UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-23059
CLOUGH FUNDS TRUST
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1000, Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Sareena Khwaja-Dixon, Esq.
Clough Funds Trust
1290 Broadway, Suite 1000
Denver, CO 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: October 31
Date of reporting period: July 1, 2019 – June 30, 2020
Item 1 – Proxy Voting Record.
Vote Summary
HDFC BANK LTD | ||||||||||||||||||||||||||||
Security | Y3119P174 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 12-Jul-2019 | ||||||||||||||||||||||||||
ISIN | INE040A01026 | Agenda | 711314005 - Management | |||||||||||||||||||||||||
Record Date | 05-Jul-2019 | Holding Recon Date | 05-Jul-2019 | |||||||||||||||||||||||||
City / | Country | MUMBAI | / | India | Vote Deadline Date | 09-Jul-2019 | ||||||||||||||||||||||
SEDOL(s) | B5Q3JZ5 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | ADOPTION OF THE AUDITED FINANCIAL STATEMENTS (STANDALONE) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON | Management | For | For | ||||||||||||||||||||||||
2 | ADOPTION OF THE AUDITED FINANCIAL STATEMENTS (CONSOLIDATED) FOR THE YEAR ENDED MARCH 31, 2019 AND REPORT OF THE AUDITORS THEREON | Management | For | For | ||||||||||||||||||||||||
3 | DECLARATION OF DIVIDEND ON EQUITY SHARES | Management | For | For | ||||||||||||||||||||||||
4 | APPOINTMENT OF DIRECTOR IN PLACE OF MR. SRIKANTH NADHAMUNI (DIN 02551389), WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT | Management | For | For | ||||||||||||||||||||||||
5 | APPOINTMENT OF STATUTORY AUDITORS AND FIXING OF THEIR REMUNERATION: MSKA & ASSOCIATES, CHARTERED ACCOUNTANTS | Management | For | For | ||||||||||||||||||||||||
6 | RATIFICATION OF REMUNERATION / FEES PAID TO THE ERSTWHILE | Management | For | For | ||||||||||||||||||||||||
7 | APPOINTMENT OF MR. SANJIV SACHAR (DIN 02013812) AS INDEPENDENT DIRECTOR OF THE BANK | Management | For | For | ||||||||||||||||||||||||
8 | APPOINTMENT OF MR. SANDEEP PAREKH (DIN 03268043) AS INDEPENDENT DIRECTOR OF THE BANK | Management | For | For | ||||||||||||||||||||||||
9 | APPOINTMENT OF MR. M. D. RANGANATH (DIN 07565125) AS INDEPENDENT DIRECTOR OF THE BANK | Management | For | For | ||||||||||||||||||||||||
10 | APPROVAL OF RELATED PARTY TRANSACTIONS WITH HOUSING DEVELOPMENT FINANCE CORPORATION LIMITED PURSUANT TO APPLICABLE PROVISIONS | Management | For | For | ||||||||||||||||||||||||
11 | APPROVAL OF RELATED PARTY TRANSACTIONS WITH HDB FINANCIAL SERVICES LIMITED PURSUANT TO APPLICABLE PROVISIONS | Management | For | For | ||||||||||||||||||||||||
12 | RAISING OF ADDITIONAL CAPITAL BY ISSUE OF DEBT INSTRUMENTS | Management | For | For | ||||||||||||||||||||||||
13 | SUB-DIVISION OF EQUITY SHARES FROM FACE VALUE OF RS. 2/- EACH TO FACE VALUE OF RS. 1/- EACH | Management | For | For | ||||||||||||||||||||||||
14 | ALTERATION OF CLAUSE V OF THE MEMORANDUM OF ASSOCIATION | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 35,486 | 0 | 13-Jun-2019 | 10-Jul-2019 | ||||||||||||||||||||||
LARSEN & TOUBRO LTD | ||||||||||||||||||||||||||||
Security | Y5217N159 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 01-Aug-2019 | ||||||||||||||||||||||||||
ISIN | INE018A01030 | Agenda | 711361066 - Management | |||||||||||||||||||||||||
Record Date | 25-Jul-2019 | Holding Recon Date | 25-Jul-2019 | |||||||||||||||||||||||||
City / | Country | MUMBAI | / | India | Vote Deadline Date | 26-Jul-2019 | ||||||||||||||||||||||
SEDOL(s) | B0166K8 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||||||||||||||||||||||||
1 | ADOPTION OF AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED MARCH 31, 2019 AND THE REPORTS OF THE BOARD OF DIRECTORS AND AUDITORS THEREON AND THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND THE REPORTS OF THE AUDITORS THEREON FOR THE YEAR ENDED MARCH 31, 2019 | Management | For | For | ||||||||||||||||||||||||
2 | DIVIDEND ON EQUITY SHARES FOR THE FINANCIAL YEAR 2018-19: INR 18.00 PER SHARE | Management | For | For | ||||||||||||||||||||||||
3 | APPOINT MR. M. V. SATISH (DIN: 06393156) AS A DIRECTOR LIABLE TO RETIRE BY ROTATION | Management | For | For | ||||||||||||||||||||||||
4 | APPOINT MR. SHAILENDRA ROY (DIN: 02144836), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION | Management | For | For | ||||||||||||||||||||||||
5 | APPOINT MR. R. SHANKAR RAMAN (DIN: 00019798), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION | Management | For | For | ||||||||||||||||||||||||
6 | APPOINT MR. J. D. PATIL (DIN: 01252184), AS A DIRECTOR LIABLE TO RETIRE BY ROTATION | Management | For | For | ||||||||||||||||||||||||
7 | RE-APPOINT MR. M. M. CHITALE (DIN: 00101004), AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
8 | RE-APPOINT MR. M. DAMODARAN (DIN: 02106990), AS AN INDEPENDENT DIRECTOR AND APPROVE HIS CONTINUATION BEYOND THE AGE OF 75 YEARS | Management | For | For | ||||||||||||||||||||||||
9 | RE-APPOINT MR. VIKRAM SINGH MEHTA (DIN: 00041197), AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
10 | RE-APPOINT MR. ADIL ZAINULBHAI (DIN: 06646490), AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
11 | CHANGE IN SCALE OF SALARY OF MR. S. N. SUBRAHMANYAN (DIN: 02255382), CHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR | Management | For | For | ||||||||||||||||||||||||
12 | CHANGE IN SCALE OF SALARY OF MR. R. SHANKAR RAMAN (DIN: 00019798), CHIEF FINANCIAL OFFICER & WHOLE-TIME DIRECTOR | Management | For | For | ||||||||||||||||||||||||
13 | ALTERATION TO THE OBJECTS CLAUSE OF THE MEMORANDUM OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
14 | RAISE FUNDS THROUGH ISSUE OF CONVERTIBLE BONDS AND/OR EQUITY SHARES THROUGH DEPOSITORY RECEIPTS AND INCLUDING BY WAY OF QUALIFIED INSTITUTION PLACEMENT ('QIP'), TO QUALIFIED INSTITUTIONAL BUYERS ('QIB') FOR AN AMOUNT NOT EXCEEDING INR 4000 CRORE OR USD 600 MILLION, IF HIGHER | Management | For | For | ||||||||||||||||||||||||
15 | RATIFICATION OF REMUNERATION PAYABLE TO M/S R. NANABHOY & CO. COST ACCOUNTANTS (REGN. NO. 00010) FOR THE FINANCIAL YEAR 2019- 20 | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 12,975 | 0 | 29-Jun-2019 | 27-Jul-2019 | ||||||||||||||||||||||
EICHER MOTORS LTD | ||||||||||||||||||||||||||||
Security | Y2251M114 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 01-Aug-2019 | ||||||||||||||||||||||||||
ISIN | INE066A01013 | Agenda | 711394990 - Management | |||||||||||||||||||||||||
Record Date | 25-Jul-2019 | Holding Recon Date | 25-Jul-2019 | |||||||||||||||||||||||||
City / | Country | NEW DELHI | / | India | Vote Deadline Date | 26-Jul-2019 | ||||||||||||||||||||||
SEDOL(s) | 6099819 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | TO REVIEW, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS (INCLUDING CONSOLIDATED FINANCIAL STATEMENTS) OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 TOGETHER WITH THE REPORTS OF BOARD OF DIRECTORS AND THE AUDITORS THEREON | Management | For | For | ||||||||||||||||||||||||
2 | TO DECLARE A DIVIDEND OF RS. 125/- PER EQUITY SHARE FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019 | Management | For | For | ||||||||||||||||||||||||
3 | TO APPOINT MR. SIDDHARTHA LAL, WHO RETIRES BY ROTATION AND BEING ELIGIBLE, OFFERS HIMSELF FOR RE-APPOINTMENT AS A DIRECTOR, LIABLE TO RETIRE BY ROTATION | Management | For | For | ||||||||||||||||||||||||
4 | TO CONSIDER AND RATIFY REMUNERATION OF COST AUDITOR PAYABLE FOR FINANCIAL YEAR 2018-19 | Management | For | For | ||||||||||||||||||||||||
5 | TO APPOINT MR. VINOD KUMAR DASARI AS WHOLE- TIME DIRECTOR OF THE COMPANY AND DETERMINE HIS REMUNERATION | Management | For | For | ||||||||||||||||||||||||
6 | TO APPOINT MR. INDER MOHAN SINGH AS AN INDEPENDENT DIRECTOR OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
7 | TO APPOINT MR. VINOD KUMAR AGGARWAL AS NON-EXECUTIVE DIRECTOR OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
8 | TO CONSIDER AND APPROVE PAYMENT OF REMUNERATION BY WAY OF COMMISSION TO DIRECTORS, OTHER THAN MANAGING DIRECTOR(S) AND WHOLE TIME DIRECTOR(S) OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
9 | TO CONSIDER AND APPROVE PAYMENT OF REMUNERATION TO MR. S. SANDILYA, CHAIRMAN (NON-EXECUTIVE INDEPENDENT DIRECTOR) FOR THE FINANCIAL YEAR 2018-19, WHICH MAY EXCEED FIFTY PER CENT OF THE TOTAL REMUNERATION PAYABLE TO ALL THE NON-EXECUTIVE DIRECTORS OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
10 | TO APPROVE AND ADOPT EICHER MOTORS LIMITED'S RESTRICTED STOCK UNIT PLAN 2019 | Management | For | For | ||||||||||||||||||||||||
11 | TO APPROVE EXTENSION OF BENEFITS OF EICHER MOTORS LIMITED'S RESTRICTED STOCK UNIT PLAN 2019 TO THE EMPLOYEES OF SUBSIDIARY COMPANY(IES) | Management | For | For | ||||||||||||||||||||||||
CMMT | 15 JUL 2019: 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 | ||||||||||||||||||||||||||
CMMT | 15 JUL 2019: 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 | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 2,000 | 0 | 09-Jul-2019 | 27-Jul-2019 | ||||||||||||||||||||||
CHOW TAI FOOK JEWELLERY GROUP LTD | ||||||||||||||||||||||||||||
Security | G21146108 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 02-Aug-2019 | ||||||||||||||||||||||||||
ISIN | KYG211461085 | Agenda | 711319625 - Management | |||||||||||||||||||||||||
Record Date | 29-Jul-2019 | Holding Recon Date | 29-Jul-2019 | |||||||||||||||||||||||||
City / | Country | HONG KONG | / | Cayman Islands | Vote Deadline Date | 26-Jul-2019 | ||||||||||||||||||||||
SEDOL(s) | B4R39F7 - B7FN5H4 - B8C2PT3 - BD8NKQ7 - BP3RT94 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0614/LTN20190614027.PDF-AND- HTTP://WWW3.HKEXNEWS.HK/LISTEDCO/LISTCONE WS/SEHK/2019/0614/LTN20190614025.PDF | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||||||||||||||||||||||||
1 | TO RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 MARCH 2019 TOGETHER WITH THE REPORTS OF THE DIRECTORS OF THE COMPANY (''DIRECTORS'') AND THE INDEPENDENT AUDITOR THEREON | Management | For | For | ||||||||||||||||||||||||
2 | TO DECLARE A FINAL DIVIDEND AND SPECIAL DIVIDEND FOR THE YEAR ENDED 31 MARCH 2019: FINAL DIVIDEND OF HKD 0.20 PER SHARE AND A SPECIAL DIVIDEND OF HKD 0.30 PER SHARE (FY2018: A FINAL DIVIDEND OF HKD 0.15 PER SHARE AND A SPECIAL DIVIDEND OF HKD 0.30 PER SHARE) | Management | For | For | ||||||||||||||||||||||||
3.A | TO RE-ELECT MR. WONG SIU-KEE, KENT AS AN EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.B | TO RE-ELECT MR. SUEN CHI-KEUNG, PETER AS AN EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.C | TO RE-ELECT MR. CHAN HIU-SANG, ALBERT AS AN EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.D | TO RE-ELECT MR. LIU CHUN-WAI, BOBBY AS AN EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.E | TO RE-ELECT MS. CHENG CHI-MAN, SONIA AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.F | TO RE-ELECT MR. LAM KIN-FUNG, JEFFREY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.G | TO RE-ELECT MS. CHENG KA-LAI, LILY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.H | TO AUTHORISE THE BOARD OF DIRECTORS (''BOARD'') TO FIX THE REMUNERATION OF THE DIRECTORS | Management | For | For | ||||||||||||||||||||||||
4 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY AND AUTHORISE THE BOARD TO FIX ITS REMUNERATION | Management | For | For | ||||||||||||||||||||||||
5 | TO GRANT THE DIRECTORS A GENERAL MANDATE TO ISSUE NEW SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE ISSUED SHARE CAPITAL OF THE COMPANY AS AT THE DATE OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
6 | TO GRANT THE DIRECTORS A GENERAL MANDATE TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE AGGREGATE NOMINAL AMOUNT OF THE ISSUED SHARE CAPITAL OF THE COMPANY AS AT THE DATE OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
7 | SUBJECT TO THE PASSING OF THE ORDINARY RESOLUTIONS NUMBERED 5 AND 6 ABOVE, TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE SHARES OF THE COMPANY BY ADDING THE AGGREGATE NOMINAL AMOUNT OF SHARES BOUGHT BACK BY THE COMPANY | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 37,400 | 0 | 18-Jul-2019 | 18-Jul-2019 | ||||||||||||||||||||||
TITAN COMPANY LIMITED | ||||||||||||||||||||||||||||
Security | Y88425148 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 06-Aug-2019 | ||||||||||||||||||||||||||
ISIN | INE280A01028 | Agenda | 711415150 - Management | |||||||||||||||||||||||||
Record Date | 30-Jul-2019 | Holding Recon Date | 30-Jul-2019 | |||||||||||||||||||||||||
City / | Country | HOSUR | / | India | Vote Deadline Date | 31-Jul-2019 | ||||||||||||||||||||||
SEDOL(s) | 6139340 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019, TOGETHER WITH THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS THEREON | Management | For | For | ||||||||||||||||||||||||
2 | TO RECEIVE, CONSIDER AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE FINANCIAL YEAR ENDED MARCH 31, 2019, TOGETHER WITH THE REPORT OF THE AUDITORS THEREON | Management | For | For | ||||||||||||||||||||||||
3 | DECLARATION OF DIVIDEND ON EQUITY SHARES FOR THE FINANCIAL YEAR 2018-19: DIVIDEND ON EQUITY SHARES AT THE RATE OF 500% (I.E. INR 5 PER EQUITY SHARE OF INR 1 EACH) | Management | For | For | ||||||||||||||||||||||||
4 | RE-APPOINTMENT OF MR. HARISH BHAT AS A DIRECTOR | Management | For | For | ||||||||||||||||||||||||
5 | APPOINTMENT OF MR. N. MURUGANANDAM AS A DIRECTOR | Management | For | For | ||||||||||||||||||||||||
6 | APPOINTMENT OF MR. V ARUN ROY AS A DIRECTOR | Management | For | For | ||||||||||||||||||||||||
7 | APPOINTMENT OF MR. PRADYUMNA VYAS AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
8 | RE-APPOINTMENT OF MRS. HEMA RAVICHANDAR AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
9 | RE-APPOINTMENT OF MRS. IREENA VITTAL AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
10 | APPOINTMENT OF BRANCH AUDITORS | Management | For | For | ||||||||||||||||||||||||
11 | APPOINTMENT OF DR. MOHANASANKAR SIVAPRAKASAM AS AN INDEPENDENT DIRECTOR | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 21,608 | 0 | 11-Jul-2019 | 11-Jul-2019 | ||||||||||||||||||||||
WAVE LIFE SCIENCES LTD. | ||||||||||||||||||||||||||||
Security | Y95308105 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | WVE | Meeting Date | 08-Aug-2019 | |||||||||||||||||||||||||
ISIN | SG9999014716 | Agenda | 935058506 - Management | |||||||||||||||||||||||||
Record Date | 17-Jun-2019 | Holding Recon Date | 17-Jun-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-Aug-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1a. | Election of Director: Paul B. Bolno, M.D., MBA | Management | For | For | ||||||||||||||||||||||||
1b. | Election of Director: Christian Henry | Management | For | For | ||||||||||||||||||||||||
1c. | Election of Director: Peter Kolchinsky, Ph.D. | Management | For | For | ||||||||||||||||||||||||
1d. | Election of Director: Koji Miura | Management | For | For | ||||||||||||||||||||||||
1e. | Election of Director: Adrian Rawcliffe | Management | For | For | ||||||||||||||||||||||||
1f. | Election of Director: Ken Takanashi | Management | For | For | ||||||||||||||||||||||||
1g. | Election of Director: Gregory L. Verdine, Ph.D. | Management | For | For | ||||||||||||||||||||||||
2. | To approve the re-appointment of KPMG LLP to serve as our independent registered public accounting firm and independent Singapore auditor for the year ending December 31, 2019, and to authorize the Audit Committee of the Board of Directors to fix KPMG LLP's remuneration for services provided through the date of our 2020 Annual General Meeting of Shareholders | Management | For | For | ||||||||||||||||||||||||
3. | To approve the Company's payment of cash and equity- based compensation to non-employee directors for service on the Board of Directors and its committees, in the manner and on the basis set forth under "Proposal 3: Non-Employee Directors' Compensation" | Management | For | For | ||||||||||||||||||||||||
4. | To authorize the Board of Directors to allot and issue Ordinary Shares of Wave Life Sciences Ltd. | Management | For | For | ||||||||||||||||||||||||
5. | To approve the Company's 2019 Employee Share Purchase Plan | Management | For | For | ||||||||||||||||||||||||
6. | To approve by a non-binding advisory vote the compensation of our named executive officers as disclosed in the proxy statement | Management | For | For | ||||||||||||||||||||||||
7. | To approve by a non-binding advisory vote the frequency of holding future advisory votes on the compensation of our named executive officers | Management | 3 Years | Against | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,200 | 0 | 02-Jul-2019 | 02-Jul-2019 | |||||||||||||||||||||
GOLUB CAPITAL BDC, INC. | ||||||||||||||||||||||||||||
Security | 38173M102 | Meeting Type | Special | |||||||||||||||||||||||||
Ticker Symbol | GBDC | Meeting Date | 04-Sep-2019 | |||||||||||||||||||||||||
ISIN | US38173M1027 | Agenda | 935063610 - Management | |||||||||||||||||||||||||
Record Date | 12-Jul-2019 | Holding Recon Date | 12-Jul-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Sep-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | To approve an amendment to the GBDC certificate of incorporation to increase the number of authorized shares of capital stock from 101,000,000 shares to 201,000,000 shares, consisting of 200,000,000 shares of GBDC common stock, par value $0.001 per share ("GBDC Common Stock"), and 1,000,000 shares of preferred stock, par value $0.001 per share (the "Certificate of Incorporation Amendment Proposal"). | Management | For | For | ||||||||||||||||||||||||
2. | Contingent upon approval of Certificate of Incorporation Amendment Proposal, to approve issuance of shares of GBDC Common Stock pursuant to Agreement and Plan of Merger dated as of November 27, 2018 (as amended, "Merger Agreement") by and among GBDC, Fifth Ave Subsidiary Inc., a wholly owned subsidiary of GBDC (Merger Sub), Golub Capital Investment Corporation, a Maryland corporation (GCIC), GC Advisors LLC (GC Advisors), and, for certain limited purposes, Golub Capital LLC (such proposal is referred to as the "Merger Stock issuance Proposal") | Management | For | For | ||||||||||||||||||||||||
3. | Contingent upon approval of each of the Certificate of Incorporation Amendment Proposal and the Merger Stock Issuance Proposal, to approve the amendment of the investment advisory agreement between GBDC and GC Advisors (as amended, the "New Investment Advisory Agreement") on the terms described in the accompanying proxy statement (such proposal is referred to as the "Advisory Agreement Amendment Proposal"). | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 36,900 | 0 | 20-Jul-2019 | 20-Jul-2019 | |||||||||||||||||||||
TRANSDIGM GROUP INCORPORATED | ||||||||||||||||||||||||||||
Security | 893641100 | Meeting Type | Special | |||||||||||||||||||||||||
Ticker Symbol | TDG | Meeting Date | 03-Oct-2019 | |||||||||||||||||||||||||
ISIN | US8936411003 | Agenda | 935077518 - Management | |||||||||||||||||||||||||
Record Date | 16-Aug-2019 | Holding Recon Date | 16-Aug-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | To approve and adopt the Company's 2019 Stock Option Plan. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,000 | 0 | 05-Sep-2019 | 05-Sep-2019 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 1,060 | 0 | 05-Sep-2019 | 05-Sep-2019 | |||||||||||||||||||||
GALAPAGOS N V | ||||||||||||||||||||||||||||
Security | 36315X101 | Meeting Type | Special | |||||||||||||||||||||||||
Ticker Symbol | GLPG | Meeting Date | 22-Oct-2019 | |||||||||||||||||||||||||
ISIN | US36315X1019 | Agenda | 935085084 - Management | |||||||||||||||||||||||||
Record Date | 17-Sep-2019 | Holding Recon Date | 17-Sep-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Oct-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
S1. | Appointment of Mr. Daniel O'Day as a director of the company. | Management | For | For | ||||||||||||||||||||||||
S2. | Appointment of Ms. Linda Higgins as a director of the company. | Management | For | For | ||||||||||||||||||||||||
S3. | Remuneration of statutory auditor for the financial year ended on 31 December 2017. | Management | For | For | ||||||||||||||||||||||||
E3. | Approval of the issuance of two warrants for the benefit of Gilead Therapeutics. | Management | For | For | ||||||||||||||||||||||||
E5. | Renewal of the authorization to the board of directors to increase the share capital within the framework of the authorized capital by up to 20% of the share capital. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,583 | 0 | 26-Sep-2019 | 26-Sep-2019 | |||||||||||||||||||||
ZHAOJIN MINING INDUSTRY COMPANY LTD | ||||||||||||||||||||||||||||
Security | Y988A6104 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 14-Nov-2019 | ||||||||||||||||||||||||||
ISIN | CNE1000004R6 | Agenda | 711590528 - Management | |||||||||||||||||||||||||
Record Date | 14-Oct-2019 | Holding Recon Date | 14-Oct-2019 | |||||||||||||||||||||||||
City / | Country | ZHAOYU AN | / | China | Vote Deadline Date | 08-Nov-2019 | ||||||||||||||||||||||
SEDOL(s) | B1H5082 - B1L31Z6 - B1MYPY5 - BD8GFT4 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0927/ltn20190927731.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0927/ltn20190927705.pdf | Non-Voting | ||||||||||||||||||||||||||
1.A | TO APPROVE, CONFIRM AND RATIFY THE TRANSFER AGREEMENT AND THE TRANSACTIONS CONTEMPLATED THEREUNDER | Management | For | For | ||||||||||||||||||||||||
1.B | TO GRANT THE SPECIFIC MANDATES TO THE BOARD TO ALLOT AND ISSUE THE CONSIDERATION SHARES TO ZHAOJIN GROUP PURSUANT TO THE TRANSFER AGREEMENT | Management | For | For | ||||||||||||||||||||||||
1.C | TO AUTHORISE ANY EXECUTIVE DIRECTOR(S) OF THE COMPANY, FOR AND ON BEHALF OF THE COMPANY, TO SIGN, SEAL, EXECUTE AND DELIVER ALL SUCH DOCUMENTS AND DEEDS, AND DO ALL SUCH ACTS, MATTERS AND THINGS AS THEY MAY IN THEIR DISCRETION CONSIDER NECESSARY OR DESIRABLE TO IMPLEMENT AND/OR EFFECT THE TRANSACTIONS CONTEMPLATED UNDER THE TRANSFER AGREEMENT AND THE AMENDMENT, VARIATION OR MODIFICATION OF THE TERMS AND CONDITIONS OF THE TRANSFER AGREEMENT ON SUCH TERMS AND CONDITIONS AS SUCH DIRECTOR(S) MAY THINK FIT | Management | For | For | ||||||||||||||||||||||||
2.A | CONDITIONAL UPON THE PASSING OF THE SPECIAL RESOLUTION NUMBERED (1) AS SET OUT IN THE NOTICE OF EGM RELATING TO THE APPROVAL OF THE TRANSFER AGREEMENT AND THE TRANSACTIONS CONTEMPLATED THEREUNDER: THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY (THE "ARTICLES OF ASSOCIATION") AS SET OUT IN THE NOTICE OF EGM OF THE COMPANY DATED 27 SEPTEMBER 2019 BE APPROVED | Management | For | For | ||||||||||||||||||||||||
2.B | CONDITIONAL UPON THE PASSING OF THE SPECIAL RESOLUTION NUMBERED (1) AS SET OUT IN THE NOTICE OF EGM RELATING TO THE APPROVAL OF THE TRANSFER AGREEMENT AND THE TRANSACTIONS CONTEMPLATED THEREUNDER: ANY DIRECTOR OR THE SECRETARY TO THE BOARD BE AUTHORISED TO DO ALL SUCH ACTS OR THINGS AND TO TAKE ALL SUCH STEPS AND TO EXECUTE ANY DOCUMENTS AS HE OR SHE CONSIDERS NECESSARY, APPROPRIATE OR EXPEDIENT TO GIVE EFFECT TO THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION, INCLUDING BUT NOT LIMITED TO SEEKING THE APPROVAL OF THE SAME AND TO ARRANGE FOR ITS REGISTRATION AND FILING WITH THE RELEVANT GOVERNMENT AUTHORITIES IN THE PRC AND HONG KONG | Management | For | For | ||||||||||||||||||||||||
3 | THE PROPOSED REGISTRATION AND ISSUE OF RENEWABLE BONDS OF NOT MORE THAN RMB6 BILLION IN THE PRC AND THE GRANT OF AUTHORITY TO THE BOARD TO DEAL WITH SUCH MATTERS RELATING TO THE REGISTRATION AND ISSUE OF THE RENEWABLE BONDS (AS SET OUT IN THE NOTICE OF EGM OF THE COMPANY DATED 27 SEPTEMBER 2019) | Management | For | For | ||||||||||||||||||||||||
4 | THE PROPOSED REGISTRATION AND ISSUE OF SUPER SHORT-TERM NOTES OF NOT MORE THAN RMB10 BILLION IN THE PRC AND THE GRANT OF AUTHORITY TO THE BOARD TO DEAL WITH SUCH MATTERS RELATING TO THE REGISTRATION AND ISSUE OF THE SUPER SHORT-TERM NOTES (AS SET OUT IN THE NOTICE OF EGM OF THE COMPANY DATED 27 SEPTEMBER 2019) | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 201,000 | 0 | 01-Oct-2019 | 01-Oct-2019 | ||||||||||||||||||||||
ZHAOJIN MINING INDUSTRY COMPANY LTD | ||||||||||||||||||||||||||||
Security | Y988A6104 | Meeting Type | Class Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 14-Nov-2019 | ||||||||||||||||||||||||||
ISIN | CNE1000004R6 | Agenda | 711590530 - Management | |||||||||||||||||||||||||
Record Date | 14-Oct-2019 | Holding Recon Date | 14-Oct-2019 | |||||||||||||||||||||||||
City / | Country | ZHAOYU AN | / | China | Vote Deadline Date | 08-Nov-2019 | ||||||||||||||||||||||
SEDOL(s) | B1H5082 - B1L31Z6 - B1MYPY5 - BD8GFT4 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0927/ltn20190927737.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 0927/ltn20190927709.pdf | Non-Voting | ||||||||||||||||||||||||||
1.A | TO APPROVE, CONFIRM AND RATIFY THE TRANSFER AGREEMENT AND THE TRANSACTIONS CONTEMPLATED THEREUNDER | Management | For | For | ||||||||||||||||||||||||
1.B | TO GRANT THE SPECIFIC MANDATES TO THE BOARD TO ALLOT AND ISSUE THE CONSIDERATION SHARES TO ZHAOJIN GROUP PURSUANT TO THE TRANSFER AGREEMENT | Management | For | For | ||||||||||||||||||||||||
1.C | TO AUTHORISE ANY EXECUTIVE DIRECTOR(S) OF THE COMPANY, FOR AND ON BEHALF OF THE COMPANY, TO SIGN, SEAL, EXECUTE AND DELIVER ALL SUCH DOCUMENTS AND DEEDS, AND DO ALL SUCH ACTS, MATTERS AND THINGS AS THEY MAY IN THEIR DISCRETION CONSIDER NECESSARY OR DESIRABLE TO IMPLEMENT AND/OR EFFECT THE TRANSACTIONS CONTEMPLATED UNDER THE TRANSFER AGREEMENT AND THE AMENDMENT, VARIATION OR MODIFICATION OF THE TERMS AND CONDITIONS OF THE TRANSFER AGREEMENT ON SUCH TERMS AND CONDITIONS AS SUCH DIRECTOR(S) MAY THINK FIT | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 201,000 | 0 | 01-Oct-2019 | 01-Oct-2019 | ||||||||||||||||||||||
THE ESTEE LAUDER COMPANIES INC. | ||||||||||||||||||||||||||||
Security | 518439104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | EL | Meeting Date | 15-Nov-2019 | |||||||||||||||||||||||||
ISIN | US5184391044 | Agenda | 935082038 - Management | |||||||||||||||||||||||||
Record Date | 16-Sep-2019 | Holding Recon Date | 16-Sep-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 14-Nov-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class II Director: Ronald S. Lauder Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class II Director: William P. Lauder Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Class II Director: Richard D. Parsons Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Class II Director: Lynn Forester de Rothschild Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Class II Director: Jennifer Tejada Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Class II Director: Richard F. Zannino Please note an Abstain Vote means a Withhold vote against this director. | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of appointment of KPMG LLP as independent auditors for the 2020 fiscal year. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of The Estée Lauder Companies Inc. Amended and Restated Fiscal 2002 Share Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,382 | 0 | 28-Sep-2019 | 28-Sep-2019 | |||||||||||||||||||||
MICROSOFT CORPORATION | ||||||||||||||||||||||||||||
Security | 594918104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | MSFT | Meeting Date | 04-Dec-2019 | |||||||||||||||||||||||||
ISIN | US5949181045 | Agenda | 935092849 - Management | |||||||||||||||||||||||||
Record Date | 08-Oct-2019 | Holding Recon Date | 08-Oct-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Dec-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: William H. Gates III | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Reid G. Hoffman | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Hugh F. Johnston | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Teri L. List-Stoll | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Satya Nadella | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Sandra E. Peterson | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Penny S. Pritzker | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Charles W. Scharf | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Arne M. Sorenson | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: John W. Stanton | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: John W. Thompson | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Emma Walmsley | Management | For | For | ||||||||||||||||||||||||
1M. | Election of Director: Padmasree Warrior | Management | For | For | ||||||||||||||||||||||||
2. | Advisory vote to approve named executive officer compensation | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Management | For | For | ||||||||||||||||||||||||
4. | Shareholder Proposal - Report on Employee Representation on Board of Directors | Shareholder | Against | For | ||||||||||||||||||||||||
5. | Shareholder Proposal - Report on Gender Pay Gap | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 5,910 | 0 | 23-Oct-2019 | 23-Oct-2019 | |||||||||||||||||||||
VAIL RESORTS, INC. | ||||||||||||||||||||||||||||
Security | 91879Q109 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | MTN | Meeting Date | 05-Dec-2019 | |||||||||||||||||||||||||
ISIN | US91879Q1094 | Agenda | 935093790 - Management | |||||||||||||||||||||||||
Record Date | 08-Oct-2019 | Holding Recon Date | 08-Oct-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Dec-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1a. | Election of Director: Susan L. Decker | Management | For | For | ||||||||||||||||||||||||
1b. | Election of Director: Robert A. Katz | Management | For | For | ||||||||||||||||||||||||
1c. | Election of Director: John T. Redmond | Management | For | For | ||||||||||||||||||||||||
1d. | Election of Director: Michele Romanow | Management | For | For | ||||||||||||||||||||||||
1e. | Election of Director: Hilary A. Schneider | Management | For | For | ||||||||||||||||||||||||
1f. | Election of Director: D. Bruce Sewell | Management | For | For | ||||||||||||||||||||||||
1g. | Election of Director: John F. Sorte | Management | For | For | ||||||||||||||||||||||||
1h. | Election of Director: Peter A. Vaughn | Management | For | For | ||||||||||||||||||||||||
2. | Ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending July 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Hold an advisory vote to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,250 | 0 | 22-Oct-2019 | 22-Oct-2019 | |||||||||||||||||||||
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD | ||||||||||||||||||||||||||||
Security | Y69790106 | Meeting Type | ExtraOrdinary General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 10-Dec-2019 | ||||||||||||||||||||||||||
ISIN | CNE1000003X6 | Agenda | 711701599 - Management | |||||||||||||||||||||||||
Record Date | 08-Nov-2019 | Holding Recon Date | 08-Nov-2019 | |||||||||||||||||||||||||
City / | Country | SHENZH EN | / | China | Vote Deadline Date | 03-Dec-2019 | ||||||||||||||||||||||
SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 1024/ltn20191024167.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2019/ 1024/ltn20191024173.pdf | Non-Voting | ||||||||||||||||||||||||||
1.1 | TO CONSIDER AND APPROVE THE ELECTION OF MR. XIE YONGLIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | ||||||||||||||||||||||||
1.2 | TO CONSIDER AND APPROVE THE ELECTION OF MS. TAN SIN YIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD | Management | For | For | ||||||||||||||||||||||||
2 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 41,400 | 0 | 26-Oct-2019 | 26-Oct-2019 | ||||||||||||||||||||||
BEIGENE LTD | ||||||||||||||||||||||||||||
Security | 07725L102 | Meeting Type | Special | |||||||||||||||||||||||||
Ticker Symbol | BGNE | Meeting Date | 27-Dec-2019 | |||||||||||||||||||||||||
ISIN | US07725L1026 | Agenda | 935112603 - Management | |||||||||||||||||||||||||
Record Date | 27-Nov-2019 | Holding Recon Date | 27-Nov-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-Dec-2019 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | THAT the issuance of approximately 20.5% of the Company's outstanding shares upon closing to Amgen Inc. ("Amgen") be and is hereby approved, pursuant to the terms of the Share Purchase Agreement (the "Share Purchase Agreement") by and between the Company and Amgen. | Management | For | For | ||||||||||||||||||||||||
2 | THAT the Collaboration Agreement (the "Collaboration Agreement") dated October 31, 2019 by and between the Company, BeiGene Switzerland GmbH and Amgen and the transactions contemplated thereunder be and are hereby approved. | Management | For | For | ||||||||||||||||||||||||
3 | THAT the annual caps in relation to the Collaboration Agreement be and are hereby approved. | Management | For | For | ||||||||||||||||||||||||
4 | THAT Anthony C. Hooper be and is hereby elected to serve as a Class III director of the Company until the 2022 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal, subject to and effective upon the closing of the transactions contemplated by the Share Purchase Agreement and the Collaboration Agreement. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,280 | 0 | 04-Dec-2019 | 04-Dec-2019 | |||||||||||||||||||||
MICRON TECHNOLOGY, INC. | ||||||||||||||||||||||||||||
Security | 595112103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | MU | Meeting Date | 16-Jan-2020 | |||||||||||||||||||||||||
ISIN | US5951121038 | Agenda | 935112158 - Management | |||||||||||||||||||||||||
Record Date | 18-Nov-2019 | Holding Recon Date | 18-Nov-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Jan-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1.1 | Election of Director: Robert L. Bailey | Management | For | For | ||||||||||||||||||||||||
1.2 | Election of Director: Richard M. Beyer | Management | For | For | ||||||||||||||||||||||||
1.3 | Election of Director: Steven J. Gomo | Management | For | For | ||||||||||||||||||||||||
1.4 | Election of Director: Mary Pat McCarthy | Management | For | For | ||||||||||||||||||||||||
1.5 | Election of Director: Sanjay Mehrotra | Management | For | For | ||||||||||||||||||||||||
1.6 | Election of Director: Robert E. Switz | Management | For | For | ||||||||||||||||||||||||
1.7 | Election of Director: MaryAnn Wright | Management | For | For | ||||||||||||||||||||||||
2. | To approve a non-binding resolution to approve the compensation of our Named Executive Officers as described in the proxy statement. | Management | For | For | ||||||||||||||||||||||||
3. | To ratify the appointment of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm for the fiscal year ending September 3, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 149 | 0 | 07-Dec-2019 | 07-Dec-2019 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 22,000 | 0 | 07-Dec-2019 | 07-Dec-2019 | |||||||||||||||||||||
VISA INC. | ||||||||||||||||||||||||||||
Security | 92826C839 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | V | Meeting Date | 28-Jan-2020 | |||||||||||||||||||||||||
ISIN | US92826C8394 | Agenda | 935113807 - Management | |||||||||||||||||||||||||
Record Date | 29-Nov-2019 | Holding Recon Date | 29-Nov-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-Jan-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Lloyd A. Carney | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Mary B. Cranston | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Francisco Javier Fernández-Carbajal | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Alfred F. Kelly, Jr. | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Ramon L. Laguarta | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: John F. Lundgren | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Robert W. Matschullat | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Denise M. Morrison | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Suzanne Nora Johnson | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: John A. C. Swainson | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Maynard G. Webb, Jr. | Management | For | For | ||||||||||||||||||||||||
2. | Advisory vote to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2020 fiscal year. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,132 | 0 | 06-Dec-2019 | 06-Dec-2019 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 1,000 | 0 | 06-Dec-2019 | 06-Dec-2019 | |||||||||||||||||||||
GOLUB CAPITAL BDC, INC. | ||||||||||||||||||||||||||||
Security | 38173M102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GBDC | Meeting Date | 04-Feb-2020 | |||||||||||||||||||||||||
ISIN | US38173M1027 | Agenda | 935116649 - Management | |||||||||||||||||||||||||
Record Date | 10-Dec-2019 | Holding Recon Date | 10-Dec-2019 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Feb-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class I Director: David B. Golub | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class I Director: Anita R. Rosenberg | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 64,700 | 0 | 18-Dec-2019 | 18-Dec-2019 | |||||||||||||||||||||
APPLIED MATERIALS, INC. | ||||||||||||||||||||||||||||
Security | 038222105 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AMAT | Meeting Date | 12-Mar-2020 | |||||||||||||||||||||||||
ISIN | US0382221051 | Agenda | 935126258 - Management | |||||||||||||||||||||||||
Record Date | 16-Jan-2020 | Holding Recon Date | 16-Jan-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-Mar-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Judy Bruner | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Xun (Eric) Chen | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Aart J. de Geus | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Gary E. Dickerson | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Stephen R. Forrest | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Thomas J. Iannotti | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Alexander A. Karsner | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Adrianna C. Ma | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Yvonne McGill | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Scott A. McGregor | Management | For | For | ||||||||||||||||||||||||
2. | Approval, on an advisory basis, of the compensation of Applied Materials' named executive officers for fiscal year 2019. | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the appointment of KPMG LLP as Applied Materials' independent registered public accounting firm for fiscal year 2020. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of an amendment and restatement of Applied Materials' Certificate of Incorporation to allow shareholders to act by written consent. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 8,300 | 0 | 31-Jan-2020 | 31-Jan-2020 | |||||||||||||||||||||
SAMSUNG ELECTRONICS CO LTD | ||||||||||||||||||||||||||||
Security | Y74718100 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 18-Mar-2020 | ||||||||||||||||||||||||||
ISIN | KR7005930003 | Agenda | 712181786 - Management | |||||||||||||||||||||||||
Record Date | 31-Dec-2019 | Holding Recon Date | 31-Dec-2019 | |||||||||||||||||||||||||
City / | Country | KYUNGG I | / | Korea, Republic Of | Vote Deadline Date | 06-Mar-2020 | ||||||||||||||||||||||
SEDOL(s) | 6771720 - B19VC15 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | APPROVAL OF FINANCIAL STATEMENTS | Management | For | For | ||||||||||||||||||||||||
2.1 | ELECTION OF INSIDE DIRECTOR: HAN JONG HEE | Management | For | �� | For | |||||||||||||||||||||||
2.2 | ELECTION OF INSIDE DIRECTOR: CHOE YUN HO | Management | For | For | ||||||||||||||||||||||||
3 | APPROVAL OF REMUNERATION FOR DIRECTOR | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 24,829 | 0 | 22-Feb-2020 | 22-Feb-2020 | ||||||||||||||||||||||
TRANSDIGM GROUP INCORPORATED | ||||||||||||||||||||||||||||
Security | 893641100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | TDG | Meeting Date | 24-Mar-2020 | |||||||||||||||||||||||||
ISIN | US8936411003 | Agenda | 935129355 - Management | |||||||||||||||||||||||||
Record Date | 27-Jan-2020 | Holding Recon Date | 27-Jan-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 23-Mar-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | David Barr | For | For | |||||||||||||||||||||||||
2 | William Dries | For | For | |||||||||||||||||||||||||
3 | Mervin Dunn | For | For | |||||||||||||||||||||||||
4 | Michael Graff | For | For | |||||||||||||||||||||||||
5 | Sean Hennessy | For | For | |||||||||||||||||||||||||
6 | W. Nicholas Howley | For | For | |||||||||||||||||||||||||
7 | Raymond Laubenthal | For | For | |||||||||||||||||||||||||
8 | Gary E. McCullough | For | For | |||||||||||||||||||||||||
9 | Michele Santana | For | For | |||||||||||||||||||||||||
10 | Robert Small | For | For | |||||||||||||||||||||||||
11 | John Staer | For | For | |||||||||||||||||||||||||
12 | Kevin Stein | For | For | |||||||||||||||||||||||||
2. | To approve (in an advisory vote) compensation paid to the Company's named executive officers. | Management | For | For | ||||||||||||||||||||||||
3. | To ratify the selection of Ernst & Young LLP as the Company's independent accountants for the fiscal year ending September 30, 2020. | Management | For | For | ||||||||||||||||||||||||
4. | To consider a stockholder proposal to adopt greenhouse gas emissions reduction targets. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 925 | 0 | 11-Feb-2020 | 11-Feb-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 300 | 0 | 11-Feb-2020 | 11-Feb-2020 | |||||||||||||||||||||
PING AN INSURANCE (GROUP) COMPANY OF CHINA LTD | ||||||||||||||||||||||||||||
Security | Y69790106 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 09-Apr-2020 | ||||||||||||||||||||||||||
ISIN | CNE1000003X6 | Agenda | 712283869 - Management | |||||||||||||||||||||||||
Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||
City / | Country | SHENZH EN | / | China | Vote Deadline Date | 02-Apr-2020 | ||||||||||||||||||||||
SEDOL(s) | B01FLR7 - B01NLS2 - B03NP99 - BD8NLC0 - BP3RWZ1 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0318/2020031801008.pdf, | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 362445 DUE TO ADDITION OF- RESOLUTION 11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED-AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | ||||||||||||||||||||||||||
1 | TO CONSIDER AND APPROVE THE REPORT OF THE BOARD OF DIRECTORS OF THE COMPANY FOR THE YEAR 2019 | Management | For | For | ||||||||||||||||||||||||
2 | TO CONSIDER AND APPROVE THE REPORT OF THE SUPERVISORY COMMITTEE OF THE COMPANY FOR THE YEAR 2019 | Management | For | For | ||||||||||||||||||||||||
3 | TO CONSIDER AND APPROVE THE ANNUAL REPORT OF THE COMPANY FOR THE YEAR 2019 AND ITS SUMMARY | Management | For | For | ||||||||||||||||||||||||
4 | TO CONSIDER AND APPROVE THE REPORT OF FINAL ACCOUNTS OF THE COMPANY FOR THE YEAR 2019 INCLUDING THE AUDIT REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR 2019 | Management | For | For | ||||||||||||||||||||||||
5 | TO CONSIDER AND APPROVE THE PROFIT DISTRIBUTION PLAN OF THE COMPANY FOR THE YEAR 2019 AND THE PROPOSED DISTRIBUTION OF FINAL DIVIDENDS | Management | For | For | ||||||||||||||||||||||||
6 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE APPOINTMENT OF AUDITORS OF THE COMPANY FOR THE YEAR 2020, RE- APPOINTING PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE PRC AUDITOR AND PRICEWATERHOUSECOOPERS AS THE | Management | For | For | ||||||||||||||||||||||||
INTERNATIONAL AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING AND AUTHORIZING THE BOARD OF DIRECTORS TO RE- AUTHORIZE THE MANAGEMENT OF THE COMPANY TO FIX THEIR REMUNERATION | ||||||||||||||||||||||||||||
7 | TO CONSIDER AND APPROVE THE PERFORMANCE EVALUATION OF THE INDEPENDENT NON- EXECUTIVE DIRECTORS FOR THE YEAR 2019 | Management | For | For | ||||||||||||||||||||||||
8 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ISSUE OF DEBT FINANCING INSTRUMENTS | Management | For | For | ||||||||||||||||||||||||
9 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED GRANT OF THE GENERAL MANDATE BY THE GENERAL MEETING TO THE BOARD TO ISSUE H SHARES, I.E. THE GRANT OF A GENERAL MANDATE TO THE BOARD TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL H SHARES NOT EXCEEDING 20% OF THE AGGREGATE NOMINAL AMOUNT OF THE H SHARES IN ISSUE, REPRESENTING UP TO LIMIT OF 8.15% OF THE TOTAL NUMBER OF SHARES OF THE COMPANY IN ISSUE, AT A DISCOUNT (IF ANY) OF NO MORE THAN 10% TO THE BENCHMARK PRICE (INSTEAD OF THE 20% LIMIT IMPOSED BY THE RULES GOVERNING THE LISTING OF SECURITIES ON THE STOCK EXCHANGE OF HONG KONG LIMITED) AND AUTHORIZE THE BOARD OF DIRECTORS TO MAKE CORRESPONDING AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY AS IT THINKS FIT SO AS TO REFLECT THE NEW CAPITAL STRUCTURE UPON THE ALLOTMENT OR ISSUANCE OF H SHARES | Management | For | For | ||||||||||||||||||||||||
10 | TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE PROPOSED AMENDMENTS TO THE ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
11 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: TO CONSIDER AND APPROVE THE RESOLUTION REGARDING THE ELECTION OF DIRECTOR OF THE COMPANY, ELECTING MR. LU MIN AS AN EXECUTIVE DIRECTOR OF THE COMPANY TO HOLD OFFICE UNTIL THE EXPIRY OF THE TERM OF THE 11TH SESSION OF THE BOARD OF DIRECTORS | Shareholder | Against | Against | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 20,900 | 0 | 19-Mar-2020 | 19-Mar-2020 | ||||||||||||||||||||||
CARVANA CO. | ||||||||||||||||||||||||||||
Security | 146869102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | CVNA | Meeting Date | 21-Apr-2020 | |||||||||||||||||||||||||
ISIN | US1468691027 | Agenda | 935138924 - Management | |||||||||||||||||||||||||
Record Date | 25-Feb-2020 | Holding Recon Date | 25-Feb-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Michael Maroone | For | For | |||||||||||||||||||||||||
2 | Neha Parikh | For | For | |||||||||||||||||||||||||
2. | Ratification of the appointment of Grant Thornton LLP as Carvana's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Approval, by an advisory vote, of Carvana's executive compensation (i.e., "say-on-pay" proposal). | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,600 | 0 | 13-Mar-2020 | 13-Mar-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 1,218 | 0 | 13-Mar-2020 | 13-Mar-2020 | |||||||||||||||||||||
CITIGROUP INC. | ||||||||||||||||||||||||||||
Security | 172967424 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | C | Meeting Date | 21-Apr-2020 | |||||||||||||||||||||||||
ISIN | US1729674242 | Agenda | 935139849 - Management | |||||||||||||||||||||||||
Record Date | 24-Feb-2020 | Holding Recon Date | 24-Feb-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Michael L. Corbat | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Ellen M. Costello | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Grace E. Dailey | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Barbara J. Desoer | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: John C. Dugan | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Duncan P. Hennes | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Peter B. Henry | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: S. Leslie Ireland | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Lew W. (Jay) Jacobs, IV | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Renée J. James | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Gary M. Reiner | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Diana L. Taylor | Management | For | For | ||||||||||||||||||||||||
1M. | Election of Director: James S. Turley | Management | For | For | ||||||||||||||||||||||||
1N. | Election of Director: Deborah C. Wright | Management | For | For | ||||||||||||||||||||||||
1O. | Election of Director: Alexander R. Wynaendts | Management | For | For | ||||||||||||||||||||||||
1P. | Election of Director: Ernesto Zedillo Ponce de Leon | Management | For | For | ||||||||||||||||||||||||
2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve Citi's 2019 Executive Compensation. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of Additional Authorized Shares Under the Citigroup 2019 Stock Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
5. | Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit. | Shareholder | Against | For | ||||||||||||||||||||||||
6. | Stockholder proposal requesting that the Board review Citi's governance documents and make recommendations to shareholders on how the "Purpose of a Corporation" signed by Citi's CEO can be fully implemented. | Shareholder | Against | For | ||||||||||||||||||||||||
7. | Stockholder proposal requesting a report disclosing information regarding Citi's lobbying policies and activities. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 14,249 | 0 | 12-Mar-2020 | 12-Mar-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 5,000 | 0 | 12-Mar-2020 | 12-Mar-2020 | |||||||||||||||||||||
BANK OF AMERICA CORPORATION | ||||||||||||||||||||||||||||
Security | 060505104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | BAC | Meeting Date | 22-Apr-2020 | |||||||||||||||||||||||||
ISIN | US0605051046 | Agenda | 935139825 - Management | |||||||||||||||||||||||||
Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Sharon L. Allen | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Susan S. Bies | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Jack O. Bovender, Jr. | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Frank P. Bramble, Sr. | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Pierre J.P. de Weck | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Arnold W. Donald | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Linda P. Hudson | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Monica C. Lozano | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Thomas J. May | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Brian T. Moynihan | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Lionel L. Nowell III | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Denise L. Ramos | Management | For | For | ||||||||||||||||||||||||
1M. | Election of Director: Clayton S. Rose | Management | For | For | ||||||||||||||||||||||||
1N. | Election of Director: Michael D. White | Management | For | For | ||||||||||||||||||||||||
1O. | Election of Director: Thomas D. Woods | Management | For | For | ||||||||||||||||||||||||
1P. | Election of Director: R. David Yost | Management | For | For | ||||||||||||||||||||||||
1Q. | Election of Director: Maria T. Zuber | Management | For | For | ||||||||||||||||||||||||
2. | Approving Our Executive Compensation (an Advisory, Non-binding "Say on Pay" Resolution). | Management | For | For | ||||||||||||||||||||||||
3. | Ratifying the Appointment of Our Independent Registered Public Accounting Firm for 2020. | Management | For | For | ||||||||||||||||||||||||
4. | Make Shareholder Proxy Access More Accessible. | Shareholder | Against | For | ||||||||||||||||||||||||
5. | Adopt a New Shareholder Right - Written Consent | Shareholder | Against | For | ||||||||||||||||||||||||
6. | Report Concerning Gender/Racial Pay Equity. | Shareholder | Against | For | ||||||||||||||||||||||||
7. | Review of Statement of the Purpose of a Corporation and Report on Recommended Changes to Governance Documents, Policies, and Practices. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 20,850 | 0 | 10-Mar-2020 | 10-Mar-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 1,000 | 0 | 10-Mar-2020 | 10-Mar-2020 | |||||||||||||||||||||
AGNC INVESTMENT CORP. | ||||||||||||||||||||||||||||
Security | 00123Q104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AGNC | Meeting Date | 23-Apr-2020 | |||||||||||||||||||||||||
ISIN | US00123Q1040 | Agenda | 935138861 - Management | |||||||||||||||||||||||||
Record Date | 24-Feb-2020 | Holding Recon Date | 24-Feb-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 22-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1.1 | Election of Director: Donna J. Blank | Management | For | For | ||||||||||||||||||||||||
1.2 | Election of Director: Morris A. Davis | Management | For | For | ||||||||||||||||||||||||
1.3 | Election of Director: John D. Fisk | Management | For | For | ||||||||||||||||||||||||
1.4 | Election of Director: Prue B. Larocca | Management | For | For | ||||||||||||||||||||||||
1.5 | Election of Director: Paul E. Mullings | Management | For | For | ||||||||||||||||||||||||
1.6 | Election of Director: Frances R. Spark | Management | For | For | ||||||||||||||||||||||||
1.7 | Election of Director: Gary D. Kain | Management | For | For | ||||||||||||||||||||||||
2. | Approval of the amendment to our Amended and Restated Certificate of Incorporation to increase the total authorized number of shares of common stock from 900,000,000 to 1,500,000,000. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||
4. | Ratification of appointment of Ernst & Young LLP as our independent public accountant for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 56,500 | 0 | 14-Mar-2020 | 14-Mar-2020 | |||||||||||||||||||||
GALAPAGOS N V | ||||||||||||||||||||||||||||
Security | 36315X101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GLPG | Meeting Date | 28-Apr-2020 | |||||||||||||||||||||||||
ISIN | US36315X1019 | Agenda | 935166199 - Management | |||||||||||||||||||||||||
Record Date | 20-Mar-2020 | Holding Recon Date | 20-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
A2 | Acknowledgement and approval of the non-consolidated annual accounts of the Company for the financial year ended on 31 December 2019 and approval of the allocation of the annual result as proposed by the board of directors. | Management | For | For | ||||||||||||||||||||||||
A5. | Acknowledgement and approval of the remuneration policy. | Management | For | For | ||||||||||||||||||||||||
A6 | Acknowledgement and approval of the remuneration report. | Management | For | For | ||||||||||||||||||||||||
A7 | Release from liability to be granted to the directors and the statutory auditor for the performance of their duties in the course of the financial year ended 31 December 2019. | Management | For | For | ||||||||||||||||||||||||
A9 | Re-appointment of statutory auditor and determination of statutory auditor's remuneration. | Management | For | For | ||||||||||||||||||||||||
A10 | Re-appointment of Dr. Mary Kerr as a director of the Company. | Management | For | For | ||||||||||||||||||||||||
A11 | Appointment of Dr. Elisabeth Svanberg as a director of the Company. | Management | For | For | ||||||||||||||||||||||||
A12 | Remuneration of directors. | Management | For | For | ||||||||||||||||||||||||
A13 | Offer of subscription rights. | Management | For | For | ||||||||||||||||||||||||
E2 | Amendment to the Company's purpose. | Management | For | For | ||||||||||||||||||||||||
E3 | Amendments to the articles of association as a consequence of the newly applicable CCA, the choice for a two-tier board structure and certain other amendments relating to modernization and clean-up of the articles of association. | Management | For | For | ||||||||||||||||||||||||
E4 | Appointment of the members of the supervisory board. | Management | For | For | ||||||||||||||||||||||||
E5 | Authorization to the management board to execute the above decisions and to coordinate the articles of association. | Management | For | For | ||||||||||||||||||||||||
E6 | Proxy Crossroad Bank for Enterprises, counters for enterprises, registers of the enterprise court, administrative agencies and fiscal administrations. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 700 | 0 | 02-Apr-2020 | 02-Apr-2020 | |||||||||||||||||||||
GALAPAGOS N V | ||||||||||||||||||||||||||||
Security | 36315X101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GLPG | Meeting Date | 28-Apr-2020 | |||||||||||||||||||||||||
ISIN | US36315X1019 | Agenda | 935186797 - Management | |||||||||||||||||||||||||
Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
A2 | Acknowledgement and approval of the non-consolidated annual accounts of the Company for the financial year ended on 31 December 2019 and approval of the allocation of the annual result as proposed by the board of directors. | Management | For | For | ||||||||||||||||||||||||
A5. | Acknowledgement and approval of the remuneration policy. | Management | For | For | ||||||||||||||||||||||||
A6 | Acknowledgement and approval of the remuneration report. | Management | For | For | ||||||||||||||||||||||||
A7 | Release from liability to be granted to the directors and the statutory auditor for the performance of their duties in the course of the financial year ended 31 December 2019. | Management | For | For | ||||||||||||||||||||||||
A9 | Re-appointment of statutory auditor and determination of statutory auditor's remuneration. | Management | For | For | ||||||||||||||||||||||||
A10 | Re-appointment of Dr. Mary Kerr as a director of the Company. | Management | For | For | ||||||||||||||||||||||||
A11 | Appointment of Dr. Elisabeth Svanberg as a director of the Company. | Management | For | For | ||||||||||||||||||||||||
A12 | Remuneration of directors. | Management | For | For | ||||||||||||||||||||||||
A13 | Offer of subscription rights. | Management | For | For | ||||||||||||||||||||||||
E2 | Amendment to the Company's purpose. | Management | For | For | ||||||||||||||||||||||||
E3 | Amendments to the articles of association as a consequence of the newly applicable CCA, the choice for a two-tier board structure and certain other amendments relating to modernization and clean-up of the articles of association. | Management | For | For | ||||||||||||||||||||||||
E4 | Appointment of the members of the supervisory board. | Management | For | For | ||||||||||||||||||||||||
E5 | Authorization to the management board to execute the above decisions and to coordinate the articles of association. | Management | For | For | ||||||||||||||||||||||||
E6 | Proxy Crossroad Bank for Enterprises, counters for enterprises, registers of the enterprise court, administrative agencies and fiscal administrations. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 560 | 0 | 16-Apr-2020 | 16-Apr-2020 | |||||||||||||||||||||
ADVANCED ENERGY INDUSTRIES, INC. | ||||||||||||||||||||||||||||
Security | 007973100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AEIS | Meeting Date | 30-Apr-2020 | |||||||||||||||||||||||||
ISIN | US0079731008 | Agenda | 935144117 - Management | |||||||||||||||||||||||||
Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Grant H. Beard | For | For | |||||||||||||||||||||||||
2 | Frederick A. Ball | For | For | |||||||||||||||||||||||||
3 | Tina M. Donikowski | For | For | |||||||||||||||||||||||||
4 | Ronald C. Foster | For | For | |||||||||||||||||||||||||
5 | Edward C. Grady | For | For | |||||||||||||||||||||||||
6 | Thomas M. Rohrs | For | For | |||||||||||||||||||||||||
7 | John A. Roush | For | For | |||||||||||||||||||||||||
8 | Yuval Wasserman | For | For | |||||||||||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as Advanced Energy's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory approval of Advanced Energy's compensation of its named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,210 | 0 | 21-Mar-2020 | 21-Mar-2020 | |||||||||||||||||||||
BARINGS BDC, INC. | ||||||||||||||||||||||||||||
Security | 06759L103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | BBDC | Meeting Date | 30-Apr-2020 | |||||||||||||||||||||||||
ISIN | US06759L1035 | Agenda | 935146046 - Management | |||||||||||||||||||||||||
Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class II Director: Michael Freno | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class II Director: John A. Switzer | Management | For | For | ||||||||||||||||||||||||
2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 51,100 | 0 | 17-Mar-2020 | 17-Mar-2020 | |||||||||||||||||||||
OWENS & MINOR, INC. | ||||||||||||||||||||||||||||
Security | 690732102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | OMI | Meeting Date | 01-May-2020 | |||||||||||||||||||||||||
ISIN | US6907321029 | Agenda | 935145652 - Management | |||||||||||||||||||||||||
Record Date | 06-Mar-2020 | Holding Recon Date | 06-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 30-Apr-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1.1 | Election of Director: Mark A. Beck | Management | For | For | ||||||||||||||||||||||||
1.2 | Election of Director: Gwendolyn M. Bingham | Management | For | For | ||||||||||||||||||||||||
1.3 | Election of Director: Robert J. Henkel | Management | For | For | ||||||||||||||||||||||||
1.4 | Election of Director: Mark F. McGettrick | Management | For | For | ||||||||||||||||||||||||
1.5 | Election of Director: Eddie N. Moore, Jr. | Management | For | For | ||||||||||||||||||||||||
1.6 | Election of Director: Edward A. Pesicka | Management | For | For | ||||||||||||||||||||||||
1.7 | Election of Director: Michael C. Riordan | Management | For | For | ||||||||||||||||||||||||
1.8 | Election of Director: Robert C. Sledd | Management | For | For | ||||||||||||||||||||||||
2. | Approval of Amendment No. 2 to the Owens & Minor, Inc. 2018 Stock Incentive Plan | Management | For | For | ||||||||||||||||||||||||
3. | Approval of the Owens & Minor, Inc. 2021 Teammate Stock Purchase Plan | Management | For | For | ||||||||||||||||||||||||
4. | Ratification of the appointment of KPMG LLP as the Company's independent public accounting firm for the year ending December 31, 2020 | Management | For | For | ||||||||||||||||||||||||
5. | Advisory vote to approve executive compensation | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 61,060 | 0 | 20-Mar-2020 | 20-Mar-2020 | |||||||||||||||||||||
BAXTER INTERNATIONAL INC. | ||||||||||||||||||||||||||||
Security | 071813109 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | BAX | Meeting Date | 05-May-2020 | |||||||||||||||||||||||||
ISIN | US0718131099 | Agenda | 935147036 - Management | |||||||||||||||||||||||||
Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: José (Joe) E. Almeida | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Thomas F. Chen | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: John D. Forsyth | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: James R. Gavin III | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Peter S. Hellman | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Michael F. Mahoney | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Patricia B. Morrison | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Stephen N. Oesterle | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Cathy R. Smith | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Thomas T. Stallkamp | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Albert P.L. Stroucken | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Amy A. Wendell | Management | For | For | ||||||||||||||||||||||||
2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of Appointment of Independent Registered Public Accounting Firm | Management | For | For | ||||||||||||||||||||||||
4. | Stockholder Proposal - Independent Board Chairman | Shareholder | Against | For | ||||||||||||||||||||||||
5. | Stockholder Proposal - Right to Act by Written Consent | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,450 | 0 | 24-Mar-2020 | 24-Mar-2020 | |||||||||||||||||||||
GILEAD SCIENCES, INC. | ||||||||||||||||||||||||||||
Security | 375558103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GILD | Meeting Date | 06-May-2020 | |||||||||||||||||||||||||
ISIN | US3755581036 | Agenda | 935151883 - Management | |||||||||||||||||||||||||
Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Jacqueline K. Barton, Ph.D. | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Sandra J. Horning, M.D. | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Kelly A. Kramer | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Kevin E. Lofton | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Harish Manwani | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Daniel P. O'Day | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Richard J. Whitley, M.D. | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Per Wold-Olsen | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the selection of Ernst & Young LLP by the Audit Committee of the Board of Directors as the independent registered public accounting firm of Gilead for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on an advisory basis, the compensation of our Named Executive Officers as presented in the Proxy Statement. | Management | For | For | ||||||||||||||||||||||||
4. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board adopt a policy that the Chairperson of the Board of Directors be an independent director. | Shareholder | Against | For | ||||||||||||||||||||||||
5. | To vote on a stockholder proposal, if properly presented at the meeting, requesting that the Board eliminate the ownership threshold for stockholders to request a record date to take action by written consent. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,900 | 0 | 28-Mar-2020 | 28-Mar-2020 | |||||||||||||||||||||
IDEXX LABORATORIES, INC. | ||||||||||||||||||||||||||||
Security | 45168D104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | IDXX | Meeting Date | 06-May-2020 | |||||||||||||||||||||||||
ISIN | US45168D1046 | Agenda | 935152265 - Management | |||||||||||||||||||||||||
Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Rebecca M. Henderson, PhD | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Lawrence D. Kingsley | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Sophie V. Vandebroek, PhD | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of Appointment of Independent Registered Public Accounting Firm. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the current fiscal year (Proposal Two). | Management | For | For | ||||||||||||||||||||||||
3. | Advisory Vote on Executive Compensation. To approve a nonbinding advisory resolution on the Company's executive compensation (Proposal Three). | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 695 | 0 | 27-Mar-2020 | 27-Mar-2020 | |||||||||||||||||||||
COMMUNITY HEALTHCARE TRUST INCORPORATED | ||||||||||||||||||||||||||||
Security | 20369C106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | CHCT | Meeting Date | 07-May-2020 | |||||||||||||||||||||||||
ISIN | US20369C1062 | Agenda | 935144523 - Management | |||||||||||||||||||||||||
Record Date | 06-Mar-2020 | Holding Recon Date | 06-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 06-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Alan Gardner | For | For | |||||||||||||||||||||||||
2 | Claire Gulmi | For | For | |||||||||||||||||||||||||
3 | Robert Hensley | For | For | |||||||||||||||||||||||||
4 | Lawrence Van Horn | For | For | |||||||||||||||||||||||||
5 | Timothy Wallace | For | For | |||||||||||||||||||||||||
2. | To approve, on a non-binding advisory basis, the following resolution: RESOLVED, that the stockholders of Community Healthcare Trust Incorporated approve, on a non-binding advisory basis, the compensation of the named executive officers as disclosed pursuant to Item 402 of Regulation S-K in the Company's proxy statement for the 2020 annual meeting of stockholders. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on a non-binding advisory basis, the frequency of a non-binding advisory vote on executive compensation. | Management | 3 Years | Against | ||||||||||||||||||||||||
4. | To ratify the appointment of BDO USA, LLP as the Company's independent registered public accountants for 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 12,100 | 0 | 21-Mar-2020 | 21-Mar-2020 | |||||||||||||||||||||
ZIMMER BIOMET HOLDINGS, INC. | ||||||||||||||||||||||||||||
Security | 98956P102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | ZBH | Meeting Date | 08-May-2020 | |||||||||||||||||||||||||
ISIN | US98956P1021 | Agenda | 935151516 - Management | |||||||||||||||||||||||||
Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 07-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Christopher B. Begley | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Betsy J. Bernard | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Gail K. Boudreaux | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Michael J. Farrell | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Larry C. Glasscock | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Robert A. Hagemann | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Bryan C. Hanson | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Arthur J. Higgins | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Maria Teresa Hilado | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Syed Jafry | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Michael W. Michelson | Management | For | For | ||||||||||||||||||||||||
2. | Ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve named executive officer compensation (Say on Pay). | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,510 | 0 | 26-Mar-2020 | 26-Mar-2020 | |||||||||||||||||||||
SUN ART RETAIL GROUP LTD | ||||||||||||||||||||||||||||
Security | Y8184B109 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 12-May-2020 | ||||||||||||||||||||||||||
ISIN | HK0000083920 | Agenda | 712343083 - Management | |||||||||||||||||||||||||
Record Date | 06-May-2020 | Holding Recon Date | 06-May-2020 | |||||||||||||||||||||||||
City / | Country | HONG KONG | / | Hong Kong | Vote Deadline Date | 06-May-2020 | ||||||||||||||||||||||
SEDOL(s) | B3MPN59 - B42WXJ1 - B7N39Y1 - BD8NN79 - BP3RYP5 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE IN THE HONG KONG MARKET THAT A VOTE OF "ABSTAIN" WILL BE TREATED-THE SAME AS A "TAKE NO ACTION" VOTE. | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0403/2020040300917.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0403/2020040300877.pdf | Non-Voting | ||||||||||||||||||||||||||
1 | TO RECEIVE THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY AND THE REPORTS OF THE DIRECTORS (THE "DIRECTORS") AND AUDITORS FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | For | For | ||||||||||||||||||||||||
2 | TO DECLARE A FINAL DIVIDEND OF HKD 0.15 PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | For | For | ||||||||||||||||||||||||
3.A | TO RE-ELECT MR. HUANG MING-TUAN AS AN EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.B | TO RE-ELECT MR. XAVIER, MARIE, ALAIN DELOM DE MEZERAC AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.C | TO RE-ELECT MR. BENOIT, CLAUDE, FRANCOIS, MARIE, JOSEPH LECLERCQ AS A NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.D | TO RE-ELECT MRS. ISABELLE, CLAUDINE, FRANCOISE BLONDE EP. BOUVIER AS A NON- EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.E | TO RE-ELECT MR. HE YI AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.F | TO RE-ELECT MR. DIETER YIH AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.G | TO AUTHORIZE THE BOARD OF DIRECTORS (THE "BOARD") TO FIX THE RESPECTIVE DIRECTORS' REMUNERATION | Management | For | For | ||||||||||||||||||||||||
4 | TO RE-APPOINT KPMG AS AUDITORS AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION | Management | For | For | ||||||||||||||||||||||||
5 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO BUY BACK SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
6 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
7 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES BOUGHT BACK BY THE COMPANY | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 227,500 | 0 | 07-Apr-2020 | 07-Apr-2020 | ||||||||||||||||||||||
MIRATI THERAPEUTICS, INC. | ||||||||||||||||||||||||||||
Security | 60468T105 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | MRTX | Meeting Date | 12-May-2020 | |||||||||||||||||||||||||
ISIN | US60468T1051 | Agenda | 935198994 - Management | |||||||||||||||||||||||||
Record Date | 19-Mar-2020 | Holding Recon Date | 19-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Charles M. Baum | For | For | |||||||||||||||||||||||||
2 | Bruce L.A. Carter | For | For | |||||||||||||||||||||||||
3 | Julie M. Cherrington | For | For | |||||||||||||||||||||||||
4 | Aaron I. Davis | For | For | |||||||||||||||||||||||||
5 | Henry J. Fuchs | For | For | |||||||||||||||||||||||||
6 | Michael Grey | For | For | |||||||||||||||||||||||||
7 | Faheem Hasnain | For | For | |||||||||||||||||||||||||
8 | Craig Johnson | For | For | |||||||||||||||||||||||||
9 | Maya Martinez-Davis | For | For | |||||||||||||||||||||||||
2. | To approve, on an advisory basis, the compensation paid to our named executive officers as disclosed in the proxy statement. | Management | For | For | ||||||||||||||||||||||||
3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,800 | 0 | 28-Apr-2020 | 28-Apr-2020 | |||||||||||||||||||||
IDORSIA LTD | ||||||||||||||||||||||||||||
Security | H3879B109 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 13-May-2020 | ||||||||||||||||||||||||||
ISIN | CH0363463438 | Agenda | 712364710 - Management | |||||||||||||||||||||||||
Record Date | 04-May-2020 | Holding Recon Date | 04-May-2020 | |||||||||||||||||||||||||
City / | Country | BASEL | / | Switzerland | Vote Deadline Date | 29-Apr-2020 | ||||||||||||||||||||||
SEDOL(s) | BF0YK62 - BF0ZHH5 - BF3N1H4 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | 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 | ||||||||||||||||||||||||||
1.1 | APPROVAL OF ANNUAL REPORT 2019, CONSOLIDATED FINANCIAL STATEMENTS 2019, AND STATUTORY FINANCIAL STATEMENTS 2019 | Management | For | For | ||||||||||||||||||||||||
1.2 | CONSULTATIVE VOTE ON THE COMPENSATION REPORT 2019 | Management | For | For | ||||||||||||||||||||||||
2 | APPROPRIATION OF AVAILABLE EARNINGS | Management | For | For | ||||||||||||||||||||||||
3 | DISCHARGE OF THE BOARD OF DIRECTORS AND OF THE EXECUTIVE COMMITTEE | Management | For | For | ||||||||||||||||||||||||
4.1 | INCREASE OF CONDITIONAL SHARE CAPITAL REGARDING THE ISSUANCE OF EMPLOYEE PARTICIPATION RIGHTS | Management | For | For | ||||||||||||||||||||||||
4.2 | INCREASE OF CONDITIONAL SHARE CAPITAL REGARDING THE ISSUANCE OF CONVERSION RIGHTS | Management | For | For | ||||||||||||||||||||||||
5 | INCREASE AND EXTENSION OF EXISTING AUTHORIZED SHARE CAPITAL | Management | For | For | ||||||||||||||||||||||||
6.1.1 | RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: JEAN-PAUL CLOZEL | Management | For | For | ||||||||||||||||||||||||
6.1.2 | RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: VIVIANE MONGES | Management | For | For | ||||||||||||||||||||||||
6.1.3 | RE-ELECTION OF MEMBER OF THE BOARD OF DIRECTORS: MATHIEU SIMON | Management | For | For | ||||||||||||||||||||||||
6.2.1 | ELECTION OF NEW DIRECTOR: JOERN ALDAG | Management | For | For | ||||||||||||||||||||||||
6.2.2 | ELECTION OF NEW DIRECTOR: MICHEL DE ROSEN | Management | For | For | ||||||||||||||||||||||||
6.2.3 | ELECTION OF NEW DIRECTOR: FELIX R. EHRAT | Management | For | For | ||||||||||||||||||||||||
6.2.4 | ELECTION OF NEW DIRECTOR: SANDY MAHATME | Management | For | For | ||||||||||||||||||||||||
6.3.1 | ELECTION OF THE CHAIR OF THE BOARD OF DIRECTOR: MATHIEU SIMON | Management | For | For | ||||||||||||||||||||||||
6.4.1 | ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: VIVIANE MONGES | Management | For | For | ||||||||||||||||||||||||
6.4.2 | ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: MATHIEU SIMON | Management | For | For | ||||||||||||||||||||||||
6.4.3 | ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: JOERN ALDAG | Management | For | For | ||||||||||||||||||||||||
6.4.4 | ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: MICHEL DE ROSEN | Management | For | For | ||||||||||||||||||||||||
6.4.5 | ELECTION OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEE: FELIX R. EHRAT | Management | For | For | ||||||||||||||||||||||||
7.1 | APPROVAL OF BOARD COMPENSATION (NON- EXECUTIVE DIRECTORS) FOR THE 2020-2021 TERM OF OFFICE | Management | For | For | ||||||||||||||||||||||||
7.2 | APPROVAL OF EXECUTIVE COMMITTEE COMPENSATION 2021 | Management | For | For | ||||||||||||||||||||||||
8 | ELECTION OF THE INDEPENDENT PROXY: BACHMANNPARTNER SACHWALTER UND TREUHAND AG | Management | For | For | ||||||||||||||||||||||||
9 | ELECTION OF THE STATUTORY AUDITORS: ERNST AND YOUNG AG, BASEL | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 18,601 | 0 | 09-Apr-2020 | 09-Apr-2020 | ||||||||||||||||||||||
TENCENT HOLDINGS LTD | ||||||||||||||||||||||||||||
Security | G87572163 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 13-May-2020 | ||||||||||||||||||||||||||
ISIN | KYG875721634 | Agenda | 712379583 - Management | |||||||||||||||||||||||||
Record Date | 07-May-2020 | Holding Recon Date | 07-May-2020 | |||||||||||||||||||||||||
City / | Country | HONG KONG | / | Cayman Islands | Vote Deadline Date | 06-May-2020 | ||||||||||||||||||||||
SEDOL(s) | BDDXGP3 - BGPHZF7 - BMN9869 - BMNDJT1 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0407/2020040701452.pdf, | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||||||||||||||||||||||||
1 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS, THE DIRECTORS' REPORT AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | For | For | ||||||||||||||||||||||||
2 | TO DECLARE A FINAL DIVIDEND | Management | For | For | ||||||||||||||||||||||||
3.A | TO RE-ELECT MR LAU CHI PING MARTIN AS DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.B | TO RE-ELECT MR CHARLES ST LEGER SEARLE AS DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.C | TO RE-ELECT PROFESSOR KE YANG AS DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.D | TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION | Management | For | For | ||||||||||||||||||||||||
4 | TO RE-APPOINT AUDITOR AND AUTHORISE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION | Management | For | For | ||||||||||||||||||||||||
5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES | Management | For | For | ||||||||||||||||||||||||
6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES | Management | For | For | ||||||||||||||||||||||||
7 | TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED | Management | For | For | ||||||||||||||||||||||||
8 | TO APPROVE THE PROPOSED AMENDMENTS TO THE EXISTING AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION AND ARTICLES OF ASSOCIATION OF THE COMPANY AND TO ADOPT THE SECOND AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION AND ARTICLES OF ASSOCIATION OF THE COMPANY | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 7,300 | 0 | 10-Apr-2020 | 10-Apr-2020 | ||||||||||||||||||||||
FLOOR & DECOR HOLDINGS INC | ||||||||||||||||||||||||||||
Security | 339750101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | FND | Meeting Date | 13-May-2020 | |||||||||||||||||||||||||
ISIN | US3397501012 | Agenda | 935158558 - Management | |||||||||||||||||||||||||
Record Date | 17-Mar-2020 | Holding Recon Date | 17-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: David B. Kaplan | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Peter M. Starrett | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: George Vincent West | Management | For | For | ||||||||||||||||||||||||
2. | Ratify the appointment of Ernst & Young LLP as independent auditors for the Company's 2020 fiscal year. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, by non-binding vote, the compensation paid to the Company's named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,786 | 0 | 28-Mar-2020 | 28-Mar-2020 | |||||||||||||||||||||
AMERICAN INTERNATIONAL GROUP, INC. | ||||||||||||||||||||||||||||
Security | 026874784 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AIG | Meeting Date | 13-May-2020 | |||||||||||||||||||||||||
ISIN | US0268747849 | Agenda | 935159877 - Management | |||||||||||||||||||||||||
Record Date | 18-Mar-2020 | Holding Recon Date | 18-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: W. DON CORNWELL | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: BRIAN DUPERREAULT | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: JOHN H. FITZPATRICK | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: WILLIAM G. JURGENSEN | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: CHRISTOPHER S. LYNCH | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: HENRY S. MILLER | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: LINDA A. MILLS | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: THOMAS F. MOTAMED | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: PETER R. PORRINO | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: AMY L. SCHIOLDAGER | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: DOUGLAS M. STEENLAND | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: THERESE M. VAUGHAN | Management | For | For | ||||||||||||||||||||||||
2. | To vote, on a non-binding advisory basis, to approve executive compensation. | Management | For | For | ||||||||||||||||||||||||
3. | To act upon a proposal to amend and restate AIG's Amended and Restated Certificate of Incorporation to restrict certain transfers of AIG Common Stock in order to protect AIG's tax attributes. | Management | For | For | ||||||||||||||||||||||||
4. | To act upon a proposal to ratify the amendment to extend the expiration of the American International Group, Inc. Tax Asset Protection Plan. | Management | For | For | ||||||||||||||||||||||||
5. | To act upon a proposal to ratify the selection of PricewaterhouseCoopers LLP as AIG's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
6. | To vote on a shareholder proposal to give shareholders who hold at least 10 percent of AIG's outstanding common stock the right to call special meetings. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,000 | 0 | 01-Apr-2020 | 01-Apr-2020 | |||||||||||||||||||||
SERVICE CORPORATION INTERNATIONAL | ||||||||||||||||||||||||||||
Security | 817565104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | SCI | Meeting Date | 13-May-2020 | |||||||||||||||||||||||||
ISIN | US8175651046 | Agenda | 935160046 - Management | |||||||||||||||||||||||||
Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 12-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Alan R. Buckwalter | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Jakki L. Haussler | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Victor L. Lund | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Clifton H. Morris, Jr. | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Ellen Ochoa | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Thomas L. Ryan | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: W. Blair Waltrip | Management | For | For | ||||||||||||||||||||||||
2. | Ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, by advisory vote, named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 14,336 | 0 | 31-Mar-2020 | 31-Mar-2020 | |||||||||||||||||||||
INTEL CORPORATION | ||||||||||||||||||||||||||||
Security | 458140100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | INTC | Meeting Date | 14-May-2020 | |||||||||||||||||||||||||
ISIN | US4581401001 | Agenda | 935158635 - Management | |||||||||||||||||||||||||
Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: James J. Goetz | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Alyssa Henry | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Omar Ishrak | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Tsu-Jae King Liu | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Gregory D. Smith | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Robert ("Bob") H. Swan | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Andrew Wilson | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Frank D. Yeary | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2020 | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve executive compensation of our listed officers | Management | For | For | ||||||||||||||||||||||||
4. | Approval of amendment and restatement of the 2006 Employee Stock Purchase Plan | Management | For | For | ||||||||||||||||||||||||
5. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting | Shareholder | Against | For | ||||||||||||||||||||||||
6. | Stockholder proposal requesting a report on the global median gender/racial pay gap, if properly presented at the meeting | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,900 | 0 | 01-Apr-2020 | 01-Apr-2020 | |||||||||||||||||||||
SBA COMMUNICATIONS CORPORATION | ||||||||||||||||||||||||||||
Security | 78410G104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | SBAC | Meeting Date | 14-May-2020 | |||||||||||||||||||||||||
ISIN | US78410G1040 | Agenda | 935159221 - Management | |||||||||||||||||||||||||
Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1.1 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Steven E. Bernstein | Management | For | For | ||||||||||||||||||||||||
1.2 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Duncan H. Cocroft | Management | For | For | ||||||||||||||||||||||||
1.3 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Fidelma Russo | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2020 fiscal year. | Management | For | For | ||||||||||||||||||||||||
3. | Approval, on an advisory basis, of the compensation of SBA's named executive officers. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of the 2020 Performance and Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,360 | 0 | 04-Apr-2020 | 04-Apr-2020 | |||||||||||||||||||||
PENNYMAC MORTGAGE INVESTMENT TRUST | ||||||||||||||||||||||||||||
Security | 70931T103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | PMT | Meeting Date | 14-May-2020 | |||||||||||||||||||||||||
ISIN | US70931T1034 | Agenda | 935166733 - Management | |||||||||||||||||||||||||
Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Preston DuFauchard | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Nancy McAllister | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Class II trustee for a term expiring at the 2023 Annual Meeting of Shareholders: Stacey D. Stewart | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, by non-binding vote, our executive compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 28,200 | 0 | 04-Apr-2020 | 04-Apr-2020 | |||||||||||||||||||||
ZENDESK, INC. | ||||||||||||||||||||||||||||
Security | 98936J101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | ZEN | Meeting Date | 19-May-2020 | |||||||||||||||||||||||||
ISIN | US98936J1016 | Agenda | 935160337 - Management | |||||||||||||||||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class III Director: Michael Curtis | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class III Director: Mikkel Svane | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as Zendesk's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Non-binding advisory vote to approve the compensation of our Named Executive Officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,711 | 0 | 07-Apr-2020 | 07-Apr-2020 | |||||||||||||||||||||
JPMORGAN CHASE & CO. | ||||||||||||||||||||||||||||
Security | 46625H100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | JPM | Meeting Date | 19-May-2020 | |||||||||||||||||||||||||
ISIN | US46625H1005 | Agenda | 935170833 - Management | |||||||||||||||||||||||||
Record Date | 20-Mar-2020 | Holding Recon Date | 20-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Linda B. Bammann | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Stephen B. Burke | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Todd A. Combs | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: James S. Crown | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: James Dimon | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Timothy P. Flynn | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Mellody Hobson | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Michael A. Neal | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Lee R. Raymond | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Virginia M. Rometty | Management | For | For | ||||||||||||||||||||||||
2. | Advisory resolution to approve executive compensation | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of independent registered public accounting firm | Management | For | For | ||||||||||||||||||||||||
4. | Independent board chairman | Shareholder | Against | For | ||||||||||||||||||||||||
5. | Oil and gas company and project financing related to the Arctic and the Canadian oil sands | Shareholder | Against | For | ||||||||||||||||||||||||
6. | Climate change risk reporting | Shareholder | Against | For | ||||||||||||||||||||||||
7. | Amend shareholder written consent provisions | Shareholder | Against | For | ||||||||||||||||||||||||
8. | Charitable contributions disclosure | Shareholder | Against | For | ||||||||||||||||||||||||
9. | Gender/Racial pay equity | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 6,450 | 0 | 07-Apr-2020 | 07-Apr-2020 | |||||||||||||||||||||
AMGEN INC. | ||||||||||||||||||||||||||||
Security | 031162100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AMGN | Meeting Date | 19-May-2020 | |||||||||||||||||||||||||
ISIN | US0311621009 | Agenda | 935172419 - Management | |||||||||||||||||||||||||
Record Date | 20-Mar-2020 | Holding Recon Date | 20-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Dr. Wanda M. Austin | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Mr. Robert A. Bradway | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Dr. Brian J. Druker | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Mr. Robert A. Eckert | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Mr. Greg C. Garland | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Mr. Fred Hassan | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Mr. Charles M. Holley, Jr. | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Dr. Tyler Jacks | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Ms. Ellen J. Kullman | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Dr. Ronald D. Sugar | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Dr. R. Sanders Williams | Management | For | For | ||||||||||||||||||||||||
2. | Advisory vote to approve our executive compensation. | Management | For | For | ||||||||||||||||||||||||
3. | To ratify the selection of Ernst & Young LLP as our independent registered public accountants for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
4. | Stockholder proposal to require an independent board chair. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,057 | 0 | 08-Apr-2020 | 08-Apr-2020 | |||||||||||||||||||||
GCI LIBERTY, INC. | ||||||||||||||||||||||||||||
Security | 36164V305 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GLIBA | Meeting Date | 19-May-2020 | |||||||||||||||||||||||||
ISIN | US36164V3050 | Agenda | 935187650 - Management | |||||||||||||||||||||||||
Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 18-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Ronald A. Duncan | For | For | |||||||||||||||||||||||||
2 | Donne F. Fisher | For | For | |||||||||||||||||||||||||
2. | A proposal to ratify the selection of KPMG LLP as our independent auditors for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | The say-on-pay proposal, to approve, on an advisory basis, the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,581 | 0 | 17-Apr-2020 | 17-Apr-2020 | |||||||||||||||||||||
MEITUAN DIANPING | ||||||||||||||||||||||||||||
Security | G59669104 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 20-May-2020 | ||||||||||||||||||||||||||
ISIN | KYG596691041 | Agenda | 712416040 - Management | |||||||||||||||||||||||||
Record Date | 14-May-2020 | Holding Recon Date | 14-May-2020 | |||||||||||||||||||||||||
City / | Country | BEIJING | / | Cayman Islands | Vote Deadline Date | 13-May-2020 | ||||||||||||||||||||||
SEDOL(s) | BF55PW1 - BFZP1K1 - BGJW376 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0417/2020041700041.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0417/2020041700045.pdf | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||||||||||||||||||||||||
1 | TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2019 AND THE REPORTS OF THE DIRECTORS OF THE COMPANY ("DIRECTORS") AND INDEPENDENT AUDITOR OF THE COMPANY THEREON | Management | For | For | ||||||||||||||||||||||||
2 | TO RE-ELECT MR. ORR GORDON ROBERT HALYBURTON AS AN INDEPENDENT NON- EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3 | TO RE-ELECT MR. LENG XUESONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
4 | TO RE-ELECT MR. SHUM HEUNG YEUNG HARRY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
5 | TO AUTHORIZE THE BOARD OF DIRECTORS ("BOARD") TO FIX THE REMUNERATION OF THE DIRECTORS | Management | For | For | ||||||||||||||||||||||||
6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL CLASS B SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
7 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO REPURCHASE SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Management | For | For | ||||||||||||||||||||||||
8 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES REPURCHASED BY THE COMPANY | Management | For | For | ||||||||||||||||||||||||
9 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION FOR THE YEAR ENDING DECEMBER 31, 2020 | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 30,700 | 0 | 18-Apr-2020 | 18-Apr-2020 | ||||||||||||||||||||||
ZOETIS INC. | ||||||||||||||||||||||||||||
Security | 98978V103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | ZTS | Meeting Date | 20-May-2020 | |||||||||||||||||||||||||
ISIN | US98978V1035 | Agenda | 935169905 - Management | |||||||||||||||||||||||||
Record Date | 26-Mar-2020 | Holding Recon Date | 26-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Gregory Norden | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Louise M. Parent | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Kristin C. Peck | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Robert W. Scully | Management | For | For | ||||||||||||||||||||||||
2. | Advisory vote to approve our executive compensation (Say on Pay). | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote on the frequency of future advisory votes on executive compensation (Say on Pay frequency). | Management | 3 Years | Against | ||||||||||||||||||||||||
4. | Ratification of appointment of KPMG LLP as our independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,634 | 0 | 07-Apr-2020 | 07-Apr-2020 | |||||||||||||||||||||
THERMO FISHER SCIENTIFIC INC. | ||||||||||||||||||||||||||||
Security | 883556102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | TMO | Meeting Date | 20-May-2020 | |||||||||||||||||||||||||
ISIN | US8835561023 | Agenda | 935170136 - Management | |||||||||||||||||||||||||
Record Date | 27-Mar-2020 | Holding Recon Date | 27-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Marc N. Casper | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Nelson J. Chai | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: C. Martin Harris | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Tyler Jacks | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Judy C. Lewent | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Thomas J. Lynch | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Jim P. Manzi | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: James C. Mullen | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Lars R. Sørensen | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Debora L. Spar | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Scott M. Sperling | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Dion J. Weisler | Management | For | For | ||||||||||||||||||||||||
2. | An advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent auditors for 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 958 | 0 | 08-Apr-2020 | 08-Apr-2020 | |||||||||||||||||||||
EQUITABLE HOLDINGS, INC. | ||||||||||||||||||||||||||||
Security | 29452E101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | EQH | Meeting Date | 20-May-2020 | |||||||||||||||||||||||||
ISIN | US29452E1010 | Agenda | 935172229 - Management | |||||||||||||||||||||||||
Record Date | 23-Mar-2020 | Holding Recon Date | 23-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Daniel G. Kaye | For | For | |||||||||||||||||||||||||
2 | Joan Lamm-Tennant | For | For | |||||||||||||||||||||||||
3 | Kristi A. Matus | For | For | |||||||||||||||||||||||||
4 | Ramon de Oliveira | For | For | |||||||||||||||||||||||||
5 | Mark Pearson | For | For | |||||||||||||||||||||||||
6 | Bertram L. Scott | For | For | |||||||||||||||||||||||||
7 | George Stansfield | For | For | |||||||||||||||||||||||||
8 | Charles G.T. Stonehill | For | For | |||||||||||||||||||||||||
2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal year 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote to approve the compensation paid to the Company's named executive officers. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of an amendment of the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 9,300 | 0 | 09-Apr-2020 | 09-Apr-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 800 | 0 | 09-Apr-2020 | 09-Apr-2020 | |||||||||||||||||||||
PAYPAL HOLDINGS, INC. | ||||||||||||||||||||||||||||
Security | 70450Y103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | PYPL | Meeting Date | 21-May-2020 | |||||||||||||||||||||||||
ISIN | US70450Y1038 | Agenda | 935170869 - Management | |||||||||||||||||||||||||
Record Date | 27-Mar-2020 | Holding Recon Date | 27-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Rodney C. Adkins | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Jonathan Christodoro | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: John J. Donahoe | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: David W. Dorman | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Belinda J. Johnson | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Gail J. McGovern | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Deborah M. Messemer | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: David M. Moffett | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Ann M. Sarnoff | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Daniel H. Schulman | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Frank D. Yeary | Management | For | For | ||||||||||||||||||||||||
2. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2020. | Management | For | For | ||||||||||||||||||||||||
4. | Stockholder Proposal - Stockholder right to act by written consent. | Shareholder | Against | For | ||||||||||||||||||||||||
5. | Stockholder Proposal - Human and indigenous peoples' rights. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,800 | 0 | 09-Apr-2020 | 09-Apr-2020 | |||||||||||||||||||||
INPHI CORPORATION | ||||||||||||||||||||||||||||
Security | 45772F107 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | IPHI | Meeting Date | 21-May-2020 | |||||||||||||||||||||||||
ISIN | US45772F1075 | Agenda | 935202375 - Management | |||||||||||||||||||||||||
Record Date | 08-Apr-2020 | Holding Recon Date | 08-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 20-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Nicholas E. Brathwaite | For | For | |||||||||||||||||||||||||
2 | Dr. David E. Liddle | For | For | |||||||||||||||||||||||||
3 | Dr. Bruce M. McWilliams | For | For | |||||||||||||||||||||||||
2. | Advisory vote to approve executive compensation | Management | For | For | ||||||||||||||||||||||||
3. | Amendment to and Restatement of the Company's 2010 Stock Incentive Plan | Management | For | For | ||||||||||||||||||||||||
4. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,300 | 0 | 29-Apr-2020 | 29-Apr-2020 | |||||||||||||||||||||
GW PHARMACEUTICALS PLC | ||||||||||||||||||||||||||||
Security | 36197T103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GWPH | Meeting Date | 26-May-2020 | |||||||||||||||||||||||||
ISIN | US36197T1034 | Agenda | 935177471 - Management | |||||||||||||||||||||||||
Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | To re-elect Dr. Geoffrey W. Guy as a Director | Management | For | For | ||||||||||||||||||||||||
2. | To re-elect Cabot Brown as a Director | Management | For | For | ||||||||||||||||||||||||
3. | To approve the 2020 Long Term Incentive Plan | Management | For | For | ||||||||||||||||||||||||
4. | To approve the Directors' Remuneration Report | Management | For | For | ||||||||||||||||||||||||
5. | To approve the compensation of the Company's named executive officers | Management | For | For | ||||||||||||||||||||||||
6. | To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm | Management | For | For | ||||||||||||||||||||||||
7. | To re-appoint Deloitte LLP as the UK Auditor | Management | For | For | ||||||||||||||||||||||||
8. | To authorise the Directors to determine the Auditors' remuneration | Management | For | For | ||||||||||||||||||||||||
9. | To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 12- month period ended 31 December 2019 and note that the Directors do not recommend the payment of a dividend | Management | For | For | ||||||||||||||||||||||||
10. | To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 26 May 2021 | Management | For | For | ||||||||||||||||||||||||
11. | Subject to the passing of Resolution 10, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,563 | 0 | 11-Apr-2020 | 11-Apr-2020 | |||||||||||||||||||||
FACEBOOK, INC. | ||||||||||||||||||||||||||||
Security | 30303M102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | FB | Meeting Date | 27-May-2020 | |||||||||||||||||||||||||
ISIN | US30303M1027 | Agenda | 935178221 - Management | |||||||||||||||||||||||||
Record Date | 03-Apr-2020 | Holding Recon Date | 03-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Peggy Alford | For | For | |||||||||||||||||||||||||
2 | Marc L. Andreessen | For | For | |||||||||||||||||||||||||
3 | Andrew W. Houston | For | For | |||||||||||||||||||||||||
4 | Nancy Killefer | For | For | |||||||||||||||||||||||||
5 | Robert M. Kimmitt | For | For | |||||||||||||||||||||||||
6 | Sheryl K. Sandberg | For | For | |||||||||||||||||||||||||
7 | Peter A. Thiel | For | For | |||||||||||||||||||||||||
8 | Tracey T. Travis | For | For | |||||||||||||||||||||||||
9 | Mark Zuckerberg | For | For | |||||||||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve the director compensation policy. | Management | For | For | ||||||||||||||||||||||||
4. | A stockholder proposal regarding change in stockholder voting. | Shareholder | Against | For | ||||||||||||||||||||||||
5. | A stockholder proposal regarding an independent chair. | Shareholder | Against | For | ||||||||||||||||||||||||
6. | A stockholder proposal regarding majority voting for directors. | Shareholder | Against | For | ||||||||||||||||||||||||
7. | A stockholder proposal regarding political advertising. | Shareholder | Against | For | ||||||||||||||||||||||||
8. | A stockholder proposal regarding human/civil rights expert on board. | Shareholder | Against | For | ||||||||||||||||||||||||
9. | A stockholder proposal regarding report on civil and human rights risks. | Shareholder | Against | For | ||||||||||||||||||||||||
10. | A stockholder proposal regarding child exploitation. | Shareholder | Against | For | ||||||||||||||||||||||||
11. | A stockholder proposal regarding median gender/racial pay gap. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,800 | 0 | 11-Apr-2020 | 11-Apr-2020 | |||||||||||||||||||||
TANDEM DIABETES CARE, INC. | ||||||||||||||||||||||||||||
Security | 875372203 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | TNDM | Meeting Date | 27-May-2020 | |||||||||||||||||||||||||
ISIN | US8753722037 | Agenda | 935180428 - Management | |||||||||||||||||||||||||
Record Date | 31-Mar-2020 | Holding Recon Date | 31-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Kim D. Blickenstaff | For | For | |||||||||||||||||||||||||
2 | Christopher J. Twomey | For | For | |||||||||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on a non-binding, advisory basis, the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,400 | 0 | 16-Apr-2020 | 16-Apr-2020 | |||||||||||||||||||||
COUPA SOFTWARE INCORPORATED | ||||||||||||||||||||||||||||
Security | 22266L106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | COUP | Meeting Date | 27-May-2020 | |||||||||||||||||||||||||
ISIN | US22266L1061 | Agenda | 935186139 - Management | |||||||||||||||||||||||||
Record Date | 02-Apr-2020 | Holding Recon Date | 02-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Scott Thompson | For | For | |||||||||||||||||||||||||
2. | Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2021. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory (non-binding) vote to approve named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,700 | 0 | 16-Apr-2020 | 16-Apr-2020 | |||||||||||||||||||||
AMAZON.COM, INC. | ||||||||||||||||||||||||||||
Security | 023135106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | AMZN | Meeting Date | 27-May-2020 | |||||||||||||||||||||||||
ISIN | US0231351067 | Agenda | 935186305 - Management | |||||||||||||||||||||||||
Record Date | 02-Apr-2020 | Holding Recon Date | 02-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of director: Jeffrey P. Bezos | Management | For | For | ||||||||||||||||||||||||
1B. | Election of director: Rosalind G. Brewer | Management | For | For | ||||||||||||||||||||||||
1C. | Election of director: Jamie S. Gorelick | Management | For | For | ||||||||||||||||||||||||
1D. | Election of director: Daniel P. Huttenlocher | Management | For | For | ||||||||||||||||||||||||
1E. | Election of director: Judith A. McGrath | Management | For | For | ||||||||||||||||||||||||
1F. | Election of director: Indra K. Nooyi | Management | For | For | ||||||||||||||||||||||||
1G. | Election of director: Jonathan J. Rubinstein | Management | For | For | ||||||||||||||||||||||||
1H. | Election of director: Thomas O. Ryder | Management | For | For | ||||||||||||||||||||||||
1I. | Election of director: Patricia Q. Stonesifer | Management | For | For | ||||||||||||||||||||||||
1J. | Election of director: Wendell P. Weeks | Management | For | For | ||||||||||||||||||||||||
2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | Management | For | For | ||||||||||||||||||||||||
3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | Management | For | For | ||||||||||||||||||||||||
4. | APPROVAL OF AMENDMENT TO RESTATED CERTIFICATE OF INCORPORATION TO LOWER STOCK OWNERSHIP THRESHOLD FOR SHAREHOLDERS TO REQUEST A SPECIAL MEETING | Management | For | For | ||||||||||||||||||||||||
5. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFECTS OF FOOD WASTE | Shareholder | Against | For | ||||||||||||||||||||||||
6. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES | Shareholder | Against | For | ||||||||||||||||||||||||
7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON POTENTIAL CUSTOMER MISUSE OF CERTAIN TECHNOLOGIES | Shareholder | Against | For | ||||||||||||||||||||||||
8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON EFFORTS TO RESTRICT CERTAIN PRODUCTS | Shareholder | Against | For | ||||||||||||||||||||||||
9. | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY | Shareholder | Against | For | ||||||||||||||||||||||||
10. | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE REPORT ON GENDER/RACIAL PAY | Shareholder | Against | For | ||||||||||||||||||||||||
11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN COMMUNITY IMPACTS | Shareholder | Against | For | ||||||||||||||||||||||||
12. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON VIEWPOINT DISCRIMINATION | Shareholder | Against | For | ||||||||||||||||||||||||
13. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA | Shareholder | Against | For | ||||||||||||||||||||||||
14. | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS | Shareholder | Against | For | ||||||||||||||||||||||||
15. | SHAREHOLDER PROPOSAL REQUESTING A SPECIFIC SUPPLY CHAIN REPORT FORMAT | Shareholder | Against | For | ||||||||||||||||||||||||
16. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 565 | 0 | 17-Apr-2020 | 17-Apr-2020 | |||||||||||||||||||||
PENNYMAC FINANCIAL SERVICES INC. | ||||||||||||||||||||||||||||
Security | 70932M107 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | PFSI | Meeting Date | 28-May-2020 | |||||||||||||||||||||||||
ISIN | US70932M1071 | Agenda | 935176164 - Management | |||||||||||||||||||||||||
Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director for a one-year term: Stanford L. Kurland | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director for a one-year term: David A. Spector | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director for a one-year term: Anne D. McCallion | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director for a one-year term: Matthew Botein | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director for a one-year term: James K. Hunt | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director for a one-year term: Patrick Kinsella | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director for a one-year term: Joseph Mazzella | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director for a one-year term: Farhad Nanji | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director for a one-year term: Jeffrey A. Perlowitz | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director for a one-year term: Theodore W. Tozer | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director for a one-year term: Emily Youssouf | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the appointment of our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, by non-binding vote, our executive compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 34,400 | 0 | 09-Apr-2020 | 09-Apr-2020 | |||||||||||||||||||||
TELADOC HEALTH, INC. | ||||||||||||||||||||||||||||
Security | 87918A105 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | TDOC | Meeting Date | 28-May-2020 | |||||||||||||||||||||||||
ISIN | US87918A1051 | Agenda | 935178132 - Management | |||||||||||||||||||||||||
Record Date | 03-Apr-2020 | Holding Recon Date | 03-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Ms. Helen Darling | For | For | |||||||||||||||||||||||||
2 | Mr. William H. Frist MD | For | For | |||||||||||||||||||||||||
3 | Mr. Michael Goldstein | For | For | |||||||||||||||||||||||||
4 | Mr. Jason Gorevic | For | For | |||||||||||||||||||||||||
5 | Ms. C. A. Jacobson | For | For | |||||||||||||||||||||||||
6 | Mr. Thomas G. McKinley | For | For | |||||||||||||||||||||||||
7 | Mr. Kenneth H. Paulus | For | For | |||||||||||||||||||||||||
8 | Mr. David Shedlarz | For | For | |||||||||||||||||||||||||
9 | Mr. Mark D. Smith, MD | For | For | |||||||||||||||||||||||||
10 | Mr. David B. Snow, Jr. | For | For | |||||||||||||||||||||||||
2. | Approve, on an advisory basis, the compensation of Teladoc Health's named executive officers. | Management | For | For | ||||||||||||||||||||||||
3. | Ratify the appointment of Ernst & Young LLP as Teladoc Health's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 3,200 | 0 | 15-Apr-2020 | 15-Apr-2020 | |||||||||||||||||||||
APELLIS PHARMACEUTICALS INC. | ||||||||||||||||||||||||||||
Security | 03753U106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | APLS | Meeting Date | 01-Jun-2020 | |||||||||||||||||||||||||
ISIN | US03753U1060 | Agenda | 935189870 - Management | |||||||||||||||||||||||||
Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 29-May-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Gerald Chan | For | For | |||||||||||||||||||||||||
2 | Cedric Francois | For | For | |||||||||||||||||||||||||
2. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve an advisory vote on executive compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 13,500 | 0 | 23-Apr-2020 | 23-Apr-2020 | |||||||||||||||||||||
VERTEX PHARMACEUTICALS INCORPORATED | ||||||||||||||||||||||||||||
Security | 92532F100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | VRTX | Meeting Date | 03-Jun-2020 | |||||||||||||||||||||||||
ISIN | US92532F1003 | Agenda | 935199883 - Management | |||||||||||||||||||||||||
Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 02-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Sangeeta Bhatia | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Lloyd Carney | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Alan Garber | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Terrence Kearney | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Reshma Kewalramani | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Yuchun Lee | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Jeffrey Leiden | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Margaret McGlynn | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Diana McKenzie | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Bruce Sachs | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of Ernst & Young LLP as our independent Registered Public Accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote on named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
4. | Shareholder proposal, if properly presented at the meeting, requesting that we prepare a report on our policies and activities with respect to lobbying. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,158 | 0 | 28-Apr-2020 | 28-Apr-2020 | |||||||||||||||||||||
NETFLIX, INC. | ||||||||||||||||||||||||||||
Security | 64110L106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | NFLX | Meeting Date | 04-Jun-2020 | |||||||||||||||||||||||||
ISIN | US64110L1061 | Agenda | 935188412 - Management | |||||||||||||||||||||||||
Record Date | 08-Apr-2020 | Holding Recon Date | 08-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class III Director: Reed Hastings | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class III Director: Jay C. Hoag | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Class III Director: Mathias Döpfner | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory approval of the Company's executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of the Netflix, Inc. 2020 Stock Plan. | Management | For | For | ||||||||||||||||||||||||
5. | Stockholder proposal regarding political disclosures, if properly presented at the meeting. | Shareholder | Against | For | ||||||||||||||||||||||||
6. | Stockholder proposal for simple majority vote, if properly presented at the meeting. | Shareholder | Against | For | ||||||||||||||||||||||||
7. | Stockholder proposal for EEO policy risk report, if properly presented at the meeting. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 100 | 0 | 24-Apr-2020 | 24-Apr-2020 | |||||||||||||||||||||
997AL96 | CLOUGH GLOBAL LONG SHORT FUND | 997AL96 | STATE STREET BANK & TRUST CO | 3,136 | 0 | 24-Apr-2020 | 24-Apr-2020 | |||||||||||||||||||||
SMILEDIRECTCLUB INC | ||||||||||||||||||||||||||||
Security | 83192H106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | SDC | Meeting Date | 04-Jun-2020 | |||||||||||||||||||||||||
ISIN | US83192H1068 | Agenda | 935192473 - Management | |||||||||||||||||||||||||
Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | David B. Katzman | For | For | |||||||||||||||||||||||||
2 | Susan Greenspon Rammelt | For | For | |||||||||||||||||||||||||
3 | Richard J. Schnall | For | For | |||||||||||||||||||||||||
2. | Ratification of Ernst & Young LLP as the company's independent registered accounting firm for the fiscal year ending December 31, 2020 | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 28,800 | 0 | 25-Apr-2020 | 25-Apr-2020 | |||||||||||||||||||||
T-MOBILE US, INC. | ||||||||||||||||||||||||||||
Security | 872590104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | TMUS | Meeting Date | 04-Jun-2020 | |||||||||||||||||||||||||
ISIN | US8725901040 | Agenda | 935192524 - Management | |||||||||||||||||||||||||
Record Date | 07-Apr-2020 | Holding Recon Date | 07-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 03-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Marcelo Claure | For | For | |||||||||||||||||||||||||
2 | Srikant M. Datar | For | For | |||||||||||||||||||||||||
3 | Ronald D. Fisher | For | For | |||||||||||||||||||||||||
4 | Srini Gopalan | For | For | |||||||||||||||||||||||||
5 | Lawrence H. Guffey | For | For | |||||||||||||||||||||||||
6 | Timotheus Höttges | For | For | |||||||||||||||||||||||||
7 | Christian P. Illek | For | For | |||||||||||||||||||||||||
8 | Stephen R. Kappes | For | For | |||||||||||||||||||||||||
9 | Raphael Kübler | For | For | |||||||||||||||||||||||||
10 | Thorsten Langheim | For | For | |||||||||||||||||||||||||
11 | G. Michael Sievert | For | For | |||||||||||||||||||||||||
12 | Teresa A. Taylor | For | For | |||||||||||||||||||||||||
13 | Kelvin R. Westbrook | For | For | |||||||||||||||||||||||||
2. | Ratification of the Appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory Vote to Approve the Compensation Provided to the Company's Named Executive Officers for 2019. | Management | For | For | ||||||||||||||||||||||||
4. | Stockholder Proposal for Limitations on Accelerated Vesting of Equity Awards in the Event of a Change of Control. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,150 | 0 | 22-Apr-2020 | 22-Apr-2020 | |||||||||||||||||||||
VERACYTE, INC. | ||||||||||||||||||||||||||||
Security | 92337F107 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | VCYT | Meeting Date | 05-Jun-2020 | |||||||||||||||||||||||||
ISIN | US92337F1075 | Agenda | 935190784 - Management | |||||||||||||||||||||||||
Record Date | 14-Apr-2020 | Holding Recon Date | 14-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Bonnie H. Anderson | For | For | |||||||||||||||||||||||||
2 | Robert S. Epstein, M.D. | For | For | |||||||||||||||||||||||||
3 | Evan Jones | For | For | |||||||||||||||||||||||||
2. | To approve the Amended and Restated Veracyte, Inc. Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||
3. | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
4. | The approval, on a non-binding advisory basis, of the compensation of our named executive officers, as disclosed in our proxy statement. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 4,970 | 0 | 25-Apr-2020 | 25-Apr-2020 | |||||||||||||||||||||
RINGCENTRAL, INC. | ||||||||||||||||||||||||||||
Security | 76680R206 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | RNG | Meeting Date | 05-Jun-2020 | |||||||||||||||||||||||||
ISIN | US76680R2067 | Agenda | 935215980 - Management | |||||||||||||||||||||||||
Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 04-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Vladimir Shmunis | For | For | |||||||||||||||||||||||||
2 | Kenneth Goldman | For | For | |||||||||||||||||||||||||
3 | Michelle McKenna | For | For | |||||||||||||||||||||||||
4 | Godfrey Sullivan | For | For | |||||||||||||||||||||||||
5 | Robert Theis | For | For | |||||||||||||||||||||||||
6 | Allan Thygesen | For | For | |||||||||||||||||||||||||
7 | Neil Williams | For | For | |||||||||||||||||||||||||
2. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on an advisory (non-binding) basis, the named executive officers' compensation, as disclosed in the proxy statement. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,210 | 0 | 12-May-2020 | 12-May-2020 | |||||||||||||||||||||
WORKDAY, INC. | ||||||||||||||||||||||||||||
Security | 98138H101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | WDAY | Meeting Date | 09-Jun-2020 | |||||||||||||||||||||||||
ISIN | US98138H1014 | Agenda | 935187434 - Management | |||||||||||||||||||||||||
Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Michael C. Bush | For | For | |||||||||||||||||||||||||
2 | Christa Davies | For | For | |||||||||||||||||||||||||
3 | Michael A. Stankey | For | For | |||||||||||||||||||||||||
4 | George J. Still, Jr. | For | For | |||||||||||||||||||||||||
2. | To ratify the appointment of Ernst & Young LLP as Workday's independent registered public accounting firm for the fiscal year ending January 31, 2021. | Management | For | For | ||||||||||||||||||||||||
3. | Advisory vote on named executive officer compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,590 | 0 | 28-Apr-2020 | 28-Apr-2020 | |||||||||||||||||||||
NVIDIA CORPORATION | ||||||||||||||||||||||||||||
Security | 67066G104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | NVDA | Meeting Date | 09-Jun-2020 | |||||||||||||||||||||||||
ISIN | US67066G1040 | Agenda | 935196445 - Management | |||||||||||||||||||||||||
Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Robert K. Burgess | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Tench Coxe | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Persis S. Drell | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Jen-Hsun Huang | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Dawn Hudson | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Harvey C. Jones | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Michael G. McCaffery | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Stephen C. Neal | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Mark L. Perry | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: A. Brooke Seawell | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Mark A. Stevens | Management | For | For | ||||||||||||||||||||||||
2. | Approval of our executive compensation. | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2021. | Management | For | For | ||||||||||||||||||||||||
4. | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
5. | Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,220 | 0 | 30-Apr-2020 | 30-Apr-2020 | |||||||||||||||||||||
SCORPIO TANKERS INC. | ||||||||||||||||||||||||||||
Security | Y7542C130 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | STNG | Meeting Date | 09-Jun-2020 | |||||||||||||||||||||||||
ISIN | MHY7542C1306 | Agenda | 935204519 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Emanuele A. Lauro | For | For | |||||||||||||||||||||||||
2 | Ademaro Lanzara | For | For | |||||||||||||||||||||||||
3 | Merrick Rayner | For | For | |||||||||||||||||||||||||
2. | To ratify the appointment of PricewaterhouseCoopers Audit as the Company's independent auditors for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 6,500 | 0 | 01-May-2020 | 01-May-2020 | |||||||||||||||||||||
FLEXION THERAPEUTICS, INC. | ||||||||||||||||||||||||||||
Security | 33938J106 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | FLXN | Meeting Date | 10-Jun-2020 | |||||||||||||||||||||||||
ISIN | US33938J1060 | Agenda | 935201804 - Management | |||||||||||||||||||||||||
Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 09-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Heath Lukatch, Ph.D. | For | For | |||||||||||||||||||||||||
2 | Patrick J. Mahaffy | For | For | |||||||||||||||||||||||||
3 | Alan W. Milinazzo | For | For | |||||||||||||||||||||||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for its fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 7,200 | 0 | 30-Apr-2020 | 30-Apr-2020 | |||||||||||||||||||||
SILERGY CORP | ||||||||||||||||||||||||||||
Security | G8190F102 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 11-Jun-2020 | ||||||||||||||||||||||||||
ISIN | KYG8190F1028 | Agenda | 712627706 - Management | |||||||||||||||||||||||||
Record Date | 10-Apr-2020 | Holding Recon Date | 10-Apr-2020 | |||||||||||||||||||||||||
City / | Country | TAIPEI | / | Cayman Islands | Vote Deadline Date | 03-Jun-2020 | ||||||||||||||||||||||
SEDOL(s) | BH4DMW9 - BHCKTR6 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | TO ACCEPT 2019 BUSINESS REPORT AND CONSOLIDATED FINANCIAL STATEMENTS. | Management | For | For | ||||||||||||||||||||||||
2 | TO ACCEPT THE PROPOSAL FOR THE DISTRIBUTION OF 2019 EARNINGS.PROPOSED CASH DIVIDEND :TWD 7.5 PER SHARE. | Management | For | For | ||||||||||||||||||||||||
3 | TO APPROVE THE AMENDMENTS TO THE MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY. | Management | For | For | ||||||||||||||||||||||||
4 | TO APPROVE THE ISSUANCE OF NEW EMPLOYEE RESTRICTED SHARES. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 5,770 | 0 | 12-May-2020 | 12-May-2020 | ||||||||||||||||||||||
CRISPR THERAPEUTICS AG | ||||||||||||||||||||||||||||
Security | H17182108 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | CRSP | Meeting Date | 11-Jun-2020 | |||||||||||||||||||||||||
ISIN | CH0334081137 | Agenda | 935201905 - Management | |||||||||||||||||||||||||
Record Date | 13-Apr-2020 | Holding Recon Date | 13-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | Switzerland | Vote Deadline Date | 10-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | The approval of the annual report, the consolidated financial statements and the statutory financial statements of the Company for the year ended December 31, 2019. | Management | For | For | ||||||||||||||||||||||||
2. | The approval of the appropriation of financial results. | Management | For | For | ||||||||||||||||||||||||
3. | The discharge of the members of the Board of Directors and Executive Committee. | Management | For | For | ||||||||||||||||||||||||
4A. | Re-election of Rodger Novak, M.D., as member and Chairman | Management | For | For | ||||||||||||||||||||||||
4B. | Re-election of Samarth Kulkarni, Ph.D. | Management | For | For | ||||||||||||||||||||||||
4C. | Re-election of Ali Behbahani, M.D. | Management | For | For | ||||||||||||||||||||||||
4D. | Re-election of Bradley Bolzon, Ph.D. | Management | For | For | ||||||||||||||||||||||||
4E. | Re-election of Simeon J. George, M.D. | Management | For | For | ||||||||||||||||||||||||
4F. | Re-election of John T. Greene | Management | For | For | ||||||||||||||||||||||||
4G. | Re-election of Katherine A. High, M.D. | Management | For | For | ||||||||||||||||||||||||
4H. | Election of Douglas A. Treco, Ph.D. | Management | For | For | ||||||||||||||||||||||||
5A. | Election of the member of the Compensation Committee: Ali Behbahani, M.D. | Management | For | For | ||||||||||||||||||||||||
5B. | Re-election of the member of the Compensation Committee: Simeon J. George, M.D. | Management | For | For | ||||||||||||||||||||||||
5C. | Re-election of the member of the Compensation Committee: John T. Greene | Management | For | For | ||||||||||||||||||||||||
6A. | Binding vote on total non-performance-related compensation for members of the Board of Directors from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders. | Management | For | For | ||||||||||||||||||||||||
6B. | Binding vote on equity for members of the Board of Directors from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders. | Management | For | For | ||||||||||||||||||||||||
6C. | Binding vote on total non-performance-related compensation for members of the Executive Committee from July 1, 2020 to June 30, 2021. | Management | For | For | ||||||||||||||||||||||||
6D. | Binding vote on total variable compensation for members of the Executive Committee for the current year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
6E. | Binding vote on equity for members of the Executive Committee from the 2020 Annual General Meeting to the 2021 Annual General Meeting of Shareholders. | Management | For | For | ||||||||||||||||||||||||
7. | The approval of an increase in the Conditional Share Capital for Employee Benefit Plans. | Management | For | For | ||||||||||||||||||||||||
8. | The approval of an Amendment to the CRISPR Therapeutics AG 2018 Stock Option and Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
9. | The approval of increasing the maximum number of authorized share capital and extending the date by which the Board of Directors may increase share capital. | Management | For | For | ||||||||||||||||||||||||
10. | The re-election of the independent voting rights representative. | Management | For | For | ||||||||||||||||||||||||
11. | The re-election of the auditors. | Management | For | For | ||||||||||||||||||||||||
12. | The transaction of any other business that may properly come before the 2020 Annual General Meeting or any adjournment or postponement thereof. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 13,881 | 0 | 02-May-2020 | 02-May-2020 | |||||||||||||||||||||
SALESFORCE.COM, INC. | ||||||||||||||||||||||||||||
Security | 79466L302 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | CRM | Meeting Date | 11-Jun-2020 | |||||||||||||||||||||||||
ISIN | US79466L3024 | Agenda | 935202402 - Management | |||||||||||||||||||||||||
Record Date | 16-Apr-2020 | Holding Recon Date | 16-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 10-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Marc Benioff | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Craig Conway | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Parker Harris | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Alan Hassenfeld | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Neelie Kroes | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Colin Powell | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Sanford Robertson | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: John V. Roos | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Robin Washington | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Maynard Webb | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: Susan Wojcicki | Management | For | For | ||||||||||||||||||||||||
2. | Amendment and restatement of our 2013 Equity Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
3. | Amendment and restatement of our 2004 Employee Stock Purchase Plan. | Management | For | For | ||||||||||||||||||||||||
4. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | Management | For | For | ||||||||||||||||||||||||
5. | An advisory vote to approve the fiscal 2020 compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||
6. | A stockholder proposal requesting the ability of stockholders to act by written consent, if properly presented at the meeting. | Shareholder | Against | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,782 | 0 | 02-May-2020 | 02-May-2020 | |||||||||||||||||||||
LI NING COMPANY LTD | ||||||||||||||||||||||||||||
Security | G5496K124 | Meeting Type | Annual General Meeting | |||||||||||||||||||||||||
Ticker Symbol | Meeting Date | 12-Jun-2020 | ||||||||||||||||||||||||||
ISIN | KYG5496K1242 | Agenda | 712476250 - Management | |||||||||||||||||||||||||
Record Date | 08-Jun-2020 | Holding Recon Date | 08-Jun-2020 | |||||||||||||||||||||||||
City / | Country | HONG KONG | / | Cayman Islands | Vote Deadline Date | 05-Jun-2020 | ||||||||||||||||||||||
SEDOL(s) | B01JCK9 - B01QJZ4 - BD8GFX8 - BGKFJW1 - BHNBYS4 | Quick Code | ||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING-ON THE URL LINKS:- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0420/2020042000612.pdf-AND- https://www1.hkexnews.hk/listedco/listconews/sehk/2020/ 0420/2020042000650.pdf | Non-Voting | ||||||||||||||||||||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE 'IN FAVOR' OR 'AGAINST' FOR- ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | ||||||||||||||||||||||||||
1 | TO RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS AND REPORTS OF THE DIRECTORS AND THE AUDITOR OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | For | For | ||||||||||||||||||||||||
2 | TO DECLARE A FINAL DIVIDEND FOR THE YEAR ENDED 31 DECEMBER 2019 | Management | For | For | ||||||||||||||||||||||||
3.I.A | TO RE-ELECT MR. KOSAKA TAKESHI AS AN EXECUTIVE DIRECTOR OF THE COMPANY (THE "DIRECTOR") | Management | For | For | ||||||||||||||||||||||||
3.I.B | TO RE-ELECT MS. WANG YA FEI AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.I.C | TO RE-ELECT DR. CHAN CHUNG BUN, BUNNY AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Management | For | For | ||||||||||||||||||||||||
3.II | TO AUTHORISE THE BOARD OF DIRECTORS (THE "BOARD") TO FIX THE DIRECTORS' REMUNERATION | Management | For | For | ||||||||||||||||||||||||
4 | TO RE-APPOINT MESSRS. PRICEWATERHOUSECOOPERS, CERTIFIED PUBLIC ACCOUNTANTS, AS THE AUDITOR OF THE COMPANY AND TO AUTHORISE THE BOARD TO FIX THEIR REMUNERATION | Management | For | For | ||||||||||||||||||||||||
5 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO ALLOT, ISSUE AND DEAL WITH ADDITIONAL SHARES OF THE COMPANY ("SHARES") | Management | For | For | ||||||||||||||||||||||||
6 | TO GIVE A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES | Management | For | For | ||||||||||||||||||||||||
7 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS UNDER RESOLUTION NO. 5 BY ADDING THE SHARES REPURCHASED BY THE COMPANY PURSUANT TO THE GENERAL MANDATE GRANTED TO THE DIRECTORS UNDER RESOLUTION NO. 6 | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
AL94 | GLS | STATE STREET BANK | 73,500 | 0 | 23-Apr-2020 | 23-Apr-2020 | ||||||||||||||||||||||
REGENERON PHARMACEUTICALS, INC. | ||||||||||||||||||||||||||||
Security | 75886F107 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | REGN | Meeting Date | 12-Jun-2020 | |||||||||||||||||||||||||
ISIN | US75886F1075 | Agenda | 935196279 - Management | |||||||||||||||||||||||||
Record Date | 14-Apr-2020 | Holding Recon Date | 14-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: N. Anthony Coles, M.D. | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Joseph L. Goldstein, M.D. | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Christine A. Poon | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: P. Roy Vagelos, M.D. | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Huda Y. Zoghbi, M.D. | Management | For | For | ||||||||||||||||||||||||
2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Proposal to approve the Second Amended and Restated Regeneron Pharmaceuticals, Inc. 2014 Long-Term Incentive Plan. | Management | For | For | ||||||||||||||||||||||||
4. | Proposal to approve, on an advisory basis, executive compensation. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,330 | 0 | 25-Apr-2020 | 25-Apr-2020 | |||||||||||||||||||||
MASTERCARD INCORPORATED | ||||||||||||||||||||||||||||
Security | 57636Q104 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | MA | Meeting Date | 16-Jun-2020 | |||||||||||||||||||||||||
ISIN | US57636Q1040 | Agenda | 935196332 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Richard Haythornthwaite | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Ajay Banga | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Richard K. Davis | Management | For | For | ||||||||||||||||||||||||
1D. | Election of Director: Steven J. Freiberg | Management | For | For | ||||||||||||||||||||||||
1E. | Election of Director: Julius Genachowski | Management | For | For | ||||||||||||||||||||||||
1F. | Election of Director: Choon Phong Goh | Management | For | For | ||||||||||||||||||||||||
1G. | Election of Director: Merit E. Janow | Management | For | For | ||||||||||||||||||||||||
1H. | Election of Director: Oki Matsumoto | Management | For | For | ||||||||||||||||||||||||
1I. | Election of Director: Youngme Moon | Management | For | For | ||||||||||||||||||||||||
1J. | Election of Director: Rima Qureshi | Management | For | For | ||||||||||||||||||||||||
1K. | Election of Director: José Octavio Reyes Lagunes | Management | For | For | ||||||||||||||||||||||||
1L. | Election of Director: Gabrielle Sulzberger | Management | For | For | ||||||||||||||||||||||||
1M. | Election of Director: Jackson Tai | Management | For | For | ||||||||||||||||||||||||
1N. | Election of Director: Lance Uggla | Management | For | For | ||||||||||||||||||||||||
2. | Advisory approval of Mastercard's executive compensation | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Mastercard for 2020 | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,704 | 0 | 30-Apr-2020 | 30-Apr-2020 | |||||||||||||||||||||
OKTA, INC. | ||||||||||||||||||||||||||||
Security | 679295105 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | OKTA | Meeting Date | 16-Jun-2020 | |||||||||||||||||||||||||
ISIN | US6792951054 | Agenda | 935198146 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 15-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Shellye Archambeau | For | For | |||||||||||||||||||||||||
2 | Robert L. Dixon, Jr. | For | For | |||||||||||||||||||||||||
3 | Patrick Grady | For | For | |||||||||||||||||||||||||
4 | Ben Horowitz | For | For | |||||||||||||||||||||||||
2. | A proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | Management | For | For | ||||||||||||||||||||||||
3. | To approve, on an advisory non-binding basis, the compensation of our named executive officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 2,120 | 0 | 06-May-2020 | 06-May-2020 | |||||||||||||||||||||
SERVICENOW, INC. | ||||||||||||||||||||||||||||
Security | 81762P102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | NOW | Meeting Date | 17-Jun-2020 | |||||||||||||||||||||||||
ISIN | US81762P1021 | Agenda | 935196685 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: William R. McDermott | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Anita M. Sands | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Dennis M. Woodside | Management | For | For | ||||||||||||||||||||||||
2. | To approve, on an advisory basis, the compensation of our Named Executive Officers ("Say-on-Pay"). | Management | For | For | ||||||||||||||||||||||||
3. | Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2020. | Management | For | For | ||||||||||||||||||||||||
4. | To approve an amendment to our Restated Certificate of Incorporation to declassify our Board of Directors. | Management | For | For | ||||||||||||||||||||||||
5. | To hold an advisory vote on the frequency of future advisory votes on executive compensation. | Management | 3 Years | Against | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,258 | 0 | 30-Apr-2020 | 30-Apr-2020 | |||||||||||||||||||||
HUBSPOT, INC. | ||||||||||||||||||||||||||||
Security | 443573100 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | HUBS | Meeting Date | 17-Jun-2020 | |||||||||||||||||||||||||
ISIN | US4435731009 | Agenda | 935201878 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Class III Director for a term of three years: Julie Herendeen | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Class III Director for a term of three years: Michael Simon | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Class III Director for a term of three years: Jay Simons | Management | For | For | ||||||||||||||||||||||||
2. | Ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accountants for 2020. | Management | For | For | ||||||||||||||||||||||||
3. | Non-binding advisory vote to approve the compensation of the Company's Named Executive Officers. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,014 | 0 | 29-Apr-2020 | 29-Apr-2020 | |||||||||||||||||||||
BEIGENE LTD | ||||||||||||||||||||||||||||
Security | 07725L102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | BGNE | Meeting Date | 17-Jun-2020 | |||||||||||||||||||||||||
ISIN | US07725L1026 | Agenda | 935209557 - Management | |||||||||||||||||||||||||
Record Date | 16-Apr-2020 | Holding Recon Date | 16-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1 | Ordinary Resolution: THAT John V. Oyler be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | ||||||||||||||||||||||||
2 | Ordinary Resolution: THAT Timothy Chen be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | ||||||||||||||||||||||||
3 | Ordinary Resolution: THAT Jing-Shyh (Sam) Su be and is hereby re-elected to serve as a Class I director of the Company until the 2023 annual general meeting of the shareholders of the Company and until his successor is duly elected and qualified, subject to his earlier resignation or removal. | Management | For | For | ||||||||||||||||||||||||
4 | Ordinary Resolution: THAT the appointment of Ernst & Young Hua Ming LLP and Ernst & Young as the Company's independent registered public accounting firms for the fiscal year ending December 31, 2020 be and is hereby approved, ratified and confirmed. | Management | For | For | ||||||||||||||||||||||||
5 | Ordinary Resolution: THAT the granting of a share issue mandate to the Board of Directors to issue, allot or deal with unissued ordinary shares and/or American Depositary Shares not exceeding 20% of the total number of issued ordinary shares of the Company as at the date of passing of this ordinary resolution up to the next annual general meeting of the Company be and is hereby approved. | Management | For | For | ||||||||||||||||||||||||
6 | Ordinary Resolution: THAT the Company and its underwriters be and are hereby authorized, in their sole discretion, to allocate to each of Baker Bros. Advisors LP and Hillhouse Capital Management, Ltd. and parties affiliated with each of them (the "Existing Shareholders"), up to a maximum amount of shares in order to maintain the same shareholding percentage of each of the Existing Shareholders (based on the then- outstanding share capital of the Company) before and after the ...(due to space limits, see proxy material for full proposal). | Management | For | For | ||||||||||||||||||||||||
7 | Ordinary Resolution: THAT the Company and its underwriters be and are hereby authorized, in their sole discretion, to allocate to Amgen Inc. ("Amgen"), up to a maximum amount of shares in order to maintain the same shareholding percentage of Amgen (based on the then-outstanding share capital of the Company) before and after the allocation of the corresponding securities issued pursuant to an offering conducted pursuant to the general mandate set forth in Resolution 5 for a period of ...(due to space limits, see proxy material for full proposal). | Management | For | For | ||||||||||||||||||||||||
8 | Ordinary Resolution: THAT the Amendment No. 1 to the Second Amended and Restated 2016 Share Option and Incentive Plan to increase the number of authorized shares available for issuance by 57,200,000 ordinary shares and to extend the term of the plan through April 13, 2030, as disclosed in the Proxy Statement, be and is hereby approved. | Management | For | For | ||||||||||||||||||||||||
9 | Ordinary Resolution: THAT, on a non-binding, advisory basis, the compensation of the Company's named executive officers, as disclosed in the Proxy Statement, be and is hereby approved. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,170 | 0 | 05-May-2020 | 05-May-2020 | |||||||||||||||||||||
GOSSAMER BIO, INC. | ||||||||||||||||||||||||||||
Security | 38341P102 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | GOSS | Meeting Date | 17-Jun-2020 | |||||||||||||||||||||||||
ISIN | US38341P1021 | Agenda | 935210803 - Management | |||||||||||||||||||||||||
Record Date | 22-Apr-2020 | Holding Recon Date | 22-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Joshua Bilenker, M.D. | For | For | |||||||||||||||||||||||||
2 | Faheem Hasnain | For | For | |||||||||||||||||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accountants for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 31,300 | 0 | 06-May-2020 | 06-May-2020 | |||||||||||||||||||||
ZOOM VIDEO COMMUNICATIONS, INC. | ||||||||||||||||||||||||||||
Security | 98980L101 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | ZM | Meeting Date | 18-Jun-2020 | |||||||||||||||||||||||||
ISIN | US98980L1017 | Agenda | 935212403 - Management | |||||||||||||||||||||||||
Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 17-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1. | DIRECTOR | Management | ||||||||||||||||||||||||||
1 | Peter Gassner | For | For | |||||||||||||||||||||||||
2 | Eric S. Yuan | For | For | |||||||||||||||||||||||||
3 | Lt. Gen. H.R. McMaster | For | For | |||||||||||||||||||||||||
2. | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 1,700 | 0 | 07-May-2020 | 07-May-2020 | |||||||||||||||||||||
ARES CAPITAL CORPORATION | ||||||||||||||||||||||||||||
Security | 04010L103 | Meeting Type | Annual | |||||||||||||||||||||||||
Ticker Symbol | ARCC | Meeting Date | 22-Jun-2020 | |||||||||||||||||||||||||
ISIN | US04010L1035 | Agenda | 935167999 - Management | |||||||||||||||||||||||||
Record Date | 25-Mar-2020 | Holding Recon Date | 25-Mar-2020 | |||||||||||||||||||||||||
City / | Country | / | United States | Vote Deadline Date | 19-Jun-2020 | |||||||||||||||||||||||
SEDOL(s) | Quick Code | |||||||||||||||||||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||
1A. | Election of Director: Michael J Arougheti | Management | For | For | ||||||||||||||||||||||||
1B. | Election of Director: Ann Torre Bates | Management | For | For | ||||||||||||||||||||||||
1C. | Election of Director: Steven B McKeever | Management | For | For | ||||||||||||||||||||||||
2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||
997AL94 | CLOUGH GLOBAL LONG SHORT FUND | GLS | STATE STREET BANK & TRUST CO | 11,000 | 0 | 03-Apr-2020 | 03-Apr-2020 |
SIGNATURE
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.
Clough Funds Trust | |||
By: | /s/ Bradley J. Swenson | ||
Bradley J. Swenson | |||
President | |||
Date: | August 10, 2020 |