CHINA LTD | ||||
| Security | Y13905107 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 17-May-2019 | ||
| ISIN | CNE000001N05 | Agenda | 711134964 - Management | |
| Record Date | 09-May-2019 | Holding Recon Date | 09-May-2019 | |
| City / Country | HONG KONG / China | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | B180B49 - BP3R239 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS PLAN | Management | For | For | ||
| 4 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY1.84000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 5 | 2019 FIXED ASSETS INVESTMENT BUDGET | Management | For | For | ||
| 6 | APPOINTMENT OF 2019 EXTERNAL AUDIT FIRM | Management | For | For | ||
| 7 | ELECTION OF ZHANG JIANGANG AS A NON- EXECUTIVE DIRECTOR | Management | For | For | ||
| 8 | ELECTION OF LIAO CHANGJIANG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 9 | RE-ELECTION OF WANG CHANGYUN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 10 | RE-ELECTION OF ZHAO ANJI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 11 | RE-ELECTION OF WANG XIQUAN AS A SHAREHOLDER REPRESENTATIVE SUPERVISOR | Management | For | For | ||
| 12 | ELECTION OF JIA XIANGSEN AS AN EXTERNAL SUPERVISOR | Management | For | For | ||
| 13 | ELECTION OF ZHENG ZHIGUANG AS AN EXTERNAL SUPERVISOR | Management | For | For | ||
| 14 | 2017 REMUNERATION DISTRIBUTION PLAN FOR THE CHAIRMAN OF THE BOARD AND EXECUTIVE DIRECTORS | Management | For | For | ||
| 15 | 2017 REMUNERATION DISTRIBUTION PLAN FOR THE CHAIRMAN OF THE SUPERVISORY COMMITTEE AND SHAREHOLDER REPRESENTATIVE SUPERVISORS | Management | For | For | ||
| 16 | GENERAL AUTHORIZATION FOR THE ISSUANCE OF NEW SHARES | Management | For | For | ||
| 17 | ISSUANCE OF BONDS | Management | For | For | ||
| 18 | ISSUANCE OF WRITE-DOWN NON-FIXED TERM CAPITAL BONDS | Management | For | For | ||
| 19 | ISSUANCE OF WRITE-DOWN SECOND-TIER CAPITAL INSTRUMENTS | Management | For | For | ||
| 20 | ELECTION OF TAN YIWU AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 207714 DUE TO RECEIPT OF-UPDATED AGENDA WITH ADDITIONAL RESOLUTION 20. 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 100,000 | 0 | 07-May-2019 | 15-May-2019 |
| BANK OF COMMUNICATIONS CO LTD | ||||
| Security | Y06988110 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 20-May-2019 | ||
| ISIN | CNE1000000S2 | Agenda | 710883201 - Management | |
| Record Date | 18-Apr-2019 | Holding Recon Date | 18-Apr-2019 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | B1W9Z06 - BP3R2G2 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | ISSUANCE OF WRITE-DOWN NON-FIXED TERM CAPITAL BONDS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 60,500 | 0 | 05-Apr-2019 | 16-May-2019 |
| LEO GROUP CO LTD | ||||
| Security | Y9892V106 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 20-May-2019 | ||
| ISIN | CNE1000000F9 | Agenda | 711067404 - Management | |
| Record Date | 15-May-2019 | Holding Recon Date | 15-May-2019 | |
| City / Country | ZHEJIAN G / China | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | B1VYT77 - BD5CHL1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | 2018 SPECIAL REPORT ON THE DEPOSIT AND USE OF RAISED FUNDS | Management | For | For | ||
| 7 | SUMMARY REPORT OF AUDIT WORK AND REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 8 | 2019 CREDIT SCALE AND EXTERNAL GUARANTEE QUOTA | Management | For | For | ||
| 9 | CHANGE OF THE COMPANY'S REGISTERED CAPITAL AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 10 | CASH MANAGEMENT WITH SOME IDLE RAISED FUNDS AND PROPRIETARY FUNDS | Management | For | For | ||
| 11 | 2018 REPORT ON FUND OCCUPATION BY THE CONTROLLING SHAREHOLDERS AND OTHER RELATED PARTIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 181,200 | 0 | 30-Apr-2019 | 16-May-2019 |
| BLUEDON INFORMATION SECURITY TECHNOLOGIES CO LTD | ||||
| Security | Y0774K102 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 20-May-2019 | ||
| ISIN | CNE100001CC5 | Agenda | 711067454 - Management | |
| Record Date | 15-May-2019 | Holding Recon Date | 15-May-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | B7FF804 - BD5M1M0 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.32000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | REAPPOINTMENT OF AUDIT FIRM | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 57,100 | 0 | 30-Apr-2019 | 16-May-2019 |
| EASY VISIBLE SUPPLY CHAIN MANAGEMENT CO., LTD. | ||||
| Security | Y79329101 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 20-May-2019 | ||
| ISIN | CNE000000RG7 | Agenda | 711196344 - Management | |
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | |
| City / Country | YUNNAN / China | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | 6005430 - BYV1QG7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 231406 DUE TO RECEIPT OF- ADDITIONAL RESOLUTION 12. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE- DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | ||||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 INTERNAL CONTROL EVALUATION REPORT | Management | For | For | ||
| 5 | REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 6 | 2019 ESTIMATED CONTINUING CONNECTED TRANSACTIONS WITH A COMPANY AND ITS SUBSIDIARIES | Management | For | For | ||
| 7 | 2019 APPLICATION FOR COMPREHENSIVE CREDIT LINE TO BANKS AND NON-BANKING FINANCIAL INSTITUTIONS | Management | For | For | ||
| 8 | 2019 CASH MANAGEMENT WITH IDLE PROPRIETARY FUNDS | Management | For | For | ||
| 9 | PREPLAN FOR PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | ||
| 10 | ISSUANCE OF MEDIUM-TERM NOTES | Management | For | For | ||
| 11 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 12 | LAUNCHING HOUSE PURCHASE BALANCE ASSETS SECURITIZATION BY A CONTROLLED SUBSIDIARY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 40,500 | 0 | 11-May-2019 | 16-May-2019 |
| BGI GENOMICS CO., LTD. | ||||
| Security | Y0883H107 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 21-May-2019 | ||
| ISIN | CNE100003449 | Agenda | 711044545 - Management | |
| Record Date | 15-May-2019 | Holding Recon Date | 15-May-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 16-May-2019 | |
| SEDOL(s) | BDZVZJ2 - BFY8H58 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 3 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 4 | 2018 ANNUAL ACCOUNTS AND 2019 FINANCIAL BUDGET REPORT | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY1.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | 2019 REAPPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 7 | ADJUSTMENT OF ALLOWANCE FOR INDEPENDENT DIRECTORS | Management | For | For | ||
| 8 | ALLOWANCE FOR SUPERVISORS | Management | For | For | ||
| 9 | 2019 APPLICATION FOR COMPREHENSIVE CREDIT LINE TO BANKS BY THE COMPANY AND ITS SUBSIDIARIES | Management | For | For | ||
| 10 | EXTENSION OF SOME PROJECTS FINANCED WITH RAISED FUNDS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 6,200 | 0 | 26-Apr-2019 | 17-May-2019 |
| DHC SOFTWARE CO LTD | ||||
| Security | Y2080B107 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 21-May-2019 | ||
| ISIN | CNE000001NL4 | Agenda | 711078041 - Management | |
| Record Date | 15-May-2019 | Holding Recon Date | 15-May-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 16-May-2019 | |
| SEDOL(s) | B18TH93 - BD5CNL3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 3 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 4 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY1.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | APPOINTMENT OF 2019 AUDIT FIRM AND DETERMINATION OF ITS AUDIT FEES | Management | For | For | ||
| 7 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 56,900 | 0 | 01-May-2019 | 17-May-2019 |
| TUNGHSU AZURE RENEWABLE ENERGY CO., LTD. | ||||
| Security | Y7740V104 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 21-May-2019 | ||
| ISIN | CNE0000000D6 | Agenda | 711193071 - Management | |
| Record Date | 16-May-2019 | Holding Recon Date | 16-May-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 16-May-2019 | |
| SEDOL(s) | 6765789 - BD25NN7 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 232889 DUE TO ADDITION OF- RESOLUTIONS 7 AND 8. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | ||||
| 1 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 2 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY0.75000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 3 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 4 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 5 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 6 | REAPPOINTMENT OF 2019 FINANCIAL AND INTERNAL CONTROL AUDIT FIRM | Management | For | For | ||
| 7 | AMENDMENTS TO THE COMPANY'S ARTICLE OF ASSOCIATION | Management | For | For | ||
| 8 | CONNECTED TRANSACTION REGARDING RENEWAL OF A FINANCIAL SERVICE AGREEMENT WITH A COMPANY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,200 | 0 | 10-May-2019 | 17-May-2019 |
| ZHONGAN ONLINE P&C INSURANCE CO., LTD. (DOING BUSI | ||||
| Security | Y989DF109 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 24-May-2019 | ||
| ISIN | CNE100002QY7 | Agenda | 711095833 - Management | |
| Record Date | 23-Apr-2019 | Holding Recon Date | 23-Apr-2019 | |
| City / Country | SHANGH AI / China | Vote Deadline Date | 20-May-2019 | |
| SEDOL(s) | BF26G13 - BFB3VR6 - BYWYPY6 - BYZQ099 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0429/LTN201904292425.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0429/LTN201904292463.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0409/LTN20190409251.PDF | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 210943 DUE TO RECEIPT OF- ADDITIONAL RESOLUTIONS 8.1 TO 8.3. ALL VOTES RECEIVED ON THE PREVIOUS MEETING-WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE.-THANK YOU | Non-Voting | ||||
| 1 | TO CONSIDER AND APPROVE THE REPORT OF BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2018 | Management | For | For | ||
| 2 | TO CONSIDER AND APPROVE THE REPORT OF SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2018 | Management | For | For | ||
| 3 | TO CONSIDER AND APPROVE THE REPORT OF THE AUDITORS AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2018 | Management | For | For | ||
| 4 | TO CONSIDER AND APPROVE THE RE- APPOINTMENT OF AUDITORS FOR THE YEAR ENDING DECEMBER 31, 2019 | Management | For | For | ||
| 5.1 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YAPING OU AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.2 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. JIN CHEN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.3 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. HUGO JIN YI OU AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.4 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. XINYI HAN AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.5 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. JIMMY CHI MING LAI AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.6 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. XIAOMING HU AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.7 | TO CONSIDER AND APPROVE THE ELECTION OF MR. LIANGXUN SHI AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.8 | TO CONSIDER AND APPROVE THE ELECTION OF MR. MING YIN AS A NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.9 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. SHUANG ZHANG AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.10 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MS. HUI CHEN AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.11 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YIFAN LI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.12 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MR. YING WU AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 5.13 | TO CONSIDER AND APPROVE THE ELECTION OF MR. WEI OU AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 6.1 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MS. YUPING WEN AS A SHAREHOLDER REPRESENTATIVE SUPERVISOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 6.2 | TO CONSIDER AND APPROVE THE RE-ELECTION OF MS. BAOYAN GAN AS A SHAREHOLDER REPRESENTATIVE SUPERVISOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE THIRD SESSION OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 7 | TO CONSIDER AND APPROVE THE GRANT OF A GENERAL MANDATE TO THE BOARD OF DIRECTORS OF THE COMPANY TO ISSUE SHARES | Management | For | For | ||
| 8.1 | THAT: THE ONLINE PLATFORM COOPERATION FRAMEWORK AGREEMENT (AS DEFINED IN THE SUPPLEMENTAL CIRCULAR OF THE COMPANY DATED APRIL 30, 2019 (THE "SUPPLEMENTAL CIRCULAR")) AND THE TRANSACTIONS CONTEMPLATED THEREUNDER, BE AND ARE HEREBY APPROVED, CONFIRMED AND RATIFIED | Management | For | For | ||
| 8.2 | THAT: THE REVISED ANNUAL CAP FOR THE CONTINUING CONNECTED TRANSACTION UNDER THE ONLINE PLATFORM COOPERATION FRAMEWORK AGREEMENT (AS DEFINED IN THE SUPPLEMENTAL CIRCULAR) FOR THE YEAR ENDING DECEMBER 31, 2019 (THE "REVISED ANNUAL CAP"), BE AND ARE HEREBY APPROVED, CONFIRMED AND RATIFIED | Management | For | For | ||
| 8.3 | THAT: ANY ONE DIRECTOR OF THE COMPANY BE AND ARE HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED TO DO ALL SUCH FURTHER ACTS AND THINGS AND TO SIGN AND EXECUTE ALL SUCH OTHER OR FURTHER DOCUMENTS AND TO TAKE ALL SUCH STEPS WHICH IN THE OPINION OF THE DIRECTORS MAY BE NECESSARY, APPROPRIATE OR DESIRABLE OR EXPEDIENT TO IMPLEMENT AND/OR GIVE EFFECT TO THE ONLINE PLATFORM COOPERATION FRAMEWORK AGREEMENT, THE REVISED ANNUAL CAP AND THE TRANSACTIONS CONTEMPLATED THEREUNDER | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 20,460 | 0 | 01-May-2019 | 21-May-2019 |
| CHINA CITIC BANK CORPORATION LTD | ||||
| Security | Y1434M108 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 24-May-2019 | ||
| ISIN | CNE1000000R4 | Agenda | 711144484 - Management | |
| Record Date | 24-Apr-2019 | Holding Recon Date | 24-Apr-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | B1VXHG9 - BP3R2H3 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 214355 DUE TO RECEIPT OF- ADDITIONAL 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 | ||||
| 1 | 2018 ANNUAL REPORT | Management | For | For | ||
| 2 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 3 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY2.30000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 4 | 2019 FINANCIAL BUDGET PLAN | Management | For | For | ||
| 5 | 2019 APPOINTMENT OF AUDIT FIRM AND PAYMENT OF ITS AUDIT FEES | Management | For | For | ||
| 6 | SPECIAL REPORT ON 2018 CONNECTED TRANSACTIONS | Management | For | For | ||
| 7 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 8 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 9 | ISSUANCE OF NON-FIXED TERM CAPITAL BONDS | Management | For | For | ||
| 10 | ELECTION OF GUO DANGHUAI AS AN EXECUTIVE DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 57,500 | 0 | 08-May-2019 | 22-May-2019 |
| INDUSTRIAL BANK CO LTD | ||||
| Security | Y3990D100 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 27-May-2019 | ||
| ISIN | CNE000001QZ7 | Agenda | 711094033 - Management | |
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | |
| City / Country | FUJIAN / China | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | B1P13B6 - BP3R295 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE BOARD OF SUPERVISORS | Management | For | For | ||
| 3 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 4 | 2018 FINAL ACCOUNTS REPORT AND 2019 FINANCIAL BUDGET SCHEME | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY6.90000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | TO CONSIDER AND APPROVE THE APPOINTMENT OF AN ACCOUNTING FIRM FOR 2019 | Management | For | For | ||
| 7 | PROPOSAL TO ISSUE FINANCIAL BONDS | Management | For | For | ||
| 8 | PROPOSAL TO ISSUE OPEN ENDED CAPITAL BOND | Management | For | For | ||
| 9 | PROPOSAL TO ELECT DIRECTORS | Management | For | For | ||
| 10 | PROPOSAL TO REVISE THE RULES OF PROCEDURE FOR THE GENERAL MEETING OF SHAREHOLDERS | Management | For | For | ||
| 11 | PROPOSAL TO REVISE THE RULES OF PROCEDURE FOR THE BOARD OF DIRECTORS | Management | For | For | ||
| 12 | PROPOSAL TO REVISE THE RULES OF PROCEDURE FOR THE BOARD OF SUPERVISORS | Management | For | For | ||
| 13 | PROPOSAL TO ABOLISH THE MANAGEMENT RULES FOR EXTERNAL EQUITY INVESTMENT | Management | For | For | ||
| 14 | PROPOSAL TO PURCHASE LIABILITY INSURANCE OF DIRECTORS, SUPERVISORS AND SENIOR MANAGEMENT | Management | For | For | ||
| 15 | PROPOSAL TO ADD THE AMOUNT OF SERIES OF RELATED PARTY TRANSACTIONS FOR FUJIAN SUNS HINE GROUP CO., LTD | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 24,900 | 0 | 01-May-2019 | 23-May-2019 |
| AGRICULTURAL BANK OF CHINA | ||||
| Security | Y00289101 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 30-May-2019 | ||
| ISIN | CNE100000RJ0 | Agenda | 711214762 - Management | |
| Record Date | 29-Apr-2019 | Holding Recon Date | 29-Apr-2019 | |
| City / Country | BEIJING / China | Vote Deadline Date | 27-May-2019 | |
| SEDOL(s) | B620Y41 - BP3R228 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 221261 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 | ||||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS PLAN | Management | For | For | ||
| 4 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY1.73900000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 5 | 2019 APPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 6 | ELECTION OF ZHOU MUBING AS AN EXECUTIVE DIRECTOR | Management | For | For | ||
| 7 | ELECTION OF CAI DONG AS AN EXECUTIVE DIRECTOR | Management | For | For | ||
| 8 | RE-ELECTION OF WANG XINXIN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 9 | ISSUANCE OFF NON-FIXED TERM WRITE-DOWN CAPITAL BOND PLAN | Management | For | For | ||
| 10 | ELECTION OF WU JIANGTAO AS A NON-EXECUTIVE DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 98,700 | 0 | 17-May-2019 | 28-May-2019 |
| FOSUN INTERNATIONAL LTD | ||||
| Security | Y2618Y108 | Meeting Type | Annual General Meeting | |
| Ticker Symbol | Meeting Date | 05-Jun-2019 | ||
| ISIN | HK0656038673 | Agenda | 711061868 - Management | |
| Record Date | 30-May-2019 | Holding Recon Date | 30-May-2019 | |
| City / Country | HONG KONG / Hong Kong | Vote Deadline Date | 29-May-2019 | |
| SEDOL(s) | B1Z7FX0 - B23DHW0 - B23DJG8 - BD8NFY0 - BP3RPY1 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE. | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0426/LTN201904261357.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0426/LTN201904261844.PDF | Non-Voting | ||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS AND THE REPORTS OF THE BOARD OF DIRECTORS OF THE COMPANY AND OF AUDITORS FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | ||
| 2 | TO DECLARE A FINAL DIVIDEND FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | ||
| 3.I | TO RE-ELECT MR. GUO GUANGCHANG AS EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.II | TO RE-ELECT MR. WANG CAN AS EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.III | TO RE-ELECT MR. GONG PING AS EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.IV | TO RE-ELECT MR. DAVID T. ZHANG AS INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | ||
| 3.V | TO AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THE REMUNERATION OF THE DIRECTORS OF THE COMPANY | Management | For | For | ||
| 4 | TO REAPPOINT ERNST & YOUNG AS AUDITORS AND TO AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO FIX THEIR REMUNERATION | Management | For | For | ||
| 5 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO REPURCHASE THE SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||
| 6 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS OF THE COMPANY TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||
| 7 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS OF THE COMPANY TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY BY THE TOTAL SHARES REPURCHASED BY THE COMPANY | Management | For | For | ||
| 8 | TO GRANT AN UNCONDITIONAL MANDATE TO THE DIRECTORS OF THE COMPANY (I) TO EXERCISE ALL THE POWERS OF THE COMPANY DURING THE RELEVANT PERIOD TO GRANT OPTIONS UNDER THE SHARE OPTION SCHEME; (II) TO ISSUE AND ALLOT SHARES OF THE COMPANY AS AND WHEN ANY OPTIONS GRANTED UNDER THE SHARE OPTION SCHEME AND THE OLD SHARE OPTION SCHEME ARE EXERCISED DURING THE RELEVANT PERIOD; AND (III) AT ANY TIME AFTER THE RELEVANT PERIOD, TO ISSUE AND ALLOT SHARES OF THE COMPANY PURSUANT TO THE EXERCISE OF SHARE OPTIONS GRANTED UNDER THE SHARE OPTION SCHEME AND THE OLD SHARE OPTION SCHEME | Management | For | For | ||
| 9.A | TO APPROVE, CONFIRM AND RATIFY THE GRANT OF SPECIFIC MANDATE TO THE DIRECTORS OF THE COMPANY REGARDING THE ISSUE AND ALLOTMENT OF AN AGGREGATE OF 5,973,750 NEW SHARES ("NEW AWARD SHARES") TO COMPUTERSHARE HONG KONG TRUSTEES LIMITED TO HOLD ON TRUST FOR SELECTED PARTICIPANTS WHO ARE SELECTED BY THE BOARD OF DIRECTORS OF THE COMPANY (THE "SELECTED PARTICIPANTS") FOR PARTICIPATION IN THE SHARE AWARD SCHEME ADOPTED BY THE COMPANY ON 25 MARCH 2015 (THE "SHARE AWARD SCHEME") (THE "AWARD") AND THE TRANSACTIONS CONTEMPLATED THEREUNDER | Management | For | For | ||
| 9.B | TO APPROVE AND CONFIRM THE GRANT OF 535,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. CHEN QIYU | Management | For | For | ||
| 9.C | TO APPROVE AND CONFIRM THE GRANT OF 535,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. XU XIAOLIANG | Management | For | For | ||
| 9.D | TO APPROVE AND CONFIRM THE GRANT OF 310,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. QIN XUETANG | Management | For | For | ||
| 9.E | TO APPROVE AND CONFIRM THE GRANT OF 310,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. WANG CAN | Management | For | For | ||
| 9.F | TO APPROVE AND CONFIRM THE GRANT OF 235,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. GONG PING | Management | For | For | ||
| 9.G | TO APPROVE AND CONFIRM THE GRANT OF 25,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. ZHANG SHENGMAN | Management | For | For | ||
| 9.H | TO APPROVE AND CONFIRM THE GRANT OF 25,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. ZHANG HUAQIAO | Management | For | For | ||
| 9.I | TO APPROVE AND CONFIRM THE GRANT OF 25,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. DAVID T. ZHANG | Management | For | For | ||
| 9.J | TO APPROVE AND CONFIRM THE GRANT OF 25,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. YANG CHAO | Management | For | For | ||
| 9.K | TO APPROVE AND CONFIRM THE GRANT OF 25,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO DR. LEE KAI-FU | Management | For | For | ||
| 9.L | TO APPROVE AND CONFIRM THE GRANT OF 255,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. ZHANG HOULIN | Management | For | For | ||
| 9.M | TO APPROVE AND CONFIRM THE GRANT OF 115,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. LI TAO | Management | For | For | ||
| 9.N | TO APPROVE AND CONFIRM THE GRANT OF 70,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. QIAN JIANNONG | Management | For | For | ||
| 9.O | TO APPROVE AND CONFIRM THE GRANT OF 68,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MS. MU HAINING | Management | For | For | ||
| 9.P | TO APPROVE AND CONFIRM THE GRANT OF 68,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. GAO MIN | Management | For | For | ||
| 9.Q | TO APPROVE AND CONFIRM THE GRANT OF 60,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. ZHANG XUEQING | Management | For | For | ||
| 9.R | TO APPROVE AND CONFIRM THE GRANT OF 35,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. XU LINGJIANG | Management | For | For | ||
| 9.S | TO APPROVE AND CONFIRM THE GRANT OF 35,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO MR. PEI YU | Management | For | For | ||
| 9.T | TO APPROVE AND CONFIRM THE GRANT OF 3,527,000 AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME TO THE SELECTED PARTICIPANTS, OTHER THAN THOSE PERSONS NAMED IN RESOLUTIONS 9(B) - 9(S) ABOVE | Management | For | For | ||
| 9.U | TO AUTHORIZE ANY ONE OR MORE OF THE DIRECTORS OF THE COMPANY TO DO ALL SUCH ACTS AND THINGS AND EXECUTE ALL SUCH DOCUMENTS WHICH HE/SHE/THEY CONSIDER NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND GIVING EFFECT TO THE AWARD AND THE TRANSACTIONS CONTEMPLATED THEREUNDER, INCLUDING BUT NOT LIMITED TO THE ISSUE AND ALLOTMENT OF THE NEW AWARD SHARES PURSUANT TO THE SHARE AWARD SCHEME | Management | For | For | ||
| 10 | TO APPROVE THE ADOPTION OF THE YUYUAN TRANCHE II SHARE OPTION INCENTIVE SCHEME AND TO AUTHORIZE THE DIRECTORS OF THE COMPANY AND YUYUAN TO EXECUTE ALL SUCH DOCUMENTS AND TAKE ALL STEPS AS THEY CONSIDER TO BE NECESSARY, EXPEDIENT AND APPROPRIATE TO GIVE EFFECT TO THE SCHEME | Management | For | For | ||
| 11 | TO APPROVE THE ADOPTION OF THE GLAND PHARMA SHARE OPTION SCHEME AND TO AUTHORIZE ANY DIRECTOR OF THE COMPANY AND GLAND PHARMA TO EXECUTE ALL SUCH DOCUMENTS AND TAKE ALL STEPS AS THEY CONSIDER TO BE NECESSARY, EXPEDIENT AND APPROPRIATE TO GIVE EFFECT TO THE GLAND PHARMA SHARE OPTION SCHEME | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 34,564 | 0 | 27-Apr-2019 | 30-May-2019 |
| BGI GENOMICS CO., LTD. | ||||
| Security | Y0883H107 | Meeting Type | ExtraOrdinary General Meeting | |
| Ticker Symbol | Meeting Date | 06-Jun-2019 | ||
| ISIN | CNE100003449 | Agenda | 711229282 - Management | |
| Record Date | 31-May-2019 | Holding Recon Date | 31-May-2019 | |
| City / Country | GUANGD ONG / China | Vote Deadline Date | 03-Jun-2019 | |
| SEDOL(s) | BDZVZJ2 - BFY8H58 | Quick Code | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | ELIGIBILITY FOR PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | ||
| 2.1 | PUBLIC ISSUANCE OF CORPORATE BONDS: PAR VALUE, ISSUE PRICE AND ISSUING VOLUME | Management | For | For | ||
| 2.2 | PUBLIC ISSUANCE OF CORPORATE BONDS: ISSUING TARGETS AND ARRANGEMENT FOR PLACEMENT TO EXISTING SHAREHOLDERS | Management | For | For | ||
| 2.3 | PUBLIC ISSUANCE OF CORPORATE BONDS: BOND TYPE AND DURATION | Management | For | For | ||
| 2.4 | PUBLIC ISSUANCE OF CORPORATE BONDS: INTEREST RATE AND INTEREST PAYMENT METHOD | Management | For | For | ||
| 2.5 | PUBLIC ISSUANCE OF CORPORATE BONDS: ISSUING METHOD | Management | For | For | ||
| 2.6 | PUBLIC ISSUANCE OF CORPORATE BONDS: PURPOSE OF THE RAISED FUNDS | Management | For | For | ||
| 2.7 | PUBLIC ISSUANCE OF CORPORATE BONDS: GUARANTEE METHOD | Management | For | For | ||
| 2.8 | PUBLIC ISSUANCE OF CORPORATE BONDS: REPAYMENT GUARANTEE MEASURES | Management | For | For | ||
| 2.9 | PUBLIC ISSUANCE OF CORPORATE BONDS: UNDERWRITING METHOD | Management | For | For | ||
| 2.10 | PUBLIC ISSUANCE OF CORPORATE BONDS: LISTING OF THE BOND | Management | For | For | ||
| 2.11 | PUBLIC ISSUANCE OF CORPORATE BONDS: THE VALID PERIOD OF THE RESOLUTION | Management | For | For | ||
| 3 | FULL AUTHORIZATION TO THE BOARD OR ITS AUTHORIZED PERSONS TO HANDLE MATTERS REGARDING THE PUBLIC ISSUANCE OF CORPORATE BONDS | Management | For | For | ||
| 4 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 6,200 | 0 | 23-May-2019 | 04-Jun-2019 |
| AISINO CORP | |||||
| Security | Y0017G124 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 11-Jun-2019 | |||
| ISIN | CNE000001FB1 | Agenda | 711245426 - Management | ||
| Record Date | 04-Jun-2019 | Holding Recon Date | 04-Jun-2019 | ||
| City / Country | BEIJING / China | Vote Deadline Date | 05-Jun-2019 | ||
| SEDOL(s) | 6651297 - BP3R660 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | ELECTION OF DIRECTOR: MA TIANHUI | Management | For | For | ||
| 1.2 | ELECTION OF DIRECTOR: CHEN RONGXING | Management | For | For | ||
| 1.3 | ELECTION OF DIRECTOR: SUN ZHE | Management | For | For | ||
| 1.4 | ELECTION OF DIRECTOR: GU CHAOLING | Management | For | For | ||
| 1.5 | ELECTION OF DIRECTOR: E SHENGGUO | Management | For | For | ||
| 1.6 | ELECTION OF DIRECTOR: YUAN XIAOGUANG | Management | For | For | ||
| 2.1 | ELECTION OF INDEPENDENT DIRECTOR: ZHU LIMIN | Management | For | For | ||
| 2.2 | ELECTION OF INDEPENDENT DIRECTOR: SU WENLI | Management | For | For | ||
| 2.3 | ELECTION OF INDEPENDENT DIRECTOR: ZOU ZHIWEN | Management | For | For | ||
| 3.1 | ELECTION OF SUPERVISOR: GONG XINGLONG | Management | For | For | ||
| 3.2 | ELECTION OF SUPERVISOR: GUO YANZHONG | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 19,200 | 0 | 28-May-2019 | 06-Jun-2019 |
| NEWLAND DIGITAL TECHNOLOGY CO., LTD. | |||||
| Security | Y2654K103 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 19-Jun-2019 | |||
| ISIN | CNE0000014B1 | Agenda | 711259083 - Management | ||
| Record Date | 11-Jun-2019 | Holding Recon Date | 11-Jun-2019 | ||
| City / Country | FUJIAN / China | Vote Deadline Date | 14-Jun-2019 | ||
| SEDOL(s) | 6275727 - BD5CJ15 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 ANNUAL REPORT AND ITS SUMMARY | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY3.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 6 | REPURCHASE AND CANCELLATION OF SOME RESTRICTED STOCKS | Management | For | For | ||
| 7 | CHANGE OF THE COMPANY'S REGISTERED CAPITAL AND AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 8 | PROVISION OF GUARANTEE FOR CONDUCTING CLOUD LOAN BUSINESS | Management | For | For | ||
| 9 | PROVISION OF GUARANTEE FOR CONTROLLED SUBSIDIARIES | Management | For | For | ||
| 10 | 2019 PROVISION OF GUARANTEE QUOTA FOR SUBSIDIARIES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 22,800 | 0 | 31-May-2019 | 17-Jun-2019 |
| CHINA MINSHENG BANKING CORPORATION | |||||
| Security | Y1495M104 | Meeting Type | Class Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | CNE0000015Y0 | Agenda | 711094021 - Management | ||
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | ||
| City / Country | BEIJING / China | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | 6310747 - BP3R2C8 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | PROPOSAL TO EXTEND THE PERIOD OF VALIDITY OF THE RESOLUTION ON THE COMPANY'S PUBLIC ISSUANCE OF A SHARE CONVERTIBLE CORPORATE BONDS AND PERIOD OF AUTHORIZATION FOR AUTHORIZING BOARD OF DIRECTORS AND ITS AUTHORIZED PERSONNEL TO HANDLE RELATED MATTERS | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 56,760 | 0 | 01-May-2019 | 19-Jun-2019 |
| CHINA MINSHENG BANKING CORPORATION | |||||
| Security | Y1495M104 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | CNE0000015Y0 | Agenda | 711106585 - Management | ||
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | ||
| City / Country | BEIJING / China | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | 6310747 - BP3R2C8 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 ANNUAL REPORT | Management | For | For | ||
| 2 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 3 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY3.45000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 4 | 2019 FINANCIAL BUDGET REPORT | Management | For | For | ||
| 5 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 6 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 7 | 2019 APPOINTMENT OF AUDIT FIRM, AND THE AUDIT FEES | Management | For | For | ||
| 8 | ELECTION OF ZHAO FUGAO AS AN EXTERNAL SUPERVISOR | Management | For | For | ||
| 9 | EXTENSION OF THE VALID PERIOD OF THE RESOLUTION ON PUBLIC ISSUANCE OF A-SHARE CONVERTIBLE CORPORATE BONDS AND THE VALID PERIOD OF THE AUTHORIZATION TO HANDLE RELEVANT MATTERS | Management | For | For | ||
| 10 | DILUTED IMMEDIATE RETURN AFTER THE PUBLIC ISSUANCE OF A-SHARE CONVERTIBLE CORPORATE BONDS AND FILLING MEASURES | Management | For | For | ||
| 11 | STATEMENT ON THE USE OF PREVIOUSLY RAISED FUNDS | Management | For | For | ||
| 12 | GENERAL AUTHORIZATION TO THE BOARD REGARDING SHARE OFFERING | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 56,760 | 0 | 02-May-2019 | 19-Jun-2019 |
| BANK OF COMMUNICATIONS CO LTD | |||||
| Security | Y06988110 | Meeting Type | Class Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | CNE1000000S2 | Agenda | 711133289 - Management | ||
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | ||
| City / Country | SHANGH AI / China | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | B1W9Z06 - BP3R2G2 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | EXTENSION OF THE VALID PERIOD OF THE RESOLUTION ON PUBLIC ISSUANCE OF A-SHARE CONVERTIBLE BONDS AND RELEVANT AUTHORIZATION TO THE BOARD | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 60,500 | 0 | 07-May-2019 | 19-Jun-2019 |
| BANK OF COMMUNICATIONS CO LTD | |||||
| Security | Y06988110 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | CNE1000000S2 | Agenda | 711133316 - Management | ||
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | ||
| City / Country | SHANGH AI / China | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | B1W9Z06 - BP3R2G2 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 4 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN ARE AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED):CNY0.00000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES):NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES):NONE | Management | For | For | ||
| 5 | 2019 FIXED ASSETS INVESTMENT PLAN | Management | For | For | ||
| 6 | 2019 APPOINTMENT OF AUDIT FIRM | Management | For | For | ||
| 7 | STATEMENT ON THE USE OF PREVIOUSLY RAISED FUNDS | Management | For | For | ||
| 8 | EXTENSION OF THE VALID PERIOD OF THE RESOLUTION ON PUBLIC ISSUANCE OF A-SHARE CONVERTIBLE BONDS AND RELEVANT AUTHORIZATION TO THE BOARD | Management | For | For | ||
| 9 | ADJUSTMENT OF REMUNERATION FOR INDEPENDENT NON-EXECUTIVE DIRECTORS | Management | For | For | ||
| 10 | ADJUSTMENT OF REMUNERATION FOR EXTERNAL SUPERVISORS | Management | For | For | ||
| 11.1 | ELECTION OF EXECUTIVE DIRECTOR: REN DEQI | Management | For | For | ||
| 11.2 | ELECTION OF EXECUTIVE DIRECTOR: HOU WEIDONG | Management | For | For | ||
| 11.3 | ELECTION OF EXECUTIVE DIRECTOR: WU WEI | Management | For | For | ||
| 11.4 | ELECTION OF NON-EXECUTIVE DIRECTOR: HUANG BIJUAN | Management | For | For | ||
| 11.5 | ELECTION OF NON-EXECUTIVE DIRECTOR: CHEN SHAOZONG | Management | For | For | ||
| 11.6 | ELECTION OF NON-EXECUTIVE DIRECTOR: SONG HONGJUN | Management | For | For | ||
| 11.7 | ELECTION OF NON-EXECUTIVE DIRECTOR: CHEN JUNKUI | Management | For | For | ||
| 11.8 | ELECTION OF NON-EXECUTIVE DIRECTOR: LIU HAOXIANG | Management | For | For | ||
| 11.9 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: LI JIAN | Management | For | For | ||
| 11.10 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: LIU LI | Management | For | For | ||
| 11.11 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: YANG ZHIWEI | Management | For | For | ||
| 11.12 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: HU ZHANYUN | Management | For | For | ||
| 11.13 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: CAI HAOYI | Management | For | For | ||
| 11.14 | ELECTION OF INDEPENDENT NON-EXECUTIVE DIRECTOR: SHI LEI | Management | For | For | ||
| 12.1 | ELECTION OF SUPERVISOR: FENG XIAODONG | Management | For | For | ||
| 12.2 | ELECTION OF SUPERVISOR: WANG XUEQING | Management | For | For | ||
| 12.3 | ELECTION OF EXTERNAL SUPERVISOR: TANG XINYU | Management | For | For | ||
| 12.4 | ELECTION OF EXTERNAL SUPERVISOR: XIA ZHIHUA | Management | For | For | ||
| 12.5 | ELECTION OF EXTERNAL SUPERVISOR: LI YAO | Management | For | For | ||
| 12.6 | ELECTION OF EXTERNAL SUPERVISOR: CHEN HANWEN | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 60,500 | 0 | 07-May-2019 | 19-Jun-2019 |
| CHINA CONSTRUCTION BANK CORPORATION | |||||
| Security | Y1397N119 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | CNE100000742 | Agenda | 711254780 - Management | ||
| Record Date | 21-May-2019 | Holding Recon Date | 21-May-2019 | ||
| City / Country | BEIJING CITY / China | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | B24G126 - BP3R3L4 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 239417 DUE TO ADDITION OF- RESOLUTIONS 15 AND 16. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE-DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK-YOU. | Non-Voting | ||||
| 1 | 2018 REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL ACCOUNTS PLAN | Management | For | For | ||
| 4 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY3.06000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 5 | 2019 FIXED ASSETS INVESTMENT BUDGET | Management | For | For | ||
| 6 | 2017 REMUNERATION DISTRIBUTION PLAN FOR DIRECTORS | Management | For | For | ||
| 7 | 2017 REMUNERATION DISTRIBUTION PLAN FOR SUPERVISORS | Management | For | For | ||
| 8 | ELECTION OF LIU GUIPING AS AN EXECUTIVE DIRECTOR | Management | For | For | ||
| 9 | ELECTION OF HORN MURRAY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 10 | ELECTION OF GRAEME WHEELER AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 11 | ELECTION OF ZHAO XIJUN AS AN EXTERNAL SUPERVISOR | Management | For | For | ||
| 12 | APPOINTMENT OF 2019 EXTERNAL AUDIT FIRM | Management | For | For | ||
| 13 | ISSUANCE OF NON-FIXED TERM WRITE-DOWN CAPITAL BONDS | Management | For | For | ||
| 14 | ISSUANCE OF WRITE-DOWN SECOND-TIER CAPITAL INSTRUMENTS | Management | For | For | ||
| 15 | ELECTION OF TIAN BO AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 16 | ELECTION OF XIA YANG AS A NON-EXECUTIVE DIRECTOR | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 48,300 | 0 | 30-May-2019 | 19-Jun-2019 |
| TUNGHSU AZURE RENEWABLE ENERGY CO., LTD. | |||||
| Security | Y7740V104 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 26-Jun-2019 | |||
| ISIN | CNE0000000D6 | Agenda | 711311073 - Management | ||
| Record Date | 21-Jun-2019 | Holding Recon Date | 21-Jun-2019 | ||
| City / Country | BEIJING / China | Vote Deadline Date | 21-Jun-2019 | ||
| SEDOL(s) | 6765789 - BD25NN7 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | A WHOLLY-OWNED SUBSIDIARY CONDUCTS FINANCIAL LEASING BUSINESS AND THE COMPANY PROVIDES GUARANTEE TO THE SUBSIDIARY | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 42,200 | 0 | 12-Jun-2019 | 24-Jun-2019 |
| CHINA MERCHANTS BANK CO LTD | |||||
| Security | Y14896107 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 27-Jun-2019 | |||
| ISIN | CNE000001B33 | Agenda | 711297350 - Management | ||
| Record Date | 20-Jun-2019 | Holding Recon Date | 20-Jun-2019 | ||
| City / Country | GUANGD ONG / China | Vote Deadline Date | 24-Jun-2019 | ||
| SEDOL(s) | 6518723 - BP3R273 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1 | 2018 WORK REPORT OF THE BOARD OF DIRECTORS | Management | For | For | ||
| 2 | 2018 WORK REPORT OF THE SUPERVISORY COMMITTEE | Management | For | For | ||
| 3 | 2018 ANNUAL REPORT (INCLUDING AUDITED FINANCIAL REPORT) | Management | For | For | ||
| 4 | 2018 ANNUAL ACCOUNTS | Management | For | For | ||
| 5 | 2018 PROFIT DISTRIBUTION PLAN: THE DETAILED PROFIT DISTRIBUTION PLAN IS AS FOLLOWS: 1) CASH DIVIDEND/10 SHARES (TAX INCLUDED): CNY9.40000000 2) BONUS ISSUE FROM PROFIT (SHARE/10 SHARES): NONE 3) BONUS ISSUE FROM CAPITAL RESERVE (SHARE/10 SHARES): NONE | Management | For | For | ||
| 6 | APPOINTMENT OF 2019 AUDIT FIRM AND ITS AUDIT FEES | Management | For | For | ||
| 7 | REPORT ON 2018 CONNECTED TRANSACTIONS | Management | For | For | ||
| 8.1 | ELECTION OF LI JIANHONG AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.2 | ELECTION OF FU GANGFENG AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.3 | ELECTION OF ZHOU SONG AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.4 | ELECTION OF HONG XIAOYUAN AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.5 | ELECTION OF ZHANG JIAN AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.6 | ELECTION OF SU MIN AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.7 | ELECTION OF LUO SHENG AS NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.8 | ELECTION OF TIAN HUIYU AS EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.9 | ELECTION OF LIU JIANJUN AS EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.10 | ELECTION OF WANG LIANG AS EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.11 | ELECTION OF LIANG JINSONG AS INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.12 | ELECTION OF ZHAO JUN AS INDEPENDENT NON- EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.13 | ELECTION OF WANG SHIXIONG AS INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.14 | ELECTION OF LI MENGGANG AS INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||
| 8.15 | ELECTION OF LIU QIAO AS INDEPENDENT NON- EXECUTIVE DIRECTOR | Management | For | For | ||
| 9.1 | ELECTION OF PENG BIHONG AS SHAREHOLDER SUPERVISOR | Management | For | For | ||
| 9.2 | ELECTION OF WU HANG AS SHAREHOLDER SUPERVISOR | Management | For | For | ||
| 9.3 | ELECTION OF WEN JIANGUO AS SHAREHOLDER SUPERVISOR | Management | For | For | ||
| 9.4 | ELECTION OF DING HUIPING AS EXTERNAL SUPERVISOR | Management | For | For | ||
| 9.5 | ELECTION OF HAN ZIRONG AS EXTERNAL SUPERVISOR | Management | For | For | ||
| 10 | AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION | Management | For | For | ||
| 11 | GENERAL AUTHORIZATION FOR SHARE OFFERING AND (OR) EQUITY PURCHASE | Management | For | For | ||
| 12 | MEDIUM-TERM CAPITAL MANAGEMENT PLAN FROM 2019 TO 2021 | Management | For | For | ||
| 13.1 | BY ELECTION OF MR. SUN YUNFEI AS A NON- EXECUTIVE DIRECTOR OF THE 11TH BOARD OF DIRECTORS OF CHINA MERCHANTS BANK | Management | For | For | ||
| 13.2 | BY ELECTION OF MR. WANG DAXIONG AS A NON- EXECUTIVE DIRECTOR OF THE 11TH BOARD OF DIRECTORS OF CHINA MERCHANTS BANK | Management | For | For | ||
| 13.3 | BY ELECTION OF MR. TIAN HONGQI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE 11TH BOARD OF DIRECTORS OF CHINA MERCHANTS BANK | Management | For | For | ||
| 13.4 | BY ELECTION OF MR. XU ZHENGJUN AS AN EXTERNAL SUPERVISOR OF THE 11TH SUPERVISORY COMMITTEE OF CHINA MERCHANTS BANK OF CHINA MERCHANTS BANK | Management | For | For | ||
| 14 | GENERAL AUTHORIZATION TO ISSUE WRITE-DOWN NON-FIXED TERM CAPITAL BONDS | Management | For | For | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 245809 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 |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 281046 | RS NDQ NEXGEN ECONOMY CHINA ETF | 281046 | BANK OF NEW YORK MELLON | 13,300 | 0 | 06-Jun-2019 | 25-Jun-2019 |
Reality Shares Nasdaq NexGen Economy ETF
Form NP-X Summary (2018 - 2019)
| XILINX, INC. | |||||
| Security | 983919101 | Meeting Type | Annual | ||
| Ticker Symbol | XLNX | Meeting Date | 01-Aug-2018 | ||
| ISIN | US9839191015 | Agenda | 934848067 - Management | ||
| Record Date | 07-Jun-2018 | Holding Recon Date | 07-Jun-2018 | ||
| City / Country | / United States | Vote Deadline Date | 31-Jul-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Dennis Segers | Management | For | For | |||
| 1b. | Election of Director: Raman Chitkara | Management | For | For | |||
| 1c. | Election of Director: Saar Gillai | Management | For | For | |||
| 1d. | Election of Director: Ronald S. Jankov | Management | For | For | |||
| 1e. | Election of Director: Mary Louise Krakauer | Management | For | For | |||
| 1f. | Election of Director: Thomas H. Lee | Management | For | For | |||
| 1g. | Election of Director: J. Michael Patterson | Management | For | For | |||
| 1h. | Election of Director: Victor Peng | Management | For | For | |||
| 1i. | Election of Director: Albert A. Pimentel | Management | For | For | |||
| 1j. | Election of Director: Marshall C. Turner | Management | For | For | |||
| 1k. | Election of Director: Elizabeth W. Vanderslice | Management | For | For | |||
| 2. | Amendment to Company's 1990 Employee QualifiedStock Purchase Plan to increase the shares reserved forissuance by 3,000,000. | Management | For | For | |||
| 3. | Amendment to Company's 2007 Equity Incentive Plan toincrease shares reserved for issuance thereunder by3,000,000 shares. | Management | For | For | |||
| 4. | Proposal to approve, on an advisory basis, thecompensation of the Company's named executiveofficers. | Management | For | For | |||
| 5. | Proposal to ratify the appointment of Ernst & Young LLPas the Company's external auditors for fiscal 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 28,179 | 0 | 26-Jun-2018 | 02-Aug-2018 |
| RED HAT, INC. | |||||
| Security | 756577102 | Meeting Type | Annual | ||
| Ticker Symbol | RHT | Meeting Date | 09-Aug-2018 | ||
| ISIN | US7565771026 | Agenda | 934851076 - Management | ||
| Record Date | 15-Jun-2018 | Holding Recon Date | 15-Jun-2018 | ||
| City / Country | / United States | Vote Deadline Date | 08-Aug-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Sohaib Abbasi | Management | For | For | |||
| 1.2 | Election of Director: W. Steve Albrecht | Management | For | For | |||
| 1.3 | Election of Director: Charlene T. Begley | Management | For | For | |||
| 1.4 | Election of Director: Narendra K. Gupta | Management | For | For | |||
| 1.5 | Election of Director: Kimberly L. Hammonds | Management | For | For | |||
| 1.6 | Election of Director: William S. Kaiser | Management | For | For | |||
| 1.7 | Election of Director: James M. Whitehurst | Management | For | For | |||
| 1.8 | Election of Director: Alfred W. Zollar | Management | For | For | |||
| 2. | To approve, on an advisory basis, a resolution relating toRed Hat's executive compensation | Management | For | For | |||
| 3. | To ratify the selection of PricewaterhouseCoopers LLP asRed Hat's independent registered public accounting firmfor the fiscal year ending February 28, 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 13,691 | 0 | 29-Jun-2018 | 10-Aug-2018 |
| INFOSYS LIMITED | |||||
| Security | 456788108 | Meeting Type | Special | ||
| Ticker Symbol | INFY | Meeting Date | 22-Aug-2018 | ||
| ISIN | US4567881085 | Agenda | 934864895 - Management | ||
| Record Date | 30-Jul-2018 | Holding Recon Date | 30-Jul-2018 | ||
| City / Country | / United States | Vote Deadline Date | 16-Aug-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Increase in authorized share capital to enable issue ofbonus shares | Management | For | For | |||
| 2. | Alteration of Clause V of Memorandum of Association | Management | For | For | |||
| 3. | Approval for the issue of bonus shares | Management | For | For | |||
| 4. | Appointment of Michael Gibbs as an IndependentDirector | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 98,168 | 0 | 07-Aug-2018 | 20-Aug-2018 |
| ZTE CORPORATION | |||||
| Security | Y0004F105 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 28-Aug-2018 | |||
| ISIN | CNE1000004Y2 | Agenda | 709828860 - Management | ||
| Record Date | 27-Jul-2018 | Holding Recon Date | 27-Jul-2018 | ||
| City / Country | SHENZH EN / China | Vote Deadline Date | 22-Aug-2018 | ||
| SEDOL(s) | B04KP88 - B04YDP3 - B05Q046 - BD8GJX6 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0810/LTN20180810385.PDF,- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0810/LTN20180810357.PDF,- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0712/LTN20180712513.PDF-AND- HTTP://WWW.HKEXNEWS.HK/LISTEDCO/LISTCONEW S/SEHK/2018/0712/LTN20180712542.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TOMEETING ID 973049 DUE TO ADDITION OF-RESOLUTION 2. ALL VOTES RECEIVED ON THEPREVIOUS MEETING WILL BE DISREGARDED-ANDYOU WILL NEED TO REINSTRUCT ON THIS MEETINGNOTICE. THANK YOU. | Non-Voting | |||||
| 1 | RESOLUTION ON THE AMENDMENT OF RELEVANTCLAUSES IN THE ARTICLES OF ASSOCIATION ANDTHE RULES OF PROCEDURE OF THE BOARD OFDIRECTORS MEETINGS | Management | For | For | |||
| CMMT | THE BOARD / ISSUER HAS NOT RELEASED ASTATEMENT ON WHETHER THEY RECOMMEND TO-VOTE IN FAVOUR OR AGAINST THE RESOLUTION2.1 | Non-Voting | |||||
| 2.1 | THAT MR. XU ZIYANG BE ELECTED AS ANEXECUTIVE DIRECTOR OF THE SEVENTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON THE DATE ONWHICH THE RESOLUTION IS CONSIDERED ANDAPPROVED AT THE EGM AND ENDING UPON THECONCLUSION OF THE TERM OF OFFICE OF THESEVENTH SESSION OF THE BOARD OF DIRECTORSOF THE COMPANY (NAMELY 29 MARCH 2019) | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 612,171 | 0 | 14-Aug-2018 | 23-Aug-2018 |
| NETEASE, INC. | |||||
| Security | 64110W102 | Meeting Type | Annual | ||
| Ticker Symbol | NTES | Meeting Date | 07-Sep-2018 | ||
| ISIN | US64110W1027 | Agenda | 934868805 - Management | ||
| Record Date | 31-Jul-2018 | Holding Recon Date | 31-Jul-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 04-Sep-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Re-election of director: William Lei Ding | Management | For | For | |||
| 1b. | Re-election of director: Alice Cheng | Management | For | For | |||
| 1c. | Re-election of director: Denny Lee | Management | For | For | |||
| 1d. | Re-election of director: Joseph Tong | Management | For | For | |||
| 1e. | Re-election of director: Lun Feng | Management | For | For | |||
| 1f. | Re-election of director: Michael Leung | Management | For | For | |||
| 1g. | Re-election of director: Michael Tong | Management | For | For | |||
| 2. | Appoint PricewaterhouseCoopers Zhong Tian LLP asindependent auditors of NetEase, Inc. for the fiscal yearending December 31, 2018. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 4,806 | 0 | 21-Aug-2018 | 06-Sep-2018 |
| ASX LIMITED | |||||
| Security | Q0604U105 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 04-Oct-2018 | |||
| ISIN | AU000000ASX7 | Agenda | 709841387 - Management | ||
| Record Date | 03-Oct-2018 | Holding Recon Date | 03-Oct-2018 | ||
| City / Country | SYDNEY / Australia | Vote Deadline Date | 28-Sep-2018 | ||
| SEDOL(s) | 5560930 - 6129222 - B1SNWQ7 -BHZL921 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | VOTING EXCLUSIONS APPLY TO THIS MEETING FORPROPOSALS 4 AND 5 AND VOTES CAST-BY ANYINDIVIDUAL OR RELATED PARTY WHO BENEFITFROM THE PASSING OF THE-PROPOSAL/S WILL BEDISREGARDED BY THE COMPANY. HENCE, IF YOUHAVE OBTAINED-BENEFIT OR EXPECT TO OBTAINFUTURE BENEFIT (AS REFERRED IN THE COMPANY-ANNOUNCEMENT) VOTE ABSTAIN ON THERELEVANT PROPOSAL ITEMS. BY DOING SO, YOU-ACKNOWLEDGE THAT YOU HAVE OBTAINEDBENEFIT OR EXPECT TO OBTAIN BENEFIT BY THE-PASSING OF THE RELEVANT PROPOSAL/S. BYVOTING (FOR OR AGAINST) ON THE ABOVE-MENTIONED PROPOSAL/S, YOU ACKNOWLEDGETHAT YOU HAVE NOT OBTAINED BENEFIT-NEITHEREXPECT TO OBTAIN BENEFIT BY THE PASSING OFTHE RELEVANT PROPOSAL/S-AND YOU COMPLYWITH THE VOTING EXCLUSION | Non-Voting | |||||
| 3.A | RE-ELECTION OF DIRECTOR, RICK HOLLIDAY-SMITH | Management | For | For | |||
| 3.B | RE-ELECTION OF DIRECTOR, YASMIN ALLEN | Management | For | For | |||
| 3.C | RE-ELECTION OF DIRECTOR, PETER MARRIOTT | Management | For | For | |||
| 3.D | RE-ELECTION OF DIRECTOR, HEATHER RIDOUT AO | Management | For | For | |||
| 4 | REMUNERATION REPORT | Management | For | For | |||
| 5 | GRANT OF PERFORMANCE RIGHTS TO THEMANAGING DIRECTOR AND CEO | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 35,257 | 0 | 21-Aug-2018 | 03-Oct-2018 |
| ALIBABA GROUP HOLDING LIMITED | |||||
| Security | 01609W102 | Meeting Type | Annual | ||
| Ticker Symbol | BABA | Meeting Date | 31-Oct-2018 | ||
| ISIN | US01609W1027 | Agenda | 934878553 - Management | ||
| Record Date | 24-Aug-2018 | Holding Recon Date | 24-Aug-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 23-Oct-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director to serve for a three year term:JOSEPH C. TSAI | Management | For | For | |||
| 1b. | Election of Director to serve for a three year term: J.MICHAEL EVANS | Management | For | For | |||
| 1c. | Election of Director to serve for a three year term: ERICXIANDONG JING | Management | For | For | |||
| 1d. | Election of Director to serve for a three year term: BORJEE. EKHOLM | Management | For | For | |||
| 2. | Ratify the appointment of PricewaterhouseCoopers asthe independent registered public accounting firm of theCompany. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 10,358 | 0 | 01-Oct-2018 | 25-Oct-2018 |
| BROADRIDGE FINANCIAL SOLUTIONS, INC. | |||||
| Security | 11133T103 | Meeting Type | Annual | ||
| Ticker Symbol | BR | Meeting Date | 08-Nov-2018 | ||
| ISIN | US11133T1034 | Agenda | 934880724 - Management | ||
| Record Date | 17-Sep-2018 | Holding Recon Date | 17-Sep-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 07-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a) | Election of Director: Leslie A. Brun | Management | For | For | |||
| 1b) | Election of Director: Pamela L. Carter | Management | For | For | |||
| 1c) | Election of Director: Richard J. Daly | Management | For | For | |||
| 1d) | Election of Director: Robert N. Duelks | Management | For | For | |||
| 1e) | Election of Director: Brett A. Keller | Management | For | For | |||
| 1f) | Election of Director: Stuart R. Levine | Management | For | For | |||
| 1g) | Election of Director: Maura A. Markus | Management | For | For | |||
| 1h) | Election of Director: Thomas J. Perna | Management | For | For | |||
| 1i) | Election of Director: Alan J. Weber | Management | For | For | |||
| 2) | Advisory vote to approve the compensation of theCompany's Named Executive Officers (the Say on PayVote). | Management | For | For | |||
| 3) | To approve the 2018 Omnibus Award Plan. | Management | For | For | |||
| 4) | To ratify the appointment of Deloitte & Touche LLP as theCompany's independent registered public accountants forthe fiscal year ending June 30, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 15,630 | 0 | 01-Oct-2018 | 09-Nov-2018 |
| ORACLE CORPORATION | |||||
| Security | 68389X105 | Meeting Type | Annual | ||
| Ticker Symbol | ORCL | Meeting Date | 14-Nov-2018 | ||
| ISIN | US68389X1054 | Agenda | 934879656 - Management | ||
| Record Date | 17-Sep-2018 | Holding Recon Date | 17-Sep-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 13-Nov-2018 | ||
| 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 | Hector Garcia-Molina | For | For | ||||||
| 8 | Jeffrey O. Henley | For | For | ||||||
| 9 | Mark V. Hurd | For | For | ||||||
| 10 | Renee J. James | For | For | ||||||
| 11 | Charles W. Moorman IV | For | For | ||||||
| 12 | Leon E. Panetta | For | For | ||||||
| 13 | William G. Parrett | For | For | ||||||
| 14 | Naomi O. Seligman | For | For | ||||||
| 2. | Advisory Vote to Approve the Compensation of theNamed Executive Officers. | Management | For | For | |||||
| 3. | Ratification of the Selection of Ernst & Young LLP asIndependent Registered Public Accounting Firm for FiscalYear 2019. | Management | For | For | |||||
| 4. | Stockholder Proposal Regarding Pay Equity Report. | Shareholder | Against | For | |||||
| 5. | Stockholder Proposal Regarding Political ContributionsReport. | Shareholder | Against | For | |||||
| 6. | Stockholder Proposal Regarding Lobbying Report. | Shareholder | Against | For | |||||
| 7. | Stockholder Proposal Regarding Independent BoardChair. | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 34,881 | 0 | 01-Oct-2018 | 15-Nov-2018 |
| THOMSON REUTERS CORPORATION | |||||
| Security | 884903105 | Meeting Type | Special | ||
| Ticker Symbol | TRI | Meeting Date | 19-Nov-2018 | ||
| ISIN | CA8849031056 | Agenda | 934891955 - Management | ||
| Record Date | 18-Oct-2018 | Holding Recon Date | 18-Oct-2018 | ||
| City / Country | / Canada | Vote Deadline Date | 14-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | The special resolution, the full text of which is set forth inAppendix A to the management proxy circular ofThomson Reuters Corporation dated October 16, 2018(the "Circular"), approving the plan of arrangement underSection 182 of the Business Corporations Act (Ontario)under which Thomson Reuters Corporation will (i) make acash distribution of US$4.45 per common share, orapproximately US$2.5 billion in the aggregate and (ii)consolidate its outstanding common shares (or "reversestock split") on a basis that is proportional to the cashdistribution, all as more particularly described in theCircular. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 33,014 | 0 | 25-Oct-2018 | 20-Nov-2018 |
| HIVE BLOCKCHAIN TECHNOLOGIES LTD | |||||
| Security | 43366H100 | Meeting Type | MIX | ||
| Ticker Symbol | Meeting Date | 20-Nov-2018 | |||
| ISIN | CA43366H1001 | Agenda | 710151109 - Management | ||
| Record Date | 05-Oct-2018 | Holding Recon Date | 05-Oct-2018 | ||
| City / Country | TORONTO / Canada | Vote Deadline Date | 14-Nov-2018 | ||
| SEDOL(s) | BD72F15 - BYZ9816 - BYZ9838 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLYFOR RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.1 TO1.5 AND 2. THANK YOU | Non-Voting | |||||
| 1.1 | ELECTION OF DIRECTOR: FRANK HOLMES | Management | For | For | |||
| 1.2 | ELECTION OF DIRECTOR: OLIVIER ROUSSYNEWTON | Management | For | For | |||
| 1.3 | ELECTION OF DIRECTOR: BJOERN ARZT | Management | For | For | |||
| 1.4 | ELECTION OF DIRECTOR: TOBIAS EBEL | Management | For | For | |||
| 1.5 | ELECTION OF DIRECTOR: MARCUS NEW | Management | For | For | |||
| 2 | APPOINTMENT OF GRANT THORNTON LLP,CHARTERED PROFESSIONAL ACCOUNTANTS ASAUDITORS OF THE CORPORATION FOR THEENSUING YEAR AND AUTHORIZING THEDIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | |||
| 3 | TO RE-APPROVE THE CORPORATION'S STOCKOPTION PLAN | Management | For | For | |||
| 4 | TO APPROVE THE IMPLEMENTATION OF ARESTRICTED SHARE UNIT PLAN FOR EXECUTIVES,DIRECTORS, EMPLOYEES AND CONSULTANTS OFTHE CORPORATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 332,374 | 0 | 30-Oct-2018 | 14-Nov-2018 |
| FOSUN INTERNATIONAL LTD | |||||
| Security | Y2618Y108 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 27-Nov-2018 | |||
| ISIN | HK0656038673 | Agenda | 710194123 - Management | ||
| Record Date | 21-Nov-2018 | Holding Recon Date | 21-Nov-2018 | ||
| City / Country | SHANGHAI / Hong Kong | Vote Deadline Date | 21-Nov-2018 | ||
| SEDOL(s) | B1Z7FX0 - B23DHW0 - B23DJG8 -BD8NFY0 - BP3RPY1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT AVOTE OF "ABSTAIN" WILL BE TREATED-THE SAMEAS A "TAKE NO ACTION" VOTE. | Non-Voting | |||||
| 1 | TO APPROVE THE ADOPTION OF THE YUYUANTRANCHE I SHARE OPTION INCENTIVE SCHEMEAND TO AUTHORIZE THE DIRECTORS OF THECOMPANY AND YUYUAN TO EXECUTE ALL SUCHDOCUMENTS AND TAKE ALL STEPS AS THEYCONSIDER TO BE NECESSARY, EXPEDIENT ANDAPPROPRIATE TO GIVE EFFECT TO THE SCHEME | Management | For | For | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1109/LTN20181109458.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1109/LTN20181109470.PDF | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 714,417 | 0 | 10-Nov-2018 | 22-Nov-2018 |
| MICROSOFT CORPORATION | |||||
| Security | 594918104 | Meeting Type | Annual | ||
| Ticker Symbol | MSFT | Meeting Date | 28-Nov-2018 | ||
| ISIN | US5949181045 | Agenda | 934884544 - Management | ||
| Record Date | 26-Sep-2018 | Holding Recon Date | 26-Sep-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 27-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: William H. Gates lll | Management | For | For | |||
| 1b. | Election of Director: Reid G. Hoffman | Management | For | For | |||
| 1c. | Election of Director: Hugh F. Johnston | Management | For | For | |||
| 1d. | Election of Director: Teri L. List-Stoll | Management | For | For | |||
| 1e. | Election of Director: Satya Nadella | Management | For | For | |||
| 1f. | Election of Director: Charles H. Noski | Management | For | For | |||
| 1g. | Election of Director: Helmut Panke | Management | For | For | |||
| 1h. | Election of Director: Sandra E. Peterson | Management | For | For | |||
| 1i. | Election of Director: Penny S. Pritzker | Management | For | For | |||
| 1j. | Election of Director: Charles W. Scharf | Management | For | For | |||
| 1k. | Election of Director: Arne M. Sorenson | Management | For | For | |||
| 1l. | Election of Director: John W. Stanton | Management | For | For | |||
| 1m. | Election of Director: John W. Thompson | Management | For | For | |||
| 1n. | Election of Director: Padmasree Warrior | Management | For | For | |||
| 2. | Advisory vote to approve named executive officercompensation | Management | For | For | |||
| 3. | Ratification of Deloitte & Touche LLP as our independentauditor for fiscal year 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 22,351 | 0 | 17-Oct-2018 | 29-Nov-2018 |
| CME GROUP INC. | |||||
| Security | 12572Q105 | Meeting Type | Special | ||
| Ticker Symbol | CME | Meeting Date | 29-Nov-2018 | ||
| ISIN | US12572Q1058 | Agenda | 934879909 - Management | ||
| Record Date | 06-Sep-2018 | Holding Recon Date | 06-Sep-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 28-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Approve an amendment and restatement of ourcertificate of incorporation to eliminate all or some of theClass B Election Rights. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 9,371 | 0 | 01-Oct-2018 | 30-Nov-2018 |
| CISCO SYSTEMS, INC. | |||||
| Security | 17275R102 | Meeting Type | Annual | ||
| Ticker Symbol | CSCO | Meeting Date | 12-Dec-2018 | ||
| ISIN | US17275R1023 | Agenda | 934891614 - Management | ||
| Record Date | 15-Oct-2018 | Holding Recon Date | 15-Oct-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 11-Dec-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. Michele Burns | Management | For | For | |||
| 1b. | Election of Director: Michael D. Capellas | Management | For | For | |||
| 1c. | Election of Director: Mark Garrett | Management | For | For | |||
| 1d. | Election of Director: Dr. Kristina M. Johnson | Management | For | For | |||
| 1e. | Election of Director: Roderick C. McGeary | Management | For | For | |||
| 1f. | Election of Director: Charles H. Robbins | Management | For | For | |||
| 1g. | Election of Director: Arun Sarin | Management | For | For | |||
| 1h. | Election of Director: Brenton L. Saunders | Management | For | For | |||
| 1i. | Election of Director: Steven M. West | Management | For | For | |||
| 2. | Approval of amendment and restatement of theEmployee Stock Purchase Plan. | Management | For | For | |||
| 3. | Approval, on an advisory basis, of executivecompensation. | Management | For | For | |||
| 4. | Ratification of PricewaterhouseCoopers LLP as Cisco'sindependent registered public accounting firm for fiscal2019. | Management | For | For | |||
| 5. | Approval to have Cisco's Board adopt a policy to have anindependent Board chairman. | Shareholder | Against | For | |||
| 6. | Approval to have Cisco's Board adopt a proposal relatingto executive compensation metrics. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 38,437 | 0 | 25-Oct-2018 | 13-Dec-2018 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | |||||
| Security | Y69790106 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 14-Dec-2018 | |||
| ISIN | CNE1000003X6 | Agenda | 710152682 - Management | ||
| Record Date | 13-Nov-2018 | Holding Recon Date | 13-Nov-2018 | ||
| City / Country | GUANGDONG / China | Vote Deadline Date | 10-Dec-2018 | ||
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 -BD8NLC0 - BP3RWZ1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291205.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2018/1029/LTN201810291197.PDF | Non-Voting | |||||
| 1.1 | TO CONSIDER AND APPROVE THE ELECTION OFMR. NG SING YIP AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THE11TH SESSION OF THE BOARD | Management | For | For | |||
| 1.2 | TO CONSIDER AND APPROVE THE ELECTION OFMR. CHU YIYUN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THE11TH SESSION OF THE BOARD | Management | For | For | |||
| 1.3 | TO CONSIDER AND APPROVE THE ELECTION OFMR. LIU HONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THE11TH SESSION OF THE BOARD | Management | For | For | |||
| 2 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE IMPLEMENTATION OF THE LONG-TERM SERVICE PLAN | Management | For | For | |||
| 3 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE ISSUING OF DEBT FINANCINGINSTRUMENTS | Management | For | For | |||
| 4 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE PROPOSED AMENDMENTS TOTHE ARTICLES OF ASSOCIATION | Management | For | For | |||
| 5 | TO CONSIDER AND APPROVE THE PLANREGARDING SHARE BUY-BACK AND RELEVANTAUTHORIZATION | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 164,298 | 0 | 31-Oct-2018 | 11-Dec-2018 |
| RED HAT, INC. | |||||
| Security | 756577102 | Meeting Type | Special | ||
| Ticker Symbol | RHT | Meeting Date | 16-Jan-2019 | ||
| ISIN | US7565771026 | Agenda | 934914222 - Management | ||
| Record Date | 11-Dec-2018 | Holding Recon Date | 11-Dec-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 15-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To adopt the Agreement and Plan of Merger (as it maybe amended from time to time), dated as of October 28,2018, which we refer to as the merger agreement, by andamong Red Hat, Inc., International Business MachinesCorporation and Socrates Acquisition Corp. | Management | For | For | |||
| 2. | To approve, by means of a non-binding, advisory vote,compensation that will or may become payable to thenamed executive officers of Red Hat, Inc. in connectionwith the merger. | Management | For | For | |||
| 3. | To approve one or more adjournments of the specialmeeting to a later date or dates, if necessary orappropriate, to solicit additional proxies if there areinsufficient votes to adopt the merger agreement at thethen-scheduled date and time of the special meeting. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 12,760 | 0 | 18-Dec-2018 | 17-Jan-2019 |
| MICRON TECHNOLOGY, INC. | |||||
| Security | 595112103 | Meeting Type | Annual | ||
| Ticker Symbol | MU | Meeting Date | 17-Jan-2019 | ||
| ISIN | US5951121038 | Agenda | 934910197 - Management | ||
| Record Date | 19-Nov-2018 | Holding Recon Date | 19-Nov-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 16-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Robert L. Bailey | Management | For | For | |||
| 1.2 | Election of Director: Richard M. Beyer | Management | For | For | |||
| 1.3 | Election of Director: Patrick J. Byrne | Management | For | For | |||
| 1.4 | Election of Director: Steven J. Gomo | Management | For | For | |||
| 1.5 | Election of Director: Mary Pat McCarthy | Management | For | For | |||
| 1.6 | Election of Director: Sanjay Mehrotra | Management | For | For | |||
| 1.7 | Election of Director: Robert E. Switz | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopersLLP as our Independent Registered Public AccountingFirm for the fiscal year ending August 29, 2019. | Management | For | For | |||
| 3. | To approve a non-binding resolution to approve thecompensation of our Named Executive Officers asdescribed in the proxy statement. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 32,337 | 0 | 07-Dec-2018 | 18-Jan-2019 |
| VISA INC. | |||||
| Security | 92826C839 | Meeting Type | Annual | ||
| Ticker Symbol | V | Meeting Date | 29-Jan-2019 | ||
| ISIN | US92826C8394 | Agenda | 934911074 - Management | ||
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 28-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||
| 1b. | Election of Director: Mary B. Cranston | Management | For | For | |||
| 1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | |||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||
| 1e. | Election of Director: John F. Lundgren | Management | For | For | |||
| 1f. | Election of Director: Robert W. Matschullat | Management | For | For | |||
| 1g. | Election of Director: Denise M. Morrison | Management | For | For | |||
| 1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1i. | Election of Director: John A. C. Swainson | Management | For | For | |||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as ourindependent registered public accounting firm for the2019 fiscal year. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 8,682 | 0 | 19-Dec-2018 | 30-Jan-2019 |
| SIEMENS AG | |||||
| Security | D69671218 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 30-Jan-2019 | |||
| ISIN | DE0007236101 | Agenda | 710322645 - Management | ||
| Record Date | 23-Jan-2019 | Holding Recon Date | 23-Jan-2019 | ||
| City / Country | MUENCHEN / Germany | Vote Deadline Date | 18-Jan-2019 | ||
| SEDOL(s) | 0798725 - 5727973 - 5735233 -B0395G4 - B19GK05 - B5NMZR9 -BF0Z8C7 - BN7ZCD5 - BYL6SL1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TOMEETING ID 137545 DUE TO SPLITTING-OFRESOLUTIONS 3 AND 4. ALL VOTES RECEIVED ONTHE PREVIOUS MEETING WILL BE-DISREGARDEDAND YOU WILL NEED TO REINSTRUCT ON THISMEETING NOTICE. THANK YOU | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENTTO PARAGRAPH 21 OF THE SECURITIES-TRADEACT ON 9TH JULY 2015 AND THE OVER-RULING OFTHE DISTRICT COURT IN-COLOGNE JUDGMENTFROM 6TH JUNE 2012 THE VOTING PROCESS HASNOW CHANGED WITH-REGARD TO THE GERMANREGISTERED SHARES. AS A RESULT, IT IS NOWTHE-RESPONSIBILITY OF THE END-INVESTOR (I.E.FINAL BENEFICIARY) AND NOT THE-INTERMEDIARYTO DISCLOSE RESPECTIVE FINAL BENEFICIARYVOTING RIGHTS THEREFORE-THE CUSTODIANBANK / AGENT IN THE MARKET WILL BE SENDINGTHE VOTING DIRECTLY-TO MARKET AND IT IS THEEND INVESTORS RESPONSIBILITY TO ENSURE THE-REGISTRATION ELEMENT IS COMPLETE WITH THEISSUER DIRECTLY, SHOULD THEY HOLD-MORETHAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | |||||
| CMMT | THE VOTE/REGISTRATION DEADLINE ASDISPLAYED ON PROXYEDGE IS SUBJECT TOCHANGE-AND WILL BE UPDATED AS SOON ASBROADRIDGE RECEIVES CONFIRMATION FROMTHE SUB-CUSTODIANS REGARDING THEIRINSTRUCTION DEADLINE. FOR ANY QUERIESPLEASE-CONTACT YOUR CLIENT SERVICESREPRESENTATIVE | Non-Voting | |||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OFSPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THEAGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTINGRIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BEEXCLUDED WHEN YOUR SHARE IN VOTING RIGHTSHAS REACHED CERTAIN THRESHOLDS-AND YOUHAVE NOT COMPLIED WITH ANY OF YOUR | Non-Voting | |||||
| MANDATORY VOTING RIGHTS-NOTIFICATIONSPURSUANT TO THE GERMAN SECURITIES TRADINGACT (WPHG). FOR-QUESTIONS IN THIS REGARDPLEASE CONTACT YOUR CLIENT SERVICEREPRESENTATIVE-FOR CLARIFICATION. IF YOU DONOT HAVE ANY INDICATION REGARDING SUCHCONFLICT-OF INTEREST, OR ANOTHER EXCLUSIONFROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL. THANK YOU | |||||||
| CMMT | COUNTER PROPOSALS MAY BE SUBMITTED UNTIL15.01.2019. FURTHER INFORMATION ON-COUNTERPROPOSALS CAN BE FOUND DIRECTLY ON THEISSUER'S WEBSITE (PLEASE REFER-TO THEMATERIAL URL SECTION OF THE APPLICATION). IFYOU WISH TO ACT ON THESE-ITEMS, YOU WILLNEED TO REQUEST A MEETING ATTEND AND VOTEYOUR SHARES-DIRECTLY AT THE COMPANY'SMEETING. COUNTER PROPOSALS CANNOT BEREFLECTED IN-THE BALLOT ON PROXYEDGE | Non-Voting | |||||
| 1 | RECEIVE FINANCIAL STATEMENTS ANDSTATUTORY REPORTS FOR FISCAL 2017/18 | Non-Voting | |||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDSOF EUR 3.80 PER SHARE | Management | For | For | |||
| 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER JOE KAESER FOR FISCAL 2017/18 | Management | For | For | |||
| 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER ROLAND BUSCH FOR FISCAL 2017/18 | Management | For | For | |||
| 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER LISA DAVIS FOR FISCAL 2017/18 | Management | For | For | |||
| 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER KLAUS HELMRICH FOR FISCAL 2017/18 | Management | For | For | |||
| 3.5 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER JANINA KUGEL FOR FISCAL 2017/18 | Management | For | For | |||
| 3.6 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER CEDRIK NEIKE FOR FISCAL 2017/18 | Management | For | For | |||
| 3.7 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER MICHAEL SEN FOR FISCAL2017/18 | Management | For | For | |||
| 3.8 | APPROVE DISCHARGE OF MANAGEMENT BOARDMEMBER RALF P. THOMAS FOR FISCAL 2017/18 | Management | For | For | |||
| 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER JIM HAGEMANN SNABE FOR FISCAL2017/18 | Management | For | For | |||
| 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER BIRGIT STEINBORN FOR FISCAL 2017/18 | Management | For | For | |||
| 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER WERNER WENNING FOR FISCAL 2017/18 | Management | For | For | |||
| 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER OLAF BOLDUAN (UNTIL JANUARY 31, 2018)FOR FISCAL 2017/18 | Management | For | For | |||
| 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER WERNER BRANDT (SINCE JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER GERHARD CROMME (UNTIL JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER MICHAEL DIEKMANN FOR FISCAL 2017/18 | Management | For | For | |||
| 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER ANDREA FEHRMANN (SINCE JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER HANS MICHAEL GAUL (UNTIL JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER REINHARD HAHN FOR FISCAL 2017/18 | Management | For | For | |||
| 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER BETTINA HALLER FOR FISCAL 2017/18 | Management | For | For | |||
| 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER ROBERT KENSBOCK FOR FISCAL 2017/18 | Management | For | For | |||
| 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER HARALD KERN FOR FISCAL 2017/18 | Management | For | For | |||
| 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER JUERGEN KERNER FOR FISCAL 2017/18 | Management | For | For | |||
| 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER NICOLA LEIBINGER-KAMMUELLER FORFISCAL 2017/18 | Management | For | For | |||
| 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER GERARD MESTRALLET (UNTIL JANUARY31, 2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.17 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER BENOIT POTIER (SINCE JANUARY 31, 2018)FOR FISCAL 2017/18 | Management | For | For | |||
| 4.18 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER.NORBERT REITHOFER FOR FISCAL2017/18 | Management | For | For | |||
| 4.19 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER GUELER SABANCI (UNTIL JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.20 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER DAME NEMAT TALAAT SHAFIK (SINCEJANUARY 31, 2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.21 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER NATHALIE VON SIEMENS FOR FISCAL2017/18 | Management | For | For | |||
| 4.22 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER MICHAEL SIGMUND FOR FISCAL 2017/18 | Management | For | For | |||
| 4.23 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER DOROTHEA SIMON.FOR FISCAL 2017/18 | Management | For | For | |||
| 4.24 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER SIBYLLE WANKEL (UNTIL JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.25 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER MATTHIAS ZACHERT (SINCE JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 4.26 | APPROVE DISCHARGE OF SUPERVISORY BOARDMEMBER GUNNAR ZUKUNFT (SINCE JANUARY 31,2018) FOR FISCAL 2017/18 | Management | For | For | |||
| 5 | RATIFY ERNST YOUNG GMBH AS AUDITORS FORFISCAL 2018/19 | Management | For | For | |||
| 6 | APPROVE CREATION OF EUR 510 MILLION POOL OFCAPITAL WITH PARTIAL EXCLUSION OFPREEMPTIVE RIGHTS | Management | For | For | |||
| 7 | APPROVE ISSUANCE OF WARRANTS/BONDS WITHWARRANTS ATTACHED/CONVERTIBLE BONDSWITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATENOMINAL AMOUNT OF EUR 15 BILLION APPROVECREATION OF EUR 240 MILLION POOL OF CAPITALTO GUARANTEE CONVERSION RIGHTS | Management | For | For | |||
| 8 | APPROVE AFFILIATION AGREEMENT WITHSUBSIDIARY KYROS 58 GMBH | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 9,719 | 0 | 11-Dec-2018 | 18-Jan-2019 |
| ACCENTURE PLC | |||||
| Security | G1151C101 | Meeting Type | Annual | ||
| Ticker Symbol | ACN | Meeting Date | 01-Feb-2019 | ||
| ISIN | IE00B4BNMY34 | Agenda | 934912634 - Management | ||
| Record Date | 03-Dec-2018 | Holding Recon Date | 03-Dec-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 31-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Re-Appointment of Director: Jaime Ardila | Management | For | For | |||
| 1b. | Re-Appointment of Director: Herbert Hainer | Management | For | For | |||
| 1c. | Re-Appointment of Director: Marjorie Magner | Management | For | For | |||
| 1d. | Re-Appointment of Director: Nancy McKinstry | Management | For | For | |||
| 1e. | Re-Appointment of Director: Pierre Nanterme | Management | For | For | |||
| 1f. | Re-Appointment of Director: Gilles C. Pelisson | Management | For | For | |||
| 1g. | Re-Appointment of Director: Paula A. Price | Management | For | For | |||
| 1h. | Re-Appointment of Director: Venkata (Murthy)Renduchintala | Management | For | For | |||
| 1i. | Re-Appointment of Director: Arun Sarin | Management | For | For | |||
| 1j. | Re-Appointment of Director: Frank K. Tang | Management | For | For | |||
| 1k. | Re-Appointment of Director: Tracey T. Travis | Management | For | For | |||
| 2. | To approve, in a non-binding vote, the compensation ofour named executive officers. | Management | For | For | |||
| 3. | To ratify, in a non-binding vote, the appointment of KPMGLLP ("KPMG") as independent auditors of Accenture andto authorize, in a binding vote, the Audit Committee of theBoard of Directors to determine KPMG's remuneration. | Management | For | For | |||
| 4. | To grant the Board of Directors the authority to issueshares under Irish law. | Management | For | For | |||
| 5. | To grant the Board of Directors the authority to opt-out ofpre-emption rights under Irish law. | Management | For | For | |||
| 6. | To determine the price range at which Accenture can re-allot shares that it acquires as treasury shares under Irishlaw. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 10,528 | 0 | 15-Dec-2018 | 04-Feb-2019 |
| INFOSYS LIMITED | |||||
| Security | 456788108 | Meeting Type | Special | ||
| Ticker Symbol | INFY | Meeting Date | 12-Mar-2019 | ||
| ISIN | US4567881085 | Agenda | 934928168 - Management | ||
| Record Date | 22-Jan-2019 | Holding Recon Date | 22-Jan-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 05-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Approval for the Buyback of Equity Shares of theCompany. | Management | For | ||||
| 2. | Re-appointment of Kiran Mazumdar-Shaw as anIndependent Director. | Management | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 131,029 | 0 | 13-Feb-2019 | 07-Mar-2019 |
| ZTE CORPORATION | |||||
| Security | Y0004F105 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 20-Mar-2019 | |||
| ISIN | CNE1000004Y2 | Agenda | 710475547 - Management | ||
| Record Date | 15-Feb-2019 | Holding Recon Date | 15-Feb-2019 | ||
| City / Country | SHENZHEN / China | Vote Deadline Date | 14-Mar-2019 | ||
| SEDOL(s) | B04KP88 - B04YDP3 - B05Q046 -BD8GJX6 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0123/LTN20190123215.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0123/LTN20190123201.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHEDBY THE ISSUER, AGAINST AND ABSTAIN-VOTESFOR RESOLUTIONS 1.1 THROUGH 1.6 WILL BEPROCESSED AS TAKE NO ACTIONBY-THE LOCALCUSTODIAN BANKS. ONLY FOR VOTES FOR THESERESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | |||||
| 1.1 | THAT MR. LI ZIXUE BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| 1.2 | THAT MR. XU ZIYANG BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| 1.3 | THAT MR. LI BUQING BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| 1.4 | THAT MR. GU JUNYING BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| 1.5 | THAT MR. ZHU WEIMIN BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| 1.6 | THAT MS. FANG RONG BE ELECTED AS AN NON-INDEPENDENT DIRECTOR OF THE EIGHTH SESSIONOF THE BOARD OF DIRECTORS OF THE COMPANYFOR A TERM COMMENCING ON 30 MARCH 2019 ANDENDING ON 29 MARCH 2022 | Management | For | For | |||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHEDBY THE ISSUER, AGAINST AND ABSTAIN-VOTESFOR RESOLUTIONS 2.1 THROUGH 2.3 WILL BEPROCESSED AS TAKE NO ACTIONBY-THE LOCALCUSTODIAN BANKS. ONLY FOR VOTES FOR THESERESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | |||||
| 2.1 | THAT MS. CAI MANLI BE ELECTED AS ANINDEPENDENT NON-EXECUTIVE DIRECTOR OF THEEIGHTH SESSION OF THE BOARD OF DIRECTORSOF THE COMPANY FOR A TERM COMMENCING ON30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | |||
| 2.2 | THAT MR. YUMING BAO BE ELECTED AS ANINDEPENDENT NON-EXECUTIVE DIRECTOR OF THEEIGHTH SESSION OF THE BOARD OF DIRECTORSOF THE COMPANY FOR A TERM COMMENCING ON30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | |||
| 2.3 | THAT MR. GORDON NG BE ELECTED AS ANINDEPENDENT NON-EXECUTIVE DIRECTOR OF THEEIGHTH SESSION OF THE BOARD OF DIRECTORSOF THE COMPANY FOR A TERM COMMENCING ON30 MARCH 2019 AND ENDING ON 29 MARCH 2022 | Management | For | For | |||
| CMMT | PLEASE NOTE THAT PER THE AGENDA PUBLISHEDBY THE ISSUER, AGAINST AND ABSTAIN-VOTESFOR RESOLUTIONS 3.1 THROUGH 3.2 WILL BEPROCESSED AS TAKE NO ACTIONBY-THE LOCALCUSTODIAN BANKS. ONLY FOR VOTES FOR THESERESOLUTIONS WILL BE-LODGED IN THE MARKET | Non-Voting | |||||
| 3.1 | THAT MR. SHANG XIAOFENG BE ELECTED AS ASHAREHOLDERS' REPRESENTATIVE SUPERVISOROF THE EIGHTH SESSION OF THE SUPERVISORYCOMMITTEE OF THE COMPANY FOR A TERMCOMMENCING ON 30 MARCH 2019 AND ENDING ON29 MARCH 2022 | Management | For | For | |||
| 3.2 | THAT MS. ZHANG SUFANG BE ELECTED AS ASHAREHOLDERS' REPRESENTATIVE SUPERVISOROF THE EIGHTH SESSION OF THE SUPERVISORYCOMMITTEE OF THE COMPANY FOR A TERMCOMMENCING ON 30 MARCH 2019 AND ENDING ON29 MARCH 2022 | Management | For | For | |||
| 4 | RESOLUTION ON THE AUTHORIZATION TOPURCHASE DIRECTORS', SUPERVISORS' ANDSENIOR MANAGEMENT'S LIABILITY INSURANCE | Management | For | For | |||
| 5 | RESOLUTION ON CONTINUING CONNECTEDTRANSACTIONS UNDER THE "2019-2021 PURCHASEFRAMEWORK AGREEMENT" WITH ZHONGXINGXIN,A CONNECTED PARTY | Management | For | For | |||
| 6 | RESOLUTION ON THE ARRANGEMENT OF THEFLOOR PRICE OF THE NON-PUBLIC ISSUANCE OF ASHARES OF 2018 | Management | For | For | |||
| 7 | RESOLUTION ON THE EXTENSION OF THE VALIDITYPERIOD FOR THE SHAREHOLDERS' RESOLUTIONSIN RELATION TO THE NON-PUBLIC ISSUANCE OF ASHARES OF 2018 | Management | For | For | |||
| 8 | RESOLUTION ON THE AUTHORIZATION INRELATION TO THE NON-PUBLIC ISSUANCE OF ASHARES OF 2018 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 780,430 | 0 | 24-Jan-2019 | 15-Mar-2019 |
| SAMSUNG ELECTRONICS CO LTD | |||||
| Security | 796050888 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 20-Mar-2019 | |||
| ISIN | US7960508882 | Agenda | 710602308 - Management | ||
| Record Date | 31-Dec-2018 | Holding Recon Date | 31-Dec-2018 | ||
| City / Country | SEOUL / Korea,Republic Of | Vote Deadline Date | 12-Mar-2019 | ||
| SEDOL(s) | 2763152 - 4942818 - 5263518 -B01D632 - B7PXVM1 - BHZL0Q2 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | APPROVAL OF AUDITED FINANCIAL STATEMENTSAND ANNUAL DIVIDENDS (FY2018) AS SPECIFIED INTHE NOTICE | Management | For | For | |||
| 2.1.1 | APPOINTMENT OF INDEPENDENT DIRECTOR: JAE-WAN BAHK, PHD | Management | For | For | |||
| 2.1.2 | APPOINTMENT OF INDEPENDENT DIRECTOR: HAN-JO KIM | Management | For | For | |||
| 2.1.3 | APPOINTMENT OF INDEPENDENT DIRECTOR: CURIEAHN, PHD | Management | For | For | |||
| 2.2.1 | APPOINTMENT OF AUDIT COMMITTEE MEMBER:JAE-WAN BAHK, PHD | Management | For | For | |||
| 2.2.2 | APPOINTMENT OF AUDIT COMMITTEE MEMBER:HAN-JO KIM | Management | For | For | |||
| 3 | APPROVAL OF REMUNERATION LIMITS FORDIRECTORS (FY2019) | Management | For | For | |||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS, ABSTAIN IS NOT A VOTINGOPTION ON THIS MEETING | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 1,525 | 0 | 02-Mar-2019 | 11-Mar-2019 |
| GMO INTERNET INC. | |||||
| Security | J1822R104 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Mar-2019 | |||
| ISIN | JP3152750000 | Agenda | 710659826 - Management | ||
| Record Date | 31-Dec-2018 | Holding Recon Date | 31-Dec-2018 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Mar-2019 | ||
| SEDOL(s) | 5763944 - 6170167 - B02DYD7 | Quick Code | 94490 | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| Please reference meeting materials. | Non-Voting | ||||||
| 1 | Amend Articles to: Revise Directors with Title, ApproveMinor Revisions | Management | For | For | |||
| 2.1 | Appoint a Director who is not Audit and SupervisoryCommittee Member Kumagai, Masatoshi | Management | For | For | |||
| 2.2 | Appoint a Director who is not Audit and SupervisoryCommittee Member Yasuda, Masashi | Management | For | For | |||
| 2.3 | Appoint a Director who is not Audit and SupervisoryCommittee Member Nishiyama, Hiroyuki | Management | For | For | |||
| 2.4 | Appoint a Director who is not Audit and SupervisoryCommittee Member Ainoura, Issei | Management | For | For | |||
| 2.5 | Appoint a Director who is not Audit and SupervisoryCommittee Member Ito, Tadashi | Management | For | For | |||
| 2.6 | Appoint a Director who is not Audit and SupervisoryCommittee Member Yamashita, Hirofumi | Management | For | For | |||
| 2.7 | Appoint a Director who is not Audit and SupervisoryCommittee Member Horiuchi, Toshiaki | Management | For | For | |||
| 2.8 | Appoint a Director who is not Audit and SupervisoryCommittee Member Arisawa, Katsumi | Management | For | For | |||
| 2.9 | Appoint a Director who is not Audit and SupervisoryCommittee Member Arai, Teruhiro | Management | For | For | |||
| 2.10 | Appoint a Director who is not Audit and SupervisoryCommittee Member Kodama, Kimihiro | Management | For | For | |||
| 2.11 | Appoint a Director who is not Audit and SupervisoryCommittee Member Chujo, Ichiro | Management | For | For | |||
| 2.12 | Appoint a Director who is not Audit and SupervisoryCommittee Member Hashiguchi, Makoto | Management | For | For | |||
| 2.13 | Appoint a Director who is not Audit and SupervisoryCommittee Member Fukui, Atsuko | Management | For | For | |||
| 2.14 | Appoint a Director who is not Audit and SupervisoryCommittee Member Kaneko, Takehito | Management | For | For | |||
| 2.15 | Appoint a Director who is not Audit and SupervisoryCommittee Member Hayashi, Yasuo | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 115,329 | 0 | 06-Mar-2019 | 20-Mar-2019 |
| LINE CORPORATION | |||||
| Security | 53567X101 | Meeting Type | Annual | ||
| Ticker Symbol | LN | Meeting Date | 28-Mar-2019 | ||
| ISIN | US53567X1019 | Agenda | 934940138 - Management | ||
| Record Date | 28-Dec-2018 | Holding Recon Date | 28-Dec-2018 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 21-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | Partial Amendments to the Articles of Incorporation | Management | For | For | |||||
| 2. | DIRECTOR | Management | |||||||
| 1 | Takeshi Idezawa | For | For | ||||||
| 2 | Jun Masuda | For | For | ||||||
| 3 | Joongho Shin | For | For | ||||||
| 4 | In Joon Hwang | For | For | ||||||
| 5 | Hae-jin Lee | For | For | ||||||
| 6 | Tadashi Kunihiro | For | For | ||||||
| 7 | Koji Kotaka | For | For | ||||||
| 8 | Rehito Hatoyama | For | For | ||||||
| 3A. | Election of Corporate Auditor: Hitoshi Kurasawa | Management | For | For | |||||
| 3B. | Election of Corporate Auditor: Yoichi Namekata | Management | For | For | |||||
| 3C. | Election of Corporate Auditor: Noriyuki Uematsu | Management | For | For | |||||
| 4A. | Election of Substitute Corporate Auditor: Masaaki Suda | Management | For | For | |||||
| 5. | Determination of Amounts and Details of Stock Options(Warrants) to Be Paid as Compensation, etc. to Directors(Excluding Outside Directors) | Management | For | For | |||||
| 6. | Determination of Amounts and Details of Stock Options(Warrants) to Be Paid as Compensation, etc. to OutsideDirectors | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 33,892 | 0 | 09-Mar-2019 | 25-Mar-2019 |
| HEWLETT PACKARD ENTERPRISE COMPANY | |||||
| Security | 42824C109 | Meeting Type | Annual | ||
| Ticker Symbol | HPE | Meeting Date | 03-Apr-2019 | ||
| ISIN | US42824C1099 | Agenda | 934927522 - Management | ||
| Record Date | 04-Feb-2019 | Holding Recon Date | 04-Feb-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 02-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Daniel Ammann | Management | For | For | |||
| 1b. | Election of Director: Michael J. Angelakis | Management | For | For | |||
| 1c. | Election of Director: Pamela L. Carter | Management | For | For | |||
| 1d. | Election of Director: Jean M. Hobby | Management | For | For | |||
| 1e. | Election of Director: Raymond J. Lane | Management | For | For | |||
| 1f. | Election of Director: Ann M. Livermore | Management | For | For | |||
| 1g. | Election of Director: Antonio F. Neri | Management | For | For | |||
| 1h. | Election of Director: Raymond E. Ozzie | Management | For | For | |||
| 1i. | Election of Director: Gary M. Reiner | Management | For | For | |||
| 1j. | Election of Director: Patricia F. Russo | Management | For | For | |||
| 1k. | Election of Director: Lip-Bu Tan | Management | For | For | |||
| 1l. | Election of Director: Mary Agnes Wilderotter | Management | For | For | |||
| 2. | Ratification of the appointment of the independentregistered public accounting firm for the fiscal yearending October 31, 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation | Management | For | For | |||
| 4. | Stockholder proposal related to action by WrittenConsent of Stockholders | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 77,769 | 0 | 15-Feb-2019 | 04-Apr-2019 |
| BANCO SANTANDER, S.A. | |||||
| Security | 05964H105 | Meeting Type | Annual | ||
| Ticker Symbol | SAN | Meeting Date | 12-Apr-2019 | ||
| ISIN | US05964H1059 | Agenda | 934936317 - Management | ||
| Record Date | 20-Feb-2019 | Holding Recon Date | 20-Feb-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 04-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A | Resolution 1A | Management | For | For | |||
| 1B | Resolution 1B | Management | For | For | |||
| 1C | Resolution 1C | Management | For | For | |||
| 2 | Resolution 2 | Management | For | For | |||
| 3A | Resolution 3A | Management | For | For | |||
| 3B | Resolution 3B | Management | For | For | |||
| 3C | Resolution 3C | Management | For | For | |||
| 3D | Resolution 3D | Management | For | For | |||
| 3E | Resolution 3E | Management | For | For | |||
| 3F | Resolution 3F | Management | For | For | |||
| 3G | Resolution 3G | Management | For | For | |||
| 4 | Resolution 4 | Management | For | For | |||
| 5 | Resolution 5 | Management | For | For | |||
| 6 | Resolution 6 | Management | For | For | |||
| 7 | Resolution 7 | Management | For | For | |||
| 8 | Resolution 8 | Management | For | For | |||
| 9 | Resolution 9 | Management | For | For | |||
| 10 | Resolution 10 | Management | For | For | |||
| 11 | Resolution 11 | Management | For | For | |||
| 12A | Resolution 12A | Management | For | For | |||
| 12B | Resolution 12B | Management | For | For | |||
| 12C | Resolution 12C | Management | For | For | |||
| 12D | Resolution 12D | Management | For | For | |||
| 12E | Resolution 12E | Management | For | For | |||
| 13 | Resolution 13 | Management | For | For | |||
| 14 | Resolution 14 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 212,312 | 0 | 05-Mar-2019 | 08-Apr-2019 |
| BANCO SANTANDER, S.A. | |||||
| Security | 05964H105 | Meeting Type | Annual | ||
| Ticker Symbol | SAN | Meeting Date | 12-Apr-2019 | ||
| ISIN | US05964H1059 | Agenda | 934975092 - Management | ||
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 04-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A | Resolution 1A | Management | For | For | |||
| 1B | Resolution 1B | Management | For | For | |||
| 1C | Resolution 1C | Management | For | For | |||
| 2 | Resolution 2 | Management | For | For | |||
| 3A | Resolution 3A | Management | For | For | |||
| 3B | Resolution 3B | Management | For | For | |||
| 3C | Resolution 3C | Management | For | For | |||
| 3D | Resolution 3D | Management | For | For | |||
| 3E | Resolution 3E | Management | For | For | |||
| 3F | Resolution 3F | Management | For | For | |||
| 3G | Resolution 3G | Management | For | For | |||
| 4 | Resolution 4 | Management | For | For | |||
| 5 | Resolution 5 | Management | For | For | |||
| 6 | Resolution 6 | Management | For | For | |||
| 7 | Resolution 7 | Management | For | For | |||
| 8 | Resolution 8 | Management | For | For | |||
| 9 | Resolution 9 | Management | For | For | |||
| 10 | Resolution 10 | Management | For | For | |||
| 11 | Resolution 11 | Management | For | For | |||
| 12A | Resolution 12A | Management | For | For | |||
| 12B | Resolution 12B | Management | For | For | |||
| 12C | Resolution 12C | Management | For | For | |||
| 12D | Resolution 12D | Management | For | For | |||
| 12E | Resolution 12E | Management | For | For | |||
| 13 | Resolution 13 | Management | For | For | |||
| 14 | Resolution 14 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 204,702 | 0 | 03-Apr-2019 | 08-Apr-2019 |
| CITIGROUP INC. | |||||
| Security | 172967424 | Meeting Type | Annual | ||
| Ticker Symbol | C | Meeting Date | 16-Apr-2019 | ||
| ISIN | US1729674242 | Agenda | 934935808 - Management | ||
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 15-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Michael L. Corbat | Management | For | For | |||
| 1b. | Election of Director: Ellen M. Costello | Management | For | For | |||
| 1c. | Election of Director: Barbara J. Desoer | Management | For | For | |||
| 1d. | Election of Director: John C. Dugan | Management | For | For | |||
| 1e. | Election of Director: Duncan P. Hennes | Management | For | For | |||
| 1f. | Election of Director: Peter B. Henry | Management | For | For | |||
| 1g. | Election of Director: S. Leslie Ireland | Management | For | For | |||
| 1h. | Election of Director: Lew W. (Jay) Jacobs, IV | Management | For | For | |||
| 1i. | Election of Director: Renee J. James | Management | For | For | |||
| 1j. | Election of Director: Eugene M. McQuade | Management | For | For | |||
| 1k. | Election of Director: Gary M. Reiner | Management | For | For | |||
| 1l. | Election of Director: Diana L. Taylor | Management | For | For | |||
| 1m. | Election of Director: James S. Turley | Management | For | For | |||
| 1n. | Election of Director: Deborah C. Wright | Management | For | For | |||
| 1o. | Election of Director: Ernesto Zedillo Ponce de Leon | Management | For | For | |||
| 2. | Proposal to ratify the selection of KPMG LLP as Citi'sindependent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve Citi's 2018 executivecompensation. | Management | For | For | |||
| 4. | Approval of the Citigroup 2019 Stock Incentive Plan. | Management | For | For | |||
| 5. | Shareholder proposal requesting Shareholder ProxyAccess Enhancement to Citi's proxy access bylawprovisions. | Shareholder | Against | For | |||
| 6. | Shareholder proposal requesting that the Board adopt apolicy prohibiting the vesting of equity-based awards forsenior executives due to a voluntary resignation to entergovernment service. | Shareholder | Against | For | |||
| 7. | Shareholder proposal requesting that the Board amendCiti's bylaws to give holders in the aggregate of 15% ofCiti's outstanding common stock the power to call aspecial meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 16,187 | 0 | 07-Mar-2019 | 17-Apr-2019 |
| NASDAQ, INC. | |||||
| Security | 631103108 | Meeting Type | Annual | ||
| Ticker Symbol | NDAQ | Meeting Date | 23-Apr-2019 | ||
| ISIN | US6311031081 | Agenda | 934938842 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Melissa M. Arnoldi | Management | For | For | |||
| 1b. | Election of Director: Charlene T. Begley | Management | For | For | |||
| 1c. | Election of Director: Steven D. Black | Management | For | For | |||
| 1d. | Election of Director: Adena T. Friedman | Management | For | For | |||
| 1e. | Election of Director: Essa Kazim | Management | For | For | |||
| 1f. | Election of Director: Thomas A. Kloet | Management | For | For | |||
| 1g. | Election of Director: John D. Rainey | Management | For | For | |||
| 1h. | Election of Director: Michael R. Splinter | Management | For | For | |||
| 1i. | Election of Director: Jacob Wallenberg | Management | For | For | |||
| 1j. | Election of Director: Lars R. Wedenborn | Management | For | For | |||
| 1k. | Election of Director: Alfred W. Zollar | Management | For | For | |||
| 2. | Advisory vote to approve the company's executivecompensation as presented in the proxy statement | Management | For | For | |||
| 3. | Ratification of the appointment of Ernst & Young LLP asour independent registered public accounting firm for thefiscal year ending December 31, 2019 | Management | For | For | |||
| 4. | A Stockholder Proposal entitled "Right to Act by WrittenConsent" | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 16,449 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| ING GROEP N.V. | |||||
| Security | 456837103 | Meeting Type | Annual | ||
| Ticker Symbol | ING | Meeting Date | 23-Apr-2019 | ||
| ISIN | US4568371037 | Agenda | 934970523 - Management | ||
| Record Date | 20-Mar-2019 | Holding Recon Date | 20-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 11-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 2e. | Annual Accounts for 2018 | Management | For | For | |||
| 3b. | Dividend for 2018 | Management | For | For | |||
| 4a. | Discharge of the members and former members of theExecutive Board in respect of their duties performedduring the year 2018 | Management | For | For | |||
| 4b. | Discharge of the members and former members of theSupervisory Board in respect of their duties performedduring the year 2018 | Management | For | For | |||
| 5. | Reappointment of the external auditor | Management | For | For | |||
| 6. | Composition of the Executive Board: appointment ofTanate Phutrakul | Management | For | For | |||
| 7a. | Composition of the Supervisory Board: Reappointment ofMariana Gheorghe | Management | For | For | |||
| 7b. | Composition of the Supervisory Board: Appointment ofMike Rees | Management | For | For | |||
| 7c. | Composition of the Supervisory Board: Appointment ofHerna Verhagen | Management | For | For | |||
| 8a. | Authorization to issue ordinary shares | Management | For | For | |||
| 8b. | Authorization to issue ordinary shares, with or withoutpre- emptive rights of existing shareholders | Management | For | For | |||
| 9. | Authorization of the Executive Board to acquire ordinaryshares in the Company's capital | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 76,729 | 0 | 30-Mar-2019 | 15-Apr-2019 |
| BANK OF AMERICA CORPORATION | |||||
| Security | 060505104 | Meeting Type | Annual | ||
| Ticker Symbol | BAC | Meeting Date | 24-Apr-2019 | ||
| ISIN | US0605051046 | Agenda | 934942360 - Management | ||
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 23-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Sharon L. Allen | Management | For | For | |||
| 1b. | Election of Director: Susan S. Bies | Management | For | For | |||
| 1c. | Election of Director: Jack O. Bovender, Jr. | Management | For | For | |||
| 1d. | Election of Director: Frank P. Bramble, Sr. | Management | For | For | |||
| 1e. | Election of Director: Pierre J.P. de Weck | Management | For | For | |||
| 1f. | Election of Director: Arnold W. Donald | Management | For | For | |||
| 1g. | Election of Director: Linda P. Hudson | Management | For | For | |||
| 1h. | Election of Director: Monica C. Lozano | Management | For | For | |||
| 1i. | Election of Director: Thomas J. May | Management | For | For | |||
| 1j. | Election of Director: Brian T. Moynihan | Management | For | For | |||
| 1k. | Election of Director: Lionel L. Nowell III | Management | For | For | |||
| 1l. | Election of Director: Clayton S. Rose | Management | For | For | |||
| 1m. | Election of Director: Michael D. White | Management | For | For | |||
| 1n. | Election of Director: Thomas D. Woods | Management | For | For | |||
| 1o. | Election of Director: R. David Yost | Management | For | For | |||
| 1p. | Election of Director: Maria T. Zuber | Management | For | For | |||
| 2. | Approving Our Executive Compensation (an Advisory,Non- binding "Say on Pay" Resolution) | Management | For | For | |||
| 3. | Ratifying the Appointment of Our Independent RegisteredPublic Accounting Firm for 2019. | Management | For | For | |||
| 4. | Amending the Bank of America Corporation KeyEmployee Equity Plan. | Management | For | For | |||
| 5. | Report Concerning Gender Pay Equity. | Shareholder | Against | For | |||
| 6. | Right to Act by Written Consent. | Shareholder | Against | For | |||
| 7. | Enhance Shareholder Proxy Access. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 33,817 | 0 | 14-Mar-2019 | 25-Apr-2019 |
| TEXAS INSTRUMENTS INCORPORATED | |||||
| Security | 882508104 | Meeting Type | Annual | ||
| Ticker Symbol | TXN | Meeting Date | 25-Apr-2019 | ||
| ISIN | US8825081040 | Agenda | 934940328 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. A. Blinn | Management | For | For | |||
| 1b. | Election of Director: T. M. Bluedorn | Management | For | For | |||
| 1c. | Election of Director: J. F. Clark | Management | For | For | |||
| 1d. | Election of Director: C. S. Cox | Management | For | For | |||
| 1e. | Election of Director: M. S. Craighead | Management | For | For | |||
| 1f. | Election of Director: J. M. Hobby | Management | For | For | |||
| 1g. | Election of Director: R. Kirk | Management | For | For | |||
| 1h. | Election of Director: P. H. Patsley | Management | For | For | |||
| 1i. | Election of Director: R. E. Sanchez | Management | For | For | |||
| 1j. | Election of Director: R. K. Templeton | Management | For | For | |||
| 2. | Board proposal regarding advisory approval of theCompany's executive compensation. | Management | For | For | |||
| 3. | Board proposal to ratify the appointment of Ernst &Young LLP as the Company's independent registeredpublic accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 10,756 | 0 | 13-Mar-2019 | 26-Apr-2019 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | |||||
| Security | Y69790106 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 29-Apr-2019 | |||
| ISIN | CNE1000003X6 | Agenda | 710710028 - Management | ||
| Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | ||
| City / Country | SHENZHEN / China | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 -BD8NLC0 - BP3RWZ1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE ANDPROXY FORM ARE AVAILABLE BY CLICKING-ON THEURL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314683.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314648.PDF | Non-Voting | |||||
| 1 | TO CONSIDER AND APPROVE THE REPORT OF THEBOARD OF DIRECTORS OF THE COMPANY FOR THEYEAR 2018 | Management | For | For | |||
| 2 | TO CONSIDER AND APPROVE THE REPORT OF THESUPERVISORY COMMITTEE OF THE COMPANY FORTHE YEAR 2018 | Management | For | For | |||
| 3 | TO CONSIDER AND APPROVE THE ANNUAL REPORTOF THE COMPANY FOR THE YEAR 2018 AND ITSSUMMARY | Management | For | For | |||
| 4 | TO CONSIDER AND APPROVE THE REPORT OFFINAL ACCOUNTS OF THE COMPANY FOR THEYEAR 2018 INCLUDING THE AUDIT REPORT ANDAUDITED FINANCIAL STATEMENTS OF THECOMPANY FOR THE YEAR 2018 | Management | For | For | |||
| 5 | TO CONSIDER AND APPROVE THE PROFITDISTRIBUTION PLAN OF THE COMPANY FOR THEYEAR 2018 AND THE PROPOSED DISTRIBUTION OFFINAL DIVIDENDS | Management | For | For | |||
| 6 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE APPOINTMENT OF AUDITORS OFTHE COMPANY FOR THE YEAR 2019, RE-APPOINTING PRICEWATERHOUSECOOPERSZHONG TIAN LLP AS THE PRC AUDITOR ANDPRICEWATERHOUSECOOPERS AS THEINTERNATIONAL AUDITOR OF THE COMPANY TOHOLD OFFICE UNTIL THE CONCLUSION OF THENEXT ANNUAL GENERAL MEETING ANDAUTHORIZING THE BOARD TO RE-AUTHORIZE THEMANAGEMENT OF THE COMPANY TO FIX THEIRREMUNERATION | Management | For | For | |||
| 7 | TO CONSIDER AND APPROVE THE DEVELOPMENTPLAN OF THE COMPANY FOR THE YEAR 2019-2021 | Management | For | For | |||
| 8 | TO CONSIDER AND APPROVE THE PERFORMANCEEVALUATION OF THE INDEPENDENT NON-EXECUTIVE DIRECTORS FOR THE YEAR 2018 | Management | For | For | |||
| 9 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE ISSUE OF DEBT FINANCINGINSTRUMENTS | Management | For | For | |||
| 10.1 | TO CONSIDER AND APPROVE THE SHARESREPURCHASE PLAN OF THE COMPANY | Management | For | For | |||
| 10.2 | TO CONSIDER AND APPROVE THE PROPOSEDGRANT OF GENERAL MANDATE FOR THEREPURCHASE OF SHARES OF THE COMPANY TOTHE BOARD WITH A MAXIMUM AMOUNT OF NOMORE THAN 10% OF THE TOTAL NUMBER SHARESOF THE COMPANY IN ISSUE | Management | For | For | |||
| 11 | TO CONSIDER AND APPROVE THE RESOLUTIONREGARDING THE PROPOSED GRANT OF THEGENERAL MANDATE BY THE GENERAL MEETING TOTHE BOARD TO ISSUE H SHARES, I.E. THE GRANTOF A GENERAL MANDATE TO THE BOARD TOALLOT, ISSUE AND DEAL WITH ADDITIONAL HSHARES NOT EXCEEDING 20% OF THE AGGREGATENOMINAL AMOUNT OF THE H SHARES OF THECOMPANY IN ISSUE, REPRESENTING UP TO LIMITOF 8.15% OF THE TOTAL NUMBER OF SHARES OFTHE COMPANY IN ISSUE, AT A DISCOUNT (IF ANY)OF NO MORE THAN 10% (RATHER THAN 20% ASLIMITED UNDER THE RULES GOVERNING THELISTING OF SECURITIES ON THE STOCK EXCHANGEOF HONG KONG LIMITED) TO THE BENCHMARKPRICE AND AUTHORIZE THE BOARD TO MAKECORRESPONDING AMENDMENTS TO THE ARTICLESOF ASSOCIATION OF THE COMPANY AS IT THINKSFIT SO AS TO REFLECT THE NEW CAPITALSTRUCTURE UPON THE ALLOTMENT OR ISSUANCEOF H SHARES | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 113,801 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD. | |||||
| Security | Y69790106 | Meeting Type | Class Meeting | ||
| Ticker Symbol | Meeting Date | 29-Apr-2019 | |||
| ISIN | CNE1000003X6 | Agenda | 710710054 - Management | ||
| Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | ||
| City / Country | SHENZHEN / China | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 -BD8NLC0 - BP3RWZ1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314669.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0314/LTN20190314697.PDF | Non-Voting | |||||
| 1.1 | TO CONSIDER AND APPROVE THE RESOLUTIONSREGARDING THE SHARES REPURCHASE PLAN OFTHE COMPANY AND THE PROPOSED GRANT OFGENERAL MANDATE FOR THE REPURCHASE OFSHARES OF THE COMPANY: TO CONSIDER ANDAPPROVE THE SHARES REPURCHASE PLAN OFTHE COMPANY | Management | For | For | |||
| 1.2 | TO CONSIDER AND APPROVE THE RESOLUTIONSREGARDING THE SHARES REPURCHASE PLAN OFTHE COMPANY AND THE PROPOSED GRANT OFGENERAL MANDATE FOR THE REPURCHASE OFSHARES OF THE COMPANY: TO CONSIDER ANDAPPROVE THE PROPOSED GRANT OF GENERALMANDATE FOR THE REPURCHASE OF SHARES OFTHE COMPANY TO THE BOARD WITH A MAXIMUMAMOUNT OF NO MORE THAN 10% OF THE TOTALNUMBER SHARES OF THE COMPANY IN ISSUE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 113,801 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| ATOS SE | |||||
| Security | F06116101 | Meeting Type | MIX | ||
| Ticker Symbol | Meeting Date | 30-Apr-2019 | |||
| ISIN | FR0000051732 | Agenda | 710789326 - Management | ||
| Record Date | 25-Apr-2019 | Holding Recon Date | 25-Apr-2019 | ||
| City / Country | BEZONS / France | Vote Deadline Date | 23-Apr-2019 | ||
| SEDOL(s) | 5654781 - 5656022 - B07J8Z0 -B28F6S0 - BF444T9 | 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 | IN CASE AMENDMENTS OR NEW RESOLUTIONSARE PRESENTED DURING THE MEETING, YOUR-VOTE WILL DEFAULT TO 'ABSTAIN'. SHARES CANALTERNATIVELY BE PASSED TO THE-CHAIRMAN ORA NAMED THIRD PARTY TO VOTE ON ANY SUCHITEM RAISED. SHOULD YOU-WISH TO PASSCONTROL OF YOUR SHARES IN THIS WAY, PLEASECONTACT YOUR-BROADRIDGE CLIENT SERVICEREPRESENTATIVE. THANK YOU | Non-Voting | |||||
| O.1 | APPROVAL OF THE CORPORATE FINANCIALSTATEMENTS FOR THE FINANCIAL YEAR ENDED 31DECEMBER 2018 | Management | For | For | |||
| O.2 | APPROVAL OF THE CONSOLIDATED FINANCIALSTATEMENTS FOR THE FINANCIAL YEAR ENDED 31DECEMBER 2018 | Management | For | For | |||
| O.3 | ALLOCATION OF THE DISTRIBUTABLE PROFITINCLUDING INCOME FOR THE FINANCIAL YEARENDED 31 DECEMBER 2018 AND PAYMENT OF THEORDINARY DIVIDEND | Management | For | For | |||
| O.4 | OPTION FOR THE PAYMENT IN SHARES OF THEORDINARY DIVIDEND PROPOSED IN ACCORDANCEWITH THE 3RD RESOLUTION | Management | For | For | |||
| O.5 | EXCEPTIONAL DISTRIBUTION IN-KIND OF SHARESOF WORLDLINE COMPANY | Management | For | For | |||
| O.6 | ADVANCE 2021 3-YEAR PLAN | Management | For | For | |||
| O.7 | SETTING OF THE OVERALL ANNUAL AMOUNT OFATTENDANCE FEES | Management | For | For | |||
| O.8 | RENEWAL OF THE TERM OF OFFICE OF MR.THIERRY BRETON AS DIRECTOR | Management | For | For | |||
| O.9 | RENEWAL OF THE TERM OF OFFICE OF MRS.AMINATA NIANE AS DIRECTOR | Management | For | For | |||
| O.10 | RENEWAL OF THE TERM OF OFFICE OF MRS. LYNNPAINE AS DIRECTOR | Management | For | For | |||
| O.11 | RENEWAL OF THE TERM OF OFFICE OF MR.VERNON SANKEY AS DIRECTOR | Management | For | For | |||
| O.12 | APPOINTMENT OF MR. VIVEK BADRINATH ASDIRECTOR | Management | For | For | |||
| O.13 | APPOINTMENT OF MR. JEAN-LOUIS GEORGELIN ASCENSOR | Management | For | For | |||
| O.14 | APPROVAL OF THE CONTINUATION OF AREGULATED COMMITMENT SUBJECT TO THEPROVISIONS OF ARTICLE L.225-42-1 OF THEFRENCH COMMERCIAL CODE, MADE IN FAVOUR OFMR. THIERRY BRETON, IN TERMS OF ASUPPLEMENTARY RETIREMENT PLAN WITHDEFINED BENEFITS | Management | For | For | |||
| O.15 | APPROVAL OF THE GLOBAL ALLIANCE AGREEMENTBETWEEN WORLDLINE AND ATOS SE REFERREDTO IN ARTICLE L.225-38 OF THE FRENCHCOMMERCIAL CODE | Management | For | For | |||
| O.16 | APPROVAL OF THE FIXED, VARIABLE, LONG-TERMAND EXCEPTIONAL ELEMENTS MAKING UP THETOTAL COMPENSATION AND BENEFITS OF ANYKIND PAID OR AWARDED FOR THE FINANCIAL YEARENDED 31 DECEMBER 2018 TO MR. THIERRYBRETON, CHAIRMAN AND CHIEF EXECUTIVEOFFICER | Management | For | For | |||
| O.17 | APPROVAL OF THE PRINCIPLES AND CRITERIA FORDETERMINING, DISTRIBUTING AND ALLOCATINGTHE FIXED, VARIABLE, LONG-TERM ANDEXCEPTIONAL ELEMENTS MAKING UP THE TOTALCOMPENSATION AND BENEFITS OF ANY KINDATTRIBUTABLE TO THE CHAIRMAN AND CHIEFEXECUTIVE OFFICER | Management | For | For | |||
| O.18 | AUTHORISATION TO BE GRANTED TO THE BOARDOF DIRECTORS TO PURCHASE, HOLD ORTRANSFER SHARES OF THE COMPANY | Management | For | For | |||
| E.19 | AUTHORISATION TO BE GRANTED TO THE BOARDOF DIRECTORS TO REDUCE THE SHARE CAPITALBY CANCELLATION OF TREASURY SHARES | Management | For | For | |||
| E.20 | DELEGATION OF AUTHORITY TO BE GRANTED TOTHE BOARD OF DIRECTORS TO INCREASE THECAPITAL OF THE COMPANY WITH CANCELLATIONOF THE PRE-EMPTIVE SUBSCRIPTION RIGHT INFAVOUR OF MEMBERS OF A COMPANY SAVINGSPLAN WHO ARE EMPLOYEES AND CORPORATEOFFICERS OF THE COMPANY AND THE COMPANIESAFFILIATED THERETO | Management | For | For | |||
| E.21 | AUTHORISATION TO BE GRANTED TO THE BOARDOF DIRECTORS TO PROCEED WITH FREEALLOCATIONS OF SHARES TO EMPLOYEES ANDCORPORATE OFFICERS OF THE COMPANY AND/ORTHE COMPANIES AFFILIATED THERETO | Management | For | For | |||
| E.22 | AUTHORISATION TO BE GRANTED TO THE BOARDOF DIRECTORS TO GRANT OPTIONS TO SUBSCRIBEFOR OR PURCHASE SHARES OF THE COMPANYFOR THE BENEFIT OF EMPLOYEES AND/ORCORPORATE OFFICERS OF THE COMPANY ANDTHE COMPANIES AFFILIATED THERETO | Management | For | For | |||
| E.23 | AMENDMENT TO ARTICLE 2 OF THE BYLAWS TOPROVIDE FOR THE COMPANY'S RAISON D'ETRE | Management | For | For | |||
| E.24 | AMENDMENT TO ARTICLE 38 OF THE BYLAWS TOPROVIDE FOR THE CONDITIONS FOR THEDISTRIBUTION OF AN ASSET OF THE COMPANY TOITS SHAREHOLDERS | Management | For | For | |||
| O.25 | APPROVAL OF A REGULATED COMMITMENTSUBMITTED TO THE PROVISIONS OF ARTICLE L.225-42-1 OF THE FRENCH COMMERCIAL CODE, MADE INFAVOUR OF MR. ELIE GIRARD, IN TERMS OF ASUPPLEMENTARY RETIREMENT PLAN WITHDEFINED BENEFITS | Management | For | For | |||
| O.26 | APPROVAL OF THE PRINCIPLES AND CRITERIA FORDETERMINING, DISTRIBUTING AND ALLOCATINGTHE FIXED, VARIABLE, LONG-TERM ANDEXCEPTIONAL ELEMENTS MAKING UP THE TOTALCOMPENSATION AND BENEFITS OF ANY KINDATTRIBUTABLE TO THE DEPUTY CEO | Management | For | For | |||
| O.27 | POWERS | Management | For | For | |||
| CMMT | 12 APR 2019: PLEASE NOTE THAT IMPORTANTADDITIONAL MEETING INFORMATION IS-AVAILABLEBY CLICKING ON THE MATERIAL URL LINK:- https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/0322/20190322 1-900721.pdf AND-https://www.journal- officiel.gouv.fr/publications/balo/pdf/2019/0412/20190412 1-901058.pdf; PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OFRESOLUTION O.26 AND ADDITION OF THE URL LINK.IF YOU HAVE ALREADY-SENT IN YOUR VOTES,PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDETO AMEND YOUR-ORIGINAL INSTRUCTIONS. THANKYOU. | Non-Voting |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 9,622 | 0 | 23-Mar-2019 | 24-Apr-2019 |
| INTERNATIONAL BUSINESS MACHINES CORP. | |||||
| Security | 459200101 | Meeting Type | Annual | ||
| Ticker Symbol | IBM | Meeting Date | 30-Apr-2019 | ||
| ISIN | US4592001014 | Agenda | 934941849 - Management | ||
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 29-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director for a Term of One Year: M. L. Eskew | Management | For | For | |||
| 1b. | Election of Director for a Term of One Year: D. N. Farr | Management | For | For | |||
| 1c. | Election of Director for a Term of One Year: A. Gorsky | Management | For | For | |||
| 1d. | Election of Director for a Term of One Year: M. Howard | Management | For | For | |||
| 1e. | Election of Director for a Term of One Year: S. A.Jackson | Management | For | For | |||
| 1f. | Election of Director for a Term of One Year: A. N. Liveris | Management | For | For | |||
| 1g. | Election of Director for a Term of One Year: M. E. Pollack | Management | For | For | |||
| 1h. | Election of Director for a Term of One Year: V. M.Rometty | Management | For | For | |||
| 1i. | Election of Director for a Term of One Year: J. R.Swedish | Management | For | For | |||
| 1j. | Election of Director for a Term of One Year: S. Taurel | Management | For | For | |||
| 1k. | Election of Director for a Term of One Year: P. R. Voser | Management | For | For | |||
| 1l. | Election of Director for a Term of One Year: F. H.Waddell | Management | For | For | |||
| 2. | Ratification of Appointment of Independent RegisteredPublic Accounting Firm. | Management | For | For | |||
| 3. | Advisory Vote on Executive Compensation. | Management | For | For | |||
| 4. | Approval of Long-Term Incentive Performance Terms forCertain Executives for Awards Eligible for TransitionalRelief Pursuant to Section 162(m) of the InternalRevenue Code | Management | For | For | |||
| 5. | Stockholder Proposal on the Right to Act by WrittenConsent. | Shareholder | Against | For | |||
| 6. | Stockholder Proposal to Have an Independent BoardChairman | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 11,004 | 0 | 12-Mar-2019 | 01-May-2019 |
| THE GOLDMAN SACHS GROUP, INC. | |||||
| Security | 38141G104 | Meeting Type | Annual | ||
| Ticker Symbol | GS | Meeting Date | 02-May-2019 | ||
| ISIN | US38141G1040 | Agenda | 934949225 - Management | ||
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 01-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. Michele Burns | Management | For | For | |||
| 1b. | Election of Director: Drew G. Faust | Management | For | For | |||
| 1c. | Election of Director: Mark A. Flaherty | Management | For | For | |||
| 1d. | Election of Director: Ellen J. Kullman | Management | For | For | |||
| 1e. | Election of Director: Lakshmi N. Mittal | Management | For | For | |||
| 1f. | Election of Director: Adebayo O. Ogunlesi | Management | For | For | |||
| 1g. | Election of Director: Peter Oppenheimer | Management | For | For | |||
| 1h. | Election of Director: David M. Solomon | Management | For | For | |||
| 1i. | Election of Director: Jan E. Tighe | Management | For | For | |||
| 1j. | Election of Director: David A. Viniar | Management | For | For | |||
| 1k. | Election of Director: Mark O. Winkelman | Management | For | For | |||
| 2. | Advisory Vote to Approve Executive Compensation (Sayon Pay) | Management | For | For | |||
| 3. | Ratification of PricewaterhouseCoopers LLP as ourIndependent Registered Public Accounting Firm for 2019 | Management | For | For | |||
| 4. | Shareholder Proposal Regarding Right to Act by WrittenConsent | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 5,329 | 0 | 23-Mar-2019 | 03-May-2019 |
| BARCLAYS PLC | |||||
| Security | 06738E204 | Meeting Type | Annual | ||
| Ticker Symbol | BCS | Meeting Date | 02-May-2019 | ||
| ISIN | US06738E2046 | Agenda | 934956484 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 25-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To receive the reports of the Directors and Auditors andthe audited accounts of the Company for the year ended31 December 2018. | Management | For | For | |||
| 2. | To approve the Directors' Remuneration Report for theyear ended 31 December 2018. | Management | For | For | |||
| 3. | To appoint Mary Anne Citrino as a Director of theCompany. | Management | For | For | |||
| 4. | To appoint Nigel Higgins as a Director of the Company. | Management | For | For | |||
| 5. | To reappoint Mike Ashley as a Director of the Company. | Management | For | For | |||
| 6. | To reappoint Tim Breedon as a Director of the Company. | Management | For | For | |||
| 7. | To reappoint Sir Ian Cheshire as a Director of theCompany. | Management | For | For | |||
| 8. | To reappoint Mary Francis as a Director of the Company. | Management | For | For | |||
| 9. | To reappoint Crawford Gillies as a Director of theCompany. | Management | For | For | |||
| 10. | To reappoint Matthew Lester as a Director of theCompany. | Management | For | For | |||
| 11. | To reappoint Tushar Morzaria as a Director of theCompany. | Management | For | For | |||
| 12. | To reappoint Diane Schueneman as a Director of theCompany. | Management | For | For | |||
| 13. | To reappoint James Staley as a Director of the Company. | Management | For | For | |||
| 14. | To reappoint KPMG LLP as Auditors of the Company. | Management | For | For | |||
| 15. | To authorise the Board Audit Committee to set theremuneration of the Auditors. | Management | For | For | |||
| 16. | To authorise the Company and its subsidiaries to makepolitical donations and incur political expenditure. | Management | For | For | |||
| 17. | To authorise the Directors to allot shares and equitysecurities. | Management | For | For | |||
| 18. | To authorise the Directors to allot equity securities forcash and/or to sell treasury shares other than on a prorata basis to shareholders of no more than 5% of issuedshare capital. | Management | For | For | |||
| 19. | To authorise the Directors to allot equity securities forcash and/or to sell treasury shares other than on a prorata basis to shareholders of no more than an additional5% of issued share capital in connection with anacquisition or specified capital investment. | Management | For | For | |||
| 20. | To authorise the Directors to allot equity securities inrelation to the issuance of contingent Equity ConversionNotes. | Management | For | For | |||
| 21. | To authorise the Directors to allot equity securities forcash other than on a pro rata basis to shareholders inrelation to the issuance of contingent Equity ConversionNotes. | Management | For | For | |||
| 22. | To authorise the Company to purchase its own shares. | Management | For | For | |||
| 23. | To authorise the Directors to call general meetings (otherthan an AGM) on not less than 14 clear days' notice. | Management | For | For | |||
| 24. | THAT Mr. Edward Bramson be and is hereby appointedas a director of the Company. | Management | For | Against |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 140,740 | 0 | 22-Mar-2019 | 29-Apr-2019 |
| AMERICAN EXPRESS COMPANY | |||||
| Security | 025816109 | Meeting Type | Annual | ||
| Ticker Symbol | AXP | Meeting Date | 07-May-2019 | ||
| ISIN | US0258161092 | Agenda | 934951953 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 06-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Charlene Barshefsky | Management | For | For | |||
| 1b. | Election of Director: John J. Brennan | Management | For | For | |||
| 1c. | Election of Director: Peter Chernin | Management | For | For | |||
| 1d. | Election of Director: Ralph de la Vega | Management | For | For | |||
| 1e. | Election of Director: Anne Lauvergeon | Management | For | For | |||
| 1f. | Election of Director: Michael O. Leavitt | Management | For | For | |||
| 1g. | Election of Director: Theodore J. Leonsis | Management | For | For | |||
| 1h. | Election of Director: Stephen J. Squeri | Management | For | For | |||
| 1i. | Election of Director: Daniel L. Vasella | Management | For | For | |||
| 1j. | Election of Director: Ronald A. Williams | Management | For | For | |||
| 1k. | Election of Director: Christopher D. Young | Management | For | For | |||
| 2. | Ratification of appointment of PricewaterhouseCoopersLLP as independent registered public accounting firm for2019. | Management | For | For | |||
| 3. | Approval, on an advisory basis, of the Company'sexecutive compensation. | Management | For | For | |||
| 4. | Shareholder proposal relating to action by writtenconsent. | Shareholder | Against | For | |||
| 5. | Shareholder proposal relating to deducting the stockbuyback impact from executive pay. | Shareholder | Against | For | |||
| 6. | Shareholder proposal relating to gender pay equity. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 11,069 | 0 | 20-Mar-2019 | 08-May-2019 |
| DEUTSCHE BOERSE AG | |||||
| Security | D1882G119 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 08-May-2019 | |||
| ISIN | DE0005810055 | Agenda | 710797563 - Management | ||
| Record Date | 01-May-2019 | Holding Recon Date | 01-May-2019 | ||
| City / Country | FRANKFURT AMMAIN / Germany | Vote Deadline Date | 26-Apr-2019 | ||
| SEDOL(s) | 7021963 - B01DFR9 - B0ZGJP0 -B5SMM84 - BF0Z720 - BHZLDG3 -BRK05V4 - BYL6SN3 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENTTO PARAGRAPH 21 OF THE SECURITIES-TRADEACT ON 9TH JULY 2015 AND THE OVER-RULING OFTHE DISTRICT COURT IN-COLOGNE JUDGMENTFROM 6TH JUNE 2012 THE VOTING PROCESS HASNOW CHANGED WITH-REGARD TO THE GERMANREGISTERED SHARES. AS A RESULT, IT IS NOWTHE-RESPONSIBILITY OF THE END-INVESTOR (I.E.FINAL BENEFICIARY) AND NOT THE-INTERMEDIARYTO DISCLOSE RESPECTIVE FINAL BENEFICIARYVOTING RIGHTS THEREFORE-THE CUSTODIANBANK / AGENT IN THE MARKET WILL BE SENDINGTHE VOTING DIRECTLY-TO MARKET AND IT IS THEEND INVESTORS RESPONSIBILITY TO ENSURE THE-REGISTRATION ELEMENT IS COMPLETE WITH THEISSUER DIRECTLY, SHOULD THEY HOLD-MORETHAN 3 % OF THE TOTAL SHARE CAPITAL. | Non-Voting | |||||
| CMMT | THE VOTE/REGISTRATION DEADLINE ASDISPLAYED ON PROXYEDGE IS SUBJECT TOCHANGE-AND WILL BE UPDATED AS SOON ASBROADRIDGE RECEIVES CONFIRMATION FROMTHE SUB-CUSTODIANS REGARDING THEIRINSTRUCTION DEADLINE. FOR ANY QUERIESPLEASE-CONTACT YOUR CLIENT SERVICESREPRESENTATIVE | Non-Voting | |||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OFSPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THEAGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTINGRIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BEEXCLUDED WHEN YOUR SHARE IN VOTING RIGHTSHAS REACHED CERTAIN THRESHOLDS-AND YOUHAVE NOT COMPLIED WITH ANY OF YOURMANDATORY VOTING RIGHTS-NOTIFICATIONSPURSUANT TO THE GERMAN SECURITIES TRADINGACT (WPHG). FOR-QUESTIONS IN THIS REGARD | Non-Voting | |||||
| PLEASE CONTACT YOUR CLIENT SERVICEREPRESENTATIVE-FOR CLARIFICATION. IF YOU DONOT HAVE ANY INDICATION REGARDING SUCHCONFLICT-OF INTEREST, OR ANOTHER EXCLUSIONFROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL. THANK YOU | |||||||
| CMMT | COUNTER PROPOSALS MAY BE SUBMITTED UNTIL23.04.2019. FURTHER INFORMATION ON-COUNTERPROPOSALS CAN BE FOUND DIRECTLY ON THEISSUER'S WEBSITE (PLEASE REFER-TO THEMATERIAL URL SECTION OF THE APPLICATION). IFYOU WISH TO ACT ON THESE-ITEMS, YOU WILLNEED TO REQUEST A MEETING ATTEND AND VOTEYOUR SHARES-DIRECTLY AT THE COMPANY'SMEETING. COUNTER PROPOSALS CANNOT BEREFLECTED IN-THE BALLOT ON PROXYEDGE | Non-Voting | |||||
| 1 | PRESENTATION OF THE ADOPTED AND APPROVEDANNUAL FINANCIAL STATEMENTS AND-CONSOLIDATED FINANCIAL STATEMENTS AS WELLAS THE COMBINED MANAGEMENT REPORT-OFDEUTSCHE BORSE AKTIENGESELLSCHAFT ANDTHE GROUP AS AT 31 DECEMBER 2018,-THEREPORT OF THE SUPERVISORY BOARD, THEPROPOSAL FOR THE APPROPRIATION OF-THEUNAPPROPRIATED SURPLUS AND THEEXPLANATORY REPORT ON DISCLOSURESPURSUANT-TO SECTIONS 289A (1) AND 315A (1) OFTHE GERMAN COMMERCIAL CODE-(HANDELSGESETZBUCH - HGB) | Non-Voting | |||||
| 2 | RESOLUTION ON THE APPROPRIATION OFUNAPPROPRIATED SURPLUS: EUR 2.70 FOR EACHNO-PAR VALUE SHARE | Management | For | For | |||
| 3 | RESOLUTION ON THE RATIFICATION OF THE ACTSOF THE MEMBERS OF THE EXECUTIVE BOARD | Management | For | For | |||
| 4 | RESOLUTION ON THE RATIFICATION OF THE ACTSOF THE MEMBERS OF THE SUPERVISORY BOARD | Management | For | For | |||
| 5.1 | RESOLUTION ON THE ELECTION OF MEMBER TOTHE SUPERVISORY BOARD: CLARA-CHRISTINASTREIT, INDEPENDENT MANAGEMENTCONSULTANT, BIELEFELD | Management | For | For | |||
| 5.2 | RESOLUTION ON THE ELECTION OF MEMBER TOTHE SUPERVISORY BOARD: CHARLES G. T.STONEHILL, INDEPENDENT MANAGEMENTCONSULTANT, NEW YORK, USA | Management | For | For | |||
| 6 | RESOLUTION ON THE RESCISSION OF THEEXISTING AND THE GRANT OF A NEWAUTHORISATION TO ACQUIRE AND USE TREASURYSHARES IN ACCORDANCE WITH SECTION 71 (1) NO.8 OF THE AKTG AND TO EXCLUDE SUBSCRIPTIONRIGHTS AND RIGHTS OF TENDER | Management | For | For | |||
| 7 | RESOLUTION ON THE AUTHORISATION TO USEDERIVATIVES TO ACQUIRE TREASURY SHARES INACCORDANCE WITH SECTION 71 (1) NO. 8 OF THEAKTG AND TO EXCLUDE SUBSCRIPTION RIGHTSAND RIGHTS OF TENDER | Management | For | For | |||
| 8 | RESOLUTION ON THE RESCISSION OF THEEXISTING AUTHORISATION TO ISSUE CONVERTIBLEAND/OR WARRANT-LINKED BONDS AND THEASSOCIATED CONTINGENT CAPITAL 2014, ON THEGRANT OF A NEW AUTHORISATION TO ISSUECONVERTIBLE AND/OR WARRANT-LINKED BONDS,TO EXCLUDE SUBSCRIPTION RIGHTS AND ON THECREATION OF CONTINGENT CAPITAL AND THECORRESPONDING AMENDMENTS TO THE ARTICLESOF INCORPORATION | Management | For | For | |||
| 9 | RESOLUTION ON THE APPROVAL OF A PROFIT ANDLOSS TRANSFER AGREEMENT BETWEENDEUTSCHE BORSE AKTIENGESELLSCHAFT ANDCLEARSTREAM BETEILIGUNGS AG | Management | For | For | |||
| 10 | RESOLUTION ON THE ELECTION OF THE AUDITORAND GROUP AUDITOR FOR FINANCIAL YEAR 2019AS WELL AS THE AUDITOR FOR THE REVIEW OFTHE CONDENSED FINANCIAL STATEMENTS ANDTHE INTERIM MANAGEMENT REPORT FOR THEFIRST HALF OF FINANCIAL YEAR 2019: KPMG AGWIRTSCHAFTSPRUFUNGSGESELLSCHAFT, BERLIN, | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 7,849 | 0 | 27-Mar-2019 | 26-Apr-2019 |
| CME GROUP INC. | |||||
| Security | 12572Q105 | Meeting Type | Annual | ||
| Ticker Symbol | CME | Meeting Date | 08-May-2019 | ||
| ISIN | US12572Q1058 | Agenda | 934959480 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 07-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Equity Director: Terrence A. Duffy | Management | For | For | |||
| 1b. | Election of Equity Director: Timothy S. Bitsberger | Management | For | For | |||
| 1c. | Election of Equity Director: Charles P. Carey | Management | For | For | |||
| 1d. | Election of Equity Director: Dennis H. Chookaszian | Management | For | For | |||
| 1e. | Election of Equity Director: Ana Dutra | Management | For | For | |||
| 1f. | Election of Equity Director: Martin J. Gepsman | Management | For | For | |||
| 1g. | Election of Equity Director: Larry G. Gerdes | Management | For | For | |||
| 1h. | Election of Equity Director: Daniel R. Glickman | Management | For | For | |||
| 1i. | Election of Equity Director: Daniel G. Kaye | Management | For | For | |||
| 1j. | Election of Equity Director: Phyllis M. Lockett | Management | For | For | |||
| 1k. | Election of Equity Director: Deborah J. Lucas | Management | For | For | |||
| 1l. | Election of Equity Director: Alex J. Pollock | Management | For | For | |||
| 1m. | Election of Equity Director: Terry L. Savage | Management | For | For | |||
| 1n. | Election of Equity Director: William R. Shepard | Management | For | For | |||
| 1o. | Election of Equity Director: Howard J. Siegel | Management | For | For | |||
| 1p. | Election of Equity Director: Michael A. Spencer | Management | For | For | |||
| 1q. | Election of Equity Director: Dennis A. Suskind | Management | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young as ourindependent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote on the compensation of our namedexecutive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 6,562 | 0 | 26-Mar-2019 | 09-May-2019 |
| OVERSTOCK.COM, INC. | |||||
| Security | 690370101 | Meeting Type | Annual | ||
| Ticker Symbol | OSTK | Meeting Date | 09-May-2019 | ||
| ISIN | US6903701018 | Agenda | 934964532 - Management | ||
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Joseph J. Tabacco, Jr. | For | For | ||||||
| 2 | Kirthi Kalyanam | For | For | ||||||
| 2. | To ratify the appointment of KPMG LLP as theCompany's independent registered public accounting firmfor the fiscal year ending December 31, 2019. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 58,427 | 0 | 28-Mar-2019 | 10-May-2019 |
| TMX GROUP LTD | |||||
| Security | 87262K105 | Meeting Type | MIX | ||
| Ticker Symbol | Meeting Date | 10-May-2019 | |||
| ISIN | CA87262K1057 | Agenda | 710929742 - Management | ||
| Record Date | 13-Mar-2019 | Holding Recon Date | 13-Mar-2019 | ||
| City / Country | TORONTO / Canada | Vote Deadline Date | 06-May-2019 | ||
| SEDOL(s) | B87CCX1 - B889048 - B8KH5G7 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLYFOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN'ONLY FOR RESOLUTION NUMBERS-1 AND 2.A TO2.M. THANK YOU | Non-Voting | |||||
| 1 | APPOINTMENT OF KPMG LLP AS OUR AUDITOR ATA REMUNERATION TO BE FIXED BY THEDIRECTORS. INFORMATION RESPECTING THEAPPOINTMENT OF KPMG LLP MAY BE FOUNDUNDER THE HEADING "APPOINT THE AUDITOR" ONPAGE 6 OF OUR MANAGEMENT INFORMATIONCIRCULAR | Management | For | For | |||
| 2.A | ELECTION OF DIRECTOR: LUC BERTRAND | Management | For | For | |||
| 2.B | ELECTION OF DIRECTOR: NICOLAS DARVEAU-GARNEAU | Management | For | For | |||
| 2.C | ELECTION OF DIRECTOR: LOUIS ECCLESTON | Management | For | For | |||
| 2.D | ELECTION OF DIRECTOR: CHRISTIAN EXSHAW | Management | For | For | |||
| 2.E | ELECTION OF DIRECTOR: MARIE GIGUERE | Management | For | For | |||
| 2.F | ELECTION OF DIRECTOR: MARTINE IRMAN | Management | For | For | |||
| 2.G | ELECTION OF DIRECTOR: HARRY JAAKO | Management | For | For | |||
| 2.H | ELECTION OF DIRECTOR: WILLIAM LINTON | Management | For | For | |||
| 2.I | ELECTION OF DIRECTOR: JEAN MARTEL | Management | For | For | |||
| 2.J | ELECTION OF DIRECTOR: GERRI SINCLAIR | Management | For | For | |||
| 2.K | ELECTION OF DIRECTOR: KEVIN SULLIVAN | Management | For | For | |||
| 2.L | ELECTION OF DIRECTOR: ERIC WETLAUFER | Management | For | For | |||
| 2.M | ELECTION OF DIRECTOR: CHARLES WINOGRAD | Management | For | For | |||
| 3 | APPROVAL ON AN ADVISORY BASIS OF THEAPPROACH TO EXECUTIVE COMPENSATION WHICHIS DESCRIBED UNDER THE HEADING "VOTE ONOUR APPROACH TO EXECUTIVE COMPENSATION"ON PAGE 7 OF OUR MANAGEMENT INFORMATIONCIRCULAR FOR THE MEETING | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 16,287 | 0 | 11-Apr-2019 | 06-May-2019 |
| XIAOMI CORPORATION | |||||
| Security | G9830T106 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 14-May-2019 | |||
| ISIN | KYG9830T1067 | Agenda | 710915185 - Management | ||
| Record Date | 07-May-2019 | Holding Recon Date | 07-May-2019 | ||
| City / Country | HONGKONG / CaymanIslands | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | BFX5D41 - BG0ZMJ9 - BG21JJ4 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0408/LTN20190408485.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0408/LTN20190408543.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS, ABSTAIN IS NOT A VOTINGOPTION ON THIS MEETING | Non-Voting | |||||
| 1 | TO RECEIVE THE AUDITED CONSOLIDATEDFINANCIAL STATEMENTS OF THE COMPANY ANDTHE REPORTS OF THE DIRECTORS (THE"DIRECTOR(S)") AND THE AUDITOR OF THECOMPANY FOR THE YEAR ENDED DECEMBER 31,2018 | Management | For | For | |||
| 2 | TO RE-ELECT KOH TUCK LYE AS A NON-EXECUTIVEDIRECTOR | Management | For | For | |||
| 3 | TO RE-ELECT LIU QIN AS A NON-EXECUTIVEDIRECTOR | Management | For | For | |||
| 4 | TO RE-ELECT WONG SHUN TAK AS ANINDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | |||
| 5 | TO AUTHORIZE THE BOARD OF DIRECTORS TO FIXTHE DIRECTORS' REMUNERATION | Management | For | For | |||
| 6 | TO RE-APPOINT PRICEWATERHOUSECOOPERS ASAUDITOR OF THE COMPANY AND TO AUTHORIZETHE BOARD OF DIRECTORS TO FIX ITSREMUNERATION | Management | For | For | |||
| 7 | TO GIVE A GENERAL MANDATE TO THE DIRECTORSTO REPURCHASE THE COMPANY'S SHARES NOTEXCEEDING 10% OF THE TOTAL NUMBER OFISSUED SHARES OF THE COMPANY AS AT THEDATE OF PASSING THIS RESOLUTION (THE "SHAREREPURCHASE MANDATE") | Management | For | For | |||
| 8 | TO GIVE A GENERAL MANDATE TO THE DIRECTORSTO ISSUE, ALLOT AND DEAL WITH NEW CLASS BORDINARY SHARES OF THE COMPANY NOTEXCEEDING 20% OF THE TOTAL NUMBER OFISSUED SHARES OF THE COMPANY AS AT THEDATE OF PASSING THIS RESOLUTION (THE "SHAREISSUE MANDATE") | Management | For | For | |||
| 9 | CONDITIONAL UPON THE PASSING OFRESOLUTIONS NOS. 7 AND 8, TO EXTEND THESHARE ISSUE MANDATE GRANTED TO THEDIRECTORS TO ISSUE, ALLOT AND DEAL WITHADDITIONAL SHARES IN THE CAPITAL OF THECOMPANY BY THE TOTAL NUMBER OF SHARESREPURCHASED BY THE COMPANY UNDER THESHARE REPURCHASE MANDATE | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 726,931 | 0 | 09-Apr-2019 | 09-May-2019 |
| TENCENT HOLDINGS LTD | |||||
| Security | G87572163 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 15-May-2019 | |||
| ISIN | KYG875721634 | Agenda | 710871042 - Management | ||
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | ||
| City / Country | HONGKONG / CaymanIslands | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | BD8NG70 - BDDXGP3 - BGKG6H8 -BGPHZF7 - BMMV2K8 - BMN9869 -BMNDJT1 - BP3RXY7 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0401/LTN201904012222.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0401/LTN201904012246.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-ALL RESOLUTIONS, ABSTAIN IS NOT A VOTINGOPTION ON THIS MEETING | Non-Voting | |||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITEDFINANCIAL STATEMENTS, THE DIRECTORS'REPORT AND THE INDEPENDENT AUDITOR'SREPORT FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | |||
| 2 | TO DECLARE A FINAL DIVIDEND: HKD1.00 PERSHARE | Management | For | For | |||
| 3.A | TO RE-ELECT MR JACOBUS PETRUS (KOOS)BEKKER AS DIRECTOR | Management | For | For | |||
| 3.B | TO RE-ELECT MR IAN CHARLES STONE ASDIRECTOR | Management | For | For | |||
| 3.C | TO AUTHORISE THE BOARD OF DIRECTORS TO FIXTHE DIRECTORS' REMUNERATION | Management | For | For | |||
| 4 | TO RE-APPOINT AUDITOR AND AUTHORISE THEBOARD OF DIRECTORS TO FIX THEIRREMUNERATION | Management | For | For | |||
| 5 | TO GRANT A GENERAL MANDATE TO THEDIRECTORS TO ISSUE NEW SHARES (ORDINARYRESOLUTION 5 AS SET OUT IN THE NOTICE OF THEAGM) | Management | For | For | |||
| 6 | TO GRANT A GENERAL MANDATE TO THEDIRECTORS TO REPURCHASE SHARES (ORDINARYRESOLUTION 6 AS SET OUT IN THE NOTICE OF THEAGM) | Management | For | For | |||
| 7 | TO EXTEND THE GENERAL MANDATE TO ISSUENEW SHARES BY ADDING THE NUMBER OF SHARESREPURCHASED (ORDINARY RESOLUTION 7 AS SETOUT IN THE NOTICE OF THE AGM) | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 29,368 | 0 | 04-Apr-2019 | 09-May-2019 |
| TENCENT HOLDINGS LTD | |||||
| Security | G87572163 | Meeting Type | ExtraOrdinary General Meeting | ||
| Ticker Symbol | Meeting Date | 15-May-2019 | |||
| ISIN | KYG875721634 | Agenda | 711051386 - Management | ||
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | ||
| City / Country | HONGKONG / CaymanIslands | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | BDDXGP3 - BGPHZF7 - BMMV2K8 -BMN9869 - BMNDJT1 - BP3RXY7 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0425/LTN201904252117.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0425/LTN201904252125.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS AREALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR-RESOLUTION 1, ABSTAIN IS NOT A VOTING OPTIONON THIS MEETING | Non-Voting | |||||
| 1 | TO APPROVE THE REFRESHMENT OF SCHEMEMANDATE LIMIT UNDER THE SHARE OPTION PLANOF TENCENT MUSIC ENTERTAINMENT GROUP | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 29,368 | 0 | 27-Apr-2019 | 09-May-2019 |
| ADVANCED MICRO DEVICES, INC. | |||||
| Security | 007903107 | Meeting Type | Annual | ||
| Ticker Symbol | AMD | Meeting Date | 15-May-2019 | ||
| ISIN | US0079031078 | Agenda | 934959264 - Management | ||
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 14-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: John E. Caldwell | Management | For | For | |||
| 1b. | Election of Director: Nora M. Denzel | Management | For | For | |||
| 1c. | Election of Director: Mark Durcan | Management | For | For | |||
| 1d. | Election of Director: Joseph A. Householder | Management | For | For | |||
| 1e. | Election of Director: John W. Marren | Management | For | For | |||
| 1f. | Election of Director: Lisa T. Su | Management | For | For | |||
| 1g. | Election of Director: Abhi Y. Talwalkar | Management | For | For | |||
| 2. | Ratify the appointment of Ernst & Young LLP as ourindependent registered public accounting firm for thecurrent fiscal year. | Management | For | For | |||
| 3. | Approval of the amendment and restatement of theAdvanced Micro Devices, Inc. 2004 Equity IncentivePlan. | Management | For | For | |||
| 4. | Advisory vote to approve the executive compensation ofour named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 45,946 | 0 | 26-Mar-2019 | 16-May-2019 |
| SAP SE | |||||
| Security | 803054204 | Meeting Type | Annual | ||
| Ticker Symbol | SAP | Meeting Date | 15-May-2019 | ||
| ISIN | US8030542042 | Agenda | 934994268 - Management | ||
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 02-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 2. | Resolution on the appropriation of the retained earningsof fiscal year 2018. | Management | For | ||||
| 3. | Resolution on the formal approval of the acts of theExecutive Board in fiscal year 2018. | Management | For | ||||
| 4. | Resolution on the formal approval of the acts of theSupervisory Board in fiscal year 2018. | Management | For | ||||
| 5. | Appointment of the auditors of the annual financialstatements and group annual financial statements forfiscal year 2019. | Management | For | ||||
| 6a. | Election of Supervisory Board members: Prof Dr h. c.mult.Hasso Plattner | Management | For | ||||
| 6b. | Election of Supervisory Board members: Dr h. c. mult.Pekka Ala-Pietilä | Management | For | ||||
| 6c. | Election of Supervisory Board members: Aicha Evans | Management | For | ||||
| 6d. | Election of Supervisory Board members: Diane Greene | Management | For | ||||
| 6e. | Election of Supervisory Board members: Prof Dr GescheJoost | Management | For | ||||
| 6f. | Election of Supervisory Board members: BernardLiautaud | Management | For | ||||
| 6g. | Election of Supervisory Board members: Gerhard Oswald | Management | For | ||||
| 6h. | Election of Supervisory Board members: Dr FriederikeRotsch | Management | For | ||||
| 6i. | Election of Supervisory Board members: Dr GunnarWiedenfels | Management | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 13,098 | 0 | 13-Apr-2019 | 06-May-2019 |
| BOC HONG KONG (HOLDINGS) LIMITED | |||||
| Security | Y0920U103 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 16-May-2019 | |||
| ISIN | HK2388011192 | Agenda | 710930404 - Management | ||
| Record Date | 08-May-2019 | Holding Recon Date | 08-May-2019 | ||
| City / Country | HONGKONG / Hong Kong | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | 6536112 - B01XWZ6 - B06MVT5 -B16MTV0 - BD8NLQ4 - BP3RP41 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT AVOTE OF "ABSTAIN" WILL BE TREATED-THE SAMEAS A "TAKE NO ACTION" VOTE. | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0410/LTN20190410312.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0410/LTN20190410328.PDF | Non-Voting | |||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITEDFINANCIAL STATEMENTS AND THE REPORTS OFDIRECTORS AND OF THE AUDITOR OF THECOMPANY FOR THE YEAR ENDED 31 DECEMBER2018 | Management | For | For | |||
| 2 | TO DECLARE A FINAL DIVIDEND OF HKD 0.923 PERSHARE FOR THE YEAR ENDED 31 DECEMBER 2018 | Management | For | For | |||
| 3.A | TO RE-ELECT MR LIU LIANGE AS A DIRECTOR OFTHE COMPANY | Management | For | For | |||
| 3.B | TO RE-ELECT MR LIN JINGZHEN AS A DIRECTOR OFTHE COMPANY | Management | For | For | |||
| 3.C | TO RE-ELECT MDM CHENG EVA AS A DIRECTOR OFTHE COMPANY | Management | For | For | |||
| 3.D | TO RE-ELECT DR CHOI KOON SHUM AS ADIRECTOR OF THE COMPANY | Management | For | For | |||
| 3.E | TO RE-ELECT MR LAW YEE KWAN QUINN AS ADIRECTOR OF THE COMPANY | Management | For | For | |||
| 4 | TO RE-APPOINT ERNST & YOUNG AS AUDITOR OFTHE COMPANY AND AUTHORISE THE BOARD OFDIRECTORS OR A DULY AUTHORISED COMMITTEEOF THE BOARD TO DETERMINE THEREMUNERATION OF THE AUDITOR | Management | For | For | |||
| 5 | TO GRANT A GENERAL MANDATE TO THE BOARDOF DIRECTORS TO ALLOT, ISSUE AND DEAL WITHADDITIONAL SHARES IN THE COMPANY, NOTEXCEEDING 20% OR, IN THE CASE OF ISSUE OFSHARES SOLELY FOR CASH AND UNRELATED TOANY ASSET ACQUISITION, NOT EXCEEDING 5% OFTHE TOTAL NUMBER OF SHARES OF THE COMPANYIN ISSUE AS AT THE DATE OF PASSING THISRESOLUTION | Management | For | For | |||
| 6 | TO GRANT A GENERAL MANDATE TO THE BOARDOF DIRECTORS TO BUY BACK SHARES IN THECOMPANY, NOT EXCEEDING 10% OF THE TOTALNUMBER OF SHARES OF THE COMPANY IN ISSUEAS AT THE DATE OF PASSING THIS RESOLUTION | Management | For | For | |||
| 7 | CONDITIONAL ON THE PASSING OF RESOLUTIONS5 AND 6, TO EXTEND THE GENERAL MANDATEGRANTED BY RESOLUTION 5 BY ADDING THERETOOF THE TOTAL NUMBER OF SHARES OF THECOMPANY BOUGHT BACK UNDER THE GENERALMANDATE GRANTED PURSUANT TO RESOLUTION 6 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 252,464 | 0 | 11-Apr-2019 | 09-May-2019 |
| INTEL CORPORATION | |||||
| Security | 458140100 | Meeting Type | Annual | ||
| Ticker Symbol | INTC | Meeting Date | 16-May-2019 | ||
| ISIN | US4581401001 | Agenda | 934963679 - Management | ||
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 15-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Aneel Bhusri | Management | For | For | |||
| 1b. | Election of Director: Andy D. Bryant | Management | For | For | |||
| 1c. | Election of Director: Reed E. Hundt | Management | For | For | |||
| 1d. | Election of Director: Omar Ishrak | Management | For | For | |||
| 1e. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |||
| 1f. | Election of Director: Tsu-Jae King Liu | Management | For | For | |||
| 1g. | Election of Director: Gregory D. Smith | Management | For | For | |||
| 1h. | Election of Director: Robert ("Bob") H. Swan | Management | For | For | |||
| 1i. | Election of Director: Andrew Wilson | Management | For | For | |||
| 1j. | Election of Director: Frank D. Yeary | Management | For | For | |||
| 2. | Ratification of selection of Ernst & Young LLP as ourindependent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation of ourlisted officers | Management | For | For | |||
| 4. | Approval of amendment and restatement of the 2006Equity Incentive Plan | Management | For | For | |||
| 5. | Stockholder proposal on whether to allow stockholders toact by written consent, if properly presented | Shareholder | Against | For | |||
| 6. | Stockholder proposal requesting a report on the risksassociated with emerging public policies addressing thegender pay gap, if properly presented | Shareholder | Against | For | |||
| 7. | Stockholder proposal requesting an annual advisory voteon political contributions, if properly presented | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 33,089 | 0 | 04-Apr-2019 | 17-May-2019 |
| JPMORGAN CHASE & CO. | |||||
| Security | 46625H100 | Meeting Type | Annual | ||
| Ticker Symbol | JPM | Meeting Date | 21-May-2019 | ||
| ISIN | US46625H1005 | Agenda | 934979088 - Management | ||
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 20-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Linda B. Bammann | Management | For | For | |||
| 1b. | Election of Director: James A. Bell | Management | For | For | |||
| 1c. | Election of Director: Stephen B. Burke | Management | For | For | |||
| 1d. | Election of Director: Todd A. Combs | Management | For | For | |||
| 1e. | Election of Director: James S. Crown | Management | For | For | |||
| 1f. | Election of Director: James Dimon | Management | For | For | |||
| 1g. | Election of Director: Timothy P. Flynn | Management | For | For | |||
| 1h. | Election of Director: Mellody Hobson | Management | For | For | |||
| 1i. | Election of Director: Laban P. Jackson, Jr. | Management | For | For | |||
| 1j. | Election of Director: Michael A. Neal | Management | For | For | |||
| 1k. | Election of Director: Lee R. Raymond | Management | For | For | |||
| 2. | Advisory resolution to approve executive compensation | Management | For | For | |||
| 3. | Ratification of independent registered public accountingfirm | Management | For | For | |||
| 4. | Gender pay equity report | Shareholder | Against | For | |||
| 5. | Enhance shareholder proxy access | Shareholder | Against | For | |||
| 6. | Cumulative voting | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 12,108 | 0 | 06-Apr-2019 | 22-May-2019 |
| DAIMLER AG | |||||
| Security | D1668R123 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 22-May-2019 | |||
| ISIN | DE0007100000 | Agenda | 710930163 - Management | ||
| Record Date | 17-May-2019 | Holding Recon Date | 17-May-2019 | ||
| City / Country | BERLIN / Germany | Vote Deadline Date | 14-May-2019 | ||
| SEDOL(s) | 2190716 - 2307389 - 5529027 -5543890 - B0Z52W5 - B19GKT4 -B7N2TQ0 - BF0Z850 - BY9CV01 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENTTO PARAGRAPH 21 OF THE SECURITIES-TRADEACT ON 9TH JULY 2015 AND THE OVER-RULING OFTHE DISTRICT COURT IN-COLOGNE JUDGMENTFROM 6TH JUNE 2012 THE VOTING PROCESS HASNOW CHANGED WITH-REGARD TO THE GERMANREGISTERED SHARES. AS A RESULT, IT IS NOWTHE-RESPONSIBILITY OF THE END-INVESTOR (I.E.FINAL BENEFICIARY) AND NOT THE-INTERMEDIARYTO DISCLOSE RESPECTIVE FINAL BENEFICIARYVOTING RIGHTS THEREFORE-THE CUSTODIANBANK / AGENT IN THE MARKET WILL BE SENDINGTHE VOTING DIRECTLY-TO MARKET AND IT IS THEEND INVESTORS RESPONSIBILITY TO ENSURE THE-REGISTRATION ELEMENT IS COMPLETE WITH THEISSUER DIRECTLY, SHOULD THEY HOLD-MORETHAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | |||||
| CMMT | THE VOTE/REGISTRATION DEADLINE ASDISPLAYED ON PROXYEDGE IS SUBJECT TOCHANGE-AND WILL BE UPDATED AS SOON ASBROADRIDGE RECEIVES CONFIRMATION FROMTHE SUB-CUSTODIANS REGARDING THEIRINSTRUCTION DEADLINE. FOR ANY QUERIESPLEASE-CONTACT YOUR CLIENT SERVICESREPRESENTATIVE. | Non-Voting | |||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OFSPECIFIC CONFLICTS OF INTEREST IN-CONNECTION WITH SPECIFIC ITEMS OF THEAGENDA FOR THE GENERAL MEETING YOU ARE-NOT ENTITLED TO EXERCISE YOUR VOTINGRIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BEEXCLUDED WHEN YOUR SHARE IN VOTING RIGHTSHAS REACHED CERTAIN THRESHOLDS-AND YOUHAVE NOT COMPLIED WITH ANY OF YOURMANDATORY VOTING RIGHTS-NOTIFICATIONSPURSUANT TO THE GERMAN SECURITIES TRADINGACT (WPHG). FOR-QUESTIONS IN THIS REGARD | Non-Voting | |||||
| PLEASE CONTACT YOUR CLIENT SERVICEREPRESENTATIVE-FOR CLARIFICATION. IF YOU DONOT HAVE ANY INDICATION REGARDING SUCHCONFLICT-OF INTEREST, OR ANOTHER EXCLUSIONFROM VOTING, PLEASE SUBMIT YOUR VOTE AS-USUAL. THANK YOU. | |||||||
| CMMT | COUNTER PROPOSALS MAY BE SUBMITTED UNTIL07.05.2019. FURTHER INFORMATION ON-COUNTERPROPOSALS CAN BE FOUND DIRECTLY ON THEISSUER'S WEBSITE (PLEASE REFER-TO THEMATERIAL URL SECTION OF THE APPLICATION). IFYOU WISH TO ACT ON THESE-ITEMS, YOU WILLNEED TO REQUEST A MEETING ATTEND AND VOTEYOUR SHARES-DIRECTLY AT THE COMPANY'SMEETING. COUNTER PROPOSALS CANNOT BEREFLECTED IN-THE BALLOT ON PROXYEDGE. | Non-Voting | |||||
| 1 | PRESENTATION OF THE ADOPTED ANNUALFINANCIAL STATEMENTS OF DAIMLER AG, THE-APPROVED CONSOLIDATED FINANCIALSTATEMENTS, THE COMBINED MANAGEMENTREPORT-FOR DAIMLER AG AND THE GROUP,INCLUDING THE EXPLANATORY REPORT ON THE-INFORMATION REQUIRED PURSUANT TO SECTION289A, SUBSECTION 1 AND SECTION 315A,-SUBSECTION 1 OF THE GERMAN COMMERCIALCODE (HANDELSGESETZBUCH), AND THE-REPORTOF THE SUPERVISORY BOARD FOR THE 2018FINANCIAL YEAR | Non-Voting | |||||
| 2 | RESOLUTION ON THE ALLOCATION OFDISTRIBUTABLE PROFIT | Management | For | For | |||
| 3 | RESOLUTION ON RATIFICATION OF MANAGEMENTBOARD MEMBERS ACTIONS IN THE 2018 FINANCIALYEAR | Management | For | For | |||
| 4 | RESOLUTION ON RATIFICATION OF SUPERVISORYBOARD MEMBERS ACTIONS IN THE 2018 FINANCIALYEAR | Management | For | For | |||
| 5.1 | RESOLUTION ON THE APPOINTMENT OF THEAUDITOR FOR THE ANNUAL FINANCIALSTATEMENTS AND THE AUDITOR FOR THECONSOLIDATED FINANCIAL STATEMENTS: 2019FINANCIAL YEAR INCLUDING INTERIM FINANCIALREPORTS | Management | For | For | |||
| 5.2 | RESOLUTION ON THE APPOINTMENT OF THEAUDITOR FOR THE ANNUAL FINANCIALSTATEMENTS AND THE AUDITOR FOR THECONSOLIDATED FINANCIAL STATEMENTS: INTERIMFINANCIAL REPORTS FOR THE 2020 FINANCIALYEAR UNTIL ANNUAL MEETING 2020 | Management | For | For | |||
| 6 | RESOLUTION ON THE APPROVAL OF THEREMUNERATION SYSTEM FOR THE MEMBERS OFTHE BOARD OF MANAGEMENT | Management | For | For | |||
| 7.1 | RESOLUTION ON THE ELECTION OF MEMBERS OFTHE SUPERVISORY BOARD: JOE KAESER | Management | For | For | |||
| 7.2 | RESOLUTION ON THE ELECTION OF MEMBERS OFTHE SUPERVISORY BOARD: DR BERNDPISCHETSRIEDER | Management | For | For | |||
| 8 | RESOLUTION ON THE AMENDMENT OF ARTICLE 2OF THE ARTICLES OF INCORPORATION (PURPOSE) | Management | For | For | |||
| 9 | RESOLUTION ON THE APPROVAL OF THE HIVE-DOWN AND ACQUISITION AGREEMENT FOR THEHIVE-DOWN OF ASSETS AND LIABILITIES TOMERCEDES-BENZ AG AND DAIMLER TRUCK AG | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 20,178 | 0 | 11-Apr-2019 | 14-May-2019 |
| NVIDIA CORPORATION | |||||
| Security | 67066G104 | Meeting Type | Annual | ||
| Ticker Symbol | NVDA | Meeting Date | 22-May-2019 | ||
| ISIN | US67066G1040 | Agenda | 934982807 - Management | ||
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 21-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a | Election of Director: Robert K. Burgess | Management | For | For | |||
| 1b. | Election of Director: Tench Coxe | Management | For | For | |||
| 1c. | Election of Director: Persis S. Drell | Management | For | For | |||
| 1d. | Election of Director: James C. Gaither | Management | For | For | |||
| 1e. | Election of Director: Jen-Hsun Huang | Management | For | For | |||
| 1f. | Election of Director: Dawn Hudson | Management | For | For | |||
| 1g. | Election of Director: Harvey C. Jones | Management | For | For | |||
| 1h. | Election of Director: Michael G. McCaffery | Management | For | For | |||
| 1i. | Election of Director: Stephen C. Neal | Management | For | For | |||
| 1j. | Election of Director: Mark L. Perry | Management | For | For | |||
| 1k. | Election of Director: A. Brooke Seawell | Management | For | For | |||
| 1l. | Election of Director: Mark A. Stevens | Management | For | For | |||
| 2. | Approval of our executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of PricewaterhouseCoopersLLP as our independent registered public accounting firmfor fiscal year 2020. | Management | For | For | |||
| 4. | Approval of an amendment and restatement of ourCertificate of Incorporation to eliminate supermajorityvoting to remove a director without cause. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 5,278 | 0 | 13-Apr-2019 | 23-May-2019 |
| AMAZON.COM, INC. | |||||
| Security | 023135106 | Meeting Type | Annual | ||
| Ticker Symbol | AMZN | Meeting Date | 22-May-2019 | ||
| ISIN | US0231351067 | Agenda | 934985954 - Management | ||
| Record Date | 28-Mar-2019 | Holding Recon Date | 28-Mar-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 21-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | |||
| 1b. | Election of Director: Rosalind G. Brewer | Management | For | For | |||
| 1c. | Election of Director: Jamie S. Gorelick | Management | For | For | |||
| 1d. | Election of Director: Daniel P. Huttenlocher | Management | For | For | |||
| 1e. | Election of Director: Judith A. McGrath | Management | For | For | |||
| 1f. | Election of Director: Indra K. Nooyi | Management | For | For | |||
| 1g. | Election of Director: Jonathan J. Rubinstein | Management | For | For | |||
| 1h. | Election of Director: Thomas O. Ryder | Management | For | For | |||
| 1i. | Election of Director: Patricia Q. Stonesifer | Management | For | For | |||
| 1j. | Election of Director: Wendell P. Weeks | Management | For | For | |||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST &YOUNG LLP AS INDEPENDENT AUDITORS. | Management | For | For | |||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVECOMPENSATION. | Management | For | For | |||
| 4. | SHAREHOLDER PROPOSAL REQUESTING ANANNUAL REPORT ON MANAGEMENT OF FOODWASTE. | Shareholder | Against | For | |||
| 5. | SHAREHOLDER PROPOSAL REQUESTING AREDUCTION IN THE OWNERSHIP THRESHOLD FORCALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Against | For | |||
| 6. | SHAREHOLDER PROPOSAL REQUESTING A BAN ONGOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||
| 7. | SHAREHOLDER PROPOSAL REQUESTING AREPORT ON THE IMPACT OF GOVERNMENT USE OFCERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||
| 8. | SHAREHOLDER PROPOSAL REQUESTING AREPORT ON CERTAIN PRODUCTS. | Shareholder | Against | For | |||
| 9. | SHAREHOLDER PROPOSAL REQUESTING ANINDEPENDENT BOARD CHAIR POLICY. | Shareholder | Against | For | |||
| 10. | SHAREHOLDER PROPOSAL REQUESTING AREPORT ON CERTAIN EMPLOYMENT POLICIES. | Shareholder | Against | For | |||
| 11. | SHAREHOLDER PROPOSAL REQUESTING AREPORT ON CLIMATE CHANGE TOPICS. | Shareholder | Against | For | |||
| 12. | SHAREHOLDER PROPOSAL REQUESTING A BOARDIDEOLOGY DISCLOSURE POLICY. | Shareholder | Against | For | |||
| 13. | SHAREHOLDER PROPOSAL REQUESTING CHANGESTO THE COMPANY'S GENDER PAY REPORTING. | Shareholder | Against | For | |||
| 14. | SHAREHOLDER PROPOSAL REQUESTING AREPORT ON INTEGRATING CERTAIN METRICS INTOEXECUTIVE COMPENSATION. | Shareholder | Against | For | |||
| 15. | SHAREHOLDER PROPOSAL REGARDING VOTE-COUNTING PRACTICES FOR SHAREHOLDERPROPOSALS. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 676 | 0 | 12-Apr-2019 | 23-May-2019 |
| ZHONGAN ONLINE P&C INSURANCE CO., LTD. (DOING BUSI | |||||
| Security | Y989DF109 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 24-May-2019 | |||
| ISIN | CNE100002QY7 | Agenda | 711095833 - Management | ||
| Record Date | 23-Apr-2019 | Holding Recon Date | 23-Apr-2019 | ||
| City / Country | SHANGHAI / China | Vote Deadline Date | 20-May-2019 | ||
| SEDOL(s) | BF26G13 - BFB3VR6 - BYWYPY6 -BYZQ099 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0429/LTN201904292425.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0429/LTN201904292463.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0409/LTN20190409251.PDF | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TOMEETING ID 210943 DUE TO RECEIPT OF-ADDITIONAL RESOLUTIONS 8.1 TO 8.3. ALL VOTESRECEIVED ON THE PREVIOUS MEETING-WILL BEDISREGARDED AND YOU WILL NEED TOREINSTRUCT ON THIS MEETING NOTICE.-THANKYOU | Non-Voting | |||||
| 1 | TO CONSIDER AND APPROVE THE REPORT OFBOARD OF DIRECTORS OF THE COMPANY FOR THEYEAR ENDED DECEMBER 31, 2018 | Management | For | For | |||
| 2 | TO CONSIDER AND APPROVE THE REPORT OFSUPERVISORY COMMITTEE OF THE COMPANY FORTHE YEAR ENDED DECEMBER 31, 2018 | Management | For | For | |||
| 3 | TO CONSIDER AND APPROVE THE REPORT OF THEAUDITORS AND AUDITED FINANCIAL STATEMENTSOF THE COMPANY FOR THE YEAR ENDEDDECEMBER 31, 2018 | Management | For | For | |||
| 4 | TO CONSIDER AND APPROVE THE RE-APPOINTMENT OF AUDITORS FOR THE YEARENDING DECEMBER 31, 2019 | Management | For | For | |||
| 5.1 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. YAPING OU AS AN EXECUTIVE DIRECTOR OFTHE COMPANY TO HOLD OFFICE UNTIL THE EXPIRYOF THE TERM OF THE THIRD SESSION OF THEBOARD OF DIRECTORS | Management | For | For | |||
| 5.2 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. JIN CHEN AS AN EXECUTIVE DIRECTOR OF THECOMPANY TO HOLD OFFICE UNTIL THE EXPIRY OFTHE TERM OF THE THIRD SESSION OF THE BOARDOF DIRECTORS | Management | For | For | |||
| 5.3 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. HUGO JIN YI OU AS AN EXECUTIVE DIRECTOROF THE COMPANY TO HOLD OFFICE UNTIL THEEXPIRY OF THE TERM OF THE THIRD SESSION OFTHE BOARD OF DIRECTORS | Management | For | For | |||
| 5.4 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. XINYI HAN AS A NON-EXECUTIVE DIRECTOR OFTHE COMPANY TO HOLD OFFICE UNTIL THE EXPIRYOF THE TERM OF THE THIRD SESSION OF THEBOARD OF DIRECTORS | Management | For | For | |||
| 5.5 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. JIMMY CHI MING LAI AS A NON-EXECUTIVEDIRECTOR OF THE COMPANY TO HOLD OFFICEUNTIL THE EXPIRY OF THE TERM OF THE THIRDSESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.6 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. XIAOMING HU AS A NON-EXECUTIVE DIRECTOROF THE COMPANY TO HOLD OFFICE UNTIL THEEXPIRY OF THE TERM OF THE THIRD SESSION OFTHE BOARD OF DIRECTORS | Management | For | For | |||
| 5.7 | TO CONSIDER AND APPROVE THE ELECTION OFMR. LIANGXUN SHI AS A NON-EXECUTIVEDIRECTOR OF THE COMPANY TO HOLD OFFICEUNTIL THE EXPIRY OF THE TERM OF THE THIRDSESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.8 | TO CONSIDER AND APPROVE THE ELECTION OFMR. MING YIN AS A NON-EXECUTIVE DIRECTOR OFTHE COMPANY TO HOLD OFFICE UNTIL THE EXPIRYOF THE TERM OF THE THIRD SESSION OF THEBOARD OF DIRECTORS | Management | For | For | |||
| 5.9 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. SHUANG ZHANG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THETHIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.10 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMS. HUI CHEN AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THETHIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.11 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. YIFAN LI AS AN INDEPENDENT NON-EXECUTIVEDIRECTOR OF THE COMPANY TO HOLD OFFICEUNTIL THE EXPIRY OF THE TERM OF THE THIRDSESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.12 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMR. YING WU AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE COMPANY TO HOLDOFFICE UNTIL THE EXPIRY OF THE TERM OF THETHIRD SESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 5.13 | TO CONSIDER AND APPROVE THE ELECTION OFMR. WEI OU AS AN INDEPENDENT NON-EXECUTIVEDIRECTOR OF THE COMPANY TO HOLD OFFICEUNTIL THE EXPIRY OF THE TERM OF THE THIRDSESSION OF THE BOARD OF DIRECTORS | Management | For | For | |||
| 6.1 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMS. YUPING WEN AS A SHAREHOLDERREPRESENTATIVE SUPERVISOR OF THE COMPANYTO HOLD OFFICE UNTIL THE EXPIRY OF THE TERMOF THE THIRD SESSION OF THE SUPERVISORYCOMMITTEE | Management | For | For | |||
| 6.2 | TO CONSIDER AND APPROVE THE RE-ELECTION OFMS. BAOYAN GAN AS A SHAREHOLDERREPRESENTATIVE SUPERVISOR OF THE COMPANYTO HOLD OFFICE UNTIL THE EXPIRY OF THE TERMOF THE THIRD SESSION OF THE SUPERVISORYCOMMITTEE | Management | For | For | |||
| 7 | TO CONSIDER AND APPROVE THE GRANT OF AGENERAL MANDATE TO THE BOARD OFDIRECTORS OF THE COMPANY TO ISSUE SHARES | Management | For | For | |||
| 8.1 | THAT: THE ONLINE PLATFORM COOPERATIONFRAMEWORK AGREEMENT (AS DEFINED IN THESUPPLEMENTAL CIRCULAR OF THE COMPANYDATED APRIL 30, 2019 (THE "SUPPLEMENTALCIRCULAR")) AND THE TRANSACTIONSCONTEMPLATED THEREUNDER, BE AND AREHEREBY APPROVED, CONFIRMED AND RATIFIED | Management | For | For | |||
| 8.2 | THAT: THE REVISED ANNUAL CAP FOR THECONTINUING CONNECTED TRANSACTION UNDERTHE ONLINE PLATFORM COOPERATIONFRAMEWORK AGREEMENT (AS DEFINED IN THESUPPLEMENTAL CIRCULAR) FOR THE YEARENDING DECEMBER 31, 2019 (THE "REVISEDANNUAL CAP"), BE AND ARE HEREBY APPROVED,CONFIRMED AND RATIFIED | Management | For | For | |||
| 8.3 | THAT: ANY ONE DIRECTOR OF THE COMPANY BEAND ARE HEREBY GENERALLY ANDUNCONDITIONALLY AUTHORISED TO DO ALL SUCHFURTHER ACTS AND THINGS AND TO SIGN ANDEXECUTE ALL SUCH OTHER OR FURTHERDOCUMENTS AND TO TAKE ALL SUCH STEPSWHICH IN THE OPINION OF THE DIRECTORS MAYBE NECESSARY, APPROPRIATE OR DESIRABLE OREXPEDIENT TO IMPLEMENT AND/OR GIVE EFFECTTO THE ONLINE PLATFORM COOPERATIONFRAMEWORK AGREEMENT, THE REVISED ANNUALCAP AND THE TRANSACTIONS CONTEMPLATEDTHEREUNDER | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 357,677 | 0 | 01-May-2019 | 21-May-2019 |
| FACEBOOK, INC. | |||||
| Security | 30303M102 | Meeting Type | Annual | ||
| Ticker Symbol | FB | Meeting Date | 30-May-2019 | ||
| ISIN | US30303M1027 | Agenda | 934995082 - Management | ||
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 29-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Peggy Alford | For | For | ||||||
| 2 | Marc L. Andreessen | For | For | ||||||
| 3 | Kenneth I. Chenault | For | For | ||||||
| 4 | S. D. Desmond-Hellmann | For | For | ||||||
| 5 | Sheryl K. Sandberg | For | For | ||||||
| 6 | Peter A. Thiel | For | For | ||||||
| 7 | Jeffrey D. Zients | For | For | ||||||
| 8 | Mark Zuckerberg | For | For | ||||||
| 2. | To ratify the appointment of Ernst & Young LLP asFacebook, Inc.'s independent registered publicaccounting firm for the fiscal year ending December 31,2019. | Management | For | For | |||||
| 3. | To approve, on a non-binding advisory basis, thecompensation program for Facebook, Inc.'s namedexecutive officers as disclosed in Facebook, Inc.'s proxystatement. | Management | For | For | |||||
| 4. | To vote, on a non-binding advisory basis, whether a non-binding advisory vote on the compensation program forFacebook, Inc.'s named executive officers should be heldevery one, two or three years. | Management | 1 Year | Against | |||||
| 5. | A stockholder proposal regarding change in stockholdervoting. | Shareholder | Against | For | |||||
| 6. | A stockholder proposal regarding an independent chair. | Shareholder | Against | For | |||||
| 7. | A stockholder proposal regarding majority voting fordirectors. | Shareholder | Against | For | |||||
| 8. | A stockholder proposal regarding true diversity boardpolicy. | Shareholder | Against | For | |||||
| 9. | A stockholder proposal regarding a content governancereport. | Shareholder | Against | For | |||||
| 10. | A stockholder proposal regarding median gender paygap. | Shareholder | Against | For | |||||
| 11. | A stockholder proposal regarding workforce diversity. | Shareholder | Against | For | |||||
| 12. | A stockholder proposal regarding strategic alternatives. | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 5,523 | 0 | 16-Apr-2019 | 31-May-2019 |
| FOSUN INTERNATIONAL LTD | |||||
| Security | Y2618Y108 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 05-Jun-2019 | |||
| ISIN | HK0656038673 | Agenda | 711061868 - Management | ||
| Record Date | 30-May-2019 | Holding Recon Date | 30-May-2019 | ||
| City / Country | HONGKONG / Hong Kong | Vote Deadline Date | 29-May-2019 | ||
| SEDOL(s) | B1Z7FX0 - B23DHW0 - B23DJG8 -BD8NFY0 - BP3RPY1 | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT AVOTE OF "ABSTAIN" WILL BE TREATED-THE SAMEAS A "TAKE NO ACTION" VOTE. | Non-Voting | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0426/LTN201904261357.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0426/LTN201904261844.PDF | Non-Voting | |||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITEDCONSOLIDATED FINANCIAL STATEMENTS AND THEREPORTS OF THE BOARD OF DIRECTORS OF THECOMPANY AND OF AUDITORS FOR THE YEARENDED 31 DECEMBER 2018 | Management | For | For | |||
| 2 | TO DECLARE A FINAL DIVIDEND FOR THE YEARENDED 31 DECEMBER 2018 | Management | For | For | |||
| 3.I | TO RE-ELECT MR. GUO GUANGCHANG ASEXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | |||
| 3.II | TO RE-ELECT MR. WANG CAN AS EXECUTIVEDIRECTOR OF THE COMPANY | Management | For | For | |||
| 3.III | TO RE-ELECT MR. GONG PING AS EXECUTIVEDIRECTOR OF THE COMPANY | Management | For | For | |||
| 3.IV | TO RE-ELECT MR. DAVID T. ZHANG ASINDEPENDENT NON-EXECUTIVE DIRECTOR OF THECOMPANY | Management | For | For | |||
| 3.V | TO AUTHORIZE THE BOARD OF DIRECTORS OF THECOMPANY TO FIX THE REMUNERATION OF THEDIRECTORS OF THE COMPANY | Management | For | For | |||
| 4 | TO REAPPOINT ERNST & YOUNG AS AUDITORS ANDTO AUTHORIZE THE BOARD OF DIRECTORS OF THECOMPANY TO FIX THEIR REMUNERATION | Management | For | For | |||
| 5 | TO GIVE A GENERAL MANDATE TO THE DIRECTORSOF THE COMPANY TO REPURCHASE THE SHARESOF THE COMPANY NOT EXCEEDING 10% OF THETOTAL ISSUED SHARES OF THE COMPANY AS ATTHE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | |||
| 6 | TO GIVE A GENERAL MANDATE TO THE DIRECTORSOF THE COMPANY TO ISSUE, ALLOT AND DEALWITH ADDITIONAL SHARES OF THE COMPANY NOTEXCEEDING 20% OF THE TOTAL ISSUED SHARESOF THE COMPANY AS AT THE DATE OF PASSING OFTHIS RESOLUTION | Management | For | For | |||
| 7 | TO EXTEND THE GENERAL MANDATE GRANTED TOTHE DIRECTORS OF THE COMPANY TO ISSUE,ALLOT AND DEAL WITH ADDITIONAL SHARES OFTHE COMPANY BY THE TOTAL SHARESREPURCHASED BY THE COMPANY | Management | For | For | |||
| 8 | TO GRANT AN UNCONDITIONAL MANDATE TO THEDIRECTORS OF THE COMPANY (I) TO EXERCISE ALLTHE POWERS OF THE COMPANY DURING THERELEVANT PERIOD TO GRANT OPTIONS UNDERTHE SHARE OPTION SCHEME; (II) TO ISSUE ANDALLOT SHARES OF THE COMPANY AS AND WHENANY OPTIONS GRANTED UNDER THE SHAREOPTION SCHEME AND THE OLD SHARE OPTIONSCHEME ARE EXERCISED DURING THE RELEVANTPERIOD; AND (III) AT ANY TIME AFTER THERELEVANT PERIOD, TO ISSUE AND ALLOT SHARESOF THE COMPANY PURSUANT TO THE EXERCISEOF SHARE OPTIONS GRANTED UNDER THE SHAREOPTION SCHEME AND THE OLD SHARE OPTIONSCHEME | Management | For | For | |||
| 9.A | TO APPROVE, CONFIRM AND RATIFY THE GRANTOF SPECIFIC MANDATE TO THE DIRECTORS OF THECOMPANY REGARDING THE ISSUE ANDALLOTMENT OF AN AGGREGATE OF 5,973,750 NEWSHARES ("NEW AWARD SHARES") TOCOMPUTERSHARE HONG KONG TRUSTEES LIMITEDTO HOLD ON TRUST FOR SELECTED PARTICIPANTSWHO ARE SELECTED BY THE BOARD OFDIRECTORS OF THE COMPANY (THE "SELECTEDPARTICIPANTS") FOR PARTICIPATION IN THESHARE AWARD SCHEME ADOPTED BY THECOMPANY ON 25 MARCH 2015 (THE "SHARE AWARDSCHEME") (THE "AWARD") AND THE TRANSACTIONSCONTEMPLATED THEREUNDER | Management | For | For | |||
| 9.B | TO APPROVE AND CONFIRM THE GRANT OF 535,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. CHEN QIYU | Management | For | For | |||
| 9.C | TO APPROVE AND CONFIRM THE GRANT OF 535,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. XU XIAOLIANG | Management | For | For | |||
| 9.D | TO APPROVE AND CONFIRM THE GRANT OF 310,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. QIN XUETANG | Management | For | For | |||
| 9.E | TO APPROVE AND CONFIRM THE GRANT OF 310,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. WANG CAN | Management | For | For | |||
| 9.F | TO APPROVE AND CONFIRM THE GRANT OF 235,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. GONG PING | Management | For | For | |||
| 9.G | TO APPROVE AND CONFIRM THE GRANT OF 25,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. ZHANG SHENGMAN | Management | For | For | |||
| 9.H | TO APPROVE AND CONFIRM THE GRANT OF 25,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. ZHANG HUAQIAO | Management | For | For | |||
| 9.I | TO APPROVE AND CONFIRM THE GRANT OF 25,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. DAVID T. ZHANG | Management | For | For | |||
| 9.J | TO APPROVE AND CONFIRM THE GRANT OF 25,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. YANG CHAO | Management | For | For | |||
| 9.K | TO APPROVE AND CONFIRM THE GRANT OF 25,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO DR. LEE KAI-FU | Management | For | For | |||
| 9.L | TO APPROVE AND CONFIRM THE GRANT OF 255,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. ZHANG HOULIN | Management | For | For | |||
| 9.M | TO APPROVE AND CONFIRM THE GRANT OF 115,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. LI TAO | Management | For | For | |||
| 9.N | TO APPROVE AND CONFIRM THE GRANT OF 70,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. QIAN JIANNONG | Management | For | For | |||
| 9.O | TO APPROVE AND CONFIRM THE GRANT OF 68,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MS. MU HAINING | Management | For | For | |||
| 9.P | TO APPROVE AND CONFIRM THE GRANT OF 68,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. GAO MIN | Management | For | For | |||
| 9.Q | TO APPROVE AND CONFIRM THE GRANT OF 60,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. ZHANG XUEQING | Management | For | For | |||
| 9.R | TO APPROVE AND CONFIRM THE GRANT OF 35,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. XU LINGJIANG | Management | For | For | |||
| 9.S | TO APPROVE AND CONFIRM THE GRANT OF 35,000AWARD SHARES PURSUANT TO THE SHAREAWARD SCHEME TO MR. PEI YU | Management | For | For | |||
| 9.T | TO APPROVE AND CONFIRM THE GRANT OF3,527,000 AWARD SHARES PURSUANT TO THESHARE AWARD SCHEME TO THE SELECTEDPARTICIPANTS, OTHER THAN THOSE PERSONSNAMED IN RESOLUTIONS 9(B) - 9(S) ABOVE | Management | For | For | |||
| 9.U | TO AUTHORIZE ANY ONE OR MORE OF THEDIRECTORS OF THE COMPANY TO DO ALL SUCHACTS AND THINGS AND EXECUTE ALL SUCHDOCUMENTS WHICH HE/SHE/THEY CONSIDERNECESSARY, DESIRABLE OR EXPEDIENT FOR THEPURPOSE OF, OR IN CONNECTION WITH, THEIMPLEMENTATION OF AND GIVING EFFECT TO THEAWARD AND THE TRANSACTIONS CONTEMPLATEDTHEREUNDER, INCLUDING BUT NOT LIMITED TOTHE ISSUE AND ALLOTMENT OF THE NEW AWARDSHARES PURSUANT TO THE SHARE AWARDSCHEME | Management | For | For | |||
| 10 | TO APPROVE THE ADOPTION OF THE YUYUANTRANCHE II SHARE OPTION INCENTIVE SCHEMEAND TO AUTHORIZE THE DIRECTORS OF THECOMPANY AND YUYUAN TO EXECUTE ALL SUCHDOCUMENTS AND TAKE ALL STEPS AS THEYCONSIDER TO BE NECESSARY, EXPEDIENT ANDAPPROPRIATE TO GIVE EFFECT TO THE SCHEME | Management | For | For | |||
| 11 | TO APPROVE THE ADOPTION OF THE GLANDPHARMA SHARE OPTION SCHEME AND TOAUTHORIZE ANY DIRECTOR OF THE COMPANY ANDGLAND PHARMA TO EXECUTE ALL SUCHDOCUMENTS AND TAKE ALL STEPS AS THEYCONSIDER TO BE NECESSARY, EXPEDIENT ANDAPPROPRIATE TO GIVE EFFECT TO THE GLANDPHARMA SHARE OPTION SCHEME | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 582,401 | 0 | 27-Apr-2019 | 30-May-2019 |
| WALMART INC. | |||||
| Security | 931142103 | Meeting Type | Annual | ||
| Ticker Symbol | WMT | Meeting Date | 05-Jun-2019 | ||
| ISIN | US9311421039 | Agenda | 935000872 - Management | ||
| Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 04-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Cesar Conde | Management | For | For | |||
| 1b. | Election of Director: Stephen J. Easterbrook | Management | For | For | |||
| 1c. | Election of Director: Timothy P. Flynn | Management | For | For | |||
| 1d. | Election of Director: Sarah J. Friar | Management | For | For | |||
| 1e. | Election of Director: Carla A. Harris | Management | For | For | |||
| 1f. | Election of Director: Thomas W. Horton | Management | For | For | |||
| 1g. | Election of Director: Marissa A. Mayer | Management | For | For | |||
| 1h. | Election of Director: C. Douglas McMillon | Management | For | For | |||
| 1i. | Election of Director: Gregory B. Penner | Management | For | For | |||
| 1j. | Election of Director: Steven S Reinemund | Management | For | For | |||
| 1k. | Election of Director: S. Robson Walton | Management | For | For | |||
| 1l. | Election of Director: Steuart L. Walton | Management | For | For | |||
| 2. | Advisory Vote to Approve Named Executive OfficerCompensation | Management | For | For | |||
| 3. | Ratification of Ernst & Young LLP as IndependentAccountants | Management | For | For | |||
| 4. | Request to Strengthen Prevention of Workplace SexualHarassment | Shareholder | Against | For | |||
| 5. | Request to Adopt Cumulative Voting | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 9,811 | 0 | 24-Apr-2019 | 06-Jun-2019 |
| THOMSON REUTERS CORPORATION | |||||
| Security | 884903709 | Meeting Type | Annual | ||
| Ticker Symbol | TRI | Meeting Date | 05-Jun-2019 | ||
| ISIN | CA8849037095 | Agenda | 935007167 - Management | ||
| Record Date | 11-Apr-2019 | Holding Recon Date | 11-Apr-2019 | ||
| City / Country | / Canada | Vote Deadline Date | 31-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1 | DIRECTOR | Management | |||||||
| 1 | David Thomson | For | For | ||||||
| 2 | James C. Smith | For | For | ||||||
| 3 | Sheila C. Bair | For | For | ||||||
| 4 | David W. Binet | For | For | ||||||
| 5 | W. Edmund Clark, C.M. | For | For | ||||||
| 6 | Michael E. Daniels | For | For | ||||||
| 7 | Vance K. Opperman | For | For | ||||||
| 8 | Kristin C. Peck | For | For | ||||||
| 9 | Barry Salzberg | For | For | ||||||
| 10 | Peter J. Thomson | For | For | ||||||
| 11 | Wulf von Schimmelmann | For | For | ||||||
| 2 | To appoint PricewaterhouseCoopers LLP as auditor andto authorize the directors to fix the auditor's remuneration. | Management | For | For | |||||
| 3 | To accept, on an advisory basis, the approach toexecutive compensation described in the accompanyingManagement Proxy Circular. | Management | For | For | |||||
| 4 | Shareholder proposal set out in Appendix B of theaccompanying Management Proxy Circular. | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 19,060 | 0 | 26-Apr-2019 | 06-Jun-2019 |
| TAIWAN SEMICONDUCTOR MFG. CO. LTD. | |||||
| Security | 874039100 | Meeting Type | Annual | ||
| Ticker Symbol | TSM | Meeting Date | 05-Jun-2019 | ||
| ISIN | US8740391003 | Agenda | 935024163 - Management | ||
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 29-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1) | To accept 2018 Business Report and FinancialStatements | Management | For | For | |||||
| 2) | To approve the proposal for distribution of 2018 earnings | Management | For | For | |||||
| 3) | To revise the Articles of Incorporation | Management | For | For | |||||
| 4) | To revise the following TSMC policies: (i) Procedures forAcquisition or Disposal of Assets; (ii) Procedures forFinancial Derivatives Transactions | Management | For | For | |||||
| 5) | DIRECTOR | Management | |||||||
| 1 | Moshe N. Gavrielov | For | For | ||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 26,539 | 0 | 08-May-2019 | 31-May-2019 |
| DOCUSIGN, INC. | |||||
| Security | 256163106 | Meeting Type | Annual | ||
| Ticker Symbol | DOCU | Meeting Date | 17-Jun-2019 | ||
| ISIN | US2561631068 | Agenda | 935013867 - Management | ||
| Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 14-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Daniel D. Springer | For | For | ||||||
| 2 | Blake J. Irving | For | For | ||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP bythe Audit Committee of the Board of Directors as theindependent registered public accounting firm of theCompany for its fiscal year ending January 31, 2020. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 18,583 | 0 | 04-May-2019 | 18-Jun-2019 |
| SQUARE, INC. | |||||
| Security | 852234103 | Meeting Type | Annual | ||
| Ticker Symbol | SQ | Meeting Date | 18-Jun-2019 | ||
| ISIN | US8522341036 | Agenda | 935012093 - Management | ||
| Record Date | 23-Apr-2019 | Holding Recon Date | 23-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 17-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Jack Dorsey | For | For | ||||||
| 2 | David Viniar | For | For | ||||||
| 3 | Paul Deighton | For | For | ||||||
| 4 | Anna Patterson | For | For | ||||||
| 2. | ADVISORY VOTE ON THE COMPENSATION OF OURNAMED EXECUTIVE OFFICERS. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 16,348 | 0 | 27-Apr-2019 | 19-Jun-2019 |
| HITACHI,LTD. | |||||
| Security | J20454112 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 19-Jun-2019 | |||
| ISIN | JP3788600009 | Agenda | 711230588 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 17-Jun-2019 | ||
| SEDOL(s) | 5675726 - 6429104 - B02DZQ7 | Quick Code | 65010 | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| Please reference meeting materials. | Non-Voting | ||||||
| 1.1 | Appoint a Director Ihara, Katsumi | Management | For | For | |||
| 1.2 | Appoint a Director Cynthia Carroll | Management | For | For | |||
| 1.3 | Appoint a Director Joe Harlan | Management | For | For | |||
| 1.4 | Appoint a Director George Buckley | Management | For | For | |||
| 1.5 | Appoint a Director Louise Pentland | Management | For | For | |||
| 1.6 | Appoint a Director Mochizuki, Harufumi | Management | For | For | |||
| 1.7 | Appoint a Director Yamamoto, Takatoshi | Management | For | For | |||
| 1.8 | Appoint a Director Yoshihara, Hiroaki | Management | For | For | |||
| 1.9 | Appoint a Director Nakanishi, Hiroaki | Management | For | For | |||
| 1.10 | Appoint a Director Nakamura, Toyoaki | Management | For | For | |||
| 1.11 | Appoint a Director Higashihara, Toshiaki | Management | For | For | |||
| 2 | Shareholder Proposal: Remove a Director Nakamura,Toyoaki | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 40,396 | 0 | 24-May-2019 | 18-Jun-2019 |
| ALPHABET INC. | |||||
| Security | 02079K305 | Meeting Type | Annual | ||
| Ticker Symbol | GOOGL | Meeting Date | 19-Jun-2019 | ||
| ISIN | US02079K3059 | Agenda | 935018956 - Management | ||
| Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Larry Page | For | For | ||||||
| 2 | Sergey Brin | For | For | ||||||
| 3 | John L. Hennessy | For | For | ||||||
| 4 | L. John Doerr | For | For | ||||||
| 5 | Roger W. Ferguson, Jr. | For | For | ||||||
| 6 | Ann Mather | For | For | ||||||
| 7 | Alan R. Mulally | For | For | ||||||
| 8 | Sundar Pichai | For | For | ||||||
| 9 | K. Ram Shriram | For | For | ||||||
| 10 Robin L. Washington | For | For | |||||||
| 2. | Ratification of the appointment of Ernst & Young LLP asAlphabet's independent registered public accounting firmfor the fiscal year ending December 31, 2019. | Management | For | For | |||||
| 3. | The amendment and restatement of Alphabet's 2012Stock Plan to increase the share reserve by 3,000,000shares of Class C capital stock. | Management | For | For | |||||
| 4. | A stockholder proposal regarding equal shareholdervoting, if properly presented at the meeting. | Shareholder | Against | For | |||||
| 5. | A stockholder proposal regarding inequitable employmentpractices, if properly presented at the meeting. | Shareholder | Against | For | |||||
| 6. | A stockholder proposal regarding the establishment of asocietal risk oversight committee, if properly presented atthe meeting. | Shareholder | Against | For | |||||
| 7. | A stockholder proposal regarding a report on sexualharassment risk management, if properly presented atthe meeting. | Shareholder | Against | For | |||||
| 8. | A stockholder proposal regarding majority vote for theelection of directors, if properly presented at the meeting. | Shareholder | Against | For | |||||
| 9. | A stockholder proposal regarding a report on gender pay,if properly presented at the meeting. | Shareholder | Against | For | |||||
| 10. | A stockholder proposal regarding strategic alternatives, ifproperly presented at the meeting. | Shareholder | Against | For | |||||
| 11. | A stockholder proposal regarding the nomination of anemployee representative director, if properly presented atthe meeting. | Shareholder | Against | For | |||||
| 12. | A stockholder proposal regarding simple majority vote, ifproperly presented at the meeting. | Shareholder | Against | For | |||||
| 13. | A stockholder proposal regarding a sustainability metricsreport, if properly presented at the meeting. | Shareholder | Against | For | |||||
| 14. | A stockholder proposal regarding Google Search inChina, if properly presented at the meeting. | Shareholder | Against | For | |||||
| 15. | A stockholder proposal regarding a clawback policy, ifproperly presented at the meeting. | Shareholder | Against | For | |||||
| 16. | A stockholder proposal regarding a report on contentgovernance, if properly presented at the meeting. | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 908 | 0 | 03-May-2019 | 20-Jun-2019 |
| NTT DATA CORPORATION | |||||
| Security | J59031104 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 20-Jun-2019 | |||
| ISIN | JP3165700000 | Agenda | 711222480 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 18-Jun-2019 | ||
| SEDOL(s) | 5736429 - 6125639 - 6647069 -B3BJ9N2 - BHZL705 | Quick Code | 96130 | ||
| 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: Increase the Board of Directors Sizeto 13 | Management | For | For | |||
| 3.1 | Appoint a Director Homma, Yo | Management | For | For | |||
| 3.2 | Appoint a Director Yanagi, Keiichiro | Management | For | For | |||
| 3.3 | Appoint a Director Yamaguchi, Shigeki | Management | For | For | |||
| 3.4 | Appoint a Director Fujiwara, Toshi | Management | For | For | |||
| 3.5 | Appoint a Director Kitani, Tsuyoshi | Management | For | For | |||
| 3.6 | Appoint a Director Takeuchi, Shunichi | Management | For | For | |||
| 3.7 | Appoint a Director Ito, Koji | Management | For | For | |||
| 3.8 | Appoint a Director Matsunaga, Hisashi | Management | For | For | |||
| 3.9 | Appoint a Director Okamoto, Yukio | Management | For | For | |||
| 3.10 | Appoint a Director Hirano, Eiji | Management | For | For | |||
| 3.11 | Appoint a Director Ebihara, Takashi | Management | For | For | |||
| 3.12 | Appoint a Director John McCain | Management | For | For | |||
| 3.13 | Appoint a Director Fujii, Mariko | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 101,775 | 0 | 22-May-2019 | 19-Jun-2019 |
| MIZUHO FINANCIAL GROUP,INC. | |||||
| Security | J4599L102 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | JP3885780001 | Agenda | 711226414 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Jun-2019 | ||
| SEDOL(s) | 6591014 - 7562213 - B06NR12 -B17CHR1 - BHZL5W3 | Quick Code | 84110 | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| Please reference meeting materials. | Non-Voting | ||||||
| 1.1 | Appoint a Director Sakai, Tatsufumi | Management | For | For | |||
| 1.2 | Appoint a Director Ishii, Satoshi | Management | For | For | |||
| 1.3 | Appoint a Director Umemiya, Makoto | Management | For | For | |||
| 1.4 | Appoint a Director Wakabayashi, Motonori | Management | For | For | |||
| 1.5 | Appoint a Director Ehara, Hiroaki | Management | For | For | |||
| 1.6 | Appoint a Director Sato, Yasuhiro | Management | For | For | |||
| 1.7 | Appoint a Director Hirama, Hisaaki | Management | For | For | |||
| 1.8 | Appoint a Director Kosugi, Masahiro | Management | For | For | |||
| 1.9 | Appoint a Director Seki, Tetsuo | Management | For | For | |||
| 1.10 | Appoint a Director Kainaka, Tatsuo | Management | For | For | |||
| 1.11 | Appoint a Director Abe, Hirotake | Management | For | For | |||
| 1.12 | Appoint a Director Yamamoto, Masami | Management | For | For | |||
| 1.13 | Appoint a Director Ota, Hiroko | Management | For | For | |||
| 1.14 | Appoint a Director Kobayashi, Izumi | Management | For | For | |||
| 2 | Shareholder Proposal: Amend Articles of Incorporation(renouncement of the qualification of JGB Market SpecialParticipant) | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 661,400 | 0 | 23-May-2019 | 20-Jun-2019 |
| DIGITAL GARAGE,INC. | |||||
| Security | J1229F109 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 21-Jun-2019 | |||
| ISIN | JP3549070005 | Agenda | 711256443 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 19-Jun-2019 | ||
| SEDOL(s) | 6309422 - B3NLG80 - BGJZY05 | Quick Code | 48190 | ||
| 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: Amend Business Lines | Management | For | For | |||
| 3.1 | Appoint a Director who is not Audit and SupervisoryCommittee Member Hayashi, Kaoru | Management | For | For | |||
| 3.2 | Appoint a Director who is not Audit and SupervisoryCommittee Member Soda, Makoto | Management | For | For | |||
| 3.3 | Appoint a Director who is not Audit and SupervisoryCommittee Member Odori, Keizo | Management | For | For | |||
| 3.4 | Appoint a Director who is not Audit and SupervisoryCommittee Member Tanaka, Masashi | Management | For | For | |||
| 3.5 | Appoint a Director who is not Audit and SupervisoryCommittee Member Okuma, Masahito | Management | For | For | |||
| 3.6 | Appoint a Director who is not Audit and SupervisoryCommittee Member Ito, Joichi | Management | For | For | |||
| 3.7 | Appoint a Director who is not Audit and SupervisoryCommittee Member Fujiwara, Kenji | Management | For | For | |||
| 3.8 | Appoint a Director who is not Audit and SupervisoryCommittee Member Omura, Emi | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 51,899 | 0 | 31-May-2019 | 20-Jun-2019 |
| INFOSYS LIMITED | |||||
| Security | 456788108 | Meeting Type | Annual | ||
| Ticker Symbol | INFY | Meeting Date | 22-Jun-2019 | ||
| ISIN | US4567881085 | Agenda | 935040496 - Management | ||
| Record Date | 20-May-2019 | Holding Recon Date | 20-May-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 12-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| O1 | Adoption of financial statements | Management | For | For | |||
| O2 | Declaration of dividend | Management | For | For | |||
| O3 | Appointment of Nandan M. Nilekani as a director liable toretire by rotation | Management | For | For | |||
| S4 | Approval of the Infosys Expanded Stock OwnershipProgram - 2019 ("the 2019 Plan") and grant of stockincentives to the eligible employees of the Companyunder the 2019 Plan | Management | For | For | |||
| S5 | Approval of the Infosys Expanded Stock OwnershipProgram - 2019 ("the 2019 Plan") and grant of stockincentives to the eligible employees of the Company'ssubsidiaries under the 2019 Plan | Management | For | For | |||
| S6 | Approval for secondary acquisition of shares of theCompany by the Infosys Expanded Stock OwnershipTrust for the implementation of the Infosys ExpandedStock Ownership Program - 2019 ("the 2019 Plan") | Management | For | For | |||
| S7 | Approval of grant of Stock Incentives to Salil Parekh,Chief Executive Officer and Managing Director (CEO &MD), under the Infosys Expanded Stock OwnershipProgram - 2019 ("the 2019 Plan") | Management | For | For | |||
| S8 | Approval for changing the terms of the appointment ofSalil Parekh, Chief Executive Officer and ManagingDirector (CEO & MD) | Management | For | For | |||
| S9 | Approval of grant of Stock Incentives to U.B. Pravin Rao,Chief Operating Officer (COO) and Whole-time Director,under the Infosys Expanded Stock Ownership Program -2019 ("the 2019 Plan") | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 97,857 | 0 | 29-May-2019 | 14-Jun-2019 |
| FUJITSU LIMITED | |||||
| Security | J15708159 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 24-Jun-2019 | |||
| ISIN | JP3818000006 | Agenda | 711242709 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | KANAGAWA / Japan | Vote Deadline Date | 20-Jun-2019 | ||
| 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 Tanaka, Tatsuya | Management | For | For | |||
| 1.2 | Appoint a Director Yamamoto, Masami | Management | For | For | |||
| 1.3 | Appoint a Director Kojima, Kazuto | Management | For | For | |||
| 1.4 | Appoint a Director Yokota, Jun | 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 Tokita, Takahito | Management | For | For | |||
| 1.9 | Appoint a Director Furuta, Hidenori | Management | For | For | |||
| 1.10 | Appoint a Director Yasui, Mitsuya | Management | For | For | |||
| 2 | Appoint a Corporate Auditor Hatsukawa, Koji | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 20,239 | 0 | 28-May-2019 | 23-Jun-2019 |
| MASTERCARD INCORPORATED | |||||
| Security | 57636Q104 | Meeting Type | Annual | ||
| Ticker Symbol | MA | Meeting Date | 25-Jun-2019 | ||
| ISIN | US57636Q1040 | Agenda | 935017233 - Management | ||
| Record Date | 26-Apr-2019 | Holding Recon Date | 26-Apr-2019 | ||
| City / Country | / UnitedStates | Vote Deadline Date | 24-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: Richard Haythornthwaite | Management | For | For | |||
| 1b. | Election of director: Ajay Banga | Management | For | For | |||
| 1c. | Election of director: David R. Carlucci | Management | For | For | |||
| 1d. | Election of director: Richard K. Davis | Management | For | For | |||
| 1e. | Election of director: Steven J. Freiberg | Management | For | For | |||
| 1f. | Election of director: Julius Genachowski | Management | For | For | |||
| 1g. | Election of director: Choon Phong Goh | Management | For | For | |||
| 1h. | Election of director: Merit E. Janow | Management | For | For | |||
| 1i. | Election of director: Oki Matsumoto | Management | For | For | |||
| 1j. | Election of director: Youngme Moon | Management | For | For | |||
| 1k. | Election of director: Rima Qureshi | Management | For | For | |||
| 1l. | Election of director: José Octavio Reyes Lagunes | Management | For | For | |||
| 1m. | Election of director: Gabrielle Sulzberger | Management | For | For | |||
| 1n. | Election of director: Jackson Tai | Management | For | For | |||
| 1o. | Election of director: Lance Uggla | Management | For | For | |||
| 2. | Advisory approval of Mastercard's executivecompensation | Management | For | For | |||
| 3. | Ratification of the appointment ofPricewaterhouseCoopers LLP as the independentregistered public accounting firm for Mastercard for 2019 | Management | For | For | |||
| 4. | Consideration of a stockholder proposal on gender paygap | Shareholder | Against | For | |||
| 5. | Consideration of a stockholder proposal on creation of ahuman rights committee | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 000207839 | BNY MELLON | 5,052 | 0 | 02-May-2019 | 26-Jun-2019 |
| SBI HOLDINGS,INC. | |||||
| Security | J6991H100 | Meeting Type | Annual General Meeting | ||
| Ticker Symbol | Meeting Date | 27-Jun-2019 | |||
| ISIN | JP3436120004 | Agenda | 711276457 - Management | ||
| Record Date | 31-Mar-2019 | Holding Recon Date | 31-Mar-2019 | ||
| City / Country | TOKYO / Japan | Vote Deadline Date | 25-Jun-2019 | ||
| SEDOL(s) | 6309466 - B0CPJQ1 - B10BLN9 | Quick Code | 84730 | ||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| Please reference meeting materials. | Non-Voting | ||||||
| 1.1 | Appoint a Director Kitao, Yoshitaka | Management | For | For | |||
| 1.2 | Appoint a Director Kawashima, Katsuya | Management | For | For | |||
| 1.3 | Appoint a Director Nakagawa, Takashi | Management | For | For | |||
| 1.4 | Appoint a Director Takamura, Masato | Management | For | For | |||
| 1.5 | Appoint a Director Morita, Shumpei | Management | For | For | |||
| 1.6 | Appoint a Director Yamada, Masayuki | Management | For | For | |||
| 1.7 | Appoint a Director Yoshida, Masaki | Management | For | For | |||
| 1.8 | Appoint a Director Sato, Teruhide | Management | For | For | |||
| 1.9 | Appoint a Director Takenaka, Heizo | Management | For | For | |||
| 1.10 | Appoint a Director Suzuki, Yasuhiro | Management | For | For | |||
| 1.11 | Appoint a Director Kusakabe, Satoe | Management | For | For | |||
| 1.12 | Appoint a Director Kubo, Junko | Management | For | For | |||
| 2 | Appoint a Substitute Corporate Auditor Wakatsuki,Tetsutaro | Management | For | For | |||
| 3 | Approve Details of the Restricted-Share Compensation tobe received by Directors | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 207839 | RS NASDAQBLOCKCHAINECONOMY ETF | 207839 | BANK OF NEWYORK MELLON | 67,731 | 0 | 05-Jun-2019 | 26-Jun-2019 |
Reality Shares DIVCON Dividend Defender ETF
Form NP-X Summary (2018 - 2019)
| MICROCHIP TECHNOLOGY INCORPORATED | ||||
| Security | 595017104 | Meeting Type | Annual | |
| Ticker Symbol | MCHP | Meeting Date | 14-Aug-2018 | |
| ISIN | US5950171042 | Agenda | 934858068 - Management | |
| Record Date | 21-Jun-2018 | Holding Recon Date | 21-Jun-2018 | |
| City / Country | / United States | Vote Deadline Date | 13-Aug-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Steve Sanghi | Management | For | For | |||
| 1.2 | Election of Director: Matthew W. Chapman | Management | For | For | |||
| 1.3 | Election of Director: L.B. Day | Management | For | For | |||
| 1.4 | Election of Director: Esther L. Johnson | Management | For | For | |||
| 1.5 | Election of Director: Wade F. Meyercord | Management | For | For | |||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2019. | Management | For | For | |||
| 3. | Proposal to approve, on an advisory (non-binding) basis, the compensation of our named executives. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 210 | 0 | 19-Jul-2018 | 15-Aug-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 735 | 0 | 19-Jul-2018 | 15-Aug-2018 |
| NIKE, INC. | ||||
| Security | 654106103 | Meeting Type | Annual | |
| Ticker Symbol | NKE | Meeting Date | 20-Sep-2018 | |
| ISIN | US6541061031 | Agenda | 934864237 - Management | |
| Record Date | 20-Jul-2018 | Holding Recon Date | 20-Jul-2018 | |
| City / Country | / United States | Vote Deadline Date | 19-Sep-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Alan B. Graf, Jr. | For | For | ||||||
| 2 | John C. Lechleiter | For | For | ||||||
| 3 | Michelle A. Peluso | For | For | ||||||
| 2. | To approve executive compensation by an advisory vote. | Management | For | For | |||||
| 3. | To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | Against | For | |||||
| 4. | To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 306 | 0 | 09-Aug-2018 | 21-Sep-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,072 | 0 | 09-Aug-2018 | 21-Sep-2018 |
| HARRIS CORPORATION | ||||
| Security | 413875105 | Meeting Type | Annual | |
| Ticker Symbol | HRS | Meeting Date | 26-Oct-2018 | |
| ISIN | US4138751056 | Agenda | 934875420 - Management | |
| Record Date | 31-Aug-2018 | Holding Recon Date | 31-Aug-2018 | |
| City / Country | / United States | Vote Deadline Date | 25-Oct-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: James F. Albaugh | Management | For | For | |||
| 1b. | Election of Director: Sallie B. Bailey | Management | For | For | |||
| 1c. | Election of Director: William M. Brown | Management | For | For | |||
| 1d. | Election of Director: Peter W. Chiarelli | Management | For | For | |||
| 1e. | Election of Director: Thomas A. Dattilo | Management | For | For | |||
| 1f. | Election of Director: Roger B. Fradin | Management | For | For | |||
| 1g. | Election of Director: Lewis Hay III | Management | For | For | |||
| 1h. | Election of Director: Vyomesh I. Joshi | Management | For | For | |||
| 1i. | Election of Director: Leslie F. Kenne | Management | For | For | |||
| 1j. | Election of Director: Gregory T. Swienton | Management | For | For | |||
| 1k. | Election of Director: Hansel E. Tookes II | Management | For | For | |||
| 2. | Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Management | For | For | |||
| 3. | Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 128 | 0 | 17-Sep-2018 | 29-Oct-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 449 | 0 | 17-Sep-2018 | 29-Oct-2018 |
| KLA-TENCOR CORPORATION | ||||
| Security | 482480100 | Meeting Type | Annual | |
| Ticker Symbol | KLAC | Meeting Date | 07-Nov-2018 | |
| ISIN | US4824801009 | Agenda | 934879593 - Management | |
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 06-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Edward W. Barnholt | Management | For | For | |||
| 1b. | Election of Director: Robert M. Calderoni | Management | For | For | |||
| 1c. | Election of Director: John T. Dickson | Management | For | For | |||
| 1d. | Election of Director: Emiko Higashi | Management | For | For | |||
| 1e. | Election of Director: Kevin J. Kennedy | Management | For | For | |||
| 1f. | Election of Director: Gary B. Moore | Management | For | For | |||
| 1g. | Election of Director: Kiran M. Patel | Management | For | For | |||
| 1h. | Election of Director: Ana G. Pinczuk | Management | For | For | |||
| 1i. | Election of Director: Robert A. Rango | Management | For | For | |||
| 1j. | Election of Director: Richard P. Wallace | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | |||
| 3. | Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | For | For | |||
| 4. | Adoption of our Amended and Restated 2004 Equity Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 176 | 0 | 01-Oct-2018 | 08-Nov-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 617 | 0 | 01-Oct-2018 | 08-Nov-2018 |
| MAXIM INTEGRATED PRODUCTS, INC. | ||||
| Security | 57772K101 | Meeting Type | Annual | |
| Ticker Symbol | MXIM | Meeting Date | 08-Nov-2018 | |
| ISIN | US57772K1016 | Agenda | 934880142 - Management | |
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 07-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: William P. Sullivan | Management | For | For | |||
| 1b. | Election of Director: Tunc Doluca | Management | For | For | |||
| 1c. | Election of Director: Tracy C. Accardi | Management | For | For | |||
| 1d. | Election of Director: James R. Bergman | Management | For | For | |||
| 1e. | Election of Director: Joseph R. Bronson | Management | For | For | |||
| 1f. | Election of Director: Robert E. Grady | Management | For | For | |||
| 1g. | Election of Director: William D. Watkins | Management | For | For | |||
| 1h. | Election of Director: MaryAnn Wright | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as Maxim Integrated's independent registered public accounting firm for the fiscal year ending June 29, 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 354 | 0 | 01-Oct-2018 | 09-Nov-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,241 | 0 | 01-Oct-2018 | 09-Nov-2018 |
| THE ESTEE LAUDER COMPANIES INC. | ||||
| Security | 518439104 | Meeting Type | Annual | |
| Ticker Symbol | EL | Meeting Date | 13-Nov-2018 | |
| ISIN | US5184391044 | Agenda | 934879581 - Management | |
| Record Date | 14-Sep-2018 | Holding Recon Date | 14-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 12-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class I Director: Rose Marie Bravo Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1b. | Election of Class I Director: Paul J. Fribourg Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1c. | Election of Class I Director: Irvine O. Hockaday, Jr. Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1d. | Election of Class I Director: Jennifer Hyman Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1e. | Election of Class I Director: Barry S. Sternlicht Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 2. | Ratification of appointment of KPMG LLP as independent auditors for the 2019 fiscal year. | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 152 | 0 | 01-Oct-2018 | 14-Nov-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 532 | 0 | 01-Oct-2018 | 14-Nov-2018 |
| RESMED INC. | ||||
| Security | 761152107 | Meeting Type | Annual | |
| Ticker Symbol | RMD | Meeting Date | 15-Nov-2018 | |
| ISIN | US7611521078 | Agenda | 934881980 - Management | |
| Record Date | 17-Sep-2018 | Holding Recon Date | 17-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 14-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director to serve until our 2021 annual meeting: Peter Farrell | Management | For | For | |||
| 1b. | Election of director to serve until our 2021 annual meeting: Harjit Gill | Management | For | For | |||
| 1c. | Election of director to serve until our 2021 annual meeting: Ron Taylor | Management | For | For | |||
| 2. | Ratify our selection of KPMG LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | |||
| 3. | Approve an amendment to the ResMed Inc. 2009 Employee Stock Purchase Plan, which increases the number of shares authorized for issue under the plan by 2 million shares, from 4.2 million shares to 6.2 million shares, and extends the term of the plan through November 15, 2028. | Management | For | For | |||
| 4. | Approve, on an advisory basis, the compensation paid to our named executive officers, as disclosed in this proxy statement ("say-on-pay"). | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 218 | 0 | 04-Oct-2018 | 16-Nov-2018 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 767 | 0 | 04-Oct-2018 | 16-Nov-2018 |
| BLACKROCK LIQUIDITY FUNDS | ||||
| Security | 09248U700 | Meeting Type | Special | |
| Ticker Symbol | TFDXX | Meeting Date | 21-Nov-2018 | |
| ISIN | US09248U7000 | Agenda | 934885724 - Management | |
| Record Date | 24-Sep-2018 | Holding Recon Date | 24-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 20-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1a. | DIRECTOR | Management | |||||||
| 1 | Bruce R. Bond | For | For | ||||||
| 2 | Susan J. Carter | For | For | ||||||
| 3 | Collette Chilton | For | For | ||||||
| 4 | Neil A. Cotty | For | For | ||||||
| 5 | Robert Fairbairn | For | For | ||||||
| 6 | Lena G. Goldberg | For | For | ||||||
| 7 | Robert M. Hernandez | For | For | ||||||
| 8 | Henry R. Keizer | For | For | ||||||
| 9 | Cynthia A. Montgomery | For | For | ||||||
| 10 | Donald C. Opatrny | For | For | ||||||
| 11 | John M. Perlowski | For | For | ||||||
| 12 | Joseph P. Platt | For | For | ||||||
| 13 | Mark Stalnecker | For | For | ||||||
| 14 | Kenneth L. Urish | For | For | ||||||
| 15 | Claire A. Walton | For | For | ||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 361 | 0 | 25-Oct-2018 | 25-Oct-2018 |
| INTUIT INC. | ||||
| Security | 461202103 | Meeting Type | Annual | |
| Ticker Symbol | INTU | Meeting Date | 17-Jan-2019 | |
| ISIN | US4612021034 | Agenda | 934908471 - Management | |
| Record Date | 19-Nov-2018 | Holding Recon Date | 19-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 16-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Eve Burton | Management | For | For | |||
| 1b. | Election of Director: Scott D. Cook | Management | For | For | |||
| 1c. | Election of Director: Richard L. Dalzell | Management | For | For | |||
| 1d. | Election of Director: Sasan Goodarzi | Management | For | For | |||
| 1e. | Election of Director: Deborah Liu | Management | For | For | |||
| 1f. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1g. | Election of Director: Dennis D. Powell | Management | For | For | |||
| 1h. | Election of Director: Brad D. Smith | Management | For | For | |||
| 1i. | Election of Director: Thomas Szkutak | Management | For | For | |||
| 1j. | Election of Director: Raul Vazquez | Management | For | For | |||
| 1k. | Election of Director: Jeff Weiner | Management | For | For | |||
| 2. | Advisory vote to approve Intuit Inc.'s executive compensation (say-on-pay) | Management | For | For | |||
| 3. | Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending July 31, 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 421 | 0 | 29-Nov-2018 | 18-Jan-2019 |
| VISA INC. | ||||
| Security | 92826C839 | Meeting Type | Annual | |
| Ticker Symbol | V | Meeting Date | 29-Jan-2019 | |
| ISIN | US92826C8394 | Agenda | 934911074 - Management | |
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 28-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||
| 1b. | Election of Director: Mary B. Cranston | Management | For | For | |||
| 1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | |||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||
| 1e. | Election of Director: John F. Lundgren | Management | For | For | |||
| 1f. | Election of Director: Robert W. Matschullat | Management | For | For | |||
| 1g. | Election of Director: Denise M. Morrison | Management | For | For | |||
| 1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1i. | Election of Director: John A. C. Swainson | Management | For | For | |||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 624 | 0 | 19-Dec-2018 | 30-Jan-2019 |
| AMDOCS LIMITED | ||||
| Security | G02602103 | Meeting Type | Annual | |
| Ticker Symbol | DOX | Meeting Date | 31-Jan-2019 | |
| ISIN | GB0022569080 | Agenda | 934918092 - Management | |
| Record Date | 03-Dec-2018 | Holding Recon Date | 03-Dec-2018 | |
| City / Country | / United Kingdom | Vote Deadline Date | 30-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Robert A. Minicucci | Management | For | For | |||
| 1B. | Election of Director: Julian A. Brodsky | Management | For | For | |||
| 1C. | Election of Director: Adrian Gardner | Management | For | For | |||
| 1D. | Election of Director: Eli Gelman | Management | For | For | |||
| 1E. | Election of Director: James S. Kahan | Management | For | For | |||
| 1F. | Election of Director: Richard T.C. LeFave | Management | For | For | |||
| 1G. | Election of Director: Ariane de Rothschild | Management | For | For | |||
| 1H. | Election of Director: Shuky Sheffer | Management | For | For | |||
| 1I. | Election of Director: Rafael de la Vega | Management | For | For | |||
| 1J. | Election of Director: Giora Yaron | Management | For | For | |||
| 2. | To approve an increase in the dividend rate under our quarterly cash dividend program from $0.25 per share to $0.285 per share. | Management | For | For | |||
| 3. | To approve our consolidated financial statements for the fiscal year ended september 30, 2018 | Management | For | For | |||
| 4. | To ratify and approve the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2019, and until the next annual general meeting, and authorize the Audit Committee to fix the remuneration thereof. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 980 | 0 | 03-Jan-2019 | 01-Feb-2019 |
| TYSON FOODS, INC. | ||||
| Security | 902494103 | Meeting Type | Annual | |
| Ticker Symbol | TSN | Meeting Date | 07-Feb-2019 | |
| ISIN | US9024941034 | Agenda | 934915541 - Management | |
| Record Date | 10-Dec-2018 | Holding Recon Date | 10-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 06-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a) | Election of Director: John Tyson | Management | For | For | |||
| 1b) | Election of Director: Gaurdie E. Banister Jr. | Management | For | For | |||
| 1c) | Election of Director: Dean Banks | Management | For | For | |||
| 1d) | Election of Director: Mike Beebe | Management | For | For | |||
| 1e) | Election of Director: Mikel A. Durham | Management | For | For | |||
| 1f. | Election of Director: Kevin M. McNamara | Management | For | For | |||
| 1g) | Election of Director: Cheryl S. Miller | Management | For | For | |||
| 1h) | Election of Director: Jeffrey K. Schomburger | Management | For | For | |||
| 1i) | Election of Director: Robert Thurber | Management | For | For | |||
| 1j) | Election of Director: Barbara A. Tyson | Management | For | For | |||
| 1k) | Election of Director: Noel White | Management | For | For | |||
| 2) | To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending September 28, 2019. | Management | For | For | |||
| 3) | Shareholder proposal to request a report disclosing the policy and procedures, expenditures, and other activities related to lobbying and grassroots lobbying communications. | Shareholder | Against | For | |||
| 4) | Shareholder proposal to require the preparation of a report on the company's due diligence process assessing and mitigating human rights impacts. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 820 | 0 | 21-Dec-2018 | 08-Feb-2019 |
| TD AMERITRADE HOLDING CORPORATION | ||||
| Security | 87236Y108 | Meeting Type | Annual | |
| Ticker Symbol | AMTD | Meeting Date | 13-Feb-2019 | |
| ISIN | US87236Y1082 | Agenda | 934915680 - Management | |
| Record Date | 17-Dec-2018 | Holding Recon Date | 17-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 12-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Bharat B. Masrani | For | For | ||||||
| 2 | Irene R. Miller | For | For | ||||||
| 3 | Todd M. Ricketts | For | For | ||||||
| 4 | Allan R. Tessler | For | For | ||||||
| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | |||||
| 3. | INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,189 | 0 | 01-Jan-2019 | 14-Feb-2019 |
| APPLE INC. | ||||
| Security | 037833100 | Meeting Type | Annual | |
| Ticker Symbol | AAPL | Meeting Date | 01-Mar-2019 | |
| ISIN | US0378331005 | Agenda | 934919359 - Management | |
| Record Date | 02-Jan-2019 | Holding Recon Date | 02-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: James Bell | Management | For | For | |||
| 1b. | Election of director: Tim Cook | Management | For | For | |||
| 1c. | Election of director: Al Gore | Management | For | For | |||
| 1d. | Election of director: Bob Iger | Management | For | For | |||
| 1e. | Election of director: Andrea Jung | Management | For | For | |||
| 1f. | Election of director: Art Levinson | Management | For | For | |||
| 1g. | Election of director: Ron Sugar | Management | For | For | |||
| 1h. | Election of director: Sue Wagner | Management | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation | Management | For | For | |||
| 4. | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | Shareholder | Against | For | |||
| 5. | A shareholder proposal entitled "True Diversity Board Policy" | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 343 | 0 | 10-Jan-2019 | 04-Mar-2019 |
| THE WALT DISNEY COMPANY | ||||
| Security | 254687106 | Meeting Type | Annual | |
| Ticker Symbol | DIS | Meeting Date | 07-Mar-2019 | |
| ISIN | US2546871060 | Agenda | 934921099 - Management | |
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Susan E. Arnold | Management | For | For | |||
| 1b. | Election of Director: Mary T. Barra | Management | For | For | |||
| 1c. | Election of Director: Safra A. Catz | Management | For | For | |||
| 1d. | Election of Director: Francis A. deSouza | Management | For | For | |||
| 1e. | Election of Director: Michael Froman | Management | For | For | |||
| 1f. | Election of Director: Robert A. Iger | Management | For | For | |||
| 1g. | Election of Director: Maria Elena Lagomasino | Management | For | For | |||
| 1h. | Election of Director: Mark G. Parker | Management | For | For | |||
| 1i. | Election of Director: Derica W. Rice | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2019. | Management | For | For | |||
| 3. | To approve the advisory resolution on executive compensation. | Management | For | For | |||
| 4. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | |||
| 5. | Shareholder proposal requesting a report on use of additional cyber security and data privacy metrics in determining compensation of senior executives. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 505 | 0 | 19-Jan-2019 | 08-Mar-2019 |
| ANALOG DEVICES, INC. | ||||
| Security | 032654105 | Meeting Type | Annual | |
| Ticker Symbol | ADI | Meeting Date | 13-Mar-2019 | |
| ISIN | US0326541051 | Agenda | 934921556 - Management | |
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 12-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Ray Stata | Management | For | For | |||
| 1b. | Election of Director: Vincent Roche | Management | For | For | |||
| 1c. | Election of Director: James A. Champy | Management | For | For | |||
| 1d. | Election of Director: Anantha P. Chandrakasan | Management | For | For | |||
| 1e. | Election of Director: Bruce R. Evans | Management | For | For | |||
| 1f. | Election of Director: Edward H. Frank | Management | For | For | |||
| 1g. | Election of Director: Karen M. Golz | Management | For | For | |||
| 1h. | Election of Director: Mark M. Little | Management | For | For | |||
| 1i. | Election of Director: Neil Novich | Management | For | For | |||
| 1j. | Election of Director: Kenton J. Sicchitano | Management | For | For | |||
| 1k. | Election of Director: Lisa T. Su | Management | For | For | |||
| 2. | Advisory resolution to approve the compensation of our named executive officers. | Management | For | For | |||
| 3. | Ratification of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 4. | Shareholder proposal relating to a diversity report. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 644 | 0 | 26-Jan-2019 | 14-Mar-2019 |
| STARBUCKS CORPORATION | ||||
| Security | 855244109 | Meeting Type | Annual | |
| Ticker Symbol | SBUX | Meeting Date | 20-Mar-2019 | |
| ISIN | US8552441094 | Agenda | 934922015 - Management | |
| Record Date | 10-Jan-2019 | Holding Recon Date | 10-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 19-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Rosalind G. Brewer | Management | For | For | |||
| 1b. | Election of Director: Mary N. Dillon | Management | For | For | |||
| 1c. | Election of Director: Mellody Hobson | Management | For | For | |||
| 1d. | Election of Director: Kevin R. Johnson | Management | For | For | |||
| 1e. | Election of Director: Jorgen Vig Knudstorp | Management | For | For | |||
| 1f. | Election of Director: Satya Nadella | Management | For | For | |||
| 1g. | Election of Director: Joshua Cooper Ramo | Management | For | For | |||
| 1h. | Election of Director: Clara Shih | Management | For | For | |||
| 1i. | Election of Director: Javier G. Teruel | Management | For | For | |||
| 1j. | Election of Director: Myron E. Ullman, III | Management | For | For | |||
| 2. | Advisory resolution to approve our executive officer compensation. | Management | For | For | |||
| 3. | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 4. | True Diversity Board Policy | Shareholder | Against | For | |||
| 5. | Report on Sustainable Packaging | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 882 | 0 | 29-Jan-2019 | 21-Mar-2019 |
| BROADCOM INC | ||||
| Security | 11135F101 | Meeting Type | Annual | |
| Ticker Symbol | AVGO | Meeting Date | 01-Apr-2019 | |
| ISIN | US11135F1012 | Agenda | 934928598 - Management | |
| Record Date | 11-Feb-2019 | Holding Recon Date | 11-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mr. Hock E. Tan | Management | For | For | |||
| 1b. | Election of Director: Dr. Henry Samueli | Management | For | For | |||
| 1c. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | |||
| 1d. | Election of Director: Ms. Diane M. Bryant | Management | For | For | |||
| 1e. | Election of Director: Ms. Gayla J. Delly | Management | For | For | |||
| 1f. | Election of Director: Mr. Check Kian Low | Management | For | For | |||
| 1g. | Election of Director: Mr. Peter J. Marks | Management | For | For | |||
| 1h. | Election of Director: Mr. Harry L. You | Management | For | For | |||
| 2. | Ratification of the appointment of Pricewaterhouse- Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending November 3, 2019. | Management | For | For | |||
| 3. | To approve amendments to Broadcom's Second Amended and Restated Employee Share Purchase Plan. | Management | For | For | |||
| 4. | Non-binding, advisory vote to approve compensation of Broadcom's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 261 | 0 | 20-Feb-2019 | 02-Apr-2019 |
| CELANESE CORPORATION | ||||
| Security | 150870103 | Meeting Type | Annual | |
| Ticker Symbol | CE | Meeting Date | 18-Apr-2019 | |
| ISIN | US1508701034 | Agenda | 934935911 - Management | |
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 17-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jean S. Blackwell | Management | For | For | |||
| 1b. | Election of Director: William M. Brown | Management | For | For | |||
| 1c. | Election of Director: Edward G. Galante | Management | For | For | |||
| 1d. | Election of Director: Kathryn M. Hill | Management | For | For | |||
| 1e. | Election of Director: David F. Hoffmeister | Management | For | For | |||
| 1f. | Election of Director: Dr. Jay V. Ihlenfeld | Management | For | For | |||
| 1g. | Election of Director: Mark C. Rohr | Management | For | For | |||
| 1h. | Election of Director: Kim K.W. Rucker | Management | For | For | |||
| 1i. | Election of Director: John K. Wulff | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 4. | Approval of the amendment of our Certificate of Incorporation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 643 | 0 | 09-Mar-2019 | 19-Apr-2019 |
| SUNTRUST BANKS, INC. | ||||
| Security | 867914103 | Meeting Type | Annual | |
| Ticker Symbol | STI | Meeting Date | 23-Apr-2019 | |
| ISIN | US8679141031 | Agenda | 934933638 - Management | |
| Record Date | 13-Feb-2019 | Holding Recon Date | 13-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A | Election of Director: Agnes Bundy Scanlan | Management | For | For | |||
| 1B | Election of Director: Dallas S. Clement | Management | For | For | |||
| 1C | Election of Director: Paul D. Donahue | Management | For | For | |||
| 1D | Election of Director: Paul R. Garcia | Management | For | For | |||
| 1E | Election of Director: Donna S. Morea | Management | For | For | |||
| 1F | Election of Director: David M. Ratcliffe | Management | For | For | |||
| 1G | Election of Director: William H. Rogers, Jr. | Management | For | For | |||
| 1H | Election of Director: Frank P. Scruggs, Jr. | Management | For | For | |||
| 1I | Election of Director: Bruce L. Tanner | Management | For | For | |||
| 1J | Election of Director: Steven C. Voorhees | 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 our independent auditor for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 998 | 0 | 09-Mar-2019 | 24-Apr-2019 |
| FASTENAL COMPANY | ||||
| Security | 311900104 | Meeting Type | Annual | |
| Ticker Symbol | FAST | Meeting Date | 23-Apr-2019 | |
| ISIN | US3119001044 | Agenda | 934935606 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Willard D. Oberton | Management | For | For | |||
| 1b. | Election of Director: Michael J. Ancius | Management | For | For | |||
| 1c. | Election of Director: Michael J. Dolan | Management | For | For | |||
| 1d. | Election of Director: Stephen L. Eastman | Management | For | For | |||
| 1e. | Election of Director: Daniel L. Florness | Management | For | For | |||
| 1f. | Election of Director: Rita J. Heise | Management | For | For | |||
| 1g. | Election of Director: Darren R. Jackson | Management | For | For | |||
| 1h. | Election of Director: Daniel L. Johnson | Management | For | For | |||
| 1i. | Election of Director: Scott A. Satterlee | Management | For | For | |||
| 1j. | Election of Director: Reyne K. Wisecup | Management | For | For | |||
| 2. | Ratification of the appointment of KPMG LLP as independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||
| 3. | Approval, by non-binding vote, of executive compensation. | Management | For | For | |||
| 4. | A shareholder proposal related to diversity reporting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,019 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| NORTHERN TRUST CORPORATION | ||||
| Security | 665859104 | Meeting Type | Annual | |
| Ticker Symbol | NTRS | Meeting Date | 23-Apr-2019 | |
| ISIN | US6658591044 | Agenda | 934937864 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Linda Walker Bynoe | Management | For | For | |||
| 1b. | Election of Director: Susan Crown | Management | For | For | |||
| 1c. | Election of Director: Dean M. Harrison | Management | For | For | |||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | |||
| 1e. | Election of Director: Marcy S. Klevorn | Management | For | For | |||
| 1f. | Election of Director: Siddharth N. (Bobby) Mehta | Management | For | For | |||
| 1g. | Election of Director: Michael G. O'Grady | Management | For | For | |||
| 1h. | Election of Director: Jose Luis Prado | Management | For | For | |||
| 1i. | Election of Director: Thomas E. Richards | Management | For | For | |||
| 1j. | Election of Director: Martin P. Slark | Management | For | For | |||
| 1k. | Election of Director: David H. B. Smith, Jr. | Management | For | For | |||
| 1l. | Election of Director: Donald Thompson | Management | For | For | |||
| 1m. | Election of Director: Charles A. Tribbett III | Management | For | For | |||
| 2. | Approval, by an advisory vote, of the 2018 compensation of the Corporation's named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 4. | Stockholder proposal regarding additional disclosure of political contributions. | Shareholder | Against | For | |||
| 5. | Stockholder proposal regarding the right of the Corporation's stockholders to call a special meeting of the stockholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 632 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| COMERICA INCORPORATED | ||||
| Security | 200340107 | Meeting Type | Annual | |
| Ticker Symbol | CMA | Meeting Date | 23-Apr-2019 | |
| ISIN | US2003401070 | Agenda | 934938056 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Ralph W. Babb, Jr. | Management | For | For | |||
| 1b. | Election of Director: Michael E. Collins | Management | For | For | |||
| 1c. | Election of Director: Roger A. Cregg | Management | For | For | |||
| 1d. | Election of Director: T. Kevin DeNicola | Management | For | For | |||
| 1e. | Election of Director: Curtis C. Farmer | Management | For | For | |||
| 1f. | Election of Director: Jacqueline P. Kane | Management | For | For | |||
| 1g. | Election of Director: Richard G. Lindner | Management | For | For | |||
| 1h. | Election of Director: Barbara R. Smith | Management | For | For | |||
| 1i. | Election of Director: Robert S. Taubman | Management | For | For | |||
| 1j. | Election of Director: Reginald M. Turner, Jr. | Management | For | For | |||
| 1k. | Election of Director: Nina G. Vaca | Management | For | For | |||
| 1l. | Election of Director: Michael G. Van de Ven | Management | For | For | |||
| 2. | Ratification of the Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | Management | For | For | |||
| 3. | Approval of a Non-Binding, Advisory Proposal Approving Executive Compensation | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 774 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| THE PNC FINANCIAL SERVICES GROUP, INC. | ||||
| Security | 693475105 | Meeting Type | Annual | |
| Ticker Symbol | PNC | Meeting Date | 23-Apr-2019 | |
| ISIN | US6934751057 | Agenda | 934940164 - Management | |
| Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Joseph Alvarado | Management | For | For | |||
| 1b. | Election of Director: Charles E. Bunch | Management | For | For | |||
| 1c. | Election of Director: Debra A. Cafaro | Management | For | For | |||
| 1d. | Election of Director: Marjorie Rodgers Cheshire | Management | For | For | |||
| 1e. | Election of Director: William S. Demchak | Management | For | For | |||
| 1f. | Election of Director: Andrew T. Feldstein | Management | For | For | |||
| 1g. | Election of Director: Richard J. Harshman | Management | For | For | |||
| 1h. | Election of Director: Daniel R. Hesse | Management | For | For | |||
| 1i. | Election of Director: Richard B. Kelson | Management | For | For | |||
| 1j. | Election of Director: Linda R. Medler | Management | For | For | |||
| 1k. | Election of Director: Martin Pfinsgraff | Management | For | For | |||
| 1l. | Election of Director: Toni Townes-Whitley | Management | For | For | |||
| 1m. | Election of Director: Michael J. Ward | Management | For | For | |||
| 2. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 444 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| DOMINO'S PIZZA, INC. | ||||
| Security | 25754A201 | Meeting Type | Annual | |
| Ticker Symbol | DPZ | Meeting Date | 23-Apr-2019 | |
| ISIN | US25754A2015 | Agenda | 934940239 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| 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 accountants for the Company for the 2019 fiscal year. | Management | For | For | |||||
| 3. | Advisory vote to approve the compensation of the named executive officers of the Company. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 225 | 0 | 15-Mar-2019 | 24-Apr-2019 |
| ROLLINS, INC. | ||||
| Security | 775711104 | Meeting Type | Annual | |
| Ticker Symbol | ROL | Meeting Date | 23-Apr-2019 | |
| ISIN | US7757111049 | Agenda | 934963643 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Bill J. Dismuke | For | For | ||||||
| 2 | Thomas J. Lawley, M.D. | For | For | ||||||
| 3 | John F. Wilson | For | For | ||||||
| 2. | To ratify the appointment of Grant Thornton LLP as independent registered public accounting firm of the Company for the fiscal year ending December 31, 2019. | Management | For | For | |||||
| 3. | To amend the Certificate of Incorporation of the Company to increase the number of authorized shares of Capital Stock to 550,500,000 shares. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348560 | REALITY SHARES DIVCON DIVIDEND DEFENDER ETF | 348560 | BNY MELLON | 306 | 0 | 28-Mar-2019 | 24-Apr-2019 | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,215 | 0 | 28-Mar-2019 | 24-Apr-2019 |
| REGIONS FINANCIAL CORPORATION | ||||
| Security | 7591EP100 | Meeting Type | Annual | |
| Ticker Symbol | RF | Meeting Date | 24-Apr-2019 | |
| ISIN | US7591EP1005 | Agenda | 934940455 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| 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: Eric C. Fast | Management | For | For | |||
| 1e. | Election of Director: Zhanna Golodryga | Management | For | For | |||
| 1f. | Election of Director: John D. Johns | Management | For | For | |||
| 1g. | Election of Director: Ruth Ann Marshall | Management | For | For | |||
| 1h. | Election of Director: Charles D. McCrary | Management | For | For | |||
| 1i. | Election of Director: James T. Prokopanko | Management | For | For | |||
| 1j. | Election of Director: Lee J. Styslinger III | Management | For | For | |||
| 1k. | Election of Director: Jose S. Suquet | Management | For | For | |||
| 1l. | Election of Director: John M. Turner, Jr. | Management | For | For | |||
| 1m. | Election of Director: Timothy Vines | Management | For | For | |||
| 2. | Ratification of Appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||
| 3. | Advisory Vote on Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 3,949 | 0 | 12-Mar-2019 | 25-Apr-2019 |
| W.W. GRAINGER, INC. | ||||
| Security | 384802104 | Meeting Type | Annual | |
| Ticker Symbol | GWW | Meeting Date | 24-Apr-2019 | |
| ISIN | US3848021040 | Agenda | 934941798 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Rodney C. Adkins | For | For | ||||||
| 2 | Brian P. Anderson | For | For | ||||||
| 3 | V. Ann Hailey | For | For | ||||||
| 4 | Stuart L. Levenick | For | For | ||||||
| 5 | D.G. Macpherson | For | For | ||||||
| 6 | Neil S. Novich | For | For | ||||||
| 7 | Beatriz R. Perez | For | For | ||||||
| 8 | Michael J. Roberts | For | For | ||||||
| 9 | E. Scott Santi | For | For | ||||||
| 10 | James D. Slavik | For | For | ||||||
| 11 | Lucas E. Watson | For | For | ||||||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as independent auditor for the year ending December 31, 2019. | Management | For | For | |||||
| 3. | Say on Pay: Advisory proposal to approve compensation of the Company's Named Executive Officers. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 207 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| MARATHON PETROLEUM CORPORATION | ||||
| Security | 56585A102 | Meeting Type | Annual | |
| Ticker Symbol | MPC | Meeting Date | 24-Apr-2019 | |
| ISIN | US56585A1025 | Agenda | 934941976 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class II Director: Evan Bayh | Management | For | For | |||
| 1b. | Election of Class II Director: Charles E. Bunch | Management | For | For | |||
| 1c. | Election of Class II Director: Edward G. Galante | Management | For | For | |||
| 1d. | Election of Class II Director: Kim K.W. Rucker | Management | For | For | |||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the company's independent auditor for 2019. | Management | For | For | |||
| 3. | Approval, on an advisory basis, of the company's named executive officer compensation. | Management | For | For | |||
| 4. | Shareholder proposal seeking a shareholder right to action by written consent. | Shareholder | Against | For | |||
| 5. | Shareholder proposal seeking an independent chairman policy. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 916 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| T. ROWE PRICE GROUP, INC. | ||||
| Security | 74144T108 | Meeting Type | Annual | |
| Ticker Symbol | TROW | Meeting Date | 25-Apr-2019 | |
| ISIN | US74144T1088 | Agenda | 934937991 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mark S. Bartlett | Management | For | For | |||
| 1b. | Election of Director: Mary K. Bush | Management | For | For | |||
| 1c. | Election of Director: Dr. Freeman A. Hrabowski, III | Management | For | For | |||
| 1d. | Election of Director: Robert F. MacLellan | Management | For | For | |||
| 1e. | Election of Director: Olympia J. Snowe | Management | For | For | |||
| 1f. | Election of Director: William J. Stromberg | Management | For | For | |||
| 1g. | Election of Director: Richard R. Verma | Management | For | For | |||
| 1h. | Election of Director: Sandra S. Wijnberg | Management | For | For | |||
| 1i. | Election of Director: Alan D. Wilson | Management | For | For | |||
| 2. | To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 621 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| MSCI INC. | ||||
| Security | 55354G100 | Meeting Type | Annual | |
| Ticker Symbol | MSCI | Meeting Date | 25-Apr-2019 | |
| ISIN | US55354G1004 | Agenda | 934938640 - Management | |
| Record Date | 27-Feb-2019 | Holding Recon Date | 27-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Henry A. Fernandez | Management | For | For | |||
| 1b. | Election of Director: Robert G. Ashe | Management | For | For | |||
| 1c. | Election of Director: Benjamin F. duPont | Management | For | For | |||
| 1d. | Election of Director: Wayne Edmunds | Management | For | For | |||
| 1e. | Election of Director: Alice W. Handy | Management | For | For | |||
| 1f. | Election of Director: Catherine R. Kinney | Management | For | For | |||
| 1g. | Election of Director: Jacques P. Perold | Management | For | For | |||
| 1h. | Election of Director: Linda H. Riefler | Management | For | For | |||
| 1i. | Election of Director: George W. Siguler | Management | For | For | |||
| 1j. | Election of Director: Marcus L. Smith | Management | For | For | |||
| 2. | To approve, by non-binding vote, our executive compensation, as described in these proxy materials. | Management | For | For | |||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 391 | 0 | 16-Mar-2019 | 26-Apr-2019 |
| TEXAS INSTRUMENTS INCORPORATED | ||||
| Security | 882508104 | Meeting Type | Annual | |
| Ticker Symbol | TXN | Meeting Date | 25-Apr-2019 | |
| ISIN | US8825081040 | Agenda | 934940328 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. A. Blinn | Management | For | For | |||
| 1b. | Election of Director: T. M. Bluedorn | Management | For | For | |||
| 1c. | Election of Director: J. F. Clark | Management | For | For | |||
| 1d. | Election of Director: C. S. Cox | Management | For | For | |||
| 1e. | Election of Director: M. S. Craighead | Management | For | For | |||
| 1f. | Election of Director: J. M. Hobby | Management | For | For | |||
| 1g. | Election of Director: R. Kirk | Management | For | For | |||
| 1h. | Election of Director: P. H. Patsley | Management | For | For | |||
| 1i. | Election of Director: R. E. Sanchez | Management | For | For | |||
| 1j. | Election of Director: R. K. Templeton | Management | For | For | |||
| 2. | Board proposal regarding advisory approval of the Company's executive compensation. | Management | For | For | |||
| 3. | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 644 | 0 | 13-Mar-2019 | 26-Apr-2019 |
| SNAP-ON INCORPORATED | ||||
| Security | 833034101 | Meeting Type | Annual | |
| Ticker Symbol | SNA | Meeting Date | 25-Apr-2019 | |
| ISIN | US8330341012 | Agenda | 934944768 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: David C. Adams | Management | For | For | |||
| 1B. | Election of Director: Karen L. Daniel | Management | For | For | |||
| 1C. | Election of Director: Ruth Ann M. Gillis | Management | For | For | |||
| 1D. | Election of Director: James P. Holden | Management | For | For | |||
| 1E. | Election of Director: Nathan J. Jones | Management | For | For | |||
| 1F. | Election of Director: Henry W. Knueppel | Management | For | For | |||
| 1G. | Election of Director: W. Dudley Lehman | Management | For | For | |||
| 1H. | Election of Director: Nicholas T. Pinchuk | Management | For | For | |||
| 1I. | Election of Director: Gregg M. Sherrill | Management | For | For | |||
| 1J. | Election of Director: Donald J. Stebbins | Management | For | For | |||
| 2. | Proposal to ratify the appointment of Deloitte & Touche LLP as Snap-on Incorporated's independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 3. | Advisory vote to approve the compensation of Snap-on Incorporated's named executive officers, as disclosed in "Compensation Discussion and Analysis" and "Executive Compensation Information" in the Proxy Statement. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 374 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| TORCHMARK CORPORATION | ||||
| Security | 891027104 | Meeting Type | Annual | |
| Ticker Symbol | TMK | Meeting Date | 25-Apr-2019 | |
| ISIN | US8910271043 | Agenda | 934955759 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Charles E. Adair | Management | For | For | |||
| 1b. | Election of Director: Linda L. Addison | Management | For | For | |||
| 1c. | Election of Director: Marilyn A. Alexander | Management | For | For | |||
| 1d. | Election of Director: Cheryl D. Alston | Management | For | For | |||
| 1e. | Election of Director: Jane M. Buchan | Management | For | For | |||
| 1f. | Election of Director: Gary L. Coleman | Management | For | For | |||
| 1g. | Election of Director: Larry M. Hutchison | Management | For | For | |||
| 1h. | Election of Director: Robert W. Ingram | Management | For | For | |||
| 1i. | Election of Director: Steven P. Johnson | Management | For | For | |||
| 1j. | Election of Director: Darren M. Rebelez | Management | For | For | |||
| 1k. | Election of Director: Lamar C. Smith | Management | For | For | |||
| 1l. | Election of Director: Mary E. Thigpen | Management | For | For | |||
| 2. | Ratification of Auditors. | Management | For | For | |||
| 3. | Approval of 2018 Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 713 | 0 | 22-Mar-2019 | 26-Apr-2019 |
| THE BOEING COMPANY | ||||
| Security | 097023105 | Meeting Type | Annual | |
| Ticker Symbol | BA | Meeting Date | 29-Apr-2019 | |
| ISIN | US0970231058 | Agenda | 934941750 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 26-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Robert A. Bradway | Management | For | For | |||
| 1b. | Election of Director: David L. Calhoun | Management | For | For | |||
| 1c. | Election of Director: Arthur D. Collins Jr. | Management | For | For | |||
| 1d. | Election of Director: Edmund P. Giambastiani Jr. | Management | For | For | |||
| 1e. | Election of Director: Lynn J. Good | Management | For | For | |||
| 1f. | Election of Director: Nikki R. Haley | Management | For | For | |||
| 1g. | Election of Director: Lawrence W. Kellner | Management | For | For | |||
| 1h. | Election of Director: Caroline B. Kennedy | Management | For | For | |||
| 1i. | Election of Director: Edward M. Liddy | Management | For | For | |||
| 1j. | Election of Director: Dennis A. Muilenburg | Management | For | For | |||
| 1k. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1l. | Election of Director: Ronald A. Williams | Management | For | For | |||
| 1m. | Election of Director: Mike S. Zafirovski | Management | For | For | |||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | |||
| 3. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2019. | Management | For | For | |||
| 4. | Additional Report on Lobbying Activities. | Shareholder | Against | For | |||
| 5. | Impact of Share Repurchases on Performance Metrics. | Shareholder | Against | For | |||
| 6. | Independent Board Chairman. | Shareholder | Against | For | |||
| 7. | Remove Size Limit on Proxy Access Group. | Shareholder | Against | For | |||
| 8. | Mandatory Retention of Significant Stock by Executives | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 178 | 0 | 16-Mar-2019 | 30-Apr-2019 |
| CHURCH & DWIGHT CO., INC. | ||||
| Security | 171340102 | Meeting Type | Annual | |
| Ticker Symbol | CHD | Meeting Date | 02-May-2019 | |
| ISIN | US1713401024 | Agenda | 934949869 - Management | |
| Record Date | 05-Mar-2019 | Holding Recon Date | 05-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Bradley C. Irwin | Management | For | For | |||
| 1b. | Election of Director: Penry W. Price | Management | For | For | |||
| 1c. | Election of Director: Arthur B. Winkleblack | Management | For | For | |||
| 2. | Advisory vote to approve compensation of our named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 846 | 0 | 23-Mar-2019 | 03-May-2019 |
| ABBVIE INC. | ||||
| Security | 00287Y109 | Meeting Type | Annual | |
| Ticker Symbol | ABBV | Meeting Date | 03-May-2019 | |
| ISIN | US00287Y1091 | Agenda | 934949162 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | William H.L. Burnside | For | For | ||||||
| 2 | Brett J. Hart | For | For | ||||||
| 3 | Edward J. Rapp | For | For | ||||||
| 2. | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2019 | Management | For | For | |||||
| 3. | Say on Pay - An advisory vote on the approval of executive compensation | Management | For | For | |||||
| 4. | Approval of a management proposal regarding amendment of the certificate of incorporation for a simple majority vote | Management | For | For | |||||
| 5. | Stockholder Proposal - to Issue an Annual Report on Lobbying | Shareholder | Against | For | |||||
| 6. | Stockholder Proposal - to Issue a Compensation Committee Report on Drug Pricing | Shareholder | Against | For | |||||
| 7. | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 646 | 0 | 23-Mar-2019 | 06-May-2019 |
| ILLINOIS TOOL WORKS INC. | ||||
| Security | 452308109 | Meeting Type | Annual | |
| Ticker Symbol | ITW | Meeting Date | 03-May-2019 | |
| ISIN | US4523081093 | Agenda | 934949314 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Daniel J. Brutto | Management | For | For | |||
| 1b. | Election of Director: Susan Crown | Management | For | For | |||
| 1c. | Election of Director: James W. Griffith | Management | For | For | |||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | |||
| 1e. | Election of Director: Richard H. Lenny | Management | For | For | |||
| 1f. | Election of Director: E. Scott Santi | Management | For | For | |||
| 1g. | Election of Director: James A. Skinner | Management | For | For | |||
| 1h. | Election of Director: David B. Smith, Jr. | Management | For | For | |||
| 1i. | Election of Director: Pamela B. Strobel | Management | For | For | |||
| 1j. | Election of Director: Kevin M. Warren | Management | For | For | |||
| 1k. | Election of Director: Anre D. Williams | Management | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as ITW's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve compensation of ITW's named executive officers. | Management | For | For | |||
| 4. | A non-binding stockholder proposal, if presented at the meeting, to permit stockholders to act by written consent. | Shareholder | Against | For | |||
| 5. | A non-binding stockholder proposal, if presented at the meeting, to set Company-wide greenhouse gas emissions targets. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 448 | 0 | 23-Mar-2019 | 06-May-2019 |
| EXPEDITORS INT'L OF WASHINGTON, INC. | ||||
| Security | 302130109 | Meeting Type | Annual | |
| Ticker Symbol | EXPD | Meeting Date | 07-May-2019 | |
| ISIN | US3021301094 | Agenda | 934947574 - Management | |
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Robert R. Wright | Management | For | For | |||
| 1B. | Election of Director: Glenn M. Alger | Management | For | For | |||
| 1C. | Election of Director: Robert P. Carlile | Management | For | For | |||
| 1D. | Election of Director: James M. DuBois | Management | For | For | |||
| 1E. | Election of Director: Mark A. Emmert | Management | For | For | |||
| 1F. | Election of Director: Diane H. Gulyas | Management | For | For | |||
| 1G. | Election of Director: Richard B. McCune | Management | For | For | |||
| 1H. | Election of Director: Alain Monié | Management | For | For | |||
| 1I. | Election of Director: Jeffrey S. Musser | Management | For | For | |||
| 1J. | Election of Director: Liane J. Pelletier | Management | For | For | |||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |||
| 3. | Approve Amendment to Employee Stock Purchase Plan | Management | For | For | |||
| 4. | Ratification of Independent Registered Public Accounting Firm | Management | For | For | |||
| 5. | Shareholder Proposal: Political Disclosure Shareholder Resolution | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 819 | 0 | 28-Mar-2019 | 08-May-2019 |
| PHILLIPS 66 | ||||
| Security | 718546104 | Meeting Type | Annual | |
| Ticker Symbol | PSX | Meeting Date | 08-May-2019 | |
| ISIN | US7185461040 | Agenda | 934954012 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 07-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Greg C. Garland | Management | For | For | |||
| 1b. | Election of Director: Gary K. Adams | Management | For | For | |||
| 1c. | Election of Director: John E. Lowe | Management | For | For | |||
| 1d. | Election of Director: Denise L. Ramos | Management | For | For | |||
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2019. | Management | For | For | |||
| 3. | Advisory vote to approve our executive compensation. | Management | For | For | |||
| 4. | Advisory vote on the frequency of future shareholder advisory votes to approve executive compensation. | Management | 1 Year | For | |||
| 5. | Proposal Withdrawn | Shareholder | Against |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 661 | 0 | 30-Mar-2019 | 09-May-2019 |
| NUCOR CORPORATION | ||||
| Security | 670346105 | Meeting Type | Annual | |
| Ticker Symbol | NUE | Meeting Date | 09-May-2019 | |
| ISIN | US6703461052 | Agenda | 934959341 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Lloyd J. Austin III | For | For | ||||||
| 2 | Patrick J. Dempsey | For | For | ||||||
| 3 | John J. Ferriola | For | For | ||||||
| 4 | Victoria F. Haynes Ph.D | For | For | ||||||
| 5 | Christopher J. Kearney | For | For | ||||||
| 6 | Laurette T. Koellner | For | For | ||||||
| 7 | John H. Walker | For | For | ||||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Nucor's independent registered public accounting firm for the year ending December 31, 2019 | Management | For | For | |||||
| 3. | Approval, on an advisory basis, of Nucor's named executive officer compensation in 2018 | Management | For | For | |||||
| 4. | Stockholder proposal regarding lobbying report | Shareholder | Against | For | |||||
| 5. | Stockholder proposal regarding political spending report | Shareholder | Against | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 978 | 0 | 26-Mar-2019 | 10-May-2019 |
| TRACTOR SUPPLY COMPANY | ||||
| Security | 892356106 | Meeting Type | Annual | |
| Ticker Symbol | TSCO | Meeting Date | 09-May-2019 | |
| ISIN | US8923561067 | Agenda | 934962704 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Cynthia T. Jamison | For | For | ||||||
| 2 | Ricardo Cardenas | For | For | ||||||
| 3 | Denise L. Jackson | For | For | ||||||
| 4 | Thomas A. Kingsbury | For | For | ||||||
| 5 | Ramkumar Krishnan | For | For | ||||||
| 6 | George MacKenzie | For | For | ||||||
| 7 | Edna K. Morris | For | For | ||||||
| 8 | Mark J. Weikel | For | For | ||||||
| 9 | Gregory A. Sandfort | For | For | ||||||
| 2. | To ratify the re-appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 28, 2019 | Management | For | For | |||||
| 3. | Say on Pay - An advisory vote to approve executive compensation | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 638 | 0 | 27-Mar-2019 | 10-May-2019 |
| S&P GLOBAL INC. | ||||
| Security | 78409V104 | Meeting Type | Annual | |
| Ticker Symbol | SPGI | Meeting Date | 09-May-2019 | |
| ISIN | US78409V1044 | Agenda | 934964695 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Marco Alverà | Management | For | For | |||
| 1b. | Election of Director: William J. Amelio | Management | For | For | |||
| 1c. | Election of Director: William D. Green | Management | For | For | |||
| 1d. | Election of Director: Charles E. Haldeman, Jr. | Management | For | For | |||
| 1e. | Election of Director: Stephanie C. Hill | Management | For | For | |||
| 1f. | Election of Director: Rebecca Jacoby | Management | For | For | |||
| 1g. | Election of Director: Monique F. Leroux | Management | For | For | |||
| 1h. | Election of Director: Maria R. Morris | Management | For | For | |||
| 1i. | Election of Director: Douglas L. Peterson | Management | For | For | |||
| 1j. | Election of Director: Edward B. Rust, Jr. | Management | For | For | |||
| 1k. | Election of Director: Kurt L. Schmoke | Management | For | For | |||
| 1l. | Election of Director: Richard E. Thornburgh | Management | For | For | |||
| 2. | Vote to approve, on an advisory basis, the executive compensation program for the Company's named executive officers. | Management | For | For | |||
| 3. | Vote to approve the Company's 2019 Stock Incentive Plan. | Management | For | For | |||
| 4. | Vote to approve the Company's Director Deferred Stock Ownership Plan, as Amended and Restated. | Management | For | For | |||
| 5. | Vote to ratify the selection of Ernst & Young LLP as our independent Registered Public Accounting Firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 352 | 0 | 28-Mar-2019 | 10-May-2019 |
| IDEX CORPORATION | ||||
| Security | 45167R104 | Meeting Type | Annual | |
| Ticker Symbol | IEX | Meeting Date | 10-May-2019 | |
| ISIN | US45167R1041 | Agenda | 934956991 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | ERNEST J. MROZEK | For | For | ||||||
| 2 | L. L. SATTERTHWAITE | For | For | ||||||
| 3 | DAVID C. PARRY | For | For | ||||||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2019. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 428 | 0 | 23-Mar-2019 | 13-May-2019 |
| MARRIOTT INTERNATIONAL, INC. | ||||
| Security | 571903202 | Meeting Type | Annual | |
| Ticker Symbol | MAR | Meeting Date | 10-May-2019 | |
| ISIN | US5719032022 | Agenda | 934995260 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: J.W. Marriott, Jr. | Management | For | For | |||
| 1B. | Election of Director: Mary K. Bush | Management | For | For | |||
| 1C. | Election of Director: Bruce W. Duncan | Management | For | For | |||
| 1D. | Election of Director: Deborah M. Harrison | Management | For | For | |||
| 1E. | Election of Director: Frederick A. Henderson | Management | For | For | |||
| 1F. | Election of Director: Eric Hippeau | Management | For | For | |||
| 1G. | Election of Director: Lawrence W. Kellner | Management | For | For | |||
| 1H. | Election of Director: Debra L. Lee | Management | For | For | |||
| 1I. | Election of Director: Aylwin B. Lewis | Management | For | For | |||
| 1J. | Election of Director: Margaret M. McCarthy | Management | For | For | |||
| 1K. | Election of Director: George Muñoz | Management | For | For | |||
| 1L. | Election of Director: Steven S Reinemund | Management | For | For | |||
| 1M. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1N. | Election of Director: Arne M. Sorenson | Management | For | For | |||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2019 | Management | For | For | |||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | |||
| 4a. | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE SUPERMAJORITY VOTING STANDARD FOR THE REMOVAL OF DIRECTORS | Management | For | For | |||
| 4b. | 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 RESTATED CERTIFICATE OF INCORPORATION APPROVED BY OUR STOCKHOLDERS | Management | For | For | |||
| 4c. | 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 | For | For | |||
| 4d. | 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 | For | For | |||
| 4e. | 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 | For | For | |||
| 5. | STOCKHOLDER RESOLUTION RECOMMENDING THAT STOCKHOLDERS BE ALLOWED TO ACT BY WRITTEN CONSENT IF PROPERLY PRESENTED AT THE MEETING | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 521 | 0 | 16-Apr-2019 | 13-May-2019 |
| ZOETIS INC. | ||||
| Security | 98978V103 | Meeting Type | Annual | |
| Ticker Symbol | ZTS | Meeting Date | 15-May-2019 | |
| ISIN | US98978V1035 | Agenda | 934962110 - Management | |
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Juan Ramon Alaix | Management | For | For | |||
| 1.2 | Election of Director: Paul M. Bisaro | Management | For | For | |||
| 1.3 | Election of Director: Frank A. D'Amelio | Management | For | For | |||
| 1.4 | Election of Director: Michael B. McCallister | Management | For | For | |||
| 2. | Advisory vote to approve our executive compensation (Say on Pay) | Management | For | For | |||
| 3. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 662 | 0 | 03-Apr-2019 | 16-May-2019 |
| LEAR CORPORATION | ||||
| Security | 521865204 | Meeting Type | Annual | |
| Ticker Symbol | LEA | Meeting Date | 16-May-2019 | |
| ISIN | US5218652049 | Agenda | 934961966 - Management | |
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Thomas P. Capo | Management | For | For | |||
| 1b. | Election of Director: Mei-Wei Cheng | Management | For | For | |||
| 1c. | Election of Director: Jonathan F. Foster | Management | For | For | |||
| 1d. | Election of Director: Mary Lou Jepsen | Management | For | For | |||
| 1e. | Election of Director: Kathleen A. Ligocki | Management | For | For | |||
| 1f. | Election of Director: Conrad L. Mallett, Jr. | Management | For | For | |||
| 1g. | Election of Director: Raymond E. Scott | Management | For | For | |||
| 1h. | Election of Director: Gregory C. Smith | Management | For | For | |||
| 1i. | Election of Director: Henry D.G. Wallace | Management | For | For | |||
| 2. | Ratification of the retention of Ernst & Young LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve Lear Corporation's executive compensation. | Management | For | For | |||
| 4. | Vote to approve Lear Corporation's 2019 Long-Term Stock Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 449 | 0 | 30-Mar-2019 | 17-May-2019 |
| STEEL DYNAMICS, INC. | ||||
| Security | 858119100 | Meeting Type | Annual | |
| Ticker Symbol | STLD | Meeting Date | 16-May-2019 | |
| ISIN | US8581191009 | Agenda | 934964708 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Mark D. Millett | For | For | ||||||
| 2 | Sheree L. Bargabos | For | For | ||||||
| 3 | Keith E. Busse | For | For | ||||||
| 4 | Frank D. Byrne, M.D. | For | For | ||||||
| 5 | Kenneth W. Cornew | For | For | ||||||
| 6 | Traci M. Dolan | For | For | ||||||
| 7 | James C. Marcuccilli | For | For | ||||||
| 8 | Bradley S. Seaman | For | For | ||||||
| 9 | Gabriel L. Shaheen | For | For | ||||||
| 10 | Steven A. Sonnenberg | For | For | ||||||
| 11 | Richard P. Teets, Jr. | For | For | ||||||
| 2. | TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS STEEL DYNAMICS INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR 2019 | Management | For | For | |||||
| 3. | TO HOLD AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS | Management | For | For | |||||
| 4. | TO APPROVE THE AMENDED AND RESTATED STEEL DYNAMICS, INC. 2015 EQUITY INCENTIVE PLAN | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,831 | 0 | 28-Mar-2019 | 17-May-2019 |
| UNION PACIFIC CORPORATION | ||||
| Security | 907818108 | Meeting Type | Annual | |
| Ticker Symbol | UNP | Meeting Date | 16-May-2019 | |
| ISIN | US9078181081 | Agenda | 934970383 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Andrew H. Card Jr. | Management | For | For | |||
| 1b. | Election of Director: Erroll B. Davis Jr. | Management | For | For | |||
| 1c. | Election of Director: William J. DeLaney | Management | For | For | |||
| 1d. | Election of Director: David B. Dillon | Management | For | For | |||
| 1e. | Election of Director: Lance M. Fritz | Management | For | For | |||
| 1f. | Election of Director: Deborah C. Hopkins | Management | For | For | |||
| 1g. | Election of Director: Jane H. Lute | Management | For | For | |||
| 1h. | Election of Director: Michael R. McCarthy | Management | For | For | |||
| 1i. | Election of Director: Thomas F. McLarty III | Management | For | For | |||
| 1j. | Election of Director: Bhavesh V. Patel | Management | For | For | |||
| 1k. | Election of Director: Jose H. Villarreal | Management | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2019. | Management | For | For | |||
| 3. | An advisory vote to approve executive compensation ("Say on Pay"). | Management | For | For | |||
| 4. | Shareholder proposal regarding Independent Chairman if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 385 | 0 | 06-Apr-2019 | 17-May-2019 |
| CBOE GLOBAL MARKETS, INC. | ||||
| Security | 12503M108 | Meeting Type | Annual | |
| Ticker Symbol | CBOE | Meeting Date | 16-May-2019 | |
| ISIN | US12503M1080 | Agenda | 934976525 - Management | |
| Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Edward T. Tilly | Management | For | For | |||
| 1b. | Election of Director: Eugene S. Sunshine | Management | For | For | |||
| 1c. | Election of Director: Frank E. English, Jr. | Management | For | For | |||
| 1d. | Election of Director: William M. Farrow III | Management | For | For | |||
| 1e. | Election of Director: Edward J. Fitzpatrick | Management | For | For | |||
| 1f. | Election of Director: Janet P. Froetscher | Management | For | For | |||
| 1g. | Election of Director: Jill R. Goodman | Management | For | For | |||
| 1h. | Election of Director: Roderick A. Palmore | Management | For | For | |||
| 1i. | Election of Director: James E. Parisi | Management | For | For | |||
| 1j. | Election of Director: Joseph P. Ratterman | Management | For | For | |||
| 1k. | Election of Director: Michael L. Richter | Management | For | For | |||
| 1l. | Election of Director: Jill E. Sommers | Management | For | For | |||
| 1m. | Election of Director: Carole E. Stone | Management | For | For | |||
| 2. | Advisory proposal to approve the Company's executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of the independent registered public accounting firm. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 543 | 0 | 04-Apr-2019 | 17-May-2019 |
| WESTLAKE CHEMICAL CORPORATION | ||||
| Security | 960413102 | Meeting Type | Annual | |
| Ticker Symbol | WLK | Meeting Date | 17-May-2019 | |
| ISIN | US9604131022 | Agenda | 934959365 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 16-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Albert Chao | For | For | ||||||
| 2 | David Chao | For | For | ||||||
| 3 | Michael J. Graff | For | For | ||||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP to serve as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 820 | 0 | 06-Apr-2019 | 20-May-2019 |
| CDW CORP | ||||
| Security | 12514G108 | Meeting Type | Annual | |
| Ticker Symbol | CDW | Meeting Date | 21-May-2019 | |
| ISIN | US12514G1085 | Agenda | 934966043 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 20-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class III Director: Lynda M. Clarizio | Management | For | For | |||
| 1b. | Election of Class III Director: Christine A. Leahy | Management | For | For | |||
| 1c. | Election of Class III Director: Thomas E. Richards | Management | For | For | |||
| 1d. | Election of Class III Director: Joseph R. Swedish | Management | For | For | |||
| 2. | To approve, on an advisory basis, named executive officer compensation. | Management | For | For | |||
| 3. | To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 668 | 0 | 11-Apr-2019 | 22-May-2019 |
| ROSS STORES, INC. | ||||
| Security | 778296103 | Meeting Type | Annual | |
| Ticker Symbol | ROST | Meeting Date | 22-May-2019 | |
| ISIN | US7782961038 | Agenda | 934968794 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Michael Balmuth | Management | For | For | |||
| 1b. | Election of Director: K. Gunnar Bjorklund | Management | For | For | |||
| 1c. | Election of Director: Michael J. Bush | Management | For | For | |||
| 1d. | Election of Director: Norman A. Ferber | Management | For | For | |||
| 1e. | Election of Director: Sharon D. Garrett | Management | For | For | |||
| 1f. | Election of Director: Stephen D. Milligan | Management | For | For | |||
| 1g. | Election of Director: George P. Orban | Management | For | For | |||
| 1h. | Election of Director: Michael O'Sullivan | Management | For | For | |||
| 1i. | Election of Director: Gregory L. Quesnel | Management | For | For | |||
| 1j. | Election of Director: Barbara Rentler | Management | For | For | |||
| 2. | Advisory vote to approve the resolution on the compensation of the named executive officers. | Management | For | For | |||
| 3. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending February 1, 2020. | Management | For | For | |||
| 4. | To vote on a stockholder proposal on Greenhouse Gas Emissions Goals, if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 770 | 0 | 10-Apr-2019 | 23-May-2019 |
| NVIDIA CORPORATION | ||||
| Security | 67066G104 | Meeting Type | Annual | |
| Ticker Symbol | NVDA | Meeting Date | 22-May-2019 | |
| ISIN | US67066G1040 | Agenda | 934982807 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a | Election of Director: Robert K. Burgess | Management | For | For | |||
| 1b. | Election of Director: Tench Coxe | Management | For | For | |||
| 1c. | Election of Director: Persis S. Drell | Management | For | For | |||
| 1d. | Election of Director: James C. Gaither | Management | For | For | |||
| 1e. | Election of Director: Jen-Hsun Huang | Management | For | For | |||
| 1f. | Election of Director: Dawn Hudson | Management | For | For | |||
| 1g. | Election of Director: Harvey C. Jones | Management | For | For | |||
| 1h. | Election of Director: Michael G. McCaffery | Management | For | For | |||
| 1i. | Election of Director: Stephen C. Neal | Management | For | For | |||
| 1j. | Election of Director: Mark L. Perry | Management | For | For | |||
| 1k. | Election of Director: A. Brooke Seawell | Management | For | For | |||
| 1l. | Election of Director: Mark A. Stevens | Management | For | For | |||
| 2. | Approval of our executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | Management | For | For | |||
| 4. | Approval of an amendment and restatement of our Certificate of Incorporation to eliminate supermajority voting to remove a director without cause. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 411 | 0 | 13-Apr-2019 | 23-May-2019 |
| THE HOME DEPOT, INC. | ||||
| Security | 437076102 | Meeting Type | Annual | |
| Ticker Symbol | HD | Meeting Date | 23-May-2019 | |
| ISIN | US4370761029 | Agenda | 934976157 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Gerard J. Arpey | Management | For | For | |||
| 1b. | Election of Director: Ari Bousbib | Management | For | For | |||
| 1c. | Election of Director: Jeffery H. Boyd | Management | For | For | |||
| 1d. | Election of Director: Gregory D. Brenneman | Management | For | For | |||
| 1e. | Election of Director: J. Frank Brown | Management | For | For | |||
| 1f. | Election of Director: Albert P. Carey | Management | For | For | |||
| 1g. | Election of Director: Helena B. Foulkes | Management | For | For | |||
| 1h. | Election of Director: Linda R. Gooden | Management | For | For | |||
| 1i. | Election of Director: Wayne M. Hewett | Management | For | For | |||
| 1j. | Election of Director: Manuel Kadre | Management | For | For | |||
| 1k. | Election of Director: Stephanie C. Linnartz | Management | For | For | |||
| 1l. | Election of Director: Craig A. Menear | Management | For | For | |||
| 2. | Ratification of the Appointment of KPMG LLP | Management | For | For | |||
| 3. | Advisory Vote to Approve Executive Compensation ("Say-on-Pay") | Management | For | For | |||
| 4. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Against | For | |||
| 5. | Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares | Shareholder | Against | For | |||
| 6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 327 | 0 | 09-Apr-2019 | 24-May-2019 |
| LENNOX INTERNATIONAL INC. | ||||
| Security | 526107107 | Meeting Type | Annual | |
| Ticker Symbol | LII | Meeting Date | 23-May-2019 | |
| ISIN | US5261071071 | Agenda | 934985726 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Todd M. Bluedorn | For | For | ||||||
| 2 | Max H. Mitchell | For | For | ||||||
| 3 | Kim K.W. Rucker | For | For | ||||||
| 2. | Advisory vote to approve the compensation of the named executive officers as disclosed in our proxy statement. | Management | For | For | |||||
| 3. | To approve the Lennox International Inc. 2019 Equity and Incentive Compensation Plan. | Management | For | For | |||||
| 4. | Ratifying the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 269 | 0 | 13-Apr-2019 | 24-May-2019 |
| UNITEDHEALTH GROUP INCORPORATED | ||||
| Security | 91324P102 | Meeting Type | Annual | |
| Ticker Symbol | UNH | Meeting Date | 03-Jun-2019 | |
| ISIN | US91324P1021 | Agenda | 934998963 - Management | |
| Record Date | 09-Apr-2019 | Holding Recon Date | 09-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 31-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: William C. Ballard, Jr. | Management | For | For | |||
| 1b. | Election of Director: Richard T. Burke | Management | For | For | |||
| 1c. | Election of Director: Timothy P. Flynn | Management | For | For | |||
| 1d. | Election of Director: Stephen J. Hemsley | Management | For | For | |||
| 1e. | Election of Director: Michele J. Hooper | Management | For | For | |||
| 1f. | Election of Director: F. William McNabb III | Management | For | For | |||
| 1g. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | |||
| 1h. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | |||
| 1i. | Election of Director: Glenn M. Renwick | Management | For | For | |||
| 1j. | Election of Director: David S. Wichmann | Management | For | For | |||
| 1k. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | For | |||
| 2. | Advisory approval of the Company's executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2019. | Management | For | For | |||
| 4. | The shareholder proposal set forth in the proxy statement requesting an amendment to the proxy access bylaw, if properly presented at the 2019 Annual Meeting of Shareholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 216 | 0 | 20-Apr-2019 | 04-Jun-2019 |
| THE TJX COMPANIES, INC. | ||||
| Security | 872540109 | Meeting Type | Annual | |
| Ticker Symbol | TJX | Meeting Date | 04-Jun-2019 | |
| ISIN | US8725401090 | Agenda | 935015342 - Management | |
| Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 03-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Zein Abdalla | Management | For | For | |||
| 1B. | Election of Director: Alan M. Bennett | Management | For | For | |||
| 1C. | Election of Director: Rosemary T. Berkery | Management | For | For | |||
| 1D. | Election of Director: David T. Ching | Management | For | For | |||
| 1E. | Election of Director: Ernie Herrman | Management | For | For | |||
| 1F. | Election of Director: Michael F. Hines | Management | For | For | |||
| 1G. | Election of Director: Amy B. Lane | Management | For | For | |||
| 1H. | Election of Director: Carol Meyrowitz | Management | For | For | |||
| 1I. | Election of Director: Jackwyn L. Nemerov | Management | For | For | |||
| 1J. | Election of Director: John F. O'Brien | Management | For | For | |||
| 1K. | Election of Director: Willow B. Shire | Management | For | For | |||
| 2. | Ratification of appointment of PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2020 | Management | For | For | |||
| 3. | Advisory approval of TJX's executive compensation (the say-on-pay vote) | Management | For | For | |||
| 4. | Shareholder proposal for a report on compensation disparities based on race, gender, or ethnicity | Shareholder | Against | For | |||
| 5. | Shareholder proposal for a report on prison labor | Shareholder | Against | For | |||
| 6. | Shareholder proposal for a report on human rights risks | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 1,334 | 0 | 01-May-2019 | 05-Jun-2019 |
| MASTERCARD INCORPORATED | ||||
| Security | 57636Q104 | Meeting Type | Annual | |
| Ticker Symbol | MA | Meeting Date | 25-Jun-2019 | |
| ISIN | US57636Q1040 | Agenda | 935017233 - Management | |
| Record Date | 26-Apr-2019 | Holding Recon Date | 26-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: Richard Haythornthwaite | Management | For | For | |||
| 1b. | Election of director: Ajay Banga | Management | For | For | |||
| 1c. | Election of director: David R. Carlucci | Management | For | For | |||
| 1d. | Election of director: Richard K. Davis | Management | For | For | |||
| 1e. | Election of director: Steven J. Freiberg | Management | For | For | |||
| 1f. | Election of director: Julius Genachowski | Management | For | For | |||
| 1g. | Election of director: Choon Phong Goh | Management | For | For | |||
| 1h. | Election of director: Merit E. Janow | Management | For | For | |||
| 1i. | Election of director: Oki Matsumoto | Management | For | For | |||
| 1j. | Election of director: Youngme Moon | Management | For | For | |||
| 1k. | Election of director: Rima Qureshi | Management | For | For | |||
| 1l. | Election of director: José Octavio Reyes Lagunes | Management | For | For | |||
| 1m. | Election of director: Gabrielle Sulzberger | Management | For | For | |||
| 1n. | Election of director: Jackson Tai | Management | For | For | |||
| 1o. | Election of director: Lance Uggla | Management | For | For | |||
| 2. | Advisory approval of Mastercard's executive compensation | Management | For | For | |||
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2019 | Management | For | For | |||
| 4. | Consideration of a stockholder proposal on gender pay gap | Shareholder | Against | For | |||
| 5. | Consideration of a stockholder proposal on creation of a human rights committee | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000519894 | RS DIVCON DIV DFDR PLG BNP INTL | 000519894 | BNY MELLON | 305 | 0 | 02-May-2019 | 26-Jun-2019 |
Reality Shares Fundstrat DQM Long ETF
Form NP-X Summary (2018 - 2019)
| INTUIT INC. | ||||
| Security | 461202103 | Meeting Type | Annual | |
| Ticker Symbol | INTU | Meeting Date | 17-Jan-2019 | |
| ISIN | US4612021034 | Agenda | 934908471 - Management | |
| Record Date | 19-Nov-2018 | Holding Recon Date | 19-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 16-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Eve Burton | Management | For | For | |||
| 1b. | Election of Director: Scott D. Cook | Management | For | For | |||
| 1c. | Election of Director: Richard L. Dalzell | Management | For | For | |||
| 1d. | Election of Director: Sasan Goodarzi | Management | For | For | |||
| 1e. | Election of Director: Deborah Liu | Management | For | For | |||
| 1f. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1g. | Election of Director: Dennis D. Powell | Management | For | For | |||
| 1h. | Election of Director: Brad D. Smith | Management | For | For | |||
| 1i. | Election of Director: Thomas Szkutak | Management | For | For | |||
| 1j. | Election of Director: Raul Vazquez | Management | For | For | |||
| 1k. | Election of Director: Jeff Weiner | Management | For | For | |||
| 2. | Advisory vote to approve Intuit Inc.'s executive compensation (say-on-pay) | Management | For | For | |||
| 3. | Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending July 31, 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 150 | 0 | 29-Nov-2018 | 18-Jan-2019 |
| AIR PRODUCTS AND CHEMICALS, INC. | ||||
| Security | 009158106 | Meeting Type | Annual | |
| Ticker Symbol | APD | Meeting Date | 24-Jan-2019 | |
| ISIN | US0091581068 | Agenda | 934911137 - Management | |
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 23-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Susan K. Carter | Management | For | For | |||
| 1b. | Election of Director: Charles I. Cogut | Management | For | For | |||
| 1c. | Election of Director: Seifi Ghasemi | Management | For | For | |||
| 1d. | Election of Director: Chadwick C. Deaton | Management | For | For | |||
| 1e. | Election of Director: David H. Y. Ho | Management | For | For | |||
| 1f. | Election of Director: Margaret G. McGlynn | Management | For | For | |||
| 1g. | Election of Director: Edward L. Monser | Management | For | For | |||
| 1h. | Election of Director: Matthew H. Paull | Management | For | For | |||
| 2. | Advisory vote approving Executive Officer compensation. | Management | For | For | |||
| 3. | Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 189 | 0 | 13-Dec-2018 | 25-Jan-2019 |
| VISA INC. | ||||
| Security | 92826C839 | Meeting Type | Annual | |
| Ticker Symbol | V | Meeting Date | 29-Jan-2019 | |
| ISIN | US92826C8394 | Agenda | 934911074 - Management | |
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 28-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||
| 1b. | Election of Director: Mary B. Cranston | Management | For | For | |||
| 1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | |||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||
| 1e. | Election of Director: John F. Lundgren | Management | For | For | |||
| 1f. | Election of Director: Robert W. Matschullat | Management | For | For | |||
| 1g. | Election of Director: Denise M. Morrison | Management | For | For | |||
| 1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1i. | Election of Director: John A. C. Swainson | Management | For | For | |||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 224 | 0 | 19-Dec-2018 | 30-Jan-2019 |
| ACCENTURE PLC | ||||
| Security | G1151C101 | Meeting Type | Annual | |
| Ticker Symbol | ACN | Meeting Date | 01-Feb-2019 | |
| ISIN | IE00B4BNMY34 | Agenda | 934912634 - Management | |
| Record Date | 03-Dec-2018 | Holding Recon Date | 03-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 31-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Re-Appointment of Director: Jaime Ardila | Management | For | For | |||
| 1b. | Re-Appointment of Director: Herbert Hainer | Management | For | For | |||
| 1c. | Re-Appointment of Director: Marjorie Magner | Management | For | For | |||
| 1d. | Re-Appointment of Director: Nancy McKinstry | Management | For | For | |||
| 1e. | Re-Appointment of Director: Pierre Nanterme | Management | For | For | |||
| 1f. | Re-Appointment of Director: Gilles C. Pelisson | Management | For | For | |||
| 1g. | Re-Appointment of Director: Paula A. Price | Management | For | For | |||
| 1h. | Re-Appointment of Director: Venkata (Murthy) Renduchintala | Management | For | For | |||
| 1i. | Re-Appointment of Director: Arun Sarin | Management | For | For | |||
| 1j. | Re-Appointment of Director: Frank K. Tang | Management | For | For | |||
| 1k. | Re-Appointment of Director: Tracey T. Travis | Management | For | For | |||
| 2. | To approve, in a non-binding vote, the compensation of our named executive officers. | Management | For | For | |||
| 3. | To ratify, in a non-binding vote, the appointment of KPMG LLP ("KPMG") as independent auditors of Accenture and to authorize, in a binding vote, the Audit Committee of the Board of Directors to determine KPMG's remuneration. | Management | For | For | |||
| 4. | To grant the Board of Directors the authority to issue shares under Irish law. | Management | For | For | |||
| 5. | To grant the Board of Directors the authority to opt-out of pre-emption rights under Irish law. | Management | For | For | |||
| 6. | To determine the price range at which Accenture can re- allot shares that it acquires as treasury shares under Irish law. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 188 | 0 | 15-Dec-2018 | 04-Feb-2019 |
| EMERSON ELECTRIC CO. | ||||
| Security | 291011104 | Meeting Type | Annual | |
| Ticker Symbol | EMR | Meeting Date | 05-Feb-2019 | |
| ISIN | US2910111044 | Agenda | 934913030 - Management | |
| Record Date | 27-Nov-2018 | Holding Recon Date | 27-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 04-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 C. A. H. Boersig | For | For | |||||
| 2 J. B. Bolten | For | For | |||||
| 3 L. M. Lee | For | For | |||||
| 2. | Ratification of KPMG LLP as Independent Registered Public Accounting Firm. | Management | For | For | |||
| 3. | Approval, by non-binding advisory vote, of Emerson Electric Co. executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 425 | 0 | 15-Dec-2018 | 06-Feb-2019 |
| ROCKWELL AUTOMATION, INC. | ||||
| Security | 773903109 | Meeting Type | Annual | |
| Ticker Symbol | ROK | Meeting Date | 05-Feb-2019 | |
| ISIN | US7739031091 | Agenda | 934913749 - Management | |
| Record Date | 10-Dec-2018 | Holding Recon Date | 10-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 04-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| A. | DIRECTOR | Management | |||||
| 1 Blake D. Moret | For | For | |||||
| 2 Thomas W. Rosamilia | For | For | |||||
| 3 Patricia A. Watson | For | For | |||||
| B. | To approve the selection of Deloitte & Touche LLP as the Corporation's independent registered public accounting firm. | Management | For | For | |||
| C. | To approve, on an advisory basis, the compensation of the Corporation's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 177 | 0 | 21-Dec-2018 | 06-Feb-2019 |
| DEERE & COMPANY | ||||
| Security | 244199105 | Meeting Type | Annual | |
| Ticker Symbol | DE | Meeting Date | 27-Feb-2019 | |
| ISIN | US2441991054 | Agenda | 934919640 - Management | |
| Record Date | 31-Dec-2018 | Holding Recon Date | 31-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 26-Feb-2019 | |
| 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: Vance D. Coffman | Management | For | For | |||
| 1c. | Election of Director: Alan C. Heuberger | Management | For | For | |||
| 1d. | Election of Director: Charles O. Holliday, Jr. | Management | For | For | |||
| 1e. | Election of Director: Dipak C. Jain | Management | For | For | |||
| 1f. | Election of Director: Michael O. Johanns | Management | For | For | |||
| 1g. | Election of Director: Clayton M. Jones | Management | For | For | |||
| 1h. | Election of Director: Gregory R. Page | Management | For | For | |||
| 1i. | Election of Director: Sherry M. Smith | Management | For | For | |||
| 1j. | Election of Director: Dmitri L. Stockton | Management | For | For | |||
| 1k. | Election of Director: Sheila G. Talton | Management | For | For | |||
| 2. | Advisory vote on executive compensation | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as Deere's independent registered public accounting firm for fiscal 2019 | Management | For | For | |||
| 4. | Shareholder Proposal - Right to Act by Written Consent | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 215 | 0 | 12-Jan-2019 | 28-Feb-2019 |
| APPLE INC. | ||||
| Security | 037833100 | Meeting Type | Annual | |
| Ticker Symbol | AAPL | Meeting Date | 01-Mar-2019 | |
| ISIN | US0378331005 | Agenda | 934919359 - Management | |
| Record Date | 02-Jan-2019 | Holding Recon Date | 02-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: James Bell | Management | For | For | |||
| 1b. | Election of director: Tim Cook | Management | For | For | |||
| 1c. | Election of director: Al Gore | Management | For | For | |||
| 1d. | Election of director: Bob Iger | Management | For | For | |||
| 1e. | Election of director: Andrea Jung | Management | For | For | |||
| 1f. | Election of director: Art Levinson | Management | For | For | |||
| 1g. | Election of director: Ron Sugar | Management | For | For | |||
| 1h. | Election of director: Sue Wagner | Management | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation | Management | For | For | |||
| 4. | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | Shareholder | Against | For | |||
| 5. | A shareholder proposal entitled "True Diversity Board Policy" | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 168 | 0 | 10-Jan-2019 | 04-Mar-2019 |
| THE WALT DISNEY COMPANY | ||||
| Security | 254687106 | Meeting Type | Annual | |
| Ticker Symbol | DIS | Meeting Date | 07-Mar-2019 | |
| ISIN | US2546871060 | Agenda | 934921099 - Management | |
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Susan E. Arnold | Management | For | For | |||
| 1b. | Election of Director: Mary T. Barra | Management | For | For | |||
| 1c. | Election of Director: Safra A. Catz | Management | For | For | |||
| 1d. | Election of Director: Francis A. deSouza | Management | For | For | |||
| 1e. | Election of Director: Michael Froman | Management | For | For | |||
| 1f. | Election of Director: Robert A. Iger | Management | For | For | |||
| 1g. | Election of Director: Maria Elena Lagomasino | Management | For | For | |||
| 1h. | Election of Director: Mark G. Parker | Management | For | For | |||
| 1i. | Election of Director: Derica W. Rice | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2019. | Management | For | For | |||
| 3. | To approve the advisory resolution on executive compensation. | Management | For | For | |||
| 4. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | |||
| 5. | Shareholder proposal requesting a report on use of additional cyber security and data privacy metrics in determining compensation of senior executives. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 267 | 0 | 19-Jan-2019 | 08-Mar-2019 |
| ADOBE INC | ||||
| Security | 00724F101 | Meeting Type | Annual | |
| Ticker Symbol | ADBE | Meeting Date | 11-Apr-2019 | |
| ISIN | US00724F1012 | Agenda | 934931216 - Management | |
| Record Date | 13-Feb-2019 | Holding Recon Date | 13-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 10-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Amy Banse | Management | For | For | |||
| 1b. | Election of Director: Frank Calderoni | Management | For | For | |||
| 1c. | Election of Director: James Daley | Management | For | For | |||
| 1d. | Election of Director: Laura Desmond | Management | For | For | |||
| 1e. | Election of Director: Charles Geschke | Management | For | For | |||
| 1f. | Election of Director: Shantanu Narayen | Management | For | For | |||
| 1g. | Election of Director: Kathleen Oberg | Management | For | For | |||
| 1h. | Election of Director: Dheeraj Pandey | Management | For | For | |||
| 1i. | Election of Director: David Ricks | Management | For | For | |||
| 1j. | Election of Director: Daniel Rosensweig | Management | For | For | |||
| 1k. | Election of Director: John Warnock | Management | For | For | |||
| 2. | Approve the 2019 Equity Incentive Plan to replace our 2003 Equity Incentive Plan. | Management | For | For | |||
| 3. | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on November 29, 2019. | Management | For | For | |||
| 4. | Approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | |||
| 5. | Consider and vote upon one stockholder proposal. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 136 | 0 | 02-Mar-2019 | 12-Apr-2019 |
| BRISTOL-MYERS SQUIBB COMPANY | ||||
| Security | 110122108 | Meeting Type | Contested-Special | |
| Ticker Symbol | BMY | Meeting Date | 12-Apr-2019 | |
| ISIN | US1101221083 | Agenda | 934932751 - Management | |
| Record Date | 08-Feb-2019 | Holding Recon Date | 08-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Stock Issuance Proposal: To approve the issuance of shares of Bristol-Myers Squibb Company common stock to stockholders of Celgene Corporation in the merger between Celgene Corporation and Burgundy Merger Sub, Inc., a wholly-owned subsidiary of Bristol-Myers Squibb Company, pursuant to the terms and conditions of the Agreement and Plan of Merger, dated as of January 2, 2019, as it may be amended from time to time, among Bristol-Myers Squibb Company, Burgundy Merger Sub, Inc. and Celgene Corporation. | Management | For | For | |||
| 2. | Adjournment Proposal: To approve the adjournment from time to time of the special meeting of the stockholders of Bristol- Myers Squibb Company if necessary to solicit additional proxies if there are not sufficient votes at the time of the special meeting, or any adjournment or postponement thereof, to approve the Stock Issuance Proposal. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 558 | 0 | 26-Feb-2019 | 15-Apr-2019 |
| BRISTOL-MYERS SQUIBB COMPANY | ||||
| Security | 110122108 | Meeting Type | Contested-Special | |
| Ticker Symbol | BMY | Meeting Date | 12-Apr-2019 | |
| ISIN | US1101221083 | Agenda | 934939654 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Stock Issuance Proposal: To approve the issuance of shares of Bristol-Myers Squibb Company common stock to stockholders of Celgene Corporation in the merger between Celgene Corporation and Burgundy Merger Sub, Inc., a wholly-owned subsidiary of Bristol-Myers Squibb Company, pursuant to the terms and conditions of the Agreement and Plan of Merger, dated as of January 2, 2019, as it may be amended from time to time, among Bristol-Myers Squibb Company, Burgundy Merger Sub, Inc. and Celgene Corporation. | Management | For | For | |||
| 2. | Adjournment Proposal: To approve the adjournment from time to time of the special meeting of the stockholders of Bristol- Myers Squibb Company if necessary to solicit additional proxies if there are not sufficient votes at the time of the special meeting, or any adjournment or postponement thereof, to approve the Stock Issuance Proposal. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 497 | 0 | 08-Mar-2019 | 15-Apr-2019 |
| BRISTOL-MYERS SQUIBB COMPANY | ||||
| Security | 110122108 | Meeting Type | Contested-Special | |
| Ticker Symbol | BMY | Meeting Date | 12-Apr-2019 | |
| ISIN | US1101221083 | Agenda | 934939654 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Stock Issuance Proposal: To approve the issuance of shares of Bristol-Myers Squibb Company common stock to stockholders of Celgene Corporation in the merger between Celgene Corporation and Burgundy Merger Sub, Inc., a wholly-owned subsidiary of Bristol-Myers Squibb Company, pursuant to the terms and conditions of the Agreement and Plan of Merger, dated as of January 2, 2019, as it may be amended from time to time, among Bristol-Myers Squibb Company, Burgundy Merger Sub, Inc. and Celgene Corporation. | Management | |||||
| 2. | Adjournment Proposal: To approve the adjournment from time to time of the special meeting of the stockholders of Bristol- Myers Squibb Company if necessary to solicit additional proxies if there are not sufficient votes at the time of the special meeting, or any adjournment or postponement thereof, to approve the Stock Issuance Proposal. | Management |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 497 | 0 |
| BRISTOL-MYERS SQUIBB COMPANY | ||||
| Security | 110122108 | Meeting Type | Contested-Special | |
| Ticker Symbol | BMY | Meeting Date | 12-Apr-2019 | |
| ISIN | US1101221083 | Agenda | 934942726 - Opposition | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Company's proposal to approve the issuance of shares of the Company's common stock pursuant to the Agreement and Plan of Merger, dated as of January 2, 2019, as it may be amended from time to time, among the Company, Burgundy Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of the Company, and Celgene corporation, a Delaware corporation (the "Stock Issuance Proposal"). | Management | |||||
| 2. | The Company's proposal to approve an adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting to approve the Stock Issuance proposal. | Management |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 497 | 0 |
| U.S. BANCORP | ||||
| Security | 902973304 | Meeting Type | Annual | |
| Ticker Symbol | USB | Meeting Date | 16-Apr-2019 | |
| ISIN | US9029733048 | Agenda | 934932131 - Management | |
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Warner L. Baxter | Management | For | For | |||
| 1b. | Election of Director: Dorothy J. Bridges | Management | For | For | |||
| 1c. | Election of Director: Elizabeth L. Buse | Management | For | For | |||
| 1d. | Election of Director: Marc N. Casper | Management | For | For | |||
| 1e. | Election of Director: Andrew Cecere | Management | For | For | |||
| 1f. | Election of Director: Arthur D. Collins, Jr. | Management | For | For | |||
| 1g. | Election of Director: Kimberly J. Harris | Management | For | For | |||
| 1h. | Election of Director: Roland A. Hernandez | Management | For | For | |||
| 1i. | Election of Director: Doreen Woo Ho | Management | For | For | |||
| 1j. | Election of Director: Olivia F. Kirtley | Management | For | For | |||
| 1k. | Election of Director: Karen S. Lynch | Management | For | For | |||
| 1l. | Election of Director: Richard P. McKenney | Management | For | For | |||
| 1m. | Election of Director: Yusuf I. Mehdi | Management | For | For | |||
| 1n. | Election of Director: David B. O'Maley | Management | For | For | |||
| 1o. | Election of Director: O'dell M. Owens, M.D., M.P.H. | Management | For | For | |||
| 1p. | Election of Director: Craig D. Schnuck | Management | For | For | |||
| 1q. | Election of Director: Scott W. Wine | Management | For | For | |||
| 2. | The ratification of the selection of Ernst & Young LLP as our independent auditor for the 2019 fiscal year. | Management | For | For | |||
| 3. | An advisory vote to approve the compensation of our executives disclosed in the proxy statement. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 552 | 0 | 06-Mar-2019 | 17-Apr-2019 |
| CARNIVAL CORPORATION | ||||
| Security | 143658300 | Meeting Type | Annual | |
| Ticker Symbol | CCL | Meeting Date | 16-Apr-2019 | |
| ISIN | PA1436583006 | Agenda | 934932321 - Management | |
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To re-elect Micky Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 2. | To re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 3. | To re-elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 4. | To re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 5. | To re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 6. | To re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 7. | To re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 8. | To elect Katie Lahey as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 9. | To re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 10. | To re-elect Stuart Subotnick as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 11. | To re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 12. | To re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Management | For | For | |||
| 13. | To hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Management | For | For | |||
| 14. | To approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Management | For | For | |||
| 15. | To re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors of Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered public accounting firm of Carnival Corporation. | Management | For | For | |||
| 16. | To authorize the Audit Committee of Carnival plc to determine the remuneration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). | Management | For | For | |||
| 17. | To receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2018 (in accordance with legal requirements applicable to UK companies). | Management | For | For | |||
| 18. | To approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | |||
| 19. | To approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Management | For | For | |||
| 20. | To approve a general authority for Carnival plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 499 | 0 | 08-Mar-2019 | 17-Apr-2019 |
| M&T BANK CORPORATION | ||||
| Security | 55261F104 | Meeting Type | Annual | |
| Ticker Symbol | MTB | Meeting Date | 16-Apr-2019 | |
| ISIN | US55261F1049 | Agenda | 934942170 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Brent D. Baird | For | For | |||||
| 2 C. Angela Bontempo | For | For | |||||
| 3 Robert T. Brady | For | For | |||||
| 4 T.J. Cunningham III | For | For | |||||
| 5 Gary N. Geisel | For | For | |||||
| 6 Richard S. Gold | For | For | |||||
| 7 Richard A. Grossi | For | For | |||||
| 8 John D. Hawke, Jr. | For | For | |||||
| 9 René F. Jones | For | For | |||||
| 10 Richard H. Ledgett, Jr. | For | For | |||||
| 11 Newton P.S. Merrill | For | For | |||||
| 12 Kevin J. Pearson | For | For | |||||
| 13 Melinda R. Rich | For | For | |||||
| 14 Robert E. Sadler, Jr. | For | For | |||||
| 15 Denis J. Salamone | For | For | |||||
| 16 John R. Scannell | For | For | |||||
| 17 David S. Scharfstein | For | For | |||||
| 18 Herbert L. Washington | For | For | |||||
| 2. | TO APPROVE THE M&T BANK CORPORATION 2019 EQUITY INCENTIVE COMPENSATION PLAN. | Management | For | For | |||
| 3. | TO APPROVE THE COMPENSATION OF M&T BANK CORPORATION'S NAMED EXECUTIVE OFFICERS. | Management | For | For | |||
| 4. | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF M&T BANK CORPORATION FOR THE YEAR ENDING DECEMBER 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 145 | 0 | 12-Mar-2019 | 17-Apr-2019 |
| CELANESE CORPORATION | ||||
| Security | 150870103 | Meeting Type | Annual | |
| Ticker Symbol | CE | Meeting Date | 18-Apr-2019 | |
| ISIN | US1508701034 | Agenda | 934935911 - Management | |
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 17-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jean S. Blackwell | Management | For | For | |||
| 1b. | Election of Director: William M. Brown | Management | For | For | |||
| 1c. | Election of Director: Edward G. Galante | Management | For | For | |||
| 1d. | Election of Director: Kathryn M. Hill | Management | For | For | |||
| 1e. | Election of Director: David F. Hoffmeister | Management | For | For | |||
| 1f. | Election of Director: Dr. Jay V. Ihlenfeld | Management | For | For | |||
| 1g. | Election of Director: Mark C. Rohr | Management | For | For | |||
| 1h. | Election of Director: Kim K.W. Rucker | Management | For | For | |||
| 1i. | Election of Director: John K. Wulff | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 4. | Approval of the amendment of our Certificate of Incorporation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 298 | 0 | 09-Mar-2019 | 19-Apr-2019 |
| AMERICAN ELECTRIC POWER COMPANY, INC. | ||||
| Security | 025537101 | Meeting Type | Annual | |
| Ticker Symbol | AEP | Meeting Date | 23-Apr-2019 | |
| ISIN | US0255371017 | Agenda | 934934440 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Nicholas K. Akins | Management | For | For | |||
| 1b. | Election of Director: David J. Anderson | Management | For | For | |||
| 1c. | Election of Director: J. Barnie Beasley, Jr. | Management | For | For | |||
| 1d. | Election of Director: Ralph D. Crosby, Jr. | Management | For | For | |||
| 1e. | Election of Director: Linda A. Goodspeed | Management | For | For | |||
| 1f. | Election of Director: Thomas E. Hoaglin | Management | For | For | |||
| 1g. | Election of Director: Sandra Beach Lin | Management | For | For | |||
| 1h. | Election of Director: Margaret M. McCarthy | Management | For | For | |||
| 1i. | Election of Director: Richard C. Notebaert | Management | For | For | |||
| 1j. | Election of Director: Lionel L. Nowell III | Management | For | For | |||
| 1k. | Election of Director: Stephen S. Rasmussen | Management | For | For | |||
| 1l. | Election of Director: Oliver G. Richard III | Management | For | For | |||
| 1m. | Election of Director: Sara Martinez Tucker | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | Amendment to the Restated certificate of Incorporation to eliminate preemptive Rights. | Management | For | For | |||
| 4. | Advisory approval of the Company's executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 308 | 0 | 14-Mar-2019 | 24-Apr-2019 |
| NORTHERN TRUST CORPORATION | ||||
| Security | 665859104 | Meeting Type | Annual | |
| Ticker Symbol | NTRS | Meeting Date | 23-Apr-2019 | |
| ISIN | US6658591044 | Agenda | 934937864 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Linda Walker Bynoe | Management | For | For | |||
| 1b. | Election of Director: Susan Crown | Management | For | For | |||
| 1c. | Election of Director: Dean M. Harrison | Management | For | For | |||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | |||
| 1e. | Election of Director: Marcy S. Klevorn | Management | For | For | |||
| 1f. | Election of Director: Siddharth N. (Bobby) Mehta | Management | For | For | |||
| 1g. | Election of Director: Michael G. O'Grady | Management | For | For | |||
| 1h. | Election of Director: Jose Luis Prado | Management | For | For | |||
| 1i. | Election of Director: Thomas E. Richards | Management | For | For | |||
| 1j. | Election of Director: Martin P. Slark | Management | For | For | |||
| 1k. | Election of Director: David H. B. Smith, Jr. | Management | For | For | |||
| 1l. | Election of Director: Donald Thompson | Management | For | For | |||
| 1m. | Election of Director: Charles A. Tribbett III | Management | For | For | |||
| 2. | Approval, by an advisory vote, of the 2018 compensation of the Corporation's named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 4. | Stockholder proposal regarding additional disclosure of political contributions. | Shareholder | Against | For | |||
| 5. | Stockholder proposal regarding the right of the Corporation's stockholders to call a special meeting of the stockholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 250 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| THE PNC FINANCIAL SERVICES GROUP, INC. | ||||
| Security | 693475105 | Meeting Type | Annual | |
| Ticker Symbol | PNC | Meeting Date | 23-Apr-2019 | |
| ISIN | US6934751057 | Agenda | 934940164 - Management | |
| Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Joseph Alvarado | Management | For | For | |||
| 1b. | Election of Director: Charles E. Bunch | Management | For | For | |||
| 1c. | Election of Director: Debra A. Cafaro | Management | For | For | |||
| 1d. | Election of Director: Marjorie Rodgers Cheshire | Management | For | For | |||
| 1e. | Election of Director: William S. Demchak | Management | For | For | |||
| 1f. | Election of Director: Andrew T. Feldstein | Management | For | For | |||
| 1g. | Election of Director: Richard J. Harshman | Management | For | For | |||
| 1h. | Election of Director: Daniel R. Hesse | Management | For | For | |||
| 1i. | Election of Director: Richard B. Kelson | Management | For | For | |||
| 1j. | Election of Director: Linda R. Medler | Management | For | For | |||
| 1k. | Election of Director: Martin Pfinsgraff | Management | For | For | |||
| 1l. | Election of Director: Toni Townes-Whitley | Management | For | For | |||
| 1m. | Election of Director: Michael J. Ward | Management | For | For | |||
| 2. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 224 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| WELLS FARGO & COMPANY | ||||
| Security | 949746101 | Meeting Type | Annual | |
| Ticker Symbol | WFC | Meeting Date | 23-Apr-2019 | |
| ISIN | US9497461015 | Agenda | 934941584 - Management | |
| Record Date | 26-Feb-2019 | Holding Recon Date | 26-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: John D. Baker II | Management | For | For | |||
| 1b. | Election of Director: Celeste A. Clark | Management | For | For | |||
| 1c. | Election of Director: Theodore F. Craver, Jr. | Management | For | For | |||
| 1d. | Election of Director: Elizabeth A. Duke | Management | For | For | |||
| 1e. | Election of Director: Wayne M. Hewett | Management | For | For | |||
| 1f. | Election of Director: Donald M. James | Management | For | For | |||
| 1g. | Election of Director: Maria R. Morris | Management | For | For | |||
| 1h. | Election of Director: Juan A. Pujadas | Management | For | For | |||
| 1i. | Election of Director: James H. Quigley | Management | For | For | |||
| 1j. | Election of Director: Ronald L. Sargent | Management | For | For | |||
| 1k. | Election of Director: C. Allen Parker | Management | For | For | |||
| 1l. | Election of Director: Suzanne M. Vautrinot | Management | For | For | |||
| 2. | Advisory resolution to approve executive compensation. | Management | For | For | |||
| 3. | Approve the Company's Amended and Restated Long-Term Incentive Compensation Plan. | Management | For | For | |||
| 4. | Ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For | |||
| 5. | Shareholder Proposal - Report on Incentive-Based Compensation and Risks of Material Losses. | Shareholder | Against | For | |||
| 6. | Shareholder Proposal - Report on Global Median Gender Pay Gap. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 455 | 0 | 14-Mar-2019 | 24-Apr-2019 |
| AMERIPRISE FINANCIAL, INC. | ||||
| Security | 03076C106 | Meeting Type | Annual | |
| Ticker Symbol | AMP | Meeting Date | 24-Apr-2019 | |
| ISIN | US03076C1062 | Agenda | 934943069 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: James M. Cracchiolo | Management | For | For | |||
| 1b. | Election of Director: Dianne Neal Blixt | Management | For | For | |||
| 1c. | Election of Director: Amy DiGeso | Management | For | For | |||
| 1d. | Election of Director: Lon R. Greenberg | Management | For | For | |||
| 1e. | Election of Director: Jeffrey Noddle | Management | For | For | |||
| 1f. | Election of Director: Robert F. Sharpe, Jr. | Management | For | For | |||
| 1g. | Election of Director: W. Edward Walter III | Management | For | For | |||
| 1h. | Election of Director: Christopher J. Williams | Management | For | For | |||
| 2. | To approve the compensation of the named executive officers by a nonbinding advisory vote. | Management | For | For | |||
| 3. | To ratify the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 192 | 0 | 16-Mar-2019 | 25-Apr-2019 |
| JOHNSON & JOHNSON | ||||
| Security | 478160104 | Meeting Type | Annual | |
| Ticker Symbol | JNJ | Meeting Date | 25-Apr-2019 | |
| ISIN | US4781601046 | Agenda | 934938638 - Management | |
| Record Date | 26-Feb-2019 | Holding Recon Date | 26-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mary C. Beckerle | Management | For | For | |||
| 1b. | Election of Director: D. Scott Davis | Management | For | For | |||
| 1c. | Election of Director: Ian E. L. Davis | Management | For | For | |||
| 1d. | Election of Director: Jennifer A. Doudna | Management | For | For | |||
| 1e. | Election of Director: Alex Gorsky | Management | For | For | |||
| 1f. | Election of Director: Marillyn A. Hewson | Management | For | For | |||
| 1g. | Election of Director: Mark B. McClellan | Management | For | For | |||
| 1h. | Election of Director: Anne M. Mulcahy | Management | For | For | |||
| 1i. | Election of Director: William D. Perez | Management | For | For | |||
| 1j. | Election of Director: Charles Prince | Management | For | For | |||
| 1k. | Election of Director: A. Eugene Washington | Management | For | For | |||
| 1l. | Election of Director: Ronald A. Williams | Management | For | For | |||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | |||
| 3. | Ratification of Appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||
| 4. | Shareholder Proposal - Clawback Disclosure | Shareholder | Against | For | |||
| 5. | Shareholder Proposal - Executive Compensation and Drug Pricing Risks. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 164 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| EDISON INTERNATIONAL | ||||
| Security | 281020107 | Meeting Type | Annual | |
| Ticker Symbol | EIX | Meeting Date | 25-Apr-2019 | |
| ISIN | US2810201077 | Agenda | 934940176 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jeanne Beliveau-Dunn | Management | For | For | |||
| 1b. | Election of Director: Michael C. Camunez | Management | For | For | |||
| 1c. | Election of Director: Vanessa C.L. Chang | Management | For | For | |||
| 1d. | Election of Director: James T. Morris | Management | For | For | |||
| 1e. | Election of Director: Timothy T. O'Toole | Management | For | For | |||
| 1f. | Election of Director: Pedro J. Pizarro | Management | For | For | |||
| 1g. | Election of Director: Linda G. Stuntz | Management | For | For | |||
| 1h. | Election of Director: William P. Sullivan | Management | For | For | |||
| 1i. | Election of Director: Ellen O. Tauscher | Management | For | For | |||
| 1j. | Election of Director: Peter J. Taylor | Management | For | For | |||
| 1k. | Election of Director: Keith Trent | Management | For | For | |||
| 1l. | Election of Director: Brett White | Management | For | For | |||
| 2. | Ratification of the Appointment of the Independent Registered Public Accounting Firm. | Management | For | For | |||
| 3. | Advisory Vote to Approve the Company's Executive Compensation. | Management | For | For | |||
| 4. | Shareholder Proposal Regarding Proxy Access. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 407 | 0 | 16-Mar-2019 | 26-Apr-2019 |
| TEXAS INSTRUMENTS INCORPORATED | ||||
| Security | 882508104 | Meeting Type | Annual | |
| Ticker Symbol | TXN | Meeting Date | 25-Apr-2019 | |
| ISIN | US8825081040 | Agenda | 934940328 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. A. Blinn | Management | For | For | |||
| 1b. | Election of Director: T. M. Bluedorn | Management | For | For | |||
| 1c. | Election of Director: J. F. Clark | Management | For | For | |||
| 1d. | Election of Director: C. S. Cox | Management | For | For | |||
| 1e. | Election of Director: M. S. Craighead | Management | For | For | |||
| 1f. | Election of Director: J. M. Hobby | Management | For | For | |||
| 1g. | Election of Director: R. Kirk | Management | For | For | |||
| 1h. | Election of Director: P. H. Patsley | Management | For | For | |||
| 1i. | Election of Director: R. E. Sanchez | Management | For | For | |||
| 1j. | Election of Director: R. K. Templeton | Management | For | For | |||
| 2. | Board proposal regarding advisory approval of the Company's executive compensation. | Management | For | For | |||
| 3. | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 247 | 0 | 13-Mar-2019 | 26-Apr-2019 |
| LOCKHEED MARTIN CORPORATION | ||||
| Security | 539830109 | Meeting Type | Annual | |
| Ticker Symbol | LMT | Meeting Date | 25-Apr-2019 | |
| ISIN | US5398301094 | Agenda | 934951864 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| 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: James O. Ellis, Jr. | Management | For | For | |||
| 1e. | Election of Director: Thomas J. Falk | Management | For | For | |||
| 1f. | Election of Director: Ilene S. Gordon | Management | For | For | |||
| 1g. | Election of Director: Marillyn A. Hewson | 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: James D. Taiclet, Jr. | Management | For | For | |||
| 2. | Ratification of Appointment of Ernst & Young LLP as Independent Auditors for 2019 | 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 Amend the Proxy Access Bylaw | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 81 | 0 | 20-Mar-2019 | 26-Apr-2019 |
| ABBOTT LABORATORIES | ||||
| Security | 002824100 | Meeting Type | Annual | |
| Ticker Symbol | ABT | Meeting Date | 26-Apr-2019 | |
| ISIN | US0028241000 | Agenda | 934941736 - Management | |
| Record Date | 27-Feb-2019 | Holding Recon Date | 27-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 25-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 R.J. Alpern | For | For | |||||
| 2 R.S. Austin | For | For | |||||
| 3 S.E. Blount | For | For | |||||
| 4 M.A. Kumbier | For | For | |||||
| 5 E.M. Liddy | For | For | |||||
| 6 N. McKinstry | For | For | |||||
| 7 P.N. Novakovic | For | For | |||||
| 8 W.A. Osborn | For | For | |||||
| 9 S.C. Scott III | For | For | |||||
| 10 D.J. Starks | For | For | |||||
| 11 J.G. Stratton | For | For | |||||
| 12 G.F. Tilton | For | For | |||||
| 13 M.D. White | For | For | |||||
| 2. | Ratification of Ernst & Young LLP as Auditors | Management | For | For | |||
| 3. | Say on Pay - An Advisory Vote to Approve Executive Compensation | Management | For | For | |||
| 4. | Shareholder Proposal - Independent Board Chairman | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 338 | 0 | 16-Mar-2019 | 29-Apr-2019 |
| HONEYWELL INTERNATIONAL INC. | ||||
| Security | 438516106 | Meeting Type | Annual | |
| Ticker Symbol | HON | Meeting Date | 29-Apr-2019 | |
| ISIN | US4385161066 | Agenda | 934941647 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 26-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Darius Adamczyk | Management | For | For | |||
| 1B. | Election of Director: Duncan B. Angove | Management | For | For | |||
| 1C. | Election of Director: William S. Ayer | Management | For | For | |||
| 1D. | Election of Director: Kevin Burke | Management | For | For | |||
| 1E. | Election of Director: Jaime Chico Pardo | Management | For | For | |||
| 1F. | Election of Director: D. Scott Davis | Management | For | For | |||
| 1G. | Election of Director: Linnet F. Deily | Management | For | For | |||
| 1H. | Election of Director: Judd Gregg | Management | For | For | |||
| 1I. | Election of Director: Clive Hollick | Management | For | For | |||
| 1J. | Election of Director: Grace D. Lieblein | Management | For | For | |||
| 1K. | Election of Director: George Paz | Management | For | For | |||
| 1L. | Election of Director: Robin L. Washington | Management | For | For | |||
| 2. | Advisory Vote to Approve Executive Compensation. | Management | For | For | |||
| 3. | Approval of Independent Accountants. | Management | For | For | |||
| 4. | Right To Act By Written Consent. | Shareholder | Against | For | |||
| 5. | Report on Lobbying Payments and Policy. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 165 | 0 | 15-Mar-2019 | 30-Apr-2019 |
| THE BOEING COMPANY | ||||
| Security | 097023105 | Meeting Type | Annual | |
| Ticker Symbol | BA | Meeting Date | 29-Apr-2019 | |
| ISIN | US0970231058 | Agenda | 934941750 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 26-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Robert A. Bradway | Management | For | For | |||
| 1b. | Election of Director: David L. Calhoun | Management | For | For | |||
| 1c. | Election of Director: Arthur D. Collins Jr. | Management | For | For | |||
| 1d. | Election of Director: Edmund P. Giambastiani Jr. | Management | For | For | |||
| 1e. | Election of Director: Lynn J. Good | Management | For | For | |||
| 1f. | Election of Director: Nikki R. Haley | Management | For | For | |||
| 1g. | Election of Director: Lawrence W. Kellner | Management | For | For | |||
| 1h. | Election of Director: Caroline B. Kennedy | Management | For | For | |||
| 1i. | Election of Director: Edward M. Liddy | Management | For | For | |||
| 1j. | Election of Director: Dennis A. Muilenburg | Management | For | For | |||
| 1k. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1l. | Election of Director: Ronald A. Williams | Management | For | For | |||
| 1m. | Election of Director: Mike S. Zafirovski | Management | For | For | |||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | |||
| 3. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2019. | Management | For | For | |||
| 4. | Additional Report on Lobbying Activities. | Shareholder | Against | For | |||
| 5. | Impact of Share Repurchases on Performance Metrics. | Shareholder | Against | For | |||
| 6. | Independent Board Chairman. | Shareholder | Against | For | |||
| 7. | Remove Size Limit on Proxy Access Group. | Shareholder | Against | For | |||
| 8. | Mandatory Retention of Significant Stock by Executives | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 60 | 0 | 16-Mar-2019 | 30-Apr-2019 |
| INTERNATIONAL BUSINESS MACHINES CORP. | ||||
| Security | 459200101 | Meeting Type | Annual | |
| Ticker Symbol | IBM | Meeting Date | 30-Apr-2019 | |
| ISIN | US4592001014 | Agenda | 934941849 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director for a Term of One Year: M. L. Eskew | Management | For | For | |||
| 1b. | Election of Director for a Term of One Year: D. N. Farr | Management | For | For | |||
| 1c. | Election of Director for a Term of One Year: A. Gorsky | Management | For | For | |||
| 1d. | Election of Director for a Term of One Year: M. Howard | Management | For | For | |||
| 1e. | Election of Director for a Term of One Year: S. A. Jackson | Management | For | For | |||
| 1f. | Election of Director for a Term of One Year: A. N. Liveris | Management | For | For | |||
| 1g. | Election of Director for a Term of One Year: M. E. Pollack | Management | For | For | |||
| 1h. | Election of Director for a Term of One Year: V. M. Rometty | Management | For | For | |||
| 1i. | Election of Director for a Term of One Year: J. R. Swedish | Management | For | For | |||
| 1j. | Election of Director for a Term of One Year: S. Taurel | Management | For | For | |||
| 1k. | Election of Director for a Term of One Year: P. R. Voser | Management | For | For | |||
| 1l. | Election of Director for a Term of One Year: F. 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 | For | For | |||
| 4. | Approval of Long-Term Incentive Performance Terms for Certain Executives for Awards Eligible for Transitional Relief Pursuant to Section 162(m) of the Internal Revenue Code | Management | For | For | |||
| 5. | Stockholder Proposal on the Right to Act by Written Consent. | Shareholder | Against | For | |||
| 6. | Stockholder Proposal to Have an Independent Board Chairman | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 184 | 0 | 12-Mar-2019 | 01-May-2019 |
| VALERO ENERGY CORPORATION | ||||
| Security | 91913Y100 | Meeting Type | Annual | |
| Ticker Symbol | VLO | Meeting Date | 30-Apr-2019 | |
| ISIN | US91913Y1001 | Agenda | 934945948 - Management | |
| Record Date | 05-Mar-2019 | Holding Recon Date | 05-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: H. Paulett Eberhart | Management | For | For | |||
| 1B. | Election of Director: Joseph W. Gorder | Management | For | For | |||
| 1C. | Election of Director: Kimberly S. Greene | Management | For | For | |||
| 1D. | Election of Director: Deborah P. Majoras | Management | For | For | |||
| 1E. | Election of Director: Donald L. Nickles | Management | For | For | |||
| 1F. | Election of Director: Philip J. Pfeiffer | Management | For | For | |||
| 1G. | Election of Director: Robert A. Profusek | Management | For | For | |||
| 1H. | Election of Director: Stephen M. Waters | Management | For | For | |||
| 1I. | Election of Director: Randall J. Weisenburger | Management | For | For | |||
| 1J. | Election of Director: Rayford Wilkins, Jr. | Management | For | For | |||
| 2. | Ratify the appointment of KPMG LLP as Valero's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Approve, by non-binding vote, the 2018 compensation of our named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 298 | 0 | 21-Mar-2019 | 01-May-2019 |
| PHILIP MORRIS INTERNATIONAL INC. | ||||
| Security | 718172109 | Meeting Type | Annual | |
| Ticker Symbol | PM | Meeting Date | 01-May-2019 | |
| ISIN | US7181721090 | Agenda | 934945013 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 30-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: André Calantzopoulos | Management | For | For | |||
| 1b. | Election of Director: Louis C. Camilleri | Management | For | For | |||
| 1c. | Election of Director: Massimo Ferragamo | Management | For | For | |||
| 1d. | Election of Director: Werner Geissler | Management | For | For | |||
| 1e. | Election of Director: Lisa A. Hook | Management | For | For | |||
| 1f. | Election of Director: Jennifer Li | 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: Frederik Paulsen | Management | For | For | |||
| 1k. | Election of Director: Robert B. Polet | Management | For | For | |||
| 1l. | Election of Director: Stephen M. Wolf | Management | For | For | |||
| 2. | Advisory Vote Approving Executive Compensation | Management | For | For | |||
| 3. | Ratification of the Selection of Independent Auditors | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 300 | 0 | 22-Mar-2019 | 02-May-2019 |
| CAPITAL ONE FINANCIAL CORPORATION | ||||
| Security | 14040H105 | Meeting Type | Annual | |
| Ticker Symbol | COF | Meeting Date | 02-May-2019 | |
| ISIN | US14040H1059 | Agenda | 934941596 - Management | |
| Record Date | 05-Mar-2019 | Holding Recon Date | 05-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Richard D. Fairbank | Management | For | For | |||
| 1B. | Election of Director: Aparna Chennapragada | Management | For | For | |||
| 1C. | Election of Director: Ann Fritz Hackett | Management | For | For | |||
| 1D. | Election of Director: Peter Thomas Killalea | Management | For | For | |||
| 1E. | Election of Director: Cornelis "Eli" Leenaars | Management | For | For | |||
| 1F. | Election of Director: Pierre E. Leroy | Management | For | For | |||
| 1G. | Election of Director: Francois Locoh-Donou | Management | For | For | |||
| 1H. | Election of Director: Peter E. Raskind | Management | For | For | |||
| 1I. | Election of Director: Mayo A. Shattuck III | Management | For | For | |||
| 1J. | Election of Director: Bradford H. Warner | Management | For | For | |||
| 1K. | Election of Director: Catherine G. West | Management | For | For | |||
| 2. | Ratification of the selection of Ernst & Young LLP as independent registered public accounting firm of Capital One for 2019. | Management | For | For | |||
| 3. | Advisory approval of Capital One's 2018 Named Executive Officer compensation. | Management | For | For | |||
| 4. | Approval and adoption of the Capital One Financial Corporation Fifth Amended and Restated 2004 Stock Incentive Plan. | Management | For | For | |||
| 5. | Stockholder proposal requesting stockholders' right to act by written consent, if properly presented at the meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 308 | 0 | 21-Mar-2019 | 03-May-2019 |
| THE GOLDMAN SACHS GROUP, INC. | ||||
| Security | 38141G104 | Meeting Type | Annual | |
| Ticker Symbol | GS | Meeting Date | 02-May-2019 | |
| ISIN | US38141G1040 | Agenda | 934949225 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. Michele Burns | Management | For | For | |||
| 1b. | Election of Director: Drew G. Faust | Management | For | For | |||
| 1c. | Election of Director: Mark A. Flaherty | Management | For | For | |||
| 1d. | Election of Director: Ellen J. Kullman | Management | For | For | |||
| 1e. | Election of Director: Lakshmi N. Mittal | Management | For | For | |||
| 1f. | Election of Director: Adebayo O. Ogunlesi | Management | For | For | |||
| 1g. | Election of Director: Peter Oppenheimer | Management | For | For | |||
| 1h. | Election of Director: David M. Solomon | Management | For | For | |||
| 1i. | Election of Director: Jan E. Tighe | Management | For | For | |||
| 1j. | Election of Director: David A. Viniar | Management | For | For | |||
| 1k. | Election of Director: Mark O. Winkelman | Management | For | For | |||
| 2. | Advisory Vote to Approve Executive Compensation (Say on Pay) | Management | For | For | |||
| 3. | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for 2019 | Management | For | For | |||
| 4. | Shareholder Proposal Regarding Right to Act by Written Consent | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 128 | 0 | 23-Mar-2019 | 03-May-2019 |
| DUKE ENERGY CORPORATION | ||||
| Security | 26441C204 | Meeting Type | Annual | |
| Ticker Symbol | DUK | Meeting Date | 02-May-2019 | |
| ISIN | US26441C2044 | Agenda | 934949326 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Michael G. Browning | For | For | |||||
| 2 Annette K. Clayton | For | For | |||||
| 3 Theodore F. Craver, Jr. | For | For | |||||
| 4 Robert M. Davis | For | For | |||||
| 5 Daniel R. DiMicco | For | For | |||||
| 6 Lynn J. Good | For | For | |||||
| 7 John T. Herron | For | For | |||||
| 8 William E. Kennard | For | For | |||||
| 9 E. Marie McKee | For | For | |||||
| 10 Charles W. Moorman IV | For | For | |||||
| 11 Marya M. Rose | For | For | |||||
| 12 Carlos A. Saladrigas | For | For | |||||
| 13 Thomas E. Skains | For | For | |||||
| 14 William E. Webster, Jr. | For | For | |||||
| 2. | Ratification of Deloitte & Touche LLP as Duke Energy's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve Duke Energy's named executive officer compensation | Management | For | For | |||
| 4. | Shareholder proposal regarding political contributions | Shareholder | Against | For | |||
| 5. | Shareholder proposal regarding providing an annual report on Duke Energy's lobbying expenses | Shareholder | Against | For | |||
| 6. | Shareholder proposal regarding a report on mitigating health and climate impacts of coal use | Shareholder | Against | For | |||
| 7. | Shareholder proposal regarding a report on the costs and benefits of Duke Energy's voluntary environment-related activities | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 287 | 0 | 22-Mar-2019 | 03-May-2019 |
| ABBVIE INC. | ||||
| Security | 00287Y109 | Meeting Type | Annual | |
| Ticker Symbol | ABBV | Meeting Date | 03-May-2019 | |
| ISIN | US00287Y1091 | Agenda | 934949162 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 William H.L. Burnside | For | For | |||||
| 2 Brett J. Hart | For | For | |||||
| 3 Edward J. Rapp | For | For | |||||
| 2. | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Say on Pay - An advisory vote on the approval of executive compensation | Management | For | For | |||
| 4. | Approval of a management proposal regarding amendment of the certificate of incorporation for a simple majority vote | Management | For | For | |||
| 5. | Stockholder Proposal - to Issue an Annual Report on Lobbying | Shareholder | Against | For | |||
| 6. | Stockholder Proposal - to Issue a Compensation Committee Report on Drug Pricing | Shareholder | Against | For | |||
| 7. | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 319 | 0 | 23-Mar-2019 | 06-May-2019 |
| ELI LILLY AND COMPANY | ||||
| Security | 532457108 | Meeting Type | Annual | |
| Ticker Symbol | LLY | Meeting Date | 06-May-2019 | |
| ISIN | US5324571083 | Agenda | 934940215 - Management | |
| Record Date | 26-Feb-2019 | Holding Recon Date | 26-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 03-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director for three-year term: R. Alvarez | Management | For | For | |||
| 1b. | Election of director for three-year term: C. R. Bertozzi | Management | For | For | |||
| 1c. | Election of director for three-year term: J. R. Luciano | Management | For | For | |||
| 1d. | Election of director for three-year term: K. P. Seifert | Management | For | For | |||
| 2. | Approval, by non-binding vote, of the compensation paid to the company's named executive officers. | Management | For | For | |||
| 3. | Ratification of Ernst & Young LLP as the principal independent auditor for 2019. | Management | For | For | |||
| 4. | Approve amendments to the Articles of Incorporation to eliminate the classified board structure. | Management | For | For | |||
| 5. | Approve amendments to the Articles of Incorporation to eliminate all supermajority voting provisions. | Management | For | For | |||
| 6. | Shareholder proposal requesting a report regarding direct and indirect political expenditures. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 209 | 0 | 23-Mar-2019 | 07-May-2019 |
| DOMINION ENERGY, INC. | ||||
| Security | 25746U109 | Meeting Type | Annual | |
| Ticker Symbol | D | Meeting Date | 07-May-2019 | |
| ISIN | US25746U1097 | Agenda | 934957501 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: James A. Bennett | Management | For | For | |||
| 1b. | Election of Director: Helen E. Dragas | Management | For | For | |||
| 1c. | Election of Director: James O. Ellis, Jr. | Management | For | For | |||
| 1d. | Election of Director: Thomas F. Farrell, II | Management | For | For | |||
| 1e. | Election of Director: D. Maybank Hagood | Management | For | For | |||
| 1f. | Election of Director: John W. Harris | Management | For | For | |||
| 1g. | Election of Director: Ronald W. Jibson | Management | For | For | |||
| 1h. | Election of Director: Mark J. Kington | Management | For | For | |||
| 1i. | Election of Director: Joseph M. Rigby | Management | For | For | |||
| 1j. | Election of Director: Pamela J. Royal, M.D. | Management | For | For | |||
| 1k. | Election of Director: Robert H. Spilman, Jr. | Management | For | For | |||
| 1l. | Election of Director: Susan N. Story | Management | For | For | |||
| 1m. | Election of Director: Michael E. Szymanczyk | Management | For | For | |||
| 2. | Ratification of Appointment of Independent Auditor | Management | For | For | |||
| 3. | Advisory Vote on Approval of Executive Compensation (Say on Pay) | Management | For | For | |||
| 4. | Management's Proposal to Amend the Company's Articles of Incorporation to Increase the Number of Authorized Shares of Common Stock | Management | For | For | |||
| 5. | Shareholder Proposal Regarding a Policy to Require an Independent Board Chair | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 347 | 0 | 29-Mar-2019 | 08-May-2019 |
| NORFOLK SOUTHERN CORPORATION | ||||
| Security | 655844108 | Meeting Type | Annual | |
| Ticker Symbol | NSC | Meeting Date | 09-May-2019 | |
| ISIN | US6558441084 | Agenda | 934947409 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Thomas D. Bell, Jr. | Management | For | For | |||
| 1b. | Election of Director: Daniel A. Carp | Management | For | For | |||
| 1c. | Election of Director: Mitchell E. Daniels, Jr. | Management | For | For | |||
| 1d. | Election of Director: Marcela E. Donadio | Management | For | For | |||
| 1e. | Election of Director: Thomas C. Kelleher | Management | For | For | |||
| 1f. | Election of Director: Steven F. Leer | Management | For | For | |||
| 1g. | Election of Director: Michael D. Lockhart | Management | For | For | |||
| 1h. | Election of Director: Amy E. Miles | Management | For | For | |||
| 1i. | Election of Director: Jennifer F. Scanlon | Management | For | For | |||
| 1j. | Election of Director: James A. Squires | Management | For | For | |||
| 1k. | Election of Director: John R. Thompson | Management | For | For | |||
| 2. | Ratification of the appointment of KPMG LLP, independent registered public accounting firm, as Norfolk Southern's independent auditors for the year ending December 31, 2019. | Management | For | For | |||
| 3. | Approval of advisory resolution on executive compensation, as disclosed in the proxy statement for the 2019 Annual Meeting of Shareholders. | Management | For | For | |||
| 4. | If properly presented at the meeting, a shareholder proposal regarding simple majority vote. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 139 | 0 | 30-Mar-2019 | 10-May-2019 |
| DTE ENERGY COMPANY | ||||
| Security | 233331107 | Meeting Type | Annual | |
| Ticker Symbol | DTE | Meeting Date | 09-May-2019 | |
| ISIN | US2333311072 | Agenda | 934947411 - Management | |
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Gerard M. Anderson | For | For | |||||
| 2 David A. Brandon | For | For | |||||
| 3 W. Frank Fountain, Jr. | For | For | |||||
| 4 Charles G. McClure, Jr. | For | For | |||||
| 5 Gail J. McGovern | For | For | |||||
| 6 Mark A. Murray | For | For | |||||
| 7 Ruth G. Shaw | For | For | |||||
| 8 Robert C. Skaggs, Jr. | For | For | |||||
| 9 David A. Thomas | For | For | |||||
| 10 James H. Vandenberghe | For | For | |||||
| 11 Valerie M. Williams | For | For | |||||
| 2. | Ratify the appointment of PricewaterhouseCoopers LLP as our independent auditors. | Management | For | For | |||
| 3. | Provide a nonbinding vote to approve the Company's executive compensation. | Management | For | For | |||
| 4. | Vote on a shareholder proposal to require an independent board chairman. | Shareholder | Against | For | |||
| 5. | Vote on a shareholder proposal to require additional disclosure of political contributions. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 210 | 0 | 27-Mar-2019 | 10-May-2019 |
| FORD MOTOR COMPANY | ||||
| Security | 345370860 | Meeting Type | Annual | |
| Ticker Symbol | F | Meeting Date | 09-May-2019 | |
| ISIN | US3453708600 | Agenda | 934949150 - Management | |
| Record Date | 13-Mar-2019 | Holding Recon Date | 13-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Stephen G. Butler | Management | For | For | |||
| 1b. | Election of Director: Kimberly A. Casiano | Management | For | For | |||
| 1c. | Election of Director: Anthony F. Earley, Jr. | Management | For | For | |||
| 1d. | Election of Director: Edsel B. Ford II | Management | For | For | |||
| 1e. | Election of Director: William Clay Ford, Jr. | Management | For | For | |||
| 1f. | Election of Director: James P. Hackett | Management | For | For | |||
| 1g. | Election of Director: William W. Helman IV | Management | For | For | |||
| 1h. | Election of Director: William E. Kennard | Management | For | For | |||
| 1i. | Election of Director: John C. Lechleiter | Management | For | For | |||
| 1j. | Election of Director: John L. Thornton | Management | For | For | |||
| 1k. | Election of Director: John B. Veihmeyer | Management | For | For | |||
| 1l. | Election of Director: Lynn M. Vojvodich | Management | For | For | |||
| 1m. | Election of Director: John S. Weinberg | Management | For | For | |||
| 2. | Ratification of Independent Registered Public Accounting Firm. | Management | For | For | |||
| 3. | Say-on-Pay - An Advisory Vote to Approve the Compensation of the Named Executives. | Management | For | For | |||
| 4. | Approval of the Tax Benefit Preservation Plan. | Management | For | For | |||
| 5. | Relating to Consideration of a Recapitalization Plan to Provide That All of the Company's Outstanding Stock Have One Vote Per Share. | Shareholder | Against | For | |||
| 6. | Relating to Disclosure of the Company's Lobbying Activities and Expenditures. | Shareholder | Against | For | |||
| 7. | Relating to Disclosure of the Company's Political Activities and Expenditures. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 2,856 | 0 | 30-Mar-2019 | 10-May-2019 |
| UNITED PARCEL SERVICE, INC. | ||||
| Security | 911312106 | Meeting Type | Annual | |
| Ticker Symbol | UPS | Meeting Date | 09-May-2019 | |
| ISIN | US9113121068 | Agenda | 934949489 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: David P. Abney | Management | For | For | |||
| 1b. | Election of Director: Rodney C. Adkins | Management | For | For | |||
| 1c. | Election of Director: Michael J. Burns | Management | For | For | |||
| 1d. | Election of Director: William R. Johnson | Management | For | For | |||
| 1e. | Election of Director: Ann M. Livermore | Management | For | For | |||
| 1f. | Election of Director: Rudy H.P. Markham | Management | For | For | |||
| 1g. | Election of Director: Franck J. Moison | Management | For | For | |||
| 1h. | Election of Director: Clark T. Randt, Jr. | Management | For | For | |||
| 1i. | Election of Director: Christiana Smith Shi | Management | For | For | |||
| 1j. | Election of Director: John T. Stankey | Management | For | For | |||
| 1k. | Election of Director: Carol B. Tomé | Management | For | For | |||
| 1l. | Election of Director: Kevin M. Warsh | Management | For | For | |||
| 2. | To ratify the appointment of Deloitte & Touche LLP as UPS's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||
| 3. | To prepare an annual report on lobbying activities. | Shareholder | Against | For | |||
| 4. | To reduce the voting power of class A stock from 10 votes per share to one vote per share. | Shareholder | Against | For | |||
| 5. | To prepare a report to assess the integration of sustainability metrics into executive compensation. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 230 | 0 | 19-Mar-2019 | 10-May-2019 |
| NUCOR CORPORATION | ||||
| Security | 670346105 | Meeting Type | Annual | |
| Ticker Symbol | NUE | Meeting Date | 09-May-2019 | |
| ISIN | US6703461052 | Agenda | 934959341 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Lloyd J. Austin III | For | For | |||||
| 2 Patrick J. Dempsey | For | For | |||||
| 3 John J. Ferriola | For | For | |||||
| 4 Victoria F. Haynes Ph.D | For | For | |||||
| 5 Christopher J. Kearney | For | For | |||||
| 6 Laurette T. Koellner | For | For | |||||
| 7 John H. Walker | For | For | |||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Nucor's independent registered public accounting firm for the year ending December 31, 2019 | Management | For | For | |||
| 3. | Approval, on an advisory basis, of Nucor's named executive officer compensation in 2018 | Management | For | For | |||
| 4. | Stockholder proposal regarding lobbying report | Shareholder | Against | For | |||
| 5. | Stockholder proposal regarding political spending report | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 415 | 0 | 26-Mar-2019 | 10-May-2019 |
| COLGATE-PALMOLIVE COMPANY | ||||
| Security | 194162103 | Meeting Type | Annual | |
| Ticker Symbol | CL | Meeting Date | 10-May-2019 | |
| ISIN | US1941621039 | Agenda | 934955254 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: Charles A. Bancroft | Management | For | For | |||
| 1b. | Election of director: John P. Bilbrey | Management | For | For | |||
| 1c. | Election of director: John T. Cahill | Management | For | For | |||
| 1d. | Election of director: Ian Cook | Management | For | For | |||
| 1e. | Election of director: Lisa M. Edwards | Management | For | For | |||
| 1f. | Election of director: Helene D. Gayle | Management | For | For | |||
| 1g. | Election of director: C. Martin Harris | Management | For | For | |||
| 1h. | Election of director: Lorrie M. Norrington | Management | For | For | |||
| 1i. | Election of director: Michael B. Polk | Management | For | For | |||
| 1j. | Election of director: Stephen I. Sadove | Management | For | For | |||
| 1k. | Election of director: Noel R. Wallace | Management | For | For | |||
| 2. | Ratify selection of PricewaterhouseCoopers LLP as Colgate's independent registered public accounting firm. | Management | For | For | |||
| 3. | Advisory vote on executive compensation. | Management | For | For | |||
| 4. | Approve the Colgate-Palmolive Company 2019 Incentive Compensation Plan. | Management | For | For | |||
| 5. | Stockholder proposal on independent Board Chairman. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 383 | 0 | 28-Mar-2019 | 13-May-2019 |
| IDEX CORPORATION | ||||
| Security | 45167R104 | Meeting Type | Annual | |
| Ticker Symbol | IEX | Meeting Date | 10-May-2019 | |
| ISIN | US45167R1041 | Agenda | 934956991 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 ERNEST J. MROZEK | For | For | |||||
| 2 L. L. SATTERTHWAITE | For | For | |||||
| 3 DAVID C. PARRY | For | For | |||||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 178 | 0 | 23-Mar-2019 | 13-May-2019 |
| OCCIDENTAL PETROLEUM CORPORATION | ||||
| Security | 674599105 | Meeting Type | Annual | |
| Ticker Symbol | OXY | Meeting Date | 10-May-2019 | |
| ISIN | US6745991058 | Agenda | 934959733 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Spencer Abraham | Management | For | For | |||
| 1b. | Election of Director: Eugene L. Batchelder | Management | For | For | |||
| 1c. | Election of Director: Margaret M. Foran | Management | For | For | |||
| 1d. | Election of Director: Carlos M. Gutierrez | Management | For | For | |||
| 1e. | Election of Director: Vicki Hollub | Management | For | For | |||
| 1f. | Election of Director: William R. Klesse | Management | For | For | |||
| 1g. | Election of Director: Jack B. Moore | Management | For | For | |||
| 1h. | Election of Director: Avedick B. Poladian | Management | For | For | |||
| 1i. | Election of Director: Elisse B. Walter | Management | For | For | |||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |||
| 3. | Ratification of Selection of KPMG as Independent Auditor for the Fiscal Year Ending December 31, 2019 | Management | For | For | |||
| 4. | Request to Lower Stock Ownership Threshold to Call Special Stockholder Meetings | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 374 | 0 | 29-Mar-2019 | 13-May-2019 |
| MOTOROLA SOLUTIONS, INC. | ||||
| Security | 620076307 | Meeting Type | Annual | |
| Ticker Symbol | MSI | Meeting Date | 13-May-2019 | |
| ISIN | US6200763075 | Agenda | 934957412 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 10-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director for a One-Year Term: Gregory Q. Brown | Management | For | For | |||
| 1b. | Election of Director for a One-Year Term: Kenneth D. Denman | Management | For | For | |||
| 1c. | Election of Director for a One-Year Term: Egon P. Durban | Management | For | For | |||
| 1d. | Election of Director for a One-Year Term: Clayton M. Jones | Management | For | For | |||
| 1e. | Election of Director for a One-Year Term: Judy C. Lewent | Management | For | For | |||
| 1f. | Election of Director for a One-Year Term: Gregory K. Mondre | Management | For | For | |||
| 1g. | Election of Director for a One-Year Term: Anne R. Pramaggiore | Management | For | For | |||
| 1h. | Election of Director for a One-Year Term: Joseph M. Tucci | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||
| 3. | Advisory approval of the Company's executive compensation. | Management | For | For | |||
| 4. | Shareholder Proposal re: Independent Director with Human Rights Expertise. | Shareholder | Against | For | |||
| 5. | Shareholder Proposal re: Lobbying Disclosure. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 183 | 0 | 29-Mar-2019 | 14-May-2019 |
| CUMMINS INC. | ||||
| Security | 231021106 | Meeting Type | Annual | |
| Ticker Symbol | CMI | Meeting Date | 14-May-2019 | |
| ISIN | US2310211063 | Agenda | 934957082 - Management | |
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | Election of Director: N. Thomas Linebarger | Management | For | For | |||
| 2) | Election of Director: Richard J. Freeland | Management | For | For | |||
| 3) | Election of Director: Robert J. Bernhard | Management | For | For | |||
| 4) | Election of Director: Dr. Franklin R. Chang Diaz | Management | For | For | |||
| 5) | Election of Director: Bruno V. Di Leo Allen | Management | For | For | |||
| 6) | Election of Director: Stephen B. Dobbs | Management | For | For | |||
| 7) | Election of Director: Robert K. Herdman | Management | For | For | |||
| 8) | Election of Director: Alexis M. Herman | Management | For | For | |||
| 9) | Election of Director: Thomas J. Lynch | Management | For | For | |||
| 10) | Election of Director: William I. Miller | Management | For | For | |||
| 11) | Election of Director: Georgia R. Nelson | Management | For | For | |||
| 12) | Election of Director: Karen H. Quintos | Management | For | For | |||
| 13) | Advisory vote to approve the compensation of our named executive officers as disclosed in the proxy statement. | Management | For | For | |||
| 14) | Proposal to ratify the appointment of PricewaterhouseCoopers LLP as our auditors for 2019. | Management | For | For | |||
| 15) | Proposal to approve the Cummins Inc. Employee Stock Purchase Plan, as amended. | Management | For | For | |||
| 16) | The shareholder proposal regarding an independent chairman of the board. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 164 | 0 | 03-Apr-2019 | 15-May-2019 |
| 3M COMPANY | ||||
| Security | 88579Y101 | Meeting Type | Annual | |
| Ticker Symbol | MMM | Meeting Date | 14-May-2019 | |
| ISIN | US88579Y1010 | Agenda | 934958856 - Management | |
| Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Thomas "Tony" K. Brown | Management | For | For | |||
| 1b. | Election of Director: Pamela J. Craig | Management | For | For | |||
| 1c. | Election of Director: David B. Dillon | Management | For | For | |||
| 1d. | Election of Director: Michael L. Eskew | Management | For | For | |||
| 1e. | Election of Director: Herbert L. Henkel | Management | For | For | |||
| 1f. | Election of Director: Amy E. Hood | Management | For | For | |||
| 1g. | Election of Director: Muhtar Kent | Management | For | For | |||
| 1h. | Election of Director: Edward M. Liddy | Management | For | For | |||
| 1i. | Election of Director: Dambisa F. Moyo | Management | For | For | |||
| 1j. | Election of Director: Gregory R. Page | Management | For | For | |||
| 1k. | Election of Director: Michael F. Roman | Management | For | For | |||
| 1l. | Election of Director: 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. | Stockholder proposal on setting target amounts for CEO compensation. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 122 | 0 | 28-Mar-2019 | 15-May-2019 |
| ALEXION PHARMACEUTICALS, INC. | ||||
| Security | 015351109 | Meeting Type | Annual | |
| Ticker Symbol | ALXN | Meeting Date | 14-May-2019 | |
| ISIN | US0153511094 | Agenda | 934962728 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Felix J. Baker | For | For | |||||
| 2 David R. Brennan | For | For | |||||
| 3 Christopher J. Coughlin | For | For | |||||
| 4 Deborah Dunsire | For | For | |||||
| 5 Paul A. Friedman | For | For | |||||
| 6 Ludwig N. Hantson | For | For | |||||
| 7 John T. Mollen | For | For | |||||
| 8 Francois Nader | For | For | |||||
| 9 Judith A. Reinsdorf | For | For | |||||
| 10 Andreas Rummelt | For | For | |||||
| 2. | Ratification of appointment by the Board of Directors of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. | Management | For | For | |||
| 3. | Approval of a non-binding advisory vote of the 2018 compensation paid to Alexion's named executive officers. | Management | For | For | |||
| 4. | Shareholder proposal requesting certain proxy access Bylaw amendments. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 197 | 0 | 27-Mar-2019 | 15-May-2019 |
| WATERS CORPORATION | ||||
| Security | 941848103 | Meeting Type | Annual | |
| Ticker Symbol | WAT | Meeting Date | 14-May-2019 | |
| ISIN | US9418481035 | Agenda | 934973822 - Management | |
| Record Date | 20-Mar-2019 | Holding Recon Date | 20-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Linda Baddour | Management | For | For | |||
| 1B. | Election of Director: Michael J. Berendt, Ph.D. | Management | For | For | |||
| 1C. | Election of Director: Edward Conard | Management | For | For | |||
| 1D. | Election of Director: Laurie H. Glimcher, M.D. | Management | For | For | |||
| 1E. | Election of Director: Gary E. Hendrickson | Management | For | For | |||
| 1F. | Election of Director: Christopher A. Kuebler | Management | For | For | |||
| 1G. | Election of Director: Christopher J. O'Connell | Management | For | For | |||
| 1H. | Election of Director: Flemming Ornskov, M.D., M.P.H | Management | For | For | |||
| 1I. | Election of Director: JoAnn A. Reed | Management | For | For | |||
| 1J. | Election of Director: Thomas P. Salice | Management | For | For | |||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | To approve, by non-binding vote, named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 109 | 0 | 05-Apr-2019 | 15-May-2019 |
| PRUDENTIAL FINANCIAL, INC. | ||||
| Security | 744320102 | Meeting Type | Annual | |
| Ticker Symbol | PRU | Meeting Date | 14-May-2019 | |
| ISIN | US7443201022 | Agenda | 934976056 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Thomas J. Baltimore, Jr. | Management | For | For | |||
| 1b. | Election of Director: Gilbert F. Casellas | Management | For | For | |||
| 1c. | Election of Director: Robert M. Falzon | Management | For | For | |||
| 1d. | Election of Director: Mark B. Grier | Management | For | For | |||
| 1e. | Election of Director: Martina Hund-Mejean | Management | For | For | |||
| 1f. | Election of Director: Karl J. Krapek | Management | For | For | |||
| 1g. | Election of Director: Peter R. Lighte | Management | For | For | |||
| 1h. | Election of Director: Charles F. Lowrey | Management | For | For | |||
| 1i. | Election of Director: George Paz | Management | For | For | |||
| 1j. | Election of Director: Sandra Pianalto | Management | For | For | |||
| 1k. | Election of Director: Christine A. Poon | Management | For | For | |||
| 1l. | Election of Director: Douglas A. Scovanner | Management | For | For | |||
| 1m. | Election of Director: Michael A. Todman | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 4. | Shareholder proposal regarding Right to Act by Written Consent. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 269 | 0 | 04-Apr-2019 | 15-May-2019 |
| PINNACLE WEST CAPITAL CORPORATION | ||||
| Security | 723484101 | Meeting Type | Annual | |
| Ticker Symbol | PNW | Meeting Date | 15-May-2019 | |
| ISIN | US7234841010 | Agenda | 934955367 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Donald E. Brandt | For | For | |||||
| 2 Denis A. Cortese, M.D. | For | For | |||||
| 3 Richard P. Fox | For | For | |||||
| 4 Michael L. Gallagher | For | For | |||||
| 5 Dale E. Klein, Ph.D. | For | For | |||||
| 6 Humberto S. Lopez | For | For | |||||
| 7 Kathryn L. Munro | For | For | |||||
| 8 Bruce J. Nordstrom | For | For | |||||
| 9 Paula J. Sims | For | For | |||||
| 10 James E. Trevathan, Jr. | For | For | |||||
| 11 David P. Wagener | For | For | |||||
| 2. | Advisory vote to approve executive compensation as disclosed in the 2019 Proxy Statement. | Management | For | For | |||
| 3. | Ratify the appointment of the independent accountant for the year ending December 31, 2019. | Management | For | For | |||
| 4. | Vote on the approval of a shareholder proposal asking the Company to amend its governing documents to reduce the ownership threshold to 10% to call special shareholder meetings, if properly presented at the meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 281 | 0 | 29-Mar-2019 | 16-May-2019 |
| NORTHROP GRUMMAN CORPORATION | ||||
| Security | 666807102 | Meeting Type | Annual | |
| Ticker Symbol | NOC | Meeting Date | 15-May-2019 | |
| ISIN | US6668071029 | Agenda | 934964873 - Management | |
| Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Wesley G. Bush | Management | For | For | |||
| 1b. | Election of Director: Marianne C. Brown | Management | For | For | |||
| 1c. | Election of Director: Donald E. Felsinger | Management | For | For | |||
| 1d. | Election of Director: Ann M. Fudge | Management | For | For | |||
| 1e. | Election of Director: Bruce S. Gordon | Management | For | For | |||
| 1f. | Election of Director: William H. Hernandez | Management | For | For | |||
| 1g. | Election of Director: Madeleine A. Kleiner | Management | For | For | |||
| 1h. | Election of Director: Karl J. Krapek | Management | For | For | |||
| 1i. | Election of Director: Gary Roughead | Management | For | For | |||
| 1j. | Election of Director: Thomas M. Schoewe | Management | For | For | |||
| 1k. | Election of Director: James S. Turley | Management | For | For | |||
| 1l. | Election of Director: Kathy J. Warden | Management | For | For | |||
| 1m. | Election of Director: Mark A. Welsh III | Management | For | For | |||
| 2. | Proposal to approve, on an advisory basis, the compensation of the Company's Named Executive Officers. | Management | For | For | |||
| 3. | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's Independent Auditor for fiscal year ending December 31, 2019. | Management | For | For | |||
| 4. | Shareholder proposal to provide for a report on management systems and processes for implementing the Company's human rights policy. | Shareholder | Against | For | |||
| 5. | Shareholder proposal to provide for an independent chair. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 89 | 0 | 06-Apr-2019 | 16-May-2019 |
| STATE STREET CORPORATION | ||||
| Security | 857477103 | Meeting Type | Annual | |
| Ticker Symbol | STT | Meeting Date | 15-May-2019 | |
| ISIN | US8574771031 | Agenda | 934969277 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: K. Burnes | Management | For | For | |||
| 1b. | Election of Director: P. de Saint-Aignan | Management | For | For | |||
| 1c. | Election of Director: L. Dugle | Management | For | For | |||
| 1d. | Election of Director: A. Fawcett | Management | For | For | |||
| 1e. | Election of Director: W. Freda | Management | For | For | |||
| 1f. | Election of Director: J. Hooley | Management | For | For | |||
| 1g. | Election of Director: S. Mathew | Management | For | For | |||
| 1h. | Election of Director: W. Meaney | Management | For | For | |||
| 1i. | Election of Director: R. O'Hanley | Management | For | For | |||
| 1j. | Election of Director: S. O'Sullivan | Management | For | For | |||
| 1k. | Election of Director: R. Sergel | Management | For | For | |||
| 1l. | Election of Director: G. Summe | Management | For | For | |||
| 2. | To approve an advisory proposal on executive compensation. | Management | For | For | |||
| 3. | To ratify the selection of Ernst & Young LLP as State Street's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 353 | 0 | 06-Apr-2019 | 16-May-2019 |
| �� | INTEL CORPORATION | |||
| Security | 458140100 | Meeting Type | Annual | |
| Ticker Symbol | INTC | Meeting Date | 16-May-2019 | |
| ISIN | US4581401001 | Agenda | 934963679 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Aneel Bhusri | Management | For | For | |||
| 1b. | Election of Director: Andy D. Bryant | Management | For | For | |||
| 1c. | Election of Director: Reed E. Hundt | Management | For | For | |||
| 1d. | Election of Director: Omar Ishrak | Management | For | For | |||
| 1e. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | |||
| 1f. | Election of Director: Tsu-Jae King Liu | Management | For | For | |||
| 1g. | Election of Director: Gregory D. Smith | Management | For | For | |||
| 1h. | Election of Director: Robert ("Bob") H. Swan | Management | For | For | |||
| 1i. | Election of Director: Andrew Wilson | Management | For | For | |||
| 1j. | Election of Director: Frank D. Yeary | Management | For | For | |||
| 2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation of our listed officers | Management | For | For | |||
| 4. | Approval of amendment and restatement of the 2006 Equity Incentive Plan | Management | For | For | |||
| 5. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented | Shareholder | Against | For | |||
| 6. | Stockholder proposal requesting a report on the risks associated with emerging public policies addressing the gender pay gap, if properly presented | Shareholder | Against | For | |||
| 7. | Stockholder proposal requesting an annual advisory vote on political contributions, if properly presented | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 496 | 0 | 04-Apr-2019 | 17-May-2019 |
| DISCOVER FINANCIAL SERVICES | ||||
| Security | 254709108 | Meeting Type | Annual | |
| Ticker Symbol | DFS | Meeting Date | 16-May-2019 | |
| ISIN | US2547091080 | Agenda | 934964784 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jeffrey S. Aronin | Management | For | For | |||
| 1b. | Election of Director: Mary K. Bush | Management | For | For | |||
| 1c. | Election of Director: Gregory C. Case | Management | For | For | |||
| 1d. | Election of Director: Candace H. Duncan | Management | For | For | |||
| 1e. | Election of Director: Joseph F. Eazor | Management | For | For | |||
| 1f. | Election of Director: Cynthia A. Glassman | Management | For | For | |||
| 1g. | Election of Director: Roger C. Hochschild | Management | For | For | |||
| 1h. | Election of Director: Thomas G. Maheras | Management | For | For | |||
| 1i. | Election of Director: Michael H. Moskow | Management | For | For | |||
| 1j. | Election of Director: Mark A. Thierer | Management | For | For | |||
| 1k. | Election of Director: Lawrence A. Weinbach | Management | For | For | |||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 3. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm | Management | For | For | |||
| 4. | To amend the Company's Certificate of Incorporation to eliminate supermajority voting requirements. | Management | For | For | |||
| 5. | To amend the Company's Certificate of Incorporation to grant shareholders the right to call special meetings. | Management | For | For | |||
| 6. | Advisory vote on a shareholder proposal regarding the right of shareholders to call special meetings, if properly presented. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 356 | 0 | 28-Mar-2019 | 17-May-2019 |
| HOST HOTELS & RESORTS, INC. | ||||
| Security | 44107P104 | Meeting Type | Annual | |
| Ticker Symbol | HST | Meeting Date | 16-May-2019 | |
| ISIN | US44107P1049 | Agenda | 934964861 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mary L. Baglivo | Management | For | For | |||
| 1b. | Election of Director: Sheila C. Bair | Management | For | For | |||
| 1c. | Election of Director: Ann M. Korologos | Management | For | For | |||
| 1d. | Election of Director: Richard E. Marriott | Management | For | For | |||
| 1e. | Election of Director: Sandeep L. Mathrani | Management | For | For | |||
| 1f. | Election of Director: John B. Morse, Jr. | Management | For | For | |||
| 1g. | Election of Director: Mary Hogan Preusse | Management | For | For | |||
| 1h. | Election of Director: Walter C. Rakowich | Management | For | For | |||
| 1i. | Election of Director: James F. Risoleo | Management | For | For | |||
| 1j. | Election of Director: Gordon H. Smith | Management | For | For | |||
| 1k. | Election of Director: A. William Stein | Management | For | For | |||
| 2. | Ratify appointment of KPMG LLP as independent registered public accountants for 2019. | Management | For | For | |||
| 3. | Advisory resolution to approve executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 1,297 | 0 | 06-Apr-2019 | 17-May-2019 |
| ALTRIA GROUP, INC. | ||||
| Security | 02209S103 | Meeting Type | Annual | |
| Ticker Symbol | MO | Meeting Date | 16-May-2019 | |
| ISIN | US02209S1033 | Agenda | 934967487 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| 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: Thomas F. Farrell II | 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: Howard A. Willard III | 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 | For | For | |||
| 4 | Shareholder Proposal - Reducing and Disclosing Nicotine Levels in Cigarette Brands | Shareholder | Against | For | |||
| 5 | Shareholder Proposal - Disclosure of Lobbying Policies and Practices | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 505 | 0 | 05-Apr-2019 | 17-May-2019 |
| UNION PACIFIC CORPORATION | ||||
| Security | 907818108 | Meeting Type | Annual | |
| Ticker Symbol | UNP | Meeting Date | 16-May-2019 | |
| ISIN | US9078181081 | Agenda | 934970383 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Andrew H. Card Jr. | Management | For | For | |||
| 1b. | Election of Director: Erroll B. Davis Jr. | Management | For | For | |||
| 1c. | Election of Director: William J. DeLaney | Management | For | For | |||
| 1d. | Election of Director: David B. Dillon | Management | For | For | |||
| 1e. | Election of Director: Lance M. Fritz | Management | For | For | |||
| 1f. | Election of Director: Deborah C. Hopkins | Management | For | For | |||
| 1g. | Election of Director: Jane H. Lute | Management | For | For | |||
| 1h. | Election of Director: Michael R. McCarthy | Management | For | For | |||
| 1i. | Election of Director: Thomas F. McLarty III | Management | For | For | |||
| 1j. | Election of Director: Bhavesh V. Patel | Management | For | For | |||
| 1k. | Election of Director: Jose H. Villarreal | Management | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2019. | Management | For | For | |||
| 3. | An advisory vote to approve executive compensation ("Say on Pay"). | Management | For | For | |||
| 4. | Shareholder proposal regarding Independent Chairman if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 149 | 0 | 06-Apr-2019 | 17-May-2019 |
| AMGEN INC. | ||||
| Security | 031162100 | Meeting Type | Annual | |
| Ticker Symbol | AMGN | Meeting Date | 21-May-2019 | |
| ISIN | US0311621009 | Agenda | 934979266 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 20-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Dr. Wanda M. Austin | Management | For | For | |||
| 1b. | Election of Director: Mr. Robert A. Bradway | Management | For | For | |||
| 1c. | Election of Director: Dr. Brian J. Druker | Management | For | For | |||
| 1d. | Election of Director: Mr. Robert A. Eckert | Management | For | For | |||
| 1e. | Election of Director: Mr. Greg C. Garland | Management | For | For | |||
| 1f. | Election of Director: Mr. Fred Hassan | Management | For | For | |||
| 1g. | Election of Director: Dr. Rebecca M. Henderson | Management | For | For | |||
| 1h. | Election of Director: Mr. Charles M. Holley, Jr. | Management | For | For | |||
| 1i. | Election of Director: Dr. Tyler Jacks | Management | For | For | |||
| 1j. | Election of Director: Ms. Ellen J. Kullman | Management | For | For | |||
| 1k. | Election of Director: Dr. Ronald D. Sugar | Management | For | For | |||
| 1l. | Election of Director: Dr. R. Sanders Williams | Management | For | For | |||
| 2. | Advisory vote to approve our executive compensation. | Management | For | For | |||
| 3. | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 137 | 0 | 09-Apr-2019 | 22-May-2019 |
| EXTRA SPACE STORAGE INC. | ||||
| Security | 30225T102 | Meeting Type | Annual | |
| Ticker Symbol | EXR | Meeting Date | 22-May-2019 | |
| ISIN | US30225T1025 | Agenda | 934974040 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Kenneth M. Woolley | Management | For | For | |||
| 1.2 | Election of Director: Joseph D. Margolis | Management | For | For | |||
| 1.3 | Election of Director: Roger B. Porter | Management | For | For | |||
| 1.4 | Election of Director: Joseph J. Bonner | Management | For | For | |||
| 1.5 | Election of Director: Ashley Dreier | Management | For | For | |||
| 1.6 | Election of Director: Spencer F. Kirk | Management | For | For | |||
| 1.7 | Election of Director: Dennis J. Letham | Management | For | For | |||
| 1.8 | Election of Director: Diane Olmstead | Management | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm. | Management | For | For | |||
| 3. | Advisory vote on the compensation of the Company's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 266 | 0 | 10-Apr-2019 | 23-May-2019 |
| THE TRAVELERS COMPANIES, INC. | ||||
| Security | 89417E109 | Meeting Type | Annual | |
| Ticker Symbol | TRV | Meeting Date | 22-May-2019 | |
| ISIN | US89417E1091 | Agenda | 934978202 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Alan L. Beller | Management | For | For | |||
| 1b. | Election of Director: Janet M. Dolan | Management | For | For | |||
| 1c. | Election of Director: Patricia L. Higgins | Management | For | For | |||
| 1d. | Election of Director: William J. Kane | Management | For | For | |||
| 1e. | Election of Director: Clarence Otis Jr. | Management | For | For | |||
| 1f. | Election of Director: Philip T. Ruegger III | Management | For | For | |||
| 1g. | Election of Director: Todd C. Schermerhorn | Management | For | For | |||
| 1h. | Election of Director: Alan D. Schnitzer | Management | For | For | |||
| 1i. | Election of Director: Donald J. Shepard | Management | For | For | |||
| 1j. | Election of Director: Laurie J. Thomsen | Management | For | For | |||
| 2. | Ratification of the appointment of KPMG LLP as The Travelers Companies, Inc. independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Non-binding vote to approve executive compensation. | Management | For | For | |||
| 4. | Approve an amendment to The Travelers Companies, Inc. Amended and Restated 2014 Stock Incentive Plan. | Management | For | For | |||
| 5. | Shareholder proposal relating to a diversity report, including EEOC data, if presented at the Annual Meeting of Shareholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 197 | 0 | 06-Apr-2019 | 23-May-2019 |
| THERMO FISHER SCIENTIFIC INC. | ||||
| Security | 883556102 | Meeting Type | Annual | |
| Ticker Symbol | TMO | Meeting Date | 22-May-2019 | |
| ISIN | US8835561023 | Agenda | 934979519 - Management | |
| Record Date | 27-Mar-2019 | Holding Recon Date | 27-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Marc N. Casper | Management | For | For | |||
| 1b. | Election of Director: Nelson J. Chai | Management | For | For | |||
| 1c. | Election of Director: C. Martin Harris | Management | For | For | |||
| 1d. | Election of Director: Tyler Jacks | Management | For | For | |||
| 1e. | Election of Director: Judy C. Lewent | Management | For | For | |||
| 1f. | Election of Director: Thomas J. Lynch | Management | For | For | |||
| 1g. | Election of Director: Jim P. Manzi | Management | For | For | |||
| 1h. | Election of Director: James C. Mullen | Management | For | For | |||
| 1i. | Election of Director: Lars R. Sørensen | Management | For | For | |||
| 1j. | Election of Director: Scott M. Sperling | Management | For | For | |||
| 1k. | Election of Director: Elaine S. Ullian | Management | For | For | |||
| 1l. | Election of Director: Dion J. Weisler | Management | For | For | |||
| 2. | An advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 3. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 101 | 0 | 10-Apr-2019 | 23-May-2019 |
| IRON MOUNTAIN INC. | ||||
| Security | 46284V101 | Meeting Type | Annual | |
| Ticker Symbol | IRM | Meeting Date | 22-May-2019 | |
| ISIN | US46284V1017 | Agenda | 934981158 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jennifer Allerton | Management | For | For | |||
| 1b. | Election of Director: Ted R. Antenucci | Management | For | For | |||
| 1c. | Election of Director: Pamela M. Arway | Management | For | For | |||
| 1d. | Election of Director: Clarke H. Bailey | Management | For | For | |||
| 1e. | Election of Director: Kent P. Dauten | Management | For | For | |||
| 1f. | Election of Director: Paul F. Deninger | Management | For | For | |||
| 1g. | Election of Director: Monte Ford | Management | For | For | |||
| 1h. | Election of Director: Per-Kristian Halvorsen | Management | For | For | |||
| 1i. | Election of Director: William L. Meaney | Management | For | For | |||
| 1j. | Election of Director: Wendy J. Murdock | Management | For | For | |||
| 1k. | Election of Director: Walter C. Rakowich | Management | For | For | |||
| 1l. | Election of Director: Alfred J. Verrecchia | Management | For | For | |||
| 2. | 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 | |||
| 3. | 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, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 714 | 0 | 12-Apr-2019 | 23-May-2019 |
| AMAZON.COM, INC. | ||||
| Security | 023135106 | Meeting Type | Annual | |
| Ticker Symbol | AMZN | Meeting Date | 22-May-2019 | |
| ISIN | US0231351067 | Agenda | 934985954 - Management | |
| Record Date | 28-Mar-2019 | Holding Recon Date | 28-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jeffrey P. Bezos | Management | For | For | |||
| 1b. | Election of Director: Rosalind G. Brewer | Management | For | For | |||
| 1c. | Election of Director: Jamie S. Gorelick | Management | For | For | |||
| 1d. | Election of Director: Daniel P. Huttenlocher | Management | For | For | |||
| 1e. | Election of Director: Judith A. McGrath | Management | For | For | |||
| 1f. | Election of Director: Indra K. Nooyi | Management | For | For | |||
| 1g. | Election of Director: Jonathan J. Rubinstein | Management | For | For | |||
| 1h. | Election of Director: Thomas O. Ryder | Management | For | For | |||
| 1i. | Election of Director: Patricia Q. Stonesifer | Management | For | For | |||
| 1j. | Election of Director: Wendell P. Weeks | Management | For | For | |||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. | Management | For | For | |||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | |||
| 4. | SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT ON MANAGEMENT OF FOOD WASTE. | Shareholder | Against | For | |||
| 5. | SHAREHOLDER PROPOSAL REQUESTING A REDUCTION IN THE OWNERSHIP THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shareholder | Against | For | |||
| 6. | SHAREHOLDER PROPOSAL REQUESTING A BAN ON GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||
| 7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON THE IMPACT OF GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Shareholder | Against | For | |||
| 8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN PRODUCTS. | Shareholder | Against | For | |||
| 9. | SHAREHOLDER PROPOSAL REQUESTING AN INDEPENDENT BOARD CHAIR POLICY. | Shareholder | Against | For | |||
| 10. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN EMPLOYMENT POLICIES. | Shareholder | Against | For | |||
| 11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CLIMATE CHANGE TOPICS. | Shareholder | Against | For | |||
| 12. | SHAREHOLDER PROPOSAL REQUESTING A BOARD IDEOLOGY DISCLOSURE POLICY. | Shareholder | Against | For | |||
| 13. | SHAREHOLDER PROPOSAL REQUESTING CHANGES TO THE COMPANY'S GENDER PAY REPORTING. | Shareholder | Against | For | |||
| 14. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INTEGRATING CERTAIN METRICS INTO EXECUTIVE COMPENSATION. | Shareholder | Against | For | |||
| 15. | SHAREHOLDER PROPOSAL REGARDING VOTE-COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 16 | 0 | 12-Apr-2019 | 23-May-2019 |
| AMPHENOL CORPORATION | ||||
| Security | 032095101 | Meeting Type | Annual | |
| Ticker Symbol | APH | Meeting Date | 22-May-2019 | |
| ISIN | US0320951017 | Agenda | 935003474 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Stanley L. Clark | Management | For | For | |||
| 1.2 | Election of Director: John D. Craig | Management | For | For | |||
| 1.3 | Election of Director: David P. Falck | Management | For | For | |||
| 1.4 | Election of Director: Edward G. Jepsen | Management | For | For | |||
| 1.5 | Election of Director: Robert A. Livingston | Management | For | For | |||
| 1.6 | Election of Director: Martin H. Loeffler | Management | For | For | |||
| 1.7 | Election of Director: R. Adam Norwitt | Management | For | For | |||
| 1.8 | Election of Director: Diana G. Reardon | Management | For | For | |||
| 1.9 | Election of Director: Anne Clarke Wolff | Management | For | For | |||
| 2. | Ratification of Deloitte & Touche LLP as independent accountants of the Company. | Management | For | For | |||
| 3. | Advisory vote to approve compensation of named executive officers. | Management | For | For | |||
| 4. | Stockholder Proposal: Special Shareholder Meeting Improvement. | Shareholder | Against | For | |||
| 5. | Stockholder Proposal: Recruitment and Forced Labor Proposal. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 273 | 0 | 20-Apr-2019 | 23-May-2019 |
| BLACKROCK, INC. | ||||
| Security | 09247X101 | Meeting Type | Annual | |
| Ticker Symbol | BLK | Meeting Date | 23-May-2019 | |
| ISIN | US09247X1019 | Agenda | 934975662 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Bader M. Alsaad | Management | For | For | |||
| 1b. | Election of Director: Mathis Cabiallavetta | Management | For | For | |||
| 1c. | Election of Director: Pamela Daley | Management | For | For | |||
| 1d. | Election of Director: William S. Demchak | Management | For | For | |||
| 1e. | Election of Director: Jessica P. Einhorn | Management | For | For | |||
| 1f. | Election of Director: Laurence D. Fink | Management | For | For | |||
| 1g. | Election of Director: William E. Ford | Management | For | For | |||
| 1h. | Election of Director: Fabrizio Freda | Management | For | For | |||
| 1i. | Election of Director: Murry S. Gerber | Management | For | For | |||
| 1j. | Election of Director: Margaret L. Johnson | Management | For | For | |||
| 1k. | Election of Director: Robert S. Kapito | Management | For | For | |||
| 1l. | Election of Director: Cheryl D. Mills | Management | For | For | |||
| 1m. | Election of Director: Gordon M. Nixon | Management | For | For | |||
| 1n. | Election of Director: Charles H. Robbins | Management | For | For | |||
| 1o. | Election of Director: Ivan G. Seidenberg | Management | For | For | |||
| 1p. | Election of Director: Marco Antonio Slim Domit | Management | For | For | |||
| 1q. | Election of Director: Susan L. Wagner | Management | For | For | |||
| 1r. | Election of Director: Mark Wilson | Management | For | For | |||
| 2. | Approval, in a non-binding advisory vote, of the compensation for named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte LLP as BlackRock's independent registered public accounting firm for the fiscal year 2019. | Management | For | For | |||
| 4. | Shareholder Proposal - Production of an Annual Report on Certain Trade Association and Lobbying Expenditures. | Shareholder | Against | For | |||
| 5. | Shareholder Proposal - Simple Majority Vote Requirement. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 58 | 0 | 13-Apr-2019 | 24-May-2019 |
| THE HOME DEPOT, INC. | ||||
| Security | 437076102 | Meeting Type | Annual | |
| Ticker Symbol | HD | Meeting Date | 23-May-2019 | |
| ISIN | US4370761029 | Agenda | 934976157 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Gerard J. Arpey | Management | For | For | |||
| 1b. | Election of Director: Ari Bousbib | Management | For | For | |||
| 1c. | Election of Director: Jeffery H. Boyd | Management | For | For | |||
| 1d. | Election of Director: Gregory D. Brenneman | Management | For | For | |||
| 1e. | Election of Director: J. Frank Brown | Management | For | For | |||
| 1f. | Election of Director: Albert P. Carey | Management | For | For | |||
| 1g. | Election of Director: Helena B. Foulkes | Management | For | For | |||
| 1h. | Election of Director: Linda R. Gooden | Management | For | For | |||
| 1i. | Election of Director: Wayne M. Hewett | Management | For | For | |||
| 1j. | Election of Director: Manuel Kadre | Management | For | For | |||
| 1k. | Election of Director: Stephanie C. Linnartz | Management | For | For | |||
| 1l. | Election of Director: Craig A. Menear | Management | For | For | |||
| 2. | Ratification of the Appointment of KPMG LLP | Management | For | For | |||
| 3. | Advisory Vote to Approve Executive Compensation ("Say-on-Pay") | Management | For | For | |||
| 4. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Against | For | |||
| 5. | Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares | Shareholder | Against | For | |||
| 6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 133 | 0 | 09-Apr-2019 | 24-May-2019 |
| VERISIGN, INC. | ||||
| Security | 92343E102 | Meeting Type | Annual | |
| Ticker Symbol | VRSN | Meeting Date | 23-May-2019 | |
| ISIN | US92343E1029 | Agenda | 934977236 - Management | |
| Record Date | 28-Mar-2019 | Holding Recon Date | 28-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A | Election of Director: D. James Bidzos | Management | For | For | |||
| 1B | Election of Director: Kathleen A. Cote | Management | For | For | |||
| 1C | Election of Director: Thomas F. Frist III | Management | For | For | |||
| 1D | Election of Director: Jamie S. Gorelick | Management | For | For | |||
| 1E | Election of Director: Roger H. Moore | Management | For | For | |||
| 1F | Election of Director: Louis A. Simpson | Management | For | For | |||
| 1G | Election of Director: Timothy Tomlinson | Management | For | For | |||
| 2. | To approve, on a non-binding, advisory basis, the Company's executive compensation. | Management | For | For | |||
| 3. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||
| 4. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that requires the Chair of the Board to be an independent member of the Board. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 144 | 0 | 12-Apr-2019 | 24-May-2019 |
| NEXTERA ENERGY, INC. | ||||
| Security | 65339F101 | Meeting Type | Annual | |
| Ticker Symbol | NEE | Meeting Date | 23-May-2019 | |
| ISIN | US65339F1012 | Agenda | 934983710 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Sherry S. Barrat | Management | For | For | |||
| 1b. | Election of Director: James L. Camaren | Management | For | For | |||
| 1c. | Election of Director: Kenneth B. Dunn | Management | For | For | |||
| 1d. | Election of Director: Naren K. Gursahaney | Management | For | For | |||
| 1e. | Election of Director: Kirk S. Hachigian | Management | For | For | |||
| 1f. | Election of Director: Toni Jennings | Management | For | For | |||
| 1g. | Election of Director: Amy B. Lane | Management | For | For | |||
| 1h. | Election of Director: James L. Robo | Management | For | For | |||
| 1i. | Election of Director: Rudy E. Schupp | Management | For | For | |||
| 1j. | Election of Director: John L. Skolds | Management | For | For | |||
| 1k. | Election of Director: William H. Swanson | Management | For | For | |||
| 1l. | Election of Director: Hansel E. Tookes, II | Management | For | For | |||
| 1m. | Election of Director: Darryl L. Wilson | Management | For | For | |||
| 2. | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Approval, by non-binding advisory vote, of NextEra Energy's compensation of its named executive officers as disclosed in the proxy statement | Management | For | For | |||
| 4. | A proposal by the Comptroller of the State of New York, Thomas P. DiNapoli, entitled "Political Contributions Disclosure" to request semiannual reports disclosing political contribution policies and expenditures | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 137 | 0 | 09-Apr-2019 | 24-May-2019 |
| MERCK & CO., INC. | ||||
| Security | 58933Y105 | Meeting Type | Annual | |
| Ticker Symbol | MRK | Meeting Date | 28-May-2019 | |
| ISIN | US58933Y1055 | Agenda | 934988328 - Management | |
| Record Date | 29-Mar-2019 | Holding Recon Date | 29-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Leslie A. Brun | Management | For | For | |||
| 1b. | Election of Director: Thomas R. Cech | Management | For | For | |||
| 1c. | Election of Director: Mary Ellen Coe | Management | For | For | |||
| 1d. | Election of Director: Pamela J. Craig | Management | For | For | |||
| 1e. | Election of Director: Kenneth C. Frazier | Management | For | For | |||
| 1f. | Election of Director: Thomas H. Glocer | Management | For | For | |||
| 1g. | Election of Director: Rochelle B. Lazarus | Management | For | For | |||
| 1h. | Election of Director: Paul B. Rothman | Management | For | For | |||
| 1i. | Election of Director: Patricia F. Russo | Management | For | For | |||
| 1j. | Election of Director: Inge G. Thulin | Management | For | For | |||
| 1k. | Election of Director: Wendell P. Weeks | Management | For | For | |||
| 1l. | Election of Director: Peter C. Wendell | Management | For | For | |||
| 2. | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | For | For | |||
| 3. | Proposal to adopt the 2019 Incentive Stock Plan. | Management | For | For | |||
| 4. | Ratification of the appointment of the Company's independent registered public accounting firm for 2019. | Management | For | For | |||
| 5. | Shareholder proposal concerning an independent board chairman. | Shareholder | Against | For | |||
| 6. | Shareholder proposal concerning executive incentives and stock buybacks. | Shareholder | Against | For | |||
| 7. | Shareholder proposal concerning drug pricing. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 321 | 0 | 11-Apr-2019 | 29-May-2019 |
| EXXON MOBIL CORPORATION | ||||
| Security | 30231G102 | Meeting Type | Annual | |
| Ticker Symbol | XOM | Meeting Date | 29-May-2019 | |
| ISIN | US30231G1022 | Agenda | 934991488 - Management | |
| Record Date | 03-Apr-2019 | Holding Recon Date | 03-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Susan K. Avery | Management | For | For | |||
| 1b. | Election of Director: Angela F. Braly | Management | For | For | |||
| 1c. | Election of Director: Ursula M. Burns | Management | For | For | |||
| 1d. | Election of Director: Kenneth C. Frazier | Management | For | For | |||
| 1e. | Election of Director: Steven A. Kandarian | Management | For | For | |||
| 1f. | Election of Director: Douglas R. Oberhelman | Management | For | For | |||
| 1g. | Election of Director: Samuel J. Palmisano | Management | For | For | |||
| 1h. | Election of Director: Steven S Reinemund | Management | For | For | |||
| 1i. | Election of Director: William C. Weldon | Management | For | For | |||
| 1j. | Election of Director: Darren W. Woods | Management | For | For | |||
| 2. | Ratification of Independent Auditors (page 28) | Management | For | For | |||
| 3. | Advisory Vote to Approve Executive Compensation (page 30) | Management | For | For | |||
| 4. | Independent Chairman (page 58) | Shareholder | Against | For | |||
| 5. | Special Shareholder Meetings (page 59) | Shareholder | Against | For | |||
| 6. | Board Matrix (page 61) | Shareholder | Against | For | |||
| 7. | Climate Change Board Committee (page 62) | Shareholder | Against | For | |||
| 8. | Report on Risks of Gulf Coast Petrochemical Investments (page 64) | Shareholder | Against | For | |||
| 9. | Report on Political Contributions (page 66) | Shareholder | Against | For | |||
| 10. | Report on Lobbying (page 67) | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 325 | 0 | 12-Apr-2019 | 30-May-2019 |
| CHEVRON CORPORATION | ||||
| Security | 166764100 | Meeting Type | Annual | |
| Ticker Symbol | CVX | Meeting Date | 29-May-2019 | |
| ISIN | US1667641005 | Agenda | 934993088 - Management | |
| Record Date | 01-Apr-2019 | Holding Recon Date | 01-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: W. M. Austin | Management | For | For | |||
| 1b. | Election of Director: J. B. Frank | Management | For | For | |||
| 1c. | Election of Director: A. P. Gast | Management | For | For | |||
| 1d. | Election of Director: E. Hernandez, Jr. | Management | For | For | |||
| 1e. | Election of Director: C. W. Moorman IV | Management | For | For | |||
| 1f. | Election of Director: D. F. Moyo | Management | For | For | |||
| 1g. | Election of Director: D. Reed-Klages | Management | For | For | |||
| 1h. | Election of Director: R. D. Sugar | Management | For | For | |||
| 1i. | Election of Director: I. G. Thulin | Management | For | For | |||
| 1j. | Election of Director: D. J. Umpleby III | Management | For | For | |||
| 1k. | Election of Director: M. K. Wirth | Management | For | For | |||
| 2. | Ratification of Appointment of PwC as Independent Registered Public Accounting Firm | Management | For | For | |||
| 3. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |||
| 4. | Report on Human Right to Water | Shareholder | Against | For | |||
| 5. | Report on Reducing Carbon Footprint | Shareholder | Against | For | |||
| 6. | Create a Board Committee on Climate Change | Shareholder | Against | For | |||
| 7. | Adopt Policy for an Independent Chairman | Shareholder | Against | For | |||
| 8. | Set Special Meeting Threshold at 10% | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 212 | 0 | 16-Apr-2019 | 30-May-2019 |
| BRISTOL-MYERS SQUIBB COMPANY | ||||
| Security | 110122108 | Meeting Type | Annual | |
| Ticker Symbol | BMY | Meeting Date | 29-May-2019 | |
| ISIN | US1101221083 | Agenda | 935021458 - Management | |
| Record Date | 30-Apr-2019 | Holding Recon Date | 30-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-May-2019 | |
| 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: Robert Bertolini | Management | For | For | |||
| 1C. | Election of Director: Giovanni Caforio, M.D. | Management | For | For | |||
| 1D. | Election of Director: Matthew W. Emmens | Management | For | For | |||
| 1E. | Election of Director: Michael Grobstein | Management | For | For | |||
| 1F. | Election of Director: Alan J. Lacy | Management | For | For | |||
| 1G. | Election of Director: Dinesh C. Paliwal | Management | For | For | |||
| 1H. | Election of Director: Theodore R. Samuels | Management | For | For | |||
| 1I. | Election of Director: Vicki L. Sato, Ph.D. | Management | For | For | |||
| 1J. | Election of Director: Gerald L. Storch | Management | For | For | |||
| 1K. | Election of Director: Karen H. Vousden, Ph.D. | Management | For | For | |||
| 2. | Advisory vote to approve the compensation of our Named Executive Officers | Management | For | For | |||
| 3. | Ratification of the appointment of an independent registered public accounting firm | Management | For | For | |||
| 4. | Shareholder Proposal on Right to Act by Written Consent | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 497 | 0 | 04-May-2019 | 30-May-2019 |
| RAYTHEON COMPANY | ||||
| Security | 755111507 | Meeting Type | Annual | |
| Ticker Symbol | RTN | Meeting Date | 30-May-2019 | |
| ISIN | US7551115071 | Agenda | 934988518 - Management | |
| Record Date | 02-Apr-2019 | Holding Recon Date | 02-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Tracy A. Atkinson | Management | For | For | |||
| 1b. | Election of Director: Robert E. Beauchamp | Management | For | For | |||
| 1c. | Election of Director: Adriane M. Brown | Management | For | For | |||
| 1d. | Election of Director: Stephen J. Hadley | Management | For | For | |||
| 1e. | Election of Director: Thomas A. Kennedy | Management | For | For | |||
| 1f. | Election of Director: Letitia A. Long | Management | For | For | |||
| 1g. | Election of Director: George R. Oliver | Management | For | For | |||
| 1h. | Election of Director: Dinesh C. Paliwal | Management | For | For | |||
| 1i. | Election of Director: Ellen M. Pawlikowski | Management | For | For | |||
| 1j. | Election of Director: William R. Spivey | Management | For | For | |||
| 1k. | Election of Director: Marta R. Stewart | Management | For | For | |||
| 1l. | Election of Director: James A. Winnefeld, Jr. | Management | For | For | |||
| 1m. | Election of Director: Robert O. Work | Management | For | For | |||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 3. | Approval of the Raytheon 2019 Stock Plan | Management | For | For | |||
| 4. | Ratification of Independent Auditors. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 136 | 0 | 17-Apr-2019 | 31-May-2019 |
| INVITATION HOMES INC. | ||||
| Security | 46187W107 | Meeting Type | Annual | |
| Ticker Symbol | INVH | Meeting Date | 30-May-2019 | |
| ISIN | US46187W1071 | Agenda | 934992858 - Management | |
| Record Date | 02-Apr-2019 | Holding Recon Date | 02-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Bryce Blair | For | For | |||||
| 2 Dallas B. Tanner | For | For | |||||
| 3 Jana Cohen Barbe | For | For | |||||
| 4 Richard D. Bronson | For | For | |||||
| 5 Kenneth A. Caplan | For | For | |||||
| 6 Michael D. Fascitelli | For | For | |||||
| 7 Robert G. Harper | For | For | |||||
| 8 Jeffrey E. Kelter | For | For | |||||
| 9 John B. Rhea | For | For | |||||
| 10 Janice L. Sears | For | For | |||||
| 11 William J. Stein | For | For | |||||
| 12 Barry S. Sternlicht | For | For | |||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | To approve, in a non-binding advisory vote, the compensation paid to our named executive officers. | Management | For | For | |||
| 4. | To determine, in a non-binding advisory vote, whether a non- binding stockholder vote to approve the compensation paid to our named executive officers should occur every one, two or three years. | Management | 1 Year | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 1,098 | 0 | 19-Apr-2019 | 31-May-2019 |
| EBAY INC. | ||||
| Security | 278642103 | Meeting Type | Annual | |
| Ticker Symbol | EBAY | Meeting Date | 30-May-2019 | |
| ISIN | US2786421030 | Agenda | 934993583 - Management | |
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Fred D. Anderson Jr. | Management | For | For | |||
| 1b. | Election of Director: Anthony J. Bates | Management | For | For | |||
| 1c. | Election of Director: Adriane M. Brown | Management | For | For | |||
| 1d. | Election of Director: Jesse A. Cohn | Management | For | For | |||
| 1e. | Election of Director: Diana Farrell | Management | For | For | |||
| 1f. | Election of Director: Logan D. Green | Management | For | For | |||
| 1g. | Election of Director: Bonnie S. Hammer | 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: Pierre M. Omidyar | Management | For | For | |||
| 1k. | Election of Director: Paul S. Pressler | Management | For | For | |||
| 1l. | Election of Director: Robert H. Swan | Management | For | For | |||
| 1m. | Election of Director: Thomas J. Tierney | Management | For | For | |||
| 1n. | Election of Director: Perry M. Traquina | Management | For | For | |||
| 1o. | Election of Director: Devin N. Wenig | Management | For | For | |||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | |||
| 3. | Ratification of appointment of independent auditors. | Management | For | For | |||
| 4. | Management proposal to amend special meeting provisions in the Company's charter and bylaws. | Management | For | For | |||
| 5. | Stockholder proposal requesting that the Board require an independent chair, if properly presented. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 694 | 0 | 20-Apr-2019 | 31-May-2019 |
| FACEBOOK, INC. | ||||
| Security | 30303M102 | Meeting Type | Annual | |
| Ticker Symbol | FB | Meeting Date | 30-May-2019 | |
| ISIN | US30303M1027 | Agenda | 934995082 - Management | |
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Peggy Alford | For | For | |||||
| 2 Marc L. Andreessen | For | For | |||||
| 3 Kenneth I. Chenault | For | For | |||||
| 4 S. D. Desmond-Hellmann | For | For | |||||
| 5 Sheryl K. Sandberg | For | For | |||||
| 6 Peter A. Thiel | For | For | |||||
| 7 Jeffrey D. Zients | For | For | |||||
| 8 Mark Zuckerberg | For | For | |||||
| 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, 2019. | Management | For | For | |||
| 3. | To approve, on a non-binding advisory basis, the compensation program for Facebook, Inc.'s named executive officers as disclosed in Facebook, Inc.'s proxy statement. | Management | For | For | |||
| 4. | To vote, on a non-binding advisory basis, whether a non-binding advisory vote on the compensation program for Facebook, Inc.'s named executive officers should be held every one, two or three years. | Management | 1 Year | Against | |||
| 5. | A stockholder proposal regarding change in stockholder voting. | Shareholder | Against | For | |||
| 6. | A stockholder proposal regarding an independent chair. | Shareholder | Against | For | |||
| 7. | A stockholder proposal regarding majority voting for directors. | Shareholder | Against | For | |||
| 8. | A stockholder proposal regarding true diversity board policy. | Shareholder | Against | For | |||
| 9. | A stockholder proposal regarding a content governance report. | Shareholder | Against | For | |||
| 10. | A stockholder proposal regarding median gender pay gap. | Shareholder | Against | For | |||
| 11. | A stockholder proposal regarding workforce diversity. | Shareholder | Against | For | |||
| 12. | A stockholder proposal regarding strategic alternatives. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 157 | 0 | 16-Apr-2019 | 31-May-2019 |
| LOWE'S COMPANIES, INC. | ||||
| Security | 548661107 | Meeting Type | Annual | |
| Ticker Symbol | LOW | Meeting Date | 31-May-2019 | |
| ISIN | US5486611073 | Agenda | 934988493 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 30-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Raul Alvarez | For | For | |||||
| 2 David H. Batchelder | For | For | |||||
| 3 Angela F. Braly | For | For | |||||
| 4 Sandra B. Cochran | For | For | |||||
| 5 Laurie Z. Douglas | For | For | |||||
| 6 Richard W. Dreiling | For | For | |||||
| 7 Marvin R. Ellison | For | For | |||||
| 8 James H. Morgan | For | For | |||||
| 9 Brian C. Rogers | For | For | |||||
| 10 Bertram L. Scott | For | For | |||||
| 11 Lisa W. Wardell | For | For | |||||
| 12 Eric C. Wiseman | For | For | |||||
| 2. | Advisory vote to approve Lowe's named executive officer compensation in fiscal 2018. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as Lowe's independent registered public accounting firm for fiscal 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 241 | 0 | 19-Apr-2019 | 03-Jun-2019 |
| LYONDELLBASELL INDUSTRIES N.V. | ||||
| Security | N53745100 | Meeting Type | Annual | |
| Ticker Symbol | LYB | Meeting Date | 31-May-2019 | |
| ISIN | NL0009434992 | Agenda | 934991793 - Management | |
| Record Date | 04-Apr-2019 | Holding Recon Date | 04-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| 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: Stephen Cooper | Management | For | For | |||
| 1f. | Election of Director: Nance Dicciani | Management | For | For | |||
| 1g. | Election of Director: Claire Farley | Management | For | For | |||
| 1h. | Election of Director: Isabella (Bella) Goren | Management | For | For | |||
| 1i. | Election of Director: Michael Hanley | Management | For | For | |||
| 1j. | Election of Director: Albert Manifold | Management | For | For | |||
| 1k. | Election of Director: Bhavesh (Bob) Patel | Management | For | For | |||
| 1l. | Election of Director: Rudy van der Meer | Management | For | For | |||
| 2. | Discharge of Executive Director and Members of the (Prior) Management Board from Liability. | Management | For | For | |||
| 3. | Discharge of Non-Executive Directors and Members of the (Prior) Supervisory Board from Liability. | Management | For | For | |||
| 4. | Adoption of 2018 Dutch Statutory Annual Accounts. | Management | For | For | |||
| 5. | Appointment of PricewaterhouseCoopers Accountants N.V. as the Auditor of our 2019 Dutch Statutory Annual Accounts. | Management | For | For | |||
| 6. | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm. | Management | For | For | |||
| 7. | Advisory Vote Approving Executive Compensation (Say-on-Pay). | Management | For | For | |||
| 8. | Ratification and Approval of Dividends. | Management | For | For | |||
| 9. | Authorization to Conduct Share Repurchases. | Management | For | For | |||
| 10. | Amendment of Long Term Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 286 | 0 | 16-Apr-2019 | 31-May-2019 |
| LYONDELLBASELL INDUSTRIES N.V. | ||||
| Security | N53745100 | Meeting Type | Annual | |
| Ticker Symbol | LYB | Meeting Date | 31-May-2019 | |
| ISIN | NL0009434992 | Agenda | 935028589 - Management | |
| Record Date | 03-May-2019 | Holding Recon Date | 03-May-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-May-2019 | |
| 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: Stephen Cooper | Management | For | For | |||
| 1f. | Election of Director: Nance Dicciani | Management | For | For | |||
| 1g. | Election of Director: Claire Farley | Management | For | For | |||
| 1h. | Election of Director: Isabella (Bella) Goren | Management | For | For | |||
| 1i. | Election of Director: Michael Hanley | Management | For | For | |||
| 1j. | Election of Director: Albert Manifold | Management | For | For | |||
| 1k. | Election of Director: Bhavesh (Bob) Patel | Management | For | For | |||
| 1l. | Election of Director: Rudy van der Meer | Management | For | For | |||
| 2. | Discharge of Executive Director and Members of the (Prior) Management Board from Liability. | Management | For | For | |||
| 3. | Discharge of Non-Executive Directors and Members of the (Prior) Supervisory Board from Liability. | Management | For | For | |||
| 4. | Adoption of 2018 Dutch Statutory Annual Accounts. | Management | For | For | |||
| 5. | Appointment of PricewaterhouseCoopers Accountants N.V. as the Auditor of our 2019 Dutch Statutory Annual Accounts. | Management | For | For | |||
| 6. | Ratification of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm. | Management | For | For | |||
| 7. | Advisory Vote Approving Executive Compensation (Say-on-Pay). | Management | For | For | |||
| 8. | Ratification and Approval of Dividends. | Management | For | For | |||
| 9. | Authorization to Conduct Share Repurchases. | Management | For | For | |||
| 10. | Amendment of Long Term Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 286 | 0 | 11-May-2019 | 31-May-2019 |
| GENERAL MOTORS COMPANY | ||||
| Security | 37045V100 | Meeting Type | Annual | |
| Ticker Symbol | GM | Meeting Date | 04-Jun-2019 | |
| ISIN | US37045V1008 | Agenda | 934998951 - Management | |
| Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 03-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mary T. Barra | Management | For | For | |||
| 1b. | Election of Director: Wesley G. Bush | Management | For | For | |||
| 1c. | Election of Director: Linda R. Gooden | Management | For | For | |||
| 1d. | Election of Director: Joseph Jimenez | Management | For | For | |||
| 1e. | Election of Director: Jane L. Mendillo | Management | For | For | |||
| 1f. | Election of Director: Judith A. Miscik | Management | For | For | |||
| 1g. | Election of Director: Patricia F. Russo | Management | For | For | |||
| 1h. | Election of Director: Thomas M. Schoewe | Management | For | For | |||
| 1i. | Election of Director: Theodore M. Solso | Management | For | For | |||
| 1j. | Election of Director: Carol M. Stephenson | Management | For | For | |||
| 1k. | Election of Director: Devin N. Wenig | Management | For | For | |||
| 2. | Advisory Approval of the Company's Executive Compensation | Management | For | For | |||
| 3. | Ratification of the Selection of Ernst & Young LLP as GM's Independent Registered Public Accounting Firm for 2019 | Management | For | For | |||
| 4. | Shareholder Proposal Regarding Independent Board Chairman | Shareholder | Against | For | |||
| 5. | Shareholder Proposal Regarding Report on Lobbying Communications and Activities | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 638 | 0 | 19-Apr-2019 | 05-Jun-2019 |
| MONSTER BEVERAGE CORPORATION | ||||
| Security | 61174X109 | Meeting Type | Annual | |
| Ticker Symbol | MNST | Meeting Date | 06-Jun-2019 | |
| ISIN | US61174X1090 | Agenda | 934999357 - Management | |
| Record Date | 12-Apr-2019 | Holding Recon Date | 12-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 05-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Rodney C. Sacks | For | For | |||||
| 2 Hilton H. Schlosberg | For | For | |||||
| 3 Mark J. Hall | For | For | |||||
| 4 Kathleen E. Ciaramello | For | For | |||||
| 5 Gary P. Fayard | For | For | |||||
| 6 Jeanne P. Jackson | For | For | |||||
| 7 Steven G. Pizula | For | For | |||||
| 8 Benjamin M. Polk | For | For | |||||
| 9 Sydney Selati | For | For | |||||
| 10 Mark S. Vidergauz | For | For | |||||
| 2. | Proposal to ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | Proposal to approve, on a non-binding, advisory basis, the compensation of the Company's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 435 | 0 | 23-Apr-2019 | 07-Jun-2019 |
| BOOKING HOLDINGS INC. | ||||
| Security | 09857L108 | Meeting Type | Annual | |
| Ticker Symbol | BKNG | Meeting Date | 06-Jun-2019 | |
| ISIN | US09857L1089 | Agenda | 935004957 - Management | |
| Record Date | 11-Apr-2019 | Holding Recon Date | 11-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 05-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Timothy M. Armstrong | For | For | |||||
| 2 Jeffery H. Boyd | For | For | |||||
| 3 Glenn D. Fogel | For | For | |||||
| 4 Mirian Graddick-Weir | For | For | |||||
| 5 James M. Guyette | For | For | |||||
| 6 Wei Hopeman | For | For | |||||
| 7 Robert J. Mylod, Jr. | For | For | |||||
| 8 Charles H. Noski | For | For | |||||
| 9 Nancy B. Peretsman | For | For | |||||
| 10 Nicholas J. Read | For | For | |||||
| 11 Thomas E. Rothman | For | For | |||||
| 12 Lynn M. Vojvodich | For | For | |||||
| 13 Vanessa A. Wittman | For | For | |||||
| 2. | Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | Advisory Vote to Approve 2018 Executive Compensation. | Management | For | For | |||
| 4. | Stockholder Proposal requesting that the Company amend its proxy access bylaw. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 13 | 0 | 27-Apr-2019 | 07-Jun-2019 |
| ROPER TECHNOLOGIES, INC. | ||||
| Security | 776696106 | Meeting Type | Annual | |
| Ticker Symbol | ROP | Meeting Date | 10-Jun-2019 | |
| ISIN | US7766961061 | Agenda | 935013792 - Management | |
| Record Date | 15-Apr-2019 | Holding Recon Date | 15-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 07-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Shellye L. Archambeau | For | For | |||||
| 2 Amy Woods Brinkley | For | For | |||||
| 3 John F. Fort, III | For | For | |||||
| 4 L. Neil Hunn | For | For | |||||
| 5 Robert D. Johnson | For | For | |||||
| 6 Robert E. Knowling, Jr. | For | For | |||||
| �� | 7 Wilbur J. Prezzano | For | For | ||||
| 8 Laura G. Thatcher | For | For | |||||
| 9 Richard F. Wallman | For | For | |||||
| 10 Christopher Wright | For | For | |||||
| 2. | To consider, on a non-binding advisory basis, a resolution approving the compensation of our named executive officers. | Management | For | For | |||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||
| 4. | To consider a shareholder proposal regarding political contributions disclosure, if properly presented at the meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 81 | 0 | 01-May-2019 | 11-Jun-2019 |
| CATERPILLAR INC. | ||||
| Security | 149123101 | Meeting Type | Annual | |
| Ticker Symbol | CAT | Meeting Date | 12-Jun-2019 | |
| ISIN | US1491231015 | Agenda | 935008943 - Management | |
| Record Date | 15-Apr-2019 | Holding Recon Date | 15-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Kelly A. Ayotte | Management | For | For | |||
| 1b. | Election of Director: David L. Calhoun | Management | For | For | |||
| 1c. | Election of Director: Daniel M. Dickinson | Management | For | For | |||
| 1d. | Election of Director: Juan Gallardo | Management | For | For | |||
| 1e. | Election of Director: Dennis A. Muilenburg | Management | For | For | |||
| 1f. | Election of Director: William A. Osborn | Management | For | For | |||
| 1g. | Election of Director: Debra L. Reed-Klages | Management | For | For | |||
| 1h. | Election of Director: Edward B. Rust, Jr. | Management | For | For | |||
| 1i. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1j. | Election of Director: D. James Umpleby III | Management | For | For | |||
| 1k. | Election of Director: Miles D. White | Management | For | For | |||
| 1l. | Election of Director: Rayford Wilkins, Jr. | Management | For | For | |||
| 2. | Ratify the appointment of independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 4. | Shareholder Proposal - Amend proxy access to remove resubmission threshold. | Shareholder | Against | For | |||
| 5. | Shareholder Proposal - Report on activities in conflict-affected areas. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 181 | 0 | 04-May-2019 | 13-Jun-2019 |
| AUTODESK, INC. | ||||
| Security | 052769106 | Meeting Type | Annual | |
| Ticker Symbol | ADSK | Meeting Date | 12-Jun-2019 | |
| ISIN | US0527691069 | Agenda | 935010140 - Management | |
| Record Date | 16-Apr-2019 | Holding Recon Date | 16-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 11-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Andrew Anagnost | Management | For | For | |||
| 1b. | Election of Director: Karen Blasing | Management | For | For | |||
| 1c. | Election of Director: Reid French | Management | For | For | |||
| 1d. | Election of Director: Blake Irving | Management | For | For | |||
| 1e. | Election of Director: Mary T. McDowell | Management | For | For | |||
| 1f. | Election of Director: Stephen Milligan | Management | For | For | |||
| 1g. | Election of Director: Lorrie M. Norrington | Management | For | For | |||
| 1h. | Election of Director: Betsy Rafael | Management | For | For | |||
| 1i. | Election of Director: Stacy J. Smith | Management | For | For | |||
| 2. | Ratify the appointment of Ernst & Young LLP as Autodesk, Inc.'s independent registered public accounting firm for the fiscal year ending January 31, 2020. | Management | For | For | |||
| 3. | Approve, on an advisory (non-binding) basis,the compensation of Autodesk, Inc.'s named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 159 | 0 | 02-May-2019 | 13-Jun-2019 |
| REGENERON PHARMACEUTICALS, INC. | ||||
| Security | 75886F107 | Meeting Type | Annual | |
| Ticker Symbol | REGN | Meeting Date | 14-Jun-2019 | |
| ISIN | US75886F1075 | Agenda | 935006432 - Management | |
| Record Date | 17-Apr-2019 | Holding Recon Date | 17-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 13-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Bonnie L. Bassler, Ph.D. | Management | For | For | |||
| 1b. | Election of Director: Michael S. Brown, M.D. | Management | For | For | |||
| 1c. | Election of Director: Leonard S. Schleifer, M.D., Ph.D. | Management | For | For | |||
| 1d. | Election of Director: George D. Yancopoulos, M.D., Ph.D. | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 60 | 0 | 27-Apr-2019 | 17-Jun-2019 |
| BIOGEN INC. | ||||
| Security | 09062X103 | Meeting Type | Annual | |
| Ticker Symbol | BIIB | Meeting Date | 19-Jun-2019 | |
| ISIN | US09062X1037 | Agenda | 935015556 - Management | |
| Record Date | 22-Apr-2019 | Holding Recon Date | 22-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 18-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: John R. Chiminski | Management | For | For | |||
| 1b. | Election of Director: Alexander J. Denner | Management | For | For | |||
| 1c. | Election of Director: Caroline D. Dorsa | Management | For | For | |||
| 1d. | Election of Director: William A. Hawkins | Management | For | For | |||
| 1e. | Election of Director: Nancy L. Leaming | Management | For | For | |||
| 1f. | Election of Director: Jesus B. Mantas | Management | For | For | |||
| 1g. | Election of Director: Richard C. Mulligan | Management | For | For | |||
| 1h. | Election of Director: Robert W. Pangia | Management | For | For | |||
| 1i. | Election of Director: Stelios Papadopoulos | Management | For | For | |||
| 1j. | Election of Director: Brian S. Posner | Management | For | For | |||
| 1k. | Election of Director: Eric K. Rowinsky | Management | For | For | |||
| 1l. | Election of Director: Lynn Schenk | Management | For | For | |||
| 1m. | Election of Director: Stephen A. Sherwin | Management | For | For | |||
| 1n. | Election of Director: Michel Vounatsos | Management | For | For | |||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as Biogen Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | Say on Pay - To approve an advisory vote on executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 76 | 0 | 01-May-2019 | 20-Jun-2019 |
| MASTERCARD INCORPORATED | ||||
| Security | 57636Q104 | Meeting Type | Annual | |
| Ticker Symbol | MA | Meeting Date | 25-Jun-2019 | |
| ISIN | US57636Q1040 | Agenda | 935017233 - Management | |
| Record Date | 26-Apr-2019 | Holding Recon Date | 26-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: Richard Haythornthwaite | Management | For | For | |||
| 1b. | Election of director: Ajay Banga | Management | For | For | |||
| 1c. | Election of director: David R. Carlucci | Management | For | For | |||
| 1d. | Election of director: Richard K. Davis | Management | For | For | |||
| 1e. | Election of director: Steven J. Freiberg | Management | For | For | |||
| 1f. | Election of director: Julius Genachowski | Management | For | For | |||
| 1g. | Election of director: Choon Phong Goh | Management | For | For | |||
| 1h. | Election of director: Merit E. Janow | Management | For | For | |||
| 1i. | Election of director: Oki Matsumoto | Management | For | For | |||
| 1j. | Election of director: Youngme Moon | Management | For | For | |||
| 1k. | Election of director: Rima Qureshi | Management | For | For | |||
| 1l. | Election of director: José Octavio Reyes Lagunes | Management | For | For | |||
| 1m. | Election of director: Gabrielle Sulzberger | Management | For | For | |||
| 1n. | Election of director: Jackson Tai | Management | For | For | |||
| 1o. | Election of director: Lance Uggla | Management | For | For | |||
| 2. | Advisory approval of Mastercard's executive compensation | Management | For | For | |||
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2019 | Management | For | For | |||
| 4. | Consideration of a stockholder proposal on gender pay gap | Shareholder | Against | For | |||
| 5. | Consideration of a stockholder proposal on creation of a human rights committee | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000465183 | RS FUNDSTRAT DQM LONG ETF | 000465183 | BNY MELLON | 115 | 0 | 02-May-2019 | 26-Jun-2019 |
Reality Shares DIVCON Dividend Guard ETF
Form NP-X Summary (2018 - 2019)
| MICROCHIP TECHNOLOGY INCORPORATED | |||||
| Security | 595017104 | Meeting Type | Annual | ||
| Ticker Symbol | MCHP | Meeting Date | 14-Aug-2018 | ||
| ISIN | US5950171042 | Agenda | 934858068 - Management | ||
| Record Date | 21-Jun-2018 | Holding Recon Date | 21-Jun-2018 | ||
| City / Country | / United States | Vote Deadline Date | 13-Aug-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Steve Sanghi | Management | For | For | |||
| 1.2 | Election of Director: Matthew W. Chapman | Management | For | For | |||
| 1.3 | Election of Director: L.B. Day | Management | For | For | |||
| 1.4 | Election of Director: Esther L. Johnson | Management | For | For | |||
| 1.5 | Election of Director: Wade F. Meyercord | Management | For | For | |||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2019. | Management | For | For | |||
| 3. | Proposal to approve, on an advisory (non-binding) basis, the compensation of our named executives. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000348559 | REALITY SHARES DIVCON DIVIDEND GUARD ETF | 348559 | BNY MELLON | 637 | 0 | 19-Jul-2018 | 15-Aug-2018 |
| NIKE, INC. | |||||
| Security | 654106103 | Meeting Type | Annual | ||
| Ticker Symbol | NKE | Meeting Date | 20-Sep-2018 | ||
| ISIN | US6541061031 | Agenda | 934864237 - Management | ||
| Record Date | 20-Jul-2018 | Holding Recon Date | 20-Jul-2018 | ||
| City / Country | / United States | Vote Deadline Date | 19-Sep-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Alan B. Graf, Jr. | For | For | |||||
| 2 | John C. Lechleiter | For | For | |||||
| 3 | Michelle A. Peluso | For | For | |||||
| 2. | To approve executive compensation by an advisory vote. | Management | For | For | ||||
| 3. | To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | Against | For | ||||
| 4. | To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 926 | 0 | 09-Aug-2018 | 21-Sep-2018 |
| HARRIS CORPORATION | |||||
| Security | 413875105 | Meeting Type | Annual | ||
| Ticker Symbol | HRS | Meeting Date | 26-Oct-2018 | ||
| ISIN | US4138751056 | Agenda | 934875420 - Management | ||
| Record Date | 31-Aug-2018 | Holding Recon Date | 31-Aug-2018 | ||
| City / Country | / United States | Vote Deadline Date | 25-Oct-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: James F. Albaugh | Management | For | For | |||
| 1b. | Election of Director: Sallie B. Bailey | Management | For | For | |||
| 1c. | Election of Director: William M. Brown | Management | For | For | |||
| 1d. | Election of Director: Peter W. Chiarelli | Management | For | For | |||
| 1e. | Election of Director: Thomas A. Dattilo | Management | For | For | |||
| 1f. | Election of Director: Roger B. Fradin | Management | For | For | |||
| 1g. | Election of Director: Lewis Hay III | Management | For | For | |||
| 1h. | Election of Director: Vyomesh I. Joshi | Management | For | For | |||
| 1i. | Election of Director: Leslie F. Kenne | Management | For | For | |||
| 1j. | Election of Director: Gregory T. Swienton | Management | For | For | |||
| 1k. | Election of Director: Hansel E. Tookes II | Management | For | For | |||
| 2. | Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Management | For | For | |||
| 3. | Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 822 | 0 | 17-Sep-2018 | 29-Oct-2018 |
| KLA-TENCOR CORPORATION | |||||
| Security | 482480100 | Meeting Type | Annual | ||
| Ticker Symbol | KLAC | Meeting Date | 07-Nov-2018 | ||
| ISIN | US4824801009 | Agenda | 934879593 - Management | ||
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | ||
| City / Country | / United States | Vote Deadline Date | 06-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Edward W. Barnholt | Management | For | For | |||
| 1b. | Election of Director: Robert M. Calderoni | Management | For | For | |||
| 1c. | Election of Director: John T. Dickson | Management | For | For | |||
| 1d. | Election of Director: Emiko Higashi | Management | For | For | |||
| 1e. | Election of Director: Kevin J. Kennedy | Management | For | For | |||
| 1f. | Election of Director: Gary B. Moore | Management | For | For | |||
| 1g. | Election of Director: Kiran M. Patel | Management | For | For | |||
| 1h. | Election of Director: Ana G. Pinczuk | Management | For | For | |||
| 1i. | Election of Director: Robert A. Rango | Management | For | For | |||
| 1j. | Election of Director: Richard P. Wallace | Management | For | For | |||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | |||
| 3. | Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | For | For | |||
| 4. | Adoption of our Amended and Restated 2004 Equity Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,158 | 0 | 01-Oct-2018 | 08-Nov-2018 |
| MAXIM INTEGRATED PRODUCTS, INC. | |||||
| Security | 57772K101 | Meeting Type | Annual | ||
| Ticker Symbol | MXIM | Meeting Date | 08-Nov-2018 | ||
| ISIN | US57772K1016 | Agenda | 934880142 - Management | ||
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | ||
| City / Country | / United States | Vote Deadline Date | 07-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: William P. Sullivan | Management | For | For | |||
| 1b. | Election of Director: Tunc Doluca | Management | For | For | |||
| 1c. | Election of Director: Tracy C. Accardi | Management | For | For | |||
| 1d. | Election of Director: James R. Bergman | Management | For | For | |||
| 1e. | Election of Director: Joseph R. Bronson | Management | For | For | |||
| 1f. | Election of Director: Robert E. Grady | Management | For | For | |||
| 1g. | Election of Director: William D. Watkins | Management | For | For | |||
| 1h. | Election of Director: MaryAnn Wright | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as Maxim Integrated's independent registered public accounting firm for the fiscal year ending June 29, 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 2,040 | 0 | 01-Oct-2018 | 09-Nov-2018 |
| THE ESTEE LAUDER COMPANIES INC. | |||||
| Security | 518439104 | Meeting Type | Annual | ||
| Ticker Symbol | EL | Meeting Date | 13-Nov-2018 | ||
| ISIN | US5184391044 | Agenda | 934879581 - Management | ||
| Record Date | 14-Sep-2018 | Holding Recon Date | 14-Sep-2018 | ||
| City / Country | / United States | Vote Deadline Date | 12-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class I Director: Rose Marie Bravo Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1b. | Election of Class I Director: Paul J. Fribourg Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1c. | Election of Class I Director: Irvine O. Hockaday, Jr. Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1d. | Election of Class I Director: Jennifer Hyman Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 1e. | Election of Class I Director: Barry S. Sternlicht Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | |||
| 2. | Ratification of appointment of KPMG LLP as independent auditors for the 2019 fiscal year. | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 863 | 0 | 01-Oct-2018 | 14-Nov-2018 |
| RESMED INC. | |||||
| Security | 761152107 | Meeting Type | Annual | ||
| Ticker Symbol | RMD | Meeting Date | 15-Nov-2018 | ||
| ISIN | US7611521078 | Agenda | 934881980 - Management | ||
| Record Date | 17-Sep-2018 | Holding Recon Date | 17-Sep-2018 | ||
| City / Country | / United States | Vote Deadline Date | 14-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director to serve until our 2021 annual meeting: Peter Farrell | Management | For | For | |||
| 1b. | Election of director to serve until our 2021 annual meeting: Harjit Gill | Management | For | For | |||
| 1c. | Election of director to serve until our 2021 annual meeting: Ron Taylor | Management | For | For | |||
| 2. | Ratify our selection of KPMG LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | |||
| 3. | Approve an amendment to the ResMed Inc. 2009 Employee Stock Purchase Plan, which increases the number of shares authorized for issue under the plan by 2 million shares, from 4.2 million shares to 6.2 million shares, and extends the term of the plan through November 15, 2028. | Management | For | For | |||
| 4. | Approve, on an advisory basis, the compensation paid to our named executive officers, as disclosed in this proxy statement ("say-on-pay"). | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,158 | 0 | 04-Oct-2018 | 16-Nov-2018 |
| BLACKROCK LIQUIDITY FUNDS | |||||
| Security | 09248U700 | Meeting Type | Special | ||
| Ticker Symbol | TFDXX | Meeting Date | 21-Nov-2018 | ||
| ISIN | US09248U7000 | Agenda | 934885724 - Management | ||
| Record Date | 24-Sep-2018 | Holding Recon Date | 24-Sep-2018 | ||
| City / Country | / United States | Vote Deadline Date | 20-Nov-2018 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1a. | DIRECTOR | Management | ||||||
| 1 | Bruce R. Bond | For | For | |||||
| 2 | Susan J. Carter | For | For | |||||
| 3 | Collette Chilton | For | For | |||||
| 4 | Neil A. Cotty | For | For | |||||
| 5 | Robert Fairbairn | For | For | |||||
| 6 | Lena G. Goldberg | For | For | |||||
| 7 | Robert M. Hernandez | For | For | |||||
| 8 | Henry R. Keizer | For | For | |||||
| 9 | Cynthia A. Montgomery | For | For | |||||
| 10 | Donald C. Opatrny | For | For | |||||
| 11 | John M. Perlowski | For | For | |||||
| 12 | Joseph P. Platt | For | For | |||||
| 13 | Mark Stalnecker | For | For | |||||
| 14 | Kenneth L. Urish | For | For | |||||
| 15 | Claire A. Walton | For | For | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 645 | 0 | 25-Oct-2018 | 25-Oct-2018 |
| INTUIT INC. | |||||
| Security | 461202103 | Meeting Type | Annual | ||
| Ticker Symbol | INTU | Meeting Date | 17-Jan-2019 | ||
| ISIN | US4612021034 | Agenda | 934908471 - Management | ||
| Record Date | 19-Nov-2018 | Holding Recon Date | 19-Nov-2018 | ||
| City / Country | / United States | Vote Deadline Date | 16-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Eve Burton | Management | For | For | |||
| 1b. | Election of Director: Scott D. Cook | Management | For | For | |||
| 1c. | Election of Director: Richard L. Dalzell | Management | For | For | |||
| 1d. | Election of Director: Sasan Goodarzi | Management | For | For | |||
| 1e. | Election of Director: Deborah Liu | Management | For | For | |||
| 1f. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1g. | Election of Director: Dennis D. Powell | Management | For | For | |||
| 1h. | Election of Director: Brad D. Smith | Management | For | For | |||
| 1i. | Election of Director: Thomas Szkutak | Management | For | For | |||
| 1j. | Election of Director: Raul Vazquez | Management | For | For | |||
| 1k. | Election of Director: Jeff Weiner | Management | For | For | |||
| 2. | Advisory vote to approve Intuit Inc.'s executive compensation (say-on-pay) | Management | For | For | |||
| 3. | Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending July 31, 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 551 | 0 | 29-Nov-2018 | 18-Jan-2019 |
| VISA INC. | |||||
| Security | 92826C839 | Meeting Type | Annual | ||
| Ticker Symbol | V | Meeting Date | 29-Jan-2019 | ||
| ISIN | US92826C8394 | Agenda | 934911074 - Management | ||
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | ||
| City / Country | / United States | Vote Deadline Date | 28-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | |||
| 1b. | Election of Director: Mary B. Cranston | Management | For | For | |||
| 1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | |||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | |||
| 1e. | Election of Director: John F. Lundgren | Management | For | For | |||
| 1f. | Election of Director: Robert W. Matschullat | Management | For | For | |||
| 1g. | Election of Director: Denise M. Morrison | Management | For | For | |||
| 1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | |||
| 1i. | Election of Director: John A. C. Swainson | Management | For | For | |||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 907 | 0 | 19-Dec-2018 | 30-Jan-2019 |
| AMDOCS LIMITED | |||||
| Security | G02602103 | Meeting Type | Annual | ||
| Ticker Symbol | DOX | Meeting Date | 31-Jan-2019 | ||
| ISIN | GB0022569080 | Agenda | 934918092 - Management | ||
| Record Date | 03-Dec-2018 | Holding Recon Date | 03-Dec-2018 | ||
| City / Country | / United Kingdom | Vote Deadline Date | 30-Jan-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Robert A. Minicucci | Management | For | For | |||
| 1B. | Election of Director: Julian A. Brodsky | Management | For | For | |||
| 1C. | Election of Director: Adrian Gardner | Management | For | For | |||
| 1D. | Election of Director: Eli Gelman | Management | For | For | |||
| 1E. | Election of Director: James S. Kahan | Management | For | For | |||
| 1F. | Election of Director: Richard T.C. LeFave | Management | For | For | |||
| 1G. | Election of Director: Ariane de Rothschild | Management | For | For | |||
| 1H. | Election of Director: Shuky Sheffer | Management | For | For | |||
| 1I. | Election of Director: Rafael de la Vega | Management | For | For | |||
| 1J. | Election of Director: Giora Yaron | Management | For | For | |||
| 2. | To approve an increase in the dividend rate under our quarterly cash dividend program from $0.25 per share to $0.285 per share. | Management | For | For | |||
| 3. | To approve our consolidated financial statements for the fiscal year ended september 30, 2018 | Management | For | For | |||
| 4. | To ratify and approve the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2019, and until the next annual general meeting, and authorize the Audit Committee to fix the remuneration thereof. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,821 | 0 | 03-Jan-2019 | 01-Feb-2019 |
| TYSON FOODS, INC. | |||||
| Security | 902494103 | Meeting Type | Annual | ||
| Ticker Symbol | TSN | Meeting Date | 07-Feb-2019 | ||
| ISIN | US9024941034 | Agenda | 934915541 - Management | ||
| Record Date | 10-Dec-2018 | Holding Recon Date | 10-Dec-2018 | ||
| City / Country | / United States | Vote Deadline Date | 06-Feb-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a) | Election of Director: John Tyson | Management | For | For | |||
| 1b) | Election of Director: Gaurdie E. Banister Jr. | Management | For | For | |||
| 1c) | Election of Director: Dean Banks | Management | For | For | |||
| 1d) | Election of Director: Mike Beebe | Management | For | For | |||
| 1e) | Election of Director: Mikel A. Durham | Management | For | For | |||
| 1f. | Election of Director: Kevin M. McNamara | Management | For | For | |||
| 1g) | Election of Director: Cheryl S. Miller | Management | For | For | |||
| 1h) | Election of Director: Jeffrey K. Schomburger | Management | For | For | |||
| 1i) | Election of Director: Robert Thurber | Management | For | For | |||
| 1j) | Election of Director: Barbara A. Tyson | Management | For | For | |||
| 1k) | Election of Director: Noel White | Management | For | For | |||
| 2) | To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending September 28, 2019. | Management | For | For | |||
| 3) | Shareholder proposal to request a report disclosing the policy and procedures, expenditures, and other activities related to lobbying and grassroots lobbying communications. | Shareholder | Against | For | |||
| 4) | Shareholder proposal to require the preparation of a report on the company's due diligence process assessing and mitigating human rights impacts. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,937 | 0 | 21-Dec-2018 | 08-Feb-2019 |
| TD AMERITRADE HOLDING CORPORATION | |||||
| Security | 87236Y108 | Meeting Type | Annual | ||
| Ticker Symbol | AMTD | Meeting Date | 13-Feb-2019 | ||
| ISIN | US87236Y1082 | Agenda | 934915680 - Management | ||
| Record Date | 17-Dec-2018 | Holding Recon Date | 17-Dec-2018 | ||
| City / Country | / United States | Vote Deadline Date | 12-Feb-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Bharat B. Masrani | For | For | |||||
| 2 | Irene R. Miller | For | For | |||||
| 3 | Todd M. Ricketts | For | For | |||||
| 4 | Allan R. Tessler | For | For | |||||
| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | ||||
| 3. | INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 2,050 | 0 | 01-Jan-2019 | 14-Feb-2019 |
| APPLE INC. | |||||
| Security | 037833100 | Meeting Type | Annual | ||
| Ticker Symbol | AAPL | Meeting Date | 01-Mar-2019 | ||
| ISIN | US0378331005 | Agenda | 934919359 - Management | ||
| Record Date | 02-Jan-2019 | Holding Recon Date | 02-Jan-2019 | ||
| City / Country | / United States | Vote Deadline Date | 28-Feb-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: James Bell | Management | For | For | |||
| 1b. | Election of director: Tim Cook | Management | For | For | |||
| 1c. | Election of director: Al Gore | Management | For | For | |||
| 1d. | Election of director: Bob Iger | Management | For | For | |||
| 1e. | Election of director: Andrea Jung | Management | For | For | |||
| 1f. | Election of director: Art Levinson | Management | For | For | |||
| 1g. | Election of director: Ron Sugar | Management | For | For | |||
| 1h. | Election of director: Sue Wagner | Management | For | For | |||
| 2. | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2019 | Management | For | For | |||
| 3. | Advisory vote to approve executive compensation | Management | For | For | |||
| 4. | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | Shareholder | Against | For | |||
| 5. | A shareholder proposal entitled "True Diversity Board Policy" | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 595 | 0 | 10-Jan-2019 | 04-Mar-2019 |
| THE WALT DISNEY COMPANY | |||||
| Security | 254687106 | Meeting Type | Annual | ||
| Ticker Symbol | DIS | Meeting Date | 07-Mar-2019 | ||
| ISIN | US2546871060 | Agenda | 934921099 - Management | ||
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | ||
| City / Country | / United States | Vote Deadline Date | 06-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Susan E. Arnold | Management | For | For | |||
| 1b. | Election of Director: Mary T. Barra | Management | For | For | |||
| 1c. | Election of Director: Safra A. Catz | Management | For | For | |||
| 1d. | Election of Director: Francis A. deSouza | Management | For | For | |||
| 1e. | Election of Director: Michael Froman | Management | For | For | |||
| 1f. | Election of Director: Robert A. Iger | Management | For | For | |||
| 1g. | Election of Director: Maria Elena Lagomasino | Management | For | For | |||
| 1h. | Election of Director: Mark G. Parker | Management | For | For | |||
| 1i. | Election of Director: Derica W. Rice | Management | For | For | |||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2019. | Management | For | For | |||
| 3. | To approve the advisory resolution on executive compensation. | Management | For | For | |||
| 4. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | |||
| 5. | Shareholder proposal requesting a report on use of additional cyber security and data privacy metrics in determining compensation of senior executives. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 875 | 0 | 19-Jan-2019 | 08-Mar-2019 |
| ANALOG DEVICES, INC. | |||||
| Security | 032654105 | Meeting Type | Annual | ||
| Ticker Symbol | ADI | Meeting Date | 13-Mar-2019 | ||
| ISIN | US0326541051 | Agenda | 934921556 - Management | ||
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | ||
| City / Country | / United States | Vote Deadline Date | 12-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Ray Stata | Management | For | For | |||
| 1b. | Election of Director: Vincent Roche | Management | For | For | |||
| 1c. | Election of Director: James A. Champy | Management | For | For | |||
| 1d. | Election of Director: Anantha P. Chandrakasan | Management | For | For | |||
| 1e. | Election of Director: Bruce R. Evans | Management | For | For | |||
| 1f. | Election of Director: Edward H. Frank | Management | For | For | |||
| 1g. | Election of Director: Karen M. Golz | Management | For | For | |||
| 1h. | Election of Director: Mark M. Little | Management | For | For | |||
| 1i. | Election of Director: Neil Novich | Management | For | For | |||
| 1j. | Election of Director: Kenton J. Sicchitano | Management | For | For | |||
| 1k. | Election of Director: Lisa T. Su | Management | For | For | |||
| 2. | Advisory resolution to approve the compensation of our named executive officers. | Management | For | For | |||
| 3. | Ratification of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 4. | Shareholder proposal relating to a diversity report. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,120 | 0 | 26-Jan-2019 | 14-Mar-2019 |
| STARBUCKS CORPORATION | |||||
| Security | 855244109 | Meeting Type | Annual | ||
| Ticker Symbol | SBUX | Meeting Date | 20-Mar-2019 | ||
| ISIN | US8552441094 | Agenda | 934922015 - Management | ||
| Record Date | 10-Jan-2019 | Holding Recon Date | 10-Jan-2019 | ||
| City / Country | / United States | Vote Deadline Date | 19-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Rosalind G. Brewer | Management | For | For | |||
| 1b. | Election of Director: Mary N. Dillon | Management | For | For | |||
| 1c. | Election of Director: Mellody Hobson | Management | For | For | |||
| 1d. | Election of Director: Kevin R. Johnson | Management | For | For | |||
| 1e. | Election of Director: Jorgen Vig Knudstorp | Management | For | For | |||
| 1f. | Election of Director: Satya Nadella | Management | For | For | |||
| 1g. | Election of Director: Joshua Cooper Ramo | Management | For | For | |||
| 1h. | Election of Director: Clara Shih | Management | For | For | |||
| 1i. | Election of Director: Javier G. Teruel | Management | For | For | |||
| 1j. | Election of Director: Myron E. Ullman, III | Management | For | For | |||
| 2. | Advisory resolution to approve our executive officer compensation. | Management | For | For | |||
| 3. | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 4. | True Diversity Board Policy | Shareholder | Against | For | |||
| 5. | Report on Sustainable Packaging | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,518 | 0 | 29-Jan-2019 | 21-Mar-2019 |
| BROADCOM INC | |||||
| Security | 11135F101 | Meeting Type | Annual | ||
| Ticker Symbol | AVGO | Meeting Date | 01-Apr-2019 | ||
| ISIN | US11135F1012 | Agenda | 934928598 - Management | ||
| Record Date | 11-Feb-2019 | Holding Recon Date | 11-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 29-Mar-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mr. Hock E. Tan | Management | For | For | |||
| 1b. | Election of Director: Dr. Henry Samueli | Management | For | For | |||
| 1c. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | |||
| 1d. | Election of Director: Ms. Diane M. Bryant | Management | For | For | |||
| 1e. | Election of Director: Ms. Gayla J. Delly | Management | For | For | |||
| 1f. | Election of Director: Mr. Check Kian Low | Management | For | For | |||
| 1g. | Election of Director: Mr. Peter J. Marks | Management | For | For | |||
| 1h. | Election of Director: Mr. Harry L. You | Management | For | For | |||
| 2. | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending November 3, 2019. | Management | For | For | |||
| 3. | To approve amendments to Broadcom's Second Amended and Restated Employee Share Purchase Plan. | Management | For | For | |||
| 4. | Non-binding, advisory vote to approve compensation of Broadcom's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 504 | 0 | 20-Feb-2019 | 02-Apr-2019 |
| CELANESE CORPORATION | |||||
| Security | 150870103 | Meeting Type | Annual | ||
| Ticker Symbol | CE | Meeting Date | 18-Apr-2019 | ||
| ISIN | US1508701034 | Agenda | 934935911 - Management | ||
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 17-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Jean S. Blackwell | Management | For | For | |||
| 1b. | Election of Director: William M. Brown | Management | For | For | |||
| 1c. | Election of Director: Edward G. Galante | Management | For | For | |||
| 1d. | Election of Director: Kathryn M. Hill | Management | For | For | |||
| 1e. | Election of Director: David F. Hoffmeister | Management | For | For | |||
| 1f. | Election of Director: Dr. Jay V. Ihlenfeld | Management | For | For | |||
| 1g. | Election of Director: Mark C. Rohr | Management | For | For | |||
| 1h. | Election of Director: Kim K.W. Rucker | Management | For | For | |||
| 1i. | Election of Director: John K. Wulff | Management | For | For | |||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 4. | Approval of the amendment of our Certificate of Incorporation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,223 | 0 | 09-Mar-2019 | 19-Apr-2019 |
| SUNTRUST BANKS, INC. | |||||
| Security | 867914103 | Meeting Type | Annual | ||
| Ticker Symbol | STI | Meeting Date | 23-Apr-2019 | ||
| ISIN | US8679141031 | Agenda | 934933638 - Management | ||
| Record Date | 13-Feb-2019 | Holding Recon Date | 13-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A | Election of Director: Agnes Bundy Scanlan | Management | For | For | |||
| 1B | Election of Director: Dallas S. Clement | Management | For | For | |||
| 1C | Election of Director: Paul D. Donahue | Management | For | For | |||
| 1D | Election of Director: Paul R. Garcia | Management | For | For | |||
| 1E | Election of Director: Donna S. Morea | Management | For | For | |||
| 1F | Election of Director: David M. Ratcliffe | Management | For | For | |||
| 1G | Election of Director: William H. Rogers, Jr. | Management | For | For | |||
| 1H | Election of Director: Frank P. Scruggs, Jr. | Management | For | For | |||
| 1I | Election of Director: Bruce L. Tanner | Management | For | For | |||
| 1J | Election of Director: Steven C. Voorhees | 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 our independent auditor for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,897 | 0 | 09-Mar-2019 | 24-Apr-2019 |
| FASTENAL COMPANY | |||||
| Security | 311900104 | Meeting Type | Annual | ||
| Ticker Symbol | FAST | Meeting Date | 23-Apr-2019 | ||
| ISIN | US3119001044 | Agenda | 934935606 - Management | ||
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Willard D. Oberton | Management | For | For | |||
| 1b. | Election of Director: Michael J. Ancius | Management | For | For | |||
| 1c. | Election of Director: Michael J. Dolan | Management | For | For | |||
| 1d. | Election of Director: Stephen L. Eastman | Management | For | For | |||
| 1e. | Election of Director: Daniel L. Florness | Management | For | For | |||
| 1f. | Election of Director: Rita J. Heise | Management | For | For | |||
| 1g. | Election of Director: Darren R. Jackson | Management | For | For | |||
| 1h. | Election of Director: Daniel L. Johnson | Management | For | For | |||
| 1i. | Election of Director: Scott A. Satterlee | Management | For | For | |||
| 1j. | Election of Director: Reyne K. Wisecup | Management | For | For | |||
| 2. | Ratification of the appointment of KPMG LLP as independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | |||
| 3. | Approval, by non-binding vote, of executive compensation. | Management | For | For | |||
| 4. | A shareholder proposal related to diversity reporting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,941 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| NORTHERN TRUST CORPORATION | |||||
| Security | 665859104 | Meeting Type | Annual | ||
| Ticker Symbol | NTRS | Meeting Date | 23-Apr-2019 | ||
| ISIN | US6658591044 | Agenda | 934937864 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Linda Walker Bynoe | Management | For | For | |||
| 1b. | Election of Director: Susan Crown | Management | For | For | |||
| 1c. | Election of Director: Dean M. Harrison | Management | For | For | |||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | |||
| 1e. | Election of Director: Marcy S. Klevorn | Management | For | For | |||
| 1f. | Election of Director: Siddharth N. (Bobby) Mehta | Management | For | For | |||
| 1g. | Election of Director: Michael G. O'Grady | Management | For | For | |||
| 1h. | Election of Director: Jose Luis Prado | Management | For | For | |||
| 1i. | Election of Director: Thomas E. Richards | Management | For | For | |||
| 1j. | Election of Director: Martin P. Slark | Management | For | For | |||
| 1k. | Election of Director: David H. B. Smith, Jr. | Management | For | For | |||
| 1l. | Election of Director: Donald Thompson | Management | For | For | |||
| 1m. | Election of Director: Charles A. Tribbett III | Management | For | For | |||
| 2. | Approval, by an advisory vote, of the 2018 compensation of the Corporation's named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 4. | Stockholder proposal regarding additional disclosure of political contributions. | Shareholder | Against | For | |||
| 5. | Stockholder proposal regarding the right of the Corporation's stockholders to call a special meeting of the stockholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,206 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| COMERICA INCORPORATED | |||||
| Security | 200340107 | Meeting Type | Annual | ||
| Ticker Symbol | CMA | Meeting Date | 23-Apr-2019 | ||
| ISIN | US2003401070 | Agenda | 934938056 - Management | ||
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Ralph W. Babb, Jr. | Management | For | For | |||
| 1b. | Election of Director: Michael E. Collins | Management | For | For | |||
| 1c. | Election of Director: Roger A. Cregg | Management | For | For | |||
| 1d. | Election of Director: T. Kevin DeNicola | Management | For | For | |||
| 1e. | Election of Director: Curtis C. Farmer | Management | For | For | |||
| 1f. | Election of Director: Jacqueline P. Kane | Management | For | For | |||
| 1g. | Election of Director: Richard G. Lindner | Management | For | For | |||
| 1h. | Election of Director: Barbara R. Smith | Management | For | For | |||
| 1i. | Election of Director: Robert S. Taubman | Management | For | For | |||
| 1j. | Election of Director: Reginald M. Turner, Jr. | Management | For | For | |||
| 1k. | Election of Director: Nina G. Vaca | Management | For | For | |||
| 1l. | Election of Director: Michael G. Van de Ven | Management | For | For | |||
| 2. | Ratification of the Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | Management | For | For | |||
| 3. | Approval of a Non-Binding, Advisory Proposal Approving Executive Compensation | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,466 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| THE PNC FINANCIAL SERVICES GROUP, INC. | |||||
| Security | 693475105 | Meeting Type | Annual | ||
| Ticker Symbol | PNC | Meeting Date | 23-Apr-2019 | ||
| ISIN | US6934751057 | Agenda | 934940164 - Management | ||
| Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Joseph Alvarado | Management | For | For | |||
| 1b. | Election of Director: Charles E. Bunch | Management | For | For | |||
| 1c. | Election of Director: Debra A. Cafaro | Management | For | For | |||
| 1d. | Election of Director: Marjorie Rodgers Cheshire | Management | For | For | |||
| 1e. | Election of Director: William S. Demchak | Management | For | For | |||
| 1f. | Election of Director: Andrew T. Feldstein | Management | For | For | |||
| 1g. | Election of Director: Richard J. Harshman | Management | For | For | |||
| 1h. | Election of Director: Daniel R. Hesse | Management | For | For | |||
| 1i. | Election of Director: Richard B. Kelson | Management | For | For | |||
| 1j. | Election of Director: Linda R. Medler | Management | For | For | |||
| 1k. | Election of Director: Martin Pfinsgraff | Management | For | For | |||
| 1l. | Election of Director: Toni Townes-Whitley | Management | For | For | |||
| 1m. | Election of Director: Michael J. Ward | Management | For | For | |||
| 2. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 846 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| DOMINO'S PIZZA, INC. | |||||
| Security | 25754A201 | Meeting Type | Annual | ||
| Ticker Symbol | DPZ | Meeting Date | 23-Apr-2019 | ||
| ISIN | US25754A2015 | Agenda | 934940239 - Management | ||
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| 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 accountants for the Company for the 2019 fiscal year. | Management | For | For | ||||
| 3. | Advisory vote to approve the compensation of the named executive officers of the Company. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 430 | 0 | 15-Mar-2019 | 24-Apr-2019 |
| ROLLINS, INC. | |||||
| Security | 775711104 | Meeting Type | Annual | ||
| Ticker Symbol | ROL | Meeting Date | 23-Apr-2019 | ||
| ISIN | US7757111049 | Agenda | 934963643 - Management | ||
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Bill J. Dismuke | For | For | |||||
| 2 | Thomas J. Lawley, M.D. | For | For | |||||
| 3 | John F. Wilson | For | For | |||||
| 2. | To ratify the appointment of Grant Thornton LLP as independent registered public accounting firm of the Company for the fiscal year ending December 31, 2019. | Management | For | For | ||||
| 3. | To amend the Certificate of Incorporation of the Company to increase the number of authorized shares of Capital Stock to 550,500,000 shares. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000348559 | REALITY SHARES DIVCON DIVIDEND GUARD ETF | 348559 | BNY MELLON | 147 | 0 | 28-Mar-2019 | 24-Apr-2019 | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 2,871 | 0 | 28-Mar-2019 | 24-Apr-2019 |
| REGIONS FINANCIAL CORPORATION | |||||
| Security | 7591EP100 | Meeting Type | Annual | ||
| Ticker Symbol | RF | Meeting Date | 24-Apr-2019 | ||
| ISIN | US7591EP1005 | Agenda | 934940455 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | ||
| 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: Eric C. Fast | Management | For | For | |||
| 1e. | Election of Director: Zhanna Golodryga | Management | For | For | |||
| 1f. | Election of Director: John D. Johns | Management | For | For | |||
| 1g. | Election of Director: Ruth Ann Marshall | Management | For | For | |||
| 1h. | Election of Director: Charles D. McCrary | Management | For | For | |||
| 1i. | Election of Director: James T. Prokopanko | Management | For | For | |||
| 1j. | Election of Director: Lee J. Styslinger III | Management | For | For | |||
| 1k. | Election of Director: Jose S. Suquet | Management | For | For | |||
| 1l. | Election of Director: John M. Turner, Jr. | Management | For | For | |||
| 1m. | Election of Director: Timothy Vines | Management | For | For | |||
| 2. | Ratification of Appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for 2019. | Management | For | For | |||
| 3. | Advisory Vote on Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 7,538 | 0 | 12-Mar-2019 | 25-Apr-2019 |
| W.W. GRAINGER, INC. | |||||
| Security | 384802104 | Meeting Type | Annual | ||
| Ticker Symbol | GWW | Meeting Date | 24-Apr-2019 | ||
| ISIN | US3848021040 | Agenda | 934941798 - Management | ||
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Rodney C. Adkins | For | For | |||||
| 2 | Brian P. Anderson | For | For | |||||
| 3 | V. Ann Hailey | For | For | |||||
| 4 | Stuart L. Levenick | For | For | |||||
| 5 | D.G. Macpherson | For | For | |||||
| 6 | Neil S. Novich | For | For | |||||
| 7 | Beatriz R. Perez | For | For | |||||
| 8 | Michael J. Roberts | For | For | |||||
| 9 | E. Scott Santi | For | For | |||||
| 10 | James D. Slavik | For | For | |||||
| 11 | Lucas E. Watson | For | For | |||||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as independent auditor for the year ending December 31, 2019. | Management | For | For | ||||
| 3. | Say on Pay: Advisory proposal to approve compensation of the Company's Named Executive Officers. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 391 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| MARATHON PETROLEUM CORPORATION | |||||
| Security | 56585A102 | Meeting Type | Annual | ||
| Ticker Symbol | MPC | Meeting Date | 24-Apr-2019 | ||
| ISIN | US56585A1025 | Agenda | 934941976 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class II Director: Evan Bayh | Management | For | For | |||
| 1b. | Election of Class II Director: Charles E. Bunch | Management | For | For | |||
| 1c. | Election of Class II Director: Edward G. Galante | Management | For | For | |||
| 1d. | Election of Class II Director: Kim K.W. Rucker | Management | For | For | |||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the company's independent auditor for 2019. | Management | For | For | |||
| 3. | Approval, on an advisory basis, of the company's named executive officer compensation. | Management | For | For | |||
| 4. | Shareholder proposal seeking a shareholder right to action by written consent. | Shareholder | Against | For | |||
| 5. | Shareholder proposal seeking an independent chairman policy. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,738 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| T. ROWE PRICE GROUP, INC. | |||||
| Security | 74144T108 | Meeting Type | Annual | ||
| Ticker Symbol | TROW | Meeting Date | 25-Apr-2019 | ||
| ISIN | US74144T1088 | Agenda | 934937991 - Management | ||
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Mark S. Bartlett | Management | For | For | |||
| 1b. | Election of Director: Mary K. Bush | Management | For | For | |||
| 1c. | Election of Director: Dr. Freeman A. Hrabowski, III | Management | For | For | |||
| 1d. | Election of Director: Robert F. MacLellan | Management | For | For | |||
| 1e. | Election of Director: Olympia J. Snowe | Management | For | For | |||
| 1f. | Election of Director: William J. Stromberg | Management | For | For | |||
| 1g. | Election of Director: Richard R. Verma | Management | For | For | |||
| 1h. | Election of Director: Sandra S. Wijnberg | Management | For | For | |||
| 1i. | Election of Director: Alan D. Wilson | Management | For | For | |||
| 2. | To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. | Management | For | For | |||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,173 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| MSCI INC. | |||||
| Security | 55354G100 | Meeting Type | Annual | ||
| Ticker Symbol | MSCI | Meeting Date | 25-Apr-2019 | ||
| ISIN | US55354G1004 | Agenda | 934938640 - Management | ||
| Record Date | 27-Feb-2019 | Holding Recon Date | 27-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Henry A. Fernandez | Management | For | For | |||
| 1b. | Election of Director: Robert G. Ashe | Management | For | For | |||
| 1c. | Election of Director: Benjamin F. duPont | Management | For | For | |||
| 1d. | Election of Director: Wayne Edmunds | Management | For | For | |||
| 1e. | Election of Director: Alice W. Handy | Management | For | For | |||
| 1f. | Election of Director: Catherine R. Kinney | Management | For | For | |||
| 1g. | Election of Director: Jacques P. Perold | Management | For | For | |||
| 1h. | Election of Director: Linda H. Riefler | Management | For | For | |||
| 1i. | Election of Director: George W. Siguler | Management | For | For | |||
| 1j. | Election of Director: Marcus L. Smith | Management | For | For | |||
| 2. | To approve, by non-binding vote, our executive compensation, as described in these proxy materials. | Management | For | For | |||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 743 | 0 | 16-Mar-2019 | 26-Apr-2019 |
| TEXAS INSTRUMENTS INCORPORATED | |||||
| Security | 882508104 | Meeting Type | Annual | ||
| Ticker Symbol | TXN | Meeting Date | 25-Apr-2019 | ||
| ISIN | US8825081040 | Agenda | 934940328 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: M. A. Blinn | Management | For | For | |||
| 1b. | Election of Director: T. M. Bluedorn | Management | For | For | |||
| 1c. | Election of Director: J. F. Clark | Management | For | For | |||
| 1d. | Election of Director: C. S. Cox | Management | For | For | |||
| 1e. | Election of Director: M. S. Craighead | Management | For | For | |||
| 1f. | Election of Director: J. M. Hobby | Management | For | For | |||
| 1g. | Election of Director: R. Kirk | Management | For | For | |||
| 1h. | Election of Director: P. H. Patsley | Management | For | For | |||
| 1i. | Election of Director: R. E. Sanchez | Management | For | For | |||
| 1j. | Election of Director: R. K. Templeton | Management | For | For | |||
| 2. | Board proposal regarding advisory approval of the Company's executive compensation. | Management | For | For | |||
| 3. | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,222 | 0 | 13-Mar-2019 | 26-Apr-2019 |
| SNAP-ON INCORPORATED | |||||
| Security | 833034101 | Meeting Type | Annual | ||
| Ticker Symbol | SNA | Meeting Date | 25-Apr-2019 | ||
| ISIN | US8330341012 | Agenda | 934944768 - Management | ||
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: David C. Adams | Management | For | For | |||
| 1B. | Election of Director: Karen L. Daniel | Management | For | For | |||
| 1C. | Election of Director: Ruth Ann M. Gillis | Management | For | For | |||
| 1D. | Election of Director: James P. Holden | Management | For | For | |||
| 1E. | Election of Director: Nathan J. Jones | Management | For | For | |||
| 1F. | Election of Director: Henry W. Knueppel | Management | For | For | |||
| 1G. | Election of Director: W. Dudley Lehman | Management | For | For | |||
| 1H. | Election of Director: Nicholas T. Pinchuk | Management | For | For | |||
| 1I. | Election of Director: Gregg M. Sherrill | Management | For | For | |||
| 1J. | Election of Director: Donald J. Stebbins | Management | For | For | |||
| 2. | Proposal to ratify the appointment of Deloitte & Touche LLP as Snap-on Incorporated's independent registered public accounting firm for fiscal 2019. | Management | For | For | |||
| 3. | Advisory vote to approve the compensation of Snap-on Incorporated's named executive officers, as disclosed in "Compensation Discussion and Analysis" and "Executive Compensation Information" in the Proxy Statement. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 709 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| TORCHMARK CORPORATION | |||||
| Security | 891027104 | Meeting Type | Annual | ||
| Ticker Symbol | TMK | Meeting Date | 25-Apr-2019 | ||
| ISIN | US8910271043 | Agenda | 934955759 - Management | ||
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Charles E. Adair | Management | For | For | |||
| 1b. | Election of Director: Linda L. Addison | Management | For | For | |||
| 1c. | Election of Director: Marilyn A. Alexander | Management | For | For | |||
| 1d. | Election of Director: Cheryl D. Alston | Management | For | For | |||
| 1e. | Election of Director: Jane M. Buchan | Management | For | For | |||
| 1f. | Election of Director: Gary L. Coleman | Management | For | For | |||
| 1g. | Election of Director: Larry M. Hutchison | Management | For | For | |||
| 1h. | Election of Director: Robert W. Ingram | Management | For | For | |||
| 1i. | Election of Director: Steven P. Johnson | Management | For | For | |||
| 1j. | Election of Director: Darren M. Rebelez | Management | For | For | |||
| 1k. | Election of Director: Lamar C. Smith | Management | For | For | |||
| 1l. | Election of Director: Mary E. Thigpen | Management | For | For | |||
| 2. | Ratification of Auditors. | Management | For | For | |||
| 3. | Approval of 2018 Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,358 | 0 | 22-Mar-2019 | 26-Apr-2019 |
| THE BOEING COMPANY | |||||
| Security | 097023105 | Meeting Type | Annual | ||
| Ticker Symbol | BA | Meeting Date | 29-Apr-2019 | ||
| ISIN | US0970231058 | Agenda | 934941750 - Management | ||
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | ||
| City / Country | / United States | Vote Deadline Date | 26-Apr-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Robert A. Bradway | Management | For | For | |||
| 1b. | Election of Director: David L. Calhoun | Management | For | For | |||
| 1c. | Election of Director: Arthur D. Collins Jr. | Management | For | For | |||
| 1d. | Election of Director: Edmund P. Giambastiani Jr. | Management | For | For | |||
| 1e. | Election of Director: Lynn J. Good | Management | For | For | |||
| 1f. | Election of Director: Nikki R. Haley | Management | For | For | |||
| 1g. | Election of Director: Lawrence W. Kellner | Management | For | For | |||
| 1h. | Election of Director: Caroline B. Kennedy | Management | For | For | |||
| 1i. | Election of Director: Edward M. Liddy | Management | For | For | |||
| 1j. | Election of Director: Dennis A. Muilenburg | Management | For | For | |||
| 1k. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1l. | Election of Director: Ronald A. Williams | Management | For | For | |||
| 1m. | Election of Director: Mike S. Zafirovski | Management | For | For | |||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | |||
| 3. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2019. | Management | For | For | |||
| 4. | Additional Report on Lobbying Activities. | Shareholder | Against | For | |||
| 5. | Impact of Share Repurchases on Performance Metrics. | Shareholder | Against | For | |||
| 6. | Independent Board Chairman. | Shareholder | Against | For | |||
| 7. | Remove Size Limit on Proxy Access Group. | Shareholder | Against | For | |||
| 8. | Mandatory Retention of Significant Stock by Executives | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 340 | 0 | 16-Mar-2019 | 30-Apr-2019 |
| CHURCH & DWIGHT CO., INC. | |||||
| Security | 171340102 | Meeting Type | Annual | ||
| Ticker Symbol | CHD | Meeting Date | 02-May-2019 | ||
| ISIN | US1713401024 | Agenda | 934949869 - Management | ||
| Record Date | 05-Mar-2019 | Holding Recon Date | 05-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Bradley C. Irwin | Management | For | For | |||
| 1b. | Election of Director: Penry W. Price | Management | For | For | |||
| 1c. | Election of Director: Arthur B. Winkleblack | Management | For | For | |||
| 2. | Advisory vote to approve compensation of our named executive officers. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,607 | 0 | 23-Mar-2019 | 03-May-2019 |
| ABBVIE INC. | |||||
| Security | 00287Y109 | Meeting Type | Annual | ||
| Ticker Symbol | ABBV | Meeting Date | 03-May-2019 | ||
| ISIN | US00287Y1091 | Agenda | 934949162 - Management | ||
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | William H.L. Burnside | For | For | |||||
| 2 | Brett J. Hart | For | For | |||||
| 3 | Edward J. Rapp | For | For | |||||
| 2. | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2019 | Management | For | For | ||||
| 3. | Say on Pay - An advisory vote on the approval of executive compensation | Management | For | For | ||||
| 4. | Approval of a management proposal regarding amendment of the certificate of incorporation for a simple majority vote | Management | For | For | ||||
| 5. | Stockholder Proposal - to Issue an Annual Report on Lobbying | Shareholder | Against | For | ||||
| 6. | Stockholder Proposal - to Issue a Compensation Committee Report on Drug Pricing | Shareholder | Against | For | ||||
| 7. | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman | Shareholder | Against | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,239 | 0 | 23-Mar-2019 | 06-May-2019 |
| ILLINOIS TOOL WORKS INC. | |||||
| Security | 452308109 | Meeting Type | Annual | ||
| Ticker Symbol | ITW | Meeting Date | 03-May-2019 | ||
| ISIN | US4523081093 | Agenda | 934949314 - Management | ||
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Daniel J. Brutto | Management | For | For | |||
| 1b. | Election of Director: Susan Crown | Management | For | For | |||
| 1c. | Election of Director: James W. Griffith | Management | For | For | |||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | |||
| 1e. | Election of Director: Richard H. Lenny | Management | For | For | |||
| 1f. | Election of Director: E. Scott Santi | Management | For | For | |||
| 1g. | Election of Director: James A. Skinner | Management | For | For | |||
| 1h. | Election of Director: David B. Smith, Jr. | Management | For | For | |||
| 1i. | Election of Director: Pamela B. Strobel | Management | For | For | |||
| 1j. | Election of Director: Kevin M. Warren | Management | For | For | |||
| 1k. | Election of Director: Anre D. Williams | Management | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as ITW's independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve compensation of ITW's named executive officers. | Management | For | For | |||
| 4. | A non-binding stockholder proposal, if presented at the meeting, to permit stockholders to act by written consent. | Shareholder | Against | For | |||
| 5. | A non-binding stockholder proposal, if presented at the meeting, to set Company-wide greenhouse gas emissions targets. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 855 | 0 | 23-Mar-2019 | 06-May-2019 |
| EXPEDITORS INT'L OF WASHINGTON, INC. | |||||
| Security | 302130109 | Meeting Type | Annual | ||
| Ticker Symbol | EXPD | Meeting Date | 07-May-2019 | ||
| ISIN | US3021301094 | Agenda | 934947574 - Management | ||
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 06-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Robert R. Wright | Management | For | For | |||
| 1B. | Election of Director: Glenn M. Alger | Management | For | For | |||
| 1C. | Election of Director: Robert P. Carlile | Management | For | For | |||
| 1D. | Election of Director: James M. DuBois | Management | For | For | |||
| 1E. | Election of Director: Mark A. Emmert | Management | For | For | |||
| 1F. | Election of Director: Diane H. Gulyas | Management | For | For | |||
| 1G. | Election of Director: Richard B. McCune | Management | For | For | |||
| 1H. | Election of Director: Alain Monié | Management | For | For | |||
| 1I. | Election of Director: Jeffrey S. Musser | Management | For | For | |||
| 1J. | Election of Director: Liane J. Pelletier | Management | For | For | |||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | |||
| 3. | Approve Amendment to Employee Stock Purchase Plan | Management | For | For | |||
| 4. | Ratification of Independent Registered Public Accounting Firm | Management | For | For | |||
| 5. | Shareholder Proposal: Political Disclosure Shareholder Resolution | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,553 | 0 | 28-Mar-2019 | 08-May-2019 |
| PHILLIPS 66 | |||||
| Security | 718546104 | Meeting Type | Annual | ||
| Ticker Symbol | PSX | Meeting Date | 08-May-2019 | ||
| ISIN | US7185461040 | Agenda | 934954012 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 07-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Greg C. Garland | Management | For | For | |||
| 1b. | Election of Director: Gary K. Adams | Management | For | For | |||
| 1c. | Election of Director: John E. Lowe | Management | For | For | |||
| 1d. | Election of Director: Denise L. Ramos | Management | For | For | |||
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2019. | Management | For | For | |||
| 3. | Advisory vote to approve our executive compensation. | Management | For | For | |||
| 4. | Advisory vote on the frequency of future shareholder advisory votes to approve executive compensation. | Management | 1 Year | For | |||
| 5. | Proposal Withdrawn | Shareholder | Against |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,258 | 0 | 30-Mar-2019 | 09-May-2019 |
| NUCOR CORPORATION | |||||
| Security | 670346105 | Meeting Type | Annual | ||
| Ticker Symbol | NUE | Meeting Date | 09-May-2019 | ||
| ISIN | US6703461052 | Agenda | 934959341 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Lloyd J. Austin III | For | For | |||||
| 2 | Patrick J. Dempsey | For | For | |||||
| 3 | John J. Ferriola | For | For | |||||
| 4 | Victoria F. Haynes Ph.D | For | For | |||||
| 5 | Christopher J. Kearney | For | For | |||||
| 6 | Laurette T. Koellner | For | For | |||||
| 7 | John H. Walker | For | For | |||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Nucor's independent registered public accounting firm for the year ending December 31, 2019 | Management | For | For | ||||
| 3. | Approval, on an advisory basis, of Nucor's named executive officer compensation in 2018 | Management | For | For | ||||
| 4. | Stockholder proposal regarding lobbying report | Shareholder | Against | For | ||||
| 5. | Stockholder proposal regarding political spending report | Shareholder | Against | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,867 | 0 | 26-Mar-2019 | 10-May-2019 |
| TRACTOR SUPPLY COMPANY | |||||
| Security | 892356106 | Meeting Type | Annual | ||
| Ticker Symbol | TSCO | Meeting Date | 09-May-2019 | ||
| ISIN | US8923561067 | Agenda | 934962704 - Management | ||
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Cynthia T. Jamison | For | For | |||||
| 2 | Ricardo Cardenas | For | For | |||||
| 3 | Denise L. Jackson | For | For | |||||
| 4 | Thomas A. Kingsbury | For | For | |||||
| 5 | Ramkumar Krishnan | For | For | |||||
| 6 | George MacKenzie | For | For | |||||
| 7 | Edna K. Morris | For | For | |||||
| 8 | Mark J. Weikel | For | For | |||||
| 9 | Gregory A. Sandfort | For | For | |||||
| 2. | To ratify the re-appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 28, 2019 | Management | For | For | ||||
| 3. | Say on Pay - An advisory vote to approve executive compensation | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,209 | 0 | 27-Mar-2019 | 10-May-2019 |
| S&P GLOBAL INC. | |||||
| Security | 78409V104 | Meeting Type | Annual | ||
| Ticker Symbol | SPGI | Meeting Date | 09-May-2019 | ||
| ISIN | US78409V1044 | Agenda | 934964695 - Management | ||
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Marco Alverà | Management | For | For | |||
| 1b. | Election of Director: William J. Amelio | Management | For | For | |||
| 1c. | Election of Director: William D. Green | Management | For | For | |||
| 1d. | Election of Director: Charles E. Haldeman, Jr. | Management | For | For | |||
| 1e. | Election of Director: Stephanie C. Hill | Management | For | For | |||
| 1f. | Election of Director: Rebecca Jacoby | Management | For | For | |||
| 1g. | Election of Director: Monique F. Leroux | Management | For | For | |||
| 1h. | Election of Director: Maria R. Morris | Management | For | For | |||
| 1i. | Election of Director: Douglas L. Peterson | Management | For | For | |||
| 1j. | Election of Director: Edward B. Rust, Jr. | Management | For | For | |||
| 1k. | Election of Director: Kurt L. Schmoke | Management | For | For | |||
| 1l. | Election of Director: Richard E. Thornburgh | Management | For | For | |||
| 2. | Vote to approve, on an advisory basis, the executive compensation program for the Company's named executive officers. | Management | For | For | |||
| 3. | Vote to approve the Company's 2019 Stock Incentive Plan. | Management | For | For | |||
| 4. | Vote to approve the Company's Director Deferred Stock Ownership Plan, as Amended and Restated. | Management | For | For | |||
| 5. | Vote to ratify the selection of Ernst & Young LLP as our independent Registered Public Accounting Firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 659 | 0 | 28-Mar-2019 | 10-May-2019 |
| IDEX CORPORATION | |||||
| Security | 45167R104 | Meeting Type | Annual | ||
| Ticker Symbol | IEX | Meeting Date | 10-May-2019 | ||
| ISIN | US45167R1041 | Agenda | 934956991 - Management | ||
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | ERNEST J. MROZEK | For | For | |||||
| 2 | L. L. SATTERTHWAITE | For | For | |||||
| 3 | DAVID C. PARRY | For | For | |||||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2019. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 812 | 0 | 23-Mar-2019 | 13-May-2019 |
| MARRIOTT INTERNATIONAL, INC. | |||||
| Security | 571903202 | Meeting Type | Annual | ||
| Ticker Symbol | MAR | Meeting Date | 10-May-2019 | ||
| ISIN | US5719032022 | Agenda | 934995260 - Management | ||
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: J.W. Marriott, Jr. | Management | For | For | |||
| 1B. | Election of Director: Mary K. Bush | Management | For | For | |||
| 1C. | Election of Director: Bruce W. Duncan | Management | For | For | |||
| 1D. | Election of Director: Deborah M. Harrison | Management | For | For | |||
| 1E. | Election of Director: Frederick A. Henderson | Management | For | For | |||
| 1F. | Election of Director: Eric Hippeau | Management | For | For | |||
| 1G. | Election of Director: Lawrence W. Kellner | Management | For | For | |||
| 1H. | Election of Director: Debra L. Lee | Management | For | For | |||
| 1I. | Election of Director: Aylwin B. Lewis | Management | For | For | |||
| 1J. | Election of Director: Margaret M. McCarthy | Management | For | For | |||
| 1K. | Election of Director: George Muñoz | Management | For | For | |||
| 1L. | Election of Director: Steven S Reinemund | Management | For | For | |||
| 1M. | Election of Director: Susan C. Schwab | Management | For | For | |||
| 1N. | Election of Director: Arne M. Sorenson | Management | For | For | |||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2019 | Management | For | For | |||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | |||
| 4a. | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE SUPERMAJORITY VOTING STANDARD FOR THE REMOVAL OF DIRECTORS | Management | For | For | |||
| 4b. | 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 RESTATED CERTIFICATE OF INCORPORATION APPROVED BY OUR STOCKHOLDERS | Management | For | For | |||
| 4c. | 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 | For | For | |||
| 4d. | 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 | For | For | |||
| 4e. | 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 | For | For | |||
| 5. | STOCKHOLDER RESOLUTION RECOMMENDING THAT STOCKHOLDERS BE ALLOWED TO ACT BY WRITTEN CONSENT IF PROPERLY PRESENTED AT THE MEETING | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 982 | 0 | 16-Apr-2019 | 13-May-2019 |
| ZOETIS INC. | |||||
| Security | 98978V103 | Meeting Type | Annual | ||
| Ticker Symbol | ZTS | Meeting Date | 15-May-2019 | ||
| ISIN | US98978V1035 | Agenda | 934962110 - Management | ||
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Director: Juan Ramon Alaix | Management | For | For | |||
| 1.2 | Election of Director: Paul M. Bisaro | Management | For | For | |||
| 1.3 | Election of Director: Frank A. D'Amelio | Management | For | For | |||
| 1.4 | Election of Director: Michael B. McCallister | Management | For | For | |||
| 2. | Advisory vote to approve our executive compensation (Say on Pay) | Management | For | For | |||
| 3. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,247 | 0 | 03-Apr-2019 | 16-May-2019 |
| LEAR CORPORATION | |||||
| Security | 521865204 | Meeting Type | Annual | ||
| Ticker Symbol | LEA | Meeting Date | 16-May-2019 | ||
| ISIN | US5218652049 | Agenda | 934961966 - Management | ||
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Thomas P. Capo | Management | For | For | |||
| 1b. | Election of Director: Mei-Wei Cheng | Management | For | For | |||
| 1c. | Election of Director: Jonathan F. Foster | Management | For | For | |||
| 1d. | Election of Director: Mary Lou Jepsen | Management | For | For | |||
| 1e. | Election of Director: Kathleen A. Ligocki | Management | For | For | |||
| 1f. | Election of Director: Conrad L. Mallett, Jr. | Management | For | For | |||
| 1g. | Election of Director: Raymond E. Scott | Management | For | For | |||
| 1h. | Election of Director: Gregory C. Smith | Management | For | For | |||
| 1i. | Election of Director: Henry D.G. Wallace | Management | For | For | |||
| 2. | Ratification of the retention of Ernst & Young LLP as our independent registered public accounting firm for 2019. | Management | For | For | |||
| 3. | Advisory vote to approve Lear Corporation's executive compensation. | Management | For | For | |||
| 4. | Vote to approve Lear Corporation's 2019 Long-Term Stock Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 853 | 0 | 30-Mar-2019 | 17-May-2019 |
| STEEL DYNAMICS, INC. | |||||
| Security | 858119100 | Meeting Type | Annual | ||
| Ticker Symbol | STLD | Meeting Date | 16-May-2019 | ||
| ISIN | US8581191009 | Agenda | 934964708 - Management | ||
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Mark D. Millett | For | For | |||||
| 2 | Sheree L. Bargabos | For | For | |||||
| 3 | Keith E. Busse | For | For | |||||
| 4 | Frank D. Byrne, M.D. | For | For | |||||
| 5 | Kenneth W. Cornew | For | For | |||||
| 6 | Traci M. Dolan | For | For | |||||
| 7 | James C. Marcuccilli | For | For | |||||
| 8 | Bradley S. Seaman | For | For | |||||
| 9 | Gabriel L. Shaheen | For | For | |||||
| 10 | Steven A. Sonnenberg | For | For | |||||
| 11 | Richard P. Teets, Jr. | For | For | |||||
| 2. | TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS STEEL DYNAMICS INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR 2019 | Management | For | For | ||||
| 3. | TO HOLD AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS | Management | For | For | ||||
| 4. | TO APPROVE THE AMENDED AND RESTATED STEEL DYNAMICS, INC. 2015 EQUITY INCENTIVE PLAN | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 3,469 | 0 | 28-Mar-2019 | 17-May-2019 |
| UNION PACIFIC CORPORATION | |||||
| Security | 907818108 | Meeting Type | Annual | ||
| Ticker Symbol | UNP | Meeting Date | 16-May-2019 | ||
| ISIN | US9078181081 | Agenda | 934970383 - Management | ||
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Andrew H. Card Jr. | Management | For | For | |||
| 1b. | Election of Director: Erroll B. Davis Jr. | Management | For | For | |||
| 1c. | Election of Director: William J. DeLaney | Management | For | For | |||
| 1d. | Election of Director: David B. Dillon | Management | For | For | |||
| 1e. | Election of Director: Lance M. Fritz | Management | For | For | |||
| 1f. | Election of Director: Deborah C. Hopkins | Management | For | For | |||
| 1g. | Election of Director: Jane H. Lute | Management | For | For | |||
| 1h. | Election of Director: Michael R. McCarthy | Management | For | For | |||
| 1i. | Election of Director: Thomas F. McLarty III | Management | For | For | |||
| 1j. | Election of Director: Bhavesh V. Patel | Management | For | For | |||
| 1k. | Election of Director: Jose H. Villarreal | Management | For | For | |||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2019. | Management | For | For | |||
| 3. | An advisory vote to approve executive compensation ("Say on Pay"). | Management | For | For | |||
| 4. | Shareholder proposal regarding Independent Chairman if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 731 | 0 | 06-Apr-2019 | 17-May-2019 |
| CBOE GLOBAL MARKETS, INC. | |||||
| Security | 12503M108 | Meeting Type | Annual | ||
| Ticker Symbol | CBOE | Meeting Date | 16-May-2019 | ||
| ISIN | US12503M1080 | Agenda | 934976525 - Management | ||
| Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Edward T. Tilly | Management | For | For | |||
| 1b. | Election of Director: Eugene S. Sunshine | Management | For | For | |||
| 1c. | Election of Director: Frank E. English, Jr. | Management | For | For | |||
| 1d. | Election of Director: William M. Farrow III | Management | For | For | |||
| 1e. | Election of Director: Edward J. Fitzpatrick | Management | For | For | |||
| 1f. | Election of Director: Janet P. Froetscher | Management | For | For | |||
| 1g. | Election of Director: Jill R. Goodman | Management | For | For | |||
| 1h. | Election of Director: Roderick A. Palmore | Management | For | For | |||
| 1i. | Election of Director: James E. Parisi | Management | For | For | |||
| 1j. | Election of Director: Joseph P. Ratterman | Management | For | For | |||
| 1k. | Election of Director: Michael L. Richter | Management | For | For | |||
| 1l. | Election of Director: Jill E. Sommers | Management | For | For | |||
| 1m. | Election of Director: Carole E. Stone | Management | For | For | |||
| 2. | Advisory proposal to approve the Company's executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of the independent registered public accounting firm. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,030 | 0 | 04-Apr-2019 | 17-May-2019 |
| WESTLAKE CHEMICAL CORPORATION | |||||
| Security | 960413102 | Meeting Type | Annual | ||
| Ticker Symbol | WLK | Meeting Date | 17-May-2019 | ||
| ISIN | US9604131022 | Agenda | 934959365 - Management | ||
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 16-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Albert Chao | For | For | |||||
| 2 | David Chao | For | For | |||||
| 3 | Michael J. Graff | For | For | |||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP to serve as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,592 | 0 | 06-Apr-2019 | 20-May-2019 |
| CDW CORP | |||||
| Security | 12514G108 | Meeting Type | Annual | ||
| Ticker Symbol | CDW | Meeting Date | 21-May-2019 | ||
| ISIN | US12514G1085 | Agenda | 934966043 - Management | ||
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 20-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class III Director: Lynda M. Clarizio | Management | For | For | |||
| 1b. | Election of Class III Director: Christine A. Leahy | Management | For | For | |||
| 1c. | Election of Class III Director: Thomas E. Richards | Management | For | For | |||
| 1d. | Election of Class III Director: Joseph R. Swedish | Management | For | For | |||
| 2. | To approve, on an advisory basis, named executive officer compensation. | Management | For | For | |||
| 3. | To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,252 | 0 | 11-Apr-2019 | 22-May-2019 |
| ROSS STORES, INC. | |||||
| Security | 778296103 | Meeting Type | Annual | ||
| Ticker Symbol | ROST | Meeting Date | 22-May-2019 | ||
| ISIN | US7782961038 | Agenda | 934968794 - Management | ||
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Michael Balmuth | Management | For | For | |||
| 1b. | Election of Director: K. Gunnar Bjorklund | Management | For | For | |||
| 1c. | Election of Director: Michael J. Bush | Management | For | For | |||
| 1d. | Election of Director: Norman A. Ferber | Management | For | For | |||
| 1e. | Election of Director: Sharon D. Garrett | Management | For | For | |||
| 1f. | Election of Director: Stephen D. Milligan | Management | For | For | |||
| 1g. | Election of Director: George P. Orban | Management | For | For | |||
| 1h. | Election of Director: Michael O'Sullivan | Management | For | For | |||
| 1i. | Election of Director: Gregory L. Quesnel | Management | For | For | |||
| 1j. | Election of Director: Barbara Rentler | Management | For | For | |||
| 2. | Advisory vote to approve the resolution on the compensation of the named executive officers. | Management | For | For | |||
| 3. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending February 1, 2020. | Management | For | For | |||
| 4. | To vote on a stockholder proposal on Greenhouse Gas Emissions Goals, if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 1,466 | 0 | 10-Apr-2019 | 23-May-2019 |
| NVIDIA CORPORATION | |||||
| Security | 67066G104 | Meeting Type | Annual | ||
| Ticker Symbol | NVDA | Meeting Date | 22-May-2019 | ||
| ISIN | US67066G1040 | Agenda | 934982807 - Management | ||
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a | Election of Director: Robert K. Burgess | Management | For | For | |||
| 1b. | Election of Director: Tench Coxe | Management | For | For | |||
| 1c. | Election of Director: Persis S. Drell | Management | For | For | |||
| 1d. | Election of Director: James C. Gaither | Management | For | For | |||
| 1e. | Election of Director: Jen-Hsun Huang | Management | For | For | |||
| 1f. | Election of Director: Dawn Hudson | Management | For | For | |||
| 1g. | Election of Director: Harvey C. Jones | Management | For | For | |||
| 1h. | Election of Director: Michael G. McCaffery | Management | For | For | |||
| 1i. | Election of Director: Stephen C. Neal | Management | For | For | |||
| 1j. | Election of Director: Mark L. Perry | Management | For | For | |||
| 1k. | Election of Director: A. Brooke Seawell | Management | For | For | |||
| 1l. | Election of Director: Mark A. Stevens | Management | For | For | |||
| 2. | Approval of our executive compensation. | Management | For | For | |||
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | Management | For | For | |||
| 4. | Approval of an amendment and restatement of our Certificate of Incorporation to eliminate supermajority voting to remove a director without cause. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 777 | 0 | 13-Apr-2019 | 23-May-2019 |
| THE HOME DEPOT, INC. | |||||
| Security | 437076102 | Meeting Type | Annual | ||
| Ticker Symbol | HD | Meeting Date | 23-May-2019 | ||
| ISIN | US4370761029 | Agenda | 934976157 - Management | ||
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: Gerard J. Arpey | Management | For | For | |||
| 1b. | Election of Director: Ari Bousbib | Management | For | For | |||
| 1c. | Election of Director: Jeffery H. Boyd | Management | For | For | |||
| 1d. | Election of Director: Gregory D. Brenneman | Management | For | For | |||
| 1e. | Election of Director: J. Frank Brown | Management | For | For | |||
| 1f. | Election of Director: Albert P. Carey | Management | For | For | |||
| 1g. | Election of Director: Helena B. Foulkes | Management | For | For | |||
| 1h. | Election of Director: Linda R. Gooden | Management | For | For | |||
| 1i. | Election of Director: Wayne M. Hewett | Management | For | For | |||
| 1j. | Election of Director: Manuel Kadre | Management | For | For | |||
| 1k. | Election of Director: Stephanie C. Linnartz | Management | For | For | |||
| 1l. | Election of Director: Craig A. Menear | Management | For | For | |||
| 2. | Ratification of the Appointment of KPMG LLP | Management | For | For | |||
| 3. | Advisory Vote to Approve Executive Compensation ("Say-on-Pay") | Management | For | For | |||
| 4. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Against | For | |||
| 5. | Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares | Shareholder | Against | For | |||
| 6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 617 | 0 | 09-Apr-2019 | 24-May-2019 |
| LENNOX INTERNATIONAL INC. | |||||
| Security | 526107107 | Meeting Type | Annual | ||
| Ticker Symbol | LII | Meeting Date | 23-May-2019 | ||
| ISIN | US5261071071 | Agenda | 934985726 - Management | ||
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | ||
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Todd M. Bluedorn | For | For | |||||
| 2 | Max H. Mitchell | For | For | |||||
| 3 | Kim K.W. Rucker | For | For | |||||
| 2. | Advisory vote to approve the compensation of the named executive officers as disclosed in our proxy statement. | Management | For | For | ||||
| 3. | To approve the Lennox International Inc. 2019 Equity and Incentive Compensation Plan. | Management | For | For | ||||
| 4. | Ratifying the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 509 | 0 | 13-Apr-2019 | 24-May-2019 |
| UNITEDHEALTH GROUP INCORPORATED | |||||
| Security | 91324P102 | Meeting Type | Annual | ||
| Ticker Symbol | UNH | Meeting Date | 03-Jun-2019 | ||
| ISIN | US91324P1021 | Agenda | 934998963 - Management | ||
| Record Date | 09-Apr-2019 | Holding Recon Date | 09-Apr-2019 | ||
| City / Country | / United States | Vote Deadline Date | 31-May-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Director: William C. Ballard, Jr. | Management | For | For | |||
| 1b. | Election of Director: Richard T. Burke | Management | For | For | |||
| 1c. | Election of Director: Timothy P. Flynn | Management | For | For | |||
| 1d. | Election of Director: Stephen J. Hemsley | Management | For | For | |||
| 1e. | Election of Director: Michele J. Hooper | Management | For | For | |||
| 1f. | Election of Director: F. William McNabb III | Management | For | For | |||
| 1g. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | |||
| 1h. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | |||
| 1i. | Election of Director: Glenn M. Renwick | Management | For | For | |||
| 1j. | Election of Director: David S. Wichmann | Management | For | For | |||
| 1k. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | For | |||
| 2. | Advisory approval of the Company's executive compensation. | Management | For | For | |||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2019. | Management | For | For | |||
| 4. | The shareholder proposal set forth in the proxy statement requesting an amendment to the proxy access bylaw, if properly presented at the 2019 Annual Meeting of Shareholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 406 | 0 | 20-Apr-2019 | 04-Jun-2019 |
| THE TJX COMPANIES, INC. | |||||
| Security | 872540109 | Meeting Type | Annual | ||
| Ticker Symbol | TJX | Meeting Date | 04-Jun-2019 | ||
| ISIN | US8725401090 | Agenda | 935015342 - Management | ||
| Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||
| City / Country | / United States | Vote Deadline Date | 03-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1A. | Election of Director: Zein Abdalla | Management | For | For | |||
| 1B. | Election of Director: Alan M. Bennett | Management | For | For | |||
| 1C. | Election of Director: Rosemary T. Berkery | Management | For | For | |||
| 1D. | Election of Director: David T. Ching | Management | For | For | |||
| 1E. | Election of Director: Ernie Herrman | Management | For | For | |||
| 1F. | Election of Director: Michael F. Hines | Management | For | For | |||
| 1G. | Election of Director: Amy B. Lane | Management | For | For | |||
| 1H. | Election of Director: Carol Meyrowitz | Management | For | For | |||
| 1I. | Election of Director: Jackwyn L. Nemerov | Management | For | For | |||
| 1J. | Election of Director: John F. O'Brien | Management | For | For | |||
| 1K. | Election of Director: Willow B. Shire | Management | For | For | |||
| 2. | Ratification of appointment of PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2020 | Management | For | For | |||
| 3. | Advisory approval of TJX's executive compensation (the say-on-pay vote) | Management | For | For | |||
| 4. | Shareholder proposal for a report on compensation disparities based on race, gender, or ethnicity | Shareholder | Against | For | |||
| 5. | Shareholder proposal for a report on prison labor | Shareholder | Against | For | |||
| 6. | Shareholder proposal for a report on human rights risks | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 2,552 | 0 | 01-May-2019 | 05-Jun-2019 |
| MASTERCARD INCORPORATED | |||||
| Security | 57636Q104 | Meeting Type | Annual | ||
| Ticker Symbol | MA | Meeting Date | 25-Jun-2019 | ||
| ISIN | US57636Q1040 | Agenda | 935017233 - Management | ||
| Record Date | 26-Apr-2019 | Holding Recon Date | 26-Apr-2019 | ||
| City / Country | / United States | Vote Deadline Date | 24-Jun-2019 | ||
| SEDOL(s) | Quick Code | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of director: Richard Haythornthwaite | Management | For | For | |||
| 1b. | Election of director: Ajay Banga | Management | For | For | |||
| 1c. | Election of director: David R. Carlucci | Management | For | For | |||
| 1d. | Election of director: Richard K. Davis | Management | For | For | |||
| 1e. | Election of director: Steven J. Freiberg | Management | For | For | |||
| 1f. | Election of director: Julius Genachowski | Management | For | For | |||
| 1g. | Election of director: Choon Phong Goh | Management | For | For | |||
| 1h. | Election of director: Merit E. Janow | Management | For | For | |||
| 1i. | Election of director: Oki Matsumoto | Management | For | For | |||
| 1j. | Election of director: Youngme Moon | Management | For | For | |||
| 1k. | Election of director: Rima Qureshi | Management | For | For | |||
| 1l. | Election of director: José Octavio Reyes Lagunes | Management | For | For | |||
| 1m. | Election of director: Gabrielle Sulzberger | Management | For | For | |||
| 1n. | Election of director: Jackson Tai | Management | For | For | |||
| 1o. | Election of director: Lance Uggla | Management | For | For | |||
| 2. | Advisory approval of Mastercard's executive compensation | Management | For | For | |||
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2019 | Management | For | For | |||
| 4. | Consideration of a stockholder proposal on gender pay gap | Shareholder | Against | For | |||
| 5. | Consideration of a stockholder proposal on creation of a human rights committee | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
| 000348559 | REALITY SHARES DIVCON DIVIDEND GUARD ETF | 348559 | BNY MELLON | 413 | 0 | 02-May-2019 | 26-Jun-2019 | ||
| 000519893 | RS DIVCON DIV GUARD PLG BNP INTL | 000519893 | BNY MELLON | 570 | 0 | 02-May-2019 | 26-Jun-2019 |
Reality Shares DIVCON Leaders Dividend ETF
Form NP-X Summary (2018 - 2019)
| MICROCHIP TECHNOLOGY INCORPORATED | ||||
| Security | 595017104 | Meeting Type | Annual | |
| Ticker Symbol | MCHP | Meeting Date | 14-Aug-2018 | |
| ISIN | US5950171042 | Agenda | 934858068 - Management | |
| Record Date | 21-Jun-2018 | Holding Recon Date | 21-Jun-2018 | |
| City / Country | / United States | Vote Deadline Date | 13-Aug-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | Election of Director: Steve Sanghi | Management | For | For | ||
| 1.2 | Election of Director: Matthew W. Chapman | Management | For | For | ||
| 1.3 | Election of Director: L.B. Day | Management | For | For | ||
| 1.4 | Election of Director: Esther L. Johnson | Management | For | For | ||
| 1.5 | Election of Director: Wade F. Meyercord | Management | For | For | ||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as the independent registered public accounting firm of Microchip for the fiscal year ending March 31, 2019. | Management | For | For | ||
| 3. | Proposal to approve, on an advisory (non-binding) basis, the compensation of our named executives. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 9,142 | 0 | 19-Jul-2018 | 15-Aug-2018 |
| NIKE, INC. | ||||
| Security | 654106103 | Meeting Type | Annual | |
| Ticker Symbol | NKE | Meeting Date | 20-Sep-2018 | |
| ISIN | US6541061031 | Agenda | 934864237 - Management | |
| Record Date | 20-Jul-2018 | Holding Recon Date | 20-Jul-2018 | |
| City / Country | / United States | Vote Deadline Date | 19-Sep-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 | Alan B. Graf, Jr. | For | For | ||||
| 2 | John C. Lechleiter | For | For | ||||
| 3 | Michelle A. Peluso | �� | For | For | |||
| 2. | To approve executive compensation by an advisory vote. | Management | For | For | |||
| 3. | To consider a shareholder proposal regarding political contributions disclosure. | Shareholder | Against | For | |||
| 4. | To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. | Management | For | For | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 13,340 | 0 | 09-Aug-2018 | 21-Sep-2018 |
| HARRIS CORPORATION | ||||
| Security | 413875105 | Meeting Type | Annual | |
| Ticker Symbol | HRS | Meeting Date | 26-Oct-2018 | |
| ISIN | US4138751056 | Agenda | 934875420 - Management | |
| Record Date | 31-Aug-2018 | Holding Recon Date | 31-Aug-2018 | |
| City / Country | / United States | Vote Deadline Date | 25-Oct-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: James F. Albaugh | Management | For | For | ||
| 1b. | Election of Director: Sallie B. Bailey | Management | For | For | ||
| 1c. | Election of Director: William M. Brown | Management | For | For | ||
| 1d. | Election of Director: Peter W. Chiarelli | Management | For | For | ||
| 1e. | Election of Director: Thomas A. Dattilo | Management | For | For | ||
| 1f. | Election of Director: Roger B. Fradin | Management | For | For | ||
| 1g. | Election of Director: Lewis Hay III | Management | For | For | ||
| 1h. | Election of Director: Vyomesh I. Joshi | Management | For | For | ||
| 1i. | Election of Director: Leslie F. Kenne | Management | For | For | ||
| 1j. | Election of Director: Gregory T. Swienton | Management | For | For | ||
| 1k. | Election of Director: Hansel E. Tookes II | Management | For | For | ||
| 2. | Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Management | For | For | ||
| 3. | Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,580 | 0 | 17-Sep-2018 | 29-Oct-2018 |
| KLA-TENCOR CORPORATION | ||||
| Security | 482480100 | Meeting Type | Annual | |
| Ticker Symbol | KLAC | Meeting Date | 07-Nov-2018 | |
| ISIN | US4824801009 | Agenda | 934879593 - Management | |
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 06-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Edward W. Barnholt | Management | For | For | ||
| 1b. | Election of Director: Robert M. Calderoni | Management | For | For | ||
| 1c. | Election of Director: John T. Dickson | Management | For | For | ||
| 1d. | Election of Director: Emiko Higashi | Management | For | For | ||
| 1e. | Election of Director: Kevin J. Kennedy | Management | For | For | ||
| 1f. | Election of Director: Gary B. Moore | Management | For | For | ||
| 1g. | Election of Director: Kiran M. Patel | Management | For | For | ||
| 1h. | Election of Director: Ana G. Pinczuk | Management | For | For | ||
| 1i. | Election of Director: Robert A. Rango | Management | For | For | ||
| 1j. | Election of Director: Richard P. Wallace | Management | For | For | ||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | ||
| 3. | Approval on a non-binding, advisory basis of our named executive officer compensation. | Management | For | For | ||
| 4. | Adoption of our Amended and Restated 2004 Equity Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,686 | 0 | 01-Oct-2018 | 08-Nov-2018 |
| MAXIM INTEGRATED PRODUCTS, INC. | ||||
| Security | 57772K101 | Meeting Type | Annual | |
| Ticker Symbol | MXIM | Meeting Date | 08-Nov-2018 | |
| ISIN | US57772K1016 | Agenda | 934880142 - Management | |
| Record Date | 13-Sep-2018 | Holding Recon Date | 13-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 07-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: William P. Sullivan | Management | For | For | ||
| 1b. | Election of Director: Tunc Doluca | Management | For | For | ||
| 1c. | Election of Director: Tracy C. Accardi | Management | For | For | ||
| 1d. | Election of Director: James R. Bergman | Management | For | For | ||
| 1e. | Election of Director: Joseph R. Bronson | Management | For | For | ||
| 1f. | Election of Director: Robert E. Grady | Management | For | For | ||
| 1g. | Election of Director: William D. Watkins | Management | For | For | ||
| 1h. | Election of Director: MaryAnn Wright | Management | For | For | ||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as Maxim Integrated's independent registered public accounting firm for the fiscal year ending June 29, 2019. | Management | For | For | ||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 15,453 | 0 | 01-Oct-2018 | 09-Nov-2018 |
| THE ESTEE LAUDER COMPANIES INC. | ||||
| Security | 518439104 | Meeting Type | Annual | |
| Ticker Symbol | EL | Meeting Date | 13-Nov-2018 | |
| ISIN | US5184391044 | Agenda | 934879581 - Management | |
| Record Date | 14-Sep-2018 | Holding Recon Date | 14-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 12-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Class I Director: Rose Marie Bravo Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||
| 1b. | Election of Class I Director: Paul J. Fribourg Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||
| 1c. | Election of Class I Director: Irvine O. Hockaday, Jr. Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||
| 1d. | Election of Class I Director: Jennifer Hyman Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||
| 1e. | Election of Class I Director: Barry S. Sternlicht Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||
| 2. | Ratification of appointment of KPMG LLP as independent auditors for the 2019 fiscal year. | Management | For | For | ||
| 3. | Advisory vote to approve executive compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,620 | 0 | 01-Oct-2018 | 14-Nov-2018 |
| RESMED INC. | ||||
| Security | 761152107 | Meeting Type | Annual | |
| Ticker Symbol | RMD | Meeting Date | 15-Nov-2018 | |
| ISIN | US7611521078 | Agenda | 934881980 - Management | |
| Record Date | 17-Sep-2018 | Holding Recon Date | 17-Sep-2018 | |
| City / Country | / United States | Vote Deadline Date | 14-Nov-2018 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of director to serve until our 2021 annual meeting: Peter Farrell | Management | For | For | ||
| 1b. | Election of director to serve until our 2021 annual meeting: Harjit Gill | Management | For | For | ||
| 1c. | Election of director to serve until our 2021 annual meeting: Ron Taylor | Management | For | For | ||
| 2. | Ratify our selection of KPMG LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2019. | Management | For | For | ||
| 3. | Approve an amendment to the ResMed Inc. 2009 Employee Stock Purchase Plan, which increases the number of shares authorized for issue under the plan by 2 million shares, from 4.2 million shares to 6.2 million shares, and extends the term of the plan through November 15, 2028. | Management | For | For | ||
| 4. | Approve, on an advisory basis, the compensation paid to our named executive officers, as disclosed in this proxy statement ("say-on-pay"). | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 9,544 | 0 | 04-Oct-2018 | 16-Nov-2018 |
| INTUIT INC. | ||||
| Security | 461202103 | Meeting Type | Annual | |
| Ticker Symbol | INTU | Meeting Date | 17-Jan-2019 | |
| ISIN | US4612021034 | Agenda | 934908471 - Management | |
| Record Date | 19-Nov-2018 | Holding Recon Date | 19-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 16-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Eve Burton | Management | For | For | ||
| 1b. | Election of Director: Scott D. Cook | Management | For | For | ||
| 1c. | Election of Director: Richard L. Dalzell | Management | For | For | ||
| 1d. | Election of Director: Sasan Goodarzi | Management | For | For | ||
| 1e. | Election of Director: Deborah Liu | Management | For | For | ||
| 1f. | Election of Director: Suzanne Nora Johnson | Management | For | For | ||
| 1g. | Election of Director: Dennis D. Powell | Management | For | For | ||
| 1h. | Election of Director: Brad D. Smith | Management | For | For | ||
| 1i. | Election of Director: Thomas Szkutak | Management | For | For | ||
| 1j. | Election of Director: Raul Vazquez | Management | For | For | ||
| 1k. | Election of Director: Jeff Weiner | Management | For | For | ||
| 2. | Advisory vote to approve Intuit Inc.'s executive compensation (say-on-pay) | Management | For | For | ||
| 3. | Ratification of the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending July 31, 2019 | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,328 | 0 | 29-Nov-2018 | 18-Jan-2019 |
| VISA INC. | ||||
| Security | 92826C839 | Meeting Type | Annual | |
| Ticker Symbol | V | Meeting Date | 29-Jan-2019 | |
| ISIN | US92826C8394 | Agenda | 934911074 - Management | |
| Record Date | 30-Nov-2018 | Holding Recon Date | 30-Nov-2018 | |
| City / Country | / United States | Vote Deadline Date | 28-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Lloyd A. Carney | Management | For | For | ||
| 1b. | Election of Director: Mary B. Cranston | Management | For | For | ||
| 1c. | Election of Director: Francisco Javier Fernandez-Carbajal | Management | For | For | ||
| 1d. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | ||
| 1e. | Election of Director: John F. Lundgren | Management | For | For | ||
| 1f. | Election of Director: Robert W. Matschullat | Management | For | For | ||
| 1g. | Election of Director: Denise M. Morrison | Management | For | For | ||
| 1h. | Election of Director: Suzanne Nora Johnson | Management | For | For | ||
| 1i. | Election of Director: John A. C. Swainson | Management | For | For | ||
| 1j. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | ||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | ||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,757 | 0 | 19-Dec-2018 | 30-Jan-2019 |
| AMDOCS LIMITED | ||||
| Security | G02602103 | Meeting Type | Annual | |
| Ticker Symbol | DOX | Meeting Date | 31-Jan-2019 | |
| ISIN | GB0022569080 | Agenda | 934918092 - Management | |
| Record Date | 03-Dec-2018 | Holding Recon Date | 03-Dec-2018 | |
| City / Country | / United Kingdom | Vote Deadline Date | 30-Jan-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A. | Election of Director: Robert A. Minicucci | Management | For | For | ||
| 1B. | Election of Director: Julian A. Brodsky | Management | For | For | ||
| 1C. | Election of Director: Adrian Gardner | Management | For | For | ||
| 1D. | Election of Director: Eli Gelman | Management | For | For | ||
| 1E. | Election of Director: James S. Kahan | Management | For | For | ||
| 1F. | Election of Director: Richard T.C. LeFave | Management | For | For | ||
| 1G. | Election of Director: Ariane de Rothschild | Management | For | For | ||
| 1H. | Election of Director: Shuky Sheffer | Management | For | For | ||
| 1I. | Election of Director: Rafael de la Vega | Management | For | For | ||
| 1J. | Election of Director: Giora Yaron | Management | For | For | ||
| 2. | To approve an increase in the dividend rate under our quarterly cash dividend program from $0.25 per share to $0.285 per share. | Management | For | For | ||
| 3. | To approve our consolidated financial statements for the fiscal year ended september 30, 2018 | Management | For | For | ||
| 4. | To ratify and approve the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2019, and until the next annual general meeting, and authorize the Audit Committee to fix the remuneration thereof. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 12,187 | 0 | 03-Jan-2019 | 01-Feb-2019 |
| TYSON FOODS, INC. | ||||
| Security | 902494103 | Meeting Type | Annual | |
| Ticker Symbol | TSN | Meeting Date | 07-Feb-2019 | |
| ISIN | US9024941034 | Agenda | 934915541 - Management | |
| Record Date | 10-Dec-2018 | Holding Recon Date | 10-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 06-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a) | Election of Director: John Tyson | Management | For | For | ||
| 1b) | Election of Director: Gaurdie E. Banister Jr. | Management | For | For | ||
| 1c) | Election of Director: Dean Banks | Management | For | For | ||
| 1d) | Election of Director: Mike Beebe | Management | For | For | ||
| 1e) | Election of Director: Mikel A. Durham | Management | For | For | ||
| 1f. | Election of Director: Kevin M. McNamara | Management | For | For | ||
| 1g) | Election of Director: Cheryl S. Miller | Management | For | For | ||
| 1h) | Election of Director: Jeffrey K. Schomburger | Management | For | For | ||
| 1i) | Election of Director: Robert Thurber | Management | For | For | ||
| 1j) | Election of Director: Barbara A. Tyson | Management | For | For | ||
| 1k) | Election of Director: Noel White | Management | For | For | ||
| 2) | To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year ending September 28, 2019. | Management | For | For | ||
| 3) | Shareholder proposal to request a report disclosing the policy and procedures, expenditures, and other activities related to lobbying and grassroots lobbying communications. | Shareholder | Against | For | ||
| 4) | Shareholder proposal to require the preparation of a report on the company's due diligence process assessing and mitigating human rights impacts. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 9,848 | 0 | 21-Dec-2018 | 08-Feb-2019 |
| TD AMERITRADE HOLDING CORPORATION | ||||
| Security | 87236Y108 | Meeting Type | Annual | |
| Ticker Symbol | AMTD | Meeting Date | 13-Feb-2019 | |
| ISIN | US87236Y1082 | Agenda | 934915680 - Management | |
| Record Date | 17-Dec-2018 | Holding Recon Date | 17-Dec-2018 | |
| City / Country | / United States | Vote Deadline Date | 12-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 | Bharat B. Masrani | For | For | ||||
| 2 | Irene R. Miller | For | For | ||||
| 3 | Todd M. Ricketts | For | For | ||||
| 4 | Allan R. Tessler | For | For | ||||
| 2. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Management | For | For | |||
| 3. | INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. | Management | For | For | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 14,089 | 0 | 01-Jan-2019 | 14-Feb-2019 |
| APPLE INC. | ||||
| Security | 037833100 | Meeting Type | Annual | |
| Ticker Symbol | AAPL | Meeting Date | 01-Mar-2019 | |
| ISIN | US0378331005 | Agenda | 934919359 - Management | |
| Record Date | 02-Jan-2019 | Holding Recon Date | 02-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 28-Feb-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of director: James Bell | Management | For | For | ||
| 1b. | Election of director: Tim Cook | Management | For | For | ||
| 1c. | Election of director: Al Gore | Management | For | For | ||
| 1d. | Election of director: Bob Iger | Management | For | For | ||
| 1e. | Election of director: Andrea Jung | Management | For | For | ||
| 1f. | Election of director: Art Levinson | Management | For | For | ||
| 1g. | Election of director: Ron Sugar | Management | For | For | ||
| 1h. | Election of director: Sue Wagner | Management | For | For | ||
| 2. | Ratification of the appointment of Ernst & Young LLP as Apple's independent registered public accounting firm for 2019 | Management | For | For | ||
| 3. | Advisory vote to approve executive compensation | Management | For | For | ||
| 4. | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | Shareholder | Against | For | ||
| 5. | A shareholder proposal entitled "True Diversity Board Policy" | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,024 | 0 | 10-Jan-2019 | 04-Mar-2019 |
| THE WALT DISNEY COMPANY | ||||
| Security | 254687106 | Meeting Type | Annual | |
| Ticker Symbol | DIS | Meeting Date | 07-Mar-2019 | |
| ISIN | US2546871060 | Agenda | 934921099 - Management | |
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Susan E. Arnold | Management | For | For | ||
| 1b. | Election of Director: Mary T. Barra | Management | For | For | ||
| 1c. | Election of Director: Safra A. Catz | Management | For | For | ||
| 1d. | Election of Director: Francis A. deSouza | Management | For | For | ||
| 1e. | Election of Director: Michael Froman | Management | For | For | ||
| 1f. | Election of Director: Robert A. Iger | Management | For | For | ||
| 1g. | Election of Director: Maria Elena Lagomasino | Management | For | For | ||
| 1h. | Election of Director: Mark G. Parker | Management | For | For | ||
| 1i. | Election of Director: Derica W. Rice | Management | For | For | ||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2019. | Management | For | For | ||
| 3. | To approve the advisory resolution on executive compensation. | Management | For | For | ||
| 4. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | ||
| 5. | Shareholder proposal requesting a report on use of additional cyber security and data privacy metrics in determining compensation of senior executives. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,807 | 0 | 19-Jan-2019 | 08-Mar-2019 |
| ANALOG DEVICES, INC. | ||||
| Security | 032654105 | Meeting Type | Annual | |
| Ticker Symbol | ADI | Meeting Date | 13-Mar-2019 | |
| ISIN | US0326541051 | Agenda | 934921556 - Management | |
| Record Date | 07-Jan-2019 | Holding Recon Date | 07-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 12-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Ray Stata | Management | For | For | ||
| 1b. | Election of Director: Vincent Roche | Management | For | For | ||
| 1c. | Election of Director: James A. Champy | Management | For | For | ||
| 1d. | Election of Director: Anantha P. Chandrakasan | Management | For | For | ||
| 1e. | Election of Director: Bruce R. Evans | Management | For | For | ||
| 1f. | Election of Director: Edward H. Frank | Management | For | For | ||
| 1g. | Election of Director: Karen M. Golz | Management | For | For | ||
| 1h. | Election of Director: Mark M. Little | Management | For | For | ||
| 1i. | Election of Director: Neil Novich | Management | For | For | ||
| 1j. | Election of Director: Kenton J. Sicchitano | Management | For | For | ||
| 1k. | Election of Director: Lisa T. Su | Management | For | For | ||
| 2. | Advisory resolution to approve the compensation of our named executive officers. | Management | For | For | ||
| 3. | Ratification of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | ||
| 4. | Shareholder proposal relating to a diversity report. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,437 | 0 | 26-Jan-2019 | 14-Mar-2019 |
| STARBUCKS CORPORATION | ||||
| Security | 855244109 | Meeting Type | Annual | |
| Ticker Symbol | SBUX | Meeting Date | 20-Mar-2019 | |
| ISIN | US8552441094 | Agenda | 934922015 - Management | |
| Record Date | 10-Jan-2019 | Holding Recon Date | 10-Jan-2019 | |
| City / Country | / United States | Vote Deadline Date | 19-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Rosalind G. Brewer | Management | For | For | ||
| 1b. | Election of Director: Mary N. Dillon | Management | For | For | ||
| 1c. | Election of Director: Mellody Hobson | Management | For | For | ||
| 1d. | Election of Director: Kevin R. Johnson | Management | For | For | ||
| 1e. | Election of Director: Jorgen Vig Knudstorp | Management | For | For | ||
| 1f. | Election of Director: Satya Nadella | Management | For | For | ||
| 1g. | Election of Director: Joshua Cooper Ramo | Management | For | For | ||
| 1h. | Election of Director: Clara Shih | Management | For | For | ||
| 1i. | Election of Director: Javier G. Teruel | Management | For | For | ||
| 1j. | Election of Director: Myron E. Ullman, III | Management | For | For | ||
| 2. | Advisory resolution to approve our executive officer compensation. | Management | For | For | ||
| 3. | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2019. | Management | For | For | ||
| 4. | True Diversity Board Policy | Shareholder | Against | For | ||
| 5. | Report on Sustainable Packaging | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 10,083 | 0 | 29-Jan-2019 | 21-Mar-2019 |
| BROADCOM INC | ||||
| Security | 11135F101 | Meeting Type | Annual | |
| Ticker Symbol | AVGO | Meeting Date | 01-Apr-2019 | |
| ISIN | US11135F1012 | Agenda | 934928598 - Management | |
| Record Date | 11-Feb-2019 | Holding Recon Date | 11-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 29-Mar-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Mr. Hock E. Tan | Management | For | For | ||
| 1b. | Election of Director: Dr. Henry Samueli | Management | For | For | ||
| 1c. | Election of Director: Mr. Eddy W. Hartenstein | Management | For | For | ||
| 1d. | Election of Director: Ms. Diane M. Bryant | Management | For | For | ||
| 1e. | Election of Director: Ms. Gayla J. Delly | Management | For | For | ||
| 1f. | Election of Director: Mr. Check Kian Low | Management | For | For | ||
| 1g. | Election of Director: Mr. Peter J. Marks | Management | For | For | ||
| 1h. | Election of Director: Mr. Harry L. You | Management | For | For | ||
| 2. | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom's independent registered public accounting firm for the fiscal year ending November 3, 2019. | Management | For | For | ||
| 3. | To approve amendments to Broadcom's Second Amended and Restated Employee Share Purchase Plan. | Management | For | For | ||
| 4. | Non-binding, advisory vote to approve compensation of Broadcom's named executive officers. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 3,016 | 0 | 20-Feb-2019 | 02-Apr-2019 |
| CELANESE CORPORATION | ||||
| Security | 150870103 | Meeting Type | Annual | |
| Ticker Symbol | CE | Meeting Date | 18-Apr-2019 | |
| ISIN | US1508701034 | Agenda | 934935911 - Management | |
| Record Date | 19-Feb-2019 | Holding Recon Date | 19-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 17-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Jean S. Blackwell | Management | For | For | ||
| 1b. | Election of Director: William M. Brown | Management | For | For | ||
| 1c. | Election of Director: Edward G. Galante | Management | For | For | ||
| 1d. | Election of Director: Kathryn M. Hill | Management | For | For | ||
| 1e. | Election of Director: David F. Hoffmeister | Management | For | For | ||
| 1f. | Election of Director: Dr. Jay V. Ihlenfeld | Management | For | For | ||
| 1g. | Election of Director: Mark C. Rohr | Management | For | For | ||
| 1h. | Election of Director: Kim K.W. Rucker | Management | For | For | ||
| 1i. | Election of Director: John K. Wulff | Management | For | For | ||
| 2. | Advisory vote to approve executive compensation. | Management | For | For | ||
| 3. | Ratification of the selection of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For | ||
| 4. | Approval of the amendment of our Certificate of Incorporation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,090 | 0 | 09-Mar-2019 | 19-Apr-2019 |
| SUNTRUST BANKS, INC. | ||||
| Security | 867914103 | Meeting Type | Annual | |
| Ticker Symbol | STI | Meeting Date | 23-Apr-2019 | |
| ISIN | US8679141031 | Agenda | 934933638 - Management | |
| Record Date | 13-Feb-2019 | Holding Recon Date | 13-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A | Election of Director: Agnes Bundy Scanlan | Management | For | For | ||
| 1B | Election of Director: Dallas S. Clement | Management | For | For | ||
| 1C | Election of Director: Paul D. Donahue | Management | For | For | ||
| 1D | Election of Director: Paul R. Garcia | Management | For | For | ||
| 1E | Election of Director: Donna S. Morea | Management | For | For | ||
| 1F | Election of Director: David M. Ratcliffe | Management | For | For | ||
| 1G | Election of Director: William H. Rogers, Jr. | Management | For | For | ||
| 1H | Election of Director: Frank P. Scruggs, Jr. | Management | For | For | ||
| 1I | Election of Director: Bruce L. Tanner | Management | For | For | ||
| 1J | Election of Director: Steven C. Voorhees | 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 our independent auditor for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 11,200 | 0 | 09-Mar-2019 | 24-Apr-2019 |
| FASTENAL COMPANY | ||||
| Security | 311900104 | Meeting Type | Annual | |
| Ticker Symbol | FAST | Meeting Date | 23-Apr-2019 | |
| ISIN | US3119001044 | Agenda | 934935606 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Willard D. Oberton | Management | For | For | ||
| 1b. | Election of Director: Michael J. Ancius | Management | For | For | ||
| 1c. | Election of Director: Michael J. Dolan | Management | For | For | ||
| 1d. | Election of Director: Stephen L. Eastman | Management | For | For | ||
| 1e. | Election of Director: Daniel L. Florness | Management | For | For | ||
| 1f. | Election of Director: Rita J. Heise | Management | For | For | ||
| 1g. | Election of Director: Darren R. Jackson | Management | For | For | ||
| 1h. | Election of Director: Daniel L. Johnson | Management | For | For | ||
| 1i. | Election of Director: Scott A. Satterlee | Management | For | For | ||
| 1j. | Election of Director: Reyne K. Wisecup | Management | For | For | ||
| 2. | Ratification of the appointment of KPMG LLP as independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | ||
| 3. | Approval, by non-binding vote, of executive compensation. | Management | For | For | ||
| 4. | A shareholder proposal related to diversity reporting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 11,229 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| NORTHERN TRUST CORPORATION | ||||
| Security | 665859104 | Meeting Type | Annual | |
| Ticker Symbol | NTRS | Meeting Date | 23-Apr-2019 | |
| ISIN | US6658591044 | Agenda | 934937864 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Linda Walker Bynoe | Management | For | For | ||
| 1b. | Election of Director: Susan Crown | Management | For | For | ||
| 1c. | Election of Director: Dean M. Harrison | Management | For | For | ||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | ||
| 1e. | Election of Director: Marcy S. Klevorn | Management | For | For | ||
| 1f. | Election of Director: Siddharth N. (Bobby) Mehta | Management | For | For | ||
| 1g. | Election of Director: Michael G. O'Grady | Management | For | For | ||
| 1h. | Election of Director: Jose Luis Prado | Management | For | For | ||
| 1i. | Election of Director: Thomas E. Richards | Management | For | For | ||
| 1j. | Election of Director: Martin P. Slark | Management | For | For | ||
| 1k. | Election of Director: David H. B. Smith, Jr. | Management | For | For | ||
| 1l. | Election of Director: Donald Thompson | Management | For | For | ||
| 1m. | Election of Director: Charles A. Tribbett III | Management | For | For | ||
| 2. | Approval, by an advisory vote, of the 2018 compensation of the Corporation's named executive officers. | Management | For | For | ||
| 3. | Ratification of the appointment of KPMG LLP as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | ||
| 4. | Stockholder proposal regarding additional disclosure of political contributions. | Shareholder | Against | For | ||
| 5. | Stockholder proposal regarding the right of the Corporation's stockholders to call a special meeting of the stockholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,978 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| COMERICA INCORPORATED | ||||
| Security | 200340107 | Meeting Type | Annual | |
| Ticker Symbol | CMA | Meeting Date | 23-Apr-2019 | |
| ISIN | US2003401070 | Agenda | 934938056 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Ralph W. Babb, Jr. | Management | For | For | ||
| 1b. | Election of Director: Michael E. Collins | Management | For | For | ||
| 1c. | Election of Director: Roger A. Cregg | Management | For | For | ||
| 1d. | Election of Director: T. Kevin DeNicola | Management | For | For | ||
| 1e. | Election of Director: Curtis C. Farmer | Management | For | For | ||
| 1f. | Election of Director: Jacqueline P. Kane | Management | For | For | ||
| 1g. | Election of Director: Richard G. Lindner | Management | For | For | ||
| 1h. | Election of Director: Barbara R. Smith | Management | For | For | ||
| 1i. | Election of Director: Robert S. Taubman | Management | For | For | ||
| 1j. | Election of Director: Reginald M. Turner, Jr. | Management | For | For | ||
| 1k. | Election of Director: Nina G. Vaca | Management | For | For | ||
| 1l. | Election of Director: Michael G. Van de Ven | Management | For | For | ||
| 2. | Ratification of the Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm | Management | For | For | ||
| 3. | Approval of a Non-Binding, Advisory Proposal Approving Executive Compensation | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 8,479 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| THE PNC FINANCIAL SERVICES GROUP, INC. | ||||
| Security | 693475105 | Meeting Type | Annual | |
| Ticker Symbol | PNC | Meeting Date | 23-Apr-2019 | |
| ISIN | US6934751057 | Agenda | 934940164 - Management | |
| Record Date | 01-Feb-2019 | Holding Recon Date | 01-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Joseph Alvarado | Management | For | For | ||
| 1b. | Election of Director: Charles E. Bunch | Management | For | For | ||
| 1c. | Election of Director: Debra A. Cafaro | Management | For | For | ||
| 1d. | Election of Director: Marjorie Rodgers Cheshire | Management | For | For | ||
| 1e. | Election of Director: William S. Demchak | Management | For | For | ||
| 1f. | Election of Director: Andrew T. Feldstein | Management | For | For | ||
| 1g. | Election of Director: Richard J. Harshman | Management | For | For | ||
| 1h. | Election of Director: Daniel R. Hesse | Management | For | For | ||
| 1i. | Election of Director: Richard B. Kelson | Management | For | For | ||
| 1j. | Election of Director: Linda R. Medler | Management | For | For | ||
| 1k. | Election of Director: Martin Pfinsgraff | Management | For | For | ||
| 1l. | Election of Director: Toni Townes-Whitley | Management | For | For | ||
| 1m. | Election of Director: Michael J. Ward | Management | For | For | ||
| 2. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as PNC's independent registered public accounting firm for 2019. | Management | For | For | ||
| 3. | Advisory vote to approve named executive officer compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,000 | 0 | 13-Mar-2019 | 24-Apr-2019 |
| DOMINO'S PIZZA, INC. | ||||
| Security | 25754A201 | Meeting Type | Annual | |
| Ticker Symbol | DPZ | Meeting Date | 23-Apr-2019 | |
| ISIN | US25754A2015 | Agenda | 934940239 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| 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 accountants for the Company for the 2019 fiscal year. | Management | For | For | |||
| 3. | Advisory vote to approve the compensation of the named executive officers of the Company. | Management | For | For | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 2,504 | 0 | 15-Mar-2019 | 24-Apr-2019 |
| ROLLINS, INC. | ||||
| Security | 775711104 | Meeting Type | Annual | |
| Ticker Symbol | ROL | Meeting Date | 23-Apr-2019 | |
| ISIN | US7757111049 | Agenda | 934963643 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 | Bill J. Dismuke | For | For | ||||
| 2 | Thomas J. Lawley, M.D. | For | For | ||||
| 3 | John F. Wilson | For | For | ||||
| 2. | To ratify the appointment of Grant Thornton LLP as independent registered public accounting firm of the Company for the fiscal year ending December 31, 2019. | Management | For | For | |||
| 3. | To amend the Certificate of Incorporation of the Company to increase the number of authorized shares of Capital Stock to 550,500,000 shares. | Management | For | For | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 16,759 | 0 | 28-Mar-2019 | 24-Apr-2019 |
| REGIONS FINANCIAL CORPORATION | ||||
| Security | 7591EP100 | Meeting Type | Annual | |
| Ticker Symbol | RF | Meeting Date | 24-Apr-2019 | |
| ISIN | US7591EP1005 | Agenda | 934940455 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| 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: Eric C. Fast | Management | For | For | ||
| 1e. | Election of Director: Zhanna Golodryga | Management | For | For | ||
| 1f. | Election of Director: John D. Johns | Management | For | For | ||
| 1g. | Election of Director: Ruth Ann Marshall | Management | For | For | ||
| 1h. | Election of Director: Charles D. McCrary | Management | For | For | ||
| 1i. | Election of Director: James T. Prokopanko | Management | For | For | ||
| 1j. | Election of Director: Lee J. Styslinger III | Management | For | For | ||
| 1k. | Election of Director: Jose S. Suquet | Management | For | For | ||
| 1l. | Election of Director: John M. Turner, Jr. | Management | For | For | ||
| 1m. | Election of Director: Timothy Vines | Management | For | For | ||
| 2. | Ratification of Appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for 2019. | Management | For | For | ||
| 3. | Advisory Vote on Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 43,406 | 0 | 12-Mar-2019 | 25-Apr-2019 |
| W.W. GRAINGER, INC. | ||||
| Security | 384802104 | Meeting Type | Annual | |
| Ticker Symbol | GWW | Meeting Date | 24-Apr-2019 | |
| ISIN | US3848021040 | Agenda | 934941798 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 | Rodney C. Adkins | For | For | ||||
| 2 | Brian P. Anderson | For | For | ||||
| 3 | V. Ann Hailey | For | For | ||||
| 4 | Stuart L. Levenick | For | For | ||||
| 5 | D.G. Macpherson | For | For | ||||
| 6 | Neil S. Novich | For | For | ||||
| 7 | Beatriz R. Perez | For | For | ||||
| 8 | Michael J. Roberts | For | For | ||||
| 9 | E. Scott Santi | For | For | ||||
| 10 | James D. Slavik | For | For | ||||
| 11 | Lucas E. Watson | For | For | ||||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as independent auditor for the year ending December 31, 2019. | Management | For | For | |||
| 3. | Say on Pay: Advisory proposal to approve compensation of the Company's Named Executive Officers. | Management | For | For | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 2,278 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| MARATHON PETROLEUM CORPORATION | ||||
| Security | 56585A102 | Meeting Type | Annual | |
| Ticker Symbol | MPC | Meeting Date | 24-Apr-2019 | |
| ISIN | US56585A1025 | Agenda | 934941976 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 23-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Class II Director: Evan Bayh | Management | For | For | ||
| 1b. | Election of Class II Director: Charles E. Bunch | Management | For | For | ||
| 1c. | Election of Class II Director: Edward G. Galante | Management | For | For | ||
| 1d. | Election of Class II Director: Kim K.W. Rucker | Management | For | For | ||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the company's independent auditor for 2019. | Management | For | For | ||
| 3. | Approval, on an advisory basis, of the company's named executive officer compensation. | Management | For | For | ||
| 4. | Shareholder proposal seeking a shareholder right to action by written consent. | Shareholder | Against | For | ||
| 5. | Shareholder proposal seeking an independent chairman policy. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 10,079 | 0 | 15-Mar-2019 | 25-Apr-2019 |
| T. ROWE PRICE GROUP, INC. | ||||
| Security | 74144T108 | Meeting Type | Annual | |
| Ticker Symbol | TROW | Meeting Date | 25-Apr-2019 | |
| ISIN | US74144T1088 | Agenda | 934937991 - Management | |
| Record Date | 22-Feb-2019 | Holding Recon Date | 22-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Mark S. Bartlett | Management | For | For | ||
| 1b. | Election of Director: Mary K. Bush | Management | For | For | ||
| 1c. | Election of Director: Dr. Freeman A. Hrabowski, III | Management | For | For | ||
| 1d. | Election of Director: Robert F. MacLellan | Management | For | For | ||
| 1e. | Election of Director: Olympia J. Snowe | Management | For | For | ||
| 1f. | Election of Director: William J. Stromberg | Management | For | For | ||
| 1g. | Election of Director: Richard R. Verma | Management | For | For | ||
| 1h. | Election of Director: Sandra S. Wijnberg | Management | For | For | ||
| 1i. | Election of Director: Alan D. Wilson | Management | For | For | ||
| 2. | To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. | Management | For | For | ||
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,806 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| MSCI INC. | ||||
| Security | 55354G100 | Meeting Type | Annual | |
| Ticker Symbol | MSCI | Meeting Date | 25-Apr-2019 | |
| ISIN | US55354G1004 | Agenda | 934938640 - Management | |
| Record Date | 27-Feb-2019 | Holding Recon Date | 27-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Henry A. Fernandez | Management | For | For | ||
| 1b. | Election of Director: Robert G. Ashe | Management | For | For | ||
| 1c. | Election of Director: Benjamin F. duPont | Management | For | For | ||
| 1d. | Election of Director: Wayne Edmunds | Management | For | For | ||
| 1e. | Election of Director: Alice W. Handy | Management | For | For | ||
| 1f. | Election of Director: Catherine R. Kinney | Management | For | For | ||
| 1g. | Election of Director: Jacques P. Perold | Management | For | For | ||
| 1h. | Election of Director: Linda H. Riefler | Management | For | For | ||
| 1i. | Election of Director: George W. Siguler | Management | For | For | ||
| 1j. | Election of Director: Marcus L. Smith | Management | For | For | ||
| 2. | To approve, by non-binding vote, our executive compensation, as described in these proxy materials. | Management | For | For | ||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,321 | 0 | 16-Mar-2019 | 26-Apr-2019 |
| TEXAS INSTRUMENTS INCORPORATED | ||||
| Security | 882508104 | Meeting Type | Annual | |
| Ticker Symbol | TXN | Meeting Date | 25-Apr-2019 | |
| ISIN | US8825081040 | Agenda | 934940328 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: M. A. Blinn | Management | For | For | ||
| 1b. | Election of Director: T. M. Bluedorn | Management | For | For | ||
| 1c. | Election of Director: J. F. Clark | Management | For | For | ||
| 1d. | Election of Director: C. S. Cox | Management | For | For | ||
| 1e. | Election of Director: M. S. Craighead | Management | For | For | ||
| 1f. | Election of Director: J. M. Hobby | Management | For | For | ||
| 1g. | Election of Director: R. Kirk | Management | For | For | ||
| 1h. | Election of Director: P. H. Patsley | Management | For | For | ||
| 1i. | Election of Director: R. E. Sanchez | Management | For | For | ||
| 1j. | Election of Director: R. K. Templeton | Management | For | For | ||
| 2. | Board proposal regarding advisory approval of the Company's executive compensation. | Management | For | For | ||
| 3. | Board proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,106 | 0 | 13-Mar-2019 | 26-Apr-2019 |
| SNAP-ON INCORPORATED | ||||
| Security | 833034101 | Meeting Type | Annual | |
| Ticker Symbol | SNA | Meeting Date | 25-Apr-2019 | |
| ISIN | US8330341012 | Agenda | 934944768 - Management | |
| Record Date | 25-Feb-2019 | Holding Recon Date | 25-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A. | Election of Director: David C. Adams | Management | For | For | ||
| 1B. | Election of Director: Karen L. Daniel | Management | For | For | ||
| 1C. | Election of Director: Ruth Ann M. Gillis | Management | For | For | ||
| 1D. | Election of Director: James P. Holden | Management | For | For | ||
| 1E. | Election of Director: Nathan J. Jones | Management | For | For | ||
| 1F. | Election of Director: Henry W. Knueppel | Management | For | For | ||
| 1G. | Election of Director: W. Dudley Lehman | Management | For | For | ||
| 1H. | Election of Director: Nicholas T. Pinchuk | Management | For | For | ||
| 1I. | Election of Director: Gregg M. Sherrill | Management | For | For | ||
| 1J. | Election of Director: Donald J. Stebbins | Management | For | For | ||
| 2. | Proposal to ratify the appointment of Deloitte & Touche LLP as Snap-on Incorporated's independent registered public accounting firm for fiscal 2019. | Management | For | For | ||
| 3. | Advisory vote to approve the compensation of Snap-on Incorporated's named executive officers, as disclosed in "Compensation Discussion and Analysis" and "Executive Compensation Information" in the Proxy Statement. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,109 | 0 | 14-Mar-2019 | 26-Apr-2019 |
| TORCHMARK CORPORATION | ||||
| Security | 891027104 | Meeting Type | Annual | |
| Ticker Symbol | TMK | Meeting Date | 25-Apr-2019 | |
| ISIN | US8910271043 | Agenda | 934955759 - Management | |
| Record Date | 01-Mar-2019 | Holding Recon Date | 01-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Charles E. Adair | Management | For | For | ||
| 1b. | Election of Director: Linda L. Addison | Management | For | For | ||
| 1c. | Election of Director: Marilyn A. Alexander | Management | For | For | ||
| 1d. | Election of Director: Cheryl D. Alston | Management | For | For | ||
| 1e. | Election of Director: Jane M. Buchan | Management | For | For | ||
| 1f. | Election of Director: Gary L. Coleman | Management | For | For | ||
| 1g. | Election of Director: Larry M. Hutchison | Management | For | For | ||
| 1h. | Election of Director: Robert W. Ingram | Management | For | For | ||
| 1i. | Election of Director: Steven P. Johnson | Management | For | For | ||
| 1j. | Election of Director: Darren M. Rebelez | Management | For | For | ||
| 1k. | Election of Director: Lamar C. Smith | Management | For | For | ||
| 1l. | Election of Director: Mary E. Thigpen | Management | For | For | ||
| 2. | Ratification of Auditors. | Management | For | For | ||
| 3. | Approval of 2018 Executive Compensation. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,883 | 0 | 22-Mar-2019 | 26-Apr-2019 |
| THE BOEING COMPANY | ||||
| Security | 097023105 | Meeting Type | Annual | |
| Ticker Symbol | BA | Meeting Date | 29-Apr-2019 | |
| ISIN | US0970231058 | Agenda | 934941750 - Management | |
| Record Date | 28-Feb-2019 | Holding Recon Date | 28-Feb-2019 | |
| City / Country | / United States | Vote Deadline Date | 26-Apr-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Robert A. Bradway | Management | For | For | ||
| 1b. | Election of Director: David L. Calhoun | Management | For | For | ||
| 1c. | Election of Director: Arthur D. Collins Jr. | Management | For | For | ||
| 1d. | Election of Director: Edmund P. Giambastiani Jr. | Management | For | For | ||
| 1e. | Election of Director: Lynn J. Good | Management | For | For | ||
| 1f. | Election of Director: Nikki R. Haley | Management | For | For | ||
| 1g. | Election of Director: Lawrence W. Kellner | Management | For | For | ||
| 1h. | Election of Director: Caroline B. Kennedy | Management | For | For | ||
| 1i. | Election of Director: Edward M. Liddy | Management | For | For | ||
| 1j. | Election of Director: Dennis A. Muilenburg | Management | For | For | ||
| 1k. | Election of Director: Susan C. Schwab | Management | For | For | ||
| 1l. | Election of Director: Ronald A. Williams | Management | For | For | ||
| 1m. | Election of Director: Mike S. Zafirovski | Management | For | For | ||
| 2. | Approve, on an Advisory Basis, Named Executive Officer Compensation. | Management | For | For | ||
| 3. | Ratify the Appointment of Deloitte & Touche LLP as Independent Auditor for 2019. | Management | For | For | ||
| 4. | Additional Report on Lobbying Activities. | Shareholder | Against | For | ||
| 5. | Impact of Share Repurchases on Performance Metrics. | Shareholder | Against | For | ||
| 6. | Independent Board Chairman. | Shareholder | Against | For | ||
| 7. | Remove Size Limit on Proxy Access Group. | Shareholder | Against | For | ||
| 8. | Mandatory Retention of Significant Stock by Executives | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 1,997 | 0 | 16-Mar-2019 | 30-Apr-2019 |
| CHURCH & DWIGHT CO., INC. | ||||
| Security | 171340102 | Meeting Type | Annual | |
| Ticker Symbol | CHD | Meeting Date | 02-May-2019 | |
| ISIN | US1713401024 | Agenda | 934949869 - Management | |
| Record Date | 05-Mar-2019 | Holding Recon Date | 05-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 01-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Bradley C. Irwin | Management | For | For | ||
| 1b. | Election of Director: Penry W. Price | Management | For | For | ||
| 1c. | Election of Director: Arthur B. Winkleblack | Management | For | For | ||
| 2. | Advisory vote to approve compensation of our named executive officers. | Management | For | For | ||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 9,323 | 0 | 23-Mar-2019 | 03-May-2019 |
| ABBVIE INC. | ||||
| Security | 00287Y109 | Meeting Type | Annual | |
| Ticker Symbol | ABBV | Meeting Date | 03-May-2019 | |
| ISIN | US00287Y1091 | Agenda | 934949162 - Management | |
| Record Date | 08-Mar-2019 | Holding Recon Date | 08-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | William H.L. Burnside | For | For | |||||
| 2 | Brett J. Hart | For | For | |||||
| 3 | Edward J. Rapp | For | For | |||||
| 2. | Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2019 | Management | For | For | ||||
| 3. | Say on Pay - An advisory vote on the approval of executive compensation | Management | For | For | ||||
| 4. | Approval of a management proposal regarding amendment of the certificate of incorporation for a simple majority vote | Management | For | For | ||||
| 5. | Stockholder Proposal - to Issue an Annual Report on Lobbying | Shareholder | Against | For | ||||
| 6. | Stockholder Proposal - to Issue a Compensation Committee Report on Drug Pricing | Shareholder | Against | For | ||||
| 7. | Stockholder Proposal - to Adopt a Policy to Require Independent Chairman | Shareholder | Against | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,244 | 0 | 23-Mar-2019 | 06-May-2019 |
| ILLINOIS TOOL WORKS INC. | ||||
| Security | 452308109 | Meeting Type | Annual | |
| Ticker Symbol | ITW | Meeting Date | 03-May-2019 | |
| ISIN | US4523081093 | Agenda | 934949314 - Management | |
| Record Date | 04-Mar-2019 | Holding Recon Date | 04-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 02-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Daniel J. Brutto | Management | For | For | ||
| 1b. | Election of Director: Susan Crown | Management | For | For | ||
| 1c. | Election of Director: James W. Griffith | Management | For | For | ||
| 1d. | Election of Director: Jay L. Henderson | Management | For | For | ||
| 1e. | Election of Director: Richard H. Lenny | Management | For | For | ||
| 1f. | Election of Director: E. Scott Santi | Management | For | For | ||
| 1g. | Election of Director: James A. Skinner | Management | For | For | ||
| 1h. | Election of Director: David B. Smith, Jr. | Management | For | For | ||
| 1i. | Election of Director: Pamela B. Strobel | Management | For | For | ||
| 1j. | Election of Director: Kevin M. Warren | Management | For | For | ||
| 1k. | Election of Director: Anre D. Williams | Management | For | For | ||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as ITW's independent registered public accounting firm for 2019. | Management | For | For | ||
| 3. | Advisory vote to approve compensation of ITW's named executive officers. | Management | For | For | ||
| 4. | A non-binding stockholder proposal, if presented at the meeting, to permit stockholders to act by written consent. | Shareholder | Against | For | ||
| 5. | A non-binding stockholder proposal, if presented at the meeting, to set Company-wide greenhouse gas emissions targets. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,959 | 0 | 23-Mar-2019 | 06-May-2019 |
| EXPEDITORS INT'L OF WASHINGTON, INC. | ||||
| Security | 302130109 | Meeting Type | Annual | |
| Ticker Symbol | EXPD | Meeting Date | 07-May-2019 | |
| ISIN | US3021301094 | Agenda | 934947574 - Management | |
| Record Date | 12-Mar-2019 | Holding Recon Date | 12-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 06-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A. | Election of Director: Robert R. Wright | Management | For | For | ||
| 1B. | Election of Director: Glenn M. Alger | Management | For | For | ||
| 1C. | Election of Director: Robert P. Carlile | Management | For | For | ||
| 1D. | Election of Director: James M. DuBois | Management | For | For | ||
| 1E. | Election of Director: Mark A. Emmert | Management | For | For | ||
| 1F. | Election of Director: Diane H. Gulyas | Management | For | For | ||
| 1G. | Election of Director: Richard B. McCune | Management | For | For | ||
| 1H. | Election of Director: Alain Monié | Management | For | For | ||
| 1I. | Election of Director: Jeffrey S. Musser | Management | For | For | ||
| 1J. | Election of Director: Liane J. Pelletier | Management | For | For | ||
| 2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | ||
| 3. | Approve Amendment to Employee Stock Purchase Plan | Management | For | For | ||
| 4. | Ratification of Independent Registered Public Accounting Firm | Management | For | For | ||
| 5. | Shareholder Proposal: Political Disclosure Shareholder Resolution | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 8,340 | 0 | 28-Mar-2019 | 08-May-2019 |
| PHILLIPS 66 | ||||
| Security | 718546104 | Meeting Type | Annual | |
| Ticker Symbol | PSX | Meeting Date | 08-May-2019 | |
| ISIN | US7185461040 | Agenda | 934954012 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 07-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Greg C. Garland | Management | For | For | ||
| 1b. | Election of Director: Gary K. Adams | Management | For | For | ||
| 1c. | Election of Director: John E. Lowe | Management | For | For | ||
| 1d. | Election of Director: Denise L. Ramos | Management | For | For | ||
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2019. | Management | For | For | ||
| 3. | Advisory vote to approve our executive compensation. | Management | For | For | ||
| 4. | Advisory vote on the frequency of future shareholder advisory votes to approve executive compensation. | Management | 1 Year | For | ||
| 5. | Proposal Withdrawn | Shareholder | Against |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,882 | 0 | 30-Mar-2019 | 09-May-2019 |
| NUCOR CORPORATION | ||||
| Security | 670346105 | Meeting Type | Annual | |
| Ticker Symbol | NUE | Meeting Date | 09-May-2019 | |
| ISIN | US6703461052 | Agenda | 934959341 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Lloyd J. Austin III | For | For | |||||
| 2 | Patrick J. Dempsey | For | For | |||||
| 3 | John J. Ferriola | For | For | |||||
| 4 | Victoria F. Haynes Ph.D | For | For | |||||
| 5 | Christopher J. Kearney | For | For | |||||
| 6 | Laurette T. Koellner | For | For | |||||
| 7 | John H. Walker | For | For | |||||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as Nucor's independent registered public accounting firm for the year ending December 31, 2019 | Management | For | For | ||||
| 3. | Approval, on an advisory basis, of Nucor's named executive officer compensation in 2018 | Management | For | For | ||||
| 4. | Stockholder proposal regarding lobbying report | Shareholder | Against | For | ||||
| 5. | Stockholder proposal regarding political spending report | Shareholder | Against | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 10,139 | 0 | 26-Mar-2019 | 10-May-2019 |
| TRACTOR SUPPLY COMPANY | ||||
| Security | 892356106 | Meeting Type | Annual | |
| Ticker Symbol | TSCO | Meeting Date | 09-May-2019 | |
| ISIN | US8923561067 | Agenda | 934962704 - Management | |
| Record Date | 11-Mar-2019 | Holding Recon Date | 11-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Cynthia T. Jamison | For | For | |||||
| 2 | Ricardo Cardenas | For | For | |||||
| 3 | Denise L. Jackson | For | For | |||||
| 4 | Thomas A. Kingsbury | For | For | |||||
| 5 | Ramkumar Krishnan | For | For | |||||
| 6 | George MacKenzie | For | For | |||||
| 7 | Edna K. Morris | For | For | |||||
| 8 | Mark J. Weikel | For | For | |||||
| 9 | Gregory A. Sandfort | For | For | |||||
| 2. | To ratify the re-appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 28, 2019 | Management | For | For | ||||
| 3. | Say on Pay - An advisory vote to approve executive compensation | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,646 | 0 | 27-Mar-2019 | 10-May-2019 |
| S&P GLOBAL INC. | ||||
| Security | 78409V104 | Meeting Type | Annual | |
| Ticker Symbol | SPGI | Meeting Date | 09-May-2019 | |
| ISIN | US78409V1044 | Agenda | 934964695 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 08-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Marco Alverà | Management | For | For | ||
| 1b. | Election of Director: William J. Amelio | Management | For | For | ||
| 1c. | Election of Director: William D. Green | Management | For | For | ||
| 1d. | Election of Director: Charles E. Haldeman, Jr. | Management | For | For | ||
| 1e. | Election of Director: Stephanie C. Hill | Management | For | For | ||
| 1f. | Election of Director: Rebecca Jacoby | Management | For | For | ||
| 1g. | Election of Director: Monique F. Leroux | Management | For | For | ||
| 1h. | Election of Director: Maria R. Morris | Management | For | For | ||
| 1i. | Election of Director: Douglas L. Peterson | Management | For | For | ||
| 1j. | Election of Director: Edward B. Rust, Jr. | Management | For | For | ||
| 1k. | Election of Director: Kurt L. Schmoke | Management | For | For | ||
| 1l. | Election of Director: Richard E. Thornburgh | Management | For | For | ||
| 2. | Vote to approve, on an advisory basis, the executive compensation program for the Company's named executive officers. | Management | For | For | ||
| 3. | Vote to approve the Company's 2019 Stock Incentive Plan. | Management | For | For | ||
| 4. | Vote to approve the Company's Director Deferred Stock Ownership Plan, as Amended and Restated. | Management | For | For | ||
| 5. | Vote to ratify the selection of Ernst & Young LLP as our independent Registered Public Accounting Firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 3,537 | 0 | 28-Mar-2019 | 10-May-2019 |
| IDEX CORPORATION | ||||
| Security | 45167R104 | Meeting Type | Annual | |
| Ticker Symbol | IEX | Meeting Date | 10-May-2019 | |
| ISIN | US45167R1041 | Agenda | 934956991 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | ERNEST J. MROZEK | For | For | |||||
| 2 | L. L. SATTERTHWAITE | For | For | |||||
| 3 | DAVID C. PARRY | For | For | |||||
| 2. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2019. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,339 | 0 | 23-Mar-2019 | 13-May-2019 |
| MARRIOTT INTERNATIONAL, INC. | ||||
| Security | 571903202 | Meeting Type | Annual | |
| Ticker Symbol | MAR | Meeting Date | 10-May-2019 | |
| ISIN | US5719032022 | Agenda | 934995260 - Management | |
| Record Date | 15-Mar-2019 | Holding Recon Date | 15-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 09-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A. | Election of Director: J.W. Marriott, Jr. | Management | For | For | ||
| 1B. | Election of Director: Mary K. Bush | Management | For | For | ||
| 1C. | Election of Director: Bruce W. Duncan | Management | For | For | ||
| 1D. | Election of Director: Deborah M. Harrison | Management | For | For | ||
| 1E. | Election of Director: Frederick A. Henderson | Management | For | For | ||
| 1F. | Election of Director: Eric Hippeau | Management | For | For | ||
| 1G. | Election of Director: Lawrence W. Kellner | Management | For | For | ||
| 1H. | Election of Director: Debra L. Lee | Management | For | For | ||
| 1I. | Election of Director: Aylwin B. Lewis | Management | For | For | ||
| 1J. | Election of Director: Margaret M. McCarthy | Management | For | For | ||
| 1K. | Election of Director: George Muñoz | Management | For | For | ||
| 1L. | Election of Director: Steven S Reinemund | Management | For | For | ||
| 1M. | Election of Director: Susan C. Schwab | Management | For | For | ||
| 1N. | Election of Director: Arne M. Sorenson | Management | For | For | ||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2019 | Management | For | For | ||
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||
| 4a. | AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION AND BYLAWS TO REMOVE SUPERMAJORITY VOTING STANDARDS: AMENDMENTS TO REMOVE THE SUPERMAJORITY VOTING STANDARD FOR THE REMOVAL OF DIRECTORS | Management | For | For | ||
| 4b. | 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 RESTATED CERTIFICATE OF INCORPORATION APPROVED BY OUR STOCKHOLDERS | Management | For | For | ||
| 4c. | 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 | For | For | ||
| 4d. | 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 | For | For | ||
| 4e. | 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 | For | For | ||
| 5. | STOCKHOLDER RESOLUTION RECOMMENDING THAT STOCKHOLDERS BE ALLOWED TO ACT BY WRITTEN CONSENT IF PROPERLY PRESENTED AT THE MEETING | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,235 | 0 | 16-Apr-2019 | 13-May-2019 |
| ZOETIS INC. | ||||
| Security | 98978V103 | Meeting Type | Annual | |
| Ticker Symbol | ZTS | Meeting Date | 15-May-2019 | |
| ISIN | US98978V1035 | Agenda | 934962110 - Management | |
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 14-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1.1 | Election of Director: Juan Ramon Alaix | Management | For | For | ||
| 1.2 | Election of Director: Paul M. Bisaro | Management | For | For | ||
| 1.3 | Election of Director: Frank A. D'Amelio | Management | For | For | ||
| 1.4 | Election of Director: Michael B. McCallister | Management | For | For | ||
| 2. | Advisory vote to approve our executive compensation (Say on Pay) | Management | For | For | ||
| 3. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,682 | 0 | 03-Apr-2019 | 16-May-2019 |
| LEAR CORPORATION | ||||
| Security | 521865204 | Meeting Type | Annual | |
| Ticker Symbol | LEA | Meeting Date | 16-May-2019 | |
| ISIN | US5218652049 | Agenda | 934961966 - Management | |
| Record Date | 21-Mar-2019 | Holding Recon Date | 21-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Thomas P. Capo | Management | For | For | ||
| 1b. | Election of Director: Mei-Wei Cheng | Management | For | For | ||
| 1c. | Election of Director: Jonathan F. Foster | Management | For | For | ||
| 1d. | Election of Director: Mary Lou Jepsen | Management | For | For | ||
| 1e. | Election of Director: Kathleen A. Ligocki | Management | For | For | ||
| 1f. | Election of Director: Conrad L. Mallett, Jr. | Management | For | For | ||
| 1g. | Election of Director: Raymond E. Scott | Management | For | For | ||
| 1h. | Election of Director: Gregory C. Smith | Management | For | For | ||
| 1i. | Election of Director: Henry D.G. Wallace | Management | For | For | ||
| 2. | Ratification of the retention of Ernst & Young LLP as our independent registered public accounting firm for 2019. | Management | For | For | ||
| 3. | Advisory vote to approve Lear Corporation's executive compensation. | Management | For | For | ||
| 4. | Vote to approve Lear Corporation's 2019 Long-Term Stock Incentive Plan. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,530 | 0 | 30-Mar-2019 | 17-May-2019 |
| STEEL DYNAMICS, INC. | ||||
| Security | 858119100 | Meeting Type | Annual | |
| Ticker Symbol | STLD | Meeting Date | 16-May-2019 | |
| ISIN | US8581191009 | Agenda | 934964708 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Mark D. Millett | For | For | |||||
| 2 | Sheree L. Bargabos | For | For | |||||
| 3 | Keith E. Busse | For | For | |||||
| 4 | Frank D. Byrne, M.D. | For | For | |||||
| 5 | Kenneth W. Cornew | For | For | |||||
| 6 | Traci M. Dolan | For | For | |||||
| 7 | James C. Marcuccilli | For | For | |||||
| 8 | Bradley S. Seaman | For | For | |||||
| 9 | Gabriel L. Shaheen | For | For | |||||
| 10 | Steven A. Sonnenberg | For | For | |||||
| 11 | Richard P. Teets, Jr. | For | For | |||||
| 2. | TO APPROVE THE APPOINTMENT OF ERNST & YOUNG LLP AS STEEL DYNAMICS INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR 2019 | Management | For | For | ||||
| 3. | TO HOLD AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS | Management | For | For | ||||
| 4. | TO APPROVE THE AMENDED AND RESTATED STEEL DYNAMICS, INC. 2015 EQUITY INCENTIVE PLAN | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 18,418 | 0 | 28-Mar-2019 | 17-May-2019 |
| UNION PACIFIC CORPORATION | ||||
| Security | 907818108 | Meeting Type | Annual | |
| Ticker Symbol | UNP | Meeting Date | 16-May-2019 | |
| ISIN | US9078181081 | Agenda | 934970383 - Management | |
| Record Date | 22-Mar-2019 | Holding Recon Date | 22-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Andrew H. Card Jr. | Management | For | For | ||
| 1b. | Election of Director: Erroll B. Davis Jr. | Management | For | For | ||
| 1c. | Election of Director: William J. DeLaney | Management | For | For | ||
| 1d. | Election of Director: David B. Dillon | Management | For | For | ||
| 1e. | Election of Director: Lance M. Fritz | Management | For | For | ||
| 1f. | Election of Director: Deborah C. Hopkins | Management | For | For | ||
| 1g. | Election of Director: Jane H. Lute | Management | For | For | ||
| 1h. | Election of Director: Michael R. McCarthy | Management | For | For | ||
| 1i. | Election of Director: Thomas F. McLarty III | Management | For | For | ||
| 1j. | Election of Director: Bhavesh V. Patel | Management | For | For | ||
| 1k. | Election of Director: Jose H. Villarreal | Management | For | For | ||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for 2019. | Management | For | For | ||
| 3. | An advisory vote to approve executive compensation ("Say on Pay"). | Management | For | For | ||
| 4. | Shareholder proposal regarding Independent Chairman if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 3,934 | 0 | 06-Apr-2019 | 17-May-2019 |
| CBOE GLOBAL MARKETS, INC. | ||||
| Security | 12503M108 | Meeting Type | Annual | |
| Ticker Symbol | CBOE | Meeting Date | 16-May-2019 | |
| ISIN | US12503M1080 | Agenda | 934976525 - Management | |
| Record Date | 19-Mar-2019 | Holding Recon Date | 19-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 15-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Edward T. Tilly | Management | For | For | ||
| 1b. | Election of Director: Eugene S. Sunshine | Management | For | For | ||
| 1c. | Election of Director: Frank E. English, Jr. | Management | For | For | ||
| 1d. | Election of Director: William M. Farrow III | Management | For | For | ||
| 1e. | Election of Director: Edward J. Fitzpatrick | Management | For | For | ||
| 1f. | Election of Director: Janet P. Froetscher | Management | For | For | ||
| 1g. | Election of Director: Jill R. Goodman | Management | For | For | ||
| 1h. | Election of Director: Roderick A. Palmore | Management | For | For | ||
| 1i. | Election of Director: James E. Parisi | Management | For | For | ||
| 1j. | Election of Director: Joseph P. Ratterman | Management | For | For | ||
| 1k. | Election of Director: Michael L. Richter | Management | For | For | ||
| 1l. | Election of Director: Jill E. Sommers | Management | For | For | ||
| 1m. | Election of Director: Carole E. Stone | Management | For | For | ||
| 2. | Advisory proposal to approve the Company's executive compensation. | Management | For | For | ||
| 3. | Ratification of the appointment of the independent registered public accounting firm. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 5,494 | 0 | 04-Apr-2019 | 17-May-2019 |
| WESTLAKE CHEMICAL CORPORATION | ||||
| Security | 960413102 | Meeting Type | Annual | |
| Ticker Symbol | WLK | Meeting Date | 17-May-2019 | |
| ISIN | US9604131022 | Agenda | 934959365 - Management | |
| Record Date | 18-Mar-2019 | Holding Recon Date | 18-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 16-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Albert Chao | For | For | |||||
| 2 | David Chao | For | For | |||||
| 3 | Michael J. Graff | For | For | |||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP to serve as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 8,479 | 0 | 06-Apr-2019 | 20-May-2019 |
| CDW CORP | ||||
| Security | 12514G108 | Meeting Type | Annual | |
| Ticker Symbol | CDW | Meeting Date | 21-May-2019 | |
| ISIN | US12514G1085 | Agenda | 934966043 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 20-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Class III Director: Lynda M. Clarizio | Management | For | For | ||
| 1b. | Election of Class III Director: Christine A. Leahy | Management | For | For | ||
| 1c. | Election of Class III Director: Thomas E. Richards | Management | For | For | ||
| 1d. | Election of Class III Director: Joseph R. Swedish | Management | For | For | ||
| 2. | To approve, on an advisory basis, named executive officer compensation. | Management | For | For | ||
| 3. | To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 6,626 | 0 | 11-Apr-2019 | 22-May-2019 |
| ROSS STORES, INC. | ||||
| Security | 778296103 | Meeting Type | Annual | |
| Ticker Symbol | ROST | Meeting Date | 22-May-2019 | |
| ISIN | US7782961038 | Agenda | 934968794 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Michael Balmuth | Management | For | For | ||
| 1b. | Election of Director: K. Gunnar Bjorklund | Management | For | For | ||
| 1c. | Election of Director: Michael J. Bush | Management | For | For | ||
| 1d. | Election of Director: Norman A. Ferber | Management | For | For | ||
| 1e. | Election of Director: Sharon D. Garrett | Management | For | For | ||
| 1f. | Election of Director: Stephen D. Milligan | Management | For | For | ||
| 1g. | Election of Director: George P. Orban | Management | For | For | ||
| 1h. | Election of Director: Michael O'Sullivan | Management | For | For | ||
| 1i. | Election of Director: Gregory L. Quesnel | Management | For | For | ||
| 1j. | Election of Director: Barbara Rentler | Management | For | For | ||
| 2. | Advisory vote to approve the resolution on the compensation of the named executive officers. | Management | For | For | ||
| 3. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending February 1, 2020. | Management | For | For | ||
| 4. | To vote on a stockholder proposal on Greenhouse Gas Emissions Goals, if properly presented at the Annual Meeting. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 7,854 | 0 | 10-Apr-2019 | 23-May-2019 |
| NVIDIA CORPORATION | ||||
| Security | 67066G104 | Meeting Type | Annual | |
| Ticker Symbol | NVDA | Meeting Date | 22-May-2019 | |
| ISIN | US67066G1040 | Agenda | 934982807 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 21-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a | Election of Director: Robert K. Burgess | Management | For | For | ||
| 1b. | Election of Director: Tench Coxe | Management | For | For | ||
| 1c. | Election of Director: Persis S. Drell | Management | For | For | ||
| 1d. | Election of Director: James C. Gaither | Management | For | For | ||
| 1e. | Election of Director: Jen-Hsun Huang | Management | For | For | ||
| 1f. | Election of Director: Dawn Hudson | Management | For | For | ||
| 1g. | Election of Director: Harvey C. Jones | Management | For | For | ||
| 1h. | Election of Director: Michael G. McCaffery | Management | For | For | ||
| 1i. | Election of Director: Stephen C. Neal | Management | For | For | ||
| 1j. | Election of Director: Mark L. Perry | Management | For | For | ||
| 1k. | Election of Director: A. Brooke Seawell | Management | For | For | ||
| 1l. | Election of Director: Mark A. Stevens | Management | For | For | ||
| 2. | Approval of our executive compensation. | Management | For | For | ||
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | Management | For | For | ||
| 4. | Approval of an amendment and restatement of our Certificate of Incorporation to eliminate supermajority voting to remove a director without cause. | Management | For | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 4,126 | 0 | 13-Apr-2019 | 23-May-2019 |
| THE HOME DEPOT, INC. | ||||
| Security | 437076102 | Meeting Type | Annual | |
| Ticker Symbol | HD | Meeting Date | 23-May-2019 | |
| ISIN | US4370761029 | Agenda | 934976157 - Management | |
| Record Date | 25-Mar-2019 | Holding Recon Date | 25-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: Gerard J. Arpey | Management | For | For | ||
| 1b. | Election of Director: Ari Bousbib | Management | For | For | ||
| 1c. | Election of Director: Jeffery H. Boyd | Management | For | For | ||
| 1d. | Election of Director: Gregory D. Brenneman | Management | For | For | ||
| 1e. | Election of Director: J. Frank Brown | Management | For | For | ||
| 1f. | Election of Director: Albert P. Carey | Management | For | For | ||
| 1g. | Election of Director: Helena B. Foulkes | Management | For | For | ||
| 1h. | Election of Director: Linda R. Gooden | Management | For | For | ||
| 1i. | Election of Director: Wayne M. Hewett | Management | For | For | ||
| 1j. | Election of Director: Manuel Kadre | Management | For | For | ||
| 1k. | Election of Director: Stephanie C. Linnartz | Management | For | For | ||
| 1l. | Election of Director: Craig A. Menear | Management | For | For | ||
| 2. | Ratification of the Appointment of KPMG LLP | Management | For | For | ||
| 3. | Advisory Vote to Approve Executive Compensation ("Say-on-Pay") | Management | For | For | ||
| 4. | Shareholder Proposal Regarding EEO-1 Disclosure | Shareholder | Against | For | ||
| 5. | Shareholder Proposal to Reduce the Threshold to Call Special Shareholder Meetings to 10% of Outstanding Shares | Shareholder | Against | For | ||
| 6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 3,316 | 0 | 09-Apr-2019 | 24-May-2019 |
| LENNOX INTERNATIONAL INC. | ||||
| Security | 526107107 | Meeting Type | Annual | |
| Ticker Symbol | LII | Meeting Date | 23-May-2019 | |
| ISIN | US5261071071 | Agenda | 934985726 - Management | |
| Record Date | 26-Mar-2019 | Holding Recon Date | 26-Mar-2019 | |
| City / Country | / United States | Vote Deadline Date | 22-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||
| 1. | DIRECTOR | Management | ||||||
| 1 | Todd M. Bluedorn | For | For | |||||
| 2 | Max H. Mitchell | For | For | |||||
| 3 | Kim K.W. Rucker | For | For | |||||
| 2. | Advisory vote to approve the compensation of the named executive officers as disclosed in our proxy statement. | Management | For | For | ||||
| 3. | To approve the Lennox International Inc. 2019 Equity and Incentive Compensation Plan. | Management | For | For | ||||
| 4. | Ratifying the appointment of KPMG LLP as our independent registered public accounting firm for the 2019 fiscal year. | Management | For | For | ||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 2,739 | 0 | 13-Apr-2019 | 24-May-2019 |
| UNITEDHEALTH GROUP INCORPORATED | ||||
| Security | 91324P102 | Meeting Type | Annual | |
| Ticker Symbol | UNH | Meeting Date | 03-Jun-2019 | |
| ISIN | US91324P1021 | Agenda | 934998963 - Management | |
| Record Date | 09-Apr-2019 | Holding Recon Date | 09-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 31-May-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of Director: William C. Ballard, Jr. | Management | For | For | ||
| 1b. | Election of Director: Richard T. Burke | Management | For | For | ||
| 1c. | Election of Director: Timothy P. Flynn | Management | For | For | ||
| 1d. | Election of Director: Stephen J. Hemsley | Management | For | For | ||
| 1e. | Election of Director: Michele J. Hooper | Management | For | For | ||
| 1f. | Election of Director: F. William McNabb III | Management | For | For | ||
| 1g. | Election of Director: Valerie C. Montgomery Rice, M.D. | Management | For | For | ||
| 1h. | Election of Director: John H. Noseworthy, M.D. | Management | For | For | ||
| 1i. | Election of Director: Glenn M. Renwick | Management | For | For | ||
| 1j. | Election of Director: David S. Wichmann | Management | For | For | ||
| 1k. | Election of Director: Gail R. Wilensky, Ph.D. | Management | For | For | ||
| 2. | Advisory approval of the Company's executive compensation. | Management | For | For | ||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the year ending December 31, 2019. | Management | For | For | ||
| 4. | The shareholder proposal set forth in the proxy statement requesting an amendment to the proxy access bylaw, if properly presented at the 2019 Annual Meeting of Shareholders. | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 2,096 | 0 | 20-Apr-2019 | 04-Jun-2019 |
| THE TJX COMPANIES, INC. | ||||
| Security | 872540109 | Meeting Type | Annual | |
| Ticker Symbol | TJX | Meeting Date | 04-Jun-2019 | |
| ISIN | US8725401090 | Agenda | 935015342 - Management | |
| Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 03-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1A. | Election of Director: Zein Abdalla | Management | For | For | ||
| 1B. | Election of Director: Alan M. Bennett | Management | For | For | ||
| 1C. | Election of Director: Rosemary T. Berkery | Management | For | For | ||
| 1D. | Election of Director: David T. Ching | Management | For | For | ||
| 1E. | Election of Director: Ernie Herrman | Management | For | For | ||
| 1F. | Election of Director: Michael F. Hines | Management | For | For | ||
| 1G. | Election of Director: Amy B. Lane | Management | For | For | ||
| 1H. | Election of Director: Carol Meyrowitz | Management | For | For | ||
| 1I. | Election of Director: Jackwyn L. Nemerov | Management | For | For | ||
| 1J. | Election of Director: John F. O'Brien | Management | For | For | ||
| 1K. | Election of Director: Willow B. Shire | Management | For | For | ||
| 2. | Ratification of appointment of PricewaterhouseCoopers as TJX's independent registered public accounting firm for fiscal 2020 | Management | For | For | ||
| 3. | Advisory approval of TJX's executive compensation (the say-on-pay vote) | Management | For | For | ||
| 4. | Shareholder proposal for a report on compensation disparities based on race, gender, or ethnicity | Shareholder | Against | For | ||
| 5. | Shareholder proposal for a report on prison labor | Shareholder | Against | For | ||
| 6. | Shareholder proposal for a report on human rights risks | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 13,037 | 0 | 01-May-2019 | 05-Jun-2019 |
| MASTERCARD INCORPORATED | ||||
| Security | 57636Q104 | Meeting Type | Annual | |
| Ticker Symbol | MA | Meeting Date | 25-Jun-2019 | |
| ISIN | US57636Q1040 | Agenda | 935017233 - Management | |
| Record Date | 26-Apr-2019 | Holding Recon Date | 26-Apr-2019 | |
| City / Country | / United States | Vote Deadline Date | 24-Jun-2019 | |
| SEDOL(s) | Quick Code | |||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||
| 1a. | Election of director: Richard Haythornthwaite | Management | For | For | ||
| 1b. | Election of director: Ajay Banga | Management | For | For | ||
| 1c. | Election of director: David R. Carlucci | Management | For | For | ||
| 1d. | Election of director: Richard K. Davis | Management | For | For | ||
| 1e. | Election of director: Steven J. Freiberg | Management | For | For | ||
| 1f. | Election of director: Julius Genachowski | Management | For | For | ||
| 1g. | Election of director: Choon Phong Goh | Management | For | For | ||
| 1h. | Election of director: Merit E. Janow | Management | For | For | ||
| 1i. | Election of director: Oki Matsumoto | Management | For | For | ||
| 1j. | Election of director: Youngme Moon | Management | For | For | ||
| 1k. | Election of director: Rima Qureshi | Management | For | For | ||
| 1l. | Election of director: José Octavio Reyes Lagunes | Management | For | For | ||
| 1m. | Election of director: Gabrielle Sulzberger | Management | For | For | ||
| 1n. | Election of director: Jackson Tai | Management | For | For | ||
| 1o. | Election of director: Lance Uggla | Management | For | For | ||
| 2. | Advisory approval of Mastercard's executive compensation | Management | For | For | ||
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2019 | Management | For | For | ||
| 4. | Consideration of a stockholder proposal on gender pay gap | Shareholder | Against | For | ||
| 5. | Consideration of a stockholder proposal on creation of a human rights committee | Shareholder | Against | For |
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |
| 000348556 | REALITY SHARES DIVCON LEADERS DIVIDEND ETF | 348556 | BNY MELLON | 2,803 | 0 | 02-May-2019 | 26-Jun-2019 |
=================== Reality Shares DIVS ETF ====================
There is no proxy voting activity for the Fund, as the Fund did not hold any votable positions during the reporting period.
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (Registrant): | Reality Shares ETF Trust | |
| By (Signature and Title): | /s/ Eric R. Ervin | |
| Eric R. Ervin | ||
| President | ||
| Date: | July 12, 2019 |
