Clough Funds Trust NPX Annual report of proxy voting record

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, 2020 – June 30, 2021

Item 1 – Proxy Voting Record.

Vote Summary

CROWDSTRIKE HOLDINGS, INC.

Security

22788C105

Meeting Type

Annual

Ticker Symbol

CRWD

Meeting Date

06-Jul-2020

ISIN

US22788C1053

Agenda

935223735 - Management

Record Date

11-May-2020

Holding Recon Date

11-May-2020

City /

Country

United

Vote Deadline Date

02-Jul-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Denis J. O'Leary

For

Joseph E. Sexton

For

Godfrey R. Sullivan

For

Management

For

To ratify the selection of PricewaterhouseCoopers LLP as

the independent registered public accounting firm of the

Company for its fiscal year ending January 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

23-May-2020

STATE

3,500

23-May-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

HDFC BANK LTD

Security

Y3119P190

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

18-Jul-2020

ISIN

INE040A01034

Agenda

712875612 - Management

Record Date

11-Jul-2020

Holding Recon Date

11-Jul-2020

City /

Country

TBD

India

Vote Deadline Date

14-Jul-2020

SEDOL(s)

BK1N461

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED

FINANCIAL STATEMENTS (STANDALONE) OF THE

BANK FOR THE FINANCIAL YEAR ENDED MARCH 31,

2020 AND THE REPORTS OF THE BOARD OF

DIRECTORS AND AUDITORS THEREON

Management

For

TO RECEIVE, CONSIDER AND ADOPT THE AUDITED

FINANCIAL STATEMENTS (CONSOLIDATED) OF THE

BANK FOR THE FINANCIAL YEAR ENDED MARCH 31,

2020 AND THE REPORT OF THE AUDITORS

THEREON

Management

For

TO CONFIRM THE SPECIAL INTERIM DIVIDEND OF

INR 5/- PER EQUITY SHARE OF ERSTWHILE FACE

VALUE OF INR 2/- EACH FULLY PAID-UP, FOR THE

FINANCIAL YEAR 2019-20, APPROVED BY THE

BOARD OF DIRECTORS AND ALREADY PAID TO

ELIGIBLE SHAREHOLDERS

Management

For

TO APPOINT A DIRECTOR IN PLACE OF MR. KAIZAD

BHARUCHA (DIN 02490648), WHO RETIRES BY

ROTATION AND, BEING ELIGIBLE, OFFERS HIMSELF

FOR RE-APPOINTMENT

Management

For

TO APPROVE THE FEES / REMUNERATION OF THE

STATUTORY AUDITORS, M/S. MSKA & ASSOCIATES,

CHARTERED ACCOUNTANTS AND IN THIS REGARD

TO CONSIDER, AND IF THOUGHT FIT, TO PASS, THE

FOLLOWING RESOLUTION AS AN ORDINARY

RESOLUTION: "RESOLVED THAT PURSUANT TO

SECTION 142 AND OTHER APPLICABLE

PROVISIONS, IF ANY, OF THE COMPANIES ACT,

2013 AND THE RELEVANT RULES THEREUNDER,

INCLUDING ANY AMENDMENTS, MODIFICATIONS,

VARIATIONS OR RE-ENACTMENTS THEREOF,

APPROVAL OF THE MEMBERS OF THE BANK BE

AND IS HEREBY ACCORDED FOR PAYMENT OF

REMUNERATION OF INR 26,500,000 (RUPEES TWO

CRORES SIXTY FIVE LACS ONLY) TO M/S. MSKA &

ASSOCIATES, STATUTORY AUDITORS OF THE

BANK, FOR THE PURPOSE OF AUDIT OF THE

BANK'S ACCOUNTS AT ITS HEAD OFFICE,

BRANCHES AND OTHER OFFICES INCLUDING

REPORTING ON INTERNAL FINANCIAL CONTROLS

AND ADDITIONAL CERTIFICATION AS REQUIRED BY

THE RESERVE BANK OF INDIA ("RBI"), AND

ADDITIONAL FEES OF INR 2,500,000 (RUPEES

TWENTY FIVE LACS ONLY) FOR THE PURPOSE OF

REVIEW / FINALIZATION OF THE 'FIT FOR

CONSOLIDATION' INFORMATION FOR THE LIMITED

PURPOSE OF SUBMITTING SUCH 'FIT FOR

CONSOLIDATION' INFORMATION TO HOUSING

DEVELOPMENT FINANCE CORPORATION LIMITED

("HDFC LIMITED") FOR FACILITATING

CONSOLIDATION OF FINANCIAL STATEMENTS OF

THE BANK WITH THAT OF HDFC LIMITED UNDER

IND-AS, PLUS EXPENSES, OUTLAYS AND TAXES AS

APPLICABLE, FOR THE FINANCIAL YEAR 2020-21,

AND FOR SUCH REMUNERATION AND EXPENSES

THEREAFTER AS MAY BE MUTUALLY AGREED

BETWEEN THE BANK AND THE SAID STATUTORY

AUDITORS AND AS MAY BE FURTHER APPROVED

BY THE BOARD FROM TIME TO TIME, WITH POWER

TO THE BOARD, INCLUDING RELEVANT

COMMITTEE(S) THEREOF, TO ALTER AND VARY THE

TERMS AND CONDITIONS OF APPOINTMENT ETC.,

INCLUDING BY REASON OF NECESSITY ON

ACCOUNT OF CONDITIONS AS MAY BE STIPULATED

BY THE RBI AND / OR ANY OTHER AUTHORITY, IN

SUCH MANNER AND TO SUCH EXTENT AS MAY BE

MUTUALLY AGREED WITH THE STATUTORY

AUDITORS."

Management

For

TO RATIFY THE ADDITIONAL FEES /

REMUNERATION TO THE STATUTORY AUDITORS,

M/S. MSKA & ASSOCIATES, CHARTERED

ACCOUNTANTS AND IN THIS REGARD TO

CONSIDER, AND IF THOUGHT FIT, TO PASS, THE

FOLLOWING RESOLUTION AS AN ORDINARY

RESOLUTION: "RESOLVED THAT PURSUANT TO

SECTION 142 AND OTHER APPLICABLE

PROVISIONS, IF ANY, OF THE COMPANIES ACT,

2013 AND THE RELEVANT RULES THEREUNDER, IN

ADDITION TO THE RESOLUTION PASSED BY THE

MEMBERS OF THE BANK ON JULY 12, 2019, FOR

PAYMENT OF REMUNERATION OF INR 25,000,000

(RUPEES TWO CRORES FIFTY LACS ONLY) FOR

THE FINANCIAL YEAR 2019-20 TO M/S. MSKA &

ASSOCIATES, STATUTORY AUDITORS OF THE

BANK, FURTHER APPROVAL OF THE MEMBERS OF

THE BANK BE AND IS HEREBY ACCORDED FOR

RATIFYING THE FEES OF INR 6,000,000 (RUPEES

SIXTY LACS ONLY) FOR ADDITIONAL

CERTIFICATION AS REQUIRED BY THE RBI, FOR

THE FINANCIAL YEAR 2019-20."

Management

For

TO RE-APPOINT MR. MALAY PATEL (DIN 06876386)

AS AN INDEPENDENT DIRECTOR AND IN THIS

REGARD TO CONSIDER, AND IF THOUGHT FIT, TO

PASS, THE FOLLOWING RESOLUTION AS A SPECIAL

RESOLUTION: "RESOLVED THAT PURSUANT TO

SECTIONS 149, 152 AND OTHER APPLICABLE

PROVISIONS, IF ANY, OF THE COMPANIES ACT,

2013 AND THE RELEVANT RULES THEREUNDER

READ WITH SCHEDULE IV TO THE COMPANIES ACT,

2013 AND PURSUANT TO SECTION 10A(2)(A) OF THE

BANKING REGULATION ACT, 1949, AND RELEVANT

CIRCULARS ISSUED BY THE RBI FROM TIME TO

TIME, INCLUDING ANY AMENDMENTS,

MODIFICATIONS, VARIATIONS OR RE-ENACTMENTS

THEREOF AND RECOMMENDATION OF THE

NOMINATION AND REMUNERATION COMMITTEE OF

DIRECTORS AND THE BOARD OF DIRECTORS OF

THE BANK, MR. MALAY PATEL (DIN 06876386), BE

AND IS HEREBY RE-APPOINTED AS AN

INDEPENDENT DIRECTOR OF THE BANK HAVING

SPECIALIZED KNOWLEDGE AND PRACTICAL

EXPERIENCE IN MATTERS RELATING TO SMALL

SCALE INDUSTRIES, TO HOLD OFFICE FOR A

PERIOD OF THREE (3) YEARS COMMENCING FROM

MARCH 31, 2020 AND THAT HE SHALL NOT BE

LIABLE TO RETIRE BY ROTATION AND THAT HE

SHALL BE PAID SITTING FEES AND REIMBURSED

EXPENSES FOR ATTENDING BOARD AND

COMMITTEE MEETINGS, AS MAY BE PERMISSIBLE

UNDER LAW FROM TIME TO TIME, AS WELL AS

PROFIT RELATED COMMISSION AS MAY BE

ALLOWED BY RELEVANT RBI GUIDELINES AND

OTHER APPLICABLE LAWS, FROM TIME TO TIME."

Management

For

TO APPROVE THE RE-APPOINTMENT OF MR.

KAIZAD BHARUCHA (DIN 02490648) AS AN

EXECUTIVE DIRECTOR AND IN THIS REGARD TO

CONSIDER, AND IF THOUGHT FIT, TO PASS, THE

FOLLOWING RESOLUTION AS AN ORDINARY

RESOLUTION; "RESOLVED THAT PURSUANT TO

SECTIONS 196, 197, 203 AND OTHER APPLICABLE

PROVISIONS, IF ANY, OF THE COMPANIES ACT,

2013 AND THE RELEVANT RULES THEREUNDER,

THE BANKING REGULATION ACT, 1949, RELEVANT

CIRCULARS ISSUED BY THE RESERVE BANK OF

INDIA ("RBI") FROM TIME TO TIME, INCLUDING ANY

AMENDMENTS, MODIFICATIONS, VARIATIONS OR

RE-ENACTMENTS THEREOF AND

RECOMMENDATION OF THE NOMINATION AND

REMUNERATION COMMITTEE OF DIRECTORS AND

THE BOARD OF DIRECTORS OF THE BANK

(HEREINAFTER REFERRED TO AS THE "BOARD",

WHICH TERM SHALL BE DEEMED TO INCLUDE ANY

COMMITTEE CONSTITUTED / EMPOWERED / TO BE

CONSTITUTED BY THE BOARD FROM TIME TO TIME

TO EXERCISE ITS POWERS CONFERRED BY THIS

RESOLUTION), AND PURSUANT TO THE APPROVAL

RECEIVED FROM THE RBI AND SUBJECT TO THE

APPROVALS, AS MAY BE NECESSARY FROM

CONCERNED AUTHORITIES OR BODIES AND

SUBJECT TO THE CONDITIONS AS MAY BE

PRESCRIBED BY ANY OF THEM WHILE GRANTING

SUCH APPROVALS, MR. KAIZAD BHARUCHA (DIN

02490648), BE AND IS HEREBY RE-APPOINTED AS

EXECUTIVE DIRECTOR OF THE BANK, LIABLE TO

RETIRE BY ROTATION, FOR A PERIOD OF THREE (3)

YEARS COMMENCING FROM JUNE 13, 2020 UP TO

JUNE 12, 2023 UPON SUCH TERMS AND

CONDITIONS INCLUDING REMUNERATION AS SET

OUT IN THE EXPLANATORY STATEMENT TO THE

RESOLUTION AS PER ITEM NO. 8 OF THE NOTICE

OF THE ANNUAL GENERAL MEETING AND WHICH IS

SPECIFICALLY APPROVED AND SANCTIONED WITH

AUTHORITY TO THE BOARD TO ALTER AND VARY

THE TERMS AND CONDITIONS OF THE SAID

APPOINTMENT AND / OR AGREEMENT INCLUDING

INCREMENTS AND / OR ANY OTHER COMPONENTS

OF THE REMUNERATION, AS MAY BE NECESSARY

FROM TIME TO TIME, IN VIEW OF ANY APPROVALS

AND CONDITIONS AS MAY BE GIVEN / STIPULATED

BY THE RBI OR ANY OTHER STATUTORY

AUTHORITY, (INCLUDING AUTHORITY, FROM TIME

TO TIME TO DETERMINE THE AMOUNT OF SALARY

AS ALSO THE TYPE AND AMOUNT OF PERQUISITES

AND OTHER BENEFITS PAYABLE TO MR.

BHARUCHA), IN SUCH MANNER AS MAY BE

DECIDED BY THE BOARD; RESOLVED FURTHER

THAT THE BOARD BE AND IS HEREBY AUTHORIZED

TO DO ALL SUCH ACTS, DEEDS, MATTERS AND

THINGS AND TO EXECUTE ANY AGREEMENTS,

DOCUMENTS, INSTRUMENTS AND WRITINGS AS

MAY BE REQUIRED, WITH POWER TO SETTLE ALL

QUESTIONS, DIFFICULTIES OR DOUBTS THAT MAY

ARISE IN REGARD TO THE SAID APPOINTMENT AS

IT MAY IN ITS SOLE DISCRETION DEEM FIT AND

NECESSARY AND TO DELEGATE ALL OR ANY OF ITS

POWERS CONFERRED HEREIN TO ANY

DIRECTOR(S) AND / OR OFFICER(S) OF THE BANK

TO GIVE EFFECT TO THIS RESOLUTION."

Management

For

TO APPOINT MRS. RENU KARNAD (DIN 00008064) AS

A NON- EXECUTIVE DIRECTOR AND IN THIS

REGARD TO CONSIDER, AND IF THOUGHT FIT, TO

PASS, THE FOLLOWING RESOLUTION AS AN

ORDINARY RESOLUTION: "RESOLVED THAT

PURSUANT TO SECTION 152 AND OTHER

APPLICABLE PROVISIONS, IF ANY, OF THE

COMPANIES ACT, 2013 AND THE RELEVANT RULES

THEREUNDER, THE BANKING REGULATION ACT,

1949, RELEVANT CIRCULARS ISSUED BY THE RBI

FROM TIME TO TIME INCLUDING ANY

AMENDMENTS, MODIFICATIONS, VARIATIONS OR

RE-ENACTMENTS THEREOF AND

RECOMMENDATION OF THE NOMINATION AND

REMUNERATION COMMITTEE AND THE BOARD OF

DIRECTORS OF THE BANK (HEREINAFTER

REFERRED TO AS THE "BOARD", WHICH TERM

SHALL BE DEEMED TO INCLUDE ANY COMMITTEE

CONSTITUTED / EMPOWERED / TO BE

CONSTITUTED BY THE BOARD FROM TIME TO TIME

TO EXERCISE ITS POWERS CONFERRED BY THIS

RESOLUTION), MRS. RENU KARNAD (DIN 00008064),

WHO HAS BEEN APPOINTED AS AN ADDITIONAL

NON- EXECUTIVE DIRECTOR OF THE BANK BY THE

BOARD WITH EFFECT FROM MARCH 3, 2020 UNTIL

SHE ATTAINS THE AGE OF 70 YEARS I.E. UPTO

SEPTEMBER 3, 2022 IN ACCORDANCE WITH

SECTION 161(1) OF THE COMPANIES ACT, 2013 AND

THE ARTICLES OF ASSOCIATION OF THE BANK AND

WHOSE TERM OF OFFICE EXPIRES AT THE ANNUAL

GENERAL MEETING, BE AND IS HEREBY

APPOINTED AS A NON- EXECUTIVE DIRECTOR

(NOMINEE OF HOUSING DEVELOPMENT FINANCE

CORPORATION LIMITED, PROMOTER OF THE

BANK), AND THAT SHE SHALL BE LIABLE TO RETIRE

BY ROTATION AND SHALL BE PAID SITTING FEES

AND REIMBURSED EXPENSES FOR ATTENDING

BOARD AND COMMITTEE MEETINGS, AS MAY BE

PERMISSIBLE UNDER LAW FROM TIME TO TIME, AS

WELL AS PROFIT RELATED COMMISSION AS MAY

BE ALLOWED BY RELEVANT RBI GUIDELINES AND

OTHER APPLICABLE LAWS, FROM TIME TO TIME."

Management

For

TO RATIFY AND APPROVE THE RELATED PARTY

TRANSACTIONS WITH HOUSING DEVELOPMENT

FINANCE CORPORATION LIMITED AND IN THIS

REGARD TO CONSIDER AND, IF THOUGHT FIT, TO

PASS, THE FOLLOWING RESOLUTION AS AN

ORDINARY RESOLUTION: "RESOLVED THAT

PURSUANT TO THE SECURITIES AND EXCHANGE

BOARD OF INDIA (LISTING OBLIGATIONS AND

DISCLOSURE REQUIREMENTS) REGULATIONS, 2015

("LISTING REGULATIONS") AND ANY OTHER

APPLICABLE PROVISIONS OF LAW, INCLUDING ANY

AMENDMENTS, MODIFICATIONS, VARIATIONS OR

RE-ENACTMENTS THEREOF, THE MEMBERS OF THE

BANK DO HEREBY RATIFY AS ALSO ACCORD

FURTHER APPROVAL TO THE BOARD OF

DIRECTORS OF THE BANK (HEREINAFTER

REFERRED TO AS THE "BOARD", WHICH TERM

SHALL BE DEEMED TO INCLUDE ANY COMMITTEE

CONSTITUTED / EMPOWERED / TO BE

CONSTITUTED BY THE BOARD FROM TIME TO TIME

TO EXERCISE ITS POWERS CONFERRED BY THIS

RESOLUTION) FOR CARRYING OUT AND / OR

CONTINUING WITH ARRANGEMENTS AND

TRANSACTIONS (WHETHER INDIVIDUAL

TRANSACTION OR TRANSACTIONS TAKEN

TOGETHER OR SERIES OF TRANSACTIONS OR

OTHERWISE) WITH HOUSING DEVELOPMENT

FINANCE CORPORATION LIMITED ("HDFC LIMITED"),

BEING A RELATED PARTY, WHETHER BY WAY OF

RENEWAL(S) OR EXTENSION(S) OR

MODIFICATION(S) OF EARLIER ARRANGEMENTS /

TRANSACTIONS OR OTHERWISE, INCLUDING

BANKING TRANSACTIONS, TRANSACTIONS FOR

SOURCING OF HOME LOANS FOR HDFC LIMITED

AGAINST THE CONSIDERATION OF THE

COMMISSION AGREED UPON OR AS MAY BE

MUTUALLY AGREED UPON FROM TIME TO TIME,

PURCHASE / SECURITIZATION OF SUCH

PERCENTAGE OF HOME LOANS SOURCED AND

DISBURSED AS MAY BE AGREED FROM TIME TO

TIME MUTUALLY BETWEEN THE BANK AND HDFC

LIMITED, SERVICING BY HDFC LIMITED OF HOME

LOANS ASSIGNED BY IT / SECURITIZED AGAINST

THE CONSIDERATION AGREED UPON OR AS MAY

BE AGREED UPON FROM TIME TO TIME AND ANY

OTHER TRANSACTIONS INCLUDING THOSE AS MAY

BE DISCLOSED IN THE NOTES FORMING PART OF

THE FINANCIAL STATEMENTS FOR THE RELEVANT

PERIOD, NOTWITHSTANDING THE FACT THAT ALL

THESE TRANSACTIONS WITHIN THE FINANCIAL

YEAR 2020-21 IN AGGREGATE MAY EXCEED 10% OF

THE ANNUAL CONSOLIDATED TURNOVER OF THE

BANK AS PER THE BANK'S LAST AUDITED

FINANCIAL STATEMENTS OR ANY MATERIALITY

THRESHOLD AS MAY BE APPLICABLE FROM TIME

TO TIME; RESOLVED FURTHER THAT THE

MEMBERS OF THE BANK DO HEREBY RATIFY AS

ALSO ACCORD FURTHER APPROVAL TO THE

BOARD OF DIRECTORS OF THE BANK TO SIGN AND

EXECUTE ALL SUCH DOCUMENTS, DEEDS AND

WRITINGS AND TO DO ALL SUCH ACTS, DEEDS,

MATTERS AND THINGS AS MAY BE DEEMED

NECESSARY, EXPEDIENT AND INCIDENTAL

THERETO AND TO DELEGATE ALL OR ANY OF ITS

POWERS HEREIN CONFERRED TO ANY COMMITTEE

OF DIRECTORS AND / OR DIRECTOR(S) AND / OR

OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY

OTHER PERSON(S) TO GIVE EFFECT TO THE

AFORESAID RESOLUTION."

Management

For

TO RATIFY AND APPROVE THE RELATED PARTY

TRANSACTIONS WITH HDB FINANCIAL SERVICES

LIMITED AND IN THIS REGARD TO CONSIDER, AND

IF THOUGHT FIT, TO PASS, THE FOLLOWING

RESOLUTION AS AN ORDINARY RESOLUTION:

"RESOLVED THAT PURSUANT TO THE SECURITIES

AND EXCHANGE BOARD OF INDIA (LISTING

OBLIGATIONS AND DISCLOSURE REQUIREMENTS)

REGULATIONS, 2015 ("LISTING REGULATIONS") AND

ANY OTHER APPLICABLE PROVISIONS OF LAW,

INCLUDING ANY AMENDMENTS, MODIFICATIONS,

VARIATIONS OR RE-ENACTMENTS THEREOF, THE

MEMBERS OF THE BANK DO HEREBY RATIFY AND

ALSO ACCORD FURTHER APPROVAL TO THE

BOARD OF DIRECTORS OF THE BANK

(HEREINAFTER REFERRED TO AS THE "BOARD",

WHICH TERM SHALL BE DEEMED TO INCLUDE ANY

COMMITTEE CONSTITUTED / EMPOWERED / TO BE

CONSTITUTED BY THE BOARD FROM TIME TO TIME

TO EXERCISE ITS POWERS CONFERRED BY THIS

RESOLUTION) FOR CARRYING OUT AND/OR

CONTINUING WITH ARRANGEMENTS AND THE

TRANSACTIONS (WHETHER INDIVIDUAL

TRANSACTIONS OR TRANSACTIONS TAKEN

TOGETHER OR SERIES OF TRANSACTIONS OR

OTHERWISE) WITH HDB FINANCIAL SERVICES

LIMITED ("HDBFSL"), BEING A RELATED PARTY,

INCLUDING TRANSACTIONS OF PURCHASE /

SECURITIZATION OF LOANS, SERVICING

ARRANGEMENTS, IF ANY, BANKING TRANSACTIONS

AND ANY OTHER ARRANGEMENTS /

TRANSACTIONS AS DISCLOSED IN THE NOTES

FORMING PART OF THE FINANCIAL STATEMENTS,

WHETHER BY WAY OF CONTINUATION,

RENEWAL(S) OR EXTENSION(S) OR

MODIFICATION(S) OF EARLIER ARRANGEMENTS /

TRANSACTIONS OR OTHERWISE, AGAINST SUCH

CONSIDERATION AS AGREED UPON OR AS MAY BE

MUTUALLY AGREED UPON FROM TIME TO TIME

BETWEEN THE BANK AND HDBFSL,

NOTWITHSTANDING THE FACT THAT ALL THESE

TRANSACTIONS WITHIN THE FINANCIAL YEAR 2020-

21 IN AGGREGATE MAY EXCEED 10% OF THE

ANNUAL CONSOLIDATED TURNOVER OF THE BANK

AS PER THE BANK'S LAST AUDITED FINANCIAL

STATEMENTS OR ANY MATERIALITY THRESHOLD

AS MAY BE APPLICABLE FROM TIME TO TIME;

RESOLVED FURTHER THAT THE MEMBERS OF THE

BANK DO HEREBY RATIFY AS ALSO ACCORD

FURTHER APPROVAL TO THE BOARD OF

DIRECTORS OF THE BANK TO SIGN AND EXECUTE

ALL SUCH DOCUMENTS, DEEDS AND WRITINGS

AND TO DO ALL SUCH ACTS, DEEDS, MATTERS AND

THINGS AS MAY BE DEEMED NECESSARY,

EXPEDIENT AND INCIDENTAL THERETO AND TO

DELEGATE ALL OR ANY OF ITS POWERS HEREIN

CONFERRED TO ANY COMMITTEE OF DIRECTORS

AND / OR DIRECTOR(S) AND / OR OFFICER(S) /

EMPLOYEE(S) OF THE BANK / ANY OTHER

PERSON(S) TO GIVE EFFECT TO THE AFORESAID

RESOLUTION."

Management

For

TO ISSUE UNSECURED PERPETUAL DEBT

INSTRUMENTS (PART OF ADDITIONAL TIER I

CAPITAL), TIER II CAPITAL BONDS AND LONG TERM

BONDS (FINANCING OF INFRASTRUCTURE AND

AFFORDABLE HOUSING) ON A PRIVATE

PLACEMENT BASIS AND IN THIS REGARD TO

CONSIDER AND, IF THOUGHT FIT, TO PASS THE

FOLLOWING RESOLUTION, AS A SPECIAL

RESOLUTION: "RESOLVED THAT PURSUANT TO

SECTION 42 AND OTHER APPLICABLE PROVISIONS,

IF ANY, OF THE COMPANIES ACT, 2013, RULE 14

AND OTHER APPLICABLE PROVISIONS, IF ANY, OF

THE COMPANIES (PROSPECTUS AND ALLOTMENT

OF SECURITIES) RULES, 2014, THE COMPANIES

(SHARE CAPITAL AND DEBENTURE) RULES, 2014,

ANY OTHER APPLICABLE RULES, SECURITIES AND

EXCHANGE BOARD OF INDIA (ISSUE AND LISTING

OF DEBT SECURITIES) REGULATIONS, 2008, ANY

OTHER APPLICABLE PROVISIONS OF LAW, ANY

AMENDMENTS, MODIFICATIONS, VARIATIONS OR

REENACTMENTS THERETO FROM TIME TO TIME,

AND THE PROVISIONS OF THE MEMORANDUM AND

ARTICLES OF ASSOCIATION OF THE BANK AND

SUBJECT TO SUCH OTHER APPROVAL(S),

CONSENT(S), PERMISSION(S) AND SANCTION(S) AS

MAY BE NECESSARY FROM THE CONCERNED

AUTHORITIES / REGULATORS / STATUTORY

AUTHORITY(IES), INCLUDING THE RESERVE BANK

OF INDIA ("RBI"), THE APPROVAL OF THE MEMBERS

OF THE BANK BE AND IS HEREBY ACCORDED TO

THE BOARD OF DIRECTORS OF THE BANK

(HEREINAFTER REFERRED TO AS "BOARD" AND

WHICH TERM SHALL BE DEEMED TO INCLUDE ANY

COMMITTEE OF THE BOARD OR ANY OTHER

PERSONS TO WHOM POWERS ARE DELEGATED BY

THE BOARD AS PERMITTED UNDER THE

COMPANIES ACT, 2013 OR RULES THEREUNDER)

FOR BORROWING / RAISING FUNDS IN INDIAN

CURRENCY BY ISSUE OF UNSECURED PERPETUAL

DEBT INSTRUMENTS (PART OF ADDITIONAL TIER I

CAPITAL), TIER II CAPITAL BONDS AND LONG TERM

BONDS (FINANCING OF INFRASTRUCTURE AND

AFFORDABLE HOUSING) IN DOMESTIC MARKET ON

A PRIVATE PLACEMENT BASIS AND / OR FOR

MAKING OFFERS AND / OR INVITATIONS THEREFOR

AND / OR ISSUE(S) / ISSUANCES THEREFOR, ON

PRIVATE PLACEMENT BASIS, FOR A PERIOD OF

ONE (1) YEAR FROM THE DATE HEREOF, IN ONE OR

MORE TRANCHES AND / OR SERIES AND UNDER

ONE OR MORE SHELF DISCLOSURE DOCUMENTS

AND / OR ONE OR MORE ISSUES / LETTERS OF

OFFER OR SUCH OTHER DOCUMENTS OR

AMENDMENTS / REVISIONS THEREOF AND ON

SUCH TERMS AND CONDITIONS FOR EACH SERIES /

TRANCHES INCLUDING THE PRICE, COUPON,

PREMIUM, DISCOUNT, TENOR, ETC. AS DEEMED FIT

BY THE BOARD, AS PER THE STRUCTURE AND

WITHIN THE LIMITS PERMITTED BY THE RBI, OF AN

AMOUNT IN AGGREGATE NOT EXCEEDING INR

50,000 CRORES (RUPEES FIFTY THOUSAND

CRORES ONLY); RESOLVED FURTHER THAT THE

MEMBERS OF THE BANK DO HEREBY ACCORD

APPROVAL TO THE BOARD OF DIRECTORS OF THE

BANK TO SIGN AND EXECUTE ALL SUCH

DOCUMENTS, DEEDS AND WRITINGS AND TO DO

ALL SUCH ACTS, DEEDS, MATTERS AND THINGS AS

MAY BE DEEMED NECESSARY, EXPEDIENT AND

INCIDENTAL THERETO WITH POWER TO SETTLE

ALL QUESTIONS, DIFFICULTIES OR DOUBTS THAT

MAY ARISE WITH REGARD TO ANY OF THE SAID

MATTERS, AND TO DELEGATE ALL OR ANY OF ITS

POWERS HEREIN CONFERRED TO ANY COMMITTEE

OF DIRECTORS AND / OR DIRECTOR(S) AND / OR

OFFICER(S) / EMPLOYEE(S) OF THE BANK / ANY

OTHER PERSON(S) TO GIVE EFFECT TO THE

AFORESAID RESOLUTION."

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

26-Jun-2020

STATE

32,612

26-Jun-2020

STREET BANK

QORVO, INC.

Security

74736K101

Meeting Type

Annual

Ticker Symbol

QRVO

Meeting Date

04-Aug-2020

ISIN

US74736K1016

Agenda

935242191 - Management

Record Date

11-Jun-2020

Holding Recon Date

11-Jun-2020

City /

Country

United

Vote Deadline Date

03-Aug-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Ralph G. Quinsey

For

Robert A. Bruggeworth

For

Jeffery R. Gardner

For

John R. Harding

For

David H. Y. Ho

For

Roderick D. Nelson

For

Dr. Walden C. Rhines

For

Susan L. Spradley

For

Walter H. Wilkinson, Jr

For

Management

For

To approve, on an advisory basis, the compensation of

our Named Executive Officers (as defined in the proxy

statement).

Management

For

To ratify the appointment of Ernst & Young LLP as our

independent registered public accounting firm for the

fiscal year ending April 3, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

24-Jun-2020

STATE

1,020

24-Jun-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

GDS HOLDINGS LIMITED

Security

36165L108

Meeting Type

Annual

Ticker Symbol

GDS

Meeting Date

06-Aug-2020

ISIN

US36165L1089

Agenda

935250946 - Management

Record Date

10-Jul-2020

Holding Recon Date

10-Jul-2020

City /

Country

United

Vote Deadline Date

03-Aug-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

Re-election of Mr. Gary J. Wojtaszek as a director of the

Company.

Management

For

Re-election of Mr. Satoshi Okada as a director of the

Company.

Management

For

Confirmation of the appointment of KPMG Huazhen LLP

as independent auditor of the Company for the fiscal year

ending December 31, 2020.

Management

For

Approval of the amendment to Section 3(a) of the 2016

Equity Incentive Plan of the Company (the "ESOP

Amendment") as follows: "Subject to the provisions of

Section 9 and paragraph (b) of this Section 3, the

maximum number of Shares which may be issuable

pursuant to Awards under the Plan is 56,707,560 Shares,

provided, however, that the maximum number of

unallocated Shares which may be issuable pursuant to

Awards under the Plan shall be automatically increased

on the first day of each fiscal year ...(due to space limits,

see proxy material for full proposal).

Management

For

Authorization of the Board of Directors of the Company to

approve allotment or issuance, in the 12-month period

from the date of the Meeting, of ordinary shares or other

equity or equity-linked securities of the Company up to an

aggregate twenty per cent. (20%) of its existing issued

share capital of the Company at the date of the Meeting,

whether in a single transaction or a series of transactions

(OTHER THAN any allotment or issues of shares on the

exercise of any options that have been granted by the

Company).

Management

For

Authorization of each of the directors and officers of the

Company to take any and every action that might be

necessary to effect the foregoing resolutions as such

director or officer, in his or her absolute discretion, thinks

fit.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

17-Jul-2020

STATE

4,240

17-Jul-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MICROCHIP TECHNOLOGY INCORPORATED

Security

595017104

Meeting Type

Annual

Ticker Symbol

MCHP

Meeting Date

18-Aug-2020

ISIN

US5950171042

Agenda

935248357 - Management

Record Date

24-Jun-2020

Holding Recon Date

24-Jun-2020

City /

Country

United

Vote Deadline Date

17-Aug-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1a.

For

Election of Director: Steve Sanghi

Management

1b.

For

Election of Director: Matthew W. Chapman

Management

1c.

For

Election of Director: L.B. Day

Management

1d.

For

Election of Director: Esther L. Johnson

Management

1e.

For

Election of Director: Wade F. Meyercord

Management

For

Proposal to ratify the appointment of Ernst & Young LLP

as the independent registered public accounting firm of

Microchip for the fiscal year ending March 31, 2021.

Management

For

Proposal to approve, on an advisory (non-binding) basis,

the compensation of our named executives.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

15-Jul-2020

STATE

3,100

15-Jul-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ZAI LAB LTD

Security

98887Q104

Meeting Type

Special

Ticker Symbol

ZLAB

Meeting Date

04-Sep-2020

ISIN

US98887Q1040

Agenda

935262004 - Management

Record Date

07-Aug-2020

Holding Recon Date

07-Aug-2020

City /

Country

China

Vote Deadline Date

28-Aug-2020

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

O1.

For

AS AN ORDINARY RESOLUTION: That the

shareholders of the Company hereby authorize, approve,

and confirm with immediate effect that the authorized

share capital of the Company be increased to US$30,000

divided into 500,000,000 shares of a nominal or par value

of US$0.00006.

Management

S2.

For

AS A SPECIAL RESOLUTION: That, in connection with

the increase in share capital, the shareholders of the

Company hereby authorize, approve, and confirm with

immediate effect that the Fourth Amended and Restated

Memorandum of Association of the Company be replaced

in its entirety with the consolidated version as tabled at

the Meeting and as attached to the notice of the

Extraordinary General Meeting.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

18-Aug-2020

STATE

6,020

18-Aug-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

WNS (HOLDINGS) LIMITED

Security

92932M101

Meeting Type

Annual

Ticker Symbol

WNS

Meeting Date

24-Sep-2020

ISIN

US92932M1018

Agenda

935265113 - Management

Record Date

20-Aug-2020

Holding Recon Date

20-Aug-2020

City /

Country

United

Vote Deadline Date

15-Sep-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

Adoption of the audited annual accounts of the Company

for the financial year ended March 31, 2020, together

with the auditors' report.

Management

For

Re-appointment of Grant Thornton India LLP as the

auditors of the Company.

Management

For

Approval of auditors' remuneration for the financial year

ending March 31, 2021.

Management

For

Re-election of the Class II Director, Mr. Michael

Menezes.

Management

For

Re-election of the Class II Director, Mr. Keith Haviland.

Management

For

Re-election of the Class II Director, Mr. Keshav R

Murugesh.

Management

Approval of Directors' remuneration for the period from

For

the Annual General Meeting until the next annual general

meeting of the Company to be held in respect of the

financial year ending March 31, 2021.

Management

For

Increase in the Ordinary Shares/American Depositary

Shares, ("ADSs") available for grant under the

Company's 2016 Incentive Award Plan as may be

amended and restated pursuant to and in accordance

with terms thereof ("the 2016 Incentive Award Plan") by

2.2 Million Ordinary Shares/ADSs (representing 4.4% of

the total outstanding share capital as at June 30, 2020)

and the adoption of Company's Second Amended and

Restated 2016 Incentive Award Plan to reflect such

increase, substantially in the form set out in Appendix B

to this Proxy Statement.

Management

To authorize the purchase of ADSs, effective from April 1,

For

2021("the Effective Date") and up to (and excluding) the

date of the third anniversary of the Effective Date, subject

to a minimum and maximum price and an aggregate limit

on the ADSs to be purchased (the "Repurchase Plan.").

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

26-Aug-2020

STATE

6,600

26-Aug-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MEITUAN

Security

G59669104

Meeting Type

ExtraOrdinary General Meeting

Ticker Symbol

Meeting Date

29-Sep-2020

ISIN

KYG596691041

Agenda

713104874 - Management

Record Date

23-Sep-2020

Holding Recon Date

23-Sep-2020

City /

Country

BEIJING

Cayman

Vote Deadline Date

22-Sep-2020

Islands

SEDOL(s)

BF55PW1 - BFZP1K1 - BGJW376 -

Quick Code

BJXML02

Proposed

Item

Proposal

Vote

For/Against

Management

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/

0911/2020091100448.pdf-AND-

https://www1.hkexnews.hk/listedco/listconews/sehk/2020/

0911/2020091100420.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

1.A

Management

For

TO APPROVE, SUBJECT TO AND CONDITIONAL

UPON THE APPROVAL OF THE REGISTRAR OF

COMPANIES OF THE CAYMAN ISLANDS, THE

CHANGE OF THE ENGLISH NAME OF THE COMPANY

FROM "MEITUAN DIANPING" TO "MEITUAN" AND THE

ADOPTION OF THE CHINESE NAME OF ("AS

SPECIFIED") AS THE DUAL FOREIGN NAME OF THE

COMPANY IN PLACE OF ITS EXISTING CHINESE

NAME OF ("AS SPECIFIED") WITH EFFECT FROM

THE DATE OF REGISTRATION AS SET OUT IN THE

CERTIFICATE OF INCORPORATION ON CHANGE OF

NAME ISSUED BY THE REGISTRAR OF COMPANIES

OF THE CAYMAN ISLANDS

Management

1.B

For

TO AUTHORIZE ANY ONE DIRECTOR OF THE

COMPANY ON BEHALF OF THE COMPANY TO DO

ALL SUCH ACTS AND THINGS AND EXECUTE AND

DELIVER ALL SUCH DOCUMENTS WHICH HE

CONSIDERS NECESSARY, DESIRABLE OR

EXPEDIENT FOR THE PURPOSE OF, OR IN

CONNECTION WITH, THE IMPLEMENTATION OF AND

GIVING EFFECT TO RESOLUTION NO. 1(A) ABOVE

AND TO ATTEND TO ANY REGISTRATION AND/OR

FILING IN THE CAYMAN ISLANDS AND HONG KONG

ON BEHALF OF THE COMPANY

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

12-Sep-2020

STATE

10,500

12-Sep-2020

STREET BANK

ALIBABA GROUP HOLDING LTD

Security

G01719114

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

30-Sep-2020

ISIN

KYG017191142

Agenda

713057619 - Management

Record Date

17-Aug-2020

Holding Recon Date

17-Aug-2020

City /

Country

HANGZH

Cayman

Vote Deadline Date

23-Sep-2020

Islands

SEDOL(s)

BK6YZP5 - BKBZDX7 - BKTCWH7

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

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/

0825/2020082501039.pdf-AND-

https://www1.hkexnews.hk/listedco/listconews/sehk/2020/

0825/2020082500999.pdf

Management

For

AMEND AND RESTATE THE COMPANY'S

MEMORANDUM AND ARTICLES OF ASSOCIATION TO

EXPRESSLY PERMIT COMPLETELY VIRTUAL

SHAREHOLDERS' MEETINGS AND REFLECT SUCH

UPDATES AS DETAILED IN THE PROXY STATEMENT

AND SET FORTH IN EXHIBIT A THERETO

Management

2.1

For

ELECT THE FOLLOWING DIRECTOR NOMINEE TO

SERVE ON THE BOARD OF DIRECTORS: MAGGIE

WEI WU

Management

2.2

For

ELECT THE FOLLOWING DIRECTOR NOMINEE TO

SERVE ON THE BOARD OF DIRECTORS: KABIR

MISRA

2.3

Management

For

ELECT THE FOLLOWING DIRECTOR NOMINEE TO

SERVE ON THE BOARD OF DIRECTORS: WALTER

TEH MING KWAUK

Management

For

RATIFY THE APPOINTMENT OF

PRICEWATERHOUSECOOPERS AS THE

INDEPENDENT REGISTERED PUBLIC ACCOUNTING

FIRM OF THE COMPANY FOR THE FISCAL YEAR

ENDING MARCH 31, 2021

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

27-Aug-2020

AL94

STATE

14,670

27-Aug-2020

STREET BANK

TELADOC HEALTH, INC.

Security

87918A105

Meeting Type

Special

Ticker Symbol

TDOC

Meeting Date

29-Oct-2020

ISIN

US87918A1051

Agenda

935274794 - Management

Record Date

08-Sep-2020

Holding Recon Date

08-Sep-2020

City /

Country

United

Vote Deadline Date

28-Oct-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

Approval of Share Issuance. To approve the issuance of

shares of Teladoc Health, Inc. ("Teladoc") common stock

to the shareholders of Livongo Health, Inc. ("Livongo")

pursuant to the Agreement and Plan of Merger, dated as

of August 5, 2020, by and among Teladoc, Livongo, and

Tempranillo Merger Sub, Inc., a wholly-owned subsidiary

of Teladoc (the "Teladoc share issuance proposal").

Management

For

Adoption of Charter Amendment. To adopt an

amendment to the certificate of incorporation of Teladoc

(the "Teladoc charter amendment proposal")

Management

For

Adjournment of Teladoc Shareholder Meeting. To

approve the adjournment of the Teladoc shareholder

meeting to solicit additional proxies if there are not

sufficient votes at the time of the Teladoc shareholder

meeting to approve the Teladoc share issuance proposal

and the Teladoc charter amendment proposal or to

ensure that any supplement or amendment to the

accompanying joint proxy statement/prospectus is timely

provided to Teladoc shareholders.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

19-Sep-2020

STATE

2,410

19-Sep-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

19-Sep-2020

STATE

600

19-Sep-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

LAM RESEARCH CORPORATION

Security

512807108

Meeting Type

Annual

Ticker Symbol

LRCX

Meeting Date

03-Nov-2020

ISIN

US5128071082

Agenda

935272675 - Management

Record Date

04-Sep-2020

Holding Recon Date

04-Sep-2020

City /

Country

United

Vote Deadline Date

02-Nov-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Sohail U. Ahmed

For

Timothy M. Archer

For

Eric K. Brandt

For

Michael R. Cannon

For

Catherine P. Lego

For

Bethany J. Mayer

For

Abhijit Y. Talwalkar

For

Lih Shyng (Rick L) Tsai

For

Leslie F. Varon

For

Management

For

Advisory vote to approve the compensation of the named

executive officers of Lam Research, or "Say on Pay."

Management

For

Ratification of the appointment of the independent

registered public accounting firm for fiscal year 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

24-Sep-2020

STATE

620

24-Sep-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

24-Sep-2020

STATE

300

24-Sep-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

COVETRUS, INC.

Security

22304C100

Meeting Type

Special

Ticker Symbol

CVET

Meeting Date

17-Nov-2020

ISIN

US22304C1009

Agenda

935292994 - Management

Record Date

23-Oct-2020

Holding Recon Date

23-Oct-2020

City /

Country

United

Vote Deadline Date

16-Nov-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

To approve the conversion of the Series A Convertible

Preferred Stock into shares of Common Stock pursuant

to NASDAQ Listing Rule 5635(b) to provide for the

elimination of the preferred dividends.

Management

For

To approve an adjournment of the Special Meeting, if

necessary or appropriate, to permit solicitation of

additional proxies in favor of the above proposal.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

31-Oct-2020

STATE

22,100

31-Oct-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BEIGENE LTD

Security

07725L102

Meeting Type

Special

Ticker Symbol

BGNE

Meeting Date

20-Nov-2020

ISIN

US07725L1026

Agenda

935285583 - Management

Record Date

10-Sep-2020

Holding Recon Date

10-Sep-2020

City /

Country

United

Vote Deadline Date

11-Nov-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

THAT the grant of an option to acquire shares to Amgen

Inc. ("Amgen") to allow Amgen to subscribe for additional

shares under a specific mandate in an amount necessary

to enable it to increase (and subsequently maintain) its

ownership at approximately 20.6% of the Company's

outstanding share capital, up to an aggregate of

75,000,000 ordinary shares during the option term,

pursuant to the terms of the Restated Amendment No. 2

dated September 24, 2020 to the Share Purchase

Agreement ...Due to space limits, see proxy material for

full proposal.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

16-Oct-2020

STATE

710

16-Oct-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MICROSOFT CORPORATION

Security

594918104

Meeting Type

Annual

Ticker Symbol

MSFT

Meeting Date

02-Dec-2020

ISIN

US5949181045

Agenda

935284478 - Management

Record Date

08-Oct-2020

Holding Recon Date

08-Oct-2020

City /

Country

United

Vote Deadline Date

01-Dec-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Reid G. Hoffman

Management

1B.

For

Election of Director: Hugh F. Johnston

Management

1C.

For

Election of Director: Teri L. List-Stoll

Management

1D.

For

Election of Director: Satya Nadella

Management

1E.

For

Election of Director: Sandra E. Peterson

Management

1F.

For

Election of Director: Penny S. Pritzker

Management

1G.

For

Election of Director: Charles W. Scharf

Management

1H.

For

Election of Director: Arne M. Sorenson

Management

1I.

For

Election of Director: John W. Stanton

Management

1J.

For

Election of Director: John W. Thompson

Management

1K.

For

Election of Director: Emma N. Walmsley

Management

1L.

For

Election of Director: Padmasree Warrior

Management

For

Advisory vote to approve named executive officer

compensation.

Management

For

Ratification of Deloitte & Touche LLP as our independent

auditor for fiscal year 2021.

Shareholder

Against

For

Shareholder Proposal - Report on Employee

Representation on Board of Directors.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

21-Oct-2020

STATE

4,995

21-Oct-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

21-Oct-2020

STATE

1,466

21-Oct-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Special

Ticker Symbol

BBDC

Meeting Date

23-Dec-2020

ISIN

US06759L1035

Agenda

935311314 - Management

Record Date

29-Oct-2020

Holding Recon Date

29-Oct-2020

City /

Country

United

Vote Deadline Date

22-Dec-2020

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

To approve the issuance of shares of Barings BDC, Inc.

("Barings BDC") common stock, $0.001 par value per

share ("Barings BDC Common Stock"), pursuant to the

Agreement and Plan of Merger, dated as of August 10,

2020, by and among Barings BDC, Mustang Acquisition

Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger

Agreement").

Management

For

To approve the issuance of shares of Barings BDC

Common Stock pursuant to the Merger Agreement at a

price below its then- current net asset value per share, if

applicable.

Management

For

To approve an amended and restated investment

advisory agreement between Barings BDC and Barings

LLC.

Management

For

To approve the adjournment of the Barings BDC special

For

meeting, if necessary or appropriate, to solicit additional

proxies, in the event that there are insufficient votes at

the time of the Barings BDC special meeting to approve

Proposal 1, Proposal 2 or Proposal 3.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

01-Dec-2020

STATE

51,100

01-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MICRON TECHNOLOGY, INC.

Security

595112103

Meeting Type

Annual

Ticker Symbol

Meeting Date

14-Jan-2021

ISIN

US5951121038

Agenda

935308975 - Management

Record Date

18-Nov-2020

Holding Recon Date

18-Nov-2020

City /

Country

United

Vote Deadline Date

13-Jan-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1a.

For

Election of Director: Richard M. Beyer

Management

1b.

For

Election of Director: Lynn A. Dugle

Management

1c.

For

Election of Director: Steven J. Gomo

Management

1d.

For

Election of Director: Mary Pat McCarthy

Management

1e.

For

Election of Director: Sanjay Mehrotra

Management

1f.

For

Election of Director: Robert E. Switz

Management

1g.

For

Election of Director: MaryAnn Wright

Management

For

PROPOSAL BY THE COMPANY TO APPROVE A NON-

BINDING RESOLUTION TO APPROVE THE

COMPENSATION OF OUR NAMED EXECUTIVE

OFFICERS AS DESCRIBED IN THE PROXY

STATEMENT.

Management

For

PROPOSAL BY THE COMPANY TO APPROVE OUR

AMENDED AND RESTATED 2007 EQUITY INCENTIVE

PLAN AND INCREASE THE SHARES RESERVED FOR

ISSUANCE THEREUNDER BY 35 MILLION AS

DESCRIBED IN THE PROXY STATEMENT.

Management

For

PROPOSAL BY THE COMPANY TO RATIFY THE

APPOINTMENT OF PRICEWATERHOUSECOOPERS

LLP AS THE INDEPENDENT REGISTERED PUBLIC

ACCOUNTING FIRM OF THE COMPANY FOR THE

FISCAL YEAR ENDING SEPTEMBER 2, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

02-Dec-2020

STATE

10,100

02-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

D.R. HORTON, INC.

Security

23331A109

Meeting Type

Annual

Ticker Symbol

DHI

Meeting Date

20-Jan-2021

ISIN

US23331A1097

Agenda

935320870 - Management

Record Date

30-Nov-2020

Holding Recon Date

30-Nov-2020

City /

Country

United

Vote Deadline Date

19-Jan-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of director: Donald R. Horton

Management

1B.

For

Election of director: Barbara K. Allen

Management

1C.

For

Election of director: Brad S. Anderson

Management

1D.

For

Election of director: Michael R. Buchanan

Management

1E.

For

Election of director: Michael W. Hewatt

Management

1F.

For

Election of director: Maribess L. Miller

Management

For

Approval of the advisory resolution on executive

compensation.

Management

For

Ratify the appointment of Ernst & Young LLP as our

independent registered public accounting firm.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

29-Dec-2020

STATE

2,500

29-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

29-Dec-2020

STATE

10,000

29-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

INTUIT INC.

Security

461202103

Meeting Type

Annual

Ticker Symbol

INTU

Meeting Date

21-Jan-2021

ISIN

US4612021034

Agenda

935313217 - Management

Record Date

23-Nov-2020

Holding Recon Date

23-Nov-2020

City /

Country

United

Vote Deadline Date

20-Jan-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1a.

For

Election of Director: Eve Burton

Management

1b.

For

Election of Director: Scott D. Cook

Management

1c.

For

Election of Director: Richard L. Dalzell

Management

1d.

For

Election of Director: Sasan K. Goodarzi

Management

1e.

For

Election of Director: Deborah Liu

Management

1f.

For

Election of Director: Tekedra Mawakana

Management

1g.

For

Election of Director: Suzanne Nora Johnson

Management

1h.

For

Election of Director: Dennis D. Powell

Management

1i.

For

Election of Director: Brad D. Smith

Management

1j.

For

Election of Director: Thomas Szkutak

Management

1k.

For

Election of Director: Raul Vazquez

Management

1l.

For

Election of Director: Jeff Weiner

Management

For

Advisory vote to approve Intuit's executive compensation

(say-on-pay).

Management

For

Ratification of the selection of Ernst & Young LLP as

Intuit's independent registered public accounting firm for

the fiscal year ending July 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

05-Dec-2020

STATE

825

05-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

GOLUB CAPITAL BDC, INC.

Security

38173M102

Meeting Type

Annual

Ticker Symbol

GBDC

Meeting Date

05-Feb-2021

ISIN

US38173M1027

Agenda

935319144 - Management

Record Date

14-Dec-2020

Holding Recon Date

14-Dec-2020

City /

Country

United

Vote Deadline Date

04-Feb-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Class II Director of the Company who will

each serve for a term expiring in 2024 or until his

successor is duly elected and qualified: John T. Baily

Management

1B.

For

Election of Class II Director of the Company who will

each serve for a term expiring in 2024 or until his

successor is duly elected and qualified: Kenneth F.

Bernstein

Management

To ratify the selection of Ernst & Young LLP to serve as

For

the Company's independent registered public accounting

firm for the fiscal year ending September 30, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

22-Dec-2020

STATE

37,435

22-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

SMART GLOBAL HOLDINGS, INC.

Security

G8232Y101

Meeting Type

Annual

Ticker Symbol

SGH

Meeting Date

12-Feb-2021

ISIN

KYG8232Y1017

Agenda

935319384 - Management

Record Date

09-Dec-2020

Holding Recon Date

09-Dec-2020

City /

Country

United

Vote Deadline Date

11-Feb-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Sandeep Nayyar

Management

1B.

For

Election of Director: Mukesh Patel

Management

1C.

For

Election of Director: Maximiliane Straub

Management

For

Ratification of the selection by the Board of Directors of

the Company (the Board or the Board of Directors) of

Deloitte & Touche LLP (Deloitte) as the Company's

independent registered public accounting firm for the

Company's fiscal year ending August 27, 2021.

Management

For

Approval, by a non-binding advisory vote, of the

compensation of the Named Executive Officers of

SMART Global Holdings, Inc. as disclosed in the proxy

statement for our 2021 Annual Meeting of Shareholders.

Management

For

Approval of an amendment to the SMART Global

Holdings, Inc. Amended and Restated 2017 Share

Incentive Plan to increase the number of ordinary shares

available for issuance by 1,000,000.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

23-Dec-2020

STATE

300

23-Dec-2020

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

APPLE INC.

Security

037833100

Meeting Type

Annual

Ticker Symbol

AAPL

Meeting Date

23-Feb-2021

ISIN

US0378331005

Agenda

935323167 - Management

Record Date

28-Dec-2020

Holding Recon Date

28-Dec-2020

City /

Country

United

Vote Deadline Date

22-Feb-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: James Bell

Management

1B.

For

Election of Director: Tim Cook

Management

1C.

For

Election of Director: Al Gore

Management

1D.

For

Election of Director: Andrea Jung

Management

1E.

For

Election of Director: Art Levinson

Management

1F.

For

Election of Director: Monica Lozano

Management

1G.

For

Election of Director: Ron Sugar

Management

1H.

For

Election of Director: Sue Wagner

Management

For

Ratification of the appointment of Ernst & Young LLP as

Apple's independent registered public accounting firm for

fiscal 2021.

Management

For

Advisory vote to approve executive compensation.

Shareholder

Against

For

A shareholder proposal entitled "Shareholder Proxy

Access Amendments".

Shareholder

Against

For

A shareholder proposal entitled "Shareholder Proposal to

Improve Executive Compensation Program".

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

07-Jan-2021

STATE

14,735

07-Jan-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

INFINEON TECHNOLOGIES AG

Security

D35415104

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

25-Feb-2021

ISIN

DE0006231004

Agenda

713541060 - Management

Record Date

18-Feb-2021

Holding Recon Date

18-Feb-2021

City /

Country

NEUBIBE

Germany

Vote Deadline Date

11-Feb-2021

SEDOL(s)

5889505 - B0CRGY4 - B108X56 -

Quick Code

B7N2TT3 - BF0Z753

Proposed

Item

Proposal

Vote

For/Against

Management

Non-Voting

CMMT

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE

REQUIRED TO VOTE AT THIS MEETING. IF-NO

SHAREHOLDER DETAILS ARE PROVIDED, YOUR

INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF

BEING REJECTED. THANK YOU

Non-Voting

CMMT

PLEASE NOTE THAT FOLLOWING THE AMENDMENT

TO PARAGRAPH 21 OF THE SECURITIES-TRADE

ACT ON 9TH JULY 2015 AND THE OVER-RULING OF

THE DISTRICT COURT IN-COLOGNE JUDGMENT

FROM 6TH JUNE 2012 THE VOTING PROCESS HAS

NOW CHANGED WITH-REGARD TO THE GERMAN

REGISTERED SHARES. AS A RESULT, IT IS NOW

THE-RESPONSIBILITY OF THE END-INVESTOR (I.E.

FINAL BENEFICIARY) AND NOT THE-INTERMEDIARY

TO DISCLOSE RESPECTIVE FINAL BENEFICIARY

VOTING RIGHTS THEREFORE-THE CUSTODIAN

BANK / AGENT IN THE MARKET WILL BE SENDING

THE VOTING DIRECTLY-TO MARKET AND IT IS THE

END INVESTORS RESPONSIBILITY TO ENSURE THE-

REGISTRATION ELEMENT IS COMPLETE WITH THE

ISSUER DIRECTLY, SHOULD THEY HOLD-MORE

THAN 3 % OF THE TOTAL SHARE CAPITAL

Non-Voting

CMMT

THE VOTE/REGISTRATION DEADLINE AS

DISPLAYED ON PROXYEDGE IS SUBJECT TO

CHANGE-AND WILL BE UPDATED AS SOON AS

BROADRIDGE RECEIVES CONFIRMATION FROM

THE SUB-CUSTODIANS REGARDING THEIR

INSTRUCTION DEADLINE. FOR ANY QUERIES

PLEASE-CONTACT YOUR CLIENT SERVICES

REPRESENTATIVE.

Non-Voting

CMMT

ACCORDING TO GERMAN LAW, IN CASE OF

SPECIFIC CONFLICTS OF INTEREST IN-

CONNECTION WITH SPECIFIC ITEMS OF THE

AGENDA FOR THE GENERAL MEETING YOU ARE-

NOT ENTITLED TO EXERCISE YOUR VOTING

RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT-BE

EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS

HAS REACHED CERTAIN THRESHOLDS-AND YOU

HAVE NOT COMPLIED WITH ANY OF YOUR

MANDATORY VOTING RIGHTS-NOTIFICATIONS

PURSUANT TO THE GERMAN SECURITIES TRADING

ACT (WPHG). FOR-QUESTIONS IN THIS REGARD

PLEASE CONTACT YOUR CLIENT SERVICE

REPRESENTATIVE-FOR CLARIFICATION. IF YOU DO

NOT HAVE ANY INDICATION REGARDING SUCH

CONFLICT-OF INTEREST, OR ANOTHER EXCLUSION

FROM VOTING, PLEASE SUBMIT YOUR VOTE AS-

USUAL.

CMMT

Non-Voting

FURTHER INFORMATION ON COUNTER PROPOSALS

CAN BE FOUND DIRECTLY ON THE-ISSUER'S

WEBSITE (PLEASE REFER TO THE MATERIAL URL

SECTION OF THE-APPLICATION). IF YOU WISH TO

ACT ON THESE ITEMS, YOU WILL NEED TO

REQUEST A-MEETING ATTEND AND VOTE YOUR

SHARES DIRECTLY AT THE COMPANY'S MEETING.-

COUNTER PROPOSALS CANNOT BE REFLECTED IN

THE BALLOT ON PROXYEDGE.

CMMT

Non-Voting

FROM 10TH FEBRUARY, BROADRIDGE WILL CODE

ALL AGENDAS FOR GERMAN MEETINGS IN-ENGLISH

ONLY. IF YOU WISH TO SEE THE AGENDA IN

GERMAN, THIS WILL BE MADE-AVAILABLE AS A LINK

UNDER THE 'MATERIAL URL' DROPDOWN AT THE

TOP OF THE-BALLOT. THE GERMAN AGENDAS FOR

ANY EXISTING OR PAST MEETINGS WILL REMAIN

IN-PLACE. FOR FURTHER INFORMATION, PLEASE

CONTACT YOUR CLIENT SERVICE-

REPRESENTATIVE.

Non-Voting

RECEIVE FINANCIAL STATEMENTS AND

STATUTORY REPORTS FOR FISCAL 2020

Management

For

APPROVE ALLOCATION OF INCOME AND DIVIDENDS

OF EUR 0.22 PER SHARE

Management

3.1

For

APPROVE DISCHARGE OF MANAGEMENT BOARD

MEMBER REINHARD PLOSS FOR FISCAL 2020

Management

3.2

For

APPROVE DISCHARGE OF MANAGEMENT BOARD

MEMBER HELMUT GASSEL FOR FISCAL 2020

3.3

Management

For

APPROVE DISCHARGE OF MANAGEMENT BOARD

MEMBER JOCHEN HANEBECK FOR FISCAL 2020

Management

3.4

For

APPROVE DISCHARGE OF MANAGEMENT BOARD

MEMBER SVEN SCHNEIDER FOR FISCAL 2020

Management

4.1

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER WOLFGANG EDER FOR FISCAL 2020

4.2

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER PETER BAUER (UNTIL FEB. 20, 2020) FOR

FISCAL 2020

4.3

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER XIAOQUN CLEVER (FROM FEB. 20, 2020)

FOR FISCAL 2020

Management

4.4

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER JOHANN DECHANT FOR FISCAL 2020

Management

4.5

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER HERBERT DIESS (UNTIL FEB. 20, 2020)

FOR FISCAL 2020

4.6

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER FRIEDRICH EICHINER (FROM FEB. 20,

2020) FOR FISCAL 2020

4.7

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER ANNETTE ENGELFRIED FOR FISCAL 2020

Management

4.8

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER PETER GRUBER FOR FISCAL 2020

Management

4.9

APPROVE DISCHARGE OF SUPERVISORY BOARD

For

MEMBER GERHARD HOBBACH (UNTIL FEB. 20, 2020)

FOR FISCAL 2020

4.10

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER HANS ULRICH HOLDENRIED FOR FISCAL

2020

4.11

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER RENATE KOECHER (UNTIL FEB. 20, 2020)

FOR FISCAL 2020

Management

4.12

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER SUSANNE LACHENMANN FOR FISCAL 2020

Management

For

4.13

APPROVE DISCHARGE OF SUPERVISORY BOARD

For

MEMBER GERALDINE PICAUD FOR FISCAL 2020

4.14

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER MANFRED PUFFER FOR FISCAL 2020

Management

4.15

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER MELANIE RIEDL (FROM FEB. 20, 2020) FOR

FISCAL 2020

Management

4.16

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER KERSTIN SCHULZENDORF FOR FISCAL

2020

4.17

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER JUERGEN SCHOLZ FOR FISCAL 2020

4.18

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER ULRICH SPIESSHOFER (FROM FEB. 20,

2020) FOR FISCAL 2020

Management

4.19

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER MARGRET SUCKALE (FROM FEB. 20, 2020)

FOR FISCAL 2020

Management

4.20

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER ECKART SUENNER (UNTIL FEB. 20, 2020)

FOR FISCAL 2020

4.21

Management

For

APPROVE DISCHARGE OF SUPERVISORY BOARD

MEMBER DIANA VITALE FOR FISCAL 2020

Management

For

RATIFY KPMG AG AS AUDITORS FOR FISCAL 2021

Management

For

APPROVE REMUNERATION POLICY

Management

For

APPROVE REMUNERATION OF SUPERVISORY

BOARD

Management

For

APPROVE CREATION OF EUR 30 MILLION POOL OF

CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN

Management

For

AMEND ARTICLES RE: INFORMATION FOR

REGISTRATION IN THE SHARE REGISTER

Management

For

AMEND ARTICLES RE: SUPERVISORY BOARD'S

RULES OF PROCEDURE

Non-Voting

CMMT

18 JAN 2021: INTERMEDIARY CLIENTS ONLY -

PLEASE NOTE THAT IF YOU ARE-CLASSIFIED AS AN

INTERMEDIARY CLIENT UNDER THE SHAREHOLDER

RIGHTS DIRECTIVE-II, YOU SHOULD BE PROVIDING

THE UNDERLYING SHAREHOLDER INFORMATION

AT THE-VOTE INSTRUCTION LEVEL. IF YOU ARE

UNSURE ON HOW TO PROVIDE THIS LEVEL OF-

DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE,

PLEASE SPEAK TO YOUR DEDICATED-CLIENT

SERVICE REPRESENTATIVE FOR ASSISTANCE.

THANK YOU

Non-Voting

CMMT

20 JAN 2021: PLEASE NOTE THAT THIS IS A

REVISION DUE TO ADDITION OF COMMENT.-IF YOU

HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO

NOT VOTE AGAIN UNLESS YOU-DECIDE TO AMEND

YOUR ORIGINAL INSTRUCTIONS. THANK YOU.

Non-Voting

CMMT

20 JAN 2021: PLEASE NOTE THAT IF YOU HOLD

CREST DEPOSITORY INTERESTS (CDIS)-AND

PARTICIPATE AT THIS MEETING, YOU (OR YOUR

CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE

REQUIRED TO INSTRUCT A TRANSFER OF THE

RELEVANT-CDIS TO THE ESCROW ACCOUNT

SPECIFIED IN THE ASSOCIATED CORPORATE

EVENT IN THE-CREST SYSTEM. THIS TRANSFER

WILL NEED TO BE COMPLETED BY THE SPECIFIED

CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER

HAS SETTLED, THE CDIS WILL BE BLOCKED IN-THE

CREST SYSTEM. THE CDIS WILL BE RELEASED

FROM ESCROW AS SOON AS-PRACTICABLE ON THE

BUSINESS DAY PRIOR TO MEETING DATE UNLESS

OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO

BE ACCEPTED, THE VOTED POSITION MUST BE-

BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN

THE CREST SYSTEM. BY VOTING ON THIS-

MEETING, YOUR CREST SPONSORED

MEMBER/CUSTODIAN MAY USE YOUR VOTE

INSTRUCTION-AS THE AUTHORIZATION TO TAKE

THE NECESSARY ACTION WHICH WILL INCLUDE-

TRANSFERRING YOUR INSTRUCTED POSITION TO

ESCROW. PLEASE CONTACT YOUR CREST-

SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR

FURTHER INFORMATION ON THE CUSTODY-

PROCESS AND WHETHER OR NOT THEY REQUIRE

SEPARATE INSTRUCTIONS FROM YOU

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

16-Jan-2021

STATE

25,449

16-Jan-2021

STREET BANK

HOLOGIC, INC.

Security

436440101

Meeting Type

Annual

Ticker Symbol

HOLX

Meeting Date

11-Mar-2021

ISIN

US4364401012

Agenda

935326579 - Management

Record Date

12-Jan-2021

Holding Recon Date

12-Jan-2021

City /

Country

United

Vote Deadline Date

10-Mar-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Stephen P. MacMillan

Management

1B.

For

Election of Director: Sally W. Crawford

Management

1C.

For

Election of Director: Charles J. Dockendorff

Management

1D.

For

Election of Director: Scott T. Garrett

Management

1E.

For

Election of Director: Ludwig N. Hantson

Management

1F.

For

Election of Director: Namal Nawana

Management

1G.

For

Election of Director: Christiana Stamoulis

Management

1H.

For

Election of Director: Amy M. Wendell

Management

For

A non-binding advisory resolution to approve executive

compensation.

Management

For

Ratification of the appointment of Ernst & Young LLP as

our independent registered public accounting firm for

fiscal 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

22-Jan-2021

STATE

7,140

22-Jan-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

SAMSUNG ELECTRONICS CO LTD

Security

Y74718100

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

17-Mar-2021

ISIN

KR7005930003

Agenda

713609038 - Management

Record Date

31-Dec-2020

Holding Recon Date

31-Dec-2020

City /

Country

GYEONG

Korea,

Vote Deadline Date

05-Mar-2021

Republic Of

SEDOL(s)

6771720 - B19VC15

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

APPROVAL OF FINANCIAL STATEMENTS

Management

2.1.1

For

ELECTION OF OUTSIDE DIRECTOR: BAK BYEONG

GUK

Management

2.1.2

For

ELECTION OF OUTSIDE DIRECTOR: GIM JONG HUN

Management

2.2.1

For

ELECTION OF INSIDE DIRECTOR: GIM GI NAM

Management

2.2.2

For

ELECTION OF INSIDE DIRECTOR: GIM HYEON SEOK

Management

2.2.3

For

ELECTION OF INSIDE DIRECTOR: GO DONG JIN

Management

For

ELECTION OF OUTSIDE DIRECTOR WHO IS AN

AUDIT COMMITTEE MEMBER: KIM SUNWOOK

Management

For

APPROVAL OF REMUNERATION FOR DIRECTOR

CMMT

Non-Voting

17 FEB 2021: PLEASE NOTE THAT THIS IS A

REVISION DUE TO CHANGE IN TEXT OF-

RESOLUTION 3. IF YOU HAVE ALREADY SENT IN

YOUR VOTES, PLEASE DO NOT VOTE-AGAIN

UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL

INSTRUCTIONS. THANK YOU.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

17-Feb-2021

STATE

21,254

17-Feb-2021

STREET BANK

TRANSDIGM GROUP INCORPORATED

Security

893641100

Meeting Type

Annual

Ticker Symbol

TDG

Meeting Date

18-Mar-2021

ISIN

US8936411003

Agenda

935331873 - Management

Record Date

27-Jan-2021

Holding Recon Date

27-Jan-2021

City /

Country

United

Vote Deadline Date

17-Mar-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

David Barr

For

Mervin Dunn

For

Michael Graff

For

Sean Hennessy

For

W. Nicholas Howley

For

Raymond Laubenthal

For

Gary E. McCullough

For

Michele Santana

For

Robert Small

For

John Staer

For

Kevin Stein

For

Management

For

To approve (in an advisory vote) compensation paid to

the Company's named executive officers.

Management

For

To ratify the selection of Ernst & Young LLP as the

Company's independent accountants for the fiscal year

ending September 30, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

06-Feb-2021

STATE

1,962

06-Feb-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

RENESAS ELECTRONICS CORPORATION

Security

J4881V107

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

31-Mar-2021

ISIN

JP3164720009

Agenda

713633762 - Management

Record Date

31-Dec-2020

Holding Recon Date

31-Dec-2020

City /

Country

TOKYO

Japan

Vote Deadline Date

24-Mar-2021

SEDOL(s)

6635677 - B02JFC1 - B1CDCH4 -

Quick Code

67230

BFNBJZ2

Proposed

Item

Vote

For/Against

Proposal

Management

Non-Voting

Please reference meeting materials.

1.1

Management

For

Appoint a Director Shibata, Hidetoshi

1.2

Management

For

Appoint a Director Toyoda, Tetsuro

1.3

Management

For

Appoint a Director Iwasaki, Jiro

1.4

Management

For

Appoint a Director Selena Loh Lacroix

1.5

Management

For

Appoint a Director Arunjai Mittal

1.6

Management

For

Appoint a Director Yamamoto, Noboru

2.1

Management

For

Appoint a Corporate Auditor Sekine, Takeshi

2.2

Management

For

Appoint a Corporate Auditor Mizuno, Tomoko

Management

For

Approve Details of the Stock Compensation to be

received by Directors

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

02-Mar-2021

STATE

35,100

02-Mar-2021

STREET BANK

BROADCOM INC

Security

11135F101

Meeting Type

Annual

Ticker Symbol

AVGO

Meeting Date

05-Apr-2021

ISIN

US11135F1012

Agenda

935335768 - Management

Record Date

08-Feb-2021

Holding Recon Date

08-Feb-2021

City /

Country

United

Vote Deadline Date

01-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Ms. Diane M. Bryant

Management

1B.

For

Election of Director: Ms. Gayla J. Delly

Management

1C.

For

Election of Director: Mr. Raul J. Fernandez

Management

1D.

For

Election of Director: Mr. Eddy W. Hartenstein

Management

1E.

For

Election of Director: Mr. Check Kian Low

Management

1F.

For

Election of Director: Ms. Justine F. Page

Management

1G.

For

Election of Director: Dr. Henry Samueli

Management

1H.

For

Election of Director: Mr. Hock E. Tan

Management

1I.

For

Election of Director: Mr. Harry L. You

Management

For

Ratification of the appointment of Pricewaterhouse-

Coopers LLP as Broadcom's independent registered

public accounting firm for the fiscal year ending October

31, 2021.

Management

For

Approval of an amendment and restatement of

Broadcom's 2012 Stock Incentive Plan.

Management

For

Advisory vote to approve compensation of Broadcom's

For

named executive officers.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

20-Feb-2021

STATE

2,240

20-Feb-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

LENNAR CORPORATION

Security

526057104

Meeting Type

Annual

Ticker Symbol

LEN

Meeting Date

07-Apr-2021

ISIN

US5260571048

Agenda

935339300 - Management

Record Date

16-Feb-2021

Holding Recon Date

16-Feb-2021

City /

Country

United

Vote Deadline Date

06-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director to serve until the 2022 Annual

Meeting: Amy Banse

Management

1B.

For

Election of Director to serve until the 2022 Annual

Meeting: Rick Beckwitt

1C.

Management

For

Election of Director to serve until the 2022 Annual

Meeting: Steven L. Gerard

1D.

Management

For

Election of Director to serve until the 2022 Annual

Meeting: Tig Gilliam

Management

1E.

For

Election of Director to serve until the 2022 Annual

Meeting: Sherrill W. Hudson

Management

For

1F.

Election of Director to serve until the 2022 Annual

For

Meeting: Jonathan M. Jaffe

1G.

Management

For

Election of Director to serve until the 2022 Annual

Meeting: Sidney Lapidus

Management

1H.

For

Election of Director to serve until the 2022 Annual

Meeting: Teri P. McClure

Management

1I.

For

Election of Director to serve until the 2022 Annual

Meeting: Stuart Miller

1J.

Management

For

Election of Director to serve until the 2022 Annual

Meeting: Armando Olivera

Management

1K.

For

Election of Director to serve until the 2022 Annual

Meeting: Jeffrey Sonnenfeld

Management

For

Approval, on an advisory basis, of the compensation of

our named executive officers.

Management

For

Ratification of the appointment of Deloitte & Touche LLP

as our independent registered public accounting firm for

our fiscal year ending November 30, 2021.

Shareholder

Against

For

Approval of a stockholder proposal regarding our

common stock voting structure.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

26-Feb-2021

STATE

12,200

26-Feb-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

CARNIVAL CORPORATION

Security

143658300

Meeting Type

Annual

Ticker Symbol

CCL

Meeting Date

20-Apr-2021

ISIN

PA1436583006

Agenda

935339158 - Management

Record Date

19-Feb-2021

Holding Recon Date

19-Feb-2021

City /

Country

United

Vote Deadline Date

19-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

To re-elect Micky Arison as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Sir Jonathon Band as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Jason Glen Cahilly as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Helen Deeble as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Arnold W. Donald as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To elect Jeffery J. Gearhart as a Director of Carnival

For

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Richard J. Glasier as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Katie Lahey as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

For

To re-elect Sir John Parker as a Director of Carnival

Corporation and as a Director of Carnival plc.

10.

Management

For

To re-elect Stuart Subotnick as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

11.

For

To re-elect Laura Weil as a Director of Carnival

Corporation and as a Director of Carnival plc.

Management

12.

For

To re-elect Randall J. Weisenburger as a Director of

Carnival Corporation and as a Director of Carnival plc.

13.

Management

For

To hold a (non-binding) advisory vote to approve

executive compensation (in accordance with legal

requirements applicable to U.S. companies).

14.

Management

For

To hold a (non-binding) advisory vote to approve the

Carnival plc Director's Remuneration Report (in

accordance with legal requirements applicable to UK

companies).

Management

15.

For

To re-appoint the UK firm of PricewaterhouseCoopers

LLP as independent auditors of Carnival plc and to ratify

the selection of the U.S. firm of PricewaterhouseCoopers

LLP as the independent registered public accounting firm

of Carnival Corporation.

16.

Management

For

To authorize the Audit Committee of Carnival plc to

determine the remuneration of the independent auditors

of Carnival plc (in accordance with legal requirements

applicable to UK companies).

17.

Management

For

To receive the UK accounts and reports of the Directors

and auditors of Carnival plc for the year ended November

30, 2020 (in accordance with legal requirements

applicable to UK companies).

Management

18.

For

To approve the giving of authority for the allotment of new

shares by Carnival plc (in accordance with customary

practice for UK companies).

Management

19.

For

To approve the disapplication of pre-emption rights in

relation to the allotment of new shares by Carnival plc (in

accordance with customary practice for UK companies).

Management

For

20.

To approve a general authority for Carnival plc to buy

For

back Carnival plc ordinary shares in the open market (in

accordance with legal requirements applicable to UK

companies desiring to implement share buy back

programs).

21.

Management

For

To approve the Amendment of the Carnival Corporation

2020 Stock Plan.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

12-Mar-2021

STATE

49,800

12-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BANK OF AMERICA CORPORATION

Security

060505104

Meeting Type

Annual

Ticker Symbol

BAC

Meeting Date

20-Apr-2021

ISIN

US0605051046

Agenda

935345670 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United

Vote Deadline Date

19-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Sharon L. Allen

Management

1B.

For

Election of Director: Susan S. Bies

Management

1C.

For

Election of Director: Frank P. Bramble, Sr.

Management

1D.

For

Election of Director: Pierre J.P. de Weck

Management

1E.

For

Election of Director: Arnold W. Donald

Management

1F.

For

Election of Director: Linda P. Hudson

Management

1G.

For

Election of Director: Monica C. Lozano

Management

1H.

For

Election of Director: Thomas J. May

Management

1I.

For

Election of Director: Brian T. Moynihan

Management

1J.

For

Election of Director: Lionel L. Nowell III

Management

1K.

For

Election of Director: Denise L. Ramos

Management

1L.

For

Election of Director: Clayton S. Rose

Management

1M.

For

Election of Director: Michael D. White

Management

1N.

For

Election of Director: Thomas D. Woods

Management

1O.

For

Election of Director: R. David Yost

Management

1P.

For

Election of Director: Maria T. Zuber

Management

For

Approving our executive compensation (an advisory,

nonbinding "Say on Pay" resolution).

Management

For

Ratifying the appointment of our independent registered

public accounting firm for 2021.

Management

For

Amending and restating the Bank of America Corporation

Key Employee Equity Plan.

Shareholder

Against

For

Shareholder proposal requesting amendments to our

proxy access by law.

Shareholder

Against

For

Shareholder proposal requesting amendments to allow

shareholders to act by written consent.

Shareholder

Shareholder proposal requesting a change in

Against

For

organizational form.

Shareholder

Against

For

Shareholder proposal requesting a racial equity audit.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

09-Mar-2021

STATE

49,360

09-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

HUMANA INC.

Security

444859102

Meeting Type

Annual

Ticker Symbol

HUM

Meeting Date

22-Apr-2021

ISIN

US4448591028

Agenda

935341331 - Management

Record Date

22-Feb-2021

Holding Recon Date

22-Feb-2021

City /

Country

United

Vote Deadline Date

21-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A)

For

Election of Director: Kurt J. Hilzinger

Management

1B)

For

Election of Director: Raquel C. Bono, M.D.

Management

1C)

For

Election of Director: Bruce D. Broussard

Management

1D)

For

Election of Director: Frank A. D'Amelio

Management

1E)

For

Election of Director: Wayne A. I. Frederick, M.D.

Management

1F)

For

Election of Director: John W. Garratt

Management

1G)

For

Election of Director: David A. Jones, Jr.

Management

1H)

For

Election of Director: Karen W. Katz

Management

1I)

For

Election of Director: Marcy S. Klevorn

Management

1J)

For

Election of Director: William J. McDonald

Management

1K)

For

Election of Director: Jorge S. Mesquita

Management

1L)

For

Election of Director: James J. O'Brien

Management

1M)

For

Election of Director: Marissa T. Peterson

Management

For

The ratification of the appointment of

PricewaterhouseCoopers LLP as the Company's

independent registered public accounting firm.

Management

For

Non-binding advisory vote for the approval of the

compensation of the named executive officers as

disclosed in the 2021 proxy statement.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

11-Mar-2021

STATE

845

11-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

PFIZER INC.

Security

717081103

Meeting Type

Annual

Ticker Symbol

PFE

Meeting Date

22-Apr-2021

ISIN

US7170811035

Agenda

935344503 - Management

Record Date

24-Feb-2021

Holding Recon Date

24-Feb-2021

City /

Country

United

Vote Deadline Date

21-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Ronald E. Blaylock

Management

1B.

For

Election of Director: Albert Bourla

Management

1C.

For

Election of Director: Susan Desmond-Hellmann

Management

1D.

For

Election of Director: Joseph J. Echevarria

Management

1E.

For

Election of Director: Scott Gottlieb

Management

1F.

For

Election of Director: Helen H. Hobbs

Management

1G.

For

Election of Director: Susan Hockfield

Management

1H.

For

Election of Director: Dan R. Littman

Management

1I.

For

Election of Director: Shantanu Narayen

Management

1J.

For

Election of Director: Suzanne Nora Johnson

Management

1K.

For

Election of Director: James Quincey

Management

1L.

For

Election of Director: James C. Smith

Management

For

Ratify the selection of KPMG LLP as independent

registered public accounting firm for 2021.

Management

For

2021 advisory approval of executive compensation.

Shareholder

Against

For

Shareholder proposal regarding independent chair policy.

Shareholder

Against

For

Shareholder proposal regarding political spending report.

Shareholder

Against

For

Shareholder proposal regarding access to COVID-19

products.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

13-Mar-2021

STATE

10,200

13-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

AGNC INVESTMENT CORP.

Security

00123Q104

Meeting Type

Annual

Ticker Symbol

AGNC

Meeting Date

22-Apr-2021

ISIN

US00123Q1040

Agenda

935345199 - Management

Record Date

26-Feb-2021

Holding Recon Date

26-Feb-2021

City /

Country

United

Vote Deadline Date

21-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Donna J. Blank

Management

1B.

For

Election of Director: Morris A. Davis

Management

1C.

For

Election of Director: John D. Fisk

Management

1D.

For

Election of Director: Prue B. Larocca

Management

1E.

For

Election of Director: Paul E. Mullings

Management

1F.

For

Election of Director: Frances R. Spark

Management

1G.

For

Election of Director: Gary D. Kain

Management

For

Approval of the Amended and Restated AGNC

Investment Corp. 2016 Equity and Incentive

Compensation Plan.

Management

For

Advisory vote to approve the compensation of our named

executive officers.

Management

For

Ratification of appointment of Ernst & Young LLP as our

independent public accountant for the year ending

December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

13-Mar-2021

STATE

94,100

13-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

13-Mar-2021

STATE

10,000

13-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

JOHNSON & JOHNSON

Security

478160104

Meeting Type

Annual

Ticker Symbol

JNJ

Meeting Date

22-Apr-2021

ISIN

US4781601046

Agenda

935345214 - Management

Record Date

23-Feb-2021

Holding Recon Date

23-Feb-2021

City /

Country

United

Vote Deadline Date

21-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Mary C. Beckerle

Management

1B.

For

Election of Director: D. Scott Davis

Management

1C.

For

Election of Director: Ian E. L. Davis

Management

1D.

For

Election of Director: Jennifer A. Doudna

Management

1E.

For

Election of Director: Alex Gorsky

Management

1F.

For

Election of Director: Marillyn A. Hewson

Management

1G.

For

Election of Director: Hubert Joly

Management

1H.

For

Election of Director: Mark B. McClellan

Management

1I.

For

Election of Director: Anne M. Mulcahy

Management

1J.

For

Election of Director: Charles Prince

Management

1K.

For

Election of Director: A. Eugene Washington

Management

1L.

For

Election of Director: Mark A. Weinberger

Management

1M.

For

Election of Director: Nadja Y. West

Management

1N.

For

Election of Director: Ronald A. Williams

Management

For

Advisory Vote to Approve Named Executive Officer

Compensation.

Management

For

Ratification of Appointment of PricewaterhouseCoopers

LLP as the Independent Registered Public Accounting

Firm for 2021.

Shareholder

Against

For

Report on Government Financial Support and Access to

COVID-19 Vaccines and Therapeutics.

Shareholder

Against

For

Independent Board Chair.

Shareholder

Against

For

Civil Rights Audit.

Shareholder

Against

For

Executive Compensation Bonus Deferral.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

11-Mar-2021

STATE

7,020

11-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

CITIGROUP INC.

Security

172967424

Meeting Type

Annual

Ticker Symbol

Meeting Date

27-Apr-2021

ISIN

US1729674242

Agenda

935349515 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United

Vote Deadline Date

26-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Ellen M. Costello

Management

1B.

For

Election of Director: Grace E. Dailey

Management

1C.

For

Election of Director: Barbara J. Desoer

Management

1D.

For

Election of Director: John C. Dugan

Management

1E.

For

Election of Director: Jane N. Fraser

Management

1F.

For

Election of Director: Duncan P. Hennes

Management

1G.

For

Election of Director: Peter B. Henry

Management

1H.

For

Election of Director: S. Leslie Ireland

Management

1I.

For

Election of Director: Lew W. (Jay) Jacobs, IV

Management

1J.

For

Election of Director: Renée J. James

Management

1K.

For

Election of Director: Gary M. Reiner

Management

1L.

For

Election of Director: Diana L. Taylor

Management

1M.

For

Election of Director: James S. Turley

Management

1N.

For

Election of Director: Deborah C. Wright

Management

1O.

For

Election of Director: Alexander R. Wynaendts

Management

1P.

For

Election of Director: Ernesto Zedillo Ponce de Leon

Management

For

Proposal to ratify the selection of KPMG LLP as Citi's

independent registered public accounting firm for 2021.

Management

For

Advisory vote to approve Citi's 2020 Executive

Compensation.

Management

For

Approval of additional authorized shares under the

Citigroup 2019 Stock Incentive Plan.

Shareholder

Against

For

Stockholder proposal requesting an amendment to Citi's

proxy access by-law provisions pertaining to the

aggregation limit.

Shareholder

Against

For

Stockholder proposal requesting an Independent Board

Chairman.

Shareholder

Stockholder proposal requesting non-management

Against

For

employees on director nominee candidate lists.

Shareholder

Against

For

Stockholder proposal requesting a report disclosing

information regarding Citi's lobbying payments, policies

and activities.

Shareholder

Against

For

Stockholder proposal requesting a racial equity audit

analyzing Citi's adverse impacts on nonwhite

stakeholders and communities of color.

Shareholder

10.

Against

For

Stockholder proposal requesting that the Board approve

an amendment to Citi's Certificate of Incorporation to

become a Public Benefit Corporation and to submit the

proposed amendment to stockholders for approval.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

19-Mar-2021

STATE

19,752

19-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

HONG KONG EXCHANGES AND CLEARING LTD

Security

Y3506N139

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

28-Apr-2021

ISIN

HK0388045442

Agenda

713690180 - Management

Record Date

22-Apr-2021

Holding Recon Date

22-Apr-2021

City /

Country

HONGK

Hong Kong

Vote Deadline Date

21-Apr-2021

ONG

SEDOL(s)

4062493 - 6267359 - BD8NDX5 -

Quick Code

BMF1SX0 - BP3RQ60

Proposed

Item

Proposal

Vote

For/Against

Management

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/2021/

0316/2021031600529.pdf-AND-

https://www1.hkexnews.hk/listedco/listconews/sehk/2021/

0316/2021031600523.pdf

Non-Voting

CMMT

PLEASE NOTE IN THE HONG KONG MARKET THAT A

VOTE OF 'ABSTAIN' WILL BE TREATED-THE SAME

AS A 'TAKE NO ACTION' VOTE

Management

For

TO RECEIVE THE AUDITED FINANCIAL STATEMENTS

FOR THE YEAR ENDED 31 DECEMBER 2020

TOGETHER WITH THE REPORTS OF THE

DIRECTORS AND AUDITOR THEREON

2.A

Management

For

TO ELECT NICHOLAS CHARLES ALLEN AS

DIRECTOR

Management

2.B

For

TO ELECT CHEUNG MING MING, ANNA AS

DIRECTOR

Management

2.C

For

TO ELECT ZHANG YICHEN AS DIRECTOR

Management

For

TO RE-APPOINT PRICEWATERHOUSECOOPERS AS

THE AUDITOR AND TO AUTHORISE THE DIRECTORS

TO FIX ITS REMUNERATION

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS TO BUY BACK SHARES OF HKEX, NOT

EXCEEDING 10% OF THE NUMBER OF ISSUED

SHARES OF HKEX AS AT THE DATE OF THIS

RESOLUTION

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS TO ALLOT, ISSUE AND DEAL WITH

ADDITIONAL SHARES OF HKEX, NOT EXCEEDING

10% OF THE NUMBER OF ISSUED SHARES OF HKEX

AS AT THE DATE OF THIS RESOLUTION, AND THE

DISCOUNT FOR ANY SHARES TO BE ISSUED SHALL

NOT EXCEED 10%

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

17-Mar-2021

STATE

17,900

17-Mar-2021

STREET BANK

MODERNA, INC.

Security

60770K107

Meeting Type

Annual

Ticker Symbol

MRNA

Meeting Date

28-Apr-2021

ISIN

US60770K1079

Agenda

935347206 - Management

Record Date

01-Mar-2021

Holding Recon Date

01-Mar-2021

City /

Country

United

Vote Deadline Date

27-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Robert Langer, Sc.D.

For

Elizabeth Nabel, M.D.

For

Elizabeth Tallett

For

Management

For

To cast a non-binding, advisory vote to approve the

compensation of our named executive officers.

Management

For

To ratify the appointment of Ernst & Young LLP as our

registered independent public accounting firm for the year

ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

12-Mar-2021

STATE

3,310

12-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BE SEMICONDUCTOR INDUSTRIES NV BESI

Security

N13107144

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

30-Apr-2021

ISIN

NL0012866412

Agenda

713713293 - Management

Record Date

02-Apr-2021

Holding Recon Date

02-Apr-2021

City /

Country

TBD

Netherlands

Vote Deadline Date

19-Apr-2021

SEDOL(s)

BF17DR2 - BFX80F0 - BFXYCW9 -

Quick Code

BG0SCK9

Proposed

Item

Vote

For/Against

Proposal

Management

CMMT

Non-Voting

PLEASE NOTE THAT BENEFICIAL OWNER DETAILS

IS REQUIRED FOR THIS MEETING. IF NO-

BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR

INSTRUCTION MAY BE REJECTED. THANK-YOU.

CMMT

Non-Voting

PLEASE NOTE THAT SHAREHOLDER DETAILS ARE

REQUIRED TO VOTE AT THIS MEETING. IF-NO

SHAREHOLDER DETAILS ARE PROVIDED, YOUR

INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF

BEING REJECTED. THANK YOU

Non-Voting

OPENING

Non-Voting

CONSIDERATION OF THE ANNUAL REPORT 2020

Management

For

ADVISORY VOTE ON THE REMUNERATION REPORT

2020

Management

For

CONSIDERATION AND ADOPTION OF THE ANNUAL

ACCOUNTS 2020

Non-Voting

DIVIDEND

Non-Voting

5.a.

RESERVATION AND DIVIDEND POLICY

Management

For

5.b.

DECLARATION OF DIVIDEND: EUR 1.70 PER SHARE

For

Non-Voting

DISCHARGE

Management

For

6.a.

DISCHARGE OF THE MEMBER OF THE BOARD OF

For

MANAGEMENT FOR HIS RESPONSIBILITIES

6.b.

Management

For

DISCHARGE OF THE SUPERVISORY BOARD

MEMBERS FOR THEIR RESPONSIBILITIES

Management

For

AMENDMENTS TO THE REMUNERATION POLICY

2020-2023

Non-Voting

APPOINTMENT OF SUPERVISORY BOARD

MEMBERS

8.a.

Management

For

APPOINTMENT OF MS LAURA OLIPHANT AS

SUPERVISORY BOARD MEMBER

Management

8.b.

For

APPOINTMENT OF MS ELKE ECKSTEIN AS

SUPERVISORY BOARD MEMBER

Management

For

AUTHORIZATION OF THE BOARD OF MANAGEMENT

TO (I) ISSUE ORDINARY SHARES AND GRANT

RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES

AND TO (II) EXCLUDE OR RESTRICT PRE-EMPTIVE

RIGHTS IN RELATION TO ORDINARY SHARES AND

RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES

10.

Management

For

AUTHORIZATION OF THE BOARD OF MANAGEMENT

TO ACQUIRE ORDINARY SHARES

Management

11.

For

REDUCTION OF THE COMPANY'S ISSUED SHARE

CAPITAL BY CANCELLATION OF ORDINARY SHARES

Management

12.

For

AMENDMENTS TO THE COMPANY'S ARTICLES OF

ASSOCIATION

13.

Non-Voting

ANY OTHER BUSINESS

CMMT

Non-Voting

INTERMEDIARY CLIENTS ONLY - PLEASE NOTE

THAT IF YOU ARE CLASSIFIED AS AN-

INTERMEDIARY CLIENT UNDER THE SHAREHOLDER

RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING

THE UNDERLYING SHAREHOLDER INFORMATION

AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE

UNSURE ON HOW TO PROVIDE THIS LEVEL OF

DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,

PLEASE SPEAK TO YOUR DEDICATED CLIENT

SERVICE-REPRESENTATIVE FOR ASSISTANCE

Non-Voting

CLOSING

Non-Voting

CMMT

24 MAR 2021: PLEASE NOTE THAT THIS IS A

REVISION DUE TO ADDITION OF NON--VOTABLE

RESOLUTION 14 AND MODIFICATION OF TEXT IN

RESOLUTION 5.B. IF YOU HAVE-ALREADY SENT IN

YOUR VOTES, PLEASE DO NOT VOTE AGAIN

UNLESS YOU DECIDE TO-AMEND YOUR ORIGINAL

INSTRUCTIONS. THANK YOU

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

20-Mar-2021

STATE

5,916

20-Mar-2021

STREET BANK

CARVANA CO.

Security

146869102

Meeting Type

Annual

Ticker Symbol

CVNA

Meeting Date

03-May-2021

ISIN

US1468691027

Agenda

935356104 - Management

Record Date

04-Mar-2021

Holding Recon Date

04-Mar-2021

City /

Country

United

Vote Deadline Date

30-Apr-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Ernest Garcia III

For

Ira Platt

For

Management

For

Approval of the Carvana Co. Employee Stock Purchase

Plan.

Management

For

Ratification of the appointment of Grant Thornton LLP as

our independent registered public accounting firm for the

year ending December 31, 2021.

Management

For

Approval, by an advisory vote, of Carvana's executive

compensation.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

25-Mar-2021

STATE

2,688

25-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

25-Mar-2021

STATE

350

25-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BAXTER INTERNATIONAL INC.

Security

071813109

Meeting Type

Annual

Ticker Symbol

BAX

Meeting Date

04-May-2021

ISIN

US0718131099

Agenda

935352459 - Management

Record Date

11-Mar-2021

Holding Recon Date

11-Mar-2021

City /

Country

United

Vote Deadline Date

03-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: José (Joe) Almeida

Management

1B.

For

Election of Director: Thomas F. Chen

Management

1C.

For

Election of Director: John D. Forsyth

Management

1D.

For

Election of Director: Peter S. Hellman

Management

1E.

For

Election of Director: Michael F. Mahoney

Management

1F.

For

Election of Director: Patricia B. Morrison

Management

1G.

For

Election of Director: Stephen N. Oesterle

Management

1H.

For

Election of Director: Cathy R. Smith

Management

1I.

For

Election of Director: Thomas T. Stallkamp

Management

1J.

For

Election of Director: Albert P.L. Stroucken

Management

1K.

For

Election of Director: Amy A. Wendell

Management

1L.

For

Election of Director: David S. Wilkes

Management

For

Advisory Vote to Approve Named Executive Officer

Compensation.

Management

For

Ratification of Appointment of Independent Registered

Public Accounting Firm.

Management

For

Vote to Approve the Omnibus Plan.

Management

For

Vote to Approve the ESPP Amendment.

Shareholder

Against

For

Stockholder Proposal - Right to Act by Written Consent.

Shareholder

Against

For

Stockholder Proposal - Independent Board Chairman.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

24-Mar-2021

STATE

2,600

24-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

SIX FLAGS ENTERTAINMENT CORPORATION

Security

83001A102

Meeting Type

Annual

Ticker Symbol

SIX

Meeting Date

05-May-2021

ISIN

US83001A1025

Agenda

935357372 - Management

Record Date

10-Mar-2021

Holding Recon Date

10-Mar-2021

City /

Country

United

Vote Deadline Date

04-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Ben Baldanza

For

Selim Bassoul

For

Esi Eggleston Bracey

For

Denise M. Clark

For

Enrique Ramirez

For

Arik Ruchim

For

Michael Spanos

For

Management

For

Advisory vote to approve executive compensation.

Management

For

Approve amendments to Restated Certificate of

Incorporation to eliminate supermajority voting provision.

Management

For

Approve amendments to Restated Certificate of

Incorporation to allow stockholder action by written

consent.

Management

For

Advisory vote to ratify the appointment of KPMG LLP as

independent registered public accounting firm for the

fiscal year ending January 2, 2022.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

24-Mar-2021

STATE

4,700

24-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

COMMUNITY HEALTHCARE TRUST INCORPORATED

Security

20369C106

Meeting Type

Annual

Ticker Symbol

CHCT

Meeting Date

06-May-2021

ISIN

US20369C1062

Agenda

935347383 - Management

Record Date

05-Mar-2021

Holding Recon Date

05-Mar-2021

City /

Country

United

Vote Deadline Date

05-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Alan Gardner

For

Claire Gulmi

For

Robert Hensley

For

Lawrence Van Horn

For

Timothy Wallace

For

Management

For

To approve, on a non-binding advisory basis, the

following resolutions: 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 2021 annual meeting of stockholders.

Management

For

To ratify the appointment of BDO USA, LLP as the

Company's independent registered public accountants for

2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

25-Mar-2021

STATE

13,050

25-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ACADIA HEALTHCARE COMPANY, INC.

Security

00404A109

Meeting Type

Annual

Ticker Symbol

ACHC

Meeting Date

06-May-2021

ISIN

US00404A1097

Agenda

935357699 - Management

Record Date

11-Mar-2021

Holding Recon Date

11-Mar-2021

City /

Country

United

Vote Deadline Date

05-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: E. Perot Bissell

Management

1B.

For

Election of Director: Vicky B. Gregg

Management

1C.

For

Election of Director: Debra K. Osteen

Management

For

Approve an amendment to the Acadia Healthcare

Company, Inc. Incentive Compensation Plan.

Management

For

Advisory vote on the compensation of the Company's

named executive officers as presented in the Proxy

Statement.

Management

For

Ratify the appointment of Ernst & Young LLP as the

Company's independent registered public accounting firm

for the fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

25-Mar-2021

STATE

14,700

25-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ANTA SPORTS PRODUCTS LTD

Security

G04011105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

07-May-2021

ISIN

KYG040111059

Agenda

713757271 - Management

Record Date

04-May-2021

Holding Recon Date

04-May-2021

City /

Country

HONG

Cayman

Vote Deadline Date

30-Apr-2021

KONG

Islands

SEDOL(s)

B1YVKN8 - B235FM2 - BD8NKZ6 -

Quick Code

BP3RRC3

Proposed

Item

Proposal

Vote

For/Against

Management

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/seh

k/2021/0401/202104010222-5.pdf AND-

https://www1.hkexnews.hk/listedco/listconews/sehk/2021/

0401/2021040102315.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

Management

For

TO RECEIVE AND CONSIDER THE AUDITED

CONSOLIDATED FINANCIAL STATEMENTS OF THE

COMPANY AND ITS SUBSIDIARIES AND THE

REPORTS OF THE DIRECTORS AND THE AUDITOR

OF THE COMPANY FOR THE YEAR ENDED 31

DECEMBER 2020

Management

For

TO DECLARE A FINAL DIVIDEND OF HK47 CENTS

PER ORDINARY SHARE OF THE COMPANY IN

RESPECT OF THE YEAR ENDED 31 DECEMBER 2020

Management

For

TO RE-ELECT MR. DING SHIJIA AS AN EXECUTIVE

DIRECTOR OF THE COMPANY

Management

For

TO RE-ELECT MR. ZHENG JIE AS AN EXECUTIVE

DIRECTOR OF THE COMPANY

Management

TO RE-ELECT MR. YIU KIN WAH STEPHEN AS AN

For

INDEPENDENT NON-EXECUTIVE DIRECTOR OF THE

COMPANY

Management

For

TO RE-ELECT MR. LAI HIN WING HENRY STEPHEN

AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR

OF THE COMPANY

Management

For

TO AUTHORISE THE BOARD OF DIRECTORS OF THE

COMPANY TO FIX THE REMUNERATION OF THE

COMPANY'S DIRECTORS

Management

For

TO RE-APPOINT KPMG AS THE COMPANY'S

AUDITOR AND TO AUTHORISE THE BOARD OF

DIRECTORS OF THE COMPANY TO FIX THEIR

REMUNERATION

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS OF THE COMPANY TO ALLOT, ISSUE

AND DEAL WITH THE COMPANY'S SHARES

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS OF THE COMPANY TO REPURCHASE

THE COMPANY'S SHARES

Management

For

TO EXTEND THE GENERAL MANDATE GRANTED TO

THE DIRECTORS OF THE COMPANY UNDER

RESOLUTION NO. 9 BY THE NUMBER OF SHARES

REPURCHASED UNDER RESOLUTION NO. 10

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

02-Apr-2021

STATE

25,000

02-Apr-2021

STREET BANK

ABBVIE INC.

Security

00287Y109

Meeting Type

Annual

Ticker Symbol

ABBV

Meeting Date

07-May-2021

ISIN

US00287Y1091

Agenda

935357891 - Management

Record Date

08-Mar-2021

Holding Recon Date

08-Mar-2021

City /

Country

United

Vote Deadline Date

06-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Roxanne S. Austin

For

Richard A. Gonzalez

For

Rebecca B. Roberts

For

Glenn F. Tilton

For

Management

For

Ratification of Ernst & Young LLP as AbbVie's

independent registered public accounting firm for 2021.

Management

For

Say on Pay-An advisory vote on the approval of

executive compensation.

Management

For

Approval of the Amended and Restated 2013 Incentive

Stock Program.

Management

For

Approval of the Amended and Restated 2013 Employee

Stock Purchase Plan for non-U.S. employees.

Management

For

Approval of a management proposal regarding

amendment of the certificate of incorporation to eliminate

supermajority voting.

Shareholder

Stockholder Proposal - to Issue an Annual Report on

Against

For

Lobbying.

Shareholder

Against

For

Stockholder Proposal - to Adopt a Policy to Require

Independent Chairman.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

CLOUGH

GLS

23-Mar-2021

997AL94

STATE

3,480

23-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

UBER TECHNOLOGIES, INC.

Security

90353T100

Meeting Type

Annual

Ticker Symbol

UBER

Meeting Date

10-May-2021

ISIN

US90353T1007

Agenda

935369341 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

United

Vote Deadline Date

07-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Ronald Sugar

Management

1B.

For

Election of Director: Revathi Advaithi

Management

1C.

For

Election of Director: Ursula Burns

Management

1D.

For

Election of Director: Robert Eckert

Management

1E.

For

Election of Director: Amanda Ginsberg

Management

1F.

For

Election of Director: Dara Khosrowshahi

Management

1G.

For

Election of Director: Wan Ling Martello

Management

1H.

For

Election of Director: Yasir Al-Rumayyan

Management

1I.

For

Election of Director: John Thain

Management

1J.

For

Election of Director: David Trujillo

Management

1K.

For

Election of Director: Alexander Wynaendts

Management

For

Advisory vote to approve 2020 named executive officer

compensation.

Management

For

Ratification of the appointment of

PricewaterhouseCoopers LLP as our independent

registered public accounting firm for 2021.

Management

For

Approval of amendments to Certificate of Incorporation

and Bylaws to remove supermajority voting requirements.

Shareholder

Against

For

Stockholder proposal to prepare an annual report on

lobbying activities.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

30-Mar-2021

STATE

22,100

30-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

FIRST AMERICAN FINANCIAL CORPORATION

Security

31847R102

Meeting Type

Annual

Ticker Symbol

FAF

Meeting Date

11-May-2021

ISIN

US31847R1023

Agenda

935380559 - Management

Record Date

17-Mar-2021

Holding Recon Date

17-Mar-2021

City /

Country

United

Vote Deadline Date

10-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Dennis J. Gilmore

For

Margaret M. McCarthy

For

Martha B. Wyrsch

For

Management

For

Advisory vote to approve executive compensation.

Management

For

To ratify the selection of PricewaterhouseCoopers LLP as

the Company's independent registered public accounting

firm for the fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

03-Apr-2021

STATE

28,500

03-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

03-Apr-2021

STATE

2,000

03-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

IDORSIA LTD

Security

H3879B109

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

12-May-2021

ISIN

CH0363463438

Agenda

713900466 - Management

Record Date

03-May-2021

Holding Recon Date

03-May-2021

City /

Country

TBD

Switzerland

Vote Deadline Date

29-Apr-2021

SEDOL(s)

BF0YK62 - BF0ZHH5 - BF3N1H4

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

Non-Voting

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

PLEASE NOTE THAT THIS IS AN AMENDMENT TO

MEETING ID 550039 DUE TO SPLITTING-OF

RESOLUTION 5.4. ALL VOTES RECEIVED ON THE

PREVIOUS MEETING WILL BE-DISREGARDED IF

VOTE DEADLINE EXTENSIONS ARE GRANTED.

THEREFORE PLEASE-REINSTRUCT ON THIS

MEETING NOTICE ON THE NEW JOB. IF HOWEVER

VOTE DEADLINE-EXTENSIONS ARE NOT GRANTED

IN THE MARKET, THIS MEETING WILL BE CLOSED

AND-YOUR VOTE INTENTIONS ON THE ORIGINAL

MEETING WILL BE APPLICABLE. PLEASE-ENSURE

VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE

ORIGINAL MEETING, AND AS-SOON AS POSSIBLE

ON THIS NEW AMENDED MEETING. THANK YOU

Non-Voting

CMMT

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

1.1

Management

For

ANNUAL REPORT 2020, CONSOLIDATED FINANCIAL

STATEMENTS 2020, STATUTORY FINANCIAL

STATEMENTS 2020 AND COMPENSATION REPORT

2020: APPROVAL OF ANNUAL REPORT 2020,

CONSOLIDATED FINANCIAL STATEMENTS 2020,

AND STATUTORY FINANCIAL STATEMENTS 2020

1.2

Management

For

ANNUAL REPORT 2020, CONSOLIDATED FINANCIAL

STATEMENTS 2020, STATUTORY FINANCIAL

STATEMENTS 2020 AND COMPENSATION REPORT

2020: CONSULTATIVE VOTE ON THE

COMPENSATION REPORT 2020

Management

For

APPROPRIATION OF AVAILABLE EARNINGS

Management

For

DISCHARGE OF THE BOARD OF DIRECTORS AND

OF THE EXECUTIVE COMMITTEE

Management

For

INCREASE AND EXTENSION OF THE EXISTING

AUTHORISED SHARE CAPITAL

Management

5.1.1

RE-ELECTION OF MEMBER OF THE BOARD OF

For

DIRECTORS: MATHIEU SIMON

5.1.2

Management

For

RE-ELECTION OF MEMBER OF THE BOARD OF

DIRECTORS: JOERN ALDAG

Management

5.1.3

For

RE-ELECTION OF MEMBER OF THE BOARD OF

DIRECTORS: JEAN-PAUL CLOZEL

Management

5.1.4

For

RE-ELECTION OF MEMBER OF THE BOARD OF

DIRECTORS: FELIX R. EHRAT

5.1.5

Management

For

RE-ELECTION OF MEMBER OF THE BOARD OF

DIRECTORS: SANDY MAHATME

5.2.1

Management

For

ELECTION OF NEW DIRECTOR: PETER KELLOGG

5.2.2

Management

For

ELECTION OF NEW DIRECTOR: SRISHTI GUPTA

5.3

Management

For

RE-ELECTION OF THE CHAIR OF THE BOARD OF

DIRECTORS: MATHIEU SIMON

Management

5.4.1

For

ELECTION OF THE NOMINATING, GOVERNANCE

AND COMPENSATION COMMITTEE: MATHIEU SIMON

5.4.2

Management

For

ELECTION OF THE NOMINATING, GOVERNANCE

AND COMPENSATION COMMITTEE: JOERN ALDAG

5.4.3

Management

For

ELECTION OF THE NOMINATING, GOVERNANCE

AND COMPENSATION COMMITTEE: FELIX R. EHRAT

Management

5.4.4

For

ELECTION OF THE NOMINATING, GOVERNANCE

AND COMPENSATION COMMITTEE: SRISHTI GUPTA

Management

6.1

APPROVAL OF BOARD COMPENSATION AND

For

EXECUTIVE COMMITTEE COMPENSATION:

APPROVAL OF BOARD COMPENSATION (NON-

EXECUTIVE DIRECTORS) FOR THE 2021-2022 TERM

OF OFFICE

6.2

Management

For

APPROVAL OF BOARD COMPENSATION AND

EXECUTIVE COMMITTEE COMPENSATION:

APPROVAL OF EXECUTIVE COMMITTEE

COMPENSATION 2022

Management

For

ELECTION OF THE INDEPENDENT PROXY:

BACHMANNPARTNER SACHWALTER UND

TREUHAND AG

Management

For

ELECTION OF THE STATUTORY AUDITORS: ERNST

AND YOUNG AG, BASEL

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

14-Apr-2021

STATE

9,489

14-Apr-2021

STREET BANK

COVETRUS, INC.

Security

22304C100

Meeting Type

Annual

Ticker Symbol

CVET

Meeting Date

12-May-2021

ISIN

US22304C1009

Agenda

935373605 - Management

Record Date

15-Mar-2021

Holding Recon Date

15-Mar-2021

City /

Country

United

Vote Deadline Date

11-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Mark J. Manoff

For

Edward M. McNamara

For

Steven Paladino

For

Sandra Peterson

For

Management

For

Ratification of the appointment of BDO USA, LLP as our

independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Management

For

To approve an amendment to our amended and restated

certificate of incorporation to eliminate supermajority

voting requirements.

Management

For

To approve, by a non-binding, advisory vote, the 2020

For

compensation paid to our named executive officers.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

02-Apr-2021

STATE

17,800

02-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

INTEL CORPORATION

Security

458140100

Meeting Type

Annual

Ticker Symbol

INTC

Meeting Date

13-May-2021

ISIN

US4581401001

Agenda

935369012 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

United

Vote Deadline Date

12-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Patrick P. Gelsinger

Management

1B.

For

Election of Director: James J. Goetz

Management

1C.

For

Election of Director: Alyssa Henry

Management

1D.

For

Election of Director: Omar Ishrak

Management

1E.

For

Election of Director: Risa Lavizzo-Mourey

Management

1F.

For

Election of Director: Tsu-Jae King Liu

Management

1G.

For

Election of Director: Gregory D. Smith

Management

1H.

For

Election of Director: Dion J. Weisler

Management

1I.

For

Election of Director: Frank D. Yeary

Management

For

Ratification of selection of Ernst & Young LLP as our

independent registered public accounting firm for 2021.

Management

For

Advisory vote to approve executive compensation of our

listed officers.

Shareholder

Against

For

Stockholder proposal on whether to allow stockholders to

act by written consent, if properly presented at the

meeting.

Shareholder

Against

For

Stockholder proposal requesting a report on median pay

gaps across race and gender, if properly presented at the

meeting.

Shareholder

Against

For

Stockholder proposal requesting a report on whether

written policies or unwritten norms at the company

reinforce racism in company culture, if properly presented

at the meeting.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

31-Mar-2021

STATE

6,700

31-Mar-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

REPARE THERAPEUTICS INC.

Security

760273102

Meeting Type

Annual

Ticker Symbol

RPTX

Meeting Date

13-May-2021

ISIN

US7602731025

Agenda

935379164 - Management

Record Date

29-Mar-2021

Holding Recon Date

29-Mar-2021

City /

Country

Canada

Vote Deadline Date

12-May-2021

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

For

Jerel Davis, Ph.D.

For

Todd Foley

For

Ann D. Rhoads

For

Management

For

To appoint Ernst & Young LLP as the independent

registered public accounting firm of the Company for its

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

03-Apr-2021

STATE

14,100

03-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

TELADOC HEALTH, INC.

Security

87918A105

Meeting Type

Annual

Ticker Symbol

TDOC

Meeting Date

17-May-2021

ISIN

US87918A1051

Agenda

935377437 - Management

Record Date

23-Mar-2021

Holding Recon Date

23-Mar-2021

City /

Country

United

Vote Deadline Date

14-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director for a term of one year: Christopher

Bischoff

Management

1B.

For

Election of Director for a term of one year: Karen L.

Daniel

1C.

Management

For

Election of Director for a term of one year: Sandra L.

Fenwick

1D.

Management

For

Election of Director for a term of one year: William H.

Frist, MD

Management

1E.

For

Election of Director for a term of one year: Jason Gorevic

Management

1F.

For

Election of Director for a term of one year: Catherine A.

Jacobson

Management

For

1G.

Election of Director for a term of one year: Thomas G.

For

McKinley

1H.

Management

For

Election of Director for a term of one year: Kenneth H.

Paulus

Management

1I.

For

Election of Director for a term of one year: David

Shedlarz

Management

1J.

For

Election of Director for a term of one year: Mark Douglas

Smith, MD

1K.

Management

For

Election of Director for a term of one year: David B.

Snow, Jr.

Management

For

Approve, on an advisory basis, the compensation of

Teladoc Health's named executive officers.

Management

For

Ratify the appointment of Ernst & Young LLP as Teladoc

Health's independent registered public accounting firm for

the fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

08-Apr-2021

STATE

628

08-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

JPMORGAN CHASE & CO.

Security

46625H100

Meeting Type

Annual

Ticker Symbol

JPM

Meeting Date

18-May-2021

ISIN

US46625H1005

Agenda

935372285 - Management

Record Date

19-Mar-2021

Holding Recon Date

19-Mar-2021

City /

Country

United

Vote Deadline Date

17-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Linda B. Bammann

Management

1B.

For

Election of Director: Stephen B. Burke

Management

1C.

For

Election of Director: Todd A. Combs

Management

1D.

For

Election of Director: James S. Crown

Management

1E.

For

Election of Director: James Dimon

Management

1F.

For

Election of Director: Timothy P. Flynn

Management

1G.

For

Election of Director: Mellody Hobson

Management

1H.

For

Election of Director: Michael A. Neal

Management

1I.

For

Election of Director: Phebe N. Novakovic

Management

1J.

For

Election of Director: Virginia M. Rometty

Management

For

Advisory resolution to approve executive compensation.

Management

For

Approval of Amended and Restated Long-Term Incentive

Plan effective May 18, 2021.

Management

For

Ratification of independent registered public accounting

firm.

Shareholder

Against

For

Improve shareholder written consent.

Shareholder

Against

For

Racial equity audit and report.

Shareholder

Against

For

Independent board chairman.

Shareholder

Against

For

Political and electioneering expenditure congruency

report.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

08-Apr-2021

STATE

7,920

08-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

THERMO FISHER SCIENTIFIC INC.

Security

883556102

Meeting Type

Annual

Ticker Symbol

TMO

Meeting Date

19-May-2021

ISIN

US8835561023

Agenda

935375736 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United

Vote Deadline Date

18-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Marc N. Casper

Management

1B.

For

Election of Director: Nelson J. Chai

Management

1C.

For

Election of Director: C. Martin Harris

Management

1D.

For

Election of Director: Tyler Jacks

Management

1E.

For

Election of Director: R. Alexandra Keith

Management

1F.

For

Election of Director: Thomas J. Lynch

Management

1G.

For

Election of Director: Jim P. Manzi

Management

1H.

For

Election of Director: James C. Mullen

Management

1I.

For

Election of Director: Lars R. Sørensen

Management

1J.

For

Election of Director: Debora L. Spar

Management

1K.

For

Election of Director: Scott M. Sperling

Management

1L.

For

Election of Director: Dion J. Weisler

Management

For

An advisory vote to approve named executive officer

compensation.

Management

For

Ratification of the Audit Committee's selection of

PricewaterhouseCoopers LLP as the Company's

independent auditors for 2021.

Shareholder

Against

For

A shareholder Proposal regarding special Shareholder

Meetings.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

09-Apr-2021

STATE

1,708

09-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ANNALY CAPITAL MANAGEMENT, INC.

Security

035710409

Meeting Type

Annual

Ticker Symbol

NLY

Meeting Date

19-May-2021

ISIN

US0357104092

Agenda

935377449 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

United

Vote Deadline Date

18-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Francine J. Bovich

Management

1B.

For

Election of Director: Wellington J. Denahan

Management

1C.

For

Election of Director: Katie Beirne Fallon

Management

1D.

For

Election of Director: David L. Finkelstein

Management

1E.

For

Election of Director: Thomas Hamilton

Management

1F.

For

Election of Director: Kathy Hopinkah Hannan

Management

1G.

For

Election of Director: Michael Haylon

Management

1H.

For

Election of Director: Eric A. Reeves

Management

1I.

For

Election of Director: John H. Schaefer

Management

1J.

For

Election of Director: Glenn A. Votek

Management

1K.

For

Election of Director: Vicki Williams

Management

For

Advisory approval of the Company's executive

compensation.

Management

For

Ratification of the appointment of Ernst & Young LLP as

our independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

08-Apr-2021

STATE

162,400

08-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

CLOUGH

997AL96

08-Apr-2021

997AL96

STATE

70,000

08-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

UNIVERSAL HEALTH SERVICES, INC.

Security

913903100

Meeting Type

Annual

Ticker Symbol

UHS

Meeting Date

19-May-2021

ISIN

US9139031002

Agenda

935378059 - Management

Record Date

25-Mar-2021

Holding Recon Date

25-Mar-2021

City /

Country

United

Vote Deadline Date

18-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

Proposal to ratify the selection of

PricewaterhouseCoopers LLP as the Company's

independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

09-Apr-2021

STATE

8,210

09-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

VERTEX PHARMACEUTICALS INCORPORATED

Security

92532F100

Meeting Type

Annual

Ticker Symbol

VRTX

Meeting Date

19-May-2021

ISIN

US92532F1003

Agenda

935383959 - Management

Record Date

25-Mar-2021

Holding Recon Date

25-Mar-2021

City /

Country

United

Vote Deadline Date

18-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Sangeeta Bhatia

Management

1B.

For

Election of Director: Lloyd Carney

Management

1C.

For

Election of Director: Alan Garber

Management

1D.

For

Election of Director: Terrence Kearney

Management

1E.

For

Election of Director: Reshma Kewalramani

Management

1F.

For

Election of Director: Yuchun Lee

Management

1G.

For

Election of Director: Jeffrey Leiden

Management

1H.

For

Election of Director: Margaret McGlynn

Management

1I.

For

Election of Director: Diana McKenzie

Management

1J.

For

Election of Director: Bruce Sachs

Management

For

Ratification of Ernst & Young LLP as independent

Registered Public Accounting firm for the year ending

December 31, 2021.

Management

For

Advisory vote to approve named executive officer

compensation.

Shareholder

Against

For

Shareholder proposal, if properly presented at the

meeting, regarding a report on lobbying activities.

Shareholder

Against

For

Shareholder proposal, if properly presented at the

meeting, regarding a report on political spending.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

09-Apr-2021

STATE

3,723

09-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BARINGS BDC, INC.

Security

06759L103

Meeting Type

Annual

Ticker Symbol

BBDC

Meeting Date

20-May-2021

ISIN

US06759L1035

Agenda

935375104 - Management

Record Date

12-Mar-2021

Holding Recon Date

12-Mar-2021

City /

Country

United

Vote Deadline Date

19-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Class III Director to serve until the 2024

Annual Meeting: David Mihalick

Management

1B.

For

Election of Class III Director to serve until the 2024

Annual Meeting: Thomas W. Okel

1C.

Management

For

Election of Class III Director to serve until the 2024

Annual Meeting: Jill Olmstead

Management

For

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 30% of its then

outstanding common stock immediately prior to each

such offering).

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

01-Apr-2021

STATE

40,900

01-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

REDWOOD TRUST, INC.

Security

758075402

Meeting Type

Annual

Ticker Symbol

RWT

Meeting Date

20-May-2021

ISIN

US7580754023

Agenda

935380888 - Management

Record Date

24-Mar-2021

Holding Recon Date

24-Mar-2021

City /

Country

United

Vote Deadline Date

19-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Richard D. Baum

Management

1B.

For

Election of Director: Greg H. Kubicek

Management

1C.

For

Election of Director: Christopher J. Abate

Management

1D.

For

Election of Director: Armando Falcon

Management

1E.

For

Election of Director: Douglas B. Hansen

Management

1F.

For

Election of Director: Debora D. Horvath

Management

1G.

For

Election of Director: George W. Madison

Management

1H.

For

Election of Director: Jeffrey T. Pero

Management

1I.

For

Election of Director: Georganne C. Proctor

Management

1J.

For

Election of Director: Faith A. Schwartz

Management

For

Ratification of the appointment of Grant Thornton LLP as

the Company's independent registered public accounting

firm for 2021.

Management

For

Non-binding advisory resolution to approve named

executive officer compensation.

Management

For

To vote to approve the amendment to the 2002

Employee Stock Purchase Plan to increase the number

of shares available for purchase.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

03-Apr-2021

STATE

40,800

03-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ZOETIS INC.

Security

98978V103

Meeting Type

Annual

Ticker Symbol

ZTS

Meeting Date

20-May-2021

ISIN

US98978V1035

Agenda

935383252 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United

Vote Deadline Date

19-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Sanjay Khosla

Management

1B.

For

Election of Director: Antoinette R. Leatherberry

Management

1C.

For

Election of Director: Willie M. Reed

Management

1D.

For

Election of Director: Linda Rhodes

Management

For

Advisory vote to approve our executive compensation

(Say on Pay).

Management

For

Ratification of appointment of KPMG LLP as our

independent registered public accounting firm for 2021.

Shareholder

Against

For

Shareholder proposal regarding simple majority vote.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

07-Apr-2021

STATE

4,909

07-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

EQUITABLE HOLDINGS, INC.

Security

29452E101

Meeting Type

Annual

Ticker Symbol

EQH

Meeting Date

20-May-2021

ISIN

US29452E1010

Agenda

935385129 - Management

Record Date

23-Mar-2021

Holding Recon Date

23-Mar-2021

City /

Country

United

Vote Deadline Date

19-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Francis A. Hondal

Management

1B.

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Daniel G. Kaye

1C.

Management

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Joan Lamm-Tennant

1D.

Management

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Kristi A. Matus

Management

1E.

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Ramon de Oliveira

Management

For

1F.

Election of Director for a one-year term ending at the

For

2022 Annual Meeting: Mark Pearson

1G.

Management

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Bertram L. Scott

Management

1H.

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: George Stansfield

Management

1I.

For

Election of Director for a one-year term ending at the

2022 Annual Meeting: Charles G.T. Stonehill

Management

For

Ratification of the appointment of

PricewaterhouseCoopers LLP as our independent

registered public accounting firm for fiscal year 2021.

Management

For

Advisory vote to approve the compensation paid to our

named executive officers.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

09-Apr-2021

STATE

44,900

09-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MERCK & CO., INC.

Security

58933Y105

Meeting Type

Annual

Ticker Symbol

MRK

Meeting Date

25-May-2021

ISIN

US58933Y1055

Agenda

935381044 - Management

Record Date

26-Mar-2021

Holding Recon Date

26-Mar-2021

City /

Country

United

Vote Deadline Date

24-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Leslie A. Brun

Management

1B.

For

Election of Director: Mary Ellen Coe

Management

1C.

For

Election of Director: Pamela J. Craig

Management

1D.

For

Election of Director: Kenneth C. Frazier

Management

1E.

For

Election of Director: Thomas H. Glocer

Management

1F.

For

Election of Director: Risa J. Lavizzo-Mourey

Management

1G.

For

Election of Director: Stephen L. Mayo

Management

1H.

For

Election of Director: Paul B. Rothman

Management

1I.

For

Election of Director: Patricia F. Russo

Management

1J.

For

Election of Director: Christine E. Seidman

Management

1K.

For

Election of Director: Inge G. Thulin

Management

1L.

For

Election of Director: Kathy J. Warden

Management

1M.

For

Election of Director: Peter C. Wendell

Management

For

Non-binding advisory vote to approve the compensation

of our named executive officers.

Management

For

Ratification of the appointment of the Company's

independent registered public accounting firm for 2021.

Shareholder

Against

For

Shareholder proposal concerning a shareholder right to

act by written consent.

Shareholder

Against

For

Shareholder proposal regarding access to COVID-19

products.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

06-Apr-2021

STATE

2,200

06-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ANTHEM, INC.

Security

036752103

Meeting Type

Annual

Ticker Symbol

ANTM

Meeting Date

26-May-2021

ISIN

US0367521038

Agenda

935387488 - Management

Record Date

22-Mar-2021

Holding Recon Date

22-Mar-2021

City /

Country

United

Vote Deadline Date

25-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1.1

For

Election of Director: Lewis Hay, III

Management

1.2

For

Election of Director: Antonio F. Neri

Management

1.3

For

Election of Director: Ramiro G. Peru

Management

For

Advisory vote to approve the compensation of our named

executive officers.

Management

For

To ratify the appointment of Ernst & Young LLP as the

independent registered public accounting firm for 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

10-Apr-2021

STATE

2,590

10-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

10-Apr-2021

STATE

600

10-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

SIXTH STREET SPECIALTY LENDING

Security

83012A109

Meeting Type

Annual

Ticker Symbol

TSLX

Meeting Date

26-May-2021

ISIN

US83012A1097

Agenda

935389797 - Management

Record Date

31-Mar-2021

Holding Recon Date

31-Mar-2021

City /

Country

United

Vote Deadline Date

25-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Richard Higginbotham

For

David Stiepleman

For

Ronald Tanemura

For

Management

For

To ratify the selection of KPMG LLP as the Company's

independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

14-Apr-2021

STATE

21,400

14-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

SIXTH STREET SPECIALTY LENDING

Security

83012A109

Meeting Type

Special

Ticker Symbol

TSLX

Meeting Date

26-May-2021

ISIN

US83012A1097

Agenda

935396829 - Management

Record Date

31-Mar-2021

Holding Recon Date

31-Mar-2021

City /

Country

United

Vote Deadline Date

25-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

To approve a proposal to authorize the Company to sell

or otherwise issue shares of its common stock at a price

below its then-current net asset value per share in one or

more offerings, in each case subject to the approval of its

Board of Directors and subject to the conditions set forth

in the accompanying proxy statement.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

14-Apr-2021

STATE

21,400

14-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

TOWNGAS CHINA CO LTD

Security

G8972T106

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

27-May-2021

ISIN

KYG8972T1067

Agenda

713910607 - Management

Record Date

21-May-2021

Holding Recon Date

21-May-2021

City /

Country

HONG

Cayman

Vote Deadline Date

20-May-2021

KONG

Islands

SEDOL(s)

6345460 - B0WXDV8 - BD8NHV1 -

Quick Code

BL63HZ3 - BP3RY11

Proposed

Item

Proposal

Vote

For/Against

Management

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/2021/

0415/2021041500443.pdf-AND-

https://www1.hkexnews.hk/listedco/listconews/sehk/2021/

0415/2021041500457.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

Management

For

TO RECEIVE AND ADOPT THE AUDITED

CONSOLIDATED FINANCIAL STATEMENTS AND THE

REPORTS OF THE DIRECTORS AND AUDITOR OF

THE COMPANY FOR THE YEAR ENDED 31

DECEMBER 2020

2.A

Management

For

TO RE-ELECT MR. PETER WONG WAI-YEE AS A

DIRECTOR OF THE COMPANY

Management

2.B

For

TO RE-ELECT MR. BRIAN DAVID LI MAN-BUN AS A

DIRECTOR OF THE COMPANY

Management

2.C

For

TO RE-ELECT MR. JAMES KWAN YUK-CHOI AS A

DIRECTOR OF THE COMPANY

Management

For

TO AUTHORISE THE BOARD OF DIRECTORS OF THE

COMPANY TO FIX THE REMUNERATION OF THE

DIRECTORS OF THE COMPANY

Management

For

TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS

THE AUDITOR OF THE COMPANY AND TO

AUTHORISE THE BOARD OF DIRECTORS OF THE

COMPANY TO FIX THE REMUNERATION OF THE

AUDITOR OF THE COMPANY

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS OF THE COMPANY TO BUY BACK

SHARES OF THE COMPANY NOT EXCEEDING 10%

OF THE TOTAL NUMBER OF ISSUED SHARES OF

THE COMPANY

Management

For

TO GRANT A GENERAL MANDATE TO THE

DIRECTORS OF THE COMPANY TO ALLOT, ISSUE

AND DEAL WITH ADDITIONAL SHARES OF THE

COMPANY NOT EXCEEDING 20% OF THE TOTAL

NUMBER OF ISSUED SHARES OF THE COMPANY

Management

For

TO EXTEND THE GENERAL MANDATE TO THE

DIRECTORS OF THE COMPANY TO ALLOT, ISSUE

AND DEAL WITH ADDITIONAL SHARES OF THE

COMPANY BY ADDITION THERETO OF THE NUMBER

OF SHARES REPRESENTING THE AGGREGATE

NUMBER OF SHARES BOUGHT BACK BY THE

COMPANY

Management

For

TO APPROVE PAYMENT OF A FINAL DIVIDEND OF

HK FIFTEEN CENTS PER SHARE FROM THE SHARE

PREMIUM ACCOUNT OF THE COMPANY IN RESPECT

OF THE YEAR ENDED 31 DECEMBER 2020 WITH AN

OPTION FOR SCRIP DIVIDEND

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

19-May-2021

STATE

226,000

19-May-2021

STREET BANK

HSBC HOLDINGS PLC

Security

G4634U169

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

28-May-2021

ISIN

GB0005405286

Agenda

713725743 - Management

Record Date

Holding Recon Date

26-May-2021

City /

Country

LONDON

United

Vote Deadline Date

21-May-2021

Kingdom

SEDOL(s)

0540528 - 2367543 - 4097279 -

Quick Code

5722592 - B2NSSQ6

Proposed

Item

Proposal

Vote

For/Against

Management

For

TO RECEIVE THE ANNUAL REPORT & ACCOUNTS

2020

Management

For

TO APPROVE THE DIRECTORS' REMUNERATION

REPORT

3.A

Management

For

TO ELECT JAMES FORESE AS A DIRECTOR

3.B

Management

For

TO ELECT STEVEN GUGGENHEIMER AS A

DIRECTOR

Management

3.C

For

TO ELECT EILEEN MURRAY AS A DIRECTOR

Management

3.D

For

TO RE-ELECT IRENE LEE AS A DIRECTOR

Management

3.E

For

TO RE-ELECT DR JOSE ANTONIO MEADE

KURIBRENA AS A DIRECTOR

Management

For

3.F

TO RE-ELECT DAVID NISH AS A DIRECTOR

For

Management

For

3.G

TO RE-ELECT NOEL QUINN AS A DIRECTOR

For

Management

For

3.H

TO RE-ELECT EWEN STEVENSON AS A DIRECTOR

For

Management

For

3.I

TO RE-ELECT JACKSON TAI AS A DIRECTOR

For

Management

For

3.J

TO RE-ELECT MARK E TUCKER AS A DIRECTOR

For

Management

For

3.K

TO RE-ELECT PAULINE VAN DER MEER MOHR AS A

For

DIRECTOR

Management

For

TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP

AS AUDITOR OF THE COMPANY

Management

For

TO AUTHORISE THE GROUP AUDIT COMMITTEE TO

DETERMINE THE REMUNERATION OF THE AUDITOR

Management

For

TO AUTHORISE THE COMPANY TO MAKE POLITICAL

DONATIONS

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT SHARES

Management

For

TO DISAPPLY PRE-EMPTION RIGHTS

Management

For

TO FURTHER DISAPPLY PRE-EMPTION RIGHTS FOR

ACQUISITIONS

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT ANY

REPURCHASED SHARES

Management

For

TO AUTHORISE THE COMPANY TO PURCHASE ITS

OWN ORDINARY SHARES

Management

For

TO AUTHORISE THE DIRECTORS TO ALLOT EQUITY

SECURITIES IN RELATION TO CONTINGENT

CONVERTIBLE SECURITIES

Management

For

TO DISAPPLY PRE-EMPTION RIGHTS IN RELATION

TO THE ISSUE OF CONTINGENT CONVERTIBLE

SECURITIES

Management

For

TO CALL GENERAL MEETINGS (OTHER THAN AN

AGM) ON 14 CLEAR DAYS' NOTICE

Management

For

CLIMATE CHANGE RESOLUTION

Shareholder

Against

For

PLEASE NOTE THAT THIS RESOLUTION IS A

SHAREHOLDER PROPOSAL: SHAREHOLDER

REQUISITIONED RESOLUTION REGARDING THE

MIDLAND BANK DEFINED BENEFIT PENSION

SCHEME

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

14-May-2021

STATE

136,400

14-May-2021

STREET BANK

APELLIS PHARMACEUTICALS INC.

Security

03753U106

Meeting Type

Annual

Ticker Symbol

APLS

Meeting Date

01-Jun-2021

ISIN

US03753U1060

Agenda

935405084 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

United

Vote Deadline Date

28-May-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Paul Fonteyne

For

Stephanie M. O'Brien

For

Management

For

To ratify the appointment of Deloitte & Touche LLP as the

Company's independent registered public accounting firm

for the fiscal year ending December 31, 2021.

Management

For

To approve an advisory vote on executive compensation.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

23-Apr-2021

STATE

23,600

23-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ROYAL CARIBBEAN CRUISES LTD.

Security

V7780T103

Meeting Type

Annual

Ticker Symbol

RCL

Meeting Date

02-Jun-2021

ISIN

LR0008862868

Agenda

935411215 - Management

Record Date

08-Apr-2021

Holding Recon Date

08-Apr-2021

City /

Country

United

Vote Deadline Date

01-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: John F. Brock

Management

1B.

For

Election of Director: Richard D. Fain

Management

1C.

For

Election of Director: Stephen R. Howe, Jr.

Management

1D.

For

Election of Director: William L. Kimsey

Management

1E.

For

Election of Director: Amy McPherson

Management

1F.

For

Election of Director: Maritza G. Montiel

Management

1G.

For

Election of Director: Ann S. Moore

Management

1H.

For

Election of Director: Eyal M. Ofer

Management

1I.

For

Election of Director: William K. Reilly

Management

1J.

For

Election of Director: Vagn O. Sørensen

Management

1K.

For

Election of Director: Donald Thompson

Management

1L.

For

Election of Director: Arne Alexander Wilhelmsen

Management

For

Advisory approval of the Company's compensation of its

named executive officers.

Management

For

Approval of the amendment to the Company's 1994

Employee Stock Purchase Plan.

Management

For

Ratification of the appointment of

PricewaterhouseCoopers LLP as the Company's

independent registered public accounting firm for 2021.

Shareholder

Against

For

The shareholder proposal regarding political contributions

disclosure.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

22-Apr-2021

STATE

19,460

22-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

PENNYMAC FINANCIAL SERVICES INC.

Security

70932M107

Meeting Type

Annual

Ticker Symbol

PFSI

Meeting Date

03-Jun-2021

ISIN

US70932M1071

Agenda

935400591 - Management

Record Date

06-Apr-2021

Holding Recon Date

06-Apr-2021

City /

Country

United

Vote Deadline Date

02-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: David A. Spector

Management

1B.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: James K. Hunt

1C.

Management

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Jonathon S. Jacobson

1D.

Management

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Patrick Kinsella

Management

1E.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Anne D. McCallion

Management

For

1F.

Election of Nominee for a term expiring at the 2022

For

Annual Meeting: Joseph Mazzella

1G.

Management

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Farhad Nanji

Management

1H.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Jeffrey A. Perlowitz

Management

1I.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Lisa M. Shalett

1J.

Management

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Theodore W. Tozer

Management

1K.

For

Election of Nominee for a term expiring at the 2022

Annual Meeting: Emily Youssouf

Management

For

To ratify the appointment of our independent registered

public accounting firm for the fiscal year ending

December 31, 2021.

Management

For

To approve by non-binding vote, our executive

compensation.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

26-May-2021

STATE

22,140

26-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

26-May-2021

STATE

2,100

26-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

1LIFE HEALTHCARE, INC.

Security

68269G107

Meeting Type

Annual

Ticker Symbol

ONEM

Meeting Date

03-Jun-2021

ISIN

US68269G1076

Agenda

935401276 - Management

Record Date

05-Apr-2021

Holding Recon Date

05-Apr-2021

City /

Country

United

Vote Deadline Date

02-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Bruce W. Dunlevie

For

David P. Kennedy

For

Management

For

To ratify the appointment of PricewaterhouseCoopers

LLP as our independent registered public accounting firm

for our fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

22-Apr-2021

STATE

21,700

22-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

BOOKING HOLDINGS INC.

Security

09857L108

Meeting Type

Annual

Ticker Symbol

BKNG

Meeting Date

03-Jun-2021

ISIN

US09857L1089

Agenda

935408434 - Management

Record Date

08-Apr-2021

Holding Recon Date

08-Apr-2021

City /

Country

United

Vote Deadline Date

02-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Timothy M. Armstrong

For

Glenn D. Fogel

For

Mirian M. Graddick-Weir

For

Wei Hopeman

For

Robert J. Mylod, Jr.

For

Charles H. Noski

For

Nicholas J. Read

For

Thomas E. Rothman

For

Bob van Dijk

For

Lynn M. Vojvodich

For

Vanessa A. Wittman

For

Management

For

Advisory vote to approve 2020 executive compensation.

Management

For

Management proposal to amend the Company's 1999

Omnibus Plan.

Management

For

Ratification of Deloitte & Touche LLP as our independent

registered public accounting firm for the fiscal year

ending December 31, 2021.

Management

For

Management proposal to amend the Company's

Certificate of Incorporation to allow stockholders the right

to act by written consent.

Shareholder

Against

For

Stockholder proposal requesting the right of stockholders

to act by written consent.

Shareholder

Against

For

Stockholder proposal requesting the Company issue a

climate transition report.

Shareholder

Against

For

Stockholder proposal requesting the Company hold an

annual advisory stockholder vote on the Company's

climate policies and strategies.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

22-Apr-2021

STATE

531

22-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

VERACYTE, INC.

Security

92337F107

Meeting Type

Annual

Ticker Symbol

VCYT

Meeting Date

07-Jun-2021

ISIN

US92337F1075

Agenda

935410085 - Management

Record Date

15-Apr-2021

Holding Recon Date

15-Apr-2021

City /

Country

United

Vote Deadline Date

04-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Muna Bhanji

For

John L. Bishop

For

Management

For

The ratification of the appointment of Ernst & Young LLP

as our independent registered public accounting firm for

2021.

Management

For

The approval, on a non-binding advisory basis, of the

compensation of our named executive officers, as

disclosed in our proxy statement.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

24-Apr-2021

STATE

11,270

24-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

UNITEDHEALTH GROUP INCORPORATED

Security

91324P102

Meeting Type

Annual

Ticker Symbol

UNH

Meeting Date

07-Jun-2021

ISIN

US91324P1021

Agenda

935414879 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

United

Vote Deadline Date

04-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Richard T. Burke

Management

1B.

For

Election of Director: Timothy P. Flynn

Management

1C.

For

Election of Director: Stephen J. Hemsley

Management

1D.

For

Election of Director: Michele J. Hooper

Management

1E.

For

Election of Director: F. William McNabb III

Management

1F.

For

Election of Director: Valerie C. Montgomery Rice, M.D.

Management

1G.

For

Election of Director: John H. Noseworthy, M.D.

Management

1H.

For

Election of Director: Gail R. Wilensky, Ph.D.

Management

1I.

For

Election of Director: Andrew Witty

Management

For

Advisory approval of the Company's executive

compensation.

Management

For

Ratification of the appointment of Deloitte & Touche LLP

as the independent registered public accounting firm for

the Company for the year ending December 31, 2021.

Management

For

Approval of an amendment to the UnitedHealth Group

1993 Employee Stock Purchase Plan.

Shareholder

Against

For

If properly presented at the 2021 Annual Meeting of

Shareholders, the shareholder proposal set forth in the

proxy statement requesting a reduction of the share

ownership threshold for calling a special meeting of

shareholders.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

27-Apr-2021

STATE

2,885

27-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD

Security

Y84629107

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

08-Jun-2021

ISIN

TW0002330008

Agenda

714114244 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

HSINCH

Taiwan,

Vote Deadline Date

31-May-2021

Province of

China

SEDOL(s)

6889106

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

TO ACCEPT 2020 BUSINESS REPORT AND

FINANCIAL STATEMENTS.

Management

For

BASED ON RECENT AMENDMENTS TO THE

'TEMPLATE OF PROCEDURES FOR ELECTION OF

DIRECTOR' BY THE TAIWAN STOCK EXCHANGE, TO

APPROVE AMENDMENTS TO THE BALLOT FORMAT

REQUIREMENT FOR ELECTION OF DIRECTORS SET

FORTH IN TSMC'S 'RULES FOR ELECTION OF

DIRECTORS'.

Management

For

TO APPROVE THE ISSUANCE OF EMPLOYEE

RESTRICTED STOCK AWARDS FOR YEAR 2021.

4.1

Management

For

THE ELECTION OF THE DIRECTOR.:MARK

LIU,SHAREHOLDER NO.10758

4.2

Management

For

THE ELECTION OF THE DIRECTOR.:C.C.

WEI,SHAREHOLDER NO.370885

Management

4.3

For

THE ELECTION OF THE DIRECTOR.:F.C.

TSENG,SHAREHOLDER NO.104

Management

For

4.4

THE ELECTION OF THE DIRECTOR.:NATIONAL

For

DEVELOPMENT FUND, EXECUTIVE

YUAN,SHAREHOLDER NO.1,MING HSIN KUNG AS

REPRESENTATIVE

4.5

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTOR.:SIR PETER L. BONFIELD,SHAREHOLDER

NO.504512XXX

4.6

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTOR.:KOK CHOO CHEN,SHAREHOLDER

NO.A210358XXX

Management

4.7

For

THE ELECTION OF THE INDEPENDENT

DIRECTOR.:MICHAEL R. SPLINTER,SHAREHOLDER

NO.488601XXX

Management

4.8

THE ELECTION OF THE INDEPENDENT

For

DIRECTOR.:MOSHE N. GAVRIELOV,SHAREHOLDER

NO.505930XXX

4.9

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTOR.:YANCEY HAI,SHAREHOLDER

NO.D100708XXX

4.10

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTOR.:L. RAFAEL REIF,SHAREHOLDER

NO.545784XXX

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

11-May-2021

STATE

63,000

11-May-2021

STREET BANK

AVEO PHARMACEUTICALS, INC.

Security

053588307

Meeting Type

Annual

Ticker Symbol

AVEO

Meeting Date

09-Jun-2021

ISIN

US0535883070

Agenda

935416885 - Management

Record Date

15-Apr-2021

Holding Recon Date

15-Apr-2021

City /

Country

United

Vote Deadline Date

08-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Michael Bailey

For

Kenneth Bate

For

Kevin Cullen, M.D.

For

C. Epperly, M.D, M.P.H.

For

Anthony Evnin, Ph.D.

For

Gregory Mayes

For

Scarlett Spring

For

Management

For

Approve an amendment to the AVEO Pharmaceuticals,

Inc. 2019 Equity Incentive Plan to increase the number of

shares of common stock reserved for issuance

thereunder.

Management

For

Approve the amendment and restatement of the 2010

Employee Stock Purchase Plan to increase the number

of shares of common stock reserved for issuance

thereunder from 76,400 to 576,400 and to make certain

other changes.

Management

For

Approve an advisory vote on executive compensation.

Management

For

Ratify the appointment of Ernst & Young LLP as our

independent registered public accounting firm for the year

ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

01-May-2021

STATE

13,900

01-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

GOSSAMER BIO, INC.

Security

38341P102

Meeting Type

Annual

Ticker Symbol

GOSS

Meeting Date

09-Jun-2021

ISIN

US38341P1021

Agenda

935416897 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

United

Vote Deadline Date

08-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Russell Cox

For

Renée Galá

For

Management

For

Ratification of the appointment of Ernst & Young LLP as

our independent registered public accountants for the

year ending December 31, 2021.

Management

For

Approval, on an advisory basis, of the compensation of

the Company's named executive officers as disclosed in

the proxy statement.

Management

3 Years

Approval, on an advisory basis, of whether the

Against

stockholder vote to approve the compensation of the

named executive officers should occur every one, two or

three years.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

30-Apr-2021

STATE

30,600

30-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MEDIATEK INCORPORATION

Security

Y5945U103

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

10-Jun-2021

ISIN

TW0002454006

Agenda

714135438 - Management

Record Date

09-Apr-2021

Holding Recon Date

09-Apr-2021

City /

Country

HSINCH

Taiwan,

Vote Deadline Date

02-Jun-2021

Province of

China

SEDOL(s)

6372480 - B06P6Z5

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

ADOPTION OF THE 2020 BUSINESS REPORT AND

FINANCIAL STATEMENTS.

Management

For

ADOPTION OF THE PROPOSAL FOR DISTRIBUTION

OF 2020 PROFITS.PROPOSED CASH DIVIDEND:

TWD21 PER SHARE.

Management

For

DISCUSSION OF CASH DISTRIBUTION FROM

For

CAPITAL RESERVE.PROPOSED TWD16 PER SHARE.

Management

For

DISCUSSION ON ISSUANCE OF RESTRICTED STOCK

AWARDS.

Management

5.1

For

THE ELECTION OF THE DIRECTORS:MING-KAI

TSAI,SHAREHOLDER NO.1

Management

5.2

For

THE ELECTION OF THE DIRECTORS:RICK

TSA,SHAREHOLDER NO.374487

5.3

Management

For

THE ELECTION OF THE DIRECTORS:CHENG-YAW

SUN,SHAREHOLDER NO.109274

Management

5.4

For

THE ELECTION OF THE DIRECTORS:KENNETH

KIN,SHAREHOLDER NO.F102831XXX

Management

5.5

For

THE ELECTION OF THE DIRECTORS:JOE

CHEN,SHAREHOLDER NO.157

5.6

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTORS:CHUNG-YU WU,SHAREHOLDER

NO.1512

5.7

Management

For

THE ELECTION OF THE INDEPENDENT

DIRECTORS:PENG-HENG CHANG,SHAREHOLDER

NO.A102501XXX

Management

5.8

For

THE ELECTION OF THE INDEPENDENT

DIRECTORS:MING-JE TANG,SHAREHOLDER

NO.A100065XXX

Management

For

SUSPENSION OF THE NON-COMPETITION

RESTRICTIONS ON THE 9TH SESSION DIRECTORS

OF THE COMPANY

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

13-May-2021

STATE

24,600

13-May-2021

STREET BANK

CRISPR THERAPEUTICS AG

Security

H17182108

Meeting Type

Annual

Ticker Symbol

CRSP

Meeting Date

10-Jun-2021

ISIN

CH0334081137

Agenda

935416936 - Management

Record Date

16-Apr-2021

Holding Recon Date

16-Apr-2021

City /

Country

Switzerland

Vote Deadline Date

09-Jun-2021

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

The approval of the annual report, the consolidated

financial statements and the statutory financial

statements of the Company for the year ended December

31, 2020.

Management

The approval of the appropriation of financial results.

For

Management

The discharge of the members of the Board of Directors

For

and Executive Committee.

4a.

Management

For

Re-election of Rodger Novak, M.D., as member and

Chairman.

Management

4b.

For

Re-election of Samarth Kulkarni, Ph.D. as the member to

the Board of Director.

Management

4c.

For

Re-election of Ali Behbahani, M.D. as the member to the

Board of Director.

4d.

Management

For

Re-election of Bradley Bolzon, Ph.D. as the member to

the Board of Director.

4e.

Management

For

Re-election of Simeon J. George, M.D. as the member to

the Board of Director.

Management

4f.

For

Re-election of John T. Greene as the member to the

Board of Director.

4g.

Management

For

Re-election of Katherine A. High, M.D. as the member to

the Board of Director.

4h.

Management

For

Re-election of Douglas A. Treco, Ph.D. as the member to

the Board of Director.

Management

4i.

For

Election of H Edward Fleming Jr., M.D. as the member to

the Board of Director.

Management

5a.

Re-election of the member of the Compensation

For

Committee: Ali Behbahani, M.D.

5b.

Management

For

Re-election of the member of the Compensation

Committee: Simeon J. George, M.D.

Management

5c.

For

Re-election of the member of the Compensation

Committee: John T. Greene

Management

6a.

For

Binding vote on total non-performance-related

compensation for members of the Board of Directors from

the 2021 Annual General Meeting to the 2022 annual

general meeting of shareholders.

6b.

Management

For

Binding vote on equity for members of the Board of

Directors from the 2021 Annual General Meeting to the

2022 annual general meeting of shareholders.

6c.

Management

For

Binding vote on total non-performance-related

compensation for members of the Executive Committee

from July 1, 2021 to June 30, 2022.

Management

6d.

For

Binding vote on total variable compensation for members

of the Executive Committee for the current year ending

December 31, 2021.

Management

6e.

For

Binding vote on equity for members of the Executive

Committee from the 2021 Annual General Meeting to the

2022 annual general meeting of shareholders.

Management

For

The approval of an increase in the Conditional Share

Capital for Employee Equity Plans.

Management

For

The approval of increasing the maximum size of the

Board of Directors.

Management

For

The approval of increasing the maximum number of

authorized share capital and extending the date by which

the Board of Directors may increase the share capital.

Management

10.

The re-election of the independent voting rights

For

representative.

11.

Management

For

The re-election of the auditors.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

01-May-2021

STATE

9,031

01-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

ABCELLERA BIOLOGICS, INC.

Security

00288U106

Meeting Type

Annual

Ticker Symbol

ABCL

Meeting Date

15-Jun-2021

ISIN

CA00288U1066

Agenda

935419879 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

Canada

Vote Deadline Date

14-Jun-2021

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of class I Director to serve until the 2024 annual

meeting: Véronique Lecault, Ph.D.

1B.

Management

For

Election of class I Director to serve until the 2024 annual

meeting: John Edward Hamer, Ph.D.

Management

For

To ratify the appointment of KPMG LLP as our

independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

29-Apr-2021

STATE

22,500

29-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

TWILIO INC.

Security

90138F102

Meeting Type

Annual

Ticker Symbol

TWLO

Meeting Date

16-Jun-2021

ISIN

US90138F1021

Agenda

935414716 - Management

Record Date

19-Apr-2021

Holding Recon Date

19-Apr-2021

City /

Country

United

Vote Deadline Date

15-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Jeff Lawson

For

Byron Deeter

For

Jeffrey Epstein

For

Management

For

Ratification of the appointment of KPMG LLP as the

Company's independent registered public accounting firm

for the fiscal year ending December 31, 2021.

Management

For

Approval of, on a non-binding advisory basis, the

compensation of the Company's named executive

officers.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

30-Apr-2021

STATE

1,000

30-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

CHECKMATE PHARMACEUTICALS, INC.

Security

162818108

Meeting Type

Annual

Ticker Symbol

CMPI

Meeting Date

16-Jun-2021

ISIN

US1628181083

Agenda

935424363 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

United

Vote Deadline Date

15-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Class I Director: Michael Powell, Ph.D.

Management

1B.

For

Election of Class I Director: Nilesh Kumar, Ph.D.

Management

For

To ratify the appointment of KPMG LLP as our

independent registered public accounting firm for the

fiscal year ending December 31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

01-May-2021

STATE

48,642

01-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

LYFT, INC.

Security

55087P104

Meeting Type

Annual

Ticker Symbol

LYFT

Meeting Date

17-Jun-2021

ISIN

US55087P1049

Agenda

935416518 - Management

Record Date

21-Apr-2021

Holding Recon Date

21-Apr-2021

City /

Country

United

Vote Deadline Date

16-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

John Zimmer

For

Valerie Jarrett

For

David Lawee

For

Management

For

To ratify the appointment of PricewaterhouseCoopers

LLP as our independent registered public accounting firm

for our fiscal year ending December 31, 2021.

Management

For

To approve, on an advisory basis, the compensation of

our named executive officers.

Shareholder

Against

For

A stockholder proposal regarding a report disclosing

certain lobbying expenditures and activities, if properly

presented at the meeting.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

29-Apr-2021

STATE

16,500

29-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

997AL96

CLOUGH

997AL96

29-Apr-2021

STATE

8,000

29-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

MASTERCARD INCORPORATED

Security

57636Q104

Meeting Type

Annual

Ticker Symbol

MA ��

Meeting Date

22-Jun-2021

ISIN

US57636Q1040

Agenda

935420644 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

United

Vote Deadline Date

21-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

1A.

For

Election of Director: Ajay Banga

Management

1B.

For

Election of Director: Merit E. Janow

Management

1C.

For

Election of Director: Richard K. Davis

Management

1D.

For

Election of Director: Steven J. Freiberg

Management

1E.

For

Election of Director: Julius Genachowski

Management

1F.

For

Election of Director: Choon Phong Goh

Management

1G.

For

Election of Director: Oki Matsumoto

Management

1H.

For

Election of Director: Michael Miebach

Management

1I.

For

Election of Director: Youngme Moon

Management

1J.

For

Election of Director: Rima Qureshi

Management

1K.

For

Election of Director: José Octavio Reyes Lagunes

Management

1L.

For

Election of Director: Gabrielle Sulzberger

Management

1M.

For

Election of Director: Jackson Tai

Management

1N.

For

Election of Director: Lance Uggla

Management

For

Advisory approval of Mastercard's executive

compensation.

Management

For

Ratification of the appointment of

PricewaterhouseCoopers LLP as the independent

registered public accounting firm for Mastercard for 2021.

Management

For

Approval of the amendment and restatement of the

Mastercard Incorporated 2006 Long Term Incentive Plan.

Management

For

Approval of the amendment and restatement of the

Mastercard Incorporated 2006 Non-Employee Director

Equity Compensation Plan.

Management

For

Approval of amendments to Mastercard's Certificate of

Incorporation to remove supermajority voting

requirements.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

30-Apr-2021

STATE

3,082

30-Apr-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

HON HAI PRECISION INDUSTRY CO LTD

Security

Y36861105

Meeting Type

Annual General Meeting

Ticker Symbol

Meeting Date

23-Jun-2021

ISIN

TW0002317005

Agenda

714213434 - Management

Record Date

23-Apr-2021

Holding Recon Date

23-Apr-2021

City /

Country

TAIPEI

Taiwan,

Vote Deadline Date

15-Jun-2021

Province of

China

SEDOL(s)

6438564 - B03W240

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

TO APPROVE 2020 BUSINESS REPORT AND

FINANCIAL STATEMENTS.

Management

For

TO APPROVE THE PROPOSAL FOR DISTRIBUTION

OF 2020 EARNINGS. PROPOSED CASH DIVIDEND

:TWD 4 PER SHARE.

Management

For

TO APPROVE THE LIFTING OF DIRECTOR OF NON-

For

COMPETITION RESTRICTIONS.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

AL94

26-May-2021

STATE

211,000

26-May-2021

STREET BANK

ZAI LAB LTD

Security

98887Q104

Meeting Type

Annual

Ticker Symbol

ZLAB

Meeting Date

24-Jun-2021

ISIN

US98887Q1040

Agenda

935433831 - Management

Record Date

27-Apr-2021

Holding Recon Date

27-Apr-2021

City /

Country

China

Vote Deadline Date

10-Jun-2021

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

For

A special resolution to consider and approve amending

and restating the Fourth Amended and Restated Articles

of Association of Zai Lab Limited, or the Current Articles,

to provide for the annual election of each of the

Company's directors.

Management

For

A special resolution to consider and approve amending

and restating the Current Articles to reflect changes

required or recommended by The Stock Exchange of

Hong Kong Limited.

Management

For

A special resolution to consider and approve that,

conditional upon the approval of special resolutions 1 and

2, the Current Articles be amended, restated and

replaced in their entirety by the Fifth Amended and

Restated Articles of Association in the form attached to

the proxy statement as Exhibit A.

Management

For

An ordinary resolution to ratify the selection of Deloitte

Touche Tohmatsu Certified Public Accountants LLP and

Deloitte Touche Tohmatsu as the Company's

independent auditors for the fiscal year ending December

31, 2021.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

11-May-2021

STATE

3,330

11-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

CROWDSTRIKE HOLDINGS, INC.

Security

22788C105

Meeting Type

Annual

Ticker Symbol

CRWD

Meeting Date

30-Jun-2021

ISIN

US22788C1053

Agenda

935436003 - Management

Record Date

05-May-2021

Holding Recon Date

05-May-2021

City /

Country

United

Vote Deadline Date

29-Jun-2021

States

SEDOL(s)

Quick Code

Proposed

Item

Proposal

Vote

For/Against

Management

DIRECTOR

Roxanne S. Austin

For

Sameer K. Gandhi

For

Gerhard Watzinger

For

Management

For

To ratify the selection of PricewaterhouseCoopers LLP as

CrowdStrike's independent registered public accounting

firm for its fiscal year ending January 31, 2022.

Management

For

To approve, on an advisory basis, the compensation of

CrowdStrike's named executive officers.

Management

3 Years

For

To approve, on an advisory basis, the frequency of future

stockholder advisory votes on the compensation of

CrowdStrike's named executive officers.

Management

For

To approve an amendment to CrowdStrike's 2019

Employee Stock Purchase Plan.

Unavailable

Vote Date

Account

Ballot Shares

Date

Account Name

Internal Account

Custodian

Number

Confirmed

997AL94

CLOUGH

GLS

15-May-2021

STATE

1,805

15-May-2021

GLOBAL LONG

STREET BANK

SHORT FUND

& TRUST CO

-2-

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/ Dawn Cotten
		Dawn Cotten
		President

	Date:	August 5, 2021

-3-

Clough Funds Trust N-PXAnnual report of proxy voting record