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) |
Diane J. Drake
Mutual Fund Administration, LLC
2220 E. Route 66, Suite 226
Glendora, California 91740
(Name and address of agent for service)
Registrant's telephone number, including area code: (626) 385-5777
| Date of fiscal year end: | November 30 | |
| Date of reporting period: | July 1, 2020 - June 30, 2021 |
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 - 7/1/2020 through 6/30/2021
| AFFILIATED MANAGERS GROUP, INC. | |||||||||||||
| Security | 008252108 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | AMG | Meeting Date | 09-Jun-2021 | ||||||||||
| ISIN | US0082521081 | Agenda | 935411467 - Management | ||||||||||
| Record Date | 12-Apr-2021 | Holding Recon Date | 12-Apr-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director to serve until the 2022 Annual Meeting: Karen L. Alvingham | Management | For | For | For | ||||||||
| 1B. | Election of Director to serve until the 2022 Annual Meeting: Tracy A. Atkinson | Management | For | For | For | ||||||||
| 1C. | Election of Director to serve until the 2022 Annual Meeting: Dwight D. Churchill | Management | For | For | For | ||||||||
| 1D. | Election of Director to serve until the 2022 Annual Meeting: Jay C. Horgen | Management | For | For | For | ||||||||
| 1E. | Election of Director to serve until the 2022 Annual Meeting: Reuben Jeffery III | Management | For | For | For | ||||||||
| 1F. | Election of Director to serve until the 2022 Annual Meeting: Félix V. Matos Rodríguez | Management | For | For | For | ||||||||
| 1G. | Election of Director to serve until the 2022 Annual Meeting: Tracy P. Palandjian | Management | For | For | For | ||||||||
| 2. | To approve, by a non-binding advisory vote, the compensation of the Company's named executive officers. | Management | For | For | For | ||||||||
| 3. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the current fiscal year. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 4,000 | 0 | 03-Jun-2021 | 03-Jun-2021 | ||||||
| ASHTEAD GROUP PLC | |||||||||||||
| Security | G05320109 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | AHT.LN | Meeting Date | 08-Sep-2020 | ||||||||||
| ISIN | GB0000536739 | Agenda | 712977024 - Management | ||||||||||
| Record Date | Holding Recon Date | 04-Sep-2020 | |||||||||||
| City / | Country | LONDON | / | United Kingdom | Vote Deadline Date | 31-Aug-2020 | |||||||
| SEDOL(s) | 0053673 - B02S5X9 - B630X21 - BG0B2Z3 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | THAT THE COMPANY'S ANNUAL ACCOUNTS FOR THE YEAR ENDED 30 APRIL 2020, TOGETHER WITH THE DIRECTORS' REPORT AND THE AUDITORS' REPORT ON THOSE ACCOUNTS AND ON THE AUDITABLE PART OF THE REMUNERATION REPORT, BE ADOPTED | Management | For | For | For | ||||||||
| 2 | THAT THE REMUNERATION REPORT FOR THE YEAR ENDED 30 APRIL 2020 (OTHER THAN THE PART CONTAINING THE REMUNERATION POLICY), WHICH IS SET OUT IN THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR ENDED 30 APRIL 2020, BE APPROVED | Management | For | For | For | ||||||||
| 3 | THAT THE FINAL DIVIDEND RECOMMENDED BY THE DIRECTORS OF 33.5P PER ORDINARY SHARE FOR THE YEAR ENDED 30 APRIL 2020 BE DECLARED PAYABLE ON 11 SEPTEMBER 2020 TO HOLDERS OF ORDINARY SHARES REGISTERED AT THE CLOSE OF BUSINESS ON 14 AUGUST 2020 | Management | For | For | For | ||||||||
| 4 | THAT PAUL WALKER BE RE-ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 5 | THAT BRENDAN HORGAN BE RE- ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 6 | THAT MICHAEL PRATT BE RE-ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 7 | THAT ANGUS COCKBURN BE RE- ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 8 | THAT LUCINDA RICHES BE RE- ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 9 | THAT TANYA FRATTO BE RE-ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 10 | THAT LINDSLEY RUTH BE RE-ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 11 | THAT JILL EASTERBROOK WHO HAS BEEN APPOINTED AS A DIRECTOR SINCE THE LAST ANNUAL GENERAL MEETING OF THE COMPANY BE ELECTED AS A DIRECTOR | Management | For | For | For | ||||||||
| 12 | THAT DELOITTE LLP BE REAPPOINTED AS AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY | Management | For | For | For | ||||||||
| 13 | THAT THE DIRECTORS BE AUTHORISED TO FIX THE REMUNERATION OF THE AUDITOR OF THE COMPANY | Management | For | For | For | ||||||||
| 14 | THAT, FOR THE PURPOSES OF SECTION 551 OF THE COMPANIES ACT 2006 (THE 'ACT') (AND SO THAT EXPRESSIONS USED IN THIS RESOLUTION SHALL BEAR THE SAME MEANINGS AS IN THE SAID SECTION 551): 14.1 THE DIRECTORS BE AND ARE GENERALLY AND UNCONDITIONALLY AUTHORISED TO EXERCISE ALL POWERS OF THE COMPANY TO ALLOT SHARES AND TO GRANT SUCH SUBSCRIPTION AND CONVERSION RIGHTS AS ARE CONTEMPLATED BY SECTIONS 551(1)(A) AND (B) OF THE ACT RESPECTIVELY UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 14,976,994 TO SUCH PERSONS AND AT SUCH TIMES AND ON SUCH TERMS AS THEY THINK PROPER DURING THE PERIOD EXPIRING AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY (UNLESS PREVIOUSLY REVOKED OR VARIED BY THE COMPANY IN GENERAL MEETING) OR AT 6.00PM ON 8 DECEMBER 2021, WHICHEVER IS SOONER; AND 14.2 THE DIRECTORS BE AND ARE GENERALLY AND UNCONDITIONALLY AUTHORISED TO EXERCISE ALL POWERS OF THE COMPANY TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE ACT) IN CONNECTION WITH A RIGHTS ISSUE IN FAVOUR OF THE HOLDERS OF EQUITY SECURITIES AND ANY OTHER PERSONS ENTITLED TO PARTICIPATE IN SUCH ISSUE WHERE THE EQUITY SECURITIES RESPECTIVELY ATTRIBUTABLE TO THE INTERESTS OF SUCH HOLDERS AND PERSONS ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBER OF EQUITY SECURITIES HELD BY THEM UP TO AN AGGREGATE NOMINAL AMOUNT OF | Management | For | For | For | ||||||||
| GBP 29,953,989, INCLUDING WITHIN SUCH LIMIT ANY EQUITY SECURITIES ALLOTTED UNDER RESOLUTION 14.1 ABOVE, DURING THE PERIOD EXPIRING AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT 6.00PM ON 8 DECEMBER 2021, WHICHEVER IS SOONER, SUBJECT ONLY TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR EXPEDIENT TO DEAL WITH FRACTIONAL ENTITLEMENTS OR LEGAL OR PRACTICAL PROBLEMS UNDER THE LAWS OR REQUIREMENTS OF ANY RECOGNISED REGULATORY BODY OR STOCK EXCHANGE IN ANY TERRITORY; AND 14.3 THE COMPANY BE AND IS HEREBY AUTHORISED TO MAKE, PRIOR TO THE EXPIRY OF SUCH PERIOD, ANY OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE SUCH SHARES OR RIGHTS TO BE ALLOTTED OR GRANTED AFTER THE EXPIRY OF THE SAID PERIOD AND THE DIRECTORS MAY ALLOT SUCH SHARES OR GRANT SUCH RIGHTS IN PURSUANCE OF ANY SUCH OFFER OR AGREEMENT NOTWITHSTANDING THE EXPIRY OF THE AUTHORITY GIVEN BY THIS RESOLUTION; SO THAT ALL PREVIOUS AUTHORITIES OF THE DIRECTORS PURSUANT TO THE SAID SECTION 551 BE AND ARE HEREBY REVOKED | |||||||||||||
| 15 | THAT, SUBJECT TO THE PASSING OF RESOLUTION 14, THE DIRECTORS BE AND ARE EMPOWERED IN ACCORDANCE WITH SECTION 570 OF THE ACT TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE ACT) FOR CASH, PURSUANT TO THE AUTHORITY CONFERRED ON THEM TO ALLOT SUCH SHARES OR GRANT SUCH RIGHTS BY THAT RESOLUTION AND/OR WHERE THE ALLOTMENT CONSTITUTES AN ALLOTMENT OF EQUITY SECURITIES BY VIRTUE OF SECTION 560(3) OF THE ACT, AS IF SECTION 561(1) AND SUB- SECTIONS (1) - (6) OF SECTION 562 OF THE ACT DID NOT APPLY TO ANY SUCH ALLOTMENT, PROVIDED THAT THE POWER CONFERRED BY THIS RESOLUTION SHALL BE LIMITED TO: 15.1 THE ALLOTMENT OF EQUITY SECURITIES IN CONNECTION WITH AN | Management | For | For | For | ||||||||
| ISSUE OR OFFERING IN FAVOUR OF HOLDERS OF EQUITY SECURITIES (BUT IN THE CASE OF THE AUTHORITY GRANTED UNDER RESOLUTION 14.2 BY WAY OF A RIGHTS ISSUE ONLY) AND ANY OTHER PERSONS ENTITLED TO PARTICIPATE IN SUCH ISSUE OR OFFERING WHERE THE EQUITY SECURITIES RESPECTIVELY ATTRIBUTABLE TO THE INTERESTS OF SUCH HOLDERS AND PERSONS ARE PROPORTIONATE (AS NEARLY AS MAY BE) TO THE RESPECTIVE NUMBER OF EQUITY SECURITIES HELD BY OR DEEMED TO BE HELD BY THEM ON THE RECORD DATE OF SUCH ALLOTMENT, SUBJECT ONLY TO SUCH EXCLUSIONS OR OTHER ARRANGEMENTS AS THE DIRECTORS MAY CONSIDER NECESSARY OR EXPEDIENT TO DEAL WITH FRACTIONAL ENTITLEMENTS OR LEGAL OR PRACTICAL PROBLEMS UNDER THE LAWS OR REQUIREMENTS OF ANY RECOGNISED REGULATORY BODY OR STOCK EXCHANGE IN ANY TERRITORY; AND 15.2 THE ALLOTMENT (OTHERWISE THAN PURSUANT TO PARAGRAPH 15.1 ABOVE) OF EQUITY SECURITIES UP TO AN AGGREGATE NOMINAL VALUE NOT EXCEEDING GBP 2,246,549; AND THIS POWER, UNLESS RENEWED, SHALL EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT 6.00PM ON 8 DECEMBER 2021, WHICHEVER IS SOONER, BUT SHALL EXTEND TO THE MAKING, BEFORE SUCH EXPIRY, OF AN OFFER OR AGREEMENT WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER SUCH EXPIRY AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES IN PURSUANCE OF SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY CONFERRED HEREBY HAD NOT EXPIRED | |||||||||||||
| 16 | THAT, SUBJECT TO THE PASSING OF RESOLUTION 14, THE DIRECTORS BE AUTHORISED IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 15 TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE ACT) FOR CASH UNDER THE AUTHORITY GIVEN BY RESOLUTION 14 AND/OR TO SELL TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE ACT DID NOT | Management | For | For | For | ||||||||
| APPLY TO ANY SUCH ALLOTMENT OR SALE, SUCH AUTHORITY TO BE: 16.1 LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL VALUE OF GBP 2,246,549; AND 16.2 USED ONLY FOR THE PURPOSE OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS OF THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE DIRECTORS DETERMINE TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE- EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE, SUCH AUTHORITY TO EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT 6.00PM ON 8 DECEMBER 2021, WHICHEVER IS SOONER, BUT, IN EACH CASE, PRIOR TO ITS EXPIRY THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES SOLD) AFTER THE AUTHORITY EXPIRES AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT EXPIRED | |||||||||||||
| 17 | THAT THE COMPANY BE AND IS HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED FOR THE PURPOSE OF SECTION 701 OF THE ACT TO MAKE MARKET PURCHASES (AS DEFINED IN SECTION 693 OF THE ACT) OF ORDINARY SHARES OF 10P EACH IN THE CAPITAL OF THE COMPANY ('ORDINARY SHARES') PROVIDED THAT: 17.1 THE MAXIMUM NUMBER OF ORDINARY SHARES HEREBY AUTHORISED TO BE PURCHASED IS 67,351,544; 17.2 THE MINIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR SUCH ORDINARY SHARES IS 10P PER SHARE, BEING THE NOMINAL AMOUNT THEREOF; 17.3 THE MAXIMUM PRICE (EXCLUSIVE OF EXPENSES) WHICH MAY BE PAID FOR SUCH ORDINARY SHARES SHALL BE AN AMOUNT EQUAL | Management | For | For | For | ||||||||
| TO THE HIGHER OF (I) 5% ABOVE THE AVERAGE OF THE MIDDLE MARKET QUOTATIONS FOR SUCH SHARES TAKEN FROM THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH THE PURCHASE IS MADE AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE OF AN ORDINARY SHARE AND THE HIGHEST CURRENT INDEPENDENT BID FOR AN ORDINARY SHARE AS DERIVED FROM THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT; 17.4 THE AUTHORITY HEREBY CONFERRED SHALL (UNLESS PREVIOUSLY RENEWED OR REVOKED) EXPIRE AT THE END OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY OR AT 6.00PM ON 8 DECEMBER 2021, WHICHEVER IS SOONER; AND 17.5 THE COMPANY MAY MAKE A CONTRACT TO PURCHASE ITS OWN ORDINARY SHARES UNDER THE AUTHORITY CONFERRED BY THIS RESOLUTION PRIOR TO THE EXPIRY OF SUCH AUTHORITY, AND SUCH CONTRACT WILL OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER THE EXPIRY OF SUCH AUTHORITY, AND THE COMPANY MAY MAKE A PURCHASE OF ITS OWN ORDINARY SHARES IN PURSUANCE OF ANY SUCH CONTRACT | |||||||||||||
| 18 | THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE | Management | For | For | For | ||||||||
| 19 | THAT THE CAPITAL OF THE COMPANY BE REDUCED BY CANCELLING AND EXTINGUISHING ALL OF THE 2,840,000 ORDINARY SHARES OF 10P EACH PURPORTEDLY PURCHASED BY THE COMPANY BETWEEN 5 FEBRUARY 2020 AND 18 MARCH 2020, AS FURTHER DESCRIBED ON PAGE 103 OF THE ANNUAL ACCOUNTS OF THE COMPANY FOR THE YEAR ENDED 30 APRIL 2020 | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 28,661 | 0 | 25-Aug-2020 | 25-Aug-2020 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 26,000 | 0 | 25-Aug-2020 | 25-Aug-2020 | ||||||
| BARCLAYS PLC | |||||||||||||
| Security | 06738E204 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | BCS | Meeting Date | 05-May-2021 | ||||||||||
| ISIN | US06738E2046 | Agenda | 935386602 - Management | ||||||||||
| Record Date | 19-Mar-2021 | Holding Recon Date | 19-Mar-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Apr-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1. | To receive the reports of the Directors and Auditors and the audited accounts of the Company for the year ended 31 December 2020. | Management | For | For | For | ||||||||
| 2. | To approve the Directors' Remuneration Report for the year ended 31 December 2020. | Management | For | For | For | ||||||||
| 3. | That Julia Wilson be appointed a Director of the Company. | Management | For | For | For | ||||||||
| 4. | That Mike Ashley be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 5. | That Tim Breedon be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 6. | That Mohamed A. El-Erian be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 7. | That Dawn Fitzpatrick be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 8. | That Mary Francis be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 9. | That Crawford Gillies be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 10. | That Brian Gilvary be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 11. | That Nigel Higgins be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 12. | That Tushar Morzaria be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 13. | That Diane Schueneman be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 14. | That James Staley be reappointed a Director of the Company. | Management | For | For | For | ||||||||
| 15. | To reappoint KPMG LLP as Auditors. | Management | For | For | For | ||||||||
| 16. | To authorise the Board Audit Committee to set the remuneration of the Auditors. | Management | For | For | For | ||||||||
| 17. | To authorise the Company and its subsidiaries to make political donations and incur political expenditure. | Management | For | For | For | ||||||||
| 18. | To authorise the Directors to allot shares and equity securities. | Management | For | For | For | ||||||||
| 19. | To authorise the Directors to allot equity securities for cash and/or sell treasury shares other than on a pro rata basis to shareholders of no more than 5% of issued share capital. | Management | For | For | For | ||||||||
| 20. | To authorise the Directors to allot equity securities for cash and/or sell treasury shares other than on a pro rata basis to shareholders of no more than 5% of issued share capital in connection with an acquisition or specified capital investment. | Management | For | For | For | ||||||||
| 21. | To authorise the Directors to allot equity securities in relation to the issuance of contingent Equity Conversion Notes. | Management | For | For | For | ||||||||
| 22. | To authorise the Directors to allot equity securities for cash other than on a pro rata basis to shareholders in relation to the issuance of contingent Equity Conversion Notes. | Management | For | For | For | ||||||||
| 23. | To authorise the Company to purchase its own shares. | Management | For | For | For | ||||||||
| 24. | To authorise the Directors to call general meetings (other than an AGM) on not less than 14 clear days' notice. | Management | For | For | For | ||||||||
| 25. | To authorise the renewal of the Barclays Long Term Incentive Plan. | Management | For | For | For | ||||||||
| 26. | To authorise the renewal of the Barclays Group Share Value Plan. | Management | For | For | For | ||||||||
| 27. | To authorise the Directors to reintroduce a scrip dividend programme. | Management | For | For | For | ||||||||
| 28. | To adopt new Articles of Association of the Company. | Management | For | For | For | ||||||||
| 29. | Market Forces climate change resolution. | Shareholder | Against | Against | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 208,000 | 0 | 26-Apr-2021 | 26-Apr-2021 | ||||||
| 145320.1 | ACR IQR FUND - US | 145320 | UMB BANK, N.A. | 213,426 | 0 | 26-Apr-2021 | 26-Apr-2021 | ||||||
| BREMBO SPA | |||||||||||||
| Security | T2204N116 | Meeting Type | MIX | ||||||||||
| Ticker Symbol | BRE.IM | Meeting Date | 22-Apr-2021 | ||||||||||
| ISIN | IT0005252728 | Agenda | 713660670 - Management | ||||||||||
| Record Date | 13-Apr-2021 | Holding Recon Date | 13-Apr-2021 | ||||||||||
| City / | Country | STEZZA NO | / | Italy | Vote Deadline Date | 15-Apr-2021 | |||||||
| SEDOL(s) | BF37983 - BF44552 - BF5TQ08 - BYTP6D8 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO-BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK-YOU. | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| O.1 | TO APPROVE THE COMPANY BALANCE SHEET AS OF 31 DECEMBER 2020 TOGETHER WITH BOARD OF DIRECTORS, INTERNAL AND EXTERNAL AUDITORS REPORTS AND THE CERTIFICATE OF THE EXECUTIVE OFFICER. RESOLUTIONS RELATED THERETO | Management | For | For | For | ||||||||
| O.2 | TO ALLOCATE THE NET INCOME. RESOLUTIONS RELATED THERETO | Management | For | For | For | ||||||||
| O.5 | TO AUTHORIZE THE PURCHASE AND DISPOSAL OF OWN SHARES. RESOLUTIONS RELATED THERETO | Management | For | For | For | ||||||||
| O.6.1 | REPORT ON THE REMUNERATION POLICY FOR FINANCIAL YEAR 2021 AND ON THE EMOLUMENT PAID ON 2020: TO ANALYZE SECTION I OF THE 2021 REWARDING POLICY, AS PER ART. 123 TER OF THE D. LGS. 24 FEBRUARY 1998, N. 58, ITEM 3. RESOLUTIONS AS PER ART. 123-TER OF THE D. LGS. 24 FEBRUARY 1998, N. 58., ITEM 3 BIS AND 3 TER | Management | Against | For | Against | ||||||||
| O.6.2 | REPORT ON THE REMUNERATION POLICY FOR FINANCIAL YEAR 2021 AND ON THE EMOLUMENT PAID ON 2020: TO ANALYZE SECTION II, AS PER ART. 123 TER OF THE D. LGS. 24 FEBRUARY 1998, N. 58., ITEM 4. RESOLUTIONS AS PER ART. 123-TER OF THE D. LGS. 24 FEBRUARY 1998, N. 58., ITEM 6 | Management | Against | For | Against | ||||||||
| O.7 | TO APPOINT EXTERNAL AUDITORS FOR THE PERIOD 2022 2030 AND TO STATE THEIR EMOLUMENT. RESOLUTIONS RELATED THERETO | Management | For | For | For | ||||||||
| E.1.1 | TO AMEND ART. 1 AND 4 OF THE COMPANY BYLAW: TO AMEND THE CORPORATE PURPOSE (ART. 4) | Management | For | For | For | ||||||||
| E.1.2 | TO AMEND ART. 1 AND 4 OF THE COMPANY BYLAW: TO AMEND THE COMPANY NAME (ART. 1) | Management | For | For | For | ||||||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN-INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE- PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE- OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | |||||||||||
| CMMT | 12 APR 2021: PLEASE REFER TO THE AGENDA TEAM WITH THE NOTICE TO ESTABLISH IF-WE CAN PROCESS THIS EVENT BY SIMPLY ADDING A NOTE AROUND 'DISSENTERS RIGHTS'-OR IF WE NEED TO CLOSE THIS EVENT AS A NON-PROXY EVENT / CORPORATE ACTION.-THE AGENDA TEAM WILL DETERMINE THIS FROM THE NOTICE | Non-Voting | |||||||||||
| CMMT | 12 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT.-IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | |||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 99,885 | 0 | 30-Mar-2021 | 30-Mar-2021 | ||||||
| BURFORD CAPITAL LIMITED | |||||||||||||
| Security | G17977110 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | BUR.LN | Meeting Date | 18-May-2021 | ||||||||||
| ISIN | GG00BMGYLN96 | Agenda | 713933504 - Management | ||||||||||
| Record Date | Holding Recon Date | 14-May-2021 | |||||||||||
| City / | Country | ST PETER PORT | / | Guernsey | Vote Deadline Date | 12-May-2021 | |||||||
| SEDOL(s) | BLFBVF6 - BMGYLN9 - BMHLZ26 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | TO RECEIVE THE ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2020 AND THE DIRECTORS' AND AUDITORS' REPORTS THEREON | Management | For | For | For | ||||||||
| 2 | TO DECLARE A FINAL DIVIDEND OF 12.5 (UNITED STATES CENTS) PER ORDINARY SHARE | Management | For | For | For | ||||||||
| 3 | TO RE-APPOINT STEVE WILSON AS DIRECTOR | Management | For | For | For | ||||||||
| 4 | TO RE-APPOINT CHARLES PARKINSON AS DIRECTOR | Management | For | For | For | ||||||||
| 5 | TO RE-APPOINT ROBERT GILLESPIE AS DIRECTOR | Management | For | For | For | ||||||||
| 6 | TO RE-APPOINT JOHN SIEVWRIGHT AS DIRECTOR | Management | For | For | For | ||||||||
| 7 | TO RE-APPOINT CHRISTOPHER BOGART AS DIRECTOR | Management | For | For | For | ||||||||
| 8 | TO RE-APPOINT ANDREA MULLER AS DIRECTOR | Management | For | For | For | ||||||||
| 9 | TO RE-APPOINT ERNST & YOUNG LLP AS THE COMPANY'S AUDITORS | Management | For | For | For | ||||||||
| 10 | TO AUTHORISE THE DIRECTORS TO AGREE TO THE AUDITORS' REMUNERATION | Management | For | For | For | ||||||||
| 11 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES UP TO A SPECIFIED AMOUNT | Management | For | For | For | ||||||||
| 12 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES UP TO A SPECIFIED AMOUNT | Management | For | For | For | ||||||||
| 13 | TO APPROVE THE COMPANY'S 2021 NON-EMPLOYEE DIRECTORS' SHARE PLAN | Management | For | For | For | ||||||||
| 14 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES FOR CASH WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS (SUBJECT TO THE LIMITATION SET OUT IN THE RESOLUTION) | Management | Against | For | Against | ||||||||
| 15 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES FOR CASH WITHOUT MAKING A PRE-EMPTIVE OFFER TO SHAREHOLDERS (SUBJECT TO THE LIMITATION SET OUT IN THE RESOLUTION) FOR AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT | Management | Against | For | Against | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 174,122 | 0 | 04-May-2021 | 04-May-2021 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 100,753 | 0 | 04-May-2021 | 04-May-2021 | ||||||
| CHEVRON CORPORATION | |||||||||||||
| Security | 166764100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CVX | Meeting Date | 26-May-2021 | ||||||||||
| ISIN | US1667641005 | Agenda | 935390132 - Management | ||||||||||
| Record Date | 29-Mar-2021 | Holding Recon Date | 29-Mar-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-May-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: Wanda M. Austin | Management | For | For | For | ||||||||
| 1B. | Election of Director: John B. Frank | Management | For | For | For | ||||||||
| 1C. | Election of Director: Alice P. Gast | Management | For | For | For | ||||||||
| 1D. | Election of Director: Enrique Hernandez, Jr. | Management | For | For | For | ||||||||
| 1E. | Election of Director: Marillyn A. Hewson | Management | For | For | For | ||||||||
| 1F. | Election of Director: Jon M. Huntsman Jr. | Management | For | For | For | ||||||||
| 1G. | Election of Director: Charles W. Moorman IV | Management | For | For | For | ||||||||
| 1H. | Election of Director: Dambisa F. Moyo | Management | For | For | For | ||||||||
| 1I. | Election of Director: Debra Reed-Klages | Management | For | For | For | ||||||||
| 1J. | Election of Director: Ronald D. Sugar | Management | For | For | For | ||||||||
| 1K. | Election of Director: D. James Umpleby III | Management | For | For | For | ||||||||
| 1L. | Election of Director: Michael K. Wirth | Management | For | For | For | ||||||||
| 2. | Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm. | Management | For | For | For | ||||||||
| 3. | Advisory Vote to Approve Named Executive Officer Compensation. | Management | For | For | For | ||||||||
| 4. | Reduce Scope 3 Emissions. | Shareholder | Against | Against | For | ||||||||
| 5. | Report on Impacts of Net Zero 2050 Scenario. | Shareholder | Against | Against | For | ||||||||
| 6. | Shift to Public Benefit Corporation. | Shareholder | Against | Against | For | ||||||||
| 7. | Report on Lobbying. | Shareholder | Against | Against | For | ||||||||
| 8. | Independent Chair. | Shareholder | Against | Against | For | ||||||||
| 9. | Special Meetings. | Shareholder | Against | Against | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 13,454 | 0 | 19-May-2021 | 19-May-2021 | ||||||
| CITIGROUP INC. | |||||||||||||
| Security | 172967424 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | C | Meeting Date | 27-Apr-2021 | ||||||||||
| ISIN | US1729674242 | Agenda | 935349515 - Management | ||||||||||
| Record Date | 01-Mar-2021 | Holding Recon Date | 01-Mar-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Apr-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: Ellen M. Costello | Management | For | For | For | ||||||||
| 1B. | Election of Director: Grace E. Dailey | Management | For | For | For | ||||||||
| 1C. | Election of Director: Barbara J. Desoer | Management | For | For | For | ||||||||
| 1D. | Election of Director: John C. Dugan | Management | For | For | For | ||||||||
| 1E. | Election of Director: Jane N. Fraser | Management | For | For | For | ||||||||
| 1F. | Election of Director: Duncan P. Hennes | Management | For | For | For | ||||||||
| 1G. | Election of Director: Peter B. Henry | Management | For | For | For | ||||||||
| 1H. | Election of Director: S. Leslie Ireland | Management | For | For | For | ||||||||
| 1I. | Election of Director: Lew W. (Jay) Jacobs, IV | Management | For | For | For | ||||||||
| 1J. | Election of Director: Renée J. James | Management | For | For | For | ||||||||
| 1K. | Election of Director: Gary M. Reiner | Management | For | For | For | ||||||||
| 1L. | Election of Director: Diana L. Taylor | Management | For | For | For | ||||||||
| 1M. | Election of Director: James S. Turley | Management | For | For | For | ||||||||
| 1N. | Election of Director: Deborah C. Wright | Management | For | For | For | ||||||||
| 1O. | Election of Director: Alexander R. Wynaendts | Management | For | For | For | ||||||||
| 1P. | Election of Director: Ernesto Zedillo Ponce de Leon | Management | For | For | For | ||||||||
| 2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2021. | Management | For | For | For | ||||||||
| 3. | Advisory vote to approve Citi's 2020 Executive Compensation. | Management | Against | For | Against | ||||||||
| 4. | Approval of additional authorized shares under the Citigroup 2019 Stock Incentive Plan. | Management | For | For | For | ||||||||
| 5. | Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit. | Shareholder | Against | Against | For | ||||||||
| 6. | Stockholder proposal requesting an Independent Board Chairman. | Shareholder | Against | Against | For | ||||||||
| 7. | Stockholder proposal requesting non- management employees on director nominee candidate lists. | Shareholder | Against | Against | For | ||||||||
| 8. | Stockholder proposal requesting a report disclosing information regarding Citi's lobbying payments, policies and activities. | Shareholder | Against | Against | For | ||||||||
| 9. | Stockholder proposal requesting a racial equity audit analyzing Citi's adverse impacts on nonwhite stakeholders and communities of color. | Shareholder | Against | Against | For | ||||||||
| 10. | Stockholder proposal requesting that the Board approve an amendment to Citi's Certificate of Incorporation to become a Public Benefit Corporation and to submit the proposed amendment to stockholders for approval. | Shareholder | Against | Against | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 26,980 | 0 | 23-Apr-2021 | 23-Apr-2021 | ||||||
| COMPAGNIE PLASTIC OMNIUM SA | |||||||||||||
| Security | F73325106 | Meeting Type | MIX | ||||||||||
| Ticker Symbol | POM.FP | Meeting Date | 22-Apr-2021 | ||||||||||
| ISIN | FR0000124570 | Agenda | 713707098 - Management | ||||||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | ||||||||||
| City / | Country | LEVALL OIS- PERRET | / | France | Vote Deadline Date | 09-Apr-2021 | |||||||
| SEDOL(s) | B08V9H4 - B0911C2 - B28LB72 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A-FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE-GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED-INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE | Non-Voting | |||||||||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN | Non-Voting | |||||||||||
| CMMT | 25 MAR 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIs)-AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED- MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT-CDIs TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE-CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIs WILL BE BLOCKED IN-THE CREST SYSTEM. THE CDIs WILL BE RELEASED FROM ESCROW AS SOON AS-PRACTICABLE ON THE BUSINESS | Non-Voting | |||||||||||
| DAY PRIOR TO MEETING DATE UNLESS OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE-BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS- MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION-AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE-TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST- SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY- PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND- PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | |||||||||||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE-PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF-NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18,-2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE-PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS- SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY-CONSULT THE COMPANY WEBSITE | Non-Voting | |||||||||||
| CMMT | 05 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF COMMENT AND CHANGE IN NUMBERING OF RESOLUTIONS. IF YOU HAVE ALREADY- SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR-ORIGINAL | Non-Voting | |||||||||||
| INSTRUCTIONS. THANK YOU AND PLEASE NOTE THAT IMPORTANT ADDITIONAL-MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK:-https://www.journal- officiel.gouv.fr/balo/document/20210317210 0564-33 | |||||||||||||
| 1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 2 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR AND SETTING OF THE DIVIDEND | Management | For | For | For | ||||||||
| 3 | THE STATUTORY AUDITORS' REPORT ON THE REGULATED AGREEMENTS AND COMMITMENTS - FORMER AGREEMENTS CONTINUED DURING THE FINANCIAL YEAR | Management | For | For | For | ||||||||
| 4 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 5 | AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO TRADE IN THE COMPANY'S SHARES PURSUANT TO THE PROVISIONS OF ARTICLE L. 22-10-62 OF THE FRENCH COMMERCIAL CODE, DURATION OF THE AUTHORISATION, PURPOSES, TERMS AND CONDITIONS, CEILING | Management | For | For | For | ||||||||
| 6 | RENEWAL OF THE TERM OF OFFICE OF MR. LAURENT BURELLE AS DIRECTOR | Management | For | For | For | ||||||||
| 7 | RENEWAL OF THE TERM OF OFFICE OF MR. LAURENT FAVRE AS DIRECTOR | Management | For | For | For | ||||||||
| 8 | RENEWAL OF THE TERM OF OFFICE OF BURELLE SA COMPANY AS DIRECTOR, REPRESENTED BY MRS. ELIANE LEMARIE | Management | For | For | For | ||||||||
| 9 | RENEWAL OF THE TERM OF OFFICE OF MRS. ANNE-MARIE COUDERC AS DIRECTOR | Management | For | For | For | ||||||||
| 10 | RENEWAL OF THE TERM OF OFFICE OF MRS. LUCIE MAUREL AUBERT AS DIRECTOR | Management | For | For | For | ||||||||
| 11 | RENEWAL OF THE TERM OF OFFICE OF PROF. DR. BERND GOTTSCHALK AS DIRECTOR | Management | For | For | For | ||||||||
| 12 | RENEWAL OF THE TERM OF OFFICE OF MR. PAUL HENRY LEMARIE AS DIRECTOR | Management | For | For | For | ||||||||
| 13 | RENEWAL OF THE TERM OF OFFICE OF MR. ALEXANDRE MERIEUX AS DIRECTOR | Management | For | For | For | ||||||||
| 14 | NON-RENEWAL AND NON- REPLACEMENT OF MR. JEAN BURELLE AS DIRECTOR | Management | For | For | For | ||||||||
| 15 | NON-RENEWAL AND NON- REPLACEMENT OF MR. JEROME GALLOT AS DIRECTOR | Management | For | For | For | ||||||||
| 16 | APPROVAL OF THE REMUNERATION POLICY FOR THE CHAIRMAN OF THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION II OF ARTICLE L.22-10-8 OF THE FRENCH COMMERCIAL CODE | Management | For | For | For | ||||||||
| 17 | APPROVAL OF THE REMUNERATION POLICY FOR THE CHIEF EXECUTIVE OFFICER IN ACCORDANCE WITH SECTION II OF ARTICLE L.22-10-8 OF THE FRENCH COMMERCIAL CODE | Management | For | For | For | ||||||||
| 18 | APPROVAL OF THE REMUNERATION POLICY FOR THE DEPUTY CHIEF EXECUTIVE OFFICER IN ACCORDANCE WITH SECTION II OF ARTICLE L.22-10-8 OF THE FRENCH COMMERCIAL CODE | Management | For | For | For | ||||||||
| 19 | APPROVAL OF THE REMUNERATION POLICY FOR THE DIRECTORS IN ACCORDANCE WITH SECTION II OF ARTICLE L.22-10-8 OF THE FRENCH COMMERCIAL CODE | Management | For | For | For | ||||||||
| 20 | APPROVAL OF ALL REMUNERATION PAID OR ALLOCATED TO THE CORPORATE OFFICERS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 IN ACCORDANCE WITH SECTION I OF ARTICLE L.22-10-34 OF THE FRENCH COMMERCIAL CODE | Management | For | For | For | ||||||||
| 21 | APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. LAURENT BURELLE, CHAIRMAN OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||||
| 22 | APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. LAURENT FAVRE, CHIEF EXECUTIVE OFFICER | Management | For | For | For | ||||||||
| 23 | APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MRS. FELICIE BURELLE, DEPUTY CHIEF EXECUTIVE OFFICER | Management | For | For | For | ||||||||
| 24 | AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO GRANT SHARE PURCHASE OPTIONS TO EMPLOYEES AND/OR CERTAIN CORPORATE OFFICERS OF THE COMPANY OR RELATED COMPANIES, DURATION OF THE AUTHORISATION, CEILING, EXERCISE PRICE, MAXIMUM DURATION OF THE OPTION | Management | Abstain | For | Against | ||||||||
| 25 | AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO FREELY ALLOCATE EXISTING SHARES AND/OR SHARES TO BE ISSUED TO EMPLOYEES AND/OR CERTAIN CORPORATE OFFICERS OF THE COMPANY OR RELATED COMPANIES, DURATION OF THE AUTHORISATION, CEILING, DURATION OF THE ACQUISITION PERIODS, PARTICULARLY IN THE EVENT OF DISABILITY AND CONSERVATION | Management | Abstain | For | Against | ||||||||
| 26 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, ON THE ISSUE OF COMMON SHARES AND/OR EQUITY SECURITIES GRANTING ACCESS TO OTHER EQUITY SECURITIES OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO EQUITY SECURITIES TO BE ISSUED BY THE COMPANY, DURATION OF THE DELEGATION, MAXIMUM NOMINAL AMOUNT OF THE CAPITAL INCREASE, OPTION TO OFFER UNSUBSCRIBED SECURITIES TO THE PUBLIC | Management | For | For | For | ||||||||
| 27 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, ON THE ISSUE OF COMMON SHARES AND/OR EQUITY SECURITIES GRANTING ACCESS TO OTHER EQUITY SECURITIES OR GRANTING ENTITLEMENT TO THE ALLOTMENT OF DEBT SECURITIES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO EQUITY SECURITIES TO BE ISSUED BY THE COMPANY, BY WAY OF A PUBLIC OFFERING EXCLUDING THE OFFERS REFERRED TO IN PARAGRAPH 1DECREE OF ARTICLE L.411-2 OF THE FRENCH MONETARY AND FINANCIAL | Management | Against | For | Against | ||||||||
| CODE AND/OR AS CONSIDERATION FOR SECURITIES IN THE CONTEXT OF A PUBLIC EXCHANGE OFFER, DURATION OF THE DELEGATION, MAXIMUM NOMINAL AMOUNT OF THE CAPITAL INCREASE, ISSUE PRICE, OPTION TO LIMIT TO THE AMOUNT OF SUBSCRIPTIONS OR TO ALLOCATE UNSUBSCRIBED SECURITIES | |||||||||||||
| 28 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, ON THE ISSUE OF COMMON SHARES AND/OR EQUITY SECURITIES GRANTING ACCESS TO OTHER EQUITY SECURITIES OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO EQUITY SECURITIES TO BE ISSUED BY THE COMPANY, BY AN OFFER REFERRED TO IN PARAGRAPH 1DECREE OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE, DURATION OF THE DELEGATION, MAXIMUM NOMINAL AMOUNT OF THE CAPITAL INCREASE, ISSUE PRICE, OPTION TO LIMIT TO THE AMOUNT OF SUBSCRIPTIONS OR TO ALLOCATE THE UNSUBSCRIBED SECURITIES | Management | Against | For | Against | ||||||||
| 29 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED IN THE EVENT OF AN ISSUE OF SECURITIES WITH OR WITHOUT THE PRE-EMPTIVE SUBSCRIPTION RIGHT PURSUANT TO THE 26TH TO 28TH RESOLUTIONS, WITHIN THE LIMIT OF 15% OF THE INITIAL ISSUE | Management | Against | For | Against | ||||||||
| 30 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO INCREASE THE CAPITAL BY ISSUING COMMON SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL WITH CANCELLATION OF THE PRE- EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF MEMBERS OF A COMPANY SAVINGS PLAN PURSUANT TO ARTICLES L. 3332-18 AND FOLLOWING OF THE FRENCH LABOUR CODE, | Management | Against | For | Against | ||||||||
| DURATION OF THE DELEGATION, MAXIMUM NOMINAL AMOUNT OF THE CAPITAL INCREASE, ISSUE PRICE, POSSIBILITY TO ALLOCATE FREE SHARES PURSUANT TO ARTICLE L. 3332-21 OF THE FRENCH LABOUR CODE | |||||||||||||
| 31 | RATIFICATION OF THE STATUTORY ALIGNMENTS CARRIED OUT BY THE BOARD OF DIRECTORS IN ORDER TO COMPLY WITH THE NEW LEGAL AND REGULATORY PROVISIONS | Management | For | For | For | ||||||||
| 32 | DELEGATION TO BE GRANTED TO THE BOARD OF DIRECTORS TO BRING THE COMPANY'S BY-LAWS INTO LINE WITH THE LEGAL AND REGULATORY PROVISIONS | Management | For | For | For | ||||||||
| 33 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | For | ||||||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN-INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE- PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE- OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | |||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 69,338 | 0 | 22-Mar-2021 | 22-Mar-2021 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 59,000 | 0 | 22-Mar-2021 | 22-Mar-2021 | ||||||
| COMSTOCK RESOURCES, INC. | |||||||||||||
| Security | 205768302 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | CRK | Meeting Date | 08-Jun-2021 | ||||||||||
| ISIN | US2057683029 | Agenda | 935396350 - Management | ||||||||||
| Record Date | 07-Apr-2021 | Holding Recon Date | 07-Apr-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Jun-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | M. Jay Allison | For | For | For | |||||||||
| 2 | Roland O. Burns | For | For | For | |||||||||
| 3 | Elizabeth B. Davis | For | For | For | |||||||||
| 4 | Morris E. Foster | For | For | For | |||||||||
| 5 | Jim L. Turner | For | For | For | |||||||||
| 2. | Proposal to ratify the appointment of Ernst & Young LLP as the Company's independent registered public accountants for 2021. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 246,676 | 0 | 03-Jun-2021 | 03-Jun-2021 | ||||||
| DANONE SA | |||||||||||||
| Security | F12033134 | Meeting Type | MIX | ||||||||||
| Ticker Symbol | BN.FP | Meeting Date | 29-Apr-2021 | ||||||||||
| ISIN | FR0000120644 | Agenda | 713755657 - Management | ||||||||||
| Record Date | 26-Apr-2021 | Holding Recon Date | 26-Apr-2021 | ||||||||||
| City / | Country | PARIS | / | France | Vote Deadline Date | 16-Apr-2021 | |||||||
| SEDOL(s) | B1Y95C6 - B1Y9RH5 - B1Y9TB3 - B1YBWV0 - BF445H4 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A-FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE-GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED-INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | |||||||||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE-PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF-NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18,-2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE-PHYSICAL PRESENCE OF THE | Non-Voting | |||||||||||
| SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS- SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY-CONSULT THE COMPANY WEBSITE | |||||||||||||
| CMMT | 14 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS-AVAILABLE BY CLICKING ON THE MATERIAL URL LINK:- https://www.journal- officiel.gouv.fr/balo/document/20210414210 0917-45 AND-PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT AND CHANGE-IN NUMBERING OF ALL RESOLUTIONS AND CHANGE IN TEXT OF COMMENT AND RECEIPT OF-UPDATED BALO. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 541236, PLEASE DO-NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN)-WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW-ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS-TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE.- ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM.-THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS- DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED- MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE-THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION-TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN | Non-Voting | |||||||||||
| DIRECTLY FOR-FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE-SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE-REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED,-YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | |||||||||||||
| CMMT | 07 APR 2021: PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 535348 DUE-TO RECEIPT OF ADDITIONAL RESOLUTIONS 27 AND 28. 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 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 AND SETTING OF THE DIVIDEND AT 1.94 EUROS PER SHARE | Management | For | For | For | ||||||||
| 4 | RENEWAL OF THE TERM OF OFFICE OF MR. GUIDO BARILLA AS DIRECTOR | Management | Against | For | Against | ||||||||
| 5 | RENEWAL OF THE TERM OF OFFICE OF MRS. CECILE CABANIS AS DIRECTOR | Management | Against | For | Against | ||||||||
| 6 | RENEWAL OF THE TERM OF OFFICE OF MR. MICHEL LANDEL AS DIRECTOR PURSUANT TO PARAGRAPH 2 OF ARTICLE 15-II OF THE BY-LAWS | Management | Against | For | Against | ||||||||
| 7 | RENEWAL OF THE TERM OF OFFICE OF MRS. SERPIL TIMURAY AS DIRECTOR | Management | Against | For | Against | ||||||||
| 8 | RATIFICATION OF THE CO-OPTATION OF MR. GILLES SCHNEPP AS DIRECTOR, AS A REPLACEMENT FOR MR. GREGG L. ENGLES, WHO RESIGNED | Management | For | For | For | ||||||||
| 9 | APPROVAL OF THE AGREEMENTS SUBJECT TO THE PROVISIONS OF ARTICLES L.225-38 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE CONCLUDED BY THE COMPANY WITH THE SICAV DANONE COMMUNITIES | Management | Abstain | For | Against | ||||||||
| 10 | APPROVAL OF THE INFORMATION RELATING TO THE REMUNERATION OF CORPORATE OFFICERS MENTIONED IN SECTION I OF ARTICLE L.22-10-9 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR 2020 | Management | Abstain | For | Against | ||||||||
| 11 | APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Management | Abstain | For | Against | ||||||||
| 12 | APPROVAL OF THE REMUNERATION POLICY FOR EXECUTIVE CORPORATE OFFICERS FOR THE FINANCIAL YEAR 2021 | Management | For | For | For | ||||||||
| 13 | SETTING OF THE OVERALL ANNUAL REMUNERATION AMOUNT OF DIRECTORS | Management | For | For | For | ||||||||
| 14 | APPROVAL OF THE REMUNERATION POLICY FOR THE DIRECTORS FOR THE FINANCIAL YEAR 2021 | Management | For | For | For | ||||||||
| 15 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PURCHASE, RETAIN OR TRANSFER SHARES OF THE COMPANY | Management | For | For | For | ||||||||
| 16 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH RETENTION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | For | ||||||||
| 17 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT, BUT WITH THE OBLIGATION TO GRANT A PRIORITY RIGHT | Management | For | For | For | ||||||||
| 18 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN CASE OF A CAPITAL INCREASE WITH CANCELLATION OF THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT, IN ORDER TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED | Management | For | For | For | ||||||||
| 19 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT, IN THE EVENT OF A PUBLIC EXCHANGE OFFER INITIATED BY THE COMPANY | Management | For | For | For | ||||||||
| 20 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT, TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY AND CONSTITUTED OF EQUITY SECURITIES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL | Management | For | For | For | ||||||||
| 21 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE COMPANY'S CAPITAL BY INCORPORATION OF RESERVES, PROFITS, PREMIUMS OR OTHER AMOUNTS WHOSE CAPITALISATION WOULD BE ALLOWED | Management | For | For | For | ||||||||
| 22 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES RESERVED FOR EMPLOYEES WHO ARE MEMBERS OF A COMPANY SAVINGS PLAN AND/OR FOR TRANSFERS OF RESERVED SECURITIES, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | For | ||||||||
| 23 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES CONSISTING OF EMPLOYEES WORKING IN FOREIGN COMPANIES OF THE DANONE GROUP, OR IN A SITUATION OF INTERNATIONAL MOBILITY, IN THE CONTEXT OF EMPLOYEE SHAREHOLDING OPERATIONS | Management | For | For | For | ||||||||
| 24 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH ALLOCATIONS OF EXISTING SHARES OR SHARES TO BE ISSUED OF THE COMPANY, WITHOUT THE SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION RIGHT | Management | For | For | For | ||||||||
| 25 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE CAPITAL BY CANCELLING SHARES | Management | For | For | For | ||||||||
| 26 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | For | ||||||||
| 27 | APPROVAL OF THE COMPENSATION POLICY FOR EXECUTIVE CORPORATE OFFICERS ON AN INTERIM BASIS FOR THE FINANCIAL YEAR 2021 | Management | For | For | For | ||||||||
| 28 | APPROVAL OF THE ELEMENTS OF COMPENSATION PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR 2021 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER, UNTIL HIS DEPARTURE | Management | Abstain | For | Against | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 28,159 | 0 | 05-Apr-2021 | 05-Apr-2021 | ||||||
| EUROCELL PLC | |||||||||||||
| Security | G3143F101 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | ECEL.LN | Meeting Date | 13-May-2021 | ||||||||||
| ISIN | GB00BVV2KN49 | Agenda | 713944266 - Management | ||||||||||
| Record Date | Holding Recon Date | 11-May-2021 | |||||||||||
| City / | Country | TBD | / | United Kingdom | Vote Deadline Date | 05-May-2021 | |||||||
| SEDOL(s) | BMWS1V3 - BVV2KN4 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | TO RECEIVE THE ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 2 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS | Management | For | For | For | ||||||||
| 3 | TO AUTHORISE THE AUDIT AND RISK COMMITTEE TO DETERMINE THE REMUNERATION OF THE AUDITORS | Management | For | For | For | ||||||||
| 4 | TO APPROVE THE DIRECTORS' REMUNERATION REPORT | Management | For | For | For | ||||||||
| 5 | TO RE-ELECT MARTYN COFFEY AS A DIRECTOR | Management | For | For | For | ||||||||
| 6 | TO RE-ELECT SUCHETA GOVIL AS A DIRECTOR | Management | For | For | For | ||||||||
| 7 | TO RE-ELECT MARK KELLY AS A DIRECTOR | Management | For | For | For | ||||||||
| 8 | TO RE-ELECT ROBERT LAWSON AS A DIRECTOR | Management | For | For | For | ||||||||
| 9 | TO RE-ELECT FRANCIS NELSON AS A DIRECTOR | Management | For | For | For | ||||||||
| 10 | TO RE-ELECT MICHAEL SCOTT AS A DIRECTOR | Management | For | For | For | ||||||||
| 11 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 AND TO ALLOT EQUITY SECURITIES BY WAY OF RIGHTS ISSUE | Management | For | For | For | ||||||||
| 12 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES PURSUANT TO SECTION 570 OF THE COMPANIES ACT 2006 IN CONNECTION WITH A RIGHTS ISSUE AND GENERAL DISAPPLICATION | Management | For | For | For | ||||||||
| 13 | TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY SECURITIES PURSUANT TO SECTION 570 OF THE COMPANIES ACT 2006 IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT | Management | For | For | For | ||||||||
| 14 | TO AUTHORISE THE DIRECTORS TO MAKE MARKET PURCHASES OF THE COMPANY'S SHARES | Management | For | For | For | ||||||||
| 15 | TO PERMIT GENERAL MEETINGS (OTHER THAN THE ANNUAL GENERAL MEETING) TO BE CALLED ON 14 CLEAR DAYS' NOTICE | Management | For | For | For | ||||||||
| 16 | TO APPROVE THE MAKING OF POLITICAL DONATIONS | Management | Against | For | Against | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 1,091,124 | 0 | 29-Apr-2021 | 29-Apr-2021 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 510,000 | 0 | 29-Apr-2021 | 29-Apr-2021 | ||||||
| FAIRFAX FINANCIAL HOLDINGS LIMITED | |||||||||||||
| Security | 303901102 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | FRFHF | Meeting Date | 15-Apr-2021 | ||||||||||
| ISIN | CA3039011026 | Agenda | 935348943 - Management | ||||||||||
| Record Date | 05-Mar-2021 | Holding Recon Date | 05-Mar-2021 | ||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 12-Apr-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | DIRECTOR | Management | |||||||||||
| 1 | Anthony F. Griffiths | For | For | For | |||||||||
| 2 | Robert J. Gunn | For | For | For | |||||||||
| 3 | David L. Johnston | For | For | For | |||||||||
| 4 | Karen L. Jurjevich | For | For | For | |||||||||
| 5 | R. William McFarland | For | For | For | |||||||||
| 6 | Christine N. McLean | For | For | For | |||||||||
| 7 | Timothy R. Price | For | For | For | |||||||||
| 8 | Brandon W. Sweitzer | For | For | For | |||||||||
| 9 | Lauren C. Templeton | For | For | For | |||||||||
| 10 | Benjamin P. Watsa | For | For | For | |||||||||
| 11 | V. Prem Watsa | For | For | For | |||||||||
| 12 | William C. Weldon | For | For | For | |||||||||
| 2 | Appointment of PricewaterhouseCoopers LLP as Auditor of the Corporation. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 4,050 | 0 | 06-Apr-2021 | 06-Apr-2021 | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 1,150 | 0 | 06-Apr-2021 | 06-Apr-2021 | ||||||
| FAIRFAX FINANCIAL HOLDINGS LTD | |||||||||||||
| Security | 303901102 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | FFH.CN | Meeting Date | 15-Apr-2021 | ||||||||||
| ISIN | CA3039011026 | Agenda | 713662751 - Management | ||||||||||
| Record Date | 05-Mar-2021 | Holding Recon Date | 05-Mar-2021 | ||||||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 09-Apr-2021 | |||||||
| SEDOL(s) | 2566351 - 5495719 - B2N6TX4 - BYVR1R1 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY FOR RESOLUTION NUMBERS "1.1 TO 1.12 AND 2". THANK YOU | Non-Voting | |||||||||||
| 1.1 | ELECTION OF DIRECTOR: ANTHONY F. GRIFFITHS | Management | For | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: ROBERT J. GUNN | Management | For | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: DAVID L. JOHNSTON | Management | For | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: KAREN L. JURJEVICH | Management | For | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: R. WILLIAM MCFARLAND | Management | For | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: CHRISTINE N. MCLEAN | Management | For | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: TIMOTHY R. PRICE | Management | For | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: BRANDON W. SWEITZER | Management | For | For | For | ||||||||
| 1.9 | ELECTION OF DIRECTOR: LAUREN C. TEMPLETON | Management | For | For | For | ||||||||
| 1.10 | ELECTION OF DIRECTOR: BENJAMIN P. WATSA | Management | For | For | For | ||||||||
| 1.11 | ELECTION OF DIRECTOR: V. PREM WATSA | Management | For | For | For | ||||||||
| 1.12 | ELECTION OF DIRECTOR: WILLIAM C. WELDON | Management | For | For | For | ||||||||
| 2 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE CORPORATION | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 5,678 | 0 | 06-Apr-2021 | 06-Apr-2021 | ||||||
| FIVE POINT HOLDINGS, LLC | |||||||||||||
| Security | 33833Q106 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | FPH | Meeting Date | 09-Jun-2021 | ||||||||||
| ISIN | US33833Q1067 | Agenda | 935415061 - Management | ||||||||||
| Record Date | 12-Apr-2021 | Holding Recon Date | 12-Apr-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | Evan Carruthers | For | For | For | |||||||||
| 2 | Jonathan Foster | For | For | For | |||||||||
| 3 | Emile Haddad | For | For | For | |||||||||
| 4 | Stuart Miller | For | For | For | |||||||||
| 2. | Ratification of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 94,296 | 0 | 03-Jun-2021 | 03-Jun-2021 | ||||||
| GENERAL MOTORS COMPANY | |||||||||||||
| Security | 37045V100 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | GM | Meeting Date | 14-Jun-2021 | ||||||||||
| ISIN | US37045V1008 | Agenda | 935420632 - Management | ||||||||||
| Record Date | 15-Apr-2021 | Holding Recon Date | 15-Apr-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: Mary T. Barra | Management | For | For | For | ||||||||
| 1B. | Election of Director: Wesley G. Bush | Management | For | For | For | ||||||||
| 1C. | Election of Director: Linda R. Gooden | Management | For | For | For | ||||||||
| 1D. | Election of Director: Joseph Jimenez | Management | For | For | For | ||||||||
| 1E. | Election of Director: Jane L. Mendillo | Management | For | For | For | ||||||||
| 1F. | Election of Director: Judith A. Miscik | Management | For | For | For | ||||||||
| 1G. | Election of Director: Patricia F. Russo | Management | For | For | For | ||||||||
| 1H. | Election of Director: Thomas M. Schoewe | Management | For | For | For | ||||||||
| 1I. | Election of Director: Carol M. Stephenson | Management | For | For | For | ||||||||
| 1J. | Election of Director: Mark A. Tatum | Management | For | For | For | ||||||||
| 1K. | Election of Director: Devin N. Wenig | Management | For | For | For | ||||||||
| 1L. | Election of Director: Margaret C. Whitman | Management | For | For | For | ||||||||
| 2. | Advisory Approval of Named Executive Officer Compensation. | Management | For | For | For | ||||||||
| 3. | Ratification of the Selection of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Management | For | For | For | ||||||||
| 4. | Shareholder Proposal Regarding Shareholder Written Consent. | Shareholder | Against | Against | For | ||||||||
| 5. | Shareholder Proposal Regarding a Report on Greenhouse Gas Emissions Targets as a Performance Element of Executive Compensation. | Shareholder | Against | Against | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 292 | 0 | 08-Jun-2021 | 08-Jun-2021 | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 34,708 | 0 | 08-Jun-2021 | 08-Jun-2021 | ||||||
| GREENCORE GROUP PLC | |||||||||||||
| Security | G40866124 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | GNC.LN | Meeting Date | 26-Jan-2021 | ||||||||||
| ISIN | IE0003864109 | Agenda | 713459596 - Management | ||||||||||
| Record Date | 22-Jan-2021 | Holding Recon Date | 22-Jan-2021 | ||||||||||
| City / | Country | DUBLIN 9 | / | Ireland | Vote Deadline Date | 14-Jan-2021 | |||||||
| SEDOL(s) | 0386410 - B01DJ11 - B1GKH32 - BFNF181 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| 1 | FOLLOWING A REVIEW OF THE COMPANY'S AFFAIRS TO RECEIVE AND CONSIDER THE FINANCIAL STATEMENTS AND REPORTS | Management | For | For | For | ||||||||
| 2.A | TO ELECT THE FOLLOWING DIRECTOR WITH EFFECT FROM 1 FEBRUARY 2021: JOHN AMAECHI | Management | For | For | For | ||||||||
| 2.B | TO ELECT THE FOLLOWING DIRECTOR WITH EFFECT FROM 1 FEBRUARY 2021: LINDA HICKEY | Management | For | For | For | ||||||||
| 2.C | TO ELECT THE FOLLOWING DIRECTOR WITH EFFECT FROM 1 FEBRUARY 2021: ANNE O'LEARY | Management | For | For | For | ||||||||
| 2.D | TO RE-APPOINT THE FOLLOWING DIRECTOR: GARY KENNEDY | Management | For | For | For | ||||||||
| 2.E | TO RE-APPOINT THE FOLLOWING DIRECTOR: PATRICK COVENEY | Management | For | For | For | ||||||||
| 2.F | TO RE-APPOINT THE FOLLOWING DIRECTOR: EMMA HYNES | Management | For | For | For | ||||||||
| 2.G | TO RE-APPOINT THE FOLLOWING DIRECTOR: SLY BAILEY | Management | For | For | For | ||||||||
| 2.H | TO RE-APPOINT THE FOLLOWING DIRECTOR: PAUL DRECHSLER | Management | For | For | For | ||||||||
| 2.I | TO RE-APPOINT THE FOLLOWING DIRECTOR: GORDON HARDIE | Management | For | For | For | ||||||||
| 2.J | TO RE-APPOINT THE FOLLOWING DIRECTOR: HELEN ROSE | Management | For | For | For | ||||||||
| 2.K | TO RE-APPOINT THE FOLLOWING DIRECTOR: HELEN WEIR | Management | For | For | For | ||||||||
| 3 | TO RECEIVE AND CONSIDER THE ANNUAL REPORT ON REMUNERATION | Management | For | For | For | ||||||||
| 4 | TO CONSIDER THE CONTINUATION OF DELOITTE IRELAND LLP AS AUDITOR | Management | For | For | For | ||||||||
| 5 | TO AUTHORISE THE DIRECTORS TO FIX THE AUDITOR'S REMUNERATION | Management | For | For | For | ||||||||
| 6 | TO AUTHORISE THE DIRECTORS TO ISSUE SHARES | Management | For | For | For | ||||||||
| 7 | TO DISAPPLY STATUTORY PRE- EMPTION RIGHTS | Management | Against | For | Against | ||||||||
| 8 | TO AUTHORISE THE COMPANY TO MAKE MARKET PURCHASES OF THE COMPANY'S SHARES | Management | For | For | For | ||||||||
| 9 | TO AUTHORISE THE RE-ALLOTMENT OF TREASURY SHARES | Management | For | For | For | ||||||||
| CMMT | 22 DEC 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 1. 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 | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 1,084,724 | 0 | 31-Dec-2020 | 31-Dec-2020 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 260,000 | 0 | 31-Dec-2020 | 31-Dec-2020 | ||||||
| GREENCORE GROUP PLC | |||||||||||||
| Security | G40866124 | Meeting Type | ExtraOrdinary General Meeting | ||||||||||
| Ticker Symbol | GNC.LN | Meeting Date | 26-Jan-2021 | ||||||||||
| ISIN | IE0003864109 | Agenda | 713459609 - Management | ||||||||||
| Record Date | 22-Jan-2021 | Holding Recon Date | 22-Jan-2021 | ||||||||||
| City / | Country | DUBLIN 9 | / | Ireland | Vote Deadline Date | 14-Jan-2021 | |||||||
| SEDOL(s) | 0386410 - B01DJ11 - B1GKH32 - BFNF181 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| 1 | TO APPROVE THE MIGRATION OF THE MIGRATING SHARES TO EUROCLEAR BANK'S CENTRAL SECURITIES DEPOSITORY | Management | For | For | For | ||||||||
| 2 | TO AMEND AND ADOPT THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | For | ||||||||
| 3 | TO AUTHORISE THE COMPANY TO TAKE ALL ACTIONS TO IMPLEMENT THE MIGRATION | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 1,084,724 | 0 | 31-Dec-2020 | 31-Dec-2020 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 260,000 | 0 | 31-Dec-2020 | 31-Dec-2020 | ||||||
| HAIER SMART HOME CO., LTD. | |||||||||||||
| Security | Y298BN118 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | 690D.GR | Meeting Date | 25-Jun-2021 | ||||||||||
| ISIN | CNE1000031C1 | Agenda | 714273151 - Management | ||||||||||
| Record Date | 16-Jun-2021 | Holding Recon Date | 16-Jun-2021 | ||||||||||
| City / | Country | QINGDA O | / | China | Vote Deadline Date | 11-Jun-2021 | |||||||
| SEDOL(s) | BF54FS4 - BMH25N0 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listcone ws/sehk/2021/0525/2021052501511.pdf- AND- https://www1.hkexnews.hk/listedco/listcone ws/sehk/2021/0525/2021052501503.pdf | Non-Voting | |||||||||||
| 1 | TO CONSIDER AND APPROVE 2020 FINANCIAL STATEMENTS | Management | For | For | For | ||||||||
| 2 | TO CONSIDER AND APPROVE 2020 ANNUAL REPORT AND ANNUAL REPORT SUMMARY | Management | For | For | For | ||||||||
| 3 | TO CONSIDER AND APPROVE 2020 REPORT ON THE WORK OF THE BOARD OF DIRECTORS | Management | For | For | For | ||||||||
| 4 | TO CONSIDER AND APPROVE 2020 REPORT ON THE WORK OF THE BOARD OF SUPERVISORS | Management | For | For | For | ||||||||
| 5 | TO CONSIDER AND APPROVE 2020 AUDIT REPORT ON INTERNAL CONTROL | Management | For | For | For | ||||||||
| 6 | TO CONSIDER AND APPROVE 2020 PROFIT DISTRIBUTION PLAN | Management | For | For | For | ||||||||
| 7 | TO CONSIDER AND APPROVE RESOLUTION ON THE ANTICIPATED PROVISION OF GUARANTEES FOR ITS SUBSIDIARIES IN 2021 | Management | For | For | For | ||||||||
| 8 | TO CONSIDER AND APPROVE RESOLUTION ON THE CONDUCT OF FOREIGN EXCHANGE FUND DERIVATIVES BUSINESS | Management | For | For | For | ||||||||
| 9 | TO CONSIDER AND APPROVE RESOLUTION ON THE ADJUSTMENT OF ALLOWANCES OF DIRECTORS | Management | For | For | For | ||||||||
| 10 | TO CONSIDER AND APPROVE RESOLUTION ON CLOSING CERTAIN FUND-RAISING INVESTMENT PROJECTS FROM CONVERTIBLE CORPORATE BONDS AND PERMANENTLY SUPPLEMENTING THE WORKING CAPITAL WITH THE SURPLUS FUNDS | Management | For | For | For | ||||||||
| 11 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS ON ADDITIONAL ISSUANCE OF H-SHARES OF THE COMPANY | Management | For | For | For | ||||||||
| 12 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS ON ADDITIONAL ISSUANCE OF D-SHARES OF THE COMPANY | Management | For | For | For | ||||||||
| 13 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO DECIDE TO REPURCHASE NOT MORE THAN 10% OF THE TOTAL NUMBER OF H-SHARES OF THE COMPANY IN ISSUE | Management | For | For | For | ||||||||
| 14 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO DECIDE TO REPURCHASE NOT MORE THAN 10% OF THE TOTAL NUMBER OF D-SHARES OF THE COMPANY IN ISSUE | Management | For | For | For | ||||||||
| 15 | TO CONSIDER AND APPROVE RESOLUTION ON AMENDMENTS TO THE ARTICLES OF ASSOCIATION | Management | For | For | For | ||||||||
| 16 | TO CONSIDER AND APPROVE RESOLUTION ON AMENDMENTS TO THE RULES OF PROCEDURE FOR THE BOARD OF DIRECTORS | Management | For | For | For | ||||||||
| 17 | TO CONSIDER AND APPROVE RESOLUTION ON AMENDMENTS TO THE RULES OF PROCEDURE FOR THE BOARD OF SUPERVISORS | Management | For | For | For | ||||||||
| 18 | TO CONSIDER AND APPROVE RESOLUTION ON AMENDMENTS TO THE EXTERNAL GUARANTEE MANAGEMENT SYSTEM | Management | For | For | For | ||||||||
| 19 | TO CONSIDER AND APPROVE RESOLUTION ON RE-APPOINTMENT OF PRC ACCOUNTING STANDARDS AUDITOR | Management | For | For | For | ||||||||
| 20 | TO CONSIDER AND APPROVE RESOLUTION ON RE-APPOINTMENT OF INTERNATIONAL ACCOUNTING STANDARDS AUDITOR | Management | For | For | For | ||||||||
| 21 | TO CONSIDER AND APPROVE RESOLUTION ON RENEWAL OF THE FINANCIAL SERVICES FRAMEWORK AGREEMENT AND ITS EXPECTED RELATED-PARTY TRANSACTION LIMIT WITH HAIER GROUP AND HAIER FINANCE | Management | For | For | For | ||||||||
| 22 | TO CONSIDER AND APPROVE THE A SHARE CORE EMPLOYEE STOCK OWNERSHIP PLAN (2021-2025) (DRAFT) AND ITS SUMMARY | Management | For | For | For | ||||||||
| 23 | TO CONSIDER AND APPROVE THE H SHARE CORE EMPLOYEE STOCK OWNERSHIP PLAN (2021-2025) (DRAFT) AND ITS SUMMARY | Management | For | For | For | ||||||||
| 24 | TO CONSIDER AND APPROVE RESOLUTION ON AUTHORIZATION BY THE GENERAL MEETING TO THE BOARD OF DIRECTORS TO HANDLE MATTERS PERTAINING TO THE CORE EMPLOYEE STOCK OWNERSHIP PLAN OF THE COMPANY | Management | For | For | For | ||||||||
| 25 | TO CONSIDER AND APPROVE THE H SHARE RESTRICTED SHARE UNIT SCHEME (2021-2025) (DRAFT) | Management | For | For | For | ||||||||
| 26 | TO CONSIDER AND APPROVE RESOLUTION ON AUTHORIZATION BY THE GENERAL MEETING TO THE BOARD OF DIRECTORS OR THE DELEGATEE TO HANDLE MATTERS PERTAINING TO THE RESTRICTED SHARE UNIT SCHEME | Management | For | For | For | ||||||||
| 27.1 | TO CONSIDER AND APPROVE RESOLUTION ON ELECTION OF INDEPENDENT DIRECTOR: WU QI | Management | For | For | For | ||||||||
| 28.1 | TO CONSIDER AND APPROVE RESOLUTION ON ELECTION OF SUPERVISOR OF THE COMPANY: LIU DALIN | Management | For | For | For | ||||||||
| 28.2 | TO CONSIDER AND APPROVE RESOLUTION ON ELECTION OF SUPERVISOR OF THE COMPANY: MA YINGJIE | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 211,000 | 0 | 08-Jun-2021 | 08-Jun-2021 | ||||||
| HAIER SMART HOME CO., LTD. | |||||||||||||
| Security | Y298BN118 | Meeting Type | Class Meeting | ||||||||||
| Ticker Symbol | 690D.GR | Meeting Date | 25-Jun-2021 | ||||||||||
| ISIN | CNE1000031C1 | Agenda | 714314072 - Management | ||||||||||
| Record Date | 16-Jun-2021 | Holding Recon Date | 16-Jun-2021 | ||||||||||
| City / | Country | QINGDA O | / | China | Vote Deadline Date | 11-Jun-2021 | |||||||
| SEDOL(s) | BF54FS4 - BMH25N0 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO DECIDE TO REPURCHASE NOT MORE THAN 10% OF THE TOTAL NUMBER OF H-SHARES OF THE COMPANY IN ISSUE | Management | For | For | For | ||||||||
| 2 | TO CONSIDER AND APPROVE RESOLUTION ON THE GENERAL MEETING TO GRANT A GENERAL MANDATE TO THE BOARD OF DIRECTORS TO DECIDE TO REPURCHASE NOT MORE THAN 10% OF THE TOTAL NUMBER OF D-SHARES OF THE COMPANY IN ISSUE | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 211,000 | 0 | 10-Jun-2021 | 10-Jun-2021 | ||||||
| HOWDEN JOINERY GROUP PLC | |||||||||||||
| Security | G4647J102 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | HWDN.LN | Meeting Date | 06-May-2021 | ||||||||||
| ISIN | GB0005576813 | Agenda | 713707137 - Management | ||||||||||
| Record Date | Holding Recon Date | 04-May-2021 | |||||||||||
| City / | Country | LONDON | / | United Kingdom | Vote Deadline Date | 29-Apr-2021 | |||||||
| SEDOL(s) | 0557681 - B02SZ17 - B3QV1W6 - BKSG106 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | RECEIVE THE ACCOUNTS AND REPORTS OF THE DIRECTORS OF THE COMPANY THE DIRECTORS OR THE BOARD AND THE REPORT OF THE INDEPENDENT AUDITOR | Management | For | For | For | ||||||||
| 2 | TO APPROVE THE DIRECTORS REMUNERATION REPORT AS SET OUT IN THE REPORT AND ACCOUNTS FOR THE 52 WEEKS ENDED 26 DECEMBER 2020 | Management | For | For | For | ||||||||
| 3 | TO DECLARE A FINAL DIVIDEND OF 9.1 PENCE PER ORDINARY SHARE | Management | For | For | For | ||||||||
| 4 | TO ELECT PAUL HAYES AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 5 | TO RE ELECT KAREN CADDICK AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 6 | TO RE ELECT ANDREW CRIPPS AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 7 | TO RE ELECT GEOFF DRABBLE AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 8 | TO RE ELECT LOUISE FOWLER AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 9 | TO RE ELECT ANDREW LIVINGSTON AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 10 | TO RE ELECT RICHARD PENNYCOOK AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 11 | TO RE ELECT DEBBIE WHITE AS A DIRECTOR OF THE COMPANY | Management | For | For | For | ||||||||
| 12 | TO REAPPOINT DELOITTE LLP AS AUDITOR OF THE COMPANY | Management | For | For | For | ||||||||
| 13 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE AUDITORS REMUNERATION | Management | For | For | For | ||||||||
| 14 | TO GRANT AUTHORITY TO MAKE POLITICAL DONATIONS | Management | Abstain | For | Against | ||||||||
| 15 | TO AUTHORISE THE BOARD GENERALLY AND UNCONDITIONALLY TO ALLOT SHARES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006 | Management | For | For | For | ||||||||
| 16 | IF RESOLUTION 15 IS PASSED TO AUTHORISE THE BOARD TO ALLOT EQUITY SECURITIES AS DEFINED IN THE COMPANIES ACT 2006 FOR CASH | Management | For | For | For | ||||||||
| 17 | TO AUTHORISE THE COMPANY GENERALLY AND UNCONDITIONALLY TO MAKE MARKET PURCHASES OF ITS OWN SHARES | Management | For | For | For | ||||||||
| 18 | THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS NOTICE | Management | For | For | For | ||||||||
| CMMT | 18 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO REMOVAL OF RECORD-DATE. 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 | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 195,696 | 0 | 30-Mar-2021 | 30-Mar-2021 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 67,000 | 0 | 30-Mar-2021 | 30-Mar-2021 | ||||||
| ISS A/S | |||||||||||||
| Security | K5591Y107 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | ISS.DC | Meeting Date | 13-Apr-2021 | ||||||||||
| ISIN | DK0060542181 | Agenda | 713754756 - Management | ||||||||||
| Record Date | 06-Apr-2021 | Holding Recon Date | 06-Apr-2021 | ||||||||||
| City / | Country | TBD | / | Denmark | Vote Deadline Date | 01-Apr-2021 | |||||||
| SEDOL(s) | BD832G1 - BKJ9RT5 - BKS7YQ6 - BKY4J33 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | IN THE MAJORITY OF MEETINGS THE VOTES ARE CAST WITH THE REGISTRAR WHO WILL-FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO-REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A-BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT- VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE-REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE-MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR-AN ADDED FEE IF REQUESTED. THANK YOU | Non-Voting | |||||||||||
| CMMT | PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A-BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN-FOR FURTHER INFORMATION. | Non-Voting | |||||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF-ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING- INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE- REPRESENTATIVE | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 531440 DUE TO RECEIVED-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 | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'ABSTAIN'-ONLY FOR RESOLUTION NUMBERS 8.A TO 8.G AND 9. THANK YOU | Non-Voting | |||||||||||
| 1 | THE BOARD OF DIRECTORS' REPORT ON THE COMPANY'S ACTIVITIES IN THE PAST-FINANCIAL YEAR | Non-Voting | |||||||||||
| 2 | ADOPTION OF THE ANNUAL REPORT FOR 2020 | Management | For | For | For | ||||||||
| 3 | ALLOCATION OF LOSS ACCORDING TO THE ADOPTED ANNUAL REPORT | Management | For | For | For | ||||||||
| 4 | RESOLUTION TO GRANT DISCHARGE OF LIABILITY TO MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE GROUP MANAGEMENT BOARD | Management | Against | For | Against | ||||||||
| 5 | AUTHORISATION TO ACQUIRE TREASURY SHARES | Management | For | For | For | ||||||||
| 6 | PRESENTATION OF THE COMPANY'S REMUNERATION REPORT FOR 2020 FOR AN ADVISORY VOTE | Management | For | For | For | ||||||||
| 7 | APPROVAL OF THE REMUNERATION TO THE BOARD OF DIRECTORS FOR THE CURRENT FINANCIAL YEAR | Management | For | For | For | ||||||||
| 8.A | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: VALERIE BEAULIEU | Management | For | For | For | ||||||||
| 8.B | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: HENRIK POULSEN | Management | For | For | For | ||||||||
| 8.C | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: NIELS SMEDEGAARD | Management | For | For | For | ||||||||
| 8.D | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: SOREN THORUP SORENSEN | Management | For | For | For | ||||||||
| 8.E | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: BEN STEVENS | Management | For | For | For | ||||||||
| 8.F | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: CYNTHIA MARY TRUDELL | Management | For | For | For | ||||||||
| 8.G | ELECTION OF MEMBER TO THE BOARD OF DIRECTOR: KELLY KUHN | Management | For | For | For | ||||||||
| 9 | ELECTION OF EY GODKENDT REVISIONSPARTNERSELSKAB AS AUDITOR | Management | Abstain | For | Against | ||||||||
| 10.A | PROPOSAL FROM THE BOARD OF DIRECTORS:ADOPTION OF AUTHORISATION IN ARTICLES OF ASSOCIATION TO HOLD GENERAL MEETINGS PARTIALLY OR FULLY BY ELECTRONIC MEANS | Management | For | For | For | ||||||||
| 10.B | PROPOSAL FROM THE BOARD OF DIRECTORS: AMENDMENT OF STANDARD AGENDA IN ARTICLES OF ASSOCIATION TO INCLUDE ADVISORY VOTE ON THE COMPANY'S REMUNERATION REPORT | Management | For | For | For | ||||||||
| 10.C | PROPOSAL FROM THE BOARD OF DIRECTORS: AMENDMENT TO ARTICLES OF ASSOCIATION REGARDING SHAREHOLDERS' NOTIFICATION OF ATTENDANCE | Management | For | For | For | ||||||||
| 10.D | PROPOSAL FROM THE BOARD OF DIRECTORS: AMENDMENT TO ARTICLES OF ASSOCIATION REGARDING DIFFERENTIATED VOTING | Management | For | For | For | ||||||||
| 11 | ANY OTHER BUSINESS | Non-Voting | |||||||||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN-INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE- PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE- OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN)-WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW-ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS-TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE.- ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM.-THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS- DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED- MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE-THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION-TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE-SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | |||||||||||
| CMMT | 01 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 8.A. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 541082,-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 | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 132,886 | 0 | 05-Apr-2021 | 05-Apr-2021 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 42,000 | 0 | 05-Apr-2021 | 05-Apr-2021 | ||||||
| JEFFERIES FINANCIAL GROUP INC. | |||||||||||||
| Security | 47233W109 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | JEF | Meeting Date | 25-Mar-2021 | ||||||||||
| ISIN | US47233W1099 | Agenda | 935333699 - Management | ||||||||||
| Record Date | 28-Jan-2021 | Holding Recon Date | 28-Jan-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Mar-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: Linda L. Adamany | Management | Against | For | Against | ||||||||
| 1B. | Election of Director: Barry J. Alperin | Management | Against | For | Against | ||||||||
| 1C. | Election of Director: Robert D. Beyer | Management | Against | For | Against | ||||||||
| 1D. | Election of Director: Francisco L. Borges | Management | Against | For | Against | ||||||||
| 1E. | Election of Director: Brian P. Friedman | Management | Against | For | Against | ||||||||
| 1F. | Election of Director: MaryAnne Gilmartin | Management | Against | For | Against | ||||||||
| 1G. | Election of Director: Richard B. Handler | Management | Against | For | Against | ||||||||
| 1H. | Election of Director: Jacob M. Katz | Management | Against | For | Against | ||||||||
| 1I. | Election of Director: Michael T. O'Kane | Management | Against | For | Against | ||||||||
| 1J. | Election of Director: Joseph S. Steinberg | Management | Against | For | Against | ||||||||
| 2. | Approve named executive officer compensation on an advisory basis. | Management | Against | For | Against | ||||||||
| 3. | Approval of Jefferies' New Equity Compensation Plan. | Management | Against | For | Against | ||||||||
| 4. | Ratify Deloitte & Touche LLP as independent auditors for the fiscal year- ending November 30, 2021. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 65,000 | 0 | 11-Mar-2021 | 11-Mar-2021 | ||||||
| KINGSTONE COMPANIES, INC. | |||||||||||||
| Security | 496719105 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | KINS | Meeting Date | 05-Aug-2020 | ||||||||||
| ISIN | US4967191051 | Agenda | 935242040 - Management | ||||||||||
| Record Date | 12-Jun-2020 | Holding Recon Date | 12-Jun-2020 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Aug-2020 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1. | DIRECTOR | Management | |||||||||||
| 1 | Barry B. Goldstein | For | For | For | |||||||||
| 2 | Meryl S. Golden | For | For | For | |||||||||
| 3 | Floyd R. Tupper | For | For | For | |||||||||
| 4 | William L. Yankus | For | For | For | |||||||||
| 5 | Carla A. D'Andre | For | For | For | |||||||||
| 6 | Timothy P. McFadden | For | For | For | |||||||||
| 2. | To ratify the selection of Marcum LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | For | ||||||||
| 3. | To approve amendments to the Company's 2014 Equity Participation Plan (the "Plan"), including to increase the number of shares of common stock authorized to be issued pursuant to the Plan from 700,000 to 1,400,000. | Management | For | For | For | ||||||||
| 4. | To hold a non-binding advisory vote to approve the Company's executive compensation. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 55,581 | 0 | 30-Jul-2020 | 30-Jul-2020 | ||||||
| LENNAR CORPORATION | |||||||||||||
| Security | 526057302 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | LENB | Meeting Date | 07-Apr-2021 | ||||||||||
| ISIN | US5260573028 | Agenda | 935339300 - Management | ||||||||||
| Record Date | 16-Feb-2021 | Holding Recon Date | 16-Feb-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Apr-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director to serve until the 2022 Annual Meeting: Amy Banse | Management | For | For | For | ||||||||
| 1B. | Election of Director to serve until the 2022 Annual Meeting: Rick Beckwitt | Management | For | For | For | ||||||||
| 1C. | Election of Director to serve until the 2022 Annual Meeting: Steven L. Gerard | Management | For | For | For | ||||||||
| 1D. | Election of Director to serve until the 2022 Annual Meeting: Tig Gilliam | Management | For | For | For | ||||||||
| 1E. | Election of Director to serve until the 2022 Annual Meeting: Sherrill W. Hudson | Management | For | For | For | ||||||||
| 1F. | Election of Director to serve until the 2022 Annual Meeting: Jonathan M. Jaffe | Management | For | For | For | ||||||||
| 1G. | Election of Director to serve until the 2022 Annual Meeting: Sidney Lapidus | Management | For | For | For | ||||||||
| 1H. | Election of Director to serve until the 2022 Annual Meeting: Teri P. McClure | Management | For | For | For | ||||||||
| 1I. | Election of Director to serve until the 2022 Annual Meeting: Stuart Miller | Management | For | For | For | ||||||||
| 1J. | Election of Director to serve until the 2022 Annual Meeting: Armando Olivera | Management | For | For | For | ||||||||
| 1K. | Election of Director to serve until the 2022 Annual Meeting: Jeffrey Sonnenfeld | Management | For | For | For | ||||||||
| 2. | Approval, on an advisory basis, of the compensation of our named executive officers. | Management | Against | For | Against | ||||||||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for our fiscal year ending November 30, 2021. | Management | For | For | For | ||||||||
| 4. | Approval of a stockholder proposal regarding our common stock voting structure. | Shareholder | For | Against | Against | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 24,000 | 0 | 18-Mar-2021 | 18-Mar-2021 | ||||||
| LUMEN TECHNOLOGIES, INC. | |||||||||||||
| Security | 550241103 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | LUMN | Meeting Date | 19-May-2021 | ||||||||||
| ISIN | US5502411037 | Agenda | 935382832 - Management | ||||||||||
| Record Date | 25-Mar-2021 | Holding Recon Date | 25-Mar-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-May-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: Quincy L. Allen | Management | For | For | For | ||||||||
| 1B. | Election of Director: Martha Helena Bejar | Management | For | For | For | ||||||||
| 1C. | Election of Director: Peter C. Brown | Management | Against | For | Against | ||||||||
| 1D. | Election of Director: Kevin P. Chilton | Management | For | For | For | ||||||||
| 1E. | Election of Director: Steven T. "Terry" Clontz | Management | For | For | For | ||||||||
| 1F. | Election of Director: T. Michael Glenn | Management | For | For | For | ||||||||
| 1G. | Election of Director: W. Bruce Hanks | Management | Against | For | Against | ||||||||
| 1H. | Election of Director: Hal Stanley Jones | Management | For | For | For | ||||||||
| 1I. | Election of Director: Michael Roberts | Management | Against | For | Against | ||||||||
| 1J. | Election of Director: Laurie Siegel | Management | Against | For | Against | ||||||||
| 1K. | Election of Director: Jeffrey K. Storey | Management | For | For | For | ||||||||
| 2. | Ratify the appointment of KPMG LLP as our independent auditor for 2021. | Management | For | For | For | ||||||||
| 3. | Ratify the amendment to our Amended and Restated NOL Rights Plan. | Management | For | For | For | ||||||||
| 4. | Advisory vote to approve our executive compensation. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 92,714 | 0 | 14-May-2021 | 14-May-2021 | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 19,286 | 0 | 14-May-2021 | 14-May-2021 | ||||||
| MAGNA INTERNATIONAL INC. | |||||||||||||
| Security | 559222401 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | MGA | Meeting Date | 06-May-2021 | ||||||||||
| ISIN | CA5592224011 | Agenda | 935373718 - Management | ||||||||||
| Record Date | 19-Mar-2021 | Holding Recon Date | 19-Mar-2021 | ||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 03-May-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A | Election of Director: Peter G. Bowie | Management | For | For | For | ||||||||
| 1B | Election of Director: Mary S. Chan | Management | For | For | For | ||||||||
| 1C | Election of Director: Hon. V. Peter Harder | Management | For | For | For | ||||||||
| 1D | Election of Director: Seetarama S. Kotagiri (CEO) | Management | For | For | For | ||||||||
| 1E | Election of Director: Dr. Kurt J. Lauk | Management | For | For | For | ||||||||
| 1F | Election of Director: Robert F. MacLellan | Management | For | For | For | ||||||||
| 1G | Election of Director: Mary Lou Maher | Management | For | For | For | ||||||||
| 1H | Election of Director: Cynthia A. Niekamp | Management | For | For | For | ||||||||
| 1I | Election of Director: William A. Ruh | Management | For | For | For | ||||||||
| 1J | Election of Director: Dr. Indira V. Samarasekera | Management | For | For | For | ||||||||
| 1K | Election of Director: Lisa S. Westlake | Management | For | For | For | ||||||||
| 1L | Election of Director: William L. Young | Management | For | For | For | ||||||||
| 02 | Reappointment of Deloitte LLP as the independent auditor of the Corporation and authorization of the Audit Committee to fix the independent auditor's remuneration. | Management | For | For | For | ||||||||
| 03 | Resolved, on an advisory basis and not to diminish the roles and responsibilities of the Board of Directors, that the shareholders accept the approach to executive compensation disclosed in the accompanying management information circular/proxy statement. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 9,750 | 0 | 29-Apr-2021 | 29-Apr-2021 | ||||||
| MULTICONSULT ASA ***Due to the international (local) re-registration of shares and risk (block) that is placed on ability to trade, which is seen as a investment team priority over proxy voting, this meeting was not able to be voted*** | |||||||||||||
| Security | R4S05B103 | Meeting Type | ExtraOrdinary General Meeting | ||||||||||
| Ticker Symbol | MULTI.NO | Meeting Date | 01-Dec-2020 | ||||||||||
| ISIN | NO0010734338 | Agenda | 713355243 - Management | ||||||||||
| Record Date | 30-Nov-2020 | Holding Recon Date | 30-Nov-2020 | ||||||||||
| City / | Country | TBD | / | Norway | Blocking | Vote Deadline Date | 19-Nov-2020 | ||||||
| SEDOL(s) | BLF84Y7 - BWWBXN8 - BYL7S58 - BYTH2T2 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | |||||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: POWER OF ATTORNEY (POA) REQUIREMENTS-VARY BY CUSTODIAN. GLOBAL CUSTODIANS MAY HAVE A POA IN PLACE WHICH WOULD-ELIMINATE THE NEED FOR THE INDIVIDUAL BENEFICIAL OWNER POA. IN THE ABSENCE OF-THIS ARRANGEMENT, AN INDIVIDUAL BENEFICIAL OWNER POA MAY BE REQUIRED. IF YOU-HAVE ANY QUESTIONS PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK-YOU | Non-Voting | |||||||||||
| CMMT | SHARES HELD IN AN OMNIBUS/NOMINEE ACCOUNT NEED TO BE RE-REGISTERED IN THE- BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE-TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME-ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE-DAY AFTER THE MEETING | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| 1 | ELECTION OF A CHAIRPERSON AND A PERSON TO COSIGN THE MINUTES | Management | For | ||||||||||
| 2 | APPROVAL OF THE NOTICE AND THE AGENDA | Management | For | ||||||||||
| 3 | PROPOSAL FOR DISTRIBUTION OF DIVIDEND | Management | For | ||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 72,887 | 0 | ||||||||
| MULTICONSULT ASA ***Due to the international (local) re-registration of shares and risk (block) that is placed on ability to trade, which is seen as a investment team priority over proxy voting, this meeting was not able to be voted*** | |||||||||||||
| Security | R4S05B103 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | MULTI.NO | Meeting Date | 19-Apr-2021 | ||||||||||
| ISIN | NO0010734338 | Agenda | 713734881 - Management | ||||||||||
| Record Date | 16-Apr-2021 | Holding Recon Date | 16-Apr-2021 | ||||||||||
| City / | Country | OSLO | / | Norway | Blocking | Vote Deadline Date | 13-Apr-2021 | ||||||
| SEDOL(s) | BLF84Y7 - BWWBXN8 - BYL7S58 - BYTH2T2 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | |||||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: POWER OF ATTORNEY (POA) REQUIREMENTS-VARY BY CUSTODIAN. GLOBAL CUSTODIANS MAY HAVE A POA IN PLACE WHICH WOULD-ELIMINATE THE NEED FOR THE INDIVIDUAL BENEFICIAL OWNER POA. IN THE ABSENCE OF-THIS ARRANGEMENT, AN INDIVIDUAL BENEFICIAL OWNER POA MAY BE REQUIRED. IF YOU-HAVE ANY QUESTIONS PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK-YOU | Non-Voting | |||||||||||
| CMMT | SHARES HELD IN AN OMNIBUS/NOMINEE ACCOUNT NEED TO BE RE-REGISTERED IN THE- BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE-TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME-ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE-DAY AFTER THE MEETING | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| 1 | ELECTION OF A CHAIRPERSON AND A PERSON TO COSIGN THE MINUTES | Management | For | ||||||||||
| 2 | APPROVAL OF THE NOTICE AND THE AGENDA | Management | For | ||||||||||
| 3 | APPROVAL OF THE ANNUAL ACCOUNTS AND DIRECTORS REPORT OF MULTICONSULT ASA AND THE GROUP FOR 2020, INCLUDING ALLOCATION OF THE RESULT OF THE YEAR, AS WELL AS CONSIDERATION OF THE STATEMENT ON CORPORATE GOVERNANCE | Management | For | ||||||||||
| 4 | APPROVAL OF THE REMUNERATION OF THE COMPANY'S AUDITOR | Management | For | ||||||||||
| 5 | DETERMINATION OF THE REMUNERATION TO MEMBERS OF THE BOARD OF DIRECTORS | Management | For | ||||||||||
| 6 | ELECTION OF MEMBERS TO THE BOARD OF DIRECTORS | Management | For | ||||||||||
| 7 | DETERMINATION OF THE REMUNERATION TO MEMBERS OF THE NOMINATION COMMITTEE | Management | For | ||||||||||
| 8 | ELECTION OF MEMBERS TO THE NOMINATION COMMITTEE | Management | For | ||||||||||
| 9 | STATEMENT REGARDING REMUNERATION FOR SENIOR MANAGEMENT APPROVAL OF EMPLOYEE SHARE PURCHASE PROGRAMME | Management | For | ||||||||||
| 10 | PROPOSAL FOR AUTHORIZATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY'S SHARE CAPITAL | Management | For | ||||||||||
| 11 | PROPOSAL FOR AUTHORIZATION TO ACQUIRE OWN SHARES | Management | For | ||||||||||
| 12 | INSTRUCTIONS FOR THE NOMINATION COMMITTEE | Management | For | ||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 104,682 | 0 | ||||||||
| NAKED WINES PLC | |||||||||||||
| Security | G6361W102 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | WINE.LN | Meeting Date | 06-Aug-2020 | ||||||||||
| ISIN | GB00B021F836 | Agenda | 712916278 - Management | ||||||||||
| Record Date | Holding Recon Date | 04-Aug-2020 | |||||||||||
| City / | Country | NORWIC H | / | United Kingdom | Vote Deadline Date | 29-Jul-2020 | |||||||
| SEDOL(s) | B021F83 - B3BJ277 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1 | RECEIPT OF ANNUAL REPORT AND ACCOUNTS | Management | For | For | For | ||||||||
| 2 | RE-ELECTION OF RETIRING DIRECTOR: JUSTIN APTHORP | Management | For | For | For | ||||||||
| 3 | RE-ELECTION OF RETIRING DIRECTOR: DAVID STEAD | Management | For | For | For | ||||||||
| 4 | RE-ELECTION OF RETIRING DIRECTOR: KATRINA CLIFFE | Management | For | For | For | ||||||||
| 5 | RE-APPOINTMENT OF AUDITOR: DELOITTE LLP | Management | For | For | For | ||||||||
| 6 | REMUNERATION OF AUDITOR | Management | For | For | For | ||||||||
| 7 | DIRECTORS' AUTHORITY TO ALLOT SECURITIES | Management | For | For | For | ||||||||
| 8 | DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | Against | For | Against | ||||||||
| 9 | ADOPTION OF NEW ARTICLES | Management | For | For | For | ||||||||
| 10 | DIRECTORS' REMUNERATION REPORT | Management | For | For | For | ||||||||
| CMMT | 09 JUL 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 5. 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 | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 300,177 | 0 | 13-Jul-2020 | 13-Jul-2020 | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 258,434 | 0 | 13-Jul-2020 | 13-Jul-2020 | ||||||
| POWER CORP OF CANADA | |||||||||||||
| Security | 739239101 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | POW.CN | Meeting Date | 14-May-2021 | ||||||||||
| ISIN | CA7392391016 | Agenda | 713870233 - Management | ||||||||||
| Record Date | 17-Mar-2021 | Holding Recon Date | 17-Mar-2021 | ||||||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 10-May-2021 | |||||||
| SEDOL(s) | 2697701 - B1HHTV4 - B1P9XH6 - BN92LW6 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST'-ONLY FOR RESOLUTION 3 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS-1.1 TO 1.14 AND 2. THANK YOU | Non-Voting | |||||||||||
| 1.1 | ELECTION OF DIRECTOR: PIERRE BEAUDOIN | Management | For | For | For | ||||||||
| 1.2 | ELECTION OF DIRECTOR: MARCEL R. COUTU | Management | For | For | For | ||||||||
| 1.3 | ELECTION OF DIRECTOR: ANDRE DESMARAIS | Management | For | For | For | ||||||||
| 1.4 | ELECTION OF DIRECTOR: PAUL DESMARAIS, JR | Management | For | For | For | ||||||||
| 1.5 | ELECTION OF DIRECTOR: GARY A. DOER | Management | For | For | For | ||||||||
| 1.6 | ELECTION OF DIRECTOR: ANTHONY R. GRAHAM | Management | For | For | For | ||||||||
| 1.7 | ELECTION OF DIRECTOR: J. DAVID A. JACKSON | Management | For | For | For | ||||||||
| 1.8 | ELECTION OF DIRECTOR: SHARON MACLEOD | Management | For | For | For | ||||||||
| 1.9 | ELECTION OF DIRECTOR: PAULA B. MADOFF | Management | For | For | For | ||||||||
| 1.10 | ELECTION OF DIRECTOR: ISABELLE MARCOUX | Management | For | For | For | ||||||||
| 1.11 | ELECTION OF DIRECTOR: CHRISTIAN NOYER | Management | For | For | For | ||||||||
| 1.12 | ELECTION OF DIRECTOR: R. JEFFREY ORR | Management | For | For | For | ||||||||
| 1.13 | ELECTION OF DIRECTOR: T. TIMOTHY RYAN, JR | Management | For | For | For | ||||||||
| 1.14 | ELECTION OF DIRECTOR: SIIM A. VANASELJA | Management | For | For | For | ||||||||
| 2 | APPOINTMENT OF DELOITTE LLP AS AUDITORS | Management | For | For | For | ||||||||
| 3 | NON-BINDING ADVISORY RESOLUTION ON THE CORPORATION'S APPROACH TO EXECUTIVE COMPENSATION | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 40,000 | 0 | 05-May-2021 | 05-May-2021 | ||||||
| PROTECTOR FORSIKRING ASA ***Due to the international (local) re-registration of shares and risk (block) that is placed on ability to trade, which is seen as a investment team priority over proxy voting, this meeting was not able to be voted*** | |||||||||||||
| Security | R7049B138 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | PROTCT.NO | Meeting Date | 08-Apr-2021 | ||||||||||
| ISIN | NO0010209331 | Agenda | 713717392 - Management | ||||||||||
| Record Date | 07-Apr-2021 | Holding Recon Date | 07-Apr-2021 | ||||||||||
| City / | Country | OSLO | / | Norway | Blocking | Vote Deadline Date | 26-Mar-2021 | ||||||
| SEDOL(s) | B182K93 - B28LG33 - BDG0DV6 - BJJ02V8 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE-POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED-IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | |||||||||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: POWER OF ATTORNEY (POA) REQUIREMENTS-VARY BY CUSTODIAN. GLOBAL CUSTODIANS MAY HAVE A POA IN PLACE WHICH WOULD-ELIMINATE THE NEED FOR THE INDIVIDUAL BENEFICIAL OWNER POA. IN THE ABSENCE OF-THIS ARRANGEMENT, AN INDIVIDUAL BENEFICIAL OWNER POA MAY BE REQUIRED. IF YOU-HAVE ANY QUESTIONS PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE. THANK-YOU | Non-Voting | |||||||||||
| CMMT | SHARES HELD IN AN OMNIBUS/NOMINEE ACCOUNT NEED TO BE RE-REGISTERED IN THE- BENEFICIAL OWNERS NAME TO BE ALLOWED TO VOTE AT MEETINGS. SHARES WILL BE-TEMPORARILY TRANSFERRED TO A SEPARATE ACCOUNT IN THE BENEFICIAL OWNER'S NAME-ON THE PROXY DEADLINE AND TRANSFERRED BACK TO THE OMNIBUS/NOMINEE ACCOUNT THE-DAY AFTER THE MEETING | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN)-WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW-ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS-TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE.- ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM.-THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS- DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED- MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE-THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION-TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE-SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 534088 DUE TO CHANGE IN-VOTING STATUS FOR RESOLUTION 5. 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 | ELECTION OF JOSTEIN SORVOLL AS CHAIR OF THE MEETING AND TWO OTHER MEETING PARTICIPANTS TO SIGN THE MINUTES OF THE MEETING JOINTLY WITH THE CHAIRPERSON | Management | For | ||||||||||
| 2 | APPROVAL OF THE NOTICE AND AGENDA | Management | For | ||||||||||
| 3 | APPROVAL OF THE ANNUAL ACCOUNTS AND DIRECTORS' REPORT FOR 2020, INCLUDING DISTRIBUTION OF DIVIDEND | Management | For | ||||||||||
| 4 | APPROVAL OF THE BOARD'S GUIDELINES FOR THE REMUNERATION OF SENIOR EXECUTIVES | Management | For | ||||||||||
| 5 | STATEMENT OF CORPORATE GOVERNANCE | Non-Voting | |||||||||||
| 6.1 | RE-ELECTION OF JOSTEIN SORVOLL AS MEMBER | Management | For | ||||||||||
| 6.2 | RE-ELECTION OF ELSE BUGGE FOUGNER AS MEMBER | Management | For | ||||||||||
| 6.3 | RE-ELECTION OF JOSTEIN SORVOLL AS CHAIR | Management | For | ||||||||||
| 6.4 | RE-ELECTION OF ARVE REE AS DEPUTY CHAIR | Management | For | ||||||||||
| 7.1 | RE-ELECTION OF PER OTTAR SKAARET AS MEMBER AND CHAIR | Management | For | ||||||||||
| 7.2 | ELECTION OF EIRIK RONOLD MATHISEN AS MEMBER | Management | For | ||||||||||
| 8 | APPROVAL OF THE COMPENSATION TO THE MEMBERS OF THE BOARD OF DIRECTORS AND ITS SUBCOMMITTEES | Management | For | ||||||||||
| 9 | APPROVAL OF COMPENSATION TO THE MEMBERS OF THE NOMINATION COMMITTEE | Management | For | ||||||||||
| 10 | APPROVAL OF REMUNERATION TO THE AUDITOR FOR THE AUDIT CARRIED OUT ON THE 2020 ACCOUNTS | Management | For | ||||||||||
| 11 | APPROVAL OF THE REDUCTION IN SHARE CAPITAL BY CANCELLATION OF OWN SHARES AND AMENDMENT OF SECTION 1-3 OF THE ARTICLES OF ASSOCIATION | Management | For | ||||||||||
| 12 | APPROVAL OF AUTHORITY TO THE BOARD TO ACQUIRE THE COMPANY'S SHARES | Management | For | ||||||||||
| 13 | APPROVAL OF AUTHORITY TO THE BOARD TO ISSUE NEW SHARES | Management | For | ||||||||||
| 14 | APPROVAL OF AUTHORITY TO THE BOARD TO RAISE SUBORDINATED LOANS AND OTHER EXTERNAL DEBT FINANCING | Management | For | ||||||||||
| 15 | APPROVAL OF AUTHORITY TO THE BOARD TO DISTRIBUTE DIVIDENDS | Management | For | ||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 335,370 | 0 | ||||||||
| 7022072 | UMB BANK-142605-ACR MQR | 7022072 | BROWN BROTHERS HARRIMAN AND CO | 262,000 | 0 | ||||||||
| RESOLUTE FOREST PRODUCTS INC. | |||||||||||||
| Security | 76117W109 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | RFP | Meeting Date | 21-May-2021 | ||||||||||
| ISIN | US76117W1099 | Agenda | 935390447 - Management | ||||||||||
| Record Date | 23-Mar-2021 | Holding Recon Date | 23-Mar-2021 | ||||||||||
| City / | Country | / | Canada | Vote Deadline Date | 19-May-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A | Election of Director: Randall C. Benson | Management | For | For | For | ||||||||
| 1B | Election of Director: Suzanne Blanchet | Management | For | For | For | ||||||||
| 1C | Election of Director: Jennifer C. Dolan | Management | For | For | For | ||||||||
| 1D | Election of Director: Remi G. Lalonde | Management | For | For | For | ||||||||
| 1E | Election of Director: Bradley P. Martin | Management | For | For | For | ||||||||
| 1F | Election of Director: Alain Rhéaume | Management | For | For | For | ||||||||
| 1G | Election of Director: Michael S. Rousseau | Management | For | For | For | ||||||||
| 02 | Ratification of PricewaterhouseCoopers LLP appointment. | Management | For | For | For | ||||||||
| 03 | Advisory vote to approve executive compensation ("say-on-pay"). | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 34,800 | 0 | 14-May-2021 | 14-May-2021 | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 13,200 | 0 | 14-May-2021 | 14-May-2021 | ||||||
| SULZER AG ***Due to the international (local) re-registration of shares and risk (block) that is placed on ability to trade, which is seen as a investment team priority over proxy voting, this meeting was not able to be voted*** | |||||||||||||
| Security | H83580284 | Meeting Type | Annual General Meeting | ||||||||||
| Ticker Symbol | SUN.SW | Meeting Date | 14-Apr-2021 | ||||||||||
| ISIN | CH0038388911 | Agenda | 713717102 - Management | ||||||||||
| Record Date | 01-Apr-2021 | Holding Recon Date | 01-Apr-2021 | ||||||||||
| City / | Country | WINTER THUR | / | Switzerland | Vote Deadline Date | 31-Mar-2021 | |||||||
| SEDOL(s) | 4854719 - 5263563 - B11FKL1 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF-NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED.-THANK YOU. | Non-Voting | |||||||||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE-REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE- REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT-FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A- REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE-THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND-RE- REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE-TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF-REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR- CLIENT REPRESENTATIVE | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 534649 DUE TO SPLITTING-OF RES 5.1 AND 6.1. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE- DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | |||||||||||
| 1.1 | BUSINESS REVIEW, FINANCIAL STATEMENTS OF SULZER LTD AND CONSOLIDATED FINANCIAL STATEMENTS 2020, REPORTS OF THE AUDITORS | Management | For | ||||||||||
| 1.2 | ADVISORY VOTE ON THE COMPENSATION REPORT 2020 | Management | For | ||||||||||
| 2 | APPROPRIATION OF NET PROFITS: CHF 4.00 PER SHARE | Management | For | ||||||||||
| 3 | DISCHARGE COMPENSATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE EXECUTIVE COMMITTEE | Management | For | ||||||||||
| 4.1 | APPROVAL OF THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE BOARD OF DIRECTORS | Management | For | ||||||||||
| 4.2 | APPROVAL OF THE MAXIMUM AGGREGATE AMOUNT OF COMPENSATION OF THE EXECUTIVE COMMITTEE | Management | For | ||||||||||
| 5.1 | RE-ELECTION OF MR. PETER LOESCHER AS MEMBER AND CHAIRMAN OF THE BOARD OF DIRECTORS | Management | For | ||||||||||
| 5.2.1 | RE-ELECTIONS OF THE MEMBER OF THE BOARD OF DIRECTORS: MRS. HANNE BIRGITTE BREINBJERG SORENSEN | Management | For | ||||||||||
| 5.2.2 | RE-ELECTIONS OF THE MEMBER OF THE BOARD OF DIRECTORS: MR. MATTHIAS BICHSEL | Management | For | ||||||||||
| 5.2.3 | RE-ELECTIONS OF THE MEMBER OF THE BOARD OF DIRECTORS: MR. MIKHAIL LIFSHITZ | Management | For | ||||||||||
| 5.2.4 | RE-ELECTIONS OF THE MEMBER OF THE BOARD OF DIRECTORS: MR. ALEXEY MOSKOV | Management | For | ||||||||||
| 5.2.5 | RE-ELECTIONS OF THE MEMBER OF THE BOARD OF DIRECTORS: MR. GERHARD ROISS | Management | For | ||||||||||
| 5.3.1 | ELECTION OF NEW MEMBER: MRS. SUZANNE THOMA | Management | For | ||||||||||
| 5.3.2 | ELECTION OF NEW MEMBER: MR. DAVID METZGER | Management | For | ||||||||||
| 6.1.1 | RE-ELECTION OF THREE MEMBER OF THE REMUNERATION COMMITTEE: MRS. HANNE BIRGITTE BREINBJERG SORENSEN | Management | For | ||||||||||
| 6.1.2 | RE-ELECTION OF THREE MEMBER OF THE REMUNERATION COMMITTEE: MR. GERHARD ROISS | Management | For | ||||||||||
| 6.2 | ELECTION OF A NEW MEMBER TO THE REMUNERATION COMMITTEE: SUZANNE THOMA | Management | For | ||||||||||
| 7 | RE-ELECTION OF THE AUDITORS: KPMG LTD., ZURICH | Management | For | ||||||||||
| 8 | RE-ELECTION OF THE INDEPENDENT PROXY: PROXY VOTING SERVICES GMBH, ZURICH | Management | For | ||||||||||
| 9 | INTRODUCTION OF CONDITIONAL SHARE CAPITAL | Management | For | ||||||||||
| CMMT | 23 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT-IN RESOLUTION 2. 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 | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 11,878 | 0 | ||||||||
| THALES SA | |||||||||||||
| Security | F9156M108 | Meeting Type | MIX | ||||||||||
| Ticker Symbol | HO.FP | Meeting Date | 06-May-2021 | ||||||||||
| ISIN | FR0000121329 | Agenda | 713755809 - Management | ||||||||||
| Record Date | 03-May-2021 | Holding Recon Date | 03-May-2021 | ||||||||||
| City / | Country | COURBE VOIE | / | France | Vote Deadline Date | 29-Apr-2021 | |||||||
| SEDOL(s) | 4162791 - 4175625 - B28MVD1 - BMGWM52 | Quick Code | |||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A-FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE-GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED-INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD-THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT-YOUR CLIENT REPRESENTATIVE. | Non-Voting | |||||||||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING-THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY-CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF-NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE-PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF-NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18,-2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE-PHYSICAL PRESENCE OF THE | Non-Voting | |||||||||||
| SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO-NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS- SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY-CONSULT THE COMPANY WEBSITE | |||||||||||||
| CMMT | 05 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS-AVAILABLE BY CLICKING ON THE MATERIAL URL LINK:- https://www.journal- officiel.gouv.fr/balo/document/20210331210 0731-39 AND-PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING FOR ALL-RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 541281, PLEASE DO-NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK-YOU | Non-Voting | |||||||||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 527846 DUE TO ADDITION OF-RESOLUTION O.15,O.16,O.17 AND O.18. 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 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Management | For | For | For | ||||||||
| 2 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 - APPROVAL OF THE NON- DEDUCTIBLE EXPENSES AMOUNT | Management | For | For | For | ||||||||
| 3 | ALLOCATION OF THE PARENT COMPANY'S INCOME AND SETTING OF THE DIVIDEND AT EUR 1.76 PER SHARE FOR 2020 | Management | For | For | For | ||||||||
| 4 | RENEWAL OF THE TERM OF OFFICE OF THE FRENCH STATE AS DIRECTOR, ON THE PROPOSAL OF THE "PUBLIC SECTOR" | Management | Abstain | For | Against | ||||||||
| 5 | RENEWAL OF THE TERM OF OFFICE OF ERNST & YOUNG AUDIT FIRM AS PRINCIPAL STATUTORY AUDITOR | Management | For | For | For | ||||||||
| 6 | APPROVAL OF THE AMENDMENT TO THE 2019 COMPENSATION POLICY FOR THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND OF THE AMENDMENT TO THE CHARACTERISTICS OF AN ELEMENT OF THE COMPENSATION OF THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER SUBMITTED TO THE 2019 EX- POST VOTE | Management | For | For | For | ||||||||
| 7 | APPROVAL OF THE AMENDMENT TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER'S 2020 COMPENSATION POLICY | Management | For | For | For | ||||||||
| 8 | APPROVAL OF THE 2020 COMPENSATION ELEMENTS PAID OR ALLOCATED TO MR. PATRICE CAINE, CHAIRMAN AND CHIEF EXECUTIVE OFFICER AND ONLY EXECUTIVE CORPORATE OFFICER | Management | For | For | For | ||||||||
| 9 | APPROVAL OF THE INFORMATION RELATING TO THE 2020 COMPENSATION OF CORPORATE OFFICERS | Management | For | For | For | ||||||||
| 10 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Management | For | For | For | ||||||||
| 11 | APPROVAL OF THE COMPENSATION POLICY FOR DIRECTORS | Management | For | For | For | ||||||||
| 12 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO ALLOW THE COMPANY TO TRADE IN ITS OWN SHARES, WITH A MAXIMUM PURCHASE PRICE OF 140 EUROS PER SHARE | Management | For | For | For | ||||||||
| 13 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO CANCEL SHARES ACQUIRED UNDER A SHARE BUYBACK PROGRAM | Management | For | For | For | ||||||||
| 14 | POWERS TO CARRY OUT FORMALITIES | Management | For | For | For | ||||||||
| 15 | RENEWAL OF THE TERM OF OFFICE OF MR. BERNARD FONTANA AS DIRECTOR, ON THE PROPOSAL OF THE PUBLIC SECTOR | Management | For | For | For | ||||||||
| 16 | APPOINTMENT OF MRS. DELPHINE GENY-STEPHANN AS DIRECTOR ON THE PROPOSAL OF THE PUBLIC SECTOR, AS A REPLACEMENT FOR MRS. DELPHINE DE SAHUGUET D'AMARZIT | Management | For | For | For | ||||||||
| 17 | APPOINTMENT OF MRS. ANNE RIGAIL AS DIRECTOR ON THE PROPOSAL OF THE PUBLIC SECTOR, AS A REPLACEMENT FOR MRS. LAURENCE BROSETA | Management | For | For | For | ||||||||
| 18 | RENEWAL OF THE TERM OF OFFICE OF MR. PHILIPPE LEPINAY AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS | Management | For | For | For | ||||||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN)-WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW-ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS-TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE.- ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM.-THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS- DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED- MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE-THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION-TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE-SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE-REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED,-YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU AND- INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN-INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE- PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE | Non-Voting | |||||||||||
| VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE- OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | |||||||||||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN-INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE- PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE- OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | |||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 7022064 | UMB BANK-145320-ACR IQR FUND | 7022064 | BROWN BROTHERS HARRIMAN AND CO | 14,567 | 0 | 05-Apr-2021 | 05-Apr-2021 | ||||||
| THE HOWARD HUGHES CORPORATION | |||||||||||||
| Security | 44267D107 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | HHC | Meeting Date | 27-May-2021 | ||||||||||
| ISIN | US44267D1072 | Agenda | 935391843 - Management | ||||||||||
| Record Date | 01-Apr-2021 | Holding Recon Date | 01-Apr-2021 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2021 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1A. | Election of Director: William Ackman | Management | For | For | For | ||||||||
| 1B. | Election of Director: Adam Flatto | Management | For | For | For | ||||||||
| 1C. | Election of Director: Jeffrey Furber | Management | For | For | For | ||||||||
| 1D. | Election of Director: Beth Kaplan | Management | For | For | For | ||||||||
| 1E. | Election of Director: Allen Model | Management | For | For | For | ||||||||
| 1F. | Election of Director: David O'Reilly | Management | For | For | For | ||||||||
| 1G. | Election of Director: R. Scot Sellers | Management | For | For | For | ||||||||
| 1H. | Election of Director: Steven Shepsman | Management | For | For | For | ||||||||
| 1I. | Election of Director: Mary Ann Tighe | Management | For | For | For | ||||||||
| 1J. | Election of Director: Anthony Williams | Management | For | For | For | ||||||||
| 2. | Advisory vote to approve executive compensation (Say-on-Pay). | Management | For | For | For | ||||||||
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2021. | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.1 | ACR MQR FUND - US | 1426051 | UMB BANK, N.A. | 10,000 | 0 | 24-May-2021 | 24-May-2021 | ||||||
| VODAFONE GROUP PLC | |||||||||||||
| Security | 92857W308 | Meeting Type | Annual | ||||||||||
| Ticker Symbol | VOD | Meeting Date | 28-Jul-2020 | ||||||||||
| ISIN | US92857W3088 | Agenda | 935240630 - Management | ||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | ||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Jul-2020 | ||||||||
| SEDOL(s) | Quick Code | ||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||
| 1. | To receive the Company's accounts, the strategic report and reports of the Directors and the auditor for the year ended 31 March 2020. | Management | For | For | For | ||||||||
| 2. | To elect Jean-François van Boxmeer as a Director | Management | For | For | For | ||||||||
| 3. | To re-elect Gerard Kleisterlee as a Director | Management | For | For | For | ||||||||
| 4. | To re-elect Nick Read as a Director | Management | For | For | For | ||||||||
| 5. | To re-elect Margherita Della Valle as a Director | Management | For | For | For | ||||||||
| 6. | To re-elect Sir Crispin Davis as a Director | Management | For | For | For | ||||||||
| 7. | To re-elect Michel Demaré as a Director | Management | For | For | For | ||||||||
| 8. | To re-elect Dame Clara Furse as a Director | Management | For | For | For | ||||||||
| 9. | To re-elect Valerie Gooding as a Director | Management | For | For | For | ||||||||
| 10. | To re-elect Renee James as a Director | Management | For | For | For | ||||||||
| 11. | To re-elect Maria Amparo Moraleda Martinez as a Director | Management | For | For | For | ||||||||
| 12. | To re-elect Sanjiv Ahuja as a Director | Management | For | For | For | ||||||||
| 13. | To re-elect David Thodey as a Director | Management | For | For | For | ||||||||
| 14. | To re-elect David Nish as a Director | Management | For | For | For | ||||||||
| 15. | To declare a final dividend of 4.50 eurocents per ordinary share for the year ended 31 March 2020. | Management | For | For | For | ||||||||
| 16. | To approve the Directors' Remuneration Policy set out on pages 102 to 107 of the Annual Report. | Management | For | For | For | ||||||||
| 17. | To approve the Annual Report on Remuneration contained in the Remuneration Report of the Board for the year ended 31 March 2020. | Management | For | For | For | ||||||||
| 18. | To reappoint Ernst & Young LLP as the Company's auditor until the end of the next general meeting at which accounts are laid before the Company. | Management | For | For | For | ||||||||
| 19. | To authorise the Audit and Risk Committee to determine the remuneration of the auditor. | Management | For | For | For | ||||||||
| 20. | To authorise the Directors to allot shares. | Management | For | For | For | ||||||||
| 21. | To authorise the Directors to dis-apply pre- emption rights. (Special Resolution) | Management | Against | For | Against | ||||||||
| 22. | To authorise the Directors to dis-apply pre- emption rights up to a further 5 per cent for the purposes of financing an acquisition or other capital investment. (Special Resolution) | Management | Against | For | Against | ||||||||
| 23. | To authorise the Company to purchase its own shares. (Special Resolution) | Management | For | For | For | ||||||||
| 24. | To authorise political donations and expenditure. | Management | For | For | For | ||||||||
| 25. | To authorise the Company to call general meetings (other than AGMs) on 14 clear days' notice. (Special Resolution) | Management | Abstain | For | Against | ||||||||
| 26. | To approve the rules of the Vodafone Share Incentive Plan (SIP). | Management | For | For | For | ||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||
| 142605.19 | ACR MQR FUND - PLEDGED | 1426051 | UMB BANK, N.A. | 122,000 | 0 | 09-Jul-2020 | 09-Jul-2020 | ||||||
| 145320.1 | ACR IQR FUND - US | 145320 | UMB BANK, N.A. | 89,830 | 0 | 09-Jul-2020 | 09-Jul-2020 | ||||||
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 and Principal Executive Officer | |||
| Date | August 5, 2021 | ||
| * | Print the name and title of each signing officer under his or her signature. |