ITEM 1. PROXY VOTING RECORD:
Appended hereto as Exhibit 18 is the following information indicating for each matter relating to a portfolio security owned by the Registrant considered at any shareholder meeting held during the twelve month period ended June 30, 2020 with respect to which the Registrant was entitled to vote:
(c) The Council on Uniform Securities Identification Procedures ("CUSIP") number for the portfolio security;
(h) How the Registrant cast its vote (e.g., for or against proposal, or abstain; for or withhold regarding election of directors); and
(i) Whether the Registrant cast its vote for or against management.
| Registrant: NORTHERN LIGHTS FUND TRUST IV - Moerus Worldwide Value Fund | | | | | Item 1, Exhibit 18 |
| Investment Company Act file number: 811-23066 | | | | *Informational meeting, no proposals to be voted on |
| Reporting Period: July 1, 2019 through June 30, 2020 | | | | | |
| | | | | | | | | | | |
| FORM N-PX - PROXY VOTING RECORD REQUIREMENTS |
| | (a) Issuer's Name | (b) Exchange Ticker Symbol | (c)"CUSIP" # | (d) Shareholder Meeting Date | (e) Matter Identification | (f) Proposal Type | (g) Voted | (h) Vote Cast | (i) For/Against/ Abstain vs Management |
| 1 | SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | Annual; 10-Jul-2019 | 4 | Ratify the appointment of KPMG LLP ("KPMG") as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019 ("Fiscal 2019"). | Mgmt | Y | FOR | FOR |
| 2 | SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | Annual; 10-Jul-2019 | 1 | Election of the Class I Director: Sherianne James | Mgmt | Y | FOR | FOR |
| 3 | SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | Annual; 10-Jul-2019 | 2 | Election of the Class I Director: Norman Matthews | Mgmt | Y | FOR | FOR |
| 4 | SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | Annual; 10-Jul-2019 | 3 | Election of the Class I Director: Joseph Steinberg | Mgmt | Y | FOR | FOR |
| 5 | SPECTRUM BRANDS HOLDINGS, INC. | SPB | 84790A105 | Annual; 10-Jul-2019 | 5 | To approve, on an advisory basis, the compensation of the Company's executive officers. | Mgmt | Y | FOR | FOR |
| 6 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 2 | QUORUM VERIFICATION | Mgmt | Y | FOR | FOR |
| 7 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 3 | READING AND APPROVAL OF THE AGENDA | Mgmt | Y | FOR | FOR |
| 8 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 4 | DESIGNATION OF COMMITTEE FOR MINUTES OF THE MEETING'S APPROVAL | Mgmt | Y | FOR | FOR |
| 9 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 5 | PROPOSAL TO ISSUE THE AUTHORIZATIONS REQUIRED UNDER NUMERAL 7 OF ARTICLE 23 OF LAW 222 OF 1995 AND OTHER APPLICABLE LEGAL AND STATUTORY RULES REGARDING CONFLICTS OF INTEREST, IN RELATION TO A SALE, TO CASINO, GUICHARD-PERRACHON SA, OF THE INDIRECT PARTICIPATION THAT OWNS ALMACENES EXITO SA IN SEGISOR S.A.S. CAPITAL 'THE TRANSACTION': AUTHORIZATION TO THE BOARD OF DIRECTORS TO DELIBERATE AND DECIDE ABOUT THE TRANSACTION APPROVAL | Mgmt | Y | FOR | FOR |
| 10 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 6 | PROPOSAL TO ISSUE THE AUTHORIZATIONS REQUIRED UNDER NUMERAL 7 OF ARTICLE 23 OF LAW 222 OF 1995 AND OTHER APPLICABLE LEGAL AND STATUTORY RULES REGARDING CONFLICTS OF INTEREST, IN RELATION TO A SALE, TO CASINO, GUICHARD-PERRACHON SA, OF THE INDIRECT PARTICIPATION THAT OWNS ALMACENES EXITO SA IN SEGISOR S.A.S. CAPITAL 'THE TRANSACTION': TRANSACTION APPROVAL BY THE GENERAL SHAREHOLDERS MEETING | Mgmt | Y | FOR | FOR |
| 11 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 12-Sep-2019 | 7 | PROPOSAL TO ISSUE THE AUTHORIZATIONS REQUIRED UNDER NUMERAL 7 OF ARTICLE 23 OF LAW 222 OF 1995 AND OTHER APPLICABLE LEGAL AND STATUTORY RULES REGARDING CONFLICTS OF INTEREST, IN RELATION TO A SALE, TO CASINO, GUICHARD-PERRACHON SA, OF THE INDIRECT PARTICIPATION THAT OWNS ALMACENES EXITO SA IN SEGISOR S.A.S. CAPITAL 'THE TRANSACTION': AUTHORIZATION FOR THE PRESIDENT AND, IF NECESSARY, THE OTHER LEGAL REPRESENTATIVES OF THE COMPANY, TO EXECUTE AND SETTLE, WITHOUT ANY AMOUNT LIMIT, ALL THE ACTS REQUIRED TO CARRY OUT THE TRANSACTION | Mgmt | Y | FOR | FOR |
| 12 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 1 | ELECTION OF DIRECTOR: EDWARD J. BREINER | Mgmt | Y | FOR | FOR |
| 13 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 2 | ELECTION OF DIRECTOR: JOHN BURZYNSKI | Mgmt | Y | FOR | FOR |
| 14 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 3 | ELECTION OF DIRECTOR: LOUIS-PIERRE GIGNAC | Mgmt | Y | FOR | FOR |
| 15 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 4 | ELECTION OF DIRECTOR: KIM KEATING | Mgmt | Y | FOR | FOR |
| 16 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 5 | ELECTION OF DIRECTOR: DENIS LAROCQUE | Mgmt | Y | FOR | FOR |
| 17 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 6 | ELECTION OF DIRECTOR: JANICE G. RENNIE | Mgmt | Y | FOR | FOR |
| 18 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 7 | ELECTION OF DIRECTOR: DAVID TENNANT | Mgmt | Y | FOR | FOR |
| 19 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 8 | ELECTION OF DIRECTOR: JO MARK ZUREL | Mgmt | Y | FOR | FOR |
| 20 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 9 | IN RESPECT OF ACCEPTING THE ADVISORY RESOLUTION TO ACCEPT THE BOARD'S APPROACH TO EXECUTIVE COMPENSATION AS SET FORTH IN THE MANAGEMENT PROXY CIRCULAR OF THE CORPORATION DATED JULY 15, 2019 | Mgmt | Y | FOR | FOR |
| 21 | MAJOR DRILLING GROUP INTERNATIONAL INC | MDI CN | 560909103 | Annual; 12-Sep-2019 | 10 | IN RESPECT OF THE APPOINTMENT OF DELOITTE LLP AS INDEPENDENT AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Mgmt | Y | FOR | FOR |
| 22 | NN GROUP N.V. | NN NA | N64038107 | Special; 26-Sep-2019 | 1 | PLEASE NOTE THAT THIS IS AN INFORMATIONAL MEETING, AS THERE ARE NO PROPOSALS TO BE VOTED ON. SHOULD YOU WISH TO ATTEND THE MEETING PERSONALLY, YOU MAY REQUEST AN ENTRANCE CARD. THANK YOU. | Mgmt | N | N/A* | N/A* |
| 23 | NN GROUP N.V. | NN NA | N64038107 | Special; 26-Sep-2019 | 2 | OPENING | Mgmt | N | N/A* | N/A* |
| 24 | NN GROUP N.V. | NN NA | N64038107 | Special; 26-Sep-2019 | 3 | NOTICE OF THE INTENDED APPOINTMENT OF DAVID KNIBBE AS MEMBER OF THE EXECUTIVE BOARD | Mgmt | N | N/A* | N/A* |
| 25 | NN GROUP N.V. | NN NA | N64038107 | Special; 26-Sep-2019 | 4 | CLOSING | Mgmt | N | N/A* | N/A* |
| 26 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 3 | TO RECEIVE, CONSIDER AND ADOPT THE AUDITED FINANCIAL STATEMENTS AND THE DIRECTORS' AND INDEPENDENT AUDITOR'S REPORTS FOR THE YEAR ENDED 30TH JUNE, 2019 | Mgmt | Y | FOR | FOR |
| 27 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 4 | TO DECLARE A FINAL DIVIDEND OF HKD 0.41 PER ORDINARY SHARE WITH AN OPTION FOR SCRIP DIVIDEND | Mgmt | Y | FOR | FOR |
| 28 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 5 | TO RE-ELECT MR. DARYL NG WIN KONG AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 29 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 6 | TO RE-ELECT MR. RINGO CHAN WING KWONG AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 30 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 7 | TO RE-ELECT MR. GORDON LEE CHING KEUNG AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 31 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 8 | TO RE-ELECT MS. VELENCIA LEE AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 32 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 9 | TO AUTHORISE THE BOARD TO FIX THE DIRECTORS' REMUNERATION FOR THE FINANCIAL YEAR ENDING 30TH JUNE, 2020 | Mgmt | Y | FOR | FOR |
| 33 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 10 | TO RE-APPOINT DELOITTE TOUCHE TOHMATSU AS AUDITOR FOR THE ENSUING YEAR AND TO AUTHORISE THE BOARD TO FIX THEIR REMUNERATION | Mgmt | Y | FOR | FOR |
| 34 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 11 | TO APPROVE SHARE BUY-BACK MANDATE (ORDINARY RESOLUTION ON ITEM 5(I) OF THE NOTICE OF ANNUAL GENERAL MEETING) | Mgmt | Y | FOR | FOR |
| 35 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 12 | TO APPROVE SHARE ISSUE MANDATE (ORDINARY RESOLUTION ON ITEM 5(II) OF THE NOTICE OF ANNUAL GENERAL MEETING) | Mgmt | Y | AGAINST | AGAINST |
| 36 | SINO LAND CO LTD | 83 HK | Y80267126 | Annual; 24-Oct-2019 | 13 | TO APPROVE EXTENSION OF SHARE ISSUE MANDATE (ORDINARY RESOLUTION ON ITEM 5(III) OF THE NOTICE OF ANNUAL GENERAL MEETING) | Mgmt | Y | AGAINST | AGAINST |
| 37 | ROYAL GOLD, INC. | RGLD | 780287108 | Annual; 20-Nov-2019 | 4 | The ratification of the appointment of Ernst & Young LLP as independent registered public accountants of the Company for the fiscal year ending June 30, 2020. | Mgmt | Y | FOR | FOR |
| 38 | ROYAL GOLD, INC. | RGLD | 780287108 | Annual; 20-Nov-2019 | 1 | Election of Director: William M. Hayes | Mgmt | Y | FOR | FOR |
| 39 | ROYAL GOLD, INC. | RGLD | 780287108 | Annual; 20-Nov-2019 | 2 | Election of Director: Ronald J. Vance | Mgmt | Y | FOR | FOR |
| 40 | ROYAL GOLD, INC. | RGLD | 780287108 | Annual; 20-Nov-2019 | 3 | The approval, on an advisory basis, of the compensation of the Named Executive Officers. | Mgmt | Y | FOR | FOR |
| 41 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 23-Jan-2020 | 2 | APPROVE MEETING AGENDA | Mgmt | Y | FOR | FOR |
| 42 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 23-Jan-2020 | 3 | ELECT MEETING APPROVAL COMMITTEE | Mgmt | Y | FOR | FOR |
| 43 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 23-Jan-2020 | 4 | ELECT DIRECTORS | Mgmt | Y | FOR | FOR |
| 44 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Special; 23-Jan-2020 | 5 | APPROVE REMUNERATION OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 45 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 11 | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2020. | Mgmt | Y | FOR | FOR |
| 46 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 12 | To approve the amendment and restatement of our 1998 Employee Stock Investment Plan, which includes increasing the number of shares of common stock authorized for issuance thereunder by 5,000,000 shares. | Mgmt | Y | FOR | FOR |
| 47 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 1 | Election of Director: Peter K. Barker | Mgmt | Y | AGAINST | AGAINST |
| 48 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 2 | Election of Director: Mariann Byerwalter | Mgmt | Y | FOR | FOR |
| 49 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 3 | Election of Director: Gregory E. Johnson | Mgmt | Y | FOR | FOR |
| 50 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 4 | Election of Director: Jennifer M. Johnson | Mgmt | Y | FOR | FOR |
| 51 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 5 | Election of Director: Rupert H. Johnson, Jr. | Mgmt | Y | FOR | FOR |
| 52 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 6 | Election of Director: Anthony J. Noto | Mgmt | Y | FOR | FOR |
| 53 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 7 | Election of Director: Mark C. Pigott | Mgmt | Y | FOR | FOR |
| 54 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 8 | Election of Director: Laura Stein | Mgmt | Y | FOR | FOR |
| 55 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 9 | Election of Director: Seth H. Waugh | Mgmt | Y | FOR | FOR |
| 56 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 10 | Election of Director: Geoffrey Y. Yang | Mgmt | Y | FOR | FOR |
| 57 | FRANKLIN RESOURCES, INC. | BEN | 354613101 | Annual; 11-Feb-2020 | 13 | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | Y | AGAINST | AGAINST |
| 58 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 2 | QUORUM VERIFICATION | Mgmt | Y | FOR | FOR |
| 59 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 3 | READING AND APPROVAL OF THE AGENDA | Mgmt | Y | FOR | FOR |
| 60 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 4 | ELECTION OF COMMISSION FOR SCRUTINY, REVIEW, APPROVAL AND SIGNING OF THE MINUTES | Mgmt | Y | FOR | FOR |
| 61 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 5 | PRESENTATION OF MANAGEMENT REPORT FROM THE PRESIDENT AND THE BOARD OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 62 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 6 | PRESENTATION OF ANNUAL CORPORATE GOVERNANCE REPORT | Mgmt | Y | FOR | FOR |
| 63 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 7 | PRESENTATION OF THE GENERAL, SEPARATE AND COMPOUND FINANCIAL STATEMENTS AS OF 31 DECEMBER 2019 | Mgmt | Y | FOR | FOR |
| 64 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 8 | PRESENTATION OF THE AUDITOR'S OPINION ON THE FINANCIAL STATEMENTS | Mgmt | Y | FOR | FOR |
| 65 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 9 | APPROVAL OF THE MANAGEMENT REPORT AND THE CORPORATE GOVERNANCE REPORT | Mgmt | Y | FOR | FOR |
| 66 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 10 | APPROVAL OF THE FINANCIAL STATEMENTS | Mgmt | Y | ABSTAIN | ABSTAIN |
| 67 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 11 | ELECTION OF THE FISCAL AUDITOR FOR THE PERIOD 2020-2022 | Mgmt | Y | FOR | FOR |
| 68 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 12 | DECISION OF THE FEES TO BE PAID TO THE FISCAL AUDITOR FOR THE PERIOD 2020-2022 | Mgmt | Y | FOR | FOR |
| 69 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 13 | PROPOSAL OF PROFITS DISTRIBUTION | Mgmt | Y | FOR | FOR |
| 70 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 14 | PROPOSAL OF DONATIONS | Mgmt | Y | FOR | FOR |
| 71 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 15 | PROPOSAL OF BYLAWS MODIFICATION | Mgmt | Y | AGAINST | AGAINST |
| 72 | ALMACENES EXITO SA | EXITO CB | P3782F107 | Annual; 19-Mar-2020 | 16 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: PROPOSALS FROM THE SHAREHOLDERS | Shareholder | Y | ABSTAIN | ABSTAIN |
| 73 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 2 | VERIFICATION OF THE QUORUM | Mgmt | Y | FOR | FOR |
| 74 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 3 | READING AND APPROVAL OF THE AGENDA | Mgmt | Y | FOR | FOR |
| 75 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 4 | ELECTION OF THE CHAIRPERSON AND SECRETARY OF THE GENERAL MEETING | Mgmt | Y | FOR | FOR |
| 76 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 5 | APPOINTMENT OF THE COMMITTEE TO APPROVE THE MINUTES | Mgmt | Y | FOR | FOR |
| 77 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 6 | READING OF THE ANNUAL REPORT FROM THE PRESIDENT OF THE COMPANY AND FROM THE CHAIRPERSON OF THE BOARD OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 78 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 7 | REPORT FROM THE AUDITOR | Mgmt | Y | FOR | FOR |
| 79 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 8 | PRESENTATION, CONSIDERATION AND APPROVAL OF THE 2019 FINANCIAL STATEMENTS | Mgmt | Y | ABSTAIN | ABSTAIN |
| 80 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 9 | APPROVAL OF THE PLAN FOR THE DISTRIBUTION OF PROFIT | Mgmt | Y | FOR | FOR |
| 81 | ORGANIZACION TERPEL SA, BOGOTA | TERPEL CB | P8S28V113 | Annual; 20-Mar-2020 | 10 | PROPOSALS AND VARIOUS | Mgmt | Y | AGAINST | AGAINST |
| 82 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 4 | READING AND CONSIDERATION OF THE AGENDA | Mgmt | Y | FOR | FOR |
| 83 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 5 | DESIGNATION OF A COMMITTEE THAT IS CHARGED WITH APPROVING THE MINUTES | Mgmt | Y | FOR | FOR |
| 84 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 6 | APPROVAL OF THE ANNUAL REPORT FROM THE BOARD OF DIRECTORS AND FROM THE PRESIDENT OF BVC, INCLUDING THE CORPORATE GOVERNANCE REPORT. THE AUDIT AND RISK COMMITTEE REPORT | Mgmt | Y | FOR | FOR |
| 85 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 7 | THE REPORT FROM THE AUDITOR | Mgmt | Y | FOR | FOR |
| 86 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 8 | APPROVAL OF THE INDIVIDUAL AND CONSOLIDATED FINANCIAL STATEMENTS FOR THE 2019 FISCAL YEAR | Mgmt | Y | ABSTAIN | ABSTAIN |
| 87 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 9 | STUDY AND APPROVAL OF THE PLAN FOR THE DISTRIBUTION OF PROFIT | Mgmt | Y | FOR | FOR |
| 88 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 10 | ACCEPTANCE OF THE RESIGNATION OF A MEMBER OF THE BOARD OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 89 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 11 | ELECTION, UNANIMOUSLY, OF A MEMBER WHO IS CLASSIFIED AS A NON INDEPENDENT MEMBER OF THE BOARD OF DIRECTORS TO HOLD THE VACANT POSITION FOR THE PERIOD FROM APRIL 2020 THROUGH MARCH 2021 UNDER ARTICLE 197 OF THE COMMERCIAL CODE | Mgmt | Y | FOR | FOR |
| 90 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 12 | ALTERNATIVE PROPOSAL NUMBER 1, IN THE EVENT THAT THE RESOLUTION IN ITEM X IS NOT PASSED UNANIMOUSLY BY THOSE IN ATTENDANCE, ELECTION OF INDEPENDENT MEMBERS OF THE BOARD OF DIRECTORS FOR THE BYLAWS PERIOD, WHICH IS APRIL 2020 THROUGH MARCH 2021 | Mgmt | Y | FOR | FOR |
| 91 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 13 | ALTERNATIVE PROPOSAL NUMBER 2, IN THE EVENT THAT THE RESOLUTION IN ITEM X IS NOT PASSED UNANIMOUSLY BY THOSE IN ATTENDANCE, ELECTION OF MEMBERS WHO ARE NOT CLASSIFIED AS INDEPENDENT MEMBERS OF THE BOARD OF DIRECTORS FOR THE BYLAWS PERIOD, WHICH IS APRIL 2020 THROUGH MARCH 2021 | Mgmt | Y | FOR | FOR |
| 92 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 14 | BUSINESS SOCIAL RESPONSIBILITY PROGRAM | Mgmt | Y | FOR | FOR |
| 93 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 2 | VERIFICATION OF THE QUORUM | Mgmt | Y | FOR | FOR |
| 94 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 3 | DESIGNATION OF THE CHAIRPERSON AND SECRETARY OF THE GENERAL MEETING UNDER THE PARAGRAPH IN ARTICLE 36 OF THE CORPORATE BYLAWS | Mgmt | Y | FOR | FOR |
| 95 | BOLSA DE VALORES DE COLOMBIA S.A. | BVC CB | P17326102 | Annual; 25-Mar-2020 | 15 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: PROPOSALS FROM THE SHAREHOLDERS | Shareholder | Y | ABSTAIN | ABSTAIN |
| 96 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 2 | TO APPROVE THE 2019 BALANCE SHEET | Mgmt | Y | FOR | FOR |
| 97 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 3 | TO ALLOCATE THE NET PROFIT FOR THE YEAR 2019 | Mgmt | Y | FOR | FOR |
| 98 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 4 | TO DISTRIBUTE A DIVIDEND FROM PROFIT RESERVES | Mgmt | Y | FOR | FOR |
| 99 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 5 | TO REMOVE THE SO-CALLED "NEGATIVE RESERVES" FOR ITEMS NOT SUBJECT TO AMENDMENTS BY MEANS OF THEIR DEFINITIVE COVERAGE | Mgmt | Y | FOR | FOR |
| 100 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 6 | TO STATE DIRECTORS' NUMBER | Mgmt | Y | FOR | FOR |
| 101 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 7 | TO APPOINT BEATRIZ LARA BARTOLOME' AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 102 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 8 | TO APPOINT DIEGO DE GIORGI AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 103 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 9 | TO APPOINT THE EXTERNAL AUDITORS OF UNICREDIT S.P.A. FOR THE YEARS 2022-2030 AND TO STATE ITS EMOLUMENT | Mgmt | Y | FOR | FOR |
| 104 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 10 | 2020 GROUP INCENTIVE SYSTEM | Mgmt | Y | FOR | FOR |
| 105 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 11 | REPORT ON 2020 GROUP COMPENSATION POLICY | Mgmt | Y | FOR | FOR |
| 106 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 12 | REPORT ON THE GRANTED EMOLUMENTS | Mgmt | Y | FOR | FOR |
| 107 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 13 | TO STATE THE LONG-TERM 2020-2023 INCENTIVE SYSTEM (PIANO LTI 2020-2023) | Mgmt | Y | FOR | FOR |
| 108 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 14 | TO AUTHORIZE THE PURCHASE OF OWN SHARES. RESOLUTIONS RELATED THERETO | Mgmt | Y | FOR | FOR |
| 109 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 15 | TO EMPOWER THE BOARD OF DIRECTORS TO INCREASE STOCK CAPITAL FOR A MAXIMUM AMOUNT OF EUR 18,779,138 IN ORDER TO EXECUTE THE 2019 GROUP INCENTIVE SYSTEM AND FURTHER STATUTORY AMENDMENTS | Mgmt | Y | FOR | FOR |
| 110 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 16 | TO EMPOWER THE BOARD OF DIRECTORS TO INCREASE STOCK CAPITAL FOR A MAXIMUM AMOUNT OF EUR 123,146,209 IN ORDER TO EXECUTE THE 2020 GROUP INCENTIVE SYSTEM AND FURTHER STATUTORY AMENDMENTS | Mgmt | Y | FOR | FOR |
| 111 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 17 | TO AMEND ART. 6 (STOCK CAPITAL INCREASE) OF THE COMPANY BY-LAW | Mgmt | Y | FOR | FOR |
| 112 | UNICREDIT SPA | UCG IM | T9T23L642 | Mix; 09-Apr-2020 | 18 | TO CANCEL OWN SHARES WITHOUT REDUCING THE SHARE CAPITAL, TO AMEND ART. 5 OF THE COMPANY BY-LAW. RESOLUTIONS RELATED THERETO | Mgmt | Y | FOR | FOR |
| 113 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 14 | Ratify Deloitte & Touche LLP as independent auditors for the year-ended November 30, 2020. | Mgmt | Y | FOR | FOR |
| 114 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 1 | Election of Director: Linda L. Adamany | Mgmt | Y | FOR | FOR |
| 115 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 2 | Election of Director: Barry J. Alperin | Mgmt | Y | FOR | FOR |
| 116 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 3 | Election of Director: Robert D. Beyer | Mgmt | Y | FOR | FOR |
| 117 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 4 | Election of Director: Francisco L. Borges | Mgmt | Y | FOR | FOR |
| 118 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 5 | Election of Director: Brian P. Friedman | Mgmt | Y | FOR | FOR |
| 119 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 6 | Election of Director: MaryAnne Gilmartin | Mgmt | Y | FOR | FOR |
| 120 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 7 | Election of Director: Richard B. Handler | Mgmt | Y | FOR | FOR |
| 121 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 8 | Election of Director: Robert E. Joyal | Mgmt | Y | FOR | FOR |
| 122 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 9 | Election of Director: Jacob M. Katz | Mgmt | Y | FOR | FOR |
| 123 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 10 | Election of Director: Michael T. O'Kane | Mgmt | Y | FOR | FOR |
| 124 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 11 | Election of Director: Stuart H. Reese | Mgmt | Y | FOR | FOR |
| 125 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 12 | Election of Director: Joseph S. Steinberg | Mgmt | Y | FOR | FOR |
| 126 | JEFFERIES FINANCIAL GROUP INC. | JEF | 47233W109 | Annual; 17-Apr-2020 | 13 | Approve named executive officer compensation on an advisory basis. | Mgmt | Y | AGAINST | AGAINST |
| 127 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Special; 24-Apr-2020 | 2 | THE AMENDMENT OF PARAGRAPH 3 OF ARTICLE 5 OF THE CORPORATE BYLAWS, AS WELL AS ITS RESTATEMENT | Mgmt | Y | AGAINST | AGAINST |
| 128 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Special; 24-Apr-2020 | 3 | THE RATIFICATION OF THE ACQUISITIONS OF REC 2017 EMPREENDIMENTOS E PARTICIPACOES VII S.A. AND OF REC 2017 EMPREENDIMENTOS E PARTICIPACOES IX S.A., IN COMPLIANCE WITH THAT WHICH IS PROVIDED FOR IN ARTICLE 256 OF THE BRAZILIAN CORPORATE LAW | Mgmt | Y | FOR | FOR |
| 129 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Special; 24-Apr-2020 | 4 | THE RATIFICATION OF THE APPOINTMENT AND HIRING, BY THE COMPANY, OF APSIS CONSULTORIA E AVALIACOES LTDA., FOR THE PREPARATION OF THE VALUATION REPORTS IN REFERENCE TO THE ACQUISITIONS OF REC 2017 EMPREENDIMENTOS E PARTICIPACOES VII S.A. AND OF REC 2017 EMPREENDIMENTOS E PARTICIPACOES IX S.A. BY THE COMPANY | Mgmt | Y | FOR | FOR |
| 130 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Special; 24-Apr-2020 | 5 | THE AMENDMENT OF THE STOCK OPTION PLAN OF THE COMPANY THAT WAS APPROVED AT THE ANNUAL AND EXTRAORDINARY GENERAL MEETING THAT WAS HELD ON OCTOBER 31, 2016 | Mgmt | Y | FOR | FOR |
| 131 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Special; 24-Apr-2020 | 6 | DO YOU WISH TO REQUEST THE INSTATEMENT OF THE FISCAL COUNCIL, UNDER THE TERMS OF ARTICLE 161 OF LAW 6,404 OF 1976 | Mgmt | Y | ABSTAIN | ABSTAIN |
| 132 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 3 | EXAMINATION, DISCUSSION AND VOTING ON THE MANAGEMENT REPORT, MANAGEMENTS ACCOUNTS AND COMPANY FINANCIAL STATEMENTS, FOR THE YEAR ENDED DECEMBER 31, 2019 | Mgmt | Y | FOR | FOR |
| 133 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 4 | DELIBERATE THE DESTINATION OF THE RESULTS FROM THE FISCAL YEAR THAT ENDED ON DECEMBER 31, 2019 | Mgmt | Y | FOR | FOR |
| 134 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 5 | TO APPROVE THE PROPOSAL FOR THE CAPITAL BUDGET FOR THE YEARS 2020 AND 2021 | Mgmt | Y | FOR | FOR |
| 135 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 6 | TO SET THE 5 NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 136 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 7 | DO YOU WISH TO REQUEST THE ADOPTION OF THE CUMULATIVE VOTING PROCESS FOR THE ELECTION OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141 OF LAW 6,404 OF 1976 | Mgmt | Y | AGAINST | AGAINST |
| 137 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 8 | TO ELECT THE MEMBERS OF THE BOARD OF DIRECTORS BY SLATE. INDICATION OF ALL THE NAMES THAT MAKE UP THE BOARD. THE VOTES INDICATED IN THIS FIELD WILL BE DISREGARDED IF THE SHAREHOLDER HOLDING SHARES WITH VOTING RIGHTS ALSO FILLS IN THE FIELDS PRESENT IN THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS AND THE SEPARATE ELECTION THAT THESE FIELDS DEAL WITH. ANTONIO CARLOS AUGUSTO RIBEIRO BONCHRISTIANO PRINCIPAL MEMBER DANILO GAMBOA PRINCIPAL MEMBER FABIO DE ARAUJO NOGUEIRA INDEPENDENT MEMBER RUBENS MARIO MARQUES DE FREITAS PRINCIPAL MEMBER CHARLES LAGANA PUTZ INDEPENDENT MEMBER | Mgmt | Y | FOR | FOR |
| 138 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 9 | IN THE EVENT THAT ONE OF THE CANDIDATES WHO IS ON THE SLATE CHOSEN CEASES TO BE PART OF THAT SLATE, CAN THE VOTES CORRESPONDING TO YOUR SHARES CONTINUE TO BE CONFERRED ON THE CHOSEN SLATE | Mgmt | Y | AGAINST | AGAINST |
| 139 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 11 | IN THE EVENT OF THE ADOPTION OF THE CUMULATIVE VOTING PROCESS, SHOULD THE VOTES CORRESPONDING TO YOUR SHARES BE DISTRIBUTED IN EQUAL PERCENTAGES ACROSS THE MEMBERS OF THE SLATE THAT YOU HAVE CHOSEN. PLEASE NOTE THAT IF INVESTOR CHOOSES FOR, THE PERCENTAGES DO NOT NEED TO BE PROVIDED, IF INVESTOR CHOOSES AGAINST, IT IS MANDATORY TO INFORM THE PERCENTAGES ACCORDING TO WHICH THE VOTES SHOULD BE DISTRIBUTED, OTHERWISE THE ENTIRE VOTE WILL BE REJECTED DUE TO LACK OF INFORMATION, IF INVESTOR CHOOSES ABSTAIN, THE PERCENTAGES DO NOT NEED TO BE PROVIDED, HOWEVER IN CASE CUMULATIVE VOTING IS ADOPTED THE INVESTOR WILL NOT PARTICIPATE ON THIS MATTER OF THE MEETING | Mgmt | Y | ABSTAIN | ABSTAIN |
| 140 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 12 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. ANTONIO CARLOS AUGUSTO RIBEIRO BONCHRISTIANO PRINCIPAL MEMBER | Mgmt | Y | ABSTAIN | ABSTAIN |
| 141 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 13 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. DANILO GAMBOA PRINCIPAL MEMBER | Mgmt | Y | ABSTAIN | ABSTAIN |
| 142 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 14 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. FABIO DE ARAUJO NOGUEIRA INDEPENDENT MEMBER | Mgmt | Y | ABSTAIN | ABSTAIN |
| 143 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 15 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. RUBENS MARIO MARQUES DE FREITAS PRINCIPAL MEMBER | Mgmt | Y | ABSTAIN | ABSTAIN |
| 144 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 16 | VISUALIZATION OF ALL THE CANDIDATES THAT COMPOSE THE SLATE TO INDICATE THE PERCENTAGE OF THE VOTES TO BE ATTRIBUTED. CHARLES LAGANA PUTZ INDEPENDENT MEMBER | Mgmt | Y | ABSTAIN | ABSTAIN |
| 145 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 17 | DO YOU WISH TO REQUEST THE SEPARATE ELECTION OF A MEMBER OF THE BOARD OF DIRECTORS, UNDER THE TERMS OF ARTICLE 141, 4, I OF LAW 6,404 OF 1976 | Mgmt | Y | ABSTAIN | ABSTAIN |
| 146 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 18 | TO SET THE GLOBAL REMUNERATION OF THE COMPANY DIRECTORS FOR THE FISCAL YEAR OF 2020 | Mgmt | Y | FOR | FOR |
| 147 | BR PROPERTIES SA | BRPR3 BZ | P1909V120 | Annual; 24-Apr-2020 | 19 | DO YOU WISH TO REQUEST THE INSTATEMENT OF THE FISCAL COUNCIL, UNDER THE TERMS OF ARTICLE 161 OF LAW 6,404 OF 1976 | Mgmt | Y | ABSTAIN | ABSTAIN |
| 148 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 4 | OPEN MEETING APPROVE NOTICE OF MEETING AND AGENDA | Mgmt | Y | FOR | FOR |
| 149 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 5 | DESIGNATE INSPECTOR(S) OF MINUTES OF MEETING | Mgmt | Y | FOR | FOR |
| 150 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 7 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS APPROVE ALLOCATION OF INCOME AND DIVIDENDS | Mgmt | Y | FOR | FOR |
| 151 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 8 | APPROVE REMUNERATION POLICY AND OTHER TERMS OF EMPLOYMENT FOR EXECUTIVE MANAGEMENT (ADVISORY) | Mgmt | Y | AGAINST | AGAINST |
| 152 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 9 | APPROVE REMUNERATION POLICY AND OTHER TERMS OF EMPLOYMENT FOR EXECUTIVE MANAGEMENT (BINDING) | Mgmt | Y | AGAINST | AGAINST |
| 153 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 11 | APPROVE REMUNERATION OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 154 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 12 | APPROVE REMUNERATION OF NOMINATING COMMITTEE | Mgmt | Y | FOR | FOR |
| 155 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 13 | ELECT DIRECTORS | Mgmt | Y | FOR | FOR |
| 156 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 14 | ELECT MEMBERS OF NOMINATION COMMITTEE | Mgmt | Y | FOR | FOR |
| 157 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 15 | APPROVE REMUNERATION OF AUDITORS FOR 2019 | Mgmt | Y | FOR | FOR |
| 158 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 16 | AUTHORIZE SHARE REPURCHASE PROGRAM IN CONNECTION WITH ACQUISITIONS, MERGERS, DEMERGERS OR OTHER TRANSACTIONS | Mgmt | Y | FOR | FOR |
| 159 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 17 | AUTHORIZE SHARE REPURCHASE PROGRAM IN CONNECTION WITH INCENTIVE PLAN | Mgmt | Y | AGAINST | AGAINST |
| 160 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 18 | AUTHORIZE SHARE REPURCHASE PROGRAM FOR INVESTMENT PURPOSES OR CANCELLATION | Mgmt | Y | FOR | FOR |
| 161 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 19 | AUTHORIZE BOARD TO DISTRIBUTE DIVIDENDS | Mgmt | Y | FOR | FOR |
| 162 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 20 | APPROVE CREATION OF POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS | Mgmt | Y | AGAINST | AGAINST |
| 163 | AKER ASA | AKER NO | R0114P108 | Annual; 27-Apr-2020 | 21 | AMEND ARTICLES RE: NOMINATION COMMITTEE | Mgmt | Y | FOR | FOR |
| 164 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 1 | TO RECEIVE THE DIRECTORS' ANNUAL REPORT AND FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 DECEMBER 2019 | Mgmt | Y | FOR | FOR |
| 165 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 2 | TO RECEIVE AND APPROVE THE DIRECTORS' REMUNERATION REPORT (OTHER THAN THE DIRECTORS' REMUNERATION POLICY) FOR THE YEAR ENDED 31 DECEMBER 2019 | Mgmt | Y | AGAINST | AGAINST |
| 166 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 3 | TO RECEIVE AND APPROVE THE DIRECTORS' REMUNERATION POLICY | Mgmt | Y | AGAINST | AGAINST |
| 167 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 5 | TO ELECT MEKA BRUNEL AS A DIRECTOR OF THE COMPANY | Mgmt | Y | FOR | FOR |
| 168 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 6 | TO ELECT JAMES LENTON AS A DIRECTOR OF THE COMPANY | Mgmt | Y | FOR | FOR |
| 169 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 7 | TO ELECT ADAM METZ AS A DIRECTOR OF THE COMPANY | Mgmt | Y | FOR | FOR |
| 170 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 8 | TO RE-ELECT DAVID ATKINS AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 171 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 9 | TO RE-ELECT PIERRE BOUCHUT AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 172 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 10 | TO RE-ELECT GWYN BURR AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 173 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 11 | TO RE-ELECT ANDREW FORMICA AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 174 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 12 | TO RE-ELECT DAVID TYLER AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 175 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 13 | TO RE-ELECT CAROL WELCH AS A DIRECTOR | Mgmt | Y | FOR | FOR |
| 176 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 14 | TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITOR | Mgmt | Y | FOR | FOR |
| 177 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 15 | TO AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR'S REMUNERATION | Mgmt | Y | FOR | FOR |
| 178 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 16 | TO AUTHORISE THE DIRECTORS TO ALLOT SHARES | Mgmt | Y | AGAINST | AGAINST |
| 179 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 17 | TO DISAPPLY PRE-EMPTION RIGHTS | Mgmt | Y | AGAINST | AGAINST |
| 180 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 18 | TO DISAPPLY PRE-EMPTION RIGHTS IN ADDITION TO THOSE CONFERRED BY RESOLUTION 17 | Mgmt | Y | AGAINST | AGAINST |
| 181 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 19 | TO AUTHORISE MARKET PURCHASES BY THE COMPANY OF ITS SHARES | Mgmt | Y | FOR | FOR |
| 182 | HAMMERSON PLC R.E.I.T. | HMSO LN | G4273Q107 | Annual; 28-Apr-2020 | 20 | TO RECEIVE AND APPROVE THE RULES OF THE 2020 RESTRICTED SHARE SCHEME | Mgmt | Y | AGAINST | AGAINST |
| 183 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 2 | ELECT THE DIRECTOR: IAN BRUCE | Mgmt | Y | FOR | FOR |
| 184 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 3 | ELECT THE DIRECTOR: DANIEL CAMUS | Mgmt | Y | FOR | FOR |
| 185 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 4 | ELECT THE DIRECTOR: DONALD DERANGER | Mgmt | Y | FOR | FOR |
| 186 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 5 | ELECT THE DIRECTOR: CATHERINE GIGNAC | Mgmt | Y | FOR | FOR |
| 187 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 6 | ELECT THE DIRECTOR: TIM GITZEL | Mgmt | Y | FOR | FOR |
| 188 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 7 | ELECT THE DIRECTOR: JIM GOWANS | Mgmt | Y | FOR | FOR |
| 189 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 8 | ELECT THE DIRECTOR: KATHRYN JACKSON | Mgmt | Y | FOR | FOR |
| 190 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 9 | ELECT THE DIRECTOR: DON KAYNE | Mgmt | Y | FOR | FOR |
| 191 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 10 | ELECT THE DIRECTOR: ANNE MCLELLAN | Mgmt | Y | FOR | FOR |
| 192 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 11 | APPOINT KPMG LLP AS AUDITORS | Mgmt | Y | FOR | FOR |
| 193 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 12 | BE IT RESOLVED THAT, ON AN ADVISORY BASIS AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD OF DIRECTORS FOR EXECUTIVE COMPENSATION, THE SHAREHOLDERS ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN CAMECO'S MANAGEMENT PROXY CIRCULAR DELIVERED IN ADVANCE OF THE 2020 ANNUAL MEETING OF SHAREHOLDERS | Mgmt | Y | FOR | FOR |
| 194 | CAMECO CORP | CCO CN | 13321L108 | Annual; 30-Apr-2020 | 13 | YOU DECLARE THAT THE SHARES REPRESENTED BY THIS PROXY ARE HELD, BENEFICALLY OWNED OR CONTROLLED, EITHER DIRECTLY OR INDIRECTLY, BY A RESIDENT OF CANADA AS DEFINED BELOW. IF THE SHARES ARE HELD IN THE NAMES OF TWO OR MORE PEOPLE, YOU DECLARE THAT ALL OF THESE PEOPLE ARE RESIDENTS OF CANADA. NOTE: "FOR" = YES, "ABSTAIN" = NO "AGAINST" WILL BE TREATED AS NOT MARKED | Mgmt | Y | ABSTAIN | ABSTAIN |
| 195 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Special; 30-Apr-2020 | 1 | ADOPTION OF NEW CONSTITUTION THAT: (A) THE REGULATIONS CONTAINED IN THE NEW CONSTITUTION OF THE COMPANY AS SET OUT IN ANNEX B TO THE CIRCULAR (THE "NEW CONSTITUTION") BE AND ARE HEREBY APPROVED AND ADOPTED AS THE CONSTITUTION OF THE COMPANY IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING CONSTITUTION OF THE COMPANY, AND (B) THE DIRECTORS OF THE COMPANY AND EACH OF THEM BE AND ARE HEREBY AUTHORISED TO COMPLETE AND DO ALL SUCH ACTS AND THINGS (INCLUDING EXECUTING SUCH DOCUMENTS AS MAY BE REQUIRED) AS THEY OR HE MAY CONSIDER EXPEDIENT, DESIRABLE OR NECESSARY TO GIVE EFFECT TO THE ADOPTION OF THE NEW CONSTITUTION AND ALL TRANSACTIONS CONTEMPLATED AND/OR AUTHORISED BY THIS SPECIAL RESOLUTION | Mgmt | Y | FOR | FOR |
| 196 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 1 | AUDITED FINANCIAL STATEMENTS, DIRECTORS' STATEMENT AND INDEPENDENT AUDITOR'S REPORT THEREON | Mgmt | Y | FOR | FOR |
| 197 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 2 | RE-ELECTION OF MS CHEW GEK HIANG AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 198 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 3 | RE-ELECTION OF MR TAN CHIAN KHONG AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 199 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 4 | RE-ELECTION OF MR CHUA TIAN CHU AS DIRECTOR | Mgmt | Y | FOR | FOR |
| 200 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 5 | DIRECTORS' FEES | Mgmt | Y | FOR | FOR |
| 201 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 6 | RE-APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT AUDITOR | Mgmt | Y | FOR | FOR |
| 202 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 7 | AUTHORITY FOR THE DIRECTORS TO ISSUE SHARES | Mgmt | Y | AGAINST | AGAINST |
| 203 | STRAITS TRADING CO LTD | STRTR SP | Y81708110 | Annual; 30-Apr-2020 | 8 | RENEWAL OF THE SHARE BUYBACK MANDATE | Mgmt | Y | FOR | FOR |
| 204 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 1 | ELECTION OF DIRECTOR: PETER J. DEY | Mgmt | Y | AGAINST | AGAINST |
| 205 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 2 | ELECTION OF DIRECTOR: GARY S. GUIDRY | Mgmt | Y | FOR | FOR |
| 206 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 3 | ELECTION OF DIRECTOR: EVAN HAZELL | Mgmt | Y | FOR | FOR |
| 207 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 4 | ELECTION OF DIRECTOR: ROBERT B. HODGINS | Mgmt | Y | FOR | FOR |
| 208 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 5 | ELECTION OF DIRECTOR: RONALD W. ROYAL | Mgmt | Y | FOR | FOR |
| 209 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 6 | ELECTION OF DIRECTOR: SONDRA SCOTT | Mgmt | Y | FOR | FOR |
| 210 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 7 | ELECTION OF DIRECTOR: DAVID P. SMITH | Mgmt | Y | FOR | FOR |
| 211 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 8 | ELECTION OF DIRECTOR: BROOKE WADE | Mgmt | Y | AGAINST | AGAINST |
| 212 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 9 | PROPOSAL TO RATIFY THE APPOINTMENT OF KPMG LLP AS GRAN TIERRA ENERGY INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2020 | Mgmt | Y | FOR | FOR |
| 213 | GRAN TIERRA ENERGY INC | GTE CN | 38500T101 | Annual; 06-May-2020 | 10 | PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF GRAN TIERRA ENERGY INC.'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT | Mgmt | Y | AGAINST | AGAINST |
| 214 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 2 | The re-appointment of KPMG LLP, Chartered Accountants, as auditor of the Corporation. | Mgmt | Y | FOR | FOR |
| 215 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 216 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 217 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 218 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 219 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 220 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 221 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 222 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 223 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | WITHHOLD | AGAINST |
| 224 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | WITHHOLD | AGAINST |
| 225 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 226 | NUTRIEN LTD. (THE "CORPORATION") | NTR | 67077M108 | Annual; 06-May-2020 | 3 | A non-binding advisory resolution to accept the Corporation's approach to executive compensation. | Mgmt | Y | AGAINST | AGAINST |
| 227 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 2 | TO RECEIVE THE COMPANY'S ANNUAL REPORT FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2019 TOGETHER WITH THE REPORTS OF THE DIRECTORS AND AUDITORS | Mgmt | Y | FOR | FOR |
| 228 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 3 | TO DECLARE A FINAL DIVIDEND OF USD 0.20 PER ORDINARY SHARE FOR THE YEAR ENDED 31 DECEMBER 2019 | Mgmt | Y | ABSTAIN | ABSTAIN |
| 229 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 4 | TO APPROVE THE ANNUAL REPORT ON REMUNERATION CONTAINED IN THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2019 AS SET OUT ON PAGES 108 TO 137 OF THE 2019 ANNUAL REPORT | Mgmt | Y | FOR | FOR |
| 230 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 5 | TO ELECT PHIL RIVETT (64), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 231 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 6 | TO ELECT, DAVID TANG (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 232 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 7 | TO RE-ELECT DAVID CONNER (71), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 233 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 8 | TO RE-ELECT BYRON GROTE (72), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 234 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 9 | TO RE-ELECT ANDY HALFORD (61), AN EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 235 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 10 | TO RE-ELECT CHRISTINE HODGSON, CBE (55), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 236 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 11 | TO RE-ELECT GAY HUEY EVANS, OBE (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 237 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 12 | TO RE-ELECT NAGUIB KHERAJ (55), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 238 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 13 | TO RE-ELECT NGOZI OKONJO-IWEALA (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 239 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 14 | TO RE-ELECT CARLSON TONG (65), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 240 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 15 | TO RE-ELECT JOSE VINALS (65), AS GROUP CHAIRMAN | Mgmt | Y | FOR | FOR |
| 241 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 16 | TO RE-ELECT JASMINE WHITBREAD (56), AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 242 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 17 | TO RE-ELECT BILL WINTERS, CBE (58), AN EXECUTIVE DIRECTOR | Mgmt | Y | FOR | FOR |
| 243 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 18 | TO APPOINT ERNST & YOUNG LLP (EY) AS AUDITOR TO THE COMPANY FROM THE END OF THE AGM UNTIL THE END OF NEXT YEAR'S AGM | Mgmt | Y | FOR | FOR |
| 244 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 19 | TO AUTHORISE THE AUDIT COMMITTEE, ACTING FOR AND ON BEHALF OF THE BOARD, TO SET THE REMUNERATION OF THE AUDITOR | Mgmt | Y | FOR | FOR |
| 245 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 20 | THAT IN ACCORDANCE WITH SECTIONS 366 AND 367 OF THE COMPANIES ACT 2006, THE COMPANY AND ALL COMPANIES THAT ARE ITS SUBSIDIARIES DURING THE PERIOD FOR WHICH THIS RESOLUTION HAS EFFECT ARE AUTHORISED TO: (A) MAKE DONATIONS TO POLITICAL PARTIES AND/OR INDEPENDENT ELECTION CANDIDATES NOT EXCEEDING GBP 100,000 IN TOTAL; (B) MAKE DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES NOT EXCEEDING GBP 100,000 IN TOTAL; AND (C) INCUR POLITICAL EXPENDITURE NOT EXCEEDING GBP 100,000 IN TOTAL (AS SUCH TERMS ARE DEFINED IN SECTIONS 363 TO 365 OF THE COMPANIES ACT 2006) PROVIDED THAT THE AGGREGATE AMOUNT OF ANY SUCH DONATIONS AND EXPENDITURE SHALL NOT EXCEED GBP 100,000 DURING THE PERIOD BEGINNING WITH THE DATE OF PASSING OF THIS RESOLUTION AND EXPIRING AT THE END OF NEXT YEAR S AGM, UNLESS SUCH AUTHORITY HAS BEEN PREVIOUSLY RENEWED, REVOKED OR VARIED BY THE COMPANY IN A GENERAL MEETING AND PROVIDED THAT THE AUTHORISED SUM REFERRED TO IN PARAGRAPHS (A), (B) AND (C) MAY BE COMPRISED OF ONE OR MORE AMOUNTS IN DIFFERENT CURRENCIES WHICH, FOR THE PURPOSES OF CALCULATING THAT AUTHORISED SUM, SHALL BE CONVERTED INTO POUNDS STERLING AT THE RATE OF EXCHANGE PUBLISHED IN THE LONDON EDITION OF THE FINANCIAL TIMES ON THE DAY ON WHICH THE RELEVANT DONATION IS MADE OR THE RELEVANT EXPENDITURE IS INCURRED OR, IF EARLIER, ON THE DAY ON WHICH THE COMPANY OR ITS SUBSIDIARY ENTERS INTO ANY CONTRACT OR UNDERTAKING IN RELATION TO SUCH DONATION OR EXPENDITURE (OR, IF SUCH DAY IS NOT A BUSINESS DAY, THE FIRST BUSINESS DAY THEREAFTER) | Mgmt | Y | FOR | FOR |
| 246 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 21 | THAT THE BOARD BE AUTHORISED: (A) TO MAKE AN OFFER TO THE HOLDERS OF ORDINARY SHARES (EXCLUDING ANY MEMBER HOLDING SHARES AS TREASURY SHARES) TO ELECT TO RECEIVE NEW ORDINARY SHARES IN THE CAPITAL OF THE COMPANY, CREDITED AS FULLY PAID, IN LIEU OF ALL OR ANY PART OF ANY INTERIM OR FINAL DIVIDEND PAID IN RESPECT OF ANY FINANCIAL PERIOD OF THE COMPANY ENDING ON OR PRIOR TO 31 DECEMBER 2022 UPON SUCH TERMS AS THE BOARD MAY DETERMINE; AND (B) IN RESPECT OF ANY SUCH DIVIDEND TO CAPITALISE SUCH AMOUNT STANDING TO THE CREDIT OF THE COMPANY'S RESERVES OR FUNDS AS MAY BE NECESSARY, AND THE MAKING BY THE BOARD OF ANY SUCH OFFER AND ANY SUCH CAPITALISATION BY THE BOARD IN EACH CASE IN RESPECT OF ANY PRIOR FINANCIAL PERIOD IS CONFIRMED | Mgmt | Y | FOR | FOR |
| 247 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 22 | THAT THE BOARD BE AUTHORISED TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT ANY SECURITY INTO SHARES IN THE COMPANY: (A) UP TO A NOMINAL AMOUNT OF USD 317,956,410.50 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (B) OR (C) SO THAT IN TOTAL NO MORE THAN USD 529,927,351.50 CAN BE ALLOTTED UNDER PARAGRAPHS (A) AND (B) AND NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)); (B) UP TO A NOMINAL AMOUNT OF USD 529,927,351.50 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (A) OR (C) SO THAT IN TOTAL NO MORE THAN USD 529,927,351.50 CAN BE ALLOTTED UNDER PARAGRAPHS (A) AND (B) AND NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)) IN CONNECTION WITH A SCRIP DIVIDEND SCHEME OR SIMILAR ARRANGEMENT IMPLEMENTED IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION OF THE COMPANY; (C) COMPRISING EQUITY SECURITIES (AS DEFINED IN SECTION 560(1) OF THE COMPANIES ACT 2006) UP TO A NOMINAL AMOUNT OF USD 1,059,854,703 (SUCH AMOUNT TO BE RESTRICTED TO THE EXTENT THAT ANY ALLOTMENTS OR GRANTS ARE MADE UNDER PARAGRAPHS (A) OR (B) SO THAT IN TOTAL NO MORE THAN USD 1,059,854,703 CAN BE ALLOTTED UNDER PARAGRAPHS (A), (B) AND (C)) IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE: (I) TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) TO HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE BOARD OTHERWISE CONSIDERS NECESSARY, AND SO THAT THE BOARD MAY IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE ANY ARRANGEMENTS WHICH IT CONSIDERS NECESSARY OR APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER; AND (D) PURSUANT TO THE TERMS OF ANY EXISTING SHARE SCHEME OF THE COMPANY OR ANY OF ITS SUBSIDIARIES OR SUBSIDIARY UNDERTAKINGS ADOPTED PRIOR TO THE DATE OF THIS MEETING. SUCH AUTHORITIES TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH SUCH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | Mgmt | Y | AGAINST | AGAINST |
| 248 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 23 | THAT THE AUTHORITY GRANTED TO THE BOARD TO ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UP TO A NOMINAL AMOUNT OF USD 317,956,410.50 PURSUANT TO PARAGRAPH (A) OF RESOLUTION 21 BE EXTENDED BY THE ADDITION OF SUCH NUMBER OF ORDINARY SHARES OF USD 0.50 EACH REPRESENTING THE NOMINAL AMOUNT OF THE COMPANY'S SHARE CAPITAL REPURCHASED BY THE COMPANY UNDER THE AUTHORITY GRANTED PURSUANT TO RESOLUTION 27, TO THE EXTENT THAT SUCH EXTENSION WOULD NOT RESULT IN THE AUTHORITY TO ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES PURSUANT TO RESOLUTION 21 EXCEEDING USD 1,059,854,703 | Mgmt | Y | AGAINST | AGAINST |
| 249 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 24 | THAT, IN ADDITION TO ANY AUTHORITY GRANTED PURSUANT TO RESOLUTION 21 (IF PASSED), THE BOARD BE AUTHORISED TO ALLOT SHARES IN THE COMPANY AND TO GRANT RIGHTS TO SUBSCRIBE FOR OR TO CONVERT ANY SECURITY INTO SHARES IN THE COMPANY UP TO AN AGGREGATE NOMINAL AMOUNT OF USD 317,956,410.50 (OR 635,912,821 SHARES), REPRESENTING APPROXIMATELY 20 PER CENT OF THE COMPANY'S NOMINAL ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020, IN RELATION TO ANY ISSUE BY THE COMPANY OR ANY SUBSIDIARY OR SUBSIDIARY UNDERTAKING OF THE COMPANY (TOGETHER, THE GROUP) OF EQUITY CONVERTIBLE ADDITIONAL TIER 1 SECURITIES (ECAT1 SECURITIES) THAT AUTOMATICALLY CONVERT INTO OR ARE EXCHANGED FOR ORDINARY SHARES IN THE COMPANY IN PRESCRIBED CIRCUMSTANCES WHERE THE BOARD CONSIDERS THAT SUCH AN ISSUANCE OF ECAT1 SECURITIES WOULD BE DESIRABLE IN CONNECTION WITH, OR FOR THE PURPOSES OF COMPLYING WITH OR MAINTAINING COMPLIANCE WITH THE REGULATORY CAPITAL REQUIREMENTS OR TARGETS APPLICABLE TO THE GROUP FROM TIME TO TIME, SUCH AUTHORITY TO EXPIRE AT THE END OF NEXT YEAR S AGM (OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT SO THAT, IN THE PERIOD BEFORE THE AUTHORITY ENDS, THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | Mgmt | Y | FOR | FOR |
| 250 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 25 | THAT IF RESOLUTION 21 IS PASSED, THE BOARD BE GIVEN POWER TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY THAT RESOLUTION AND/OR SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO SUCH ALLOTMENT OR SALE, SUCH POWER TO BE LIMITED: (A) TO THE ALLOTMENT OF EQUITY SECURITIES AND SALE OF TREASURY SHARES FOR CASH IN CONNECTION WITH A SCRIP DIVIDEND SCHEME OR SIMILAR ARRANGEMENT IMPLEMENTED IN ACCORDANCE WITH THE ARTICLES OF ASSOCIATION OF THE COMPANY; (B) TO THE ALLOTMENT OF EQUITY SECURITIES AND SALE OF TREASURY SHARES FOR CASH IN CONNECTION WITH AN OFFER OF, OR INVITATION TO APPLY FOR, EQUITY SECURITIES UNDER THE AUTHORITIES GRANTED UNDER PARAGRAPHS (A) AND (C) OF RESOLUTION 21 (BUT IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (C) OF RESOLUTION 21, BY WAY OF A RIGHTS ISSUE ONLY): (I) TO ORDINARY SHAREHOLDERS IN PROPORTION (AS NEARLY AS MAY BE PRACTICABLE) TO THEIR EXISTING HOLDINGS; AND (II) TO HOLDERS OF OTHER EQUITY SECURITIES AS REQUIRED BY THE RIGHTS OF THOSE SECURITIES OR AS THE BOARD OTHERWISE CONSIDERS NECESSARY, AND SO THAT THE BOARD MAY IMPOSE ANY LIMITS OR RESTRICTIONS AND MAKE ANY ARRANGEMENTS WHICH IT CONSIDERS NECESSARY OR APPROPRIATE TO DEAL WITH TREASURY SHARES, FRACTIONAL ENTITLEMENTS, RECORD DATES, LEGAL, REGULATORY OR PRACTICAL PROBLEMS IN, OR UNDER THE LAWS OF, ANY TERRITORY OR ANY OTHER MATTER; AND (C) IN THE CASE OF THE AUTHORITY GRANTED UNDER PARAGRAPH (A) OF RESOLUTION 21 AND/OR IN THE CASE OF ANY SALE OF TREASURY SHARES FOR CASH, TO THE ALLOTMENT (OTHERWISE THAN UNDER PARAGRAPHS (A) AND (B)) OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF USD 79,489,102.50, SUCH POWER TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE POWER ENDS AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT ENDED | Mgmt | Y | FOR | FOR |
| 251 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 26 | THAT IF RESOLUTION 21 IS PASSED, THE BOARD BE GIVEN POWER IN ADDITION TO ANY POWER GRANTED UNDER RESOLUTION 24 TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GRANTED UNDER PARAGRAPH (A) OF RESOLUTION 21 AND/ OR SELL ORDINARY SHARES HELD BY THE COMPANY AS TREASURY SHARES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY TO SUCH ALLOTMENT OR SALE, SUCH POWER TO BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES OR SALE OF TREASURY SHARES UP TO A NOMINAL AMOUNT OF USD 79,489,102.50; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS NOTICE OR FOR THE PURPOSES OF REFINANCING SUCH A TRANSACTION WITHIN SIX MONTHS OF ITS TAKING PLACE, SUCH POWER TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS, AND ENTER INTO AGREEMENTS, WHICH WOULD, OR MIGHT, REQUIRE EQUITY SECURITIES TO BE ALLOTTED (AND TREASURY SHARES TO BE SOLD) AFTER THE POWER ENDS AND THE BOARD MAY ALLOT EQUITY SECURITIES (AND SELL TREASURY SHARES) UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE POWER HAD NOT ENDED | Mgmt | Y | AGAINST | AGAINST |
| 252 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 27 | THAT, IN ADDITION TO THE POWERS GRANTED PURSUANT TO RESOLUTIONS 24 AND 25 (IF PASSED), AND IF RESOLUTION 23 IS PASSED, THE BOARD BE GIVEN THE POWER TO ALLOT EQUITY SECURITIES (AS DEFINED IN THE COMPANIES ACT 2006) FOR CASH UNDER THE AUTHORITY GIVEN BY RESOLUTION 23 AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY, SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT, IN EACH CASE, DURING THIS PERIOD THE COMPANY MAY MAKE OFFERS AND ENTER INTO AGREEMENTS WHICH WOULD, OR MIGHT, REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO SUBSCRIBE FOR OR TO CONVERT SECURITIES INTO SHARES TO BE GRANTED AFTER THE AUTHORITY ENDS AND THE BOARD MAY ALLOT SHARES OR GRANT RIGHTS TO SUBSCRIBE FOR OR CONVERT SECURITIES INTO SHARES UNDER ANY SUCH OFFER OR AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED | Mgmt | Y | AGAINST | AGAINST |
| 253 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 28 | THAT THE COMPANY BE AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF ITS ORDINARY SHARES OF USD 0.50 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PURCHASE MORE THAN 317,956,410 SHARES UNDER THIS AUTHORITY; (B) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (C) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN THE HIGHER OF (I) FIVE PER CENT OVER THE AVERAGE OF THE MIDDLE MARKET PRICES OF THE ORDINARY SHARES ACCORDING TO THE DAILY OFFICIAL LIST OF THE LONDON STOCK EXCHANGE FOR THE FIVE BUSINESS DAYS IMMEDIATELY BEFORE THE DATE ON WHICH THE COMPANY AGREES TO BUY THE SHARES AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT PURCHASE BID ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT (INCLUDING WHEN THE SHARES ARE TRADED ON DIFFERENT TRADING VENUES), SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF ORDINARY SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (B) AND (C), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE. STANDARD CHARTERED 16 NOTICE OF ANNUAL GENERAL MEETING 2020 891413 (STANDARD CHARTERED) NOTICE OF AGM CIR (ENG) 21/03/2020 M40 P.16 THE BOARD CONSIDERS THAT THE RESOLUTIONS IN THIS NOTICE OF MEETING ARE IN THE BEST INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AND RECOMMEND ALL SHAREHOLDERS VOTE IN FAVOUR OF ALL THE RESOLUTIONS, AS THE DIRECTORS INTEND TO DO IN RESPECT OF THEIR OWN SHARES, WITH THE EXCEPTION OF RESOLUTION 21. BY ORDER OF THE BOARD AMANDA MELLOR GROUP COMPANY SECRETARY STANDARD CHARTERED PLC 1 BASINGHALL AVENUE, LONDON EC2V 5DD REGISTERED IN ENGLAND AND WALES NUMBER 966425 27 MARCH 2020 EXISTING ARTICLES OF ASSOCIATION SINCE THEY WERE LAST AMENDED IN 2010. THE NEW ARTICLES TAKE ACCOUNT OF DEVELOPMENTS IN MARKET PRACTICE AND TECHNOLOGICAL ADVANCEMENTS REGARDING SHAREHOLDER ACCESSIBILITY AND PARTICIPATION AT THE COMPANY S GENERAL MEETINGS, FOR EXAMPLE BY PERMITTING THE COMPANY TO HOLD GENERAL MEETINGS PARTLY THROUGH AN ELECTRONIC PLATFORM. THE AMENDMENTS WILL ALSO PROVIDE GREATER FLEXIBILITY IN DECIDING DIVIDEND PAYMENT METHODS, ENSURING SHAREHOLDERS RECEIVE THEIR PAYMENTS PROMPTLY AND SECURELY. UNDER THE NEW ARTICLES, THE COMPANY WILL BE ABLE TO MAXIMISE ITS CAPACITY TO LOCATE AND UNITE CERTAIN GONE-AWAY AND LOST SHAREHOLDERS WITH THEIR DIVIDENDS AND/ OR SHARES THROUGH AN UNCLAIMED ASSET REUNIFICATION PROGRAMME. THE PRINCIPAL CHANGES ARE SET OUT IN APPENDIX 2 ON PAGES 25 AND 26. OTHER CHANGES WHICH ARE OF A MINOR, TECHNICAL OR CLARIFYING NATURE HAVE NOT BEEN SUMMARISED IN THAT APPENDIX. THE NEW ARTICLES WILL, IF RESOLUTION 29 IS PASSED, BECOME EFFECTIVE AT CONCLUSION OF THE AGM. NOTICE OF GENERAL MEETINGS RESOLUTION 30 PRESERVES THE COMPANY S ABILITY TO CALL GENERAL MEETINGS (OTHER THAN AN AGM) ON 14 CLEAR DAYS NOTICE. 30. THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS NOTICE. THE NOTICE PERIOD REQUIRED FOR GENERAL MEETINGS OF THE COMPANY IS 21 DAYS UNLESS SHAREHOLDERS APPROVE A SHORTER NOTICE PERIOD, WHICH CANNOT HOWEVER BE LESS THAN 14 CLEAR DAYS (AGMS ARE STILL REQUIRED TO BE HELD ON AT LEAST 21 CLEAR DAYS NOTICE). RESOLUTION 30 SEEKS SUCH APPROVAL. THE APPROVAL WILL BE EFFECTIVE UNTIL THE COMPANY S NEXT ANNUAL GENERAL MEETING, WHEN IT IS INTENDED THAT A SIMILAR RESOLUTION WILL BE PROPOSED. NOTE THAT, IN ORDER TO BE ABLE TO CALL A GENERAL MEETING ON LESS THAN 21 CLEAR DAYS NOTICE, THE COMPANY MUST MAKE A MEANS OF ELECTRONIC VOTING AVAILABLE TO ALL SHAREHOLDERS FOR THAT MEETING. THE SHORTER NOTICE PERIOD WOULD NOT BE USED ROUTINELY FOR SUCH MEETINGS, BUT ONLY WHERE THE FLEXIBILITY IS MERITED BY THE BUSINESS OF THE MEETING AND IS THOUGHT TO BE TO THE ADVANTAGE OF SHAREHOLDERS AS A WHOLE. IN ACCORDANCE WITH RULE 7.19A(1) OF THE HONG KONG LISTING RULES, THE DIRECTORS (EXCLUDING INDEPENDENT NON-EXECUTIVE DIRECTORS) AND THEIR RESPECTIVE ASSOCIATES WILL ABSTAIN FROM VOTING IN FAVOUR OF RESOLUTION 21 FOR THE REASONS SET OUT ON PAGES 12 AND 13 OF THIS DOCUMENT. THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE RELEVANT PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE | Mgmt | Y | FOR | FOR |
| 254 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 29 | THAT THE COMPANY BE AUTHORISED TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF UP TO 15,000 PREFERENCE SHARES OF USD 5.00 EACH AND UP TO 195,285,000 PREFERENCE SHARES OF GBP 1.00 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (B) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN 25 PER CENT ABOVE THE FOLLOWING: (I) IN RESPECT OF THE USD PREFERENCE SHARES, THE BLOOMBERG FIT COMPOSITE BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE; (II) IN RESPECT OF THE GBP PREFERENCE SHARES, THE LONDON STOCK EXCHANGE BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE; (III) IN RESPECT OF EITHER USD OR GBP PREFERENCE SHARES, WHERE THE RELEVANT BID PRICE IS NOT AVAILABLE UNDER (I) OR (II), THE HIGHEST INDEPENDENT BID PRICE SHOWN ON THE RELEVANT BLOOMBERG PAGE ALLQ FOR THE RELEVANT PREFERENCE SHARE (OR ANY REPLACEMENT PAGE WHICH DISPLAYS THAT PRICE) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY ON WHICH THE COMPANY AGREES TO BUY SUCH SHARE, SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (A) AND (B), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE EFFECT OF THIS RESOLUTION IS TO RENEW THE AUTHORITY GRANTED TO THE COMPANY TO PURCHASE ITS OWN SHARES UP TO A MAXIMUM OF 317,956,410 ORDINARY SHARES UNTIL NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) AT, OR BETWEEN, THE MINIMUM AND MAXIMUM PRICES SPECIFIED IN THIS RESOLUTION. THIS IS APPROXIMATELY 10 PER CENT OF THE COMPANY S ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020 (THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT). NO REPURCHASES OF SHARES WILL BE CONDUCTED ON THE STOCK EXCHANGE OF HONG KONG LIMITED. THE DIRECTORS BELIEVE THAT IT IS IN THE BEST INTERESTS OF THE COMPANY AND ALL OF ITS SHAREHOLDERS TO HAVE A GENERAL AUTHORITY FOR THE COMPANY TO BUY BACK ITS ORDINARY SHARES IN THE MARKET. THE DIRECTORS INTEND TO KEEP UNDER REVIEW THE POTENTIAL TO PURCHASE ORDINARY SHARES. PURCHASES WILL ONLY BE MADE IF THE DIRECTORS CONSIDER THAT THE PURCHASE WOULD BE FOR THE BENEFIT OF THE COMPANY AND OF ITS SHAREHOLDERS GENERALLY, TAKING INTO ACCOUNT RELEVANT FACTORS AND CIRCUMSTANCES AT THAT TIME, FOR EXAMPLE THE EFFECT ON EARNINGS PER SHARE. THE COMPANIES ACT 2006 PERMITS THE COMPANY TO HOLD ANY SUCH BOUGHT BACK SHARES IN TREASURY AS AN ALTERNATIVE TO CANCELLING THEM IMMEDIATELY. IF THE COMPANY PURCHASES ANY OF ITS ORDINARY SHARES AND HOLDS THEM IN TREASURY, THE COMPANY MAY SELL THESE SHARES (OR ANY OF THEM) FOR CASH, TRANSFER THESE SHARES (OR ANY OF THEM) FOR THE PURPOSES OF OR PURSUANT TO AN EMPLOYEE SHARE SCHEME, CANCEL THESE SHARES (OR ANY OF THEM) OR CONTINUE TO HOLD THEM IN TREASURY. HOLDING SUCH SHARES IN TREASURY GIVES THE COMPANY THE ABILITY TO REISSUE THEM QUICKLY AND COST EFFECTIVELY AND PROVIDES ADDITIONAL FLEXIBILITY IN THE MANAGEMENT OF THE COMPANY S CAPITAL BASE. NO DIVIDENDS WILL BE PAID ON, AND NO VOTING RIGHTS WILL BE EXERCISED, IN RESPECT OF SHARES HELD IN TREASURY. THE DIRECTORS INTEND TO DECIDE WHETHER TO CANCEL SHARES PURCHASED PURSUANT TO THIS AUTHORITY OR HOLD THEM IN TREASURY BASED ON THE INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AT THE RELEVANT TIME. THE TOTAL NUMBER OF OPTIONS TO SUBSCRIBE FOR ORDINARY SHARES OUTSTANDING AT 13 MARCH 2020, THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT, WAS 77,399,464, WHICH REPRESENTED 2.43 PER CENT OF THE ISSUED ORDINARY SHARE CAPITAL AT THAT DATE. AS AT 13 MARCH 2020, THE LATEST PRACTICABLE DATE PRIOR TO THE PUBLICATION OF THIS DOCUMENT, THERE WERE NO WARRANTS OVER ORDINARY SHARES OUTSTANDING. IF THE COMPANY WERE TO PURCHASE THE MAXIMUM NUMBER OF ORDINARY SHARES PERMITTED UNDER THIS RESOLUTION, THE PROPORTION OF ORDINARY SHARES SUBJECT TO OUTSTANDING OPTIONS WOULD REPRESENT APPROXIMATELY 3.06 PER CENT OF THE ISSUED ORDINARY SHARE CAPITAL AS AT 13 MARCH 2020. PURCHASE OF OWN ORDINARY SHARES OR PREFERENCE SHARES RESOLUTIONS 27 AND 28 SEEK AUTHORITY FOR THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES OR PREFERENCE SHARES SUBJECT TO SPECIFIED LIMITS AND CONDITIONS. 27. THAT THE COMPANY BE AUTHORISED FOR THE PURPOSES OF SECTION 701 OF THE COMPANIES ACT 2006 TO MAKE MARKET PURCHASES (AS DEFINED IN THE COMPANIES ACT 2006) OF ITS ORDINARY SHARES OF USD 0.50 EACH PROVIDED THAT: (A) THE COMPANY DOES NOT PURCHASE MORE THAN 317,956,410 SHARES UNDER THIS AUTHORITY; (B) THE COMPANY DOES NOT PAY LESS FOR EACH SHARE (BEFORE EXPENSES) THAN THE NOMINAL VALUE OF THE SHARE; AND (C) THE COMPANY DOES NOT PAY MORE FOR EACH SHARE (BEFORE EXPENSES) THAN THE HIGHER OF (I) FIVE PER CENT OVER THE AVERAGE OF THE MIDDLE MARKET PRICES OF THE ORDINARY SHARES ACCORDING TO THE DAILY OFFICIAL LIST OF THE LONDON STOCK EXCHANGE FOR THE FIVE BUSINESS DAYS IMMEDIATELY BEFORE THE DATE ON WHICH THE COMPANY AGREES TO BUY THE SHARES AND (II) THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE AND THE HIGHEST CURRENT INDEPENDENT PURCHASE BID ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT (INCLUDING WHEN THE SHARES ARE TRADED ON DIFFERENT TRADING VENUES), SUCH AUTHORITY TO APPLY UNTIL THE END OF NEXT YEAR S AGM (OR, IF EARLIER, UNTIL THE CLOSE OF BUSINESS ON 5 AUGUST 2021) BUT DURING THIS PERIOD THE COMPANY MAY AGREE TO PURCHASE SHARES WHERE THE PURCHASE MAY NOT BE COMPLETED (FULLY OR PARTLY) UNTIL AFTER THE AUTHORITY ENDS AND THE COMPANY MAY MAKE A PURCHASE OF ORDINARY SHARES IN ACCORDANCE WITH ANY SUCH AGREEMENT AS IF THE AUTHORITY HAD NOT ENDED. FOR THE PURPOSES OF DETERMINING COMPLIANCE WITH THE CONDITIONS IN PARAGRAPHS (B) AND (C), THE NOMINAL VALUE OF THE SHARE OR THE RELEVANT PRICE (RESPECTIVELY) SHALL, IF NECESSARY, BE CONVERTED INTO THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, CALCULATED BY REFERENCE TO THE SPOT RATE OF EXCHANGE BETWEEN THE CURRENCY OF THE NOMINAL VALUE OR OF THE PRICE (AS APPLICABLE) AND THE CURRENCY IN WHICH THE PURCHASE IS TO BE MADE, AS DISPLAYED ON THE APPROPRIATE PAGE OF THE BLOOMBERG SCREEN (OR ON THE APPROPRIATE PAGE OF SUCH OTHER INFORMATION SERVICE WHICH PUBLISHES THAT RATE FROM TIME TO TIME) AT OR AROUND 11.00AM UK TIME ON THE BUSINESS DAY BEFORE THE DAY THE COMPANY AGREES TO BUY SUCH SHARE. STANDARD CHARTERED 16 NOTICE OF ANNUAL GENERAL MEETING 2020 891413 (STANDARD CHARTERED) NOTICE OF AGM CIR (ENG) 21/03/2020 M40 P.16 THE BOARD CONSIDERS THAT THE RESOLUTIONS IN THIS NOTICE OF MEETING ARE IN THE BEST INTERESTS OF THE COMPANY AND SHAREHOLDERS AS A WHOLE AND RECOMMEND ALL SHAREHOLDERS VOTE IN FAVOUR OF ALL THE RESOLUTIONS, AS THE DIRECTORS INTEND TO DO IN RESPECT OF THEIR OWN SHARES, WITH THE EXCEPTION OF RESOLUTION 21 | Mgmt | Y | FOR | FOR |
| 255 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 30 | THAT WITH EFFECT FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING, THE ARTICLES OF ASSOCIATION PRODUCED TO THE MEETING, AND INITIALLED FOR THE PURPOSE OF IDENTIFICATION BY THE GROUP CHAIRMAN, BE AND ARE HEREBY ADOPTED AS THE ARTICLES OF ASSOCIATION OF THE COMPANY, IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING ARTICLES OF ASSOCIATION | Mgmt | Y | FOR | FOR |
| 256 | STANDARD CHARTERED PLC | STAN LN | G84228157 | Annual; 06-May-2020 | 31 | THAT A GENERAL MEETING OTHER THAN AN ANNUAL GENERAL MEETING MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS' NOTICE | Mgmt | Y | FOR | FOR |
| 257 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 2 | ELECTION OF DIRECTOR: ROBERT S. BOSWELL | Mgmt | Y | FOR | FOR |
| 258 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 3 | ELECTION OF DIRECTOR: MAUREEN CORMIER JACKSON | Mgmt | Y | FOR | FOR |
| 259 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 4 | ELECTION OF DIRECTOR: W. BYRON DUNN | Mgmt | Y | FOR | FOR |
| 260 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 5 | ELECTION OF DIRECTOR: H. STANLEY MARSHALL | Mgmt | Y | FOR | FOR |
| 261 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 6 | ELECTION OF DIRECTOR: KEVIN J. REINHART | Mgmt | Y | FOR | FOR |
| 262 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 7 | ELECTION OF DIRECTOR: MARC E. ROSSITER | Mgmt | Y | FOR | FOR |
| 263 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 8 | ELECTION OF DIRECTOR: STEPHEN J. SAVIDANT | Mgmt | Y | FOR | FOR |
| 264 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 9 | ELECTION OF DIRECTOR: JUAN CARLOS VILLEGAS | Mgmt | Y | FOR | FOR |
| 265 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 10 | ELECTION OF DIRECTOR: MICHAEL A. WEILL | Mgmt | Y | FOR | FOR |
| 266 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 11 | ELECTION OF DIRECTOR: HELEN J. WESLEY | Mgmt | Y | FOR | FOR |
| 267 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 12 | APPOINT ERNST & YOUNG LLP AS AUDITORS AT A REMUNERATION TO BE FIXED BY THE BOARD OF DIRECTORS | Mgmt | Y | FOR | FOR |
| 268 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 13 | APPROVE AN ADVISORY RESOLUTION TO ACCEPT THE COMPANY'S APPROACH TO EXECUTIVE COMPENSATION | Mgmt | Y | AGAINST | AGAINST |
| 269 | ENERFLEX LTD | EFX CN | 29269R105 | Mix; 08-May-2020 | 14 | APPROVE AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED 2013 OPTION PLAN TO REPLENISH AND INCREASE THE NUMBER OF COMMON SHARES RESERVED FOR ISSUANCE THEREUNDER | Mgmt | Y | FOR | FOR |
| 270 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 2 | ELECTION OF DIRECTOR: DONALD K. CHARTER | Mgmt | Y | FOR | FOR |
| 271 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 3 | ELECTION OF DIRECTOR: JOHN H. CRAIG | Mgmt | Y | FOR | FOR |
| 272 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 4 | ELECTION OF DIRECTOR: C.ASHLEY HEPPENSTALL | Mgmt | Y | FOR | FOR |
| 273 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 5 | ELECTION OF DIRECTOR: MARIE INKSTER | Mgmt | Y | FOR | FOR |
| 274 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 6 | ELECTION OF DIRECTOR: PETER C. JONES | Mgmt | Y | FOR | FOR |
| 275 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 7 | ELECTION OF DIRECTOR: LUKAS H. LUNDIN | Mgmt | Y | FOR | FOR |
| 276 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 8 | ELECTION OF DIRECTOR: DALE C. PENIUK | Mgmt | Y | FOR | FOR |
| 277 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 9 | ELECTION OF DIRECTOR: CATHERINE J. G. STEFAN | Mgmt | Y | FOR | FOR |
| 278 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 10 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP, CHARTERED PROFESSIONAL ACCOUNTANTS AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Mgmt | Y | FOR | FOR |
| 279 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 11 | CONSIDERING AND, IF DEEMED APPROPRIATE, PASSING AN ORDINARY, NON-BINDING RESOLUTION, ON AN ADVISORY BASIS AND NOT TO DIMINISH THE ROLE AND RESPONSIBILITIES OF THE BOARD, TO ACCEPT THE APPROACH TO EXECUTIVE COMPENSATION DISCLOSED IN THE CORPORATION'S MANAGEMENT INFORMATION CIRCULAR | Mgmt | Y | FOR | FOR |
| 280 | LUNDIN MINING CORP | LUG CN | 550372106 | Annual; 11-May-2020 | 12 | CONSIDERING AND IF DEEMED APPROPRIATE, PASSING WITH OR WITHOUT AMENDMENT, AN ORDINARY RESOLUTION TO APPROVE AMENDMENTS TO THE AMENDED AND RESTATED INCENTIVE STOCK OPTION PLAN TO INCREASE THE NUMBER OF COMMON SHARES RESERVED FOR ISSUANCE THEREUNDER BY 12,000,000 COMMON SHARES; RESULTING IN A TOTAL OF 19,967,925 COMMON SHARES AVAILABLE FOR FUTURE ISSUANCE UNDER THE STOCK OPTION PLAN (AND AN AGGREGATE TOTAL OF 42,000,000 COMMON SHARES ISSUABLE SINCE ADOPTION OF THE STOCK OPTION PLAN IN 2014), AND INCREASE THE MAXIMUM TERM OF THE OPTIONS GRANTED PURSUANT TO THE STOCK OPTION PLAN TO SEVEN YEARS | Mgmt | Y | FOR | FOR |
| 281 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 282 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 283 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 284 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 285 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 286 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 287 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 288 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 289 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 290 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 1 | DIRECTOR | Mgmt | Y | FOR | FOR |
| 291 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 2 | In respect of the appointment of Deloitte LLP, Independent Registered Public Accounting Firm, as auditors for 2020 and to authorize the directors to fix the auditors' remuneration; | Mgmt | Y | FOR | FOR |
| 292 | WHEATON PRECIOUS METALS CORP. | WPM | 962879102 | Annual; 14-May-2020 | 3 | A non-binding advisory resolution on the Company's approach to executive compensation. | Mgmt | Y | AGAINST | AGAINST |
| 293 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 1 | ELECTION OF DIRECTOR: STEPHEN R. COLE | Mgmt | Y | FOR | FOR |
| 294 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 2 | ELECTION OF DIRECTOR: IAN W. DELANEY | Mgmt | Y | FOR | FOR |
| 295 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 3 | ELECTION OF DIRECTOR: JOHN W. GILDNER | Mgmt | Y | FOR | FOR |
| 296 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 4 | ELECTION OF DIRECTOR: J. CAMERON MACDONALD | Mgmt | Y | FOR | FOR |
| 297 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 5 | ELECTION OF DIRECTOR: LISA MAZZOCCO | Mgmt | Y | FOR | FOR |
| 298 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 6 | ELECTION OF DIRECTOR: KEVIN E. PARKER | Mgmt | Y | FOR | FOR |
| 299 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 7 | ELECTION OF DIRECTOR: BRUCE V. WALTER | Mgmt | Y | FOR | FOR |
| 300 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 8 | TO RE-APPOINT DELOITTE LLP, CHARTERED PROFESSIONAL ACCOUNTANTS, AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND TO AUTHORIZE THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF THE CORPORATION (THE "AUDIT COMMITTEE") TO FIX THEIR REMUNERATION AND TERMS OF ENGAGEMENT | Mgmt | Y | FOR | FOR |
| 301 | WESTAIM CORP | WED CN | 956909303 | Mix; 19-May-2020 | 9 | TO CONSIDER A RESOLUTION (THE "OPTION PLAN RESOLUTION") TO CONFIRM AND APPROVE THE AMENDED AND RESTATED 10% ROLLING INCENTIVE STOCK OPTION PLAN OF THE CORPORATION, AS REQUIRED BY THE TSX VENTURE EXCHANGE ON AN ANNUAL BASIS | Mgmt | Y | FOR | FOR |
| 302 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 4 | PROPOSAL TO ADOPT THE ANNUAL ACCOUNTS FOR THE FINANCIAL YEAR 2019 | Mgmt | Y | FOR | FOR |
| 303 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 6 | PROPOSAL TO RELEASE THE MEMBERS OF THE EXECUTIVE BOARD FROM LIABILITY FOR THEIR RESPECTIVE DUTIES PERFORMED DURING THE FINANCIAL YEAR 2019 | Mgmt | Y | FOR | FOR |
| 304 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 7 | PROPOSAL TO RELEASE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPECTIVE DUTIES PERFORMED DURING THE FINANCIAL YEAR 2019 | Mgmt | Y | FOR | FOR |
| 305 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 9 | PROPOSAL TO REAPPOINT CLARA STREIT AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | Y | FOR | FOR |
| 306 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 10 | PROPOSAL TO REAPPOINT ROBERT JENKINS AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | Y | FOR | FOR |
| 307 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 11 | PROPOSAL TO GIVE A POSITIVE ADVICE ON THE 2019 REMUNERATION REPORT | Mgmt | Y | FOR | FOR |
| 308 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 12 | PROPOSAL TO ADOPT THE REMUNERATION POLICY FOR THE MEMBERS OF THE EXECUTIVE BOARD | Mgmt | Y | FOR | FOR |
| 309 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 13 | PROPOSAL TO ADOPT THE REMUNERATION POLICY AND REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD | Mgmt | Y | FOR | FOR |
| 310 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 14 | PROPOSAL TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY | Mgmt | Y | FOR | FOR |
| 311 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 15 | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO ISSUE ORDINARY SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES | Mgmt | Y | AGAINST | AGAINST |
| 312 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 16 | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO LIMIT OR EXCLUDE PREEMPTIVE RIGHTS OF EXISTING SHAREHOLDERS WHEN ISSUING ORDINARY SHARES AND GRANTING RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES PURSUANT TO AGENDA ITEM 8.A.(I) | Mgmt | Y | AGAINST | AGAINST |
| 313 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 17 | PROPOSAL TO DESIGNATE THE EXECUTIVE BOARD AS THE COMPETENT BODY TO RESOLVE TO ISSUE ORDINARY SHARES AND TO GRANT RIGHTS TO SUBSCRIBE FOR ORDINARY SHARES BY WAY OF A RIGHTS ISSUE | Mgmt | Y | AGAINST | AGAINST |
| 314 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 18 | PROPOSAL TO AUTHORISE THE EXECUTIVE BOARD TO ACQUIRE ORDINARY SHARES IN THE COMPANY'S SHARE CAPITAL | Mgmt | Y | FOR | FOR |
| 315 | NN GROUP N.V. | NN NA | N64038107 | Annual; 28-May-2020 | 19 | PROPOSAL TO REDUCE THE ISSUED SHARE CAPITAL BY CANCELLATION OF ORDINARY SHARES HELD BY THE COMPANY | Mgmt | Y | FOR | FOR |
| 316 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 2 | ELECTION OF DIRECTOR: MR. JOHN BURZYNSKI | Mgmt | Y | FOR | FOR |
| 317 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 3 | ELECTION OF DIRECTOR: MR. JOSE VIZQUERRA BENAVIDES | Mgmt | Y | FOR | FOR |
| 318 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 4 | ELECTION OF DIRECTOR: MR. SEAN ROOSEN | Mgmt | Y | AGAINST | AGAINST |
| 319 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 5 | ELECTION OF DIRECTOR: MR. PATRICK F. N. ANDERSON | Mgmt | Y | AGAINST | AGAINST |
| 320 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 6 | ELECTION OF DIRECTOR: MR. KEITH MCKAY | Mgmt | Y | AGAINST | AGAINST |
| 321 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 7 | ELECTION OF DIRECTOR: MS. AMY SATOV | Mgmt | Y | FOR | FOR |
| 322 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 8 | ELECTION OF DIRECTOR: MR. BERNARDO ALVAREZ CALDERON | Mgmt | Y | FOR | FOR |
| 323 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 9 | ELECTION OF DIRECTOR: MR. ROBERT WARES | Mgmt | Y | FOR | FOR |
| 324 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 10 | ELECTION OF DIRECTOR: MS. ANDREE ST-GERMAIN | Mgmt | Y | FOR | FOR |
| 325 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 11 | ELECTION OF DIRECTOR: MS. CATHY SINGER | Mgmt | Y | FOR | FOR |
| 326 | OSISKO MINING INC | OSK CN | 688281104 | Annual; 29-May-2020 | 12 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITOR OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Mgmt | Y | FOR | FOR |
| 327 | IDFC FIRST BANK LTD | IDFCFB IN | Y3R5A4107 | Other; 03-Jun-2020 | 2 | TO INCREASE THE AUTHORIZED SHARE CAPITAL OF THE BANK AND CONSEQUENT ALTERATION OF THE MEMORANDUM OF ASSOCIATION OF THE BANK | Mgmt | Y | FOR | FOR |
| 328 | IDFC FIRST BANK LTD | IDFCFB IN | Y3R5A4107 | Other; 03-Jun-2020 | 3 | TO ISSUE, OFFER AND ALLOT EQUITY SHARES ON PREFERENTIAL BASIS | Mgmt | Y | FOR | FOR |
| 329 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 2 | Appoint a Director Kudo, Hideyuki | Mgmt | Y | FOR | FOR |
| 330 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 3 | Appoint a Director Kozano, Yoshiaki | Mgmt | Y | FOR | FOR |
| 331 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 4 | Appoint a Director Ernest M. Higa | Mgmt | Y | FOR | FOR |
| 332 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 5 | Appoint a Director Kawamoto, Yuko | Mgmt | Y | FOR | FOR |
| 333 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 6 | Appoint a Director Makihara, Jun | Mgmt | Y | FOR | FOR |
| 334 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 7 | Appoint a Director Murayama, Rie | Mgmt | Y | FOR | FOR |
| 335 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 8 | Appoint a Director Tomimura, Ryuichi | Mgmt | Y | FOR | FOR |
| 336 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 9 | Appoint a Corporate Auditor Nagata, Shinya | Mgmt | Y | FOR | FOR |
| 337 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 12 | Approve Details of the Restricted-Share Compensation to be received by Outside Directors | Mgmt | Y | FOR | FOR |
| 338 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 13 | Shareholder Proposal: Appoint a Director James B. Rosenwald III | Shareholder | Y | FOR | AGAINST |
| 339 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 10 | Appoint a Substitute Corporate Auditor Hatano, Hiroyuki | Mgmt | Y | FOR | FOR |
| 340 | SHINSEI BANK,LIMITED | 8303 JP | J7385L129 | Annual; 17-Jun-2020 | 11 | Appoint a Substitute Corporate Auditor Murakami, Kanako | Mgmt | Y | FOR | FOR |
| 341 | EDELWEISS FINANCIAL SERVICES LTD | EDEL IN | Y22490208 | Other; 21-Jun-2020 | 2 | TO INCREASE THE LIMIT TO MAKE LOANS TO ANY PERSON OR OTHER BODIES CORPORATE; GIVE ANY GUARANTEE OR PROVIDE SECURITY IN CONNECTION WITH A LOAN TO ANY OTHER BODY CORPORATE OR PERSON; AND ACQUIRE BY WAY OF SUBSCRIPTION, PURCHASE OR OTHERWISE SECURITIES OF ANY BODY CORPORATE, FROM INR 10,000 CRORES TO INR 20,000 CRORES, UNDER SECTION 186 OF THE COMPANIES ACT, 2013 | Mgmt | Y | AGAINST | AGAINST |
| 342 | EDELWEISS FINANCIAL SERVICES LTD | EDEL IN | Y22490208 | Other; 21-Jun-2020 | 3 | TO APPROVE DIVESTMENT/ PLEDGE/ DILUTION / DISPOSAL OF THE COMPANY'S INVESTMENT(S) / ASSET(S) / UNDERTAKING(S) | Mgmt | Y | ABSTAIN | ABSTAIN |
| 343 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 2 | ELECTION OF DIRECTOR: TAMARA BROWN | Mgmt | Y | FOR | FOR |
| 344 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 3 | ELECTION OF DIRECTOR: CARMEL DANIELE | Mgmt | Y | FOR | FOR |
| 345 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 4 | ELECTION OF DIRECTOR: IAN W. GIBBS | Mgmt | Y | FOR | FOR |
| 346 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 5 | ELECTION OF DIRECTOR: CHANTAL GOSSELIN | Mgmt | Y | FOR | FOR |
| 347 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 6 | ELECTION OF DIRECTOR: ASHLEY HEPPENSTALL | Mgmt | Y | FOR | FOR |
| 348 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 7 | ELECTION OF DIRECTOR: RON F. HOCHSTEIN | Mgmt | Y | FOR | FOR |
| 349 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 8 | ELECTION OF DIRECTOR: CRAIG JONES | Mgmt | Y | FOR | FOR |
| 350 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 9 | ELECTION OF DIRECTOR: LUKAS H. LUNDIN | Mgmt | Y | FOR | FOR |
| 351 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 10 | ELECTION OF DIRECTOR: PAUL MCRAE | Mgmt | Y | FOR | FOR |
| 352 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 11 | ELECTION OF DIRECTOR: ISTVAN ZOLLEI | Mgmt | Y | FOR | FOR |
| 353 | LUNDIN GOLD INC | LUG CN | 550371108 | Annual; 24-Jun-2020 | 12 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION | Mgmt | Y | FOR | FOR |
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.
