UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-23155
IVY NEXTSHARES
(Exact Name as Specified in Charter)
6300 Lamar Avenue, Overland Park, Kansas 66202-4200
(Address of Principal Executive Office) (Zip Code)
Philip A. Shipp, 6300 Lamar Avenue, Overland Park, Kansas 66202-4200
(Name and Address of Agent for Service)
Registrant’s Telephone Number, including Area Code: (913) 236-2000
Date of fiscal year end: June 30
Date of reporting period: July 1, 2017 to June 30, 2018
IVY FOCUSED ENERGY NEXTSHARES
Proxy Voting Record
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Whiting Petroleum Corporation
Meeting Date: | 11/08/2017 | Country: | USA | Primary Security ID: | 966387102 | |||||
Record Date: | 09/18/2017 | Meeting Type: | Special | Ticker: | WLL | |||||
Shares Voted: | 22,923 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1 | Approve Reverse Stock Split and Reduce Shares Authorized | Mgmt | For | For | For |
Schlumberger Limited
Meeting Date: | 04/04/2018 | Country: | Curacao | Primary Security ID: | 806857108 | |||||
Record Date: | 02/07/2018 | Meeting Type: | Annual | Ticker: | SLB | |||||
Shares Voted: | 6,331 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Peter L.S. Currie | Mgmt | For | For | For | |||||
1b | Elect Director Miguel M. Galuccio | Mgmt | For | For | For | |||||
1c | Elect Director V. Maureen Kempston Darkes | Mgmt | For | For | For | |||||
1d | Elect Director Paal Kibsgaard | Mgmt | For | For | For | |||||
1e | Elect Director Nikolay Kudryavtsev | Mgmt | For | For | For | |||||
1f | Elect Director Helge Lund | Mgmt | For | For | For | |||||
1g | Elect Director Michael E. Marks | Mgmt | For | For | For | |||||
1h | Elect Director Indra K. Nooyi | Mgmt | For | For | For | |||||
1i | Elect Director Lubna S. Olayan | Mgmt | For | For | For | |||||
1j | Elect Director Leo Rafael Reif | Mgmt | For | For | For | |||||
1k | Elect Director Henri Seydoux | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Adopt and Approve Financials and Dividends | Mgmt | For | For | For | |||||
4 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
5 | Amend Omnibus Stock Plan | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
EOG Resources, Inc.
Meeting Date: | 04/24/2018 | Country: | USA | Primary Security ID: | 26875P101 | |||||
Record Date: | 02/27/2018 | Meeting Type: | Annual | Ticker: | EOG | |||||
Shares Voted: | 4,074 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Janet F. Clark | Mgmt | For | For | For | |||||
1b | Elect Director Charles R. Crisp | Mgmt | For | For | For | |||||
1c | Elect Director Robert P. Daniels | Mgmt | For | For | For | |||||
1d | Elect Director James C. Day | Mgmt | For | For | For | |||||
1e | Elect Director C. Christopher Gaut | Mgmt | For | For | For | |||||
1f | Elect Director Donald F. Textor | Mgmt | For | For | For | |||||
1g | Elect Director William R. Thomas | Mgmt | For | For | For | |||||
1h | Elect Director Frank G. Wisner | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
RPC, Inc.
Meeting Date: | 04/24/2018 | Country: | USA | Primary Security ID: | 749660106 | |||||
Record Date: | 02/28/2018 | Meeting Type: | Annual | Ticker: | RES | |||||
Shares Voted: | 15,159 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Gary W. Rollins | Mgmt | For | Refer | For | |||||
1.2 | Elect Director Richard A. Hubbell | Mgmt | For | Refer | For | |||||
1.3 | Elect Director Larry L. Prince | Mgmt | For | For | For | |||||
2 | Ratify Grant Thornton LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Marathon Petroleum Corporation
Meeting Date: | 04/25/2018 | Country: | USA | Primary Security ID: | 56585A102 | |||||
Record Date: | 02/26/2018 | Meeting Type: | Annual | Ticker: | MPC | |||||
Shares Voted: | 4,858 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Abdulaziz F. Alkhayyal | Mgmt | For | For | For | |||||
1b | Elect Director Donna A. James | Mgmt | For | For | For | |||||
1c | Elect Director James E. Rohr | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year | |||||
5 | Eliminate Supermajority Vote Requirement to Amend Bylaws | Mgmt | For | For | For | |||||
6 | Eliminate Supermajority Vote Requirement to Amend Charter | Mgmt | For | For | For | |||||
7 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For |
Suncor Energy Inc.
Meeting Date: | 05/02/2018 | Country: | Canada | Primary Security ID: | 867224107 | |||||
Record Date: | 03/07/2018 | Meeting Type: | Annual | Ticker: | SU | |||||
Shares Voted: | 6,310 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Patricia M. Bedient | Mgmt | For | For | For | |||||
1.2 | Elect Director Mel E. Benson | Mgmt | For | For | For | |||||
1.3 | Elect Director Jacynthe Cote | Mgmt | For | For | For | |||||
1.4 | Elect Director Dominic D’Alessandro | Mgmt | For | For | For | |||||
1.5 | Elect Director John D. Gass | Mgmt | For | For | For | |||||
1.6 | Elect Director Dennis M. Houston | Mgmt | For | For | For | |||||
1.7 | Elect Director Maureen McCaw | Mgmt | For | For | For | |||||
1.8 | Elect Director Eira M. Thomas | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Suncor Energy Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.9 | Elect Director Steven W. Williams | Mgmt | For | For | For | |||||
1.10 | Elect Director Michael M. Wilson | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote on Executive Compensation Approach | Mgmt | For | For | For |
Oasis Petroleum Inc.
Meeting Date: | 05/03/2018 | Country: | USA | Primary Security ID: | 674215108 | |||||
Record Date: | 03/08/2018 | Meeting Type: | Annual | Ticker: | OAS | |||||
Shares Voted: | 31,428 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director William J. Cassidy | Mgmt | For | For | For | |||||
1.2 | Elect Director Taylor L. Reid | Mgmt | For | For | For | |||||
1.3 | Elect Director Bobby S. Shackouls | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
5 | Increase Authorized Common Stock | Mgmt | For | For | For |
U.S. Silica Holdings, Inc.
Meeting Date: | 05/10/2018 | Country: | USA | Primary Security ID: | 90346E103 | |||||
Record Date: | 03/15/2018 | Meeting Type: | Annual | Ticker: | SLCA | |||||
Shares Voted: | 10,229 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1A | Elect Director Peter Bernard | Mgmt | For | For | For | |||||
1B | Elect Director Diane K. Duren | Mgmt | For | For | For | |||||
1C | Elect Director William J. Kacal | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
U.S. Silica Holdings, Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1D | Elect Director Charles Shaver | Mgmt | For | For | For | |||||
1E | Elect Director Bryan A. Shinn | Mgmt | For | For | For | |||||
1F | Elect Director J. Michael Stice | Mgmt | For | For | For | |||||
2 | Ratify Grant Thornton LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Solaris Oilfield Infrastructure, Inc.
Meeting Date: | 05/14/2018 | Country: | USA | Primary Security ID: | 83418M103 | |||||
Record Date: | 03/21/2018 | Meeting Type: | Annual | Ticker: | SOI | |||||
Shares Voted: | 13,393 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director James R. Burke | Mgmt | For | Refer | Withhold | |||||
1.2 | Elect Director F. Gardner Parker | Mgmt | For | Refer | Withhold | |||||
2 | Ratify BDO USA, LLP as Auditors | Mgmt | For | For | For |
Anadarko Petroleum Corporation
Meeting Date: | 05/15/2018 | Country: | USA | Primary Security ID: | 032511107 | |||||
Record Date: | 03/20/2018 | Meeting Type: | Annual | Ticker: | APC | |||||
Shares Voted: | 5,819 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Anthony R. Chase | Mgmt | For | For | For | |||||
1b | Elect Director David E. Constable | Mgmt | For | For | For | |||||
1c | Elect Director H. Paulett Eberhart | Mgmt | For | For | For | |||||
1d | Elect Director Claire S. Farley | Mgmt | For | For | For | |||||
1e | Elect Director Peter J. Fluor | Mgmt | For | For | For | |||||
1f | Elect Director Joseph W. Gorder | Mgmt | For | For | For | |||||
1g | Elect Director John R. Gordon | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Anadarko Petroleum Corporation
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1h | Elect Director Sean Gourley | Mgmt | For | For | For | |||||
1i | Elect Director Mark C. McKinley | Mgmt | For | For | For | |||||
1j | Elect Director Eric D. Mullins | Mgmt | For | For | For | |||||
1k | Elect Director R. A. Walker | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Assess Portfolio Impacts of Policies to Meet 2 Degree Scenario | SH | Against | Refer | Against |
Newfield Exploration Company
Meeting Date: | 05/15/2018 | Country: | USA | Primary Security ID: | 651290108 | |||||
Record Date: | 03/20/2018 | Meeting Type: | Annual | Ticker: | NFX | |||||
Shares Voted: | 7,608 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Lee K. Boothby | Mgmt | For | For | For | |||||
1b | Elect Director Pamela J. Gardner | Mgmt | For | For | For | |||||
1c | Elect Director Edgar R. Giesinger, Jr. | Mgmt | For | For | For | |||||
1d | Elect Director Steven W. Nance | Mgmt | For | For | For | |||||
1e | Elect Director Roger B. Plank | Mgmt | For | For | For | |||||
1f | Elect Director Thomas G. Ricks | Mgmt | For | For | For | |||||
1g | Elect Director Juanita M. Romans | Mgmt | For | For | For | |||||
1h | Elect Director John W. Schanck | Mgmt | For | For | For | |||||
1i | Elect Director J. Terry Strange | Mgmt | For | For | For | |||||
1j | Elect Director J. Kent Wells | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Halliburton Company
Meeting Date: | 05/16/2018 | Country: | USA | Primary Security ID: | 406216101 | |||||
Record Date: | 03/19/2018 | Meeting Type: | Annual | Ticker: | HAL | |||||
Shares Voted: | 10,041 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Abdulaziz F. Al Khayyal | Mgmt | For | For | For | |||||
1b | Elect Director William E. Albrecht | Mgmt | For | For | For | |||||
1c | Elect Director Alan M. Bennett | Mgmt | For | For | For | |||||
1d | Elect Director James R. Boyd | Mgmt | For | For | For | |||||
1e | Elect Director Milton Carroll | Mgmt | For | For | For | |||||
1f | Elect Director Nance K. Dicciani | Mgmt | For | For | For | |||||
1g | Elect Director Murry S. Gerber | Mgmt | For | For | For | |||||
1h | Elect Director Jose C. Grubisich | Mgmt | For | For | For | |||||
1i | Elect Director David J. Lesar | Mgmt | For | For | For | |||||
1j | Elect Director Robert A. Malone | Mgmt | For | For | For | |||||
1k | Elect Director Jeffrey A. Miller | Mgmt | For | For | For | |||||
1l | Elect Director Debra L. Reed | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Concho Resources Inc.
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 20605P101 | |||||
Record Date: | 03/19/2018 | Meeting Type: | Annual | Ticker: | CXO | |||||
Shares Voted: | 2,145 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Steven L. Beal | Mgmt | For | For | For | |||||
1.2 | Elect Director Tucker S. Bridwell | Mgmt | For | For | For | |||||
1.3 | Elect Director Mark B. Puckett | Mgmt | For | For | For | |||||
1.4 | Elect Director E. Joseph Wright | Mgmt | For | For | For | |||||
2 | Ratify Grant Thornton LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Continental Resources, Inc.
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 212015101 | |||||
Record Date: | 03/22/2018 | Meeting Type: | Annual | Ticker: | CLR | |||||
Shares Voted: | 8,207 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Ellis L. ‘Lon’ McCain | Mgmt | For | For | For | |||||
1.2 | Elect Director Mark E. Monroe | Mgmt | For | For | For | |||||
2 | Ratify Grant Thornton LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Pioneer Natural Resources Company
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 723787107 | |||||
Record Date: | 03/22/2018 | Meeting Type: | Annual | Ticker: | PXD | |||||
Shares Voted: | 2,442 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Edison C. Buchanan | Mgmt | For | For | For | |||||
1.2 | Elect Director Andrew F. Cates | Mgmt | For | For | For | |||||
1.3 | Elect Director Timothy L. Dove | Mgmt | For | For | For | |||||
1.4 | Elect Director Phillip A. Gobe | Mgmt | For | For | For | |||||
1.5 | Elect Director Larry R. Grillot | Mgmt | For | For | For | |||||
1.6 | Elect Director Stacy P. Methvin | Mgmt | For | For | For | |||||
1.7 | Elect Director Royce W. Mitchell | Mgmt | For | For | For | |||||
1.8 | Elect Director Frank A. Risch | Mgmt | For | For | For | |||||
1.9 | Elect Director Scott D. Sheffield | Mgmt | For | For | For | |||||
1.10 | Elect Director Mona K. Sutphen | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Pioneer Natural Resources Company
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.11 | Elect Director J. Kenneth Thompson | Mgmt | For | For | For | |||||
1.12 | Elect Director Phoebe A. Wood | Mgmt | For | For | For | |||||
1.13 | Elect Director Michael D. Wortley | Mgmt | For | For | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
WPX Energy, Inc.
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 98212B103 | |||||
Record Date: | 03/26/2018 | Meeting Type: | Annual | Ticker: | WPX | |||||
Shares Voted: | 19,525 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director John A. Carrig | Mgmt | For | For | For | |||||
1.2 | Elect Director Robert K. Herdman | Mgmt | For | For | For | |||||
1.3 | Elect Director Kelt Kindick | Mgmt | For | For | For | |||||
1.4 | Elect Director Karl F. Kurz | Mgmt | For | For | For | |||||
1.5 | Elect Director Henry E. Lentz | Mgmt | For | For | For | |||||
1.6 | Elect Director William G. Lowrie | Mgmt | For | For | For | |||||
1.7 | Elect Director Kimberly S. Lubel | Mgmt | For | For | For | |||||
1.8 | Elect Director Richard E. Muncrief | Mgmt | For | For | For | |||||
1.9 | Elect Director Valerie M. Williams | Mgmt | For | For | For | |||||
1.10 | Elect Director David F. Work | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
4 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Transocean Ltd.
Meeting Date: | 05/18/2018 | Country: | Switzerland | Primary Security ID: | H8817H100 | |||||
Record Date: | 04/30/2018 | Meeting Type: | Annual | Ticker: | RIG | |||||
Shares Voted: | 24,336 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | For | |||||
2 | Approve Discharge of Board and Senior Management | Mgmt | For | For | For | |||||
3 | Appropriation of Available Earnings for Fiscal Year 2017 | Mgmt | For | For | For | |||||
4 | Approve the Renewal of Authorized Share Capital without Preemptive Rights | Mgmt | For | For | For | |||||
5A | Elect Director Glyn A. Barker | Mgmt | For | For | For | |||||
5B | Elect Director Vanessa C.L. Chang | Mgmt | For | For | For | |||||
5C | Elect Director Frederico F. Curado | Mgmt | For | For | For | |||||
5D | Elect Director Chadwick C. Deaton | Mgmt | For | For | For | |||||
5E | Elect Director Vincent J. Intrieri | Mgmt | For | For | For | |||||
5F | Elect Director Samuel J. Merksamer | Mgmt | For | For | For | |||||
5G | Elect Director Merril A. ‘Pete’ Miller, Jr. | Mgmt | For | For | For | |||||
5H | Elect Director Frederik W. Mohn | Mgmt | For | For | For | |||||
5I | Elect Director Edward R. Muller | Mgmt | For | For | For | |||||
5J | Elect Director Tan Ek Kia | Mgmt | For | For | For | |||||
5K | Elect Director Jeremy D. Thigpen | Mgmt | For | For | For | |||||
6 | Elect Merrill A. ‘Pete’ Miller, Jr. as Board Chairman | Mgmt | For | For | For | |||||
7A | Appoint Frederico F. Curado as Member of the Compensation Committee | Mgmt | For | For | For | |||||
7B | Appoint Vincent J. Intrieri as Member of the Compensation Committee | Mgmt | For | For | For | |||||
7C | Appoint Tan Ek Kia as Member of the Compensation Committee | Mgmt | For | For | For | |||||
8 | Designate Schweiger Advokatur / Notariatas Independent Proxy | Mgmt | For | For | For | |||||
9 | Appointment Of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2018 and Reelection of Ernst & Young Ltd, Zurich as the Company’s Auditor for a Further One-Year Term | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Transocean Ltd.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
10 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
11A | Approve Maximum Remuneration of Board of Directors for the Period Between the 2018 and 2019 Annual General Meetings in the Amount of USD 4.12 Million | Mgmt | For | Refer | For | |||||
11B | Approve Maximum Remuneration of the Executive Management Team for Fiscal Year 2019 in the Amount of USD 24 Million | Mgmt | For | For | For | |||||
12 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
13 | Other Business | Mgmt | For | Against | Against |
Superior Energy Services, Inc.
Meeting Date: | 05/22/2018 | Country: | USA | Primary Security ID: | 868157108 | |||||
Record Date: | 04/02/2018 | Meeting Type: | Annual | Ticker: | SPN | |||||
Shares Voted: | 30,881 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Harold J. Bouillion | Mgmt | For | For | For | |||||
1.2 | Elect Director David D. Dunlap | Mgmt | For | For | For | |||||
1.3 | Elect Director James M. Funk | Mgmt | For | For | For | |||||
1.4 | Elect Director Terence E. Hall | Mgmt | For | For | For | |||||
1.5 | Elect Director Peter D. Kinnear | Mgmt | For | For | For | |||||
1.6 | Elect Director Janiece M. Longoria | Mgmt | For | For | For | |||||
1.7 | Elect Director Michael M. McShane | Mgmt | For | For | For | |||||
1.8 | Elect Director W. Matt Ralls | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Core Laboratories N.V.
Meeting Date: | 05/24/2018 | Country: | Netherlands | Primary Security ID: | N22717107 | |||||
Record Date: | 03/16/2018 | Meeting Type: | Annual | Ticker: | CLB | |||||
Shares Voted: | 2,602 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Margaret Ann van Kempen | Mgmt | For | For | For | |||||
1b | Elect Director Lawrence Bruno | Mgmt | For | For | For | |||||
2 | Ratify KPMG as Auditors | Mgmt | For | For | For | |||||
3 | Adopt Financial Statements and Statutory Reports | Mgmt | For | For | For | |||||
4 | Approve Cancellation of Repurchased Shares | Mgmt | For | For | For | |||||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | For | |||||
6 | Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital | Mgmt | For | For | For | |||||
7 | Authorize Board to Exclude Preemptive Rights from Share Issuances | Mgmt | For | Refer | For | |||||
8a | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
8b | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year |
Parsley Energy, Inc.
Meeting Date: | 05/25/2018 | Country: | USA | Primary Security ID: | 701877102 | |||||
Record Date: | 03/26/2018 | Meeting Type: | Annual | Ticker: | PE | |||||
Shares Voted: | 14,033 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Ronald Brokmeyer | Mgmt | For | For | For | |||||
1b | Elect Director Hemang Desai | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
C&J Energy Services, Inc.
Meeting Date: | 05/29/2018 | Country: | USA | Primary Security ID: | 12674R100 | |||||
Record Date: | 04/02/2018 | Meeting Type: | Annual | Ticker: | CJ | |||||
Shares Voted: | 7,668 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Stuart Brightman | Mgmt | For | Refer | Withhold | |||||
1.2 | Elect Director Michael Zawadzki | Mgmt | For | Refer | Withhold | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year | |||||
4 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For |
Chevron Corporation
Meeting Date: | 05/30/2018 | Country: | USA | Primary Security ID: | 166764100 | |||||
Record Date: | 04/02/2018 | Meeting Type: | Annual | Ticker: | CVX | |||||
Shares Voted: | 2,502 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Wanda M. Austin | Mgmt | For | For | For | |||||
1b | Elect Director John B. Frank | Mgmt | For | For | For | |||||
1c | Elect Director Alice P. Gast | Mgmt | For | For | For | |||||
1d | Elect Director Enrique Hernandez, Jr. | Mgmt | For | For | For | |||||
1e | Elect Director Charles W. Moorman, IV | Mgmt | For | For | For | |||||
1f | Elect Director Dambisa F. Moyo | Mgmt | For | For | For | |||||
1g | Elect Director Ronald D. Sugar | Mgmt | For | For | For | |||||
1h | Elect Director Inge G. Thulin | Mgmt | For | For | For | |||||
1i | Elect Director D. James Umpleby, III | Mgmt | For | For | For | |||||
1j | Elect Director Michael K. Wirth | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Report on Lobbying Payments and Policy | SH | Against | Against | Against | |||||
5 | Report on Risks of Doing Business in Conflict-Affected Areas | SH | Against | Against | Against |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Chevron Corporation
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
6 | Report on Transition to a Low Carbon Business Model | SH | Against | Refer | Against | |||||
7 | Report on Methane Emissions | SH | Against | Refer | For | |||||
8 | Require Independent Board Chairman | SH | Against | Refer | For | |||||
9 | Require Director Nominee with Environmental Experience | SH | Against | Refer | For | |||||
10 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For |
Diamondback Energy, Inc.
Meeting Date: | 06/07/2018 | Country: | USA | Primary Security ID: | 25278X109 | |||||
Record Date: | 04/13/2018 | Meeting Type: | Annual | Ticker: | FANG | |||||
Shares Voted: | 2,037 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Steven E. West | Mgmt | For | For | For | |||||
1.2 | Elect Director Travis D. Stice | Mgmt | For | For | For | |||||
1.3 | Elect Director Michael L. Hollis | Mgmt | For | For | For | |||||
1.4 | Elect Director Michael P. Cross | Mgmt | For | For | For | |||||
1.5 | Elect Director David L. Houston | Mgmt | For | For | For | |||||
1.6 | Elect Director Mark L. Plaumann | Mgmt | For | For | For | |||||
1.7 | Elect Director Melanie M. Trent | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify Grant Thornton LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2001 – Ivy Focused Energy NextShares
Patterson-UTI Energy, Inc.
Meeting Date: | 06/14/2018 | Country: | USA | Primary Security ID: | 703481101 | |||||
Record Date: | 04/16/2018 | Meeting Type: | Annual | Ticker: | PTEN | |||||
Shares Voted: | 13,000 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Mark S. Siegel | Mgmt | For | For | For | |||||
1.2 | Elect Director Charles O. Buckner | Mgmt | For | For | For | |||||
1.3 | Elect Director Tiffany ‘TJ’ Thom Cepak | Mgmt | For | For | For | |||||
1.4 | Elect Director Michael W. Conlon | Mgmt | For | For | For | |||||
1.5 | Elect Director William A. Hendricks, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Director Curtis W. Huff | Mgmt | For | For | For | |||||
1.7 | Elect Director Terry H. Hunt | Mgmt | For | For | For | |||||
1.8 | Elect Director Janeen S. Judah | Mgmt | For | For | For | |||||
2 | Increase Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
IVY FOCUSED GROWTH NEXTSHARES
Proxy Voting Record
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Electronic Arts Inc.
Meeting Date: | 08/03/2017 | Country: | USA | Primary Security ID: | 285512109 | |||||
Record Date: | 06/09/2017 | Meeting Type: | Annual | Ticker: | EA | |||||
Shares Voted: | 2,648 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Leonard S. Coleman | Mgmt | For | For | For | |||||
1b | Elect Director Jay C. Hoag | Mgmt | For | For | For | |||||
1c | Elect Director Jeffrey T. Huber | Mgmt | For | For | For | |||||
1d | Elect Director Vivek Paul | Mgmt | For | For | For | |||||
1e | Elect Director Lawrence F. Probst, III | Mgmt | For | For | For | |||||
1f | Elect Director Talbott Roche | Mgmt | For | For | For | |||||
1g | Elect Director Richard A. Simonson | Mgmt | For | For | For | |||||
1h | Elect Director Luis A. Ubinas | Mgmt | For | For | For | |||||
1i | Elect Director Denise F. Warren | Mgmt | For | For | For | |||||
1j | Elect Director Andrew Wilson | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Advisory Vote on Say on Pay Frequency | Mgmt | None | Three Years | Three Years | |||||
4 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For |
Lam Research Corporation
Meeting Date: | 11/08/2017 | Country: | USA | Primary Security ID: | 512807108 | |||||
Record Date: | 09/11/2017 | Meeting Type: | Annual | Ticker: | LRCX | |||||
Shares Voted: | 2,605 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Martin B. Anstice | Mgmt | For | For | For | |||||
1.2 | Elect Director Eric K. Brandt | Mgmt | For | For | For | |||||
1.3 | Elect Director Michael R. Cannon | Mgmt | For | For | For | |||||
1.4 | Elect Director Youssef A. El-Mansy | Mgmt | For | For | For | |||||
1.5 | Elect Director Christine A. Heckart | Mgmt | For | For | For | |||||
1.6 | Elect Director Young Bum (YB) Koh | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Lam Research Corporation
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.7 | Elect Director Catherine P. Lego | Mgmt | For | For | For | |||||
1.8 | Elect Director Stephen G. Newberry | Mgmt | For | For | For | |||||
1.9 | Elect Director Abhijit Y. Talwalkar | Mgmt | For | For | For | |||||
1.10 | Elect Director Lih Shyng (Rick L.) Tsai | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year | |||||
4 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
5 | Adopt Policy to Annually Disclose EEO-1 Data | SH | Against | Against | Against |
Microsoft Corporation
Meeting Date: | 11/29/2017 | Country: | USA | Primary Security ID: | 594918104 | |||||
Record Date: | 09/29/2017 | Meeting Type: | Annual | Ticker: | MSFT | |||||
Shares Voted: | 7,102 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director William H. Gates, III | Mgmt | For | For | For | |||||
1.2 | Elect Director Reid G. Hoffman | Mgmt | For | For | For | |||||
1.3 | Elect Director Hugh F. Johnston | Mgmt | For | For | For | |||||
1.4 | Elect Director Teri L. List-Stoll | Mgmt | For | For | For | |||||
1.5 | Elect Director Satya Nadella | Mgmt | For | For | For | |||||
1.6 | Elect Director Charles H. Noski | Mgmt | For | For | For | |||||
1.7 | Elect Director Helmut Panke | Mgmt | For | For | For | |||||
1.8 | Elect Director Sandra E. Peterson | Mgmt | For | For | For | |||||
1.9 | Elect Director Penny S. Pritzker | Mgmt | For | For | For | |||||
1.10 | Elect Director Charles W. Scharf | Mgmt | For | For | For | |||||
1.11 | Elect Director Arne M. Sorenson | Mgmt | For | For | For | |||||
1.12 | Elect Director John W. Stanton | Mgmt | For | For | For | |||||
1.13 | Elect Director John W. Thompson | Mgmt | For | For | For | |||||
1.14 | Elect Director Padmasree Warrior | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Microsoft Corporation
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year | |||||
4 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
5 | Amend Executive Incentive Bonus Plan | Mgmt | For | Refer | For | |||||
6 | Approve Omnibus Stock Plan | Mgmt | For | Refer | For |
Visa Inc.
Meeting Date: | 01/30/2018 | Country: | USA | Primary Security ID: | 92826C839 | |||||
Record Date: | 12/01/2017 | Meeting Type: | Annual | Ticker: | V | |||||
Shares Voted: | 4,122 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Lloyd A. Carney | Mgmt | For | For | For | |||||
1b | Elect Director Mary B. Cranston | Mgmt | For | For | For | |||||
1c | Elect Director Francisco Javier Fernandez-Carbajal | Mgmt | For | For | For | |||||
1d | Elect Director Gary A. Hoffman | Mgmt | For | For | For | |||||
1e | Elect Director Alfred F. Kelly, Jr. | Mgmt | For | For | For | |||||
1f | Elect Director John F. Lundgren | Mgmt | For | For | For | |||||
1g | Elect Director Robert W. Matschullat | Mgmt | For | For | For | |||||
1h | Elect Director Suzanne Nora Johnson | Mgmt | For | For | For | |||||
1i | Elect Director John A.C. Swainson | Mgmt | For | For | For | |||||
1j | Elect Director Maynard G. Webb, Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Apple Inc.
Meeting Date: | 02/13/2018 | Country: | USA | Primary Security ID: | 037833100 | |||||
Record Date: | 12/15/2017 | Meeting Type: | Annual | Ticker: | AAPL | |||||
Shares Voted: | 3,877 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director James Bell | Mgmt | For | For | For | |||||
1b | Elect Director Tim Cook | Mgmt | For | For | For | |||||
1c | Elect Director Al Gore | Mgmt | For | For | For | |||||
1d | Elect Director Bob Iger | Mgmt | For | For | For | |||||
1e | Elect Director Andrea Jung | Mgmt | For | For | For | |||||
1f | Elect Director Art Levinson | Mgmt | For | For | For | |||||
1g | Elect Director Ron Sugar | Mgmt | For | For | For | |||||
1h | Elect Director Sue Wagner | Mgmt | For | For | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Amend Non-Employee Director Omnibus Stock Plan | Mgmt | For | Refer | For | |||||
5 | Proxy Access Amendments | SH | Against | Against | Against | |||||
6 | Establish Human Rights Committee | SH | Against | Refer | Against |
Adobe Systems Incorporated
Meeting Date: | 04/12/2018 | Country: | USA | Primary Security ID: | 00724F101 | |||||
Record Date: | 02/14/2018 | Meeting Type: | Annual | Ticker: | ADBE | |||||
Shares Voted: | 3,759 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Amy L. Banse | Mgmt | For | For | For | |||||
1b | Elect Director Edward W. Barnholt | Mgmt | For | For | For | |||||
1c | Elect Director Robert K. Burgess | Mgmt | For | For | For | |||||
1d | Elect Director Frank A. Calderoni | Mgmt | For | For | For | |||||
1e | Elect Director James E. Daley | Mgmt | For | For | For | |||||
1f | Elect Director Laura B. Desmond | Mgmt | For | For | For | |||||
1g | Elect Director Charles M. Geschke | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Adobe Systems Incorporated
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1h | Elect Director Shantanu Narayen | Mgmt | For | For | For | |||||
1i | Elect Director Daniel L. Rosensweig | Mgmt | For | For | For | |||||
1j | Elect Director John E. Warnock | Mgmt | For | For | For | |||||
2 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
3 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Ferrari NV
Meeting Date: | 04/13/2018 | Country: | Netherlands | Primary Security ID: | N3167Y103 | |||||
Record Date: | 03/16/2018 | Meeting Type: | Annual | Ticker: | RACE | |||||
Shares Voted: | 3,470 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
Annual Meeting Agenda | Mgmt | |||||||||
1 | Open Meeting | Mgmt | ||||||||
2.a | Receive Director’s Board Report (Non-Voting) | Mgmt | ||||||||
2.b | Discussion on Company’s Corporate Governance Structure | Mgmt | ||||||||
2.c | Discuss Remuneration Report Containing Remuneration Policy for Management Board Members | Mgmt | ||||||||
2.d | Receive Explanation on Company’s Reserves and Dividend Policy | Mgmt | ||||||||
2.e | Adopt Financial Statements and Statutory Reports | Mgmt | For | For | For | |||||
2.f | Approve Dividends of EUR 0.71 Per Share | Mgmt | For | For | For | |||||
2.g | Approve Discharge of Directors | Mgmt | For | For | For | |||||
3.a | Reelect Sergio Marchionne as Executive Director | Mgmt | For | Refer | For | |||||
3.b | Reelect John Elkann as Non-Executive Director | Mgmt | For | Refer | For | |||||
3.c | Reelect Piero Ferrari as Non-Executive Director | Mgmt | For | For | For | |||||
3.d | Relect Delphine Arnault as Non-Executive Director | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Ferrari NV
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
3.e | Reelect Louis C. Camilleri as Non- Executive Director | Mgmt | For | For | For | |||||
3.f | Reelect Giuseppina Capaldo as Non-Executive Director | Mgmt | For | For | For | |||||
3.g | Reelect Eduardo H. Cue as Non-Executive Director | Mgmt | For | For | For | |||||
3.h | Reelect Sergio Duca as Non-Executive Director | Mgmt | For | For | For | |||||
3.i | Reelect Lapo Elkann as Non-Executive Director | Mgmt | For | For | For | |||||
3.j | Reelect Amedeo Felisa as Non-Executive Director | Mgmt | For | For | For | |||||
3.k | Reelect Maria Patrizia Grieco as Non-Executive Director | Mgmt | For | Refer | For | |||||
3.l | Reelect Adam Keswick as Non-Executive Director | Mgmt | For | Refer | Against | |||||
3.m | Reelect Elena Zambon as Non-Executive Director | Mgmt | For | For | For | |||||
4 | Ratify Ernst & Young as Auditors | Mgmt | For | For | For | |||||
5 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | For | |||||
6 | Close Meeting | Mgmt |
Lockheed Martin Corporation
Meeting Date: | 04/26/2018 | Country: | USA | Primary Security ID: | 539830109 | |||||
Record Date: | 02/23/2018 | Meeting Type: | Annual | Ticker: | LMT | |||||
Shares Voted: | 1,407 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Daniel F. Akerson | Mgmt | For | For | For | |||||
1.2 | Elect Director Nolan D. Archibald | Mgmt | For | For | For | |||||
1.3 | Elect Director David B. Burritt | Mgmt | For | For | For | |||||
1.4 | Elect Director Bruce A. Carlson | Mgmt | For | For | For | |||||
1.5 | Elect Director James O. Ellis, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Director Thomas J. Falk | Mgmt | For | For | For | |||||
1.7 | Elect Director Ilene S. Gordon | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Lockheed Martin Corporation
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.8 | Elect Director Marillyn A. Hewson | Mgmt | For | For | For | |||||
1.9 | Elect Director Jeh C. Johnson | Mgmt | For | For | For | |||||
1.10 | Elect Director Joseph W. Ralston | Mgmt | For | For | For | |||||
1.11 | Elect Director James D. Taiclet, Jr. | Mgmt | For | For | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Amend Non-Employee Director Omnibus Stock Plan | Mgmt | For | Refer | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
5 | Provide Right to Act by Written Consent | SH | Against | For | For |
CME Group Inc.
Meeting Date: | 05/09/2018 | Country: | USA | Primary Security ID: | 12572Q105 | |||||
Record Date: | 03/12/2018 | Meeting Type: | Annual | Ticker: | CME | |||||
Shares Voted: | 3,420 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Terrence A. Duffy | Mgmt | For | For | For | |||||
1b | Elect Director Timothy S. Bitsberger | Mgmt | For | For | For | |||||
1c | Elect Director Charles P. Carey | Mgmt | For | For | For | |||||
1d | Elect Director Dennis H. Chookaszian | Mgmt | For | For | For | |||||
1e | Elect Director Ana Dutra | Mgmt | For | For | For | |||||
1f | Elect Director Martin J. Gepsman | Mgmt | For | For | For | |||||
1g | Elect Director Larry G. Gerdes | Mgmt | For | For | For | |||||
1h | Elect Director Daniel R. Glickman | Mgmt | For | For | For | |||||
1i | Elect Director Deborah J. Lucas | Mgmt | For | For | For | |||||
1j | Elect Director Alex J. Pollock | Mgmt | For | For | For | |||||
1k | Elect Director Terry L. Savage | Mgmt | For | For | For | |||||
1l | Elect Director William R. Shepard | Mgmt | For | For | For | |||||
1m | Elect Director Howard J. Siegel | Mgmt | For | For | For | |||||
1n | Elect Director Dennis A. Suskind | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
CME Group Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Union Pacific Corporation
Meeting Date: | 05/10/2018 | Country: | USA | Primary Security ID: | 907818108 | |||||
Record Date: | 03/09/2018 | Meeting Type: | Annual | Ticker: | UNP | |||||
Shares Voted: | 1,817 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Andrew H. Card, Jr. | Mgmt | For | For | For | |||||
1b | Elect Director Erroll B. Davis, Jr. | Mgmt | For | For | For | |||||
1c | Elect Director David B. Dillon | Mgmt | For | For | For | |||||
1d | Elect Director Lance M. Fritz | Mgmt | For | For | For | |||||
1e | Elect Director Deborah C. Hopkins | Mgmt | For | For | For | |||||
1f | Elect Director Jane H. Lute | Mgmt | For | For | For | |||||
1g | Elect Director Michael R. McCarthy | Mgmt | For | For | For | |||||
1h | Elect Director Thomas F. McLarty, III | Mgmt | For | For | For | |||||
1i | Elect Director Bhavesh V. Patel | Mgmt | For | For | For | |||||
1j | Elect Director Jose H. Villarreal | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Require Independent Board Chairman | SH | Against | Refer | Against |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
The Charles Schwab Corporation
Meeting Date: | 05/15/2018 | Country: | USA | Primary Security ID: | 808513105 | |||||
Record Date: | 03/16/2018 | Meeting Type: | Annual | Ticker: | SCHW | |||||
Shares Voted: | 9,842 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Walter W. Bettinger, II | Mgmt | For | For | For | |||||
1b | Elect Director Joan T. Dea | Mgmt | For | For | For | |||||
1c | Elect Director Christopher V. Dodds | Mgmt | For | For | For | |||||
1d | Elect Director Mark A. Goldfarb | Mgmt | For | For | For | |||||
1e | Elect Director Charles A. Ruffel | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
5 | Provide Proxy Access Right | Mgmt | For | For | For | |||||
6 | Prepare Employment Diversity Report | SH | Against | Against | Against | |||||
7 | Report on Political Contributions | SH | Against | Against | Against |
Zoetis Inc.
Meeting Date: | 05/15/2018 | Country: | USA | Primary Security ID: | 98978V103 | |||||
Record Date: | 03/21/2018 | Meeting Type: | Annual | Ticker: | ZTS | |||||
Shares Voted: | 4,781 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Sanjay Khosla | Mgmt | For | For | For | |||||
1.2 | Elect Director Willie M. Reed | Mgmt | For | For | For | |||||
1.3 | Elect Director Linda Rhodes | Mgmt | For | For | For | |||||
1.4 | Elect Director William C. Steere, Jr. | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
The Home Depot, Inc.
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 437076102 | |||||
Record Date: | 03/19/2018 | Meeting Type: | Annual | Ticker: | HD | |||||
Shares Voted: | 3,875 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Gerard J. Arpey | Mgmt | For | For | For | |||||
1b | Elect Director Ari Bousbib | Mgmt | For | For | For | |||||
1c | Elect Director Jeffery H. Boyd | Mgmt | For | For | For | |||||
1d | Elect Director Gregory D. Brenneman | Mgmt | For | For | For | |||||
1e | Elect Director J. Frank Brown | Mgmt | For | For | For | |||||
1f | Elect Director Albert P. Carey | Mgmt | For | For | For | |||||
1g | Elect Director Armando Codina | Mgmt | For | For | For | |||||
1h | Elect Director Helena B. Foulkes | Mgmt | For | For | For | |||||
1i | Elect Director Linda R. Gooden | Mgmt | For | For | For | |||||
1j | Elect Director Wayne M. Hewett | Mgmt | For | For | For | |||||
1k | Elect Director Stephanie C. Linnartz | Mgmt | For | For | For | |||||
1l | Elect Director Craig A. Menear | Mgmt | For | For | For | |||||
1m | Elect Director Mark Vadon | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Report on Political Contributions | SH | Against | Against | Against | |||||
5 | Prepare Employment Diversity Report and Report on Diversity Policies | SH | Against | Against | Against | |||||
6 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For | |||||
7 | Clawback of Incentive Payments | SH | Against | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Vertex Pharmaceuticals Incorporated
Meeting Date: | 05/17/2018 | Country: | USA | Primary Security ID: | 92532F100 | |||||
Record Date: | 03/29/2018 | Meeting Type: | Annual | Ticker: | VRTX | |||||
Shares Voted: | 755 |
Vertex Pharmaceuticals Incorporated
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Sangeeta N. Bhatia | Mgmt | For | For | For | |||||
1.2 | Elect Director Jeffrey M. Leiden | Mgmt | For | For | For | |||||
1.3 | Elect Director Bruce I. Sachs | Mgmt | For | For | For | |||||
2 | Reduce Supermajority Vote Requirement | Mgmt | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
4 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
5 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
6 | Report on Drug Pricing Increases | SH | Against | Refer | Against | |||||
7 | Report on Lobbying Payments and Policy | SH | Against | Against | Against |
PayPal Holdings, Inc.
Meeting Date: | 05/23/2018 | Country: | USA | Primary Security ID: | 70450Y103 | |||||
Record Date: | 04/03/2018 | Meeting Type: | Annual | Ticker: | PYPL | |||||
Shares Voted: | 7,625 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Rodney C. Adkins | Mgmt | For | For | For | |||||
1b | Elect Director Wences Casares | Mgmt | For | For | For | |||||
1c | Elect Director Jonathan Christodoro | Mgmt | For | For | For | |||||
1d | Elect Director John J. Donahoe | Mgmt | For | For | For | |||||
1e | Elect Director David W. Dorman | Mgmt | For | For | For | |||||
1f | Elect Director Belinda J. Johnson | Mgmt | For | For | For | |||||
1g | Elect Director Gail J. McGovern | Mgmt | For | For | For | |||||
1h | Elect Director David M. Moffett | Mgmt | For | For | For | |||||
1i | Elect Director Ann M. Sarnoff | Mgmt | For | For | For | |||||
1j | Elect Director Daniel H. Schulman | Mgmt | For | For | For | |||||
1k | Elect Director Frank D. Yeary | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
PayPal Holdings, Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
4 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | For | For | |||||
5 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
6 | Amend Proxy Access Right | SH | Against | Against | Against | |||||
7 | Report on Political Contributions | SH | Against | Against | Against | |||||
8 | Amend Board Governance Documents to Define Human Rights Responsibilities | SH | Against | Refer | Against |
Amazon.com, Inc.
Meeting Date: | 05/30/2018 | Country: | USA | Primary Security ID: | 023135106 | |||||
Record Date: | 04/05/2018 | Meeting Type: | Annual | Ticker: | AMZN | |||||
Shares Voted: | 445 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Jeffrey P. Bezos | Mgmt | For | For | For | |||||
1b | Elect Director Tom A. Alberg | Mgmt | For | For | For | |||||
1c | Elect Director Jamie S. Gorelick | Mgmt | For | For | For | |||||
1d | Elect Director Daniel P. Huttenlocher | Mgmt | For | For | For | |||||
1e | Elect Director Judith A. McGrath | Mgmt | For | For | For | |||||
1f | Elect Director Jonathan J. Rubinstein | Mgmt | For | For | For | |||||
1g | Elect Director Thomas O. Ryder | Mgmt | For | For | For | |||||
1h | Elect Director Patricia Q. Stonesifer | Mgmt | For | For | For | |||||
1i | Elect Director Wendell P. Weeks | Mgmt | For | For | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Adopt Policy on Board Diversity *Withdrawn Resolution* | SH | ||||||||
5 | Require Independent Board Chairman | SH | Against | Refer | For | |||||
6 | Provide Vote Counting to Exclude Abstentions | SH | Against | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Facebook, Inc.
Meeting Date: | 05/31/2018 | Country: | USA | Primary Security ID: | 30303M102 | |||||
Record Date: | 04/06/2018 | Meeting Type: | Annual | Ticker: | FB | |||||
Shares Voted: | 1,463 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Marc L. Andreessen | Mgmt | For | For | For | |||||
1.2 | Elect Director Erskine B. Bowles | Mgmt | For | For | For | |||||
1.3 | Elect Director Kenneth I. Chenault | Mgmt | For | For | For | |||||
1.4 | Elect Director Susan D. Desmond-Hellmann | Mgmt | For | Refer | For | |||||
1.5 | Elect Director Reed Hastings | Mgmt | For | Refer | For | |||||
1.6 | Elect Director Jan Koum - Withdrawn Resolution | Mgmt | ||||||||
1.7 | Elect Director Sheryl K. Sandberg | Mgmt | For | Refer | For | |||||
1.8 | Elect Director Peter A. Thiel | Mgmt | For | Refer | For | |||||
1.9 | Elect Director Mark Zuckerberg | Mgmt | For | Refer | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Approve Recapitalization Plan for all Stock to Have One-vote per Share | SH | Against | For | For | |||||
4 | Establish Board Committee on Risk Management | SH | Against | Refer | For | |||||
5 | Adopt Simple Majority Vote | SH | Against | For | For | |||||
6 | Report on Major Global Content Management Controversies (Fake News) | SH | Against | Refer | Against | |||||
7 | Report on Gender Pay Gap | SH | Against | Against | Against | |||||
8 | Report on Responsible Tax Principles | SH | Against | Refer | Against |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
UnitedHealth Group Incorporated
Meeting Date: | 06/04/2018 | Country: | USA | Primary Security ID: | 91324P102 | |||||
Record Date: | 04/10/2018 | Meeting Type: | Annual | Ticker: | UNH | |||||
Shares Voted: | 1,697 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director William C. Ballard, Jr. | Mgmt | For | For | For | |||||
1b | Elect Director Richard T. Burke | Mgmt | For | For | For | |||||
1c | Elect Director Timothy P. Flynn | Mgmt | For | For | For | |||||
1d | Elect Director Stephen J. Hemsley | Mgmt | For | For | For | |||||
1e | Elect Director Michele J. Hooper | Mgmt | For | For | For | |||||
1f | Elect Director F. William McNabb, III | Mgmt | For | For | For | |||||
1g | Elect Director Valerie C. Montgomery Rice | Mgmt | For | For | For | |||||
1h | Elect Director Glenn M. Renwick | Mgmt | For | For | For | |||||
1i | Elect Director Kenneth I. Shine | Mgmt | For | For | For | |||||
1j | Elect Director David S. Wichmann | Mgmt | For | For | For | |||||
1k | Elect Director Gail R. Wilensky | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For |
salesforce.com, inc.
Meeting Date: | 06/12/2018 | Country: | USA | Primary Security ID: | 79466L302 | |||||
Record Date: | 04/18/2018 | Meeting Type: | Annual | Ticker: | CRM | |||||
Shares Voted: | 5,025 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Marc Benioff | Mgmt | For | For | For | |||||
1b | Elect Director Keith Block | Mgmt | For | For | For | |||||
1c | Elect Director Craig Conway | Mgmt | For | For | For | |||||
1d | Elect Director Alan Hassenfeld | Mgmt | For | For | For | |||||
1e | Elect Director Neelie Kroes | Mgmt | For | For | For | |||||
1f | Elect Director Colin Powell | Mgmt | For | For | For | |||||
1g | Elect Director Sanford Robertson | Mgmt | For | For | For | |||||
1h | Elect Director John V. Roos | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
salesforce.com, inc.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1i | Elect Director Bernard Tyson | Mgmt | For | For | For | |||||
1j | Elect Director Robin Washington | Mgmt | For | For | For | |||||
1k | Elect Director Maynard Webb | Mgmt | For | For | For | |||||
1l | Elect Director Susan Wojcicki | Mgmt | For | For | For | |||||
2 | Amend Right to Call Special Meeting | Mgmt | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
4 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
5 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
6 | Eliminate Supermajority Vote Requirement | SH | Against | For | For | |||||
7 | Adopt Guidelines for Country Selection | SH | Against | Against | Against |
Caterpillar Inc.
Meeting Date: | 06/13/2018 | Country: | USA | Primary Security ID: | 149123101 | |||||
Record Date: | 04/16/2018 | Meeting Type: | Annual | Ticker: | CAT | |||||
Shares Voted: | 3,051 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Kelly A. Ayotte | Mgmt | For | For | For | |||||
1.2 | Elect Director David L. Calhoun | Mgmt | For | For | For | |||||
1.3 | Elect Director Daniel M. Dickinson | Mgmt | For | For | For | |||||
1.4 | Elect Director Juan Gallardo | Mgmt | For | For | For | |||||
1.5 | Elect Director Dennis A. Muilenburg | Mgmt | For | For | For | |||||
1.6 | Elect Director William A. Osborn | Mgmt | For | For | For | |||||
1.7 | Elect Director Debra L. Reed | Mgmt | For | For | For | |||||
1.8 | Elect Director Edward B. Rust, Jr. | Mgmt | For | For | For | |||||
1.9 | Elect Director Susan C. Schwab | Mgmt | For | For | For | |||||
1.10 | Elect Director D. James Umpleby, III | Mgmt | For | For | For | |||||
1.11 | Elect Director Miles D. White | Mgmt | For | For | For | |||||
1.12 | Elect Director Rayford Wilkins, Jr. | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2002 – Ivy Focused Growth NextShares
Caterpillar Inc.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2 | Ratify PricewaterhouseCoopers as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For | |||||
5 | Amend Compensation Clawback Policy | SH | Against | For | For | |||||
6 | Require Director Nominee with Human Rights Experience | SH | Against | Refer | Against |
Mastercard Incorporated
Meeting Date: | 06/26/2018 | Country: | USA | Primary Security ID: | 57636Q104 | |||||
Record Date: | 04/27/2018 | Meeting Type: | Annual | Ticker: | MA | |||||
Shares Voted: | 4,453 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Richard Haythornthwaite | Mgmt | For | For | For | |||||
1b | Elect Director Ajay Banga | Mgmt | For | For | For | |||||
1c | Elect Director Silvio Barzi | Mgmt | For | For | For | |||||
1d | Elect Director David R. Carlucci | Mgmt | For | For | For | |||||
1e | Elect Director Richard K. Davis | Mgmt | For | For | For | |||||
1f | Elect Director Steven J. Freiberg | Mgmt | For | For | For | |||||
1g | Elect Director Julius Genachowski | Mgmt | For | For | For | |||||
1h | Elect Director Choon Phong Goh | Mgmt | For | For | For | |||||
1i | Elect Director Merit E. Janow | Mgmt | For | For | For | |||||
1j | Elect Director Nancy Karch | Mgmt | For | For | For | |||||
1k | Elect Director Oki Matsumoto | Mgmt | For | For | For | |||||
1l | Elect Director Rima Qureshi | Mgmt | For | For | For | |||||
1m | Elect Director Jose Octavio Reyes Lagunes | Mgmt | For | For | For | |||||
1n | Elect Director Jackson Tai | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For |
IVY FOCUSED VALUE NEXTSHARES
Proxy Voting Record
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
MetLife, Inc.
Meeting Date: | 10/19/2017 | Country: | USA | Primary Security ID: | 59156R108 | |||||
Record Date: | 09/05/2017 | Meeting Type: | Special | Ticker: | MET | |||||
Shares Voted: | 9,300 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1 | Amend Certificate of Incorporation to Modify the Dividend Payment Tests for the Series A Preferred Stock and the Series C Preferred Stock | Mgmt | For | Refer | For | |||||
2 | Adjourn Meeting | Mgmt | For | Refer | For |
Cisco Systems, Inc.
Meeting Date: | 12/11/2017 | Country: | USA | Primary Security ID: | 17275R102 | |||||
Record Date: | 10/13/2017 | Meeting Type: | Annual | Ticker: | CSCO | |||||
Shares Voted: | 11,000 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Carol A. Bartz | Mgmt | For | For | For | |||||
1b | Elect Director M. Michele Burns | Mgmt | For | For | For | |||||
1c | Elect Director Michael D. Capellas | Mgmt | For | For | For | |||||
1d | Elect Director Amy L. Chang | Mgmt | For | For | For | |||||
1e | Elect Director John L. Hennessy | Mgmt | For | For | For | |||||
1f | Elect Director Kristina M. Johnson | Mgmt | For | For | For | |||||
1g | Elect Director Roderick C. McGeary | Mgmt | For | For | For | |||||
1h | Elect Director Charles H. Robbins | Mgmt | For | For | For | |||||
1i | Elect Director Arun Sarin | Mgmt | For | For | For | |||||
1j | Elect Director Brenton L. Saunders | Mgmt | For | For | For | |||||
1k | Elect Director Steven M. West | Mgmt | For | For | For | |||||
2 | Amend Omnibus Stock Plan | Mgmt | For | Refer | For | |||||
3 | Amend Executive Incentive Bonus Plan | Mgmt | For | Refer | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
5 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Cisco Systems, Inc.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
6 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
7 | Report on Lobbying Payments and Policy | SH | Against | Against | Against |
QUALCOMM Incorporated
Meeting Date: | 03/23/2018 | Country: | USA | Primary Security ID: | 747525103 | |||||
Record Date: | 01/08/2018 | Meeting Type: | Proxy Contest | Ticker: | QCOM | |||||
Shares Voted: | 5,400 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
Management Proxy (White Proxy Card) | Mgmt | |||||||||
1.1 | Elect Director Barbara T. Alexander | Mgmt | For | Refer | Do Not Vote | |||||
1.2 | Elect Director Jeffrey W. Henderson | Mgmt | For | Refer | Do Not Vote | |||||
1.3 | Elect Director Thomas W. Horton | Mgmt | For | Refer | Do Not Vote | |||||
1.4 | Elect Director Paul E. Jacobs | Mgmt | For | Refer | Do Not Vote | |||||
1.5 | Elect Director Ann M. Livermore | Mgmt | For | Refer | Do Not Vote | |||||
1.6 | Elect Director Harish Manwani | Mgmt | For | Refer | Do Not Vote | |||||
1.7 | Elect Director Mark D. McLaughlin | Mgmt | For | Refer | Do Not Vote | |||||
1.8 | Elect Director Steve Mollenkopf | Mgmt | For | Refer | Do Not Vote | |||||
1.9 | Elect Director Clark T. “Sandy” Randt, Jr. | Mgmt | For | Refer | Do Not Vote | |||||
1.10 | Elect Director Francisco Ros | Mgmt | For | Refer | Do Not Vote | |||||
1.11 | Elect Director Anthony J. Vinciquerra | Mgmt | For | Refer | Do Not Vote | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | Refer | Do Not Vote | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | Refer | Do Not Vote | |||||
4 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | Refer | Do Not Vote |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
QUALCOMM Incorporated
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
5 | Eliminate Supermajority Vote Requirement to Remove Directors | Mgmt | For | Refer | Do Not Vote | |||||
6 | Eliminate Supermajority Vote Requirement Relating to Amendments and Obsolete Provisions | Mgmt | For | Refer | Do Not Vote | |||||
7 | Eliminate Supermajority Vote Requirement for Business Combinations with Interested Stockholders | Mgmt | For | Refer | Do Not Vote | |||||
8 | Repeal Amendments to the Company’s Bylaws Adopted Without Stockholder Approval After July 15, 2016 | SH | Against | Refer | Do Not Vote | |||||
Dissident Proxy (Blue Proxy Card) | Mgmt | |||||||||
1.1 | Elect Director Samih Elhage | SH | For | Refer | For | |||||
1.2 | Elect Director David G. Golden | SH | For | Refer | For | |||||
1.3 | Elect Director Veronica M. Hagen | SH | For | Refer | For | |||||
1.4 | Elect Director Julie A. Hill | SH | For | Refer | For | |||||
1.5 | Elect Director John H. Kispert | SH | For | Refer | For | |||||
1.6 | Elect Director Harry L. You | SH | For | Refer | For | |||||
2 | Repeal Amendments to the Company’s Bylaws Adopted Without Stockholder Approval After July 15, 2016 | SH | For | Refer | For | |||||
3 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | Refer | For | |||||
4 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | None | Refer | For | |||||
5 | Amend Qualified Employee Stock Purchase Plan | Mgmt | None | Refer | For | |||||
6 | Eliminate Supermajority Vote Requirement to Remove Directors | Mgmt | For | Refer | For | |||||
7 | Eliminate Supermajority Vote Requirement Relating to Amendments and Obsolete Provisions | Mgmt | For | Refer | For | |||||
8 | Eliminate Supermajority Vote Requirement for Business Combinations with Interested Stockholders | Mgmt | For | Refer | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
AGNC Investment Corp.
Meeting Date: | 04/19/2018 | Country: | USA | Primary Security ID: | 00123Q104 | |||||
Record Date: | 02/26/2018 | Meeting Type: | Annual | Ticker: | AGNC | |||||
Shares Voted: | 30,800 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Gary D. Kain | Mgmt | For | For | For | |||||
1.2 | Elect Director Morris A. Davis | Mgmt | For | For | For | |||||
1.3 | Elect Director Larry K. Harvey | Mgmt | For | For | For | |||||
1.4 | Elect Director Prue B. Larocca | Mgmt | For | For | For | |||||
1.5 | Elect Director Paul E. Mullings | Mgmt | For | For | For | |||||
2 | Increase Authorized Common Stock | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For |
Huntington Bancshares Incorporated
Meeting Date: | 04/19/2018 | Country: | USA | Primary Security ID: | 446150104 | |||||
Record Date: | 02/14/2018 | Meeting Type: | Annual | Ticker: | HBAN | |||||
Shares Voted: | 30,900 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Lizabeth Ardisana | Mgmt | For | For | For | |||||
1.2 | Elect Director Ann B. “Tanny” Crane | Mgmt | For | For | For | |||||
1.3 | Elect Director Robert S. Cubbin | Mgmt | For | For | For | |||||
1.4 | Elect Director Steven G. Elliott | Mgmt | For | For | For | |||||
1.5 | Elect Director Gina D. France | Mgmt | For | For | For | |||||
1.6 | Elect Director J. Michael Hochschwender | Mgmt | For | For | For | |||||
1.7 | Elect Director Chris Inglis | Mgmt | For | For | For | |||||
1.8 | Elect Director Peter J. Kight | Mgmt | For | For | For | |||||
1.9 | Elect Director Richard W. Neu | Mgmt | For | For | For | |||||
1.10 | Elect Director David L. Porteous | Mgmt | For | For | For | |||||
1.11 | Elect Director Kathleen H. Ransier | Mgmt | For | For | For | |||||
1.12 | Elect Director Stephen D. Steinour | Mgmt | For | For | For | |||||
2 | Approve Omnibus Stock Plan | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Huntington Bancshares Incorporated
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
3 | Amend Deferred Compensation Plan | Mgmt | For | Refer | For | |||||
4 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
5 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | �� | For |
Hanesbrands Inc.
Meeting Date: | 04/24/2018 | Country: | USA | Primary Security ID: | 410345102 | |||||
Record Date: | 02/20/2018 | Meeting Type: | Annual | Ticker: | HBI | |||||
Shares Voted: | 19,000 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Gerald W. Evans, Jr. | Mgmt | For | For | For | |||||
1b | Elect Director Bobby J. Griffin | Mgmt | For | For | For | |||||
1c | Elect Director James C. Johnson | Mgmt | For | For | For | |||||
1d | Elect Director Jessica T. Mathews | Mgmt | For | For | For | |||||
1e | Elect Director Franck J. Moison | Mgmt | For | For | For | |||||
1f | Elect Director Robert F. Moran | Mgmt | For | For | For | |||||
1g | Elect Director Ronald L. Nelson | Mgmt | For | For | For | |||||
1h | Elect Director Richard A. Noll | Mgmt | For | For | For | |||||
1i | Elect Director David V. Singer | Mgmt | For | For | For | |||||
1j | Elect Director Ann E. Ziegler | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
International Business Machines Corporation
Meeting Date: | 04/24/2018 | Country: | USA | Primary Security ID: | 459200101 | |||||
Record Date: | 02/23/2018 | Meeting Type: | Annual | Ticker: | IBM | |||||
Shares Voted: | 2,400 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Kenneth I. Chenault | Mgmt | For | For | For | |||||
1.2 | Elect Director Michael L. Eskew | Mgmt | For | For | For | |||||
1.3 | Elect Director David N. Farr | Mgmt | For | For | For | |||||
1.4 | Elect Director Alex Gorsky | Mgmt | For | For | For | |||||
1.5 | Elect Director Shirley Ann Jackson | Mgmt | For | For | For | |||||
1.6 | Elect Director Andrew N. Liveris | Mgmt | For | For | For | |||||
1.7 | Elect Director Hutham S. Olayan | Mgmt | For | For | For | |||||
1.8 | Elect Director James W. Owens | Mgmt | For | For | For | |||||
1.9 | Elect Director Virginia M. Rometty | Mgmt | For | For | For | |||||
1.10 | Elect Director Joseph R. Swedish | Mgmt | For | For | For | |||||
1.11 | Elect Director Sidney Taurel | Mgmt | For | For | For | |||||
1.12 | Elect Director Peter R. Voser | Mgmt | For | For | For | |||||
1.13 | Elect Director Frederick H. Waddell | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Report on Lobbying Payments and Policy | SH | Against | Against | Against | |||||
5 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For | |||||
6 | Require Independent Board Chairman | SH | Against | Refer | For |
Eaton Corporation plc
Meeting Date: | 04/25/2018 | Country: | Ireland | Primary Security ID: | G29183103 | |||||
Record Date: | 02/26/2018 | Meeting Type: | Annual | Ticker: | ETN | |||||
Shares Voted: | 6,000 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Craig Arnold | Mgmt | For | For | For | |||||
1b | Elect Director Todd M. Bluedorn | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Eaton Corporation plc
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1c | Elect Director Christopher M. Connor | Mgmt | For | For | For | |||||
1d | Elect Director Michael J. Critelli | Mgmt | For | For | For | |||||
1e | Elect Director Richard H. Fearon | Mgmt | For | For | For | |||||
1f | Elect Director Charles E. Golden | Mgmt | For | For | For | |||||
1g | Elect Director Arthur E. Johnson | Mgmt | For | For | For | |||||
1h | Elect Director Deborah L. McCoy | Mgmt | For | For | For | |||||
1i | Elect Director Gregory R. Page | Mgmt | For | For | For | |||||
1j | Elect Director Sandra Pianalto | Mgmt | For | For | For | |||||
1k | Elect Director Gerald B. Smith | Mgmt | For | For | For | |||||
1l | Elect Director Dorothy C. Thompson | Mgmt | For | For | For | |||||
2 | Approve Ernst & Young LLP as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Authorize Issue of Equity with Pre-emptive Rights | Mgmt | For | For | For | |||||
5 | Authorize Issue of Equity without Pre-emptive Rights | Mgmt | For | For | For | |||||
6 | Authorize Share Repurchase of Issued Share Capital | Mgmt | For | For | For |
First Hawaiian, Inc.
Meeting Date: | 04/25/2018 | Country: | USA | Primary Security ID: | 32051X108 | |||||
Record Date: | 03/05/2018 | Meeting Type: | Annual | Ticker: | FHB | |||||
Shares Voted: | 14,900 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Matthew Cox | Mgmt | For | For | For | |||||
1.2 | Elect Director W. Allen Doane | Mgmt | For | For | For | |||||
1.3 | Elect Director Thibault Fulconis | Mgmt | For | Refer | Withhold | |||||
1.4 | Elect Director Gerard Gil | Mgmt | For | Refer | Withhold | |||||
1.5 | Elect Director Jean-Milan Givadinovitch | Mgmt | For | Refer | Withhold | |||||
1.6 | Elect Director Robert S. Harrison | Mgmt | For | Refer | Withhold |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
First Hawaiian, Inc.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.7 | Elect Director J. Michael Shepherd | Mgmt | For | Refer | Withhold | |||||
1.8 | Elect Director Allen B. Uyeda | Mgmt | For | For | Withhold | |||||
1.9 | Elect Director Michel Vial | Mgmt | For | Refer | Withhold | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote on Say on Pay Frequency | Mgmt | One Year | One Year | One Year | |||||
4 | Elimination of Supermajority Voting Requirement for Any Stockholder Alteration, Amendment, Repeal or Adoption of Any Bylaw | Mgmt | For | For | For | |||||
5 | Elimination of Supermajority Voting Requirement for Any Amendment, Alteration, Repeal or Adoption of Any Provision of Certain Articles of the Certificate of Incorporation | Mgmt | For | For | For | |||||
6 | Adopt Policy to Increase Diversity of Board of Directors | SH | Against | Against | Against | |||||
7 | Adopt Proxy Access Right | SH | Against | Against | Against |
Pfizer Inc.
Meeting Date: | 04/26/2018 | Country: | USA | Primary Security ID: | 717081103 | |||||
Record Date: | 02/27/2018 | Meeting Type: | Annual | Ticker: | PFE | |||||
Shares Voted: | 11,300 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy | Vote Instruction | |||||
1.1 | Elect Director Dennis A. Ausiello | Mgmt | For | For | For | |||||
1.2 | Elect Director Ronald E. Blaylock | Mgmt | For | For | For | |||||
1.3 | Elect Director Albert Bourla | Mgmt | For | For | For | |||||
1.4 | Elect Director W. Don Cornwell | Mgmt | For | For | For | |||||
1.5 | Elect Director Joseph J. Echevarria | Mgmt | For | For | For | |||||
1.6 | Elect Director Helen H. Hobbs | Mgmt | For | For | For | |||||
1.7 | Elect Director James M. Kilts | Mgmt | For | For | For | |||||
1.8 | Elect Director Dan R. Littman | Mgmt | For | For | For | |||||
1.9 | Elect Director Shantanu Narayen | Mgmt | For | For | For | |||||
1.10 | Elect Director Suzanne Nora Johnson | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Pfizer Inc.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.11 | Elect Director Ian C. Read | Mgmt | For | For | For | |||||
1.12 | Elect Director James C. Smith | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Amend Omnibus Stock Plan | Mgmt | For | For | For | |||||
5 | Provide Right to Act by Written Consent | SH | Against | For | For | |||||
6 | Require Independent Board Chairman | SH | Against | Refer | Against | |||||
7 | Report on Lobbying Payments and Policy | SH | Against | Against | Against |
Exelon Corporation
Meeting Date: | 05/01/2018 | Country: | USA | Primary Security ID: | 30161N101 | |||||
Record Date: | 03/02/2018 | Meeting Type: | Annual | Ticker: | EXC | |||||
Shares Voted: | 11,000 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Anthony K. Anderson | Mgmt | For | For | For | |||||
1b | Elect Director Ann C. Berzin | Mgmt | For | For | For | |||||
1c | Elect Director Christopher M. Crane | Mgmt | For | For | For | |||||
1d | Elect Director Yves C. de Balmann | Mgmt | For | For | For | |||||
1e | Elect Director Nicholas DeBenedictis | Mgmt | For | For | For | |||||
1f | Elect Director Linda P. Jojo | Mgmt | For | For | For | |||||
1g | Elect Director Paul L. Joskow | Mgmt | For | For | For | |||||
1h | Elect Director Robert J. Lawless | Mgmt | For | For | For | |||||
1i | Elect Director Richard W. Mies | Mgmt | For | For | For | |||||
1j | Elect Director John W. Rogers, Jr. | Mgmt | For | For | For | |||||
1k | Elect Director Mayo A. Shattuck, III | Mgmt | For | For | For | |||||
1l | Elect Director Stephen D. Steinour | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Valero Energy Corporation
Meeting Date: | 05/03/2018 | Country: | USA | Primary Security ID: | 91913Y100 | |||||
Record Date: | 03/06/2018 | Meeting Type: | Annual | Ticker: | VLO | |||||
Shares Voted: | 4,447 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1A | Elect Director H. Paulett Eberhart | Mgmt | For | For | For | |||||
1B | Elect Director Joseph W. Gorder | Mgmt | For | For | For | |||||
1C | Elect Director Kimberly S. Greene | Mgmt | For | For | For | |||||
1D | Elect Director Deborah P. Majoras | Mgmt | For | For | For | |||||
1E | Elect Director Donald L. Nickles | Mgmt | For | For | For | |||||
1F | Elect Director Philip J. Pfeiffer | Mgmt | For | For | For | |||||
1G | Elect Director Robert A. Profusek | Mgmt | For | For | For | |||||
1H | Elect Director Stephen M. Waters | Mgmt | For | For | For | |||||
1I | Elect Director Randall J. Weisenburger | Mgmt | For | For | For | |||||
1J | Elect Director Rayford Wilkins, Jr. | Mgmt | For | For | For | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Remove Supermajority Vote Requirement | Mgmt | For | For | For | |||||
5 | Provide Right to Act by Written Consent | Mgmt | For | For | For |
International Paper Company
Meeting Date: | 05/07/2018 | Country: | USA | Primary Security ID: | 460146103 | |||||
Record Date: | 03/13/2018 | Meeting Type: | Annual | Ticker: | IP | |||||
Shares Voted: | 7,094 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director David J. Bronczek | Mgmt | For | For | For | |||||
1b | Elect Director William J. Burns | Mgmt | For | For | For | |||||
1c | Elect Director Christopher M. Connor | Mgmt | For | For | For | |||||
1d | Elect Director Ahmet C. Dorduncu | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
International Paper Company
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1e | Elect Director Ilene S. Gordon | Mgmt | For | For | For | |||||
1f | Elect Director Jacqueline C. Hinman | Mgmt | For | For | For | |||||
1g | Elect Director Jay L. Johnson | Mgmt | For | For | For | |||||
1h | Elect Director Clinton A. Lewis, Jr. | Mgmt | For | For | For | |||||
1i | Elect Director Kathryn D. Sullivan | Mgmt | For | For | For | |||||
1j | Elect Director Mark S. Sutton | Mgmt | For | For | For | |||||
1k | Elect Director J. Steven Whisler | Mgmt | For | For | For | |||||
1l | Elect Director Ray G. Young | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Reduce Ownership Threshold for Shareholders to Call Special Meeting | SH | Against | For | For |
Prudential Financial, Inc.
Meeting Date: | 05/08/2018 | Country: | USA | Primary Security ID: | 744320102 | |||||
Record Date: | 03/09/2018 | Meeting Type: | Annual | Ticker: | PRU | |||||
Shares Voted: | 4,800 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Thomas J. Baltimore, Jr. | Mgmt | For | For | For | |||||
1.2 | Elect Director Gilbert F. Casellas | Mgmt | For | For | For | |||||
1.3 | Elect Director Mark B. Grier | Mgmt | For | For | For | |||||
1.4 | Elect Director Martina Hund-Mejean | Mgmt | For | For | For | |||||
1.5 | Elect Director Karl J. Krapek | Mgmt | For | For | For | |||||
1.6 | Elect Director Peter R. Lighte | Mgmt | For | For | For | |||||
1.7 | Elect Director George Paz | Mgmt | For | For | For | |||||
1.8 | Elect Director Sandra Pianalto | Mgmt | For | For | For | |||||
1.9 | Elect Director Christine A. Poon | Mgmt | For | For | For | |||||
1.10 | Elect Director Douglas A. Scovanner | Mgmt | For | For | For | |||||
1.11 | Elect Director John R. Strangfeld | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Prudential Financial, Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.12 | Elect Director Michael A. Todman | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Require Independent Board Chairman | SH | Against | Refer | Against |
Kimberly-Clark Corporation
Meeting Date: | 05/10/2018 | Country: | USA | Primary Security ID: | 494368103 | |||||
Record Date: | 03/12/2018 | Meeting Type: | Annual | Ticker: | KMB | |||||
Shares Voted: | 3,600 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director John F. Bergstrom | Mgmt | For | For | For | |||||
1.2 | Elect Director Abelardo E. Bru | Mgmt | For | For | For | |||||
1.3 | Elect Director Robert W. Decherd | Mgmt | For | For | For | |||||
1.4 | Elect Director Thomas J. Falk | Mgmt | For | For | For | |||||
1.5 | Elect Director Fabian T. Garcia | Mgmt | For | For | For | |||||
1.6 | Elect Director Michael D. Hsu | Mgmt | For | For | For | |||||
1.7 | Elect Director Mae C. Jemison | Mgmt | For | For | For | |||||
1.8 | Elect Director James M. Jenness | Mgmt | For | For | For | |||||
1.9 | Elect Director Nancy J. Karch | Mgmt | For | For | For | |||||
1.10 | Elect Director Christa S. Quarles | Mgmt | For | For | For | |||||
1.11 | Elect Director Ian C. Read | Mgmt | For | For | For | |||||
1.12 | Elect Director Marc J. Shapiro | Mgmt | For | For | For | |||||
1.13 | Elect Director Michael D. White | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Penske Automotive Group, Inc.
Meeting Date: | 05/10/2018 | Country: | USA | Primary Security ID: | 70959W103 | |||||
Record Date: | 03/13/2018 | Meeting Type: | Annual | Ticker: | PAG | |||||
Shares Voted: | 8,800 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director John D. Barr | Mgmt | For | Refer | Withhold | |||||
1.2 | Elect Director Lisa Davis | Mgmt | For | For | For | |||||
1.3 | Elect Director Wolfgang Durheimer | Mgmt | For | For | For | |||||
1.4 | Elect Director Michael R. Eisenson | Mgmt | For | For | For | |||||
1.5 | Elect Director Robert H. Kurnick, Jr. | Mgmt | For | For | For | |||||
1.6 | Elect Director Kimberly J. McWaters | Mgmt | For | Refer | Withhold | |||||
1.7 | Elect Director Roger S. Penske | Mgmt | For | For | For | |||||
1.8 | Elect Director Roger S. Penske, Jr. | Mgmt | For | For | For | |||||
1.9 | Elect Director Sandra E. Pierce | Mgmt | For | For | For | |||||
1.10 | Elect Director Kanji Sasaki | Mgmt | For | For | For | |||||
1.11 | Elect Director Greg C. Smith | Mgmt | For | For | For | |||||
1.12 | Elect Director Ronald G. Steinhart | Mgmt | For | Refer | Withhold | |||||
1.13 | Elect Director H. Brian Thompson | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For |
Principal Financial Group, Inc.
Meeting Date: | 05/22/2018 | Country: | USA | Primary Security ID: | 74251V102 | |||||
Record Date: | 03/28/2018 | Meeting Type: | Annual | Ticker: | PFG | |||||
Shares Voted: | 8,259 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Roger C. Hochschild | Mgmt | For | For | For | |||||
1.2 | Elect Director Daniel J. Houston | Mgmt | For | For | For | |||||
1.3 | Elect Director Diane C. Nordin | Mgmt | For | For | For | |||||
1.4 | Elect Director Elizabeth E. Tallett | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Principal Financial Group, Inc.
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For |
The Interpublic Group of Companies, Inc.
Meeting Date: | 05/24/2018 | Country: | USA | Primary Security ID: | 460690100 | |||||
Record Date: | 03/29/2018 | Meeting Type: | Annual | Ticker: | IPG | |||||
Shares Voted: | 16,730 |
Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Jocelyn Carter-Miller | Mgmt | For | For | For | |||||
1.2 | Elect Director H. John Greeniaus | Mgmt | For | For | For | |||||
1.3 | Elect Director Mary J. Steele Guilfoile | Mgmt | For | For | For | |||||
1.4 | Elect Director Dawn Hudson | Mgmt | For | For | For | |||||
1.5 | Elect Director William T. Kerr | Mgmt | For | For | For | |||||
1.6 | Elect Director Henry S. Miller | Mgmt | For | For | For | |||||
1.7 | Elect Director Jonathan F. Miller | Mgmt | For | For | For | |||||
1.8 | Elect Director Patrick Q. Moore | Mgmt | For | For | For | |||||
1.9 | Elect Director Michael I. Roth | Mgmt | For | For | For | |||||
1.10 | Elect Director David M. Thomas | Mgmt | For | For | For | |||||
1.11 | Elect Director E. Lee Wyatt Jr. | Mgmt | For | For | For | |||||
2 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Require Independent Board Chairman | SH | Against | Refer | Against |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Old Republic International Corporation
Meeting Date: | 05/25/2018 | Country: | USA | Primary Security ID: | 680223104 | |||||
Record Date: | 03/29/2018 | Meeting Type: | Annual | Ticker: | ORI | |||||
Shares Voted: | 19,800 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Harrington Bischof | Mgmt | For | Refer | Withhold | |||||
1.2 | Elect Director Spencer LeRoy, III | Mgmt | For | Refer | Withhold | |||||
1.3 | Elect Director Charles F. Titterton | Mgmt | For | Refer | Withhold | |||||
1.4 | Elect Director Steven R. Walker | Mgmt | For | Refer | Withhold | |||||
2 | Ratify KPMG LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Report on Steps Taken to Improve Board Oversight of Climate Change Risk | SH | Against | Refer | Against | |||||
5 | Adopt Proxy Access Right | SH | Against | Against | Against |
Williams-Sonoma, Inc.
Meeting Date: | 05/30/2018 | Country: | USA | Primary Security ID: | 969904101 | |||||
Record Date: | 04/02/2018 | Meeting Type: | Annual | Ticker: | WSM | |||||
Shares Voted: | 7,486 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Laura Alber | Mgmt | For | For | For | |||||
1.2 | Elect Director Adrian Bellamy | Mgmt | For | For | For | |||||
1.3 | Elect Director Anthony Greener | Mgmt | For | For | For | |||||
1.4 | Elect Director Robert Lord | Mgmt | For | For | For | |||||
1.5 | Elect Director Grace Puma | Mgmt | For | For | For | |||||
1.6 | Elect Director Christiana Smith Shi | Mgmt | For | For | For | |||||
1.7 | Elect Director Sabrina Simmons | Mgmt | For | For | For | |||||
1.8 | Elect Director Jerry Stritzke | Mgmt | For | For | For | |||||
1.9 | Elect Director Frits van Paasschen | Mgmt | For | For | For | |||||
2 | Amend Omnibus Stock Plan | Mgmt | For | Refer | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
PBF Energy Inc.
Meeting Date: | 05/31/2018 | Country: | USA | Primary Security ID: | 69318G106 | |||||
Record Date: | 04/10/2018 | Meeting Type: | Annual | Ticker: | PBF | |||||
Shares Voted: | 13,765 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1.1 | Elect Director Thomas J. Nimbley | Mgmt | For | For | For | |||||
1.2 | Elect Director Spencer Abraham | Mgmt | For | For | For | |||||
1.3 | Elect Director Wayne A. Budd | Mgmt | For | For | For | |||||
1.4 | Elect Director S. Eugene Edwards | Mgmt | For | For | For | |||||
1.5 | Elect Director William E. Hantke | Mgmt | For | For | For | |||||
1.6 | Elect Director Edward F. Kosnik | Mgmt | For | For | For | |||||
1.7 | Elect Director Robert J. Lavinia | Mgmt | For | For | For | |||||
1.8 | Elect Director Kimberly S. Lubel | Mgmt | For | For | For | |||||
1.9 | Elect Director George E. Ogden | Mgmt | For | For | For | |||||
2 | Ratify Deloitte & Touche LLP as Auditors | Mgmt | For | For | For | |||||
3 | Amend Omnibus Stock Plan | Mgmt | For | Refer | For |
LyondellBasell Industries N.V.
Meeting Date: | 06/01/2018 | Country: | Netherlands | Primary Security ID: | N53745100 | |||||
Record Date: | 05/04/2018 | Meeting Type: | Annual | Ticker: | LYB | |||||
Shares Voted: | 5,726 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1 | Amend Articles | Mgmt | For | For | For | |||||
2a | Elect Director Bhavesh (Bob) Patel | Mgmt | For | For | For | |||||
2b | Elect Director Robert Gwin | Mgmt | For | For | For | |||||
2c | Elect Director Jacques Aigrain | Mgmt | For | For | For | |||||
2d | Elect Director Lincoln Benet | Mgmt | For | Refer | For | |||||
2e | Elect Director Jagjeet (Jeet) Bindra | Mgmt | For | For | For | |||||
2f | Elect Director Robin Buchanan | Mgmt | For | Refer | For | |||||
2g | Elect Director Stephen Cooper | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
LyondellBasell Industries N.V.
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
2h | Elect Director Nance Dicciani | Mgmt | For | For | For | |||||
2i | Elect Director Claire Farley | Mgmt | For | For | For | |||||
2j | Elect Director Isabella (Bella) Goren | Mgmt | For | For | For | |||||
2k | Elect Director Bruce Smith | Mgmt | For | For | For | |||||
2l | Elect Director Rudy van der Meer | Mgmt | For | For | For | |||||
3a | Elect Bhavesh (Bob) Patel to Management Board | Mgmt | For | For | For | |||||
3b | Elect Thomas Aebischer to Management Board | Mgmt | For | For | For | |||||
3c | Elect Daniel Coombs to Management Board | Mgmt | For | For | For | |||||
3d | Elect Jeffrey Kaplan to Management Board | Mgmt | For | For | For | |||||
3e | Elect James Guilfoyle to Management Board | Mgmt | For | For | For | |||||
4 | Adopt Financial Statements and Statutory Reports | Mgmt | For | For | For | |||||
5 | Approve Discharge of Management Board | Mgmt | For | For | For | |||||
6 | Approve Discharge of Supervisory Board | Mgmt | For | For | For | |||||
7 | Ratify PricewaterhouseCoopers Accountants N.V. as Auditors | Mgmt | For | For | For | |||||
8 | Ratify PricewaterhouseCoopers LLP as Auditors | Mgmt | For | For | For | |||||
9 | Approve Dividends of USD 3.70 Per Share | Mgmt | For | For | For | |||||
10 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
11 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Mgmt | For | For | For | |||||
12 | Authorization of the Cancellation of Shares | Mgmt | For | For | For | |||||
13 | Amend Qualified Employee Stock Purchase Plan | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
General Motors Company
Meeting Date: | 06/12/2018 | Country: | USA | Primary Security ID: | 37045V100 | |||||
Record Date: | 04/16/2018 | Meeting Type: | Annual | Ticker: | GM | |||||
Shares Voted: | 10,916 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Mary T. Barra | Mgmt | For | For | For | |||||
1b | Elect Director Linda R. Gooden | Mgmt | For | For | For | |||||
1c | Elect Director Joseph Jimenez | Mgmt | For | For | For | |||||
1d | Elect Director Jane L. Mendillo | Mgmt | For | For | For | |||||
1e | Elect Director Michael G. Mullen | Mgmt | For | For | For | |||||
1f | Elect Director James J. Mulva | Mgmt | For | For | For | |||||
1g | Elect Director Patricia F. Russo | Mgmt | For | For | For | |||||
1h | Elect Director Thomas M. Schoewe | Mgmt | For | For | For | |||||
1i | Elect Director Theodore M. Solso | Mgmt | For | For | For | |||||
1j | Elect Director Carol M. Stephenson | Mgmt | For | For | For | |||||
1k | Elect Director Devin N. Wenig | Mgmt | For | For | For | |||||
2 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
3 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
4 | Require Independent Board Chairman | SH | Against | Refer | Against | |||||
5 | Provide Right to Act by Written Consent | SH | Against | For | For | |||||
6 | Report on Fleet GHG Emissions in Relation to CAFE Standards | SH | Against | Refer | Against |
Target Corporation
Meeting Date: | 06/13/2018 | Country: | USA | Primary Security ID: | 87612E106 | |||||
Record Date: | 04/16/2018 | Meeting Type: | Annual | Ticker: | TGT | |||||
Shares Voted: | 5,612 |
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1a | Elect Director Roxanne S. Austin | Mgmt | For | For | For | |||||
1b | Elect Director Douglas M. Baker, Jr. | Mgmt | For | For | For | |||||
1c | Elect Director Brian C. Cornell | Mgmt | For | For | For | |||||
1d | Elect Director Calvin Darden | Mgmt | For | For | For |
Vote Summary Report
Reporting Period: 07/01/2017 to 06/30/2018
Location(s): All Locations
Institution Account(s): 2003 – Ivy Focused Value NextShares
Target Corporation
Proposal | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction | |||||
1e | Elect Director Henrique De Castro | Mgmt | For | For | For | |||||
1f | Elect Director Robert L. Edwards | Mgmt | For | For | For | |||||
1g | Elect Director Melanie L. Healey | Mgmt | For | For | For | |||||
1h | Elect Director Donald R. Knauss | Mgmt | For | For | For | |||||
1i | Elect Director Monica C. Lozano | Mgmt | For | For | For | |||||
1j | Elect Director Mary E. Minnick | Mgmt | For | For | For | |||||
1k | Elect Director Kenneth L. Salazar | Mgmt | For | For | For | |||||
1l | Elect Director Dmitri L. Stockton | Mgmt | For | For | For | |||||
2 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For | |||||
3 | Advisory Vote to Ratify Named Executive Officers’ Compensation | Mgmt | For | For | For | |||||
4 | Require Independent Board Chairman | SH | Against | Refer | For |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
IVY NEXTSHARES | ||
(Registrant) | ||
By: | /s/ Philip A. Shipp | |
Philip A. Shipp, Assistant Secretary | ||
Date: August 31, 2018 | ||
By: | /s/ Philip J. Sanders | |
Philip J. Sanders, President and Principal Executive Officer | ||
Date: August 31, 2018 |