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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 number 811-22894
INVESTMENT MANAGERS SERIES TRUST II
(Exact name of registrant as specified in charter)
| 235 W. Galena Street, Milwaukee, WI | 53212 |
| (Address of principal executive offices) | (Zip code) |
Constance Dye Shannon
235 W. Galena Street, Milwaukee, WI 53212
(Name and address of agent for service)
Registrant's telephone number, including area code: (414) 299-2295
Date of fiscal year end: January 31
Date of reporting period: July 1, 2019 - June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD.
Vote Summary
| NEPTUNE WELLNESS SOLUTIONS INC. | ||||||||||||||||
| Security | 64079L105 | Meeting Type | Annual and Special Meeting | |||||||||||||
| Ticker Symbol | NEPT | Meeting Date | 14-Aug-2019 | |||||||||||||
| ISIN | CA64079L1058 | Agenda | 935064193 - Management | |||||||||||||
| Record Date | 26-Jun-2019 | Holding Recon Date | 26-Jun-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 09-Aug-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | Mr. John M. Moretz | For | For | |||||||||||||
| 2 | Mr. Michael Cammarata | For | For | |||||||||||||
| 3 | Mr. R.P. Schottenfeld | For | For | |||||||||||||
| 4 | Dr. Ronald Denis | For | For | |||||||||||||
| 5 | Mr. Philippe Trudeau | For | For | |||||||||||||
| 6 | Ms. Hélène F. Fortin | For | For | |||||||||||||
| 2 | Appointment of KPMG LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | ||||||||||||
| 3 | To consider and, if deemed appropriate, to pass, with or without variation, an ordinary resolution approving certain amendments to the Corporation's stock option plan and equity incentive plan, and ratifying and confirming the grant of 7,800,000 options to purchase common shares of the Corporation to Michael Cammarata, as more particularly described in the circular. | Management | For | For | ||||||||||||
| CANOPY GROWTH CORPORATION | ||||||||||||||||
| Security | 138035100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | CGC | Meeting Date | 17-Sep-2019 | |||||||||||||
| ISIN | CA1380351009 | Agenda | 935071275 - Management | |||||||||||||
| Record Date | 08-Aug-2019 | Holding Recon Date | 08-Aug-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 12-Sep-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | John K. Bell | For | For | |||||||||||||
| 2 | Robert Hanson | For | For | |||||||||||||
| 3 | David Klein | For | For | |||||||||||||
| 4 | William Newlands | For | For | |||||||||||||
| 5 | Judy A. Schmeling | For | For | |||||||||||||
| 6 | Peter Stringham | For | For | |||||||||||||
| 7 | Mark Zekulin | For | For | |||||||||||||
| 2 | Appointment of KPMG LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | ||||||||||||
| AURORA CANNABIS INC. | ||||||||||||||||
| Security | 05156X108 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ACB | Meeting Date | 08-Nov-2019 | |||||||||||||
| ISIN | CA05156X1087 | Agenda | 935084715 - Management | |||||||||||||
| Record Date | 10-Sep-2019 | Holding Recon Date | 10-Sep-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 05-Nov-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | To Set the Number of Directors at Eight (8). | Management | For | For | ||||||||||||
| 2 | DIRECTOR | Management | ||||||||||||||
| 1 | Michael Singer | For | For | |||||||||||||
| 2 | Terry Booth | For | For | |||||||||||||
| 3 | Steve Dobler | For | For | |||||||||||||
| 4 | Ron Funk | For | For | |||||||||||||
| 5 | Dr. Jason Dyck | For | For | |||||||||||||
| 6 | Norma Beauchamp | For | For | |||||||||||||
| 7 | Margaret Shan Atkins | For | For | |||||||||||||
| 8 | Adam Szweras | For | For | |||||||||||||
| 3 | Appointment of KPMG LLP as Auditors of the Corporation for the ensuing year. | Management | For | For | ||||||||||||
| 4 | To consider and, if deemed appropriate, to pass with or without variation, a non-binding advisory resolution on executive compensation, as more particularly described in the accompanying Information Circular. | Management | For | For | ||||||||||||
| AKERNA CORP. | ||||||||||||||||
| Security | 00973W102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | KERN | Meeting Date | 11-Nov-2019 | |||||||||||||
| ISIN | US00973W1027 | Agenda | 935086404 - Management | |||||||||||||
| Record Date | 20-Sep-2019 | Holding Recon Date | 20-Sep-2019 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Nov-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Tahira Rehmatullah | For | For | |||||||||||||
| 2 | Matthew R. Kane | For | For | |||||||||||||
| 2. | Ratification of appointment of Marcum LLP. | Management | For | For | ||||||||||||
| 3. | Advisory vote on 2019 executive compensation ("Say-on- Pay"). | Management | For | For | ||||||||||||
| 4. | Advisory vote on the frequency of future Say-on-Pay votes. | Management | 3 Years | For | ||||||||||||
| APHRIA INC. | ||||||||||||||||
| Security | 03765K104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | APHA | Meeting Date | 14-Nov-2019 | |||||||||||||
| ISIN | CA03765K1049 | Agenda | 935090314 - Management | |||||||||||||
| Record Date | 04-Oct-2019 | Holding Recon Date | 04-Oct-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 11-Nov-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | Irwin D. Simon | For | For | |||||||||||||
| 2 | John M. Herhalt | For | For | |||||||||||||
| 3 | Jodi Butts | For | For | |||||||||||||
| 4 | David Hopkinson | For | For | |||||||||||||
| 5 | Tom Looney | For | For | |||||||||||||
| 6 | Renah Persofsky | For | For | |||||||||||||
| 7 | Walter Robb | For | For | |||||||||||||
| 2 | Appointment of PricewaterhouseCoopers LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | ||||||||||||
| FIRE & FLOWER HOLDINGS CORP. | ||||||||||||||||
| Security | 318108107 | Meeting Type | Annual and Special Meeting | |||||||||||||
| Ticker Symbol | FFLWF | Meeting Date | 19-Nov-2019 | |||||||||||||
| ISIN | CA3181081074 | Agenda | 935096188 - Management | |||||||||||||
| Record Date | 15-Oct-2019 | Holding Recon Date | 15-Oct-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 14-Nov-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | To fix the number of directors of the Corporation to be elected at the Meeting at seven (7). | Management | For | For | ||||||||||||
| 2 | DIRECTOR | Management | ||||||||||||||
| 1 | Trevor Fencott | For | For | |||||||||||||
| 2 | Harvey Shapiro | For | For | |||||||||||||
| 3 | Norman Inkster | For | For | |||||||||||||
| 4 | Sharon Ranson | For | For | |||||||||||||
| 5 | Donald Wright | For | For | |||||||||||||
| 6 | Avininder Grewal | For | For | |||||||||||||
| 7 | Jeremy Bergeron | For | For | |||||||||||||
| 3 | Re-appointment of PricewaterhouseCoopers LLP as auditors of the Corporation for the ensuing year and authorizing the board of directors of the Corporation to fix their remuneration and terms of engagement. | Management | For | For | ||||||||||||
| 4 | To consider and, if thought advisable, to pass, with or without amendment, an ordinary resolution approving, confirming and ratifying the Corporation's amended and restated option plan as well as all unallocated options, rights and entitlements thereunder. | Management | For | For | ||||||||||||
| 5 | To consider and, if thought advisable, to pass, with or without amendment, an ordinary resolution approving, ratifying and confirming an amendment to by-law no. 1 of the Corporation to remove restrictions with respect to the location of the registered office of the Corporation. | Management | For | For | ||||||||||||
| TILRAY INC. | ||||||||||||||||
| Security | 88688T100 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | TLRY | Meeting Date | 06-Dec-2019 | |||||||||||||
| ISIN | US88688T1007 | Agenda | 935109101 - Management | |||||||||||||
| Record Date | 31-Oct-2019 | Holding Recon Date | 31-Oct-2019 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 05-Dec-2019 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | To consider and vote upon a proposal to approve and adopt the Agreement and Plan of Merger and Reorganization, dated as of September 9, 2019 ("Merger Agreement") by and among Company, Privateer Holdings, Inc. ("Privateer"), and Down River Merger Sub, LLC, a copy of which is attached as Annex A to the proxy statement/prospectus/information statement, and the transactions contemplated thereby, including the merger, the issuance of shares of Company's Class 1 common stock & Class 2 common stock to Privateer's stockholders and option holders. | Management | For | For | ||||||||||||
| 2. | To approve the amended and restated certificate of incorporation of the Company in the form attached as Annex B to the proxy statement/prospectus/information statement. | Management | For | For | ||||||||||||
| 3. | To consider and, if necessary, vote upon an adjournment of the Company's Special Meeting of Stockholders to solicit additional proxies if there are not sufficient votes in favor of Proposal Nos. 1 and 2. | Management | For | For | ||||||||||||
| WEEDMD INC | ||||||||||||||||
| Security | 948525100 | Meeting Type | Special General Meeting | |||||||||||||
| Ticker Symbol | Meeting Date | 04-Feb-2020 | ||||||||||||||
| ISIN | CA9485251008 | Agenda | 711979558 - Management | |||||||||||||
| Record Date | 30-Dec-2019 | Holding Recon Date | 30-Dec-2019 | |||||||||||||
| City / | Country | TORONT O | / | Canada | Vote Deadline Date | 29-Jan-2020 | ||||||||||
| SEDOL(s) | BDH43N9 - BF35SL3 - BF5GYT4 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS. THANK YOU | Non-Voting | ||||||||||||||
| 1 | TO APPROVE AN ORDINARY RESOLUTION TO APPROVE THE ISSUANCE AND SALE BY THE CORPORATION OF 23,079,763 COMMON SHARES TO 2437653 ONTARIO INC. (THE "LIUNA SHAREHOLDER"), A COMPANY CONTROLLED BY THE LIUNA PENSION FUND OF CENTRAL AND EASTERN CANADA, TO BE ISSUED PURSUANT TO THE AUTOMATIC EXERCISE OF SUBSCRIPTION RECEIPTS (THE "SUBSCRIPTION RECEIPTS") HELD BY THE LIUNA SHAREHOLDER, FOR AGGREGATE GROSS PROCEEDS TO THE CORPORATION OF CAD25,000,000, AND, IN CONNECTION THEREWITH, SPECIFICALLY APPROVE THE CREATION OF THE LIUNA SHAREHOLDER AS A "CONTROL PERSON" OF THE CORPORATION, IN ACCORDANCE WITH THE APPLICABLE POLICIES OF THE TSX VENTURE EXCHANGE | Management | For | For | ||||||||||||
| 2 | TO APPROVE, IN CONNECTION WITH THE EXERCISE OF THE SUBSCRIPTION RECEIPTS INTO COMMON SHARES OF THE CORPORATION, AN ORDINARY RESOLUTION TO APPROVE CERTAIN BOARD NOMINATION RIGHTS AND VOTING COVENANTS PURSUANT TO A NOMINATION RIGHTS AND VOTING AGREEMENT WITH CERTAIN SHAREHOLDERS OF THE CORPORATION | Management | For | For | ||||||||||||
| ORGANIGRAM HOLDINGS INC. | ||||||||||||||||
| Security | 68620P101 | Meeting Type | Annual and Special Meeting | |||||||||||||
| Ticker Symbol | OGI | Meeting Date | 25-Feb-2020 | |||||||||||||
| ISIN | CA68620P1018 | Agenda | 935128012 - Management | |||||||||||||
| Record Date | 17-Jan-2020 | Holding Recon Date | 17-Jan-2020 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 20-Feb-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | Peter Amirault | For | For | |||||||||||||
| 2 | Greg Engel | For | For | |||||||||||||
| 3 | Dexter John | For | For | |||||||||||||
| 4 | Geoffrey Machum | For | For | |||||||||||||
| 5 | Ken Manget | For | For | |||||||||||||
| 6 | Sherry Porter | For | For | |||||||||||||
| 7 | Stephen A. Smith | For | For | |||||||||||||
| 8 | Derrick West | For | For | |||||||||||||
| 2 | Appointment of Deloitte LLP as Auditors of the Company for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | ||||||||||||
| 3 | To approve a special resolution approving the articles of amendment of the Company as more fully described in the Company's 2020 management information circular. | Management | For | For | ||||||||||||
| 4 | To approve an ordinary resolution confirming the Amended and Restated By-Law No. 1 of the Company as more fully described in the Company's 2020 management information circular. | Management | For | For | ||||||||||||
| 5 | To approve an ordinary resolution ratifying the adoption of a new omnibus equity incentive plan for the Company as more fully described in the Company's 2020 management information circular. | Management | For | For | ||||||||||||
| AGILENT TECHNOLOGIES, INC. | ||||||||||||||||
| Security | 00846U101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | A | Meeting Date | 17-Apr-2020 | |||||||||||||
| ISIN | US00846U1016 | Agenda | 935127313 - Management | |||||||||||||
| Record Date | 22-Jan-2020 | Holding Recon Date | 22-Jan-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Apr-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1.1 | Election of Director for a three-year term: Heidi Kunz | Management | For | For | ||||||||||||
| 1.2 | Election of Director for a three-year term: Sue H. Rataj | Management | For | For | ||||||||||||
| 1.3 | Election of Director for a three-year term: George A. Scangos, Ph.D. | Management | For | For | ||||||||||||
| 1.4 | Election of Director for a three-year term: Dow R. Wilson | Management | For | For | ||||||||||||
| 2. | To approve the Agilent Technologies, Inc. 2020 Employee Stock Purchase Plan. | Management | For | For | ||||||||||||
| 3. | To approve, on a non-binding advisory basis, the compensation of Agilent's named executive officers. | Management | For | For | ||||||||||||
| 4. | To ratify the Audit and Finance Committee's appointment of PricewaterhouseCoopers LLP as Agilent's independent registered public accounting firm. | Management | For | For | ||||||||||||
| PERKINELMER, INC. | ||||||||||||||||
| Security | 714046109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | PKI | Meeting Date | 28-Apr-2020 | |||||||||||||
| ISIN | US7140461093 | Agenda | 935142808 - Management | |||||||||||||
| Record Date | 28-Feb-2020 | Holding Recon Date | 28-Feb-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Apr-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1A. | Election of Director: Peter Barrett | Management | For | For | ||||||||||||
| 1B. | Election of Director: Samuel R. Chapin | Management | For | For | ||||||||||||
| 1C. | Election of Director: Sylvie Grégoire, PharmD | Management | For | For | ||||||||||||
| 1D. | Election of Director: Alexis P. Michas | Management | For | For | ||||||||||||
| 1E. | Election of Director: Prahlad R. Singh, PhD | Management | For | For | ||||||||||||
| 1F. | Election of Director: Michel Vounatsos | Management | For | For | ||||||||||||
| 1G. | Election of Director: Frank Witney, PhD | Management | For | For | ||||||||||||
| 1H. | Election of Director: Pascale Witz | Management | For | For | ||||||||||||
| 2. | To ratify the selection of Deloitte & Touche LLP as PerkinElmer's independent registered public accounting firm for the current fiscal year. | Management | For | For | ||||||||||||
| 3. | To approve, by non-binding advisory vote, our executive compensation. | Management | For | For | ||||||||||||
| PHILIP MORRIS INTERNATIONAL INC. | ||||||||||||||||
| Security | 718172109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | PM | Meeting Date | 06-May-2020 | |||||||||||||
| ISIN | US7181721090 | Agenda | 935152594 - Management | |||||||||||||
| Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | |||||||||||
| 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: Werner Geissler | Management | For | For | ||||||||||||
| 1D. | Election of Director: Lisa A. Hook | Management | For | For | ||||||||||||
| 1E. | Election of Director: Jennifer Li | Management | For | For | ||||||||||||
| 1F. | Election of Director: Jun Makihara | Management | For | For | ||||||||||||
| 1G. | Election of Director: Kalpana Morparia | Management | For | For | ||||||||||||
| 1H. | Election of Director: Lucio A. Noto | Management | For | For | ||||||||||||
| 1I. | Election of Director: Frederik Paulsen | Management | For | For | ||||||||||||
| 1J. | Election of Director: Robert B. Polet | Management | For | For | ||||||||||||
| 2. | Advisory Vote Approving Executive Compensation | Management | For | For | ||||||||||||
| 3. | Ratification of the Selection of Independent Auditors | Management | For | For | ||||||||||||
| GROWGENERATION CORP. | ||||||||||||||||
| Security | 39986L109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GRWG | Meeting Date | 11-May-2020 | |||||||||||||
| ISIN | US39986L1098 | Agenda | 935163927 - Management | |||||||||||||
| Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-May-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Michael Salaman | For | For | |||||||||||||
| 2 | Darren Lampert | For | For | |||||||||||||
| 3 | Stephen Aiello | For | For | |||||||||||||
| 4 | Sean Stiefel | For | For | |||||||||||||
| 5 | Paul Ciasullo | For | For | |||||||||||||
| 2. | To approve and ratify the appointment of Plante & Moran, PLLC as the Company's independent registered public accounting firm to audit the Company's financial statements as of December 31, 2020 and for the fiscal years then ending. | Management | For | For | ||||||||||||
| 3. | To approve and ratify the amendment and restatement of the Company's 2018 Equity Incentive Plan to increase the number of shares issuable thereunder from 2,500,000 to 5,000,000. | Management | For | For | ||||||||||||
| CORBUS PHARMACEUTICALS HOLDINGS, INC. | ||||||||||||||||
| Security | 21833P103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | CRBP | Meeting Date | 20-May-2020 | |||||||||||||
| ISIN | US21833P1030 | Agenda | 935173219 - Management | |||||||||||||
| Record Date | 01-Apr-2020 | Holding Recon Date | 01-Apr-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Yuval Cohen | For | For | |||||||||||||
| 2 | Alan Holmer | For | For | |||||||||||||
| 3 | David P. Hochman | For | For | |||||||||||||
| 4 | Avery W. Catlin | For | For | |||||||||||||
| 5 | Peter Salzmann | For | For | |||||||||||||
| 6 | John Jenkins | For | For | |||||||||||||
| 7 | Rachelle Jacques | For | For | |||||||||||||
| 2. | Ratification of EisnerAmper LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||
| 3. | Approval, on an advisory basis, of the executive compensation of the Company's named executive officers. | Management | For | For | ||||||||||||
| 4. | To vote, on an advisory basis, on how often the Company will conduct an advisory vote on executive compensation. | Management | 3 Years | Against | ||||||||||||
| GW PHARMACEUTICALS PLC | ||||||||||||||||
| Security | 36197T103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GWPH | Meeting Date | 26-May-2020 | |||||||||||||
| ISIN | US36197T1034 | Agenda | 935177471 - Management | |||||||||||||
| Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | To re-elect Dr. Geoffrey W. Guy as a Director | Management | For | For | ||||||||||||
| 2. | To re-elect Cabot Brown as a Director | Management | For | For | ||||||||||||
| 3. | To approve the 2020 Long Term Incentive Plan | Management | For | For | ||||||||||||
| 4. | To approve the Directors' Remuneration Report | Management | For | For | ||||||||||||
| 5. | To approve the compensation of the Company's named executive officers | Management | For | For | ||||||||||||
| 6. | To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm | Management | For | For | ||||||||||||
| 7. | To re-appoint Deloitte LLP as the UK Auditor | Management | For | For | ||||||||||||
| 8. | To authorise the Directors to determine the Auditors' remuneration | Management | For | For | ||||||||||||
| 9. | To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 12- month period ended 31 December 2019 and note that the Directors do not recommend the payment of a dividend | Management | For | For | ||||||||||||
| 10. | To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 26 May 2021 | Management | For | For | ||||||||||||
| 11. | Subject to the passing of Resolution 10, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment | Management | For | For | ||||||||||||
| CARDIOL THERAPEUTICS INC | ||||||||||||||||
| Security | 14161Y200 | Meeting Type | Annual General Meeting | |||||||||||||
| Ticker Symbol | Meeting Date | 01-Jun-2020 | ||||||||||||||
| ISIN | CA14161Y2006 | Agenda | 712552694 - Management | |||||||||||||
| Record Date | 14-Apr-2020 | Holding Recon Date | 14-Apr-2020 | |||||||||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 26-May-2020 | ||||||||||
| SEDOL(s) | BHPRGJ5 - BHZT969 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS-1.1 TO 1.7 AND 2. THANK YOU | Non-Voting | ||||||||||||||
| 1.1 | ELECTION OF DIRECTOR: DAVID ELSLEY | Management | For | For | ||||||||||||
| 1.2 | ELECTION OF DIRECTOR: DR. ELDON R. SMITH | Management | For | For | ||||||||||||
| 1.3 | ELECTION OF DIRECTOR: DEBORAH BROWN | Management | For | For | ||||||||||||
| 1.4 | ELECTION OF DIRECTOR: IAIN CHALMERS | Management | For | For | ||||||||||||
| 1.5 | ELECTION OF DIRECTOR: COLIN STOTT | Management | For | For | ||||||||||||
| 1.6 | ELECTION OF DIRECTOR: PETER PEKOS | Management | For | For | ||||||||||||
| 1.7 | ELECTION OF DIRECTOR: DR. GUILLERMO TORRE- AMIONE | Management | For | For | ||||||||||||
| 2 | TO APPOINT BDO CANADA LLP, CHARTERED PROFESSIONAL ACCOUNTANTS, AS AUDITORS OF THE CORPORATION AND TO AUTHORIZE REMUNERATION TO BE FIXED BY THE BOARD | Management | For | For | ||||||||||||
| 3 | TO CONSIDER AND, IF THOUGHT FIT, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE THE CORPORATION'S AMENDED AND RESTATED EQUITY COMPENSATION PLAN, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR | Management | For | For | ||||||||||||
| INNOVATIVE INDUSTRIAL PROPERTIES, INC. | ||||||||||||||||
| Security | 45781V101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | IIPR | Meeting Date | 02-Jun-2020 | |||||||||||||
| ISIN | US45781V1017 | Agenda | 935186292 - Management | |||||||||||||
| Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Jun-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Alan Gold | For | For | |||||||||||||
| 2 | Gary Kreitzer | For | For | |||||||||||||
| 3 | Mary Curran | For | For | |||||||||||||
| 4 | Scott Shoemaker | For | For | |||||||||||||
| 5 | Paul Smithers | For | For | |||||||||||||
| 6 | David Stecher | For | For | |||||||||||||
| 2. | Ratification of the appointment of BDO USA, LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||
| 3. | Approval of an amendment to the Company's charter to provide stockholders the ability to alter, amend or repeal the Company's bylaws and adopt new bylaws. | Management | For | For | ||||||||||||
| 4. | Approval on a non-binding advisory basis of the compensation of the Company's named executive officers. | Management | For | For | ||||||||||||
| 5. | To recommend, by non-binding advisory vote, the frequency of stockholder non-binding advisory votes relating to the Company's executive compensation. | Management | 3 Years | For | ||||||||||||
| VALENS GROWORKS CORP | ||||||||||||||||
| Security | 91913D106 | Meeting Type | MIX | |||||||||||||
| Ticker Symbol | Meeting Date | 12-Jun-2020 | ||||||||||||||
| ISIN | CA91913D1069 | Agenda | 712653600 - Management | |||||||||||||
| Record Date | 06-May-2020 | Holding Recon Date | 06-May-2020 | |||||||||||||
| City / | Country | TORONT O | / | Canada | Vote Deadline Date | 08-Jun-2020 | ||||||||||
| SEDOL(s) | BD9FYC6 - BDJ0C05 - BYNKPB0 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTIONS 1, 4, 5 AND 6 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR-RESOLUTION NUMBERS 2.1 TO 2.7 AND 3. THANK YOU | Non-Voting | ||||||||||||||
| 1 | TO SET THE NUMBER OF DIRECTORS AT 7 | Management | For | For | ||||||||||||
| 2.1 | ELECTION OF DIRECTOR: A. TYLER ROBSON | Management | For | For | ||||||||||||
| 2.2 | ELECTION OF DIRECTOR: ASHLEY MCGRATH | Management | For | For | ||||||||||||
| 2.3 | ELECTION OF DIRECTOR: NITIN KAUSHAL | Management | For | For | ||||||||||||
| 2.4 | ELECTION OF DIRECTOR: DEEPAK ANAND | Management | For | For | ||||||||||||
| 2.5 | ELECTION OF DIRECTOR: KARIN A. MCCASKILL | Management | For | For | ||||||||||||
| 2.6 | ELECTION OF DIRECTOR: ANDREW COCKWELL | Management | For | For | ||||||||||||
| 2.7 | ELECTION OF DIRECTOR: RENEE MERRIFIELD | Management | For | For | ||||||||||||
| 3 | APPOINTMENT OF KPMG LLP, CHARTERED ACCOUNTANTS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||||||
| 4 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS A SPECIAL RESOLUTION, WITH OR WITHOUT VARIATION, TO APPROVE THE FILING OF ARTICLES OF CONTINUANCE BY THE COMPANY UNDER THE CANADA BUSINESS CORPORATIONS ACT (CBCA) UNDER THE NAME "THE VALENS COMPANY INC.", OR SUCH OTHER NAME AS MAY BE APPROVED BY THE BOARD OF DIRECTORS OF THE COMPANY, SO THAT THE COMPANY WILL BECOME A FEDERAL CORPORATION GOVERNED BY THE CBCA, AND TO APPROVE THE ADOPTION OF A GENERAL BY-LAW OF THE COMPANY EFFECTIVE UPON SUCH CONTINUANCE | Management | For | For | ||||||||||||
| 5 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS AN ORDINARY RESOLUTION, WITH OR WITHOUT VARIATION, TO APPROVE THE ADVANCE NOTICE BY-LAW OF THE COMPANY RELATING TO THE ADVANCE NOTICE OF NOMINATIONS OF DIRECTORS, TO BE EFFECTIVE UPON COMPLETION OF THE CONTINUANCE | Management | For | For | ||||||||||||
| 6 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS AN ORDINARY RESOLUTION, WITH OR WITHOUT VARIATION, TO APPROVE THE ADOPTION OF THE COMPANY'S OMNIBUS LONG-TERM INCENTIVE PLAN | Management | For | For | ||||||||||||
| CMMT | PLEASE NOTE THAT THIS MEETING MENTIONS DISSENTER'S RIGHTS, PLEASE REFER TO-THE MANAGEMENT INFORMATION CIRCULAR FOR DETAILS | Non-Voting | ||||||||||||||
| FIRE & FLOWER HOLDINGS CORP | ||||||||||||||||
| Security | 318108107 | Meeting Type | MIX | |||||||||||||
| Ticker Symbol | Meeting Date | 15-Jun-2020 | ||||||||||||||
| ISIN | CA3181081074 | Agenda | 712694620 - Management | |||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 09-Jun-2020 | ||||||||||
| SEDOL(s) | BHLP035 - BJJG8Y1 | Quick Code | ||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTIONS 1, 4 AND 5 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR-RESOLUTION NUMBERS 2.1 TO 2.7 AND 3. THANK YOU. | Non-Voting | ||||||||||||||
| 1 | TO SET THE NUMBER OF DIRECTORS AT SEVEN | Management | For | For | ||||||||||||
| 2.1 | ELECTION OF DIRECTOR: HARVEY SHAPIRO | Management | For | For | ||||||||||||
| 2.2 | ELECTION OF DIRECTOR: TREVOR FENCOTT | Management | For | For | ||||||||||||
| 2.3 | ELECTION OF DIRECTOR: NORMAN INKSTER | Management | For | For | ||||||||||||
| 2.4 | ELECTION OF DIRECTOR: SHARON RANSON | Management | For | For | ||||||||||||
| 2.5 | ELECTION OF DIRECTOR: DONALD WRIGHT | Management | For | For | ||||||||||||
| 2.6 | ELECTION OF DIRECTOR: AVININDER GREWAL | Management | For | For | ||||||||||||
| 2.7 | ELECTION OF DIRECTOR: JEREMY BERGERON | Management | For | For | ||||||||||||
| 3 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||||||
| 4 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING, THE PROPOSED ISSUANCE OF 8,200 8.0% CAD1,000 PRINCIPAL AMOUNT SECURED CONVERTIBLE DEBENTURES OF THE CORPORATION UPON THE CONVERSION OF 8,200 SUBSCRIPTION RECEIPTS, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING INFORMATION CIRCULAR DATED MAY 11, 2020 (THE "CIRCULAR") | Management | For | For | ||||||||||||
| 5 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING, THE PROPOSED ISSUANCE OF UP TO 5,650,000 COMMON SHARES IN SATISFACTION OF INTEREST PAYABLE ON UP TO 28,000 8.0% CAD1,000 PRINCIPAL AMOUNT SECURED CONVERTIBLE DEBENTURES OF THE CORPORATION, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR | Management | For | For | ||||||||||||
| CRONOS GROUP INC. | ||||||||||||||||
| Security | 22717L101 | Meeting Type | Annual and Special Meeting | |||||||||||||
| Ticker Symbol | CRON | Meeting Date | 25-Jun-2020 | |||||||||||||
| ISIN | CA22717L1013 | Agenda | 935227985 - Management | |||||||||||||
| Record Date | 27-Apr-2020 | Holding Recon Date | 27-Apr-2020 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 22-Jun-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | Jason Adler | For | For | |||||||||||||
| 2 | Jody Begley | For | For | |||||||||||||
| 3 | Bronwen Evans | For | For | |||||||||||||
| 4 | Murray Garnick | For | For | |||||||||||||
| 5 | Michael Gorenstein | For | For | |||||||||||||
| 6 | Heather Newman | For | For | |||||||||||||
| 7 | James Rudyk | For | For | |||||||||||||
| 2 | Adoption of an advisory (non-binding) resolution approving the compensation of the Company's named executive officers as disclosed in the accompanying proxy statement of the Company dated April 28, 2020 (the "Proxy Statement"). | Management | For | For | ||||||||||||
| 3 | Adoption of an advisory (non-binding) resolution on the frequency of future "say on pay" votes as described in the accompanying Proxy Statement. | Management | 3 Years | Against | ||||||||||||
| 4 | Adoption of an ordinary resolution to approve the 2020 Omnibus Equity Incentive Plan of the Company, as described in the accompanying Proxy Statement. | Management | For | For | ||||||||||||
| 5 | Adoption of a special resolution authorizing the Company to make an application for the continuance of the Company from the laws of the Province of Ontario to the laws of the Province of British Columbia and approving the notice of articles and articles of the continued company, as described in the accompanying Proxy Statement. | Management | For | For | ||||||||||||
| 6 | Appointment of KPMG LLP as Auditors of the Company for the ensuing year and authorizing the board of directors of the Company to fix their remuneration. | Management | For | For | ||||||||||||
| VILLAGE FARMS INTERNATIONAL, INC. | ||||||||||||||||
| Security | 92707Y108 | Meeting Type | Annual and Special Meeting | |||||||||||||
| Ticker Symbol | VFF | Meeting Date | 25-Jun-2020 | |||||||||||||
| ISIN | CA92707Y1088 | Agenda | 935228216 - Management | |||||||||||||
| Record Date | 13-May-2020 | Holding Recon Date | 13-May-2020 | |||||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 22-Jun-2020 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||
| 1 | Michael A. DeGiglio | For | For | |||||||||||||
| 2 | John P. Henry | For | For | |||||||||||||
| 3 | David Holwinski | For | For | |||||||||||||
| 4 | John R. McLernon | For | For | |||||||||||||
| 5 | Stephen C. Ruffini | For | For | |||||||||||||
| 6 | Christopher C. Woodward | For | For | |||||||||||||
| 2 | Appointment of PricewaterhouseCoopers LLP as Auditors of the Company for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | ||||||||||||
| 3 | Ratify amendments to By-Law of the Company to increase the quorum for any meeting of shareholders of the Company to two persons present at the opening of the meeting who are entitled to vote and who hold or represent not less than 33 1/3% of the outstanding shares entitled to vote. | Management | For | For | |||||||||||
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) | Investment Managers Series Trust II | ||
| By (Signature and Title)* | /s/ Terrance P. Gallagher | ||
| Terrance P. Gallagher, President & Principal Executive Officer | |||
| Date | July 24, 2020 | ||
| * | Print the name and title of each signing officer under his or her signature. |