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: January 31
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
| AUXLY CANNABIS GROUP INC | |||||||||
| Security | 05335P109 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 15-Jul-2020 | |||||||
| ISIN | CA05335P1099 | Agenda | 712816822 - Management | ||||||
| Record Date | 02-Jun-2020 | Holding Recon Date | 02-Jun-2020 | ||||||
| City / | Country | TORONT O | / | Canada | Vote Deadline Date | 09-Jul-2020 | |||
| SEDOL(s) | BDGMQB3 - BDGMQC4 - BF7NY48 - BF7NZX4 | 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 RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.1 TO 1.5 AND 2. THANK YOU | Non-Voting | |||||||
| 1.1 | ELECTION OF DIRECTOR: CHUCK RIFICI | Management | For | For | For | ||||
| 1.2 | ELECTION OF DIRECTOR: HUGO ALVES | Management | For | For | For | ||||
| 1.3 | ELECTION OF DIRECTOR: GENEVIEVE YOUNG | Management | For | For | For | ||||
| 1.4 | ELECTION OF DIRECTOR: TROY GRANT | Management | For | For | For | ||||
| 1.5 | ELECTION OF DIRECTOR: CONRAD TATE | Management | For | For | For | ||||
| 2 | APPOINTMENT OF ERNST & YOUNG LLP AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 3 | TO PASS AN ORDINARY RESOLUTION RE-APPROVING THE EQUITY INCENTIVE PLAN OF THE COMPANY, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING INFORMATION CIRCULAR | Management | For | For | For | ||||
| 4 | TO PASS A SPECIAL RESOLUTION AUTHORIZING AND APPROVING THE CONTINUANCE OF THE COMPANY FROM THE BUSINESS CORPORATIONS ACT (BRITISH COLUMBIA) TO THE BUSINESS CORPORATIONS ACT (ONTARIO), AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING INFORMATION CIRCULAR | Management | For | For | For | ||||
| CMMT | PLEASE NOTE THAT THIS MEETING MENTIONS DISSENTER'S RIGHTS, PLEASE REFER TO-THE MANAGEMENT INFORMATION CIRCULAR FOR DETAILS | Non-Voting | |||||||
| WEEDMD INC | |||||||||
| Security | 948525100 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 24-Jul-2020 | |||||||
| ISIN | CA9485251008 | Agenda | 712850646 - Management | ||||||
| Record Date | 26-May-2020 | Holding Recon Date | 26-May-2020 | ||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 20-Jul-2020 | |||
| SEDOL(s) | BDH43N9 - BF35SL3 - BF5GYT4 | 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 RESOLUTIONS 1 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 2.A TO 2.F AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO SET THE NUMBER OF DIRECTORS AT SIX (6) | Management | For | For | For | ||||
| 2.A | ELECTION OF DIRECTOR: ANGELO TSEBELIS | Management | For | For | For | ||||
| 2.B | ELECTION OF DIRECTOR: GEORGE SCORSIS | Management | For | For | For | ||||
| 2.C | ELECTION OF DIRECTOR: GAIL PAECH | Management | For | For | For | ||||
| 2.D | ELECTION OF DIRECTOR: G. EDMUND KING | Management | For | For | For | ||||
| 2.E | ELECTION OF DIRECTOR: DR. HUGH SCULLY | Management | For | For | For | ||||
| 2.F | ELECTION OF DIRECTOR: BRUCE CROXON | Management | For | For | For | ||||
| 3 | APPOINTMENT OF RSM CANADA LLP (FORMERLY, COLLINS BARROW LLP) AS AUDITOR OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 4 | TO CONSIDER AND, IF DEEMED APPROPRIATE, PASS A RESOLUTION CONFIRMING AND APPROVING THE 10% ROLLING OMNIBUS INCENTIVE PLAN OF THE CORPORATION, AS REQUIRED BY THE TSX VENTURE EXCHANGE ON AN ANNUAL BASIS | Management | For | For | For | ||||
| CMMT | 03 JUL 2020: PLEASE NOTE THAT RESOLUTION 4 IS TO BE APPROVED BY DISINTERESTED-SHAREHOLDERS. THANK YOU. | Non-Voting | |||||||
| CMMT | 03 JUL 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITIION 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 | |||||||
| MEDIPHARM LABS CORP | |||||||||
| Security | 58504D100 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 05-Aug-2020 | |||||||
| ISIN | CA58504D1006 | Agenda | 712915618 - Management | ||||||
| Record Date | 26-Jun-2020 | Holding Recon Date | 26-Jun-2020 | ||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 30-Jul-2020 | |||
| SEDOL(s) | BG87WT7 - BGV80M6 - BJFV4F3 | 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 RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.A TO 1.G AND 2. THANK YOU | Non-Voting | |||||||
| 1.A | ELECTION OF DIRECTOR: PATRICK MCCUTCHEON | Management | For | For | For | ||||
| 1.B | ELECTION OF DIRECTOR: CHRISTOPHER HOBBS | Management | For | For | For | ||||
| 1.C | ELECTION OF DIRECTOR: SHELLEY MARTIN | Management | For | For | For | ||||
| 1.D | ELECTION OF DIRECTOR: MIRIAM MCDONALD | Management | For | For | For | ||||
| 1.E | ELECTION OF DIRECTOR: MARUFUR RAZA | Management | For | For | For | ||||
| 1.F | ELECTION OF DIRECTOR: KEITH STRACHAN | Management | For | For | For | ||||
| 1.G | ELECTION OF DIRECTOR: DR. PAUL TAM | Management | For | For | For | ||||
| 2 | APPOINTMENT OF KPMG LLP AS AUDITOR OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 3 | TO CONSIDER AND, IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT VARIATION, A RESOLUTION AUTHORIZING AND APPROVING THE 2020 EQUITY INCENTIVE PLAN, AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR DATED JUNE 29, 2020 | Management | For | For | For | ||||
| 4 | TO CONSIDER AND, IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT VARIATION, A RESOLUTION AUTHORIZING AND APPROVING MATTERS RELATED TO A PRIVATE PLACEMENT, AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR DATED JUNE 29, 2020 | Management | For | For | For | ||||
| NEPTUNE WELLNESS SOLUTIONS INC. | |||||||||
| Security | 64079L105 | Meeting Type | Annual | ||||||
| Ticker Symbol | NEPT | Meeting Date | 12-Aug-2020 | ||||||
| ISIN | CA64079L1058 | Agenda | 935253295 - Management | ||||||
| Record Date | 08-Jul-2020 | Holding Recon Date | 08-Jul-2020 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 07-Aug-2020 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1 | DIRECTOR | Management | |||||||
| 1 | John M. Moretz | For | For | For | |||||
| 2 | Michael Cammarata | For | For | For | |||||
| 3 | Richard P. Schottenfeld | For | For | For | |||||
| 4 | Dr. Ronald Denis | For | For | For | |||||
| 5 | Joseph Buaron | For | For | For | |||||
| 6 | Michael de Geus | For | For | For | |||||
| 7 | Jane Pemberton | For | For | For | |||||
| 8 | Frank Rochon | For | For | For | |||||
| 2 | The appointment of Ernst & Young LLP as auditor of the Corporation for the ensuing year and authorizing the Directors to fix its remuneration. | Management | For | For | For | ||||
| CHARLOTTE'S WEB HOLDINGS INC | |||||||||
| Security | 16106R109 | Meeting Type | Annual General Meeting | ||||||
| Ticker Symbol | Meeting Date | 03-Sep-2020 | |||||||
| ISIN | CA16106R1091 | Agenda | 713003729 - Management | ||||||
| Record Date | 20-Jul-2020 | Holding Recon Date | 20-Jul-2020 | ||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 28-Aug-2020 | |||
| SEDOL(s) | BGHY2B1 - BGN9470 | 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 1 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION NUMBERS-2.1 TO 2.8 AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO SET THE NUMBER OF DIRECTORS TO BE ELECTED AT THE MEETING AT EIGHT | Management | For | For | For | ||||
| 2.1 | ELECTION OF DIRECTOR: JOEL STANLEY | Management | For | For | For | ||||
| 2.2 | ELECTION OF DIRECTOR: ADRIENNE ELSNER | Management | For | For | For | ||||
| 2.3 | ELECTION OF DIRECTOR: JARED STANLEY | Management | For | For | For | ||||
| 2.4 | ELECTION OF DIRECTOR: JOHN HELD | Management | For | For | For | ||||
| 2.5 | ELECTION OF DIRECTOR: SHANE HOYNE | Management | For | For | For | ||||
| 2.6 | ELECTION OF DIRECTOR: JACQUES TORTOROLI | Management | For | For | For | ||||
| 2.7 | ELECTION OF DIRECTOR: JEAN BIRCH | Management | For | For | For | ||||
| 2.8 | ELECTION OF DIRECTOR: SUSAN VOGT | Management | For | For | For | ||||
| 3 | TO APPOINT ERNST & YOUNG LLP AS AUDITORS FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THE REMUNERATION TO BE PAID TO THE AUDITORS | Management | For | For | For | ||||
| CMMT | 06 AUG 2020: PLEASE NOTE THAT THE MEETING TYPE WAS CHANGED FROM MIX TO AGM.-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 | |||||||
| FIRE & FLOWER HOLDINGS CORP | |||||||||
| Security | 318108107 | Meeting Type | Special General Meeting | ||||||
| Ticker Symbol | Meeting Date | 15-Sep-2020 | |||||||
| ISIN | CA3181081074 | Agenda | 713037655 - Management | ||||||
| Record Date | 10-Aug-2020 | Holding Recon Date | 10-Aug-2020 | ||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 09-Sep-2020 | |||
| SEDOL(s) | BHLP035 - BJJG8Y1 | 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' FOR-ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||||||
| 1 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING, AMENDMENTS TO CERTAIN SECURITIES ISSUED TO 2707031 ONTARIO INC., AN INDIRECT WHOLLY-OWNED SUBSIDIARY OF ALIMENTATION COUCHE-TARD INC. AS MORE FULLY DESCRIBED IN THE CORPORATION'S INFORMATION CIRCULAR DATED AUGUST 10, 2020 (THE "CIRCULAR") | Management | For | For | For | ||||
| 2 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING, THE PROPOSED ISSUANCE OF UP TO AN ADDITIONAL 2,600,000 COMMON SHARES OF THE CORPORATION IN SATISFACTION OF CERTAIN INTEREST THAT MAY BE PAYABLE ON UP TO CAD28,000,000 PRINCIPAL AMOUNT OF 8.0% SECURED CONVERTIBLE DEBENTURES OF THE CORPORATION AS MORE FULLY DESCRIBED IN THE CIRCULAR | Management | For | For | For | ||||
| CANOPY GROWTH CORPORATION | |||||||||
| Security | 138035100 | Meeting Type | Annual and Special Meeting | ||||||
| Ticker Symbol | CGC | Meeting Date | 21-Sep-2020 | ||||||
| ISIN | CA1380351009 | Agenda | 935259083 - Management | ||||||
| Record Date | 28-Jul-2020 | Holding Recon Date | 28-Jul-2020 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 16-Sep-2020 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1A | Election of Director: Judy A. Schmeling | Management | For | For | For | ||||
| 1B | Election of Director: David Klein | Management | For | For | For | ||||
| 1C | Election of Director: Robert Hanson | Management | For | For | For | ||||
| 1D | Election of Director: David Lazzarato | Management | For | For | For | ||||
| 1E | Election of Director: William Newlands | Management | For | For | For | ||||
| 1F | Election of Director: Jim Sabia | Management | For | For | For | ||||
| 1G | Election of Director: Theresa Yanofsky | Management | For | For | For | ||||
| 02 | The re-appointment of KPMG LLP, Chartered Professional Accountants, as the Company's independent registered public accounting firm for fiscal year 2021 and to authorize the Board of Directors of the Company to fix their remuneration. | Management | For | For | For | ||||
| 03 | To approve certain amendments to the Company's Amended and Restated Omnibus Incentive Plan and all unallocated awards issuable under the Amended and Restated Omnibus Incentive Plan, as described in the proxy statement. | Management | For | For | For | ||||
| 04 | To approve certain amendments to the Company's 2017 Employee Stock Purchase Plan, as described in the proxy statement. | Management | For | For | For | ||||
| 05 | To adopt, on an advisory (non-binding) basis, a resolution approving the compensation of the Company's named executive officers, as described in the proxy statement. | Management | For | For | For | ||||
| 06 | To adopt, on an advisory (non-binding) basis, a resolution on the frequency of future "say-on-pay" votes as described in the proxy statement. | Management | 3 Years | 1 Year | Against | ||||
| CANOPY RIVERS INC | |||||||||
| Security | 138041108 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 24-Sep-2020 | |||||||
| ISIN | CA1380411084 | Agenda | 713035649 - Management | ||||||
| Record Date | 04-Aug-2020 | Holding Recon Date | 04-Aug-2020 | ||||||
| City / | Country | TORONT O | / | Canada | Vote Deadline Date | 18-Sep-2020 | |||
| SEDOL(s) | BF5HVC9 - BFN38D9 | 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 RESOLUTIONS 3 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 1.A TO 1.F AND 2. THANK YOU | Non-Voting | |||||||
| 1.A | ELECTION OF DIRECTOR: NARBE ALEXANDRIAN | Management | For | For | For | ||||
| 1.B | ELECTION OF DIRECTOR: ASHA DANIERE | Management | For | For | For | ||||
| 1.C | ELECTION OF DIRECTOR: GARTH HANKINSON | Management | For | For | For | ||||
| 1.D | ELECTION OF DIRECTOR: MIKE LEE | Management | For | For | For | ||||
| 1.E | ELECTION OF DIRECTOR: RICHARD MAVRINAC | Management | For | For | For | ||||
| 1.F | ELECTION OF DIRECTOR: JOSEPH MIMRAN | Management | For | For | For | ||||
| 2 | APPOINTMENT OF KPMG LLP, CHARTERED PROFESSIONAL ACCOUNTANTS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 3 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS, AN ORDINARY RESOLUTION APPROVING THE COMPANY'S NON-EMPLOYEE DIRECTOR SHARE UNIT PLAN, INCLUDING ANY PREVIOUS GRANTS OF RESTRICTED SHARE UNITS AND ALL UNALLOCATED RESTRICTED SHARE UNITS ISSUABLE THEREUNDER, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR | Management | For | For | For | ||||
| 4 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS, AN ORDINARY RESOLUTION APPROVING THE COMPANY'S LONG-TERM INCENTIVE PLAN, INCLUDING ANY PREVIOUS GRANTS OF PERFORMANCE SHARE UNITS AND ALL UNALLOCATED AWARDS ISSUABLE THEREUNDER, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR | Management | For | For | For | ||||
| AURORA CANNABIS INC. | |||||||||
| Security | 05156X884 | Meeting Type | Annual and Special Meeting | ||||||
| Ticker Symbol | ACB | Meeting Date | 12-Nov-2020 | ||||||
| ISIN | CA05156X8843 | Agenda | 935281395 - Management | ||||||
| Record Date | 21-Sep-2020 | Holding Recon Date | 21-Sep-2020 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 06-Nov-2020 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1 | To set the number of Directors at eight (8). | Management | For | For | For | ||||
| 2 | DIRECTOR | Management | |||||||
| 1 | Miguel Martin | For | For | For | |||||
| 2 | Michael Singer | For | For | For | |||||
| 3 | Ron Funk | For | For | For | |||||
| 4 | Norma Beauchamp | For | For | For | |||||
| 5 | Margaret Shan Atkins | For | For | For | |||||
| 6 | Adam Szweras | For | For | For | |||||
| 7 | Michael Detlefsen | For | For | For | |||||
| 8 | Lance Friedmann | For | For | For | |||||
| 3 | Appointment of KPMG LLP as Auditors of the Company for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | For | ||||
| 4 | To consider, and if thought advisable, to pass an ordinary resolution for the continuation of the Company's 10% "rolling" share option plan and to authorize the grant of all currently available option entitlements issuable thereunder until November 12, 2023, as more particularly described in the accompanying Management Information Circular. | Management | For | For | For | ||||
| 5 | To consider, and if thought advisable, to pass an ordinary resolution to approve the Company's new Performance Share Unit Plan, as more particularly described in the accompanying Management Information Circular. | Management | For | For | For | ||||
| 6 | To consider, and if thought advisable, to pass an ordinary resolution that approves an amendment to the Company's Fixed Restricted Share Unit Plan, as more particularly described in the accompanying Management Information Circular. | Management | For | For | For | ||||
| 7 | To consider, and if thought advisable, to pass an ordinary resolution that approves an amendment to the Company's Fixed Deferred Share Unit Plan, as more particularly described in the accompanying Management Information Circular. | Management | For | For | For | ||||
| 8 | To consider and, if deemed appropriate, to pass with or without variation, a non-binding advisory resolution on the Company's approach to executive compensation, as more particularly described in the accompanying Management Information Circular. | Management | For | For | For | ||||
| APHRIA INC. | |||||||||
| Security | 03765K104 | Meeting Type | Annual | ||||||
| Ticker Symbol | APHA | Meeting Date | 17-Nov-2020 | ||||||
| ISIN | CA03765K1049 | Agenda | 935284492 - Management | ||||||
| Record Date | 18-Sep-2020 | Holding Recon Date | 18-Sep-2020 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 12-Nov-2020 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1 | DIRECTOR | Management | |||||||
| 1 | Irwin D. Simon | For | For | For | |||||
| 2 | Renah Persofsky | For | For | For | |||||
| 3 | Jodi Butts | For | For | For | |||||
| 4 | John M. Herhalt | For | For | For | |||||
| 5 | David Hopkinson | For | For | For | |||||
| 6 | Tom Looney | For | For | For | |||||
| 7 | Walter Robb | For | For | For | |||||
| 2 | Appointment of PricewaterhouseCoopers LLP as Auditors of the Corporation for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | For | ||||
| SILVER SPIKE ACQUISITION CORP. | |||||||||
| Security | G8136L106 | Meeting Type | Special | ||||||
| Ticker Symbol | SSPK | Meeting Date | 13-Jan-2021 | ||||||
| ISIN | KYG8136L1068 | Agenda | 935320755 - Management | ||||||
| Record Date | 18-Dec-2020 | Holding Recon Date | 18-Dec-2020 | ||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jan-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1. | Extension of Corporate Life Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from February 12, 2021 to July 10, 2021. | Management | For | For | For | ||||
| 3. | Adjournment Adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Management | For | For | For | ||||
| THE SCOTTS MIRACLE-GRO COMPANY | |||||||||
| Security | 810186106 | Meeting Type | Annual | ||||||
| Ticker Symbol | SMG | Meeting Date | 25-Jan-2021 | ||||||
| ISIN | US8101861065 | Agenda | 935315588 - Management | ||||||
| Record Date | 30-Nov-2020 | Holding Recon Date | 30-Nov-2020 | ||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Jan-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Thomas N. Kelly Jr. | For | For | For | |||||
| 2 | Peter E. Shumlin | For | For | For | |||||
| 3 | John R. Vines | For | For | For | |||||
| 2. | Approval, on an advisory basis, of the compensation of the Company's named executive officers. | Management | For | For | For | ||||
| 3. | Ratification of the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2021. | Management | For | For | For | ||||
| APHRIA INC. | |||||||||
| Security | 03765K104 | Meeting Type | Special | ||||||
| Ticker Symbol | APHA | Meeting Date | 14-Apr-2021 | ||||||
| ISIN | CA03765K1049 | Agenda | 935356750 - Management | ||||||
| Record Date | 12-Mar-2021 | Holding Recon Date | 12-Mar-2021 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 09-Apr-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1 | To consider and, if thought advisable, to pass a special resolution, the full text of which is set forth in Appendix "C" to the accompanying joint proxy statement/management information circular (the "Circular"), approving an arrangement pursuant to Section 182 of the Business Corporations Act (Ontario) involving, among other things, the acquisition by Tilray, Inc. of all of the outstanding shares of Aphria Inc., all as more particularly described in the Circular. | Management | For | For | For | ||||
| WILLOW BIOSCIENCES INC | |||||||||
| Security | 97111B404 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 28-Apr-2021 | |||||||
| ISIN | CA97111B4047 | Agenda | 713833374 - Management | ||||||
| Record Date | 24-Mar-2021 | Holding Recon Date | 24-Mar-2021 | ||||||
| City / | Country | TBD | / | Canada | Vote Deadline Date | 22-Apr-2021 | |||
| SEDOL(s) | BFZ9D18 - BFZ9D29 - BKC51Q5 | 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 RESOLUTIONS 1 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 2.1 TO 2.6 AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO FIX THE NUMBER OF DIRECTORS TO BE ELECTED AT SIX (6) | Management | For | For | For | ||||
| 2.1 | ELECTION OF DIRECTOR: DR.P. SEUFER-WASSERTHAL | Management | For | For | For | ||||
| 2.2 | ELECTION OF DIRECTOR: TREVOR PETERS | Management | For | For | For | ||||
| 2.3 | ELECTION OF DIRECTOR: DR. FOTIS KALANTZIS | Management | For | For | For | ||||
| 2.4 | ELECTION OF DIRECTOR: DONALD ARCHIBALD | Management | For | For | For | ||||
| 2.5 | ELECTION OF DIRECTOR: SADIQ H. LALANI | Management | For | For | For | ||||
| 2.6 | ELECTION OF DIRECTOR: AL FOREMAN | Management | For | For | For | ||||
| 3 | APPOINT THE AUDITORS OF THE CORPORATION, KPMG LLP, TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING OF THE SHAREHOLDERS AND AUTHORIZE THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 4 | RATIFY AND APPROVE THE ADOPTION OF A SHARE AWARD INCENTIVE PLAN OF THE CORPORATION, AS DESCRIBED IN MANAGEMENT INFORMATION CIRCULAR DATED APRIL 7, 2021 | Management | For | For | For | ||||
| THE VALENS COMPANY INC | |||||||||
| Security | 91914P108 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 25-May-2021 | |||||||
| ISIN | CA91914P1080 | Agenda | 714020675 - Management | ||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | ||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 19-May-2021 | |||
| SEDOL(s) | BKMPJ38 - BKMPJ49 - BM9ZGC3 | 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 RESOLUTIONS 1 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 2.1 TO 2.7 AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO SET THE NUMBER OF DIRECTORS AT SEVEN (7) | Management | For | For | For | ||||
| 2.1 | ELECTION OF DIRECTOR: DEEPAK ANAND | Management | For | For | For | ||||
| 2.2 | ELECTION OF DIRECTOR: GUY M. BEAUDIN | Management | For | For | For | ||||
| 2.3 | ELECTION OF DIRECTOR: ANDREW W.W. COCKWELL | Management | For | For | For | ||||
| 2.4 | ELECTION OF DIRECTOR: KARIN A. MCCASKILL | Management | For | For | For | ||||
| 2.5 | ELECTION OF DIRECTOR: ASHLEY MCGRATH | Management | For | For | For | ||||
| 2.6 | ELECTION OF DIRECTOR: A. TYLER ROBSON | Management | For | For | For | ||||
| 2.7 | ELECTION OF DIRECTOR: DREW WOLFF | Management | For | For | For | ||||
| 3 | APPOINTMENT OF KPMG LLP, CHARTERED PROFESSIONAL ACCOUNTANTS AS AUDITORS OF THE COMPANY FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 4 | TO CONSIDER AND, IF DEEMED ADVISABLE, TO PASS A SPECIAL RESOLUTION, WITH OR WITHOUT VARIATION, THAT THE ISSUED AND OUTSTANDING COMMON SHARES IN THE CAPITAL OF THE COMPANY (THE "COMMON SHARES") BE CONSOLIDATED ON THE BASIS OF A | Management | For | For | For | ||||
| CONSOLIDATION RATIO TO BE SELECTED BY THE BOARD, PROVIDED THAT SUCH RATIO IS WITHIN THE RANGE OF 1 NEW COMMON SHARE FOR EVERY 1.5 - 3 COMMON SHARES PRESENTLY ISSUED AND OUTSTANDING | |||||||||
| INNOVATIVE INDUSTRIAL PROPERTIES, INC. | |||||||||
| Security | 45781V101 | Meeting Type | Annual | ||||||
| Ticker Symbol | IIPR | Meeting Date | 04-Jun-2021 | ||||||
| ISIN | US45781V1017 | Agenda | 935408624 - Management | ||||||
| Record Date | 15-Apr-2021 | Holding Recon Date | 15-Apr-2021 | ||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Jun-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Alan Gold | For | For | For | |||||
| 2 | Gary Kreitzer | For | For | For | |||||
| 3 | Mary Curran | For | For | For | |||||
| 4 | Scott Shoemaker | For | For | For | |||||
| 5 | Paul Smithers | For | For | For | |||||
| 6 | David Stecher | For | For | For | |||||
| 2. | Ratification of the appointment of BDO USA, LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. | Management | For | For | For | ||||
| 3. | Approval on a non-binding advisory basis of the compensation of the Company's named executive officers. | Management | For | For | For | ||||
| HYDROFARM HOLDINGS GROUP, INC. | |||||||||
| Security | 44888K209 | Meeting Type | Annual | ||||||
| Ticker Symbol | HYFM | Meeting Date | 08-Jun-2021 | ||||||
| ISIN | US44888K2096 | Agenda | 935417798 - Management | ||||||
| Record Date | 15-Apr-2021 | Holding Recon Date | 15-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 | ||||
| 1A. | Election of Class I Director to serve for a three-year term expiring in 2024: William Toler | Management | For | For | For | ||||
| 1B. | Election of Class I Director to serve for a three-year term expiring in 2024: Patrick Chung | Management | For | For | For | ||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021; | Management | For | For | For | ||||
| CHARLOTTE'S WEB HOLDINGS INC | |||||||||
| Security | 16106R109 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 09-Jun-2021 | |||||||
| ISIN | CA16106R1091 | Agenda | 714115741 - Management | ||||||
| Record Date | 30-Apr-2021 | Holding Recon Date | 30-Apr-2021 | ||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 03-Jun-2021 | |||
| SEDOL(s) | BGHY2B1 - BGN9470 | 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 RESOLUTIONS 1 AND 4 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR RESOLUTION-NUMBERS 2.1 TO 2.5 AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO SET THE NUMBER OF DIRECTORS TO BE ELECTED AT THE MEETING AT FIVE (5) | Management | For | For | For | ||||
| 2.1 | ELECTION OF DIRECTOR: ADRIENNE ELSNER | Management | For | For | For | ||||
| 2.2 | ELECTION OF DIRECTOR: JOHN HELD | Management | For | For | For | ||||
| 2.3 | ELECTION OF DIRECTOR: JACQUES TORTOROLI | Management | For | For | For | ||||
| 2.4 | ELECTION OF DIRECTOR: JEAN BIRCH | Management | For | For | For | ||||
| 2.5 | ELECTION OF DIRECTOR: SUSAN VOGT | Management | For | For | For | ||||
| 3 | TO APPOINT ERNST & YOUNG LLP AS AUDITORS FOR THE ENSUING YEAR AND TO AUTHORIZE THE DIRECTORS TO FIX THE REMUNERATION TO BE PAID TO THE AUDITORS | Management | For | For | For | ||||
| 4 | TO CONSIDER AND, IF DEEMED APPROPRIATE, PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION, THE FULL TEXT OF WHICH IS SET FORTH IN APPENDIX A TO THE MANAGEMENT INFORMATION CIRCULAR DATED APRIL 30, 2021 (THE "INFORMATION CIRCULAR"), TO APPROVE THE AMENDED LONG TERM INCENTIVE PLAN OF THE COMPANY, AS MORE FULLY DESCRIBED IN THE INFORMATION CIRCULAR | Management | For | For | For | ||||
| FIRE & FLOWER HOLDINGS CORP | |||||||||
| Security | 318108107 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 09-Jun-2021 | |||||||
| ISIN | CA3181081074 | Agenda | 714115816 - Management | ||||||
| Record Date | 30-Apr-2021 | Holding Recon Date | 30-Apr-2021 | ||||||
| City / | Country | VIRTUAL MEETIN G | / | Canada | Vote Deadline Date | 03-Jun-2021 | |||
| SEDOL(s) | BHLP035 - BJJG8Y1 | 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 RESOLUTIONS 1, 4, 5, 6, 7 AND 8 AND 'IN FAVOR' OR 'ABSTAIN' ONLY FOR-RESOLUTION NUMBERS 2.1 TO 2.7 AND 3. THANK YOU | Non-Voting | |||||||
| 1 | TO SET THE NUMBER OF DIRECTORS AT SEVEN | Management | For | For | For | ||||
| 2.1 | ELECTION OF DIRECTOR: HARVEY SHAPIRO | Management | For | For | For | ||||
| 2.2 | ELECTION OF DIRECTOR: TREVOR FENCOTT | Management | For | For | For | ||||
| 2.3 | ELECTION OF DIRECTOR: NORMAN INKSTER | Management | For | For | For | ||||
| 2.4 | ELECTION OF DIRECTOR: SHARON RANSON | Management | For | For | For | ||||
| 2.5 | ELECTION OF DIRECTOR: DONALD WRIGHT | Management | For | For | For | ||||
| 2.6 | ELECTION OF DIRECTOR: AVININDER GREWAL | Management | For | For | For | ||||
| 2.7 | ELECTION OF DIRECTOR: STEPHANE TRUDEL | Management | For | For | For | ||||
| 3 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | For | ||||
| 4 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, A SPECIAL RESOLUTION AUTHORIZING THE BOARD OF DIRECTORS (THE "BOARD") OF THE CORPORATION TO ELECT, IN ITS DISCRETION, TO DIRECT THE CORPORATION TO FILE ONE OR MORE ARTICLES OF AMENDMENT TO AMEND THE CORPORATION'S ARTICLES IN ORDER TO EFFECT ONE OR MORE | Management | For | For | For | ||||
| CONSOLIDATIONS FOR AN AGGREGATE OF UP TO 10 PRE- CONSOLIDATION SHARES FOR EVERY 1 POST-CONSOLIDATION SHARE, AS MORE PARTICULARLY DESCRIBED IN THE MANAGEMENT INFORMATION CIRCULAR OF THE CORPORATION DATED APRIL 30, 2021 (THE "CIRCULAR") | |||||||||
| 5 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING THE CORPORATION'S 2021 STOCK OPTION PLAN, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR | Management | For | For | For | ||||
| 6 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION APPROVING AND RATIFYING THE GRANT OF 4,517,918 OPTIONS UNDER THE 2021 STOCK OPTION PLAN, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR | Management | For | For | For | ||||
| 7 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION AUTHORIZING AND APPROVING THE CORPORATION'S TREASURY PERFORMANCE AND RESTRICTED SHARE UNIT PLAN, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR | Management | For | For | For | ||||
| 8 | TO CONSIDER, AND IF THOUGHT ADVISABLE, TO PASS, WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION APPROVING AND RATIFYING THE GRANT OF 826,978 RESTRICTED SHARE UNITS UNDER THE TREASURY PERFORMANCE AND RESTRICTED SHARE UNIT PLAN, AS MORE PARTICULARLY DESCRIBED IN THE CIRCULAR | Management | For | For | For | ||||
| VILLAGE FARMS INTERNATIONAL, INC. | |||||||||
| Security | 92707Y108 | Meeting Type | Annual and Special Meeting | ||||||
| Ticker Symbol | VFF | Meeting Date | 10-Jun-2021 | ||||||
| ISIN | CA92707Y1088 | Agenda | 935436166 - Management | ||||||
| Record Date | 23-Apr-2021 | Holding Recon Date | 23-Apr-2021 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 07-Jun-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1 | DIRECTOR | Management | |||||||
| 1 | Michael A. DeGiglio | For | For | For | |||||
| 2 | John P. Henry | For | For | For | |||||
| 3 | David Holewinski | For | For | For | |||||
| 4 | John R. McLernon | For | For | For | |||||
| 5 | Stephen C. Ruffini | For | For | For | |||||
| 6 | Christopher C. Woodward | For | For | For | |||||
| 2 | Appointment of PricewaterhouseCoopers LLP as Auditors of the Company for the ensuing year and authorizing the Directors to fix their remuneration. | Management | For | For | For | ||||
| 3 | An ordinary resolution, in the form attached as Appendix B to the Proxy Statement, to approve unallocated awards under the Company's Amended and Restated Equity Plan, and the Company's ability to continue granting awards under the Amended and Restated Equity Plan until June 10, 2024. | Management | For | For | For | ||||
| 4 | An ordinary resolution, in the form attached as Appendix C to the Proxy Statement, to approve certain amendments to the Company's Amended and Restated Equity Plan. | Management | For | For | For | ||||
| GROWGENERATION CORP. | |||||||||
| Security | 39986L109 | Meeting Type | Annual | ||||||
| Ticker Symbol | GRWG | Meeting Date | 24-Jun-2021 | ||||||
| ISIN | US39986L1098 | Agenda | 935428828 - Management | ||||||
| Record Date | 21-Apr-2021 | Holding Recon Date | 21-Apr-2021 | ||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Michael Salaman | For | For | For | |||||
| 2 | Darren Lampert | For | For | For | |||||
| 3 | Stephen Aiello | For | For | For | |||||
| 4 | Sean Stiefel | For | For | For | |||||
| 5 | Paul Ciasullo | For | For | For | |||||
| 2. | To approve and ratify the appointment of Plante & Moran, PLLC as the Company's independent registered public accounting firm to audit the Company's financial statements as of December 31, 2021 and for the fiscal years then ending. | Management | For | For | For | ||||
| CRONOS GROUP INC. | |||||||||
| Security | 22717L101 | Meeting Type | Annual | ||||||
| Ticker Symbol | CRON | Meeting Date | 25-Jun-2021 | ||||||
| ISIN | CA22717L1013 | Agenda | 935429440 - Management | ||||||
| Record Date | 26-Apr-2021 | Holding Recon Date | 26-Apr-2021 | ||||||
| City / | Country | / | Canada | Vote Deadline Date | 23-Jun-2021 | ||||
| SEDOL(s) | Quick Code | ||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||
| 1. | DIRECTOR | Management | |||||||
| 1 | Jason Adler | For | For | For | |||||
| 2 | Kendrick Ashton, Jr. | For | For | For | |||||
| 3 | Jody Begley | For | For | For | |||||
| 4 | Murray Garnick | For | For | For | |||||
| 5 | Michael Gorenstein | For | For | For | |||||
| 6 | Heather Newman | For | For | For | |||||
| 7 | James Rudyk | For | For | For | |||||
| 2. | Adoption of an advisory (non-binding) resolution approving the compensation of the Company's named executive officers as disclosed in the proxy statement of the Company dated April 27, 2021. | Management | For | For | For | ||||
| 3. | Appointment of KPMG LLP to serve as the Company's independent registered public accounting firm for fiscal year 2021 and to authorize the board of directors of the Company to fix their remuneration. | Management | For | For | For | ||||
| CARDIOL THERAPEUTICS INC | |||||||||
| Security | 14161Y200 | Meeting Type | MIX | ||||||
| Ticker Symbol | Meeting Date | 29-Jun-2021 | |||||||
| ISIN | CA14161Y2006 | Agenda | 714227750 - Management | ||||||
| Record Date | 20-May-2021 | Holding Recon Date | 20-May-2021 | ||||||
| City / | Country | VIRTUAL | / | Canada | Vote Deadline Date | 23-Jun-2021 | |||
| SEDOL(s) | BHPRGJ5 - BHZT969 - BNG4BD6 | 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 1.7 AND 2. THANK YOU | Non-Voting | |||||||
| 1.1 | ELECTION OF DIRECTOR: DAVID ELSLEY | Management | For | For | For | ||||
| 1.2 | ELECTION OF DIRECTOR: DR. ELDON R. SMITH | Management | For | For | For | ||||
| 1.3 | ELECTION OF DIRECTOR: DEBORAH BROWN | Management | For | For | For | ||||
| 1.4 | ELECTION OF DIRECTOR: IAIN CHALMERS | Management | For | For | For | ||||
| 1.5 | ELECTION OF DIRECTOR: COLIN STOTT | Management | For | For | For | ||||
| 1.6 | ELECTION OF DIRECTOR: PETER PEKOS | Management | For | For | For | ||||
| 1.7 | ELECTION OF DIRECTOR: DR. GUILLERMO TORRE-AMIONE | Management | For | For | For | ||||
| 2 | TO APPOINT BDO CANADA LLP, CHARTERED PROFESSIONAL ACCOUNTANTS, AS AUDITORS OF THE CORPORATION AND TO AUTHORIZE REMUNERATION TO BE FIXED BY THE BOARD | Management | For | For | For | ||||
| 3 | TO CONSIDER AND, IF THOUGHT FIT, TO PASS, WITH OR WITHOUT VARIATION, AN ORDINARY RESOLUTION TO APPROVE THE CORPORATION'S OMNIBUS EQUITY INCENTIVE PLAN, AS MORE PARTICULARLY DESCRIBED IN THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR | Management | For | For | For | ||||
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (Registrant) | Investment Managers Series Trust II |
| By (Signature and Title)* | /s/ Terrance P. Gallagher | ||
| Terrance P. Gallagher, President and Principal Executive Officer | |||
| Date | August 6, 2021 | ||
| * | Print the name and title of each signing officer under his or her signature. |