united states
securities and exchange commission
Washington, D.C. 20549
Form N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number: 811-23167
OSI ETF Trust
(Exact name of registrant as specified in charter)
75 State Street
Suite 100
Boston, MA 02109
(Address of principal executive offices) (Zip code)
Connor O’Brien
75 State Street
Suite 100
Boston, MA 02109
(Name and Address of Agent for Service)
Registrant’s telephone number, including area code: (617) 855-7670
Date of fiscal year end: June 30
Date of reporting period: July 1, 2020 to June 30, 2021
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, D.C. 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Proxy Voting Record
There is no proxy voting activity for the following funds, as they did not hold any votable positions during the reporting period as they have not yet commenced operations.
O’Shares U.S. Large Cap Quality Growth ETF
O’Shares U.S. Small Cap Quality Growth ETF
O’Shares U.S. Quality Dividend ETF
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 1 of 192 |
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Unassigned
3M COMPANY | |||
Security: | 88579Y101 | Agenda Number: | 935359085 |
Ticker: | MMM | Meeting Type: | Annual |
ISIN: | US88579Y1010 | Meeting Date: | 11-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| by |
| Management’s |
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| Recommendation |
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1A. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Thomas “Tony” K. Brown |
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1B. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Pamela J. Craig |
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1C. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: David B. Dillon |
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1D. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Michael L. Eskew |
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1E. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: James R. Fitterling |
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1F. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Herbert L. Henkel |
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1G. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Amy E. Hood |
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1H. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Muhtar Kent |
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1I. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Dambisa F. Moyo |
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1J. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Gregory R. Page |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 2 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| by |
| Management’s |
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| Recommendation |
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1K. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Michael F. Roman |
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1L. | Elect the member to the Board of Directors for | Mgmt | For | For |
| a term of one year: Patricia A. Woertz |
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2. | To ratify the appointment of | Mgmt | For | For |
| PricewaterhouseCoopers LLP as 3M’s |
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| independent registered public accounting |
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| firm. |
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3. | Advisory approval of executive compensation. | Mgmt | For | For |
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4. | To approve the amendment and restatement | Mgmt | For | For |
| of 3M Company 2016 Long-Term Incentive |
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| Plan. |
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5. | Shareholder proposal on setting target | Shr | Against | For |
| amounts for CEO compensation. |
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6. | Shareholder proposal on transitioning the | Shr | Against | For |
| Company to a public benefit corporation. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 3 of 192 |
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Unassigned
ABBOTT LABORATORIES | |||
Security: | 002824100 | Agenda Number: | 935345125 |
Ticker: | ABT | Meeting Type: | Annual |
ISIN: | US0028241000 | Meeting Date: | 23-Apr-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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1. | DIRECTOR |
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| 1 | R.J. Alpern | Mgmt | For | For |
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| 2 | R.S. Austin | Mgmt | For | For |
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| 3 | S.E. Blount | Mgmt | For | For |
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| 4 | R.B. Ford | Mgmt | For | For |
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| 5 | M.A. Kumbier | Mgmt | For | For |
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| 6 | D.W. McDew | Mgmt | For | For |
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| 7 | N. McKinstry | Mgmt | For | For |
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| 8 | W.A. Osborn | Mgmt | For | For |
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| 9 | M.F. Roman | Mgmt | For | For |
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| 10 | D.J. Starks | Mgmt | For | For |
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| 11 | J.G. Stratton | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 4 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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| 12 | G.F. Tilton | Mgmt | For | For |
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| 13 | M.D. White | Mgmt | For | For |
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2. | Ratification of Ernst & Young LLP as Auditors. | Mgmt | For | For | |
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3. | Say on Pay - An Advisory Vote to Approve | Mgmt | For | For | |
| Executive Compensation. |
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4A. | Amendments to the Articles of Incorporation | Mgmt | For | For | |
| to Eliminate Statutory Supermajority Voting |
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| Standards for: Amendments to the Articles of |
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| Incorporation. |
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4B. | Amendments to the Articles of Incorporation | Mgmt | For | For | |
| to Eliminate Statutory Supermajority Voting |
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| Standards for: Approval of Certain |
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| Extraordinary Transactions. |
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5. | Shareholder Proposal - Lobbying Disclosure. | Shr | Against | For | |
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6. | Shareholder Proposal - Report on Racial | Shr | Against | For | |
| Justice. |
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7. | Shareholder Proposal - Independent Board | Shr | Against | For | |
| Chairman. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 5 of 192 |
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Unassigned
ABBVIE INC. | ||
| Security: 00287Y109 | Agenda Number: 935357891 |
| Ticker: ABBV | Meeting Type: Annual |
| ISIN: US00287Y1091 | Meeting Date: 07-May-21 |
Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1. | DIRECTOR | |||
| 1 Roxanne S. Austin | Mgmt | For | For |
| 2 Richard A. Gonzalez | Mgmt | For | For |
| 3 Rebecca B. Roberts | Mgmt | For | For |
| 4 Glenn F. Tilton | Mgmt | For | For |
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2. | Ratification of Ernst & Young LLP as AbbVie’s | Mgmt | For | For |
| independent registered public accounting firm |
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| for 2021. |
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3. | Say on Pay-An advisory vote on the approval | Mgmt | For | For |
| of executive compensation. |
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4. | Approval of the Amended and Restated 2013 | Mgmt | For | For |
| Incentive Stock Program. |
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5. | Approval of the Amended and Restated 2013 | Mgmt | For | For |
| Employee Stock Purchase Plan for non-U.S. |
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| employees. |
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6. | Approval of a management proposal | Mgmt | For | For |
| regarding amendment of the certificate of |
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| incorporation to eliminate supermajority |
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| voting. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 6 of 192 |
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Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
7. | Stockholder Proposal - to Issue an Annual | Shr | Against | For |
| Report on Lobbying. |
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8. | Stockholder Proposal - to Adopt a Policy to | Shr | Against | For |
| Require Independent Chairman. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 7 of 192 |
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Unassigned
ACCENTURE PLC | ||
| Security: G1151C101 | Agenda Number: 935318128 |
| Ticker: ACN | Meeting Type: Annual |
| ISIN: IE00B4BNMY34 | Meeting Date: 03-Feb-21 |
Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1A. | Appointment of Director: Jaime Ardila | Mgmt | For | For |
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1B. | Appointment of Director: Herbert Hainer | Mgmt | For | For |
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1C. | Appointment of Director: Nancy McKinstry | Mgmt | For | For |
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1D. | Appointment of Director: Beth E. Mooney | Mgmt | For | For |
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1E. | Appointment of Director: Gilles C. Pélisson | Mgmt | For | For |
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1F. | Appointment of Director: Paula A. Price | Mgmt | For | For |
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1G. | Appointment of Director: Venkata (Murthy) | Mgmt | For | For |
| Renduchintala |
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1H. | Appointment of Director: David Rowland | Mgmt | For | For |
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1I. | Appointment of Director: Arun Sarin | Mgmt | For | For |
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1J. | Appointment of Director: Julie Sweet | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 8 of 192 |
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Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1K. | Appointment of Director: Frank K. Tang | Mgmt | For | For |
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1L. | Appointment of Director: Tracey T. Travis | Mgmt | For | For |
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2. | To approve, in a non-binding vote, the | Mgmt | For | For |
| compensation of our named executive |
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| officers. |
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3. | To ratify, in a non-binding vote, the | Mgmt | For | For |
| appointment of KPMG LLP ("KPMG") as |
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| independent auditors of Accenture and to |
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| authorize, in a binding vote, the Audit |
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| Committee of the Board of Directors to |
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| determine KPMG’s remuneration. |
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4. | To grant the Board of Directors the authority | Mgmt | For | For |
| to issue shares under Irish law. |
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5. | To grant the Board of Directors the authority | Mgmt | For | For |
| to opt-out of pre-emption rights under Irish |
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| law. |
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6. | To determine the price range at which | Mgmt | For | For |
| Accenture can re-allot shares that it acquires |
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| as treasury shares under Irish law. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 9 of 192 |
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Unassigned
AMDOCS LIMITED | ||
| Security: G02602103 | Agenda Number: 935319409 |
| Ticker: DOX | Meeting Type: Annual |
| ISIN: GB0022569080 | Meeting Date: 29-Jan-21 |
Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1A. | Election of Director: Robert A. Minicucci | Mgmt | For | For |
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1B. | Election of Director: Adrian Gardner | Mgmt | For | For |
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1C. | Election of Director: James S. Kahan | Mgmt | For | For |
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1D. | Election of Director: Rafael de la Vega | Mgmt | For | For |
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1E. | Election of Director: Giora Yaron | Mgmt | For | For |
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1F. | Election of Director: Eli Gelman | Mgmt | For | For |
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1G. | Election of Director: Richard T.C. LeFave | Mgmt | For | For |
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1H. | Election of Director: John A. MacDonald | Mgmt | For | For |
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1I. | Election of Director: Shuky Sheffer | Mgmt | For | For |
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1J. | Election of Director: Yvette Kanouff | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 10 of 192 |
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Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
2. | To approve an increase in the dividend rate | Mgmt | For | For |
| under our quarterly cash dividend program |
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| from $0.3275 per share to $0.36 per share |
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| (Proposal II). |
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3. | To approve our Consolidated Financial | Mgmt | For | For |
| Statements for the fiscal year ended |
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| September 30, 2020 (Proposal III). |
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4. | To ratify and approve the appointment of | Mgmt | For | For |
| Ernst & Young LLP as our independent |
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| registered public accounting firm for the fiscal |
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| year ending September 30, 2021, and until |
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| the next annual general meeting, and |
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| authorize the Audit Committee of the Board of |
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| Directors to fix the remuneration of such |
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| independent registered public accounting firm |
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| in accordance with the nature and extent of its |
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| services (Proposal IV). |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 11 of 192 |
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Unassigned
AMGEN INC. | ||
| Security: 031162100 | Agenda Number: 935375382 |
| Ticker: AMGN | Meeting Type: Annual |
| ISIN: US0311621009 | Meeting Date: 18-May-21 |
Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1A. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Dr. |
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| Wanda M. Austin |
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1B. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Mr. |
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| Robert A. Bradway |
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1C. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Dr. Brian |
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| J. Druker |
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1D. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Mr. |
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| Robert A. Eckert |
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1E. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Mr. Greg |
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| C. Garland |
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1F. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Mr. |
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| Charles M. Holley, Jr. |
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1G. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Dr. Tyler |
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| Jacks |
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1H. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Ms. |
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| Ellen J. Kullman |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 12 of 192 |
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Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1I. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Ms. Amy |
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| E. Miles |
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1J. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Dr. |
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| Ronald D. Sugar |
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1K. | Election of Director for a term of office | Mgmt | For | For |
| expiring at the 2022 annual meeting: Dr. R. |
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| Sanders Williams |
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2. | Advisory vote to approve our executive | Mgmt | For | For |
| compensation. |
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3. | To ratify the selection of Ernst & Young LLP | Mgmt | For | For |
| as our independent registered public |
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| accountants for the fiscal year ending |
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| December 31, 2021. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 13 of 192 |
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Unassigned
AMPHENOL CORPORATION | ||
Security: | 032095101 | Agenda Number: 935397782 |
Ticker: | APH | Meeting Type: Annual |
ISIN: | US0320951017 | Meeting Date: 19-May-21 |
Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
1.1 | Election of Director: Stanley L. Clark | Mgmt | For | For |
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1.2 | Election of Director: John D. Craig | Mgmt | For | For |
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1.3 | Election of Director: David P. Falck | Mgmt | For | For |
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1.4 | Election of Director: Edward G. Jepsen | Mgmt | For | For |
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1.5 | Election of Director: Rita S. Lane | Mgmt | For | For |
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1.6 | Election of Director: Robert A. Livingston | Mgmt | For | For |
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1.7 | Election of Director: Martin H. Loeffler | Mgmt | For | For |
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1.8 | Election of Director: R. Adam Norwitt | Mgmt | For | For |
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1.9 | Election of Director: Anne Clarke Wolff | Mgmt | For | For |
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2. | Ratify the Selection of Deloitte & Touche LLP | Mgmt | For | For |
| as Independent Public Accountants. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 14 of 192 |
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Prop.# | Proposal | Proposed by | Proposal vote | For/Against Management’s Recommendation |
3. | Advisory Vote to Approve Compensation of | Mgmt | For | For |
| Named Executive Officers. |
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4. | Ratify and Approve the Amended and | Mgmt | Against | Against |
| Restated 2017 Stock Purchase Option Plan |
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| for Key Employees of Amphenol and |
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| Subsidiaries. |
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5. | Approve an Amendment to the Company’s | Mgmt | For | For |
| Certificate of Incorporation to Increase the |
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| Number of Authorized Shares. |
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6. | Stockholder Proposal: Improve Our Catch-22 | Shr | Against | For |
| Proxy Access. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 15 of 192 |
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Unassigned
ANALOG DEVICES, INC. |
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Security: | 032654105 | Agenda Number: | 935270392 |
Ticker: | ADI | Meeting Type: | Special |
ISIN: | US0326541051 | Meeting Date: | 08-Oct-20 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1. | To approve the issuance of shares of common stock, par value $0.16 2/3 per share, of Analog Devices, Inc. ("Analog Devices") to the stockholders of Maxim Integrated Products, Inc. ("Maxim") in connection with the merger contemplated by the Agreement and Plan of Merger, dated as of July 12, 2020 (as it may be amended from time to time), by and among Analog Devices, Magneto Corp., a Delaware corporation and wholly-owned subsidiary of Analog Devices, and Maxim (the "Analog Devices share issuance proposal"). | Mgmt | For | For |
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2. | To adjourn the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting to approve the Analog Devices share issuance proposal or to ensure that any supplement or amendment to the accompanying joint proxy statement/prospectus is timely provided to Analog Devices shareholders. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 16 of 192 |
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Unassigned
ANALOG DEVICES, INC. |
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Security: | 032654105 | Agenda Number: | 935326252 |
Ticker: | ADI | Meeting Type: | Annual |
ISIN: | US0326541051 | Meeting Date: | 10-Mar-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1A. | Election of Director: Ray Stata | Mgmt | For | For |
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1B. | Election of Director: Vincent Roche | Mgmt | For | For |
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1C. | Election of Director: James A. Champy | Mgmt | For | For |
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1D. | Election of Director: Anantha P. Chandrakasan | Mgmt | For | For |
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1E. | Election of Director: Bruce R. Evans | Mgmt | For | For |
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1F. | Election of Director: Edward H. Frank | Mgmt | For | For |
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1G. | Election of Director: Laurie H. Glimcher | Mgmt | For | For |
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1H. | Election of Director: Karen M. Golz | Mgmt | For | For |
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1I. | Election of Director: Mark M. Little | Mgmt | For | For |
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1J. | Election of Director: Kenton J. Sicchitano | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 17 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1K. | Election of Director: Susie Wee | Mgmt | For | For |
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2. | Advisory resolution to approve the | Mgmt | For | For |
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3. | Ratification of Ernst & Young LLP as our | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 18 of 192 |
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Unassigned
ANTHEM, INC. |
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Security: | 036752103 | Agenda Number: | 935387488 |
Ticker: | ANTM | Meeting Type: | Annual |
ISIN: | US0367521038 | Meeting Date: | 26-May-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1.1 | Election of Director: Lewis Hay, III | Mgmt | For | For |
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1.2 | Election of Director: Antonio F. Neri | Mgmt | For | For |
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1.3 | Election of Director: Ramiro G. Peru | Mgmt | For | For |
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2. | Advisory vote to approve the compensation of | Mgmt | For | For |
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3. | To ratify the appointment of Ernst & Young | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 19 of 192 |
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Unassigned
AON PLC |
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Security: | G0403H108 | Agenda Number: | 935249602 |
Ticker: | AON | Meeting Type: | Special |
ISIN: | IE00BLP1HW54 | Meeting Date: | 26-Aug-20 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1. | Approve the issuance of the aggregate | Mgmt | For | For |
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2. | Approve any motion by the chair of the Aon EGM to adjourn the Aon EGM, or any | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 20 of 192 |
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Unassigned
AON PLC |
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Security: | G0403H108 | Agenda Number: | 935399041 |
Ticker: | AON | Meeting Type: | Annual |
ISIN: | IE00BLP1HW54 | Meeting Date: | 02-Jun-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1A. | Election of Director: Lester B. Knight | Mgmt | For | For |
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1B. | Election of Director: Gregory C. Case | Mgmt | For | For |
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1C. | Election of Director: Jin-Yong Cai | Mgmt | For | For |
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1D. | Election of Director: Jeffrey C. Campbell | Mgmt | For | For |
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1E. | Election of Director: Fulvio Conti | Mgmt | For | For |
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1F. | Election of Director: Cheryl A. Francis | Mgmt | For | For |
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1G. | Election of Director: J. Michael Losh | Mgmt | For | For |
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1H. | Election of Director: Richard B. Myers | Mgmt | For | For |
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1I. | Election of Director: Richard C. Notebaert | Mgmt | For | For |
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1J. | Election of Director: Gloria Santona | Mgmt | For | For |
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1K. | Election of Director: Byron O. Spruell | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 21 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1L. | Election of Director: Carolyn Y. Woo | Mgmt | For | For |
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2. | Advisory vote to approve the compensation of | Mgmt | For | For |
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3. | Ratify the appointment of Ernst & Young LLP | Mgmt | For | For |
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4. | Re-appoint Ernst & Young Chartered | Mgmt | For | For |
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5. | Authorize the Board or the Audit Committee of | Mgmt | For | For |
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6. | Amend Article 190 of the Company’s Articles | Mgmt | For | For |
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7. | Authorize the Board to capitalize certain of | Mgmt | For | For |
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8. | Approve the creation of distributable profits by | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 22 of 192 |
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Unassigned
APPLE INC. |
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Security: | 037833100 | Agenda Number: | 935323167 |
Ticker: | AAPL | Meeting Type: | Annual |
ISIN: | US0378331005 | Meeting Date: | 23-Feb-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1A. | Election of Director: James Bell | Mgmt | For | For |
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1B. | Election of Director: Tim Cook | Mgmt | For | For |
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1C. | Election of Director: Al Gore | Mgmt | For | For |
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1D. | Election of Director: Andrea Jung | Mgmt | For | For |
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1E. | Election of Director: Art Levinson | Mgmt | For | For |
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1F. | Election of Director: Monica Lozano | Mgmt | For | For |
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1G. | Election of Director: Ron Sugar | Mgmt | For | For |
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1H. | Election of Director: Sue Wagner | Mgmt | For | For |
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2. | Ratification of the appointment of Ernst & | Mgmt | For | For |
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3. | Advisory vote to approve executive | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 23 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Recommendation |
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4. | A shareholder proposal entitled "Shareholder | Shr | Against | For |
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5. | A shareholder proposal entitled "Shareholder | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 24 of 192 |
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Unassigned
AT&T INC. |
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Security: | 00206R102 | Agenda Number: | 935347179 |
Ticker: | T | Meeting Type: | Annual |
ISIN: | US00206R1023 | Meeting Date: | 30-Apr-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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| Recommendation |
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1A. | Election of Director: William E. Kennard | Mgmt | For | For |
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1B. | Election of Director: Samuel A. Di Piazza, Jr. | Mgmt | For | For |
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1C. | Election of Director: Scott T. Ford | Mgmt | For | For |
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1D. | Election of Director: Glenn H. Hutchins | Mgmt | For | For |
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1E. | Election of Director: Debra L. Lee | Mgmt | For | For |
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1F. | Election of Director: Stephen J. Luczo | Mgmt | For | For |
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1G. | Election of Director: Michael B. McCallister | Mgmt | For | For |
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1H. | Election of Director: Beth E. Mooney | Mgmt | For | For |
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1I. | Election of Director: Matthew K. Rose | Mgmt | For | For |
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1J. | Election of Director: John T. Stankey | Mgmt | For | For |
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1K. | Election of Director: Cynthia B. Taylor | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 25 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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| Recommendation |
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1L. | Election of Director: Geoffrey Y. Yang | Mgmt | For | For |
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2. | Ratification of appointment of independent | Mgmt | For | For |
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3. | Advisory approval of executive compensation. | Mgmt | For | For |
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4. | Stockholder Right to Act by Written Consent. | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 26 of 192 |
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Unassigned
AUTOMATIC DATA PROCESSING, INC. | |||
Security: | 053015103 | Agenda Number: | 935276130 |
Ticker: | ADP | Meeting Type: | Annual |
ISIN: | US0530151036 | Meeting Date: | 11-Nov-20 |
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Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Director: Peter Bisson | Mgmt | For | For |
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1B. | Election of Director: Richard T. Clark | Mgmt | For | For |
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1C. | Election of Director: Linnie M. Haynesworth | Mgmt | For | For |
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1D. | Election of Director: John P. Jones | Mgmt | For | For |
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1E. | Election of Director: Francine S. Katsoudas | Mgmt | For | For |
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1F. | Election of Director: Nazzic S. Keene | Mgmt | For | For |
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1G. | Election of Director: Thomas J. Lynch | Mgmt | For | For |
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1H. | Election of Director: Scott F. Powers | Mgmt | For | For |
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1I. | Election of Director: William J. Ready | Mgmt | For | For |
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1J. | Election of Director: Carlos A. Rodriguez | Mgmt | For | For |
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1K. | Election of Director: Sandra S. Wijnberg | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 27 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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2. | Advisory Vote on Executive Compensation. | Mgmt | For | For |
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3. | Ratification of the Appointment of Auditors. | Mgmt | For | For |
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4. | Stockholder proposal, if properly presented at the meeting, to prepare a Report on Employee Representation on the Board of Directors. | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 28 of 192 |
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Unassigned
BROADCOM INC | |||
Security: | 11135F101 | Agenda Number: | 935335768 |
Ticker: | AVGO | Meeting Type: | Annual |
ISIN: | US11135F1012 | Meeting Date: | 05-Apr-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Director: Ms. Diane M. Bryant | Mgmt | For | For |
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1B. | Election of Director: Ms. Gayla J. Delly | Mgmt | For | For |
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1C. | Election of Director: Mr. Raul J. Fernandez | Mgmt | For | For |
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1D. | Election of Director: Mr. Eddy W. Hartenstein | Mgmt | For | For |
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1E. | Election of Director: Mr. Check Kian Low | Mgmt | For | For |
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1F. | Election of Director: Ms. Justine F. Page | Mgmt | For | For |
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1G. | Election of Director: Dr. Henry Samueli | Mgmt | For | For |
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1H. | Election of Director: Mr. Hock E. Tan | Mgmt | For | For |
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1I. | Election of Director: Mr. Harry L. You | Mgmt | For | For |
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2. | Ratification of the appointment of Pricewaterhouse-Coopers LLP as Broadcom’s independent registered public accounting firm for the fiscal year ending October 31, 2021. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 29 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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3. | Approval of an amendment and restatement of Broadcom’s 2012 Stock Incentive Plan. | Mgmt | For | For |
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4. | Advisory vote to approve compensation of Broadcom’s named executive officers. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 30 of 192 |
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Unassigned
BROADRIDGE FINANCIAL SOLUTIONS, INC. | |||
Security: | 11133T103 | Agenda Number: | 935279984 |
Ticker: | BR | Meeting Type: | Annual |
ISIN: | US11133T1034 | Meeting Date: | 19-Nov-20 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Leslie A. Brun | Mgmt | For | For |
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1B. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Pamela L. Carter | Mgmt | For | For |
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1C. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Richard J. Daly | Mgmt | For | For |
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1D. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Robert N. Duelks | Mgmt | For | For |
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1E. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Timothy C. Gokey | Mgmt | For | For |
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1F. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Brett A. Keller | Mgmt | For | For |
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1G. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Maura A. Markus | Mgmt | For | For |
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1H. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Thomas J. Perna | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 31 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1I. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Alan J. Weber | Mgmt | For | For |
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1J. | Election of Director to serve until the 2021 Annual Meeting of Stockholders: Amit K. Zavery | Mgmt | For | For |
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2. | Advisory vote to approve the compensation of the Company’s Named Executive Officers (the Say on Pay Vote). | Mgmt | For | For |
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3. | To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accountants for the fiscal year ending June 30, 2021. | Mgmt | For | For |
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4. | Stockholder Proposal on Political Contributions. | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 32 of 192 |
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Unassigned
C.H. ROBINSON WORLDWIDE, INC. | |||
Security: | 12541W209 | Agenda Number: | 935352930 |
Ticker: | CHRW | Meeting Type: | Annual |
ISIN: | US12541W2098 | Meeting Date: | 06-May-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Director: Scott P. Anderson | Mgmt | For | For |
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1B. | Election of Director: Robert C. Biesterfeld Jr. | Mgmt | For | For |
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1C. | Election of Director: Kermit R. Crawford | Mgmt | For | For |
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1D. | Election of Director: Wayne M. Fortun | Mgmt | For | For |
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1E. | Election of Director: Timothy C. Gokey | Mgmt | For | For |
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1F. | Election of Director: Mary J. Steele Guilfoile | Mgmt | For | For |
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1G. | Election of Director: Jodee A. Kozlak | Mgmt | For | For |
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1H. | Election of Director: Brian P. Short | Mgmt | For | For |
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1I. | Election of Director: James B. Stake | Mgmt | For | For |
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1J. | Election of Director: Paula C. Tolliver | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 33 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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2. | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | For | For |
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3. | Ratification of the selection of Deloitte & Touche LLP as the company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 34 of 192 |
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Unassigned
CERNER CORPORATION | |||
Security: | 156782104 | Agenda Number: | 935364822 |
Ticker: | CERN | Meeting Type: | Annual |
ISIN: | US1567821046 | Meeting Date: | 19-May-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Class II Director: Mitchell E. Daniels, Jr. | Mgmt | For | For |
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1B. | Election of Class II Director: Elder Granger, M.D. | Mgmt | For | For |
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1C. | Election of Class II Director: John J. Greisch | Mgmt | For | For |
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1D. | Election of Class II Director: Melinda J. Mount | Mgmt | For | For |
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2. | Ratification of the appointment of KPMG LLP as the independent registered public accounting firm of Cerner Corporation for 2021. | Mgmt | For | For |
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3. | Approval, on an advisory basis, of the compensation of our Named Executive Officers. | Mgmt | For | For |
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4. | Shareholder proposal to eliminate supermajority voting, if properly presented at the meeting. | Shr | For | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 35 of 192 |
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Unassigned
CHURCH & DWIGHT CO., INC. | |||
Security: | 171340102 | Agenda Number: | 935348753 |
Ticker: | CHD | Meeting Type: | Annual |
ISIN: | US1713401024 | Meeting Date: | 29-Apr-21 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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1A. | Election of Director for a term of one year: James R. Craigie | Mgmt | For | For |
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1B. | Election of Director for a term of one year: Matthew T. Farrell | Mgmt | For | For |
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1C. | Election of Director for a term of one year: Bradley C. Irwin | Mgmt | For | For |
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1D. | Election of Director for a term of one year: Penry W. Price | Mgmt | For | For |
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1E. | Election of Director for a term of one year: Susan G. Saideman | Mgmt | For | For |
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1F. | Election of Director for a term of one year: Ravichandra K. Saligram | Mgmt | For | For |
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1G. | Election of Director for a term of one year: Robert K. Shearer | Mgmt | For | For |
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1H. | Election of Director for a term of one year: Janet S. Vergis | Mgmt | For | For |
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1I. | Election of Director for a term of one year: Arthur B. Winkleblack | Mgmt | For | For |
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1J. | Election of Director for a term of one year: Laurie J. Yoler | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 36 of 192 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation |
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2. | An advisory vote to approve compensation of our named executive officers. | Mgmt | For | For |
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3. | Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove the requirement for holders of two-thirds of our outstanding stock to fill vacancies on the Board of Directors. | Mgmt | For | For |
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4. | Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove the requirement to have holders of two-thirds of our outstanding stock approve certain mergers, consolidations or dispositions of substantial assets. | Mgmt | For | For |
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5. | Proposal to amend the Company’s Amended and Restated Certificate of Incorporation to remove certain procedural provisions that will no longer be required once the Board is fully declassified. | Mgmt | For | For |
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6. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 37 of 192 |
Unassigned
| CINTAS CORPORATION | |||
| Security: | 172908105 | Agenda Number: | 935270126 |
| Ticker: | CTAS | Meeting Type: | Annual |
| ISIN: | US1729081059 | Meeting Date: | 27-Oct-20 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1A. | Election of Director: Gerald S. Adolph | Mgmt | For | For | |
| 1B. | Election of Director: John F. Barrett | Mgmt | For | For | |
| 1C. | Election of Director: Melanie W. Barstad | Mgmt | For | For | |
| 1D. | Election of Director: Karen L. Carnahan | Mgmt | For | For | |
| 1E. | Election of Director: Robert E. Coletti | Mgmt | For | For | |
| 1F. | Election of Director: Scott D. Farmer | Mgmt | For | For | |
| 1G. | Election of Director: Joseph Scaminace | Mgmt | For | For | |
| 1H. | Election of Director: Ronald W. Tysoe | Mgmt | For | For | |
| 2. | To approve, on an advisory basis, named executive officer compensation. | Mgmt | For | For | |
| 3. | To ratify Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 38 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 4. | A shareholder proposal requesting the Company provide a semiannual report on political contributions, if properly presented at the meeting. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 39 of 192 |
Unassigned
| CISCO SYSTEMS, INC. | |||
| Security: | 17275R102 | Agenda Number: | 935287498 |
| Ticker: | CSCO | Meeting Type: | Annual |
| ISIN: | US17275R1023 | Meeting Date: | 10-Dec-20 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1a. | Election of Director: M. Michele Burns | Mgmt | For | For | |
| 1b. | Election of Director: Wesley G. Bush | Mgmt | For | For | |
| 1c. | Election of Director: Michael D. Capellas | Mgmt | For | For | |
| 1d. | Election of Director: Mark Garrett | Mgmt | For | For | |
| 1e. | Election of Director: Dr. Kristina M. Johnson | Mgmt | For | For | |
| 1f. | Election of Director: Roderick C. McGeary | Mgmt | For | For | |
| 1g. | Election of Director: Charles H. Robbins | Mgmt | For | For | |
| 1h. | Election of Director: Arun Sarin | Mgmt | For | For | |
| 1i. | Election of Director: Brenton L. Saunders | Mgmt | For | For | |
| 1j. | Election of Director: Dr. Lisa T. Su | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 40 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 2. | Approval of the reincorporation of Cisco from California to Delaware. | Mgmt | For | For | |
| 3. | Approval of amendment and restatement of the 2005 Stock Incentive Plan. | Mgmt | For | For | |
| 4. | Approval, on an advisory basis, of executive compensation. | Mgmt | For | For | |
| 5. | Ratification of PricewaterhouseCoopers LLP as Cisco’s independent registered public accounting firm for fiscal 2021. | Mgmt | For | For | |
| 6. | Approval to have Cisco’s Board adopt a policy to have an independent Board chairman. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 41 of 192 |
Unassigned
| CITRIX SYSTEMS, INC. | |||
| Security: | 177376100 | Agenda Number: | 935400666 |
| Ticker: | CTXS | Meeting Type: | Annual |
| ISIN: | US1773761002 | Meeting Date: | 04-Jun-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1A. | Election of Director: Robert M. Calderoni | Mgmt | For | For | |
| 1B. | Election of Director: Nanci E. Caldwell | Mgmt | For | For | |
| 1C. | Election of Director: Murray J. Demo | Mgmt | For | For | |
| 1D. | Election of Director: Ajei S. Gopal | Mgmt | For | For | |
| 1E. | Election of Director: David J. Henshall | Mgmt | For | For | |
| 1F. | Election of Director: Thomas E. Hogan | Mgmt | For | For | |
| 1G. | Election of Director: Moira A. Kilcoyne | Mgmt | For | For | |
| 1H. | Election of Director: Robert E. Knowling, Jr. | Mgmt | For | For | |
| 1I. | Election of Director: Peter J. Sacripanti | Mgmt | For | For | |
| 1J. | Election of Director: J. Donald Sherman | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 42 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 2. | Ratification of the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for 2021. | Mgmt | For | For | |
| 3. | Advisory vote to approve the compensation of the Company’s named executive officers. | Mgmt | For | For | |
| 4. | Shareholder proposal regarding simple majority voting provisions. | Shr | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 43 of 192 |
Unassigned
| CME GROUP INC. | |||
| Security: | 12572Q105 | Agenda Number: | 935359340 |
| Ticker: | CME | Meeting Type: | Annual |
| ISIN: | US12572Q1058 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1A. | Election of Equity Director: Terrence A. Duffy | Mgmt | For | For | |
| 1B. | Election of Equity Director: Timothy S Bitsberger. | Mgmt | For | For | |
| 1C. | Election of Equity Director: Charles P. Carey | Mgmt | For | For | |
| 1D. | Election of Equity Director: Dennis H. Chookaszian | Mgmt | For | For | |
| 1E. | Election of Equity Director: Bryan T. Durkin | Mgmt | For | For | |
| 1F. | Election of Equity Director: Ana Dutra | Mgmt | For | For | |
| 1G. | Election of Equity Director: Martin J. Gepsman | Mgmt | For | For | |
| 1H. | Election of Equity Director: Larry G. Gerdes | Mgmt | For | For | |
| 1I. | Election of Equity Director: Daniel R. Glickman | Mgmt | For | For | |
| 1J. | Election of Equity Director: Daniel G. Kaye | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 44 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1K. | Election of Equity Director: Phyllis M. Lockett | Mgmt | For | For | |
| 1L. | Election of Equity Director: Deborah J. Lucas | Mgmt | For | For | |
| 1M. | Election of Equity Director: Terry L. Savage | Mgmt | For | For | |
| 1N. | Election of Equity Director: Rahael Seifu | Mgmt | For | For | |
| 1O. | Election of Equity Director: William R. Shepard | Mgmt | For | For | |
| 1P. | Election of Equity Director: Howard J. Siegel | Mgmt | For | For | |
| 1Q. | Election of Equity Director: Dennis A. Suskind | Mgmt | For | For | |
| 2. | Ratification of the appointment of Ernst & Young as our independent registered public accounting firm for 2021. | Mgmt | For | For | |
| 3. | Advisory vote on the compensation of our named executive officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 45 of 192 |
Unassigned
| COGNIZANT TECHNOLOGY SOLUTIONS CORP. | |||
| Security: | 192446102 | Agenda Number: | 935406973 |
| Ticker: | CTSH | Meeting Type: | Annual |
| ISIN: | US1924461023 | Meeting Date: | 01-Jun-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1A. | Election of Director to serve until the 2022 annual meeting: Zein Abdalla | Mgmt | For | For | |
| 1B. | Election of Director to serve until the 2022 annual meeting: Vinita Bali | Mgmt | For | For | |
| 1C. | Election of Director to serve until the 2022 annual meeting: Maureen Breakiron-Evans | Mgmt | For | For | |
| 1D. | Election of Director to serve until the 2022 annual meeting: Archana Deskus | Mgmt | For | For | |
| 1E. | Election of Director to serve until the 2022 annual meeting: John M. Dineen | Mgmt | For | For | |
| 1F. | Election of Director to serve until the 2022 annual meeting: Brian Humphries | Mgmt | For | For | |
| 1G. | Election of Director to serve until the 2022 annual meeting: Leo S. Mackay, Jr. | Mgmt | For | For | |
| 1H. | Election of Director to serve until the 2022 annual meeting: Michael Patsalos-Fox | Mgmt | For | For | |
| 1I. | Election of Director to serve until the 2022 annual meeting: Joseph M. Velli | Mgmt | For | For | |
| 1J. | Election of Director to serve until the 2022 annual meeting: Sandra S. Wijnberg | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 46 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 2. | Approve, on an advisory (non-binding) basis, the compensation of the company’s named executive officers. | Mgmt | For | For | |
| 3. | Ratify the appointment of PricewaterhouseCoopers LLP as the company’s independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | |
| 4. | Shareholder proposal requesting that the board of directors take action as necessary to permit shareholder action by written consent. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 47 of 192 |
Unassigned
| COLGATE-PALMOLIVE COMPANY | |||
| Security: | 194162103 | Agenda Number: | 935355392 |
| Ticker: | CL | Meeting Type: | Annual |
| ISIN: | US1941621039 | Meeting Date: | 07-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 1a. | Election of Director: John P. Bilbrey | Mgmt | For | For | |
| 1b. | Election of Director: John T. Cahill | Mgmt | For | For | |
| 1c. | Election of Director: Lisa M. Edwards | Mgmt | For | For | |
| 1d. | Election of Director: C. Martin Harris | Mgmt | For | For | |
| 1e. | Election of Director: Martina Hund-Mejean | Mgmt | For | For | |
| 1f. | Election of Director: Kimberly A. Nelson | Mgmt | For | For | |
| 1g. | Election of Director: Lorrie M. Norrington | Mgmt | For | For | |
| 1h. | Election of Director: Michael B. Polk | Mgmt | For | For | |
| 1i. | Election of Director: Stephen I. Sadove | Mgmt | For | For | |
| 1j. | Election of Director: Noel R. Wallace | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 48 of 192 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation | |
| 2. | Ratify selection of PricewaterhouseCoopers LLP as Colgate’s independent registered public accounting firm. | Mgmt | For | For | |
| 3. | Advisory vote on executive compensation. | Mgmt | For | For | |
| 4. | Stockholder proposal on independent Board Chairman. | Shr | Against | For | |
| 5. | Stockholder proposal to reduce the ownership threshold to call special stockholder meetings to 10%. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 49 of 192 |
Unassigned
| COMCAST CORPORATION | |||
| Security: | 20030N101 | Agenda Number: | 935407139 |
| Ticker: | CMCSA | Meeting Type: | Annual |
| ISIN: | US20030N1019 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1. | DIRECTOR | ||||
| 1 | Kenneth J. Bacon | Mgmt | For | For | |
| 2 | Madeline S. Bell | Mgmt | For | For | |
| 3 | Naomi M. Bergman | Mgmt | For | For | |
| 4 | Edward D. Breen | Mgmt | For | For | |
| 5 | Gerald L. Hassell | Mgmt | For | For | |
| 6 | Jeffrey A. Honickman | Mgmt | For | For | |
| 7 | Maritza G. Montiel | Mgmt | For | For | |
| 8 | Asuka Nakahara | Mgmt | For | For | |
| 9 | David C. Novak | Mgmt | For | For | |
| 10 | Brian L. Roberts | Mgmt | For | For | |
| 2. | Advisory vote on executive compensation. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 50 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 3. | Ratification of the appointment of our | Mgmt | For | For |
| independent auditors. | ||||
| 4. | Shareholder Proposal: To conduct | Shr | For | Against |
| independent investigation and report on risks | ||||
| posed by failing to prevent sexual | ||||
| harassment. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 51 of 192 |
Unassigned
| COSTCO WHOLESALE CORPORATION | |||
| Security: | 22160K105 | Agenda Number: | 935312796 |
| Ticker: | COST | Meeting Type: | Annual |
| ISIN: | US22160K1051 | Meeting Date: | 21-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Susan L. Decker | Mgmt | For | For | |
| 2 | Kenneth D. Denman | Mgmt | For | For | |
| 3 | Richard A. Galanti | Mgmt | For | For | |
| 4 | W. Craig Jelinek | Mgmt | For | For | |
| 5 | Sally Jewell | Mgmt | For | For | |
| 6 | Charles T. Munger | Mgmt | For | For | |
| 7 | Jeffrey S. Raikes | Mgmt | For | For | |
| 2. | Ratification of selection of independent | Mgmt | For | For | |
| auditors. | |||||
| 3. | Approval, on an advisory basis, of executive | Mgmt | For | For | |
| compensation. | |||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 52 of 192 |
Unassigned
| CSX CORPORATION | |||
| Security: | 126408103 | Agenda Number: | 935354390 |
| Ticker: | CSX | Meeting Type: | Annual |
| ISIN: | US1264081035 | Meeting Date: | 07-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Donna M. Alvarado | Mgmt | For | For |
| 1B. | Election of Director: Thomas P. Bostick | Mgmt | For | For |
| 1C. | Election of Director: James M. Foote | Mgmt | For | For |
| 1D. | Election of Director: Steven T. Halverson | Mgmt | For | For |
| 1E. | Election of Director: Paul C. Hilal | Mgmt | For | For |
| 1F. | Election of Director: David M. Moffett | Mgmt | For | For |
| 1G. | Election of Director: Linda H. Riefler | Mgmt | For | For |
| 1H. | Election of Director: Suzanne M. Vautrinot | Mgmt | For | For |
| 1I. | Election of Director: James L. Wainscott | Mgmt | For | For |
| 1J. | Election of Director: J. Steven Whisler | Mgmt | For | For |
| 1K. | Election of Director: John J. Zillmer | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 53 of 192 |
|
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 2. | The ratification of the appointment of Ernst & | Mgmt | For | For |
| Young LLP as the Independent Registered | ||||
| Public Accounting Firm for 2021. | ||||
| 3. | Advisory (non-binding) resolution to approve | Mgmt | For | For |
| compensation for the Company's named | ||||
| executive officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 54 of 192 |
Unassigned
| CUMMINS INC. | |||
| Security: | 231021106 | Agenda Number: | 935361662 |
| Ticker: | CMI | Meeting Type: | Annual |
| ISIN: | US2310211063 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1) | Election of Director: N. Thomas Linebarger | Mgmt | For | For |
| 2) | Election of Director: Robert J. Bernhard | Mgmt | For | For |
| 3) | Election of Director: Dr. Franklin R. Chang | Mgmt | For | For |
| Diaz | ||||
| 4) | Election of Director: Bruno V. Di Leo Allen | Mgmt | For | For |
| 5) | Election of Director: Stephen B. Dobbs | Mgmt | For | For |
| 6) | Election of Director: Carla A. Harris | Mgmt | For | For |
| 7) | Election of Director: Robert K. Herdman | Mgmt | For | For |
| 8) | Election of Director: Alexis M. Herman | Mgmt | For | For |
| 9) | Election of Director: Thomas J. Lynch | Mgmt | For | For |
| 10) | Election of Director: William I. Miller | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 55 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 11) | Election of Director: Georgia R. Nelson | Mgmt | For | For |
| 12) | Election of Director: Kimberly A. Nelson | Mgmt | For | For |
| 13) | Election of Director: Karen H. Quintos | Mgmt | For | For |
| 14) | Advisory vote to approve the compensation of | Mgmt | For | For |
| our named executive officers as disclosed in | ||||
| the proxy statement. | ||||
| 15) | Proposal to ratify the appointment of | Mgmt | For | For |
| PricewaterhouseCoopers LLP as our auditors | ||||
| for 2021. | ||||
| 16) | The shareholder proposal regarding | Shr | Against | For |
| professional services allowance for our | ||||
| named executive officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 56 of 192 |
Unassigned
| CVS HEALTH CORPORATION | |||
| Security: | 126650100 | Agenda Number: | 935366927 |
| Ticker: | CVS | Meeting Type: | Annual |
| ISIN: | US1266501006 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Fernando Aguirre | Mgmt | For | For |
| 1B. | Election of Director: C. David Brown II | Mgmt | For | For |
| 1C. | Election of Director: Alecia A. DeCoudreaux | Mgmt | For | For |
| 1D. | Election of Director: Nancy-Ann M. DeParle | Mgmt | For | For |
| 1E. | Election of Director: David W. Dorman | Mgmt | For | For |
| 1F. | Election of Director: Roger N. Farah | Mgmt | For | For |
| 1G. | Election of Director: Anne M. Finucane | Mgmt | For | For |
| 1H. | Election of Director: Edward J. Ludwig | Mgmt | For | For |
| 1I. | Election of Director: Karen S. Lynch | Mgmt | For | For |
| 1J. | Election of Director: Jean-Pierre Millon | Mgmt | For | For |
| 1K. | Election of Director: Mary L. Schapiro | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 57 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1L. | Election of Director: William C. Weldon | Mgmt | For | For |
| 1M. | Election of Director: Tony L. White | Mgmt | For | For |
| 2. | Ratification of the appointment of our | Mgmt | For | For |
| independent registered public accounting firm | ||||
| for 2021. | ||||
| 3. | Say on Pay, a proposal to approve, on an | Mgmt | For | For |
| advisory basis, the Company's executive | ||||
| compensation. | ||||
| 4. | Stockholder proposal for reducing the | Shr | Against | For |
| threshold for our stockholder right to act by | ||||
| written consent. | ||||
| 5. | Stockholder proposal regarding our | Shr | Against | For |
| independent Board Chair. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 58 of 192 |
Unassigned
| DOLLAR GENERAL CORPORATION | |||
| Security: | 256677105 | Agenda Number: | 935374924 |
| Ticker: | DG | Meeting Type: | Annual |
| ISIN: | US2566771059 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Warren F. Bryant | Mgmt | For | For |
| 1B. | Election of Director: Michael M. Calbert | Mgmt | For | For |
| 1C. | Election of Director: Patricia D. Fili-Krushel | Mgmt | For | For |
| 1D. | Election of Director: Timothy I. McGuire | Mgmt | For | For |
| 1E. | Election of Director: William C. Rhodes, III | Mgmt | For | For |
| 1F. | Election of Director: Debra A. Sandler | Mgmt | For | For |
| 1G. | Election of Director: Ralph E. Santana | Mgmt | For | For |
| 1H. | Election of Director: Todd J. Vasos | Mgmt | For | For |
| 2. | To approve, on an advisory (non-binding) | Mgmt | For | For |
| basis, the resolution regarding the | ||||
| compensation of Dollar General Corporation's | ||||
| named executive officers as disclosed in the | ||||
| proxy statement. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 59 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 3. | To ratify the appointment of Ernst & Young | Mgmt | For | For |
| LLP as Dollar General Corporation's | ||||
| independent registered public accounting firm | ||||
| for fiscal 2021. | ||||
| 4. | To approve the Dollar General Corporation | Mgmt | For | For |
| 2021 Stock Incentive Plan. | ||||
| 5. | To approve an amendment to the amended | Mgmt | Abstain | Against |
| and restated charter of Dollar General | ||||
| Corporation to allow shareholders holding | ||||
| 25% or more of our common stock to request | ||||
| special meetings of shareholders. | ||||
| 6. | To vote on a shareholder proposal regarding | Shr | For | Against |
| shareholders' ability to call special meetings | ||||
| of shareholders. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 60 of 192 |
Unassigned
| EBAY INC. | |||
| Security: | 278642103 | Agenda Number: | 935418790 |
| Ticker: | EBAY | Meeting Type: | Annual |
| ISIN: | US2786421030 | Meeting Date: | 15-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Anthony J. Bates | Mgmt | For | For |
| 1B. | Election of Director: Adriane M. Brown | Mgmt | For | For |
| 1C. | Election of Director: Diana Farrell | Mgmt | For | For |
| 1D. | Election of Director: Logan D. Green | Mgmt | For | For |
| 1E. | Election of Director: Bonnie S. Hammer | Mgmt | For | For |
| 1F. | Election of Director: E. Carol Hayles | Mgmt | For | For |
| 1G. | Election of Director: Jamie Iannone | Mgmt | For | For |
| 1H. | Election of Director: Kathleen C. Mitic | Mgmt | For | For |
| 1I. | Election of Director: Matthew J. Murphy | Mgmt | For | For |
| 1J. | Election of Director: Paul S. Pressler | Mgmt | For | For |
| 1K. | Election of Director: Mohak Shroff | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 61 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1L. | Election of Director: Robert H. Swan | Mgmt | For | For |
| 1M. | Election of Director: Perry M. Traquina | Mgmt | For | For |
| 2. | Ratification of appointment of independent | Mgmt | For | For |
| auditors. | ||||
| 3. | Advisory vote to approve named executive | Mgmt | Against | Against |
| officer compensation. | ||||
| 4. | Executive Compensation, if properly | Shr | Against | For |
| presented. | ||||
| 5. | Right to Act by Written Consent, if properly | Shr | For | Against |
| presented. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 62 of 192 |
Unassigned
| ELI LILLY AND COMPANY | |||
| Security: | 532457108 | Agenda Number: | 935355354 |
| Ticker: | LLY | Meeting Type: | Annual |
| ISIN: | US5324571083 | Meeting Date: | 03-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1a. | Election of Director to serve a three year | Mgmt | For | For |
| term: K. Baicker, Ph.D. | ||||
| 1b. | Election of Director to serve a three year | Mgmt | For | For |
| term: J.E. Fyrwald | ||||
| 1c. | Election of Director to serve a three year | Mgmt | For | For |
| term: J. Jackson | ||||
| 1d. | Election of Director to serve a three year | Mgmt | For | For |
| term: G. Sulzberger | ||||
| 1e. | Election of Director to serve a three year | Mgmt | For | For |
| term: J.P. Tai | ||||
| 2. | Approval, on an advisory basis, of the | Mgmt | For | For |
| compensation paid to the company's named | ||||
| executive officers. | ||||
| 3. | Ratification of the appointment of Ernst & | Mgmt | For | For |
| Young LLP as the independent auditor for | ||||
| 2021. | ||||
| 4. | Approval of amendments to the company's | Mgmt | For | For |
| Articles of Incorporation to eliminate the | ||||
| classified board structure. | ||||
| 5. | Approval of amendments to the company's | Mgmt | For | For |
| Articles of Incorporation to eliminate | ||||
| supermajority voting provisions. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 63 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 6. | Shareholder proposal to disclose direct and | Shr | Against | For |
| indirect lobbying activities and expenditures. | ||||
| 7. | Shareholder proposal to amend the bylaws to | Shr | Against | For |
| require an independent board chair. | ||||
| 8. | Shareholder proposal to implement a bonus | Shr | For | Against |
| deferral policy. | ||||
| 9. | Shareholder proposal to disclose clawbacks | Shr | For | Against |
| on executive incentive compensation due to | ||||
| misconduct. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 64 of 192 |
Unassigned
| EMERSON ELECTRIC CO. | |||
| Security: | 291011104 | Agenda Number: | 935317190 |
| Ticker: | EMR | Meeting Type: | Annual |
| ISIN: | US2910111044 | Meeting Date: | 02-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1. | DIRECTOR | ||||
| 1 | M. A. Blinn | Mgmt | For | For | |
| 2 | A. F. Golden | Mgmt | For | For | |
| 3 | C. Kendle | Mgmt | For | For | |
| 4 | J. S. Turley | Mgmt | For | For | |
| 2. | Ratification of KPMG LLP as Independent | Mgmt | For | For | |
| Registered Public Accounting Firm. | |||||
| 3. | Approval, by non-binding advisory vote, of | Mgmt | For | For | |
| Emerson Electric Co. executive | |||||
| compensation. | |||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 65 of 192 |
Unassigned
| EXPEDITORS INT'L OF WASHINGTON, INC. | |||
| Security: | 302130109 | Agenda Number: | 935356255 |
| Ticker: | EXPD | Meeting Type: | Annual |
| ISIN: | US3021301094 | Meeting Date: | 04-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1.1 | Election of Director: Robert R. Wright | Mgmt | For | For |
| 1.2 | Election of Director: Glenn M. Alger | Mgmt | For | For |
| 1.3 | Election of Director: Robert P. Carlile | Mgmt | For | For |
| 1.4 | Election of Director: James M. DuBois | Mgmt | For | For |
| 1.5 | Election of Director: Mark A. Emmert | Mgmt | For | For |
| 1.6 | Election of Director: Diane H. Gulyas | Mgmt | For | For |
| 1.7 | Election of Director: Jeffrey S. Musser | Mgmt | For | For |
| 1.8 | Election of Director: Liane J. Pelletier | Mgmt | For | For |
| 2. | Advisory Vote to Approve Named Executive | Mgmt | For | For |
| Officer Compensation. | ||||
| 3. | Ratification of Independent Registered Public | Mgmt | For | For |
| Accounting Firm. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 66 of 192 |
Unassigned
| FASTENAL COMPANY | |||
| Security: | 311900104 | Agenda Number: | 935342270 |
| Ticker: | FAST | Meeting Type: | Annual |
| ISIN: | US3119001044 | Meeting Date: | 24-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Scott A. Satterlee | Mgmt | For | For |
| 1B. | Election of Director: Michael J. Ancius | Mgmt | For | For |
| 1C. | Election of Director: Stephen L. Eastman | Mgmt | For | For |
| 1D. | Election of Director: Daniel L. Florness | Mgmt | For | For |
| 1E. | Election of Director: Rita J. Heise | Mgmt | For | For |
| 1F. | Election of Director: Hsenghung Sam Hsu | Mgmt | For | For |
| 1G. | Election of Director: Daniel L. Johnson | Mgmt | For | For |
| 1H. | Election of Director: Nicholas J. Lundquist | Mgmt | For | For |
| 1I. | Election of Director: Reyne K. Wisecup | Mgmt | For | For |
| 2. | Ratification of the appointment of KPMG LLP | Mgmt | For | For |
| as independent registered public accounting | ||||
| firm for the 2021 fiscal year. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 67 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 3. | Approval, by non-binding vote, of executive | Mgmt | For | For |
| compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 68 of 192 |
Unassigned
| GARMIN LTD | |||
| Security: | H2906T109 | Agenda Number: | 935402507 |
| Ticker: | GRMN | Meeting Type: | Annual |
| ISIN: | CH0114405324 | Meeting Date: | 04-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1. | Approval of Garmin's 2020 Annual Report, | Mgmt | For | For |
| including the consolidated financial | ||||
| statements of Garmin for the fiscal year | ||||
| ended December 26, 2020 and the statutory | ||||
| financial statements of Garmin for the fiscal | ||||
| year ended December 26, 2020. | ||||
| 2. | Approval of the appropriation of available | Mgmt | For | For |
| earnings. | ||||
| 3. | Approval of the payment of a cash dividend in | Mgmt | For | For |
| the aggregate amount of U.S. $2.68 per | ||||
| outstanding share out of Garmin's reserve | ||||
| from capital contribution in four equal | ||||
| installments. | ||||
| 4. | Discharge of the members of the Board of | Mgmt | For | For |
| Directors and the Executive Management | ||||
| from liability for the fiscal year ended | ||||
| December 26, 2020. | ||||
| 5A. | Re-election of Director: Jonathan C. Burrell | Mgmt | For | For |
| 5B. | Re-election of Director: Joseph J. Hartnett | Mgmt | For | For |
| 5C. | Re-election of Director: Min H. Kao | Mgmt | For | For |
| 5D. | Re-election of Director: Catherine A. Lewis | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 69 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 5E. | Re-election of Director: Charles W. Peffer | Mgmt | For | For |
| 5F. | Re-election of Director: Clifton A. Pemble | Mgmt | For | For |
| 6. | Re-election of Min H. Kao as Executive | Mgmt | Against | Against |
| Chairman of the Board of Directors. | ||||
| 7A. | Re-election of Compensation Committee | Mgmt | Against | Against |
| member: Jonathan C. Burrell | ||||
| 7B. | Re-election of Compensation Committee | Mgmt | For | For |
| member: Joseph J. Hartnett | ||||
| 7C. | Re-election of Compensation Committee | Mgmt | For | For |
| member: Catherine A. Lewis | ||||
| 7D. | Re-election of Compensation Committee | Mgmt | For | For |
| member: Charles W. Peffer | ||||
| 8. | Re-election of the law firm Wuersch & Gering | Mgmt | For | For |
| LLP as independent voting rights | ||||
| representative. | ||||
| 9. | Ratification of the appointment of Ernst & | Mgmt | For | For |
| Young LLP as Garmin's Independent | ||||
| Registered Public Accounting Firm for the | ||||
| fiscal year ending December 25, 2021 and re- | ||||
| election of Ernst & Young Ltd as Garmin's | ||||
| statutory auditor for another one-year term. |
| 10. | Advisory vote on executive compensation. | Mgmt | For | For |
| 11. | Binding vote to approve Fiscal Year 2022 | Mgmt | For | For |
| maximum aggregate compensation for the | ||||
| Executive Management. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 70 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 12. | Binding vote to approve maximum aggregate | Mgmt | For | For |
| compensation for the Board of Directors for | ||||
| the period between the 2021 Annual General | ||||
| Meeting and the 2022 Annual General | ||||
| Meeting. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 71 of 192 | ||||
Unassigned
| GENERAL DYNAMICS CORPORATION | |||
| Security: | 369550108 | Agenda Number: | 935359338 |
| Ticker: | GD | Meeting Type: | Annual |
| ISIN: | US3695501086 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: James S. Crown | Mgmt | For | For |
| 1B. | Election of Director: Rudy F. deLeon | Mgmt | For | For |
| 1C. | Election of Director: Cecil D. Haney | Mgmt | For | For |
| 1D. | Election of Director: Mark M. Malcolm | Mgmt | For | For |
| 1E. | Election of Director: James N. Mattis | Mgmt | For | For |
| 1F. | Election of Director: Phebe N. Novakovic | Mgmt | For | For |
| 1G. | Election of Director: C. Howard Nye | Mgmt | For | For |
| 1H. | Election of Director: Catherine B. Reynolds | Mgmt | For | For |
| 1I. | Election of Director: Laura J. Schumacher | Mgmt | For | For |
| 1J. | Election of Director: Robert K. Steel | Mgmt | For | For |
| 1K. | Election of Director: John G. Stratton | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 72 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Peter A. Wall | Mgmt | For | For |
| 2. | Advisory Vote on the Selection of Independent Auditors. | Mgmt | For | For |
| 3. | Advisory Vote to approve Executive Compensation. | Mgmt | For | For |
| 4. | Shareholder Proposal to reduce the ownership threshold required to call a Special Shareholder meeting. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 73 of 192 | ||||
Unassigned
| HONEYWELL INTERNATIONAL INC. | |||
| Security: | 438516106 | Agenda Number: | 935374861 |
| Ticker: | HON | Meeting Type: | Annual |
| ISIN: | US4385161066 | Meeting Date: | 21-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Darius Adamczyk | Mgmt | For | For |
| 1B. | Election of Director: Duncan B. Angove | Mgmt | For | For |
| 1C. | Election of Director: William S. Ayer | Mgmt | For | For |
| 1D. | Election of Director: Kevin Burke | Mgmt | For | For |
| 1E. | Election of Director: D. Scott Davis | Mgmt | For | For |
| 1F. | Election of Director: Deborah Flint | Mgmt | For | For |
| 1G. | Election of Director: Judd Gregg | Mgmt | For | For |
| 1H. | Election of Director: Grace D. Lieblein | Mgmt | For | For |
| 1I. | Election of Director: Raymond T. Odierno | Mgmt | For | For |
| 1J. | Election of Director: George Paz | Mgmt | For | For |
| 1K. | Election of Director: Robin L. Washington | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 74 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Advisory Vote to Approve Executive Compensation. | Mgmt | For | For |
| 3. | Approval of Independent Accountants. | Mgmt | For | For |
| 4. | Shareholder Right To Act By Written Consent. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 75 of 192 | ||||
Unassigned
| HORMEL FOODS CORPORATION | |||
| Security: | 440452100 | Agenda Number: | 935315564 |
| Ticker: | HRL | Meeting Type: | Annual |
| ISIN: | US4404521001 | Meeting Date: | 26-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Prama Bhatt | Mgmt | For | For |
| 1b. | Election of Director: Gary C. Bhojwani | Mgmt | For | For |
| 1c. | Election of Director: Terrell K. Crews | Mgmt | For | For |
| 1d. | Election of Director: Stephen M. Lacy | Mgmt | For | For |
| 1e. | Election of Director: Elsa A. Murano, Ph.D. | Mgmt | For | For |
| 1f. | Election of Director: Susan K. Nestegard | Mgmt | For | For |
| 1g. | Election of Director: William A. Newlands | Mgmt | For | For |
| 1h. | Election of Director: Christopher J. Policinski | Mgmt | For | For |
| 1i. | Election of Director: Jose Luis Prado | Mgmt | For | For |
| 1j. | Election of Director: Sally J. Smith | Mgmt | For | For |
| 1k. | Election of Director: James P. Snee | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 76 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1l. | Election of Director: Steven A. White | Mgmt | For | For |
| 2. | Ratify the appointment by the Audit Committee of the Board of Directors of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending October 31, 2021. | Mgmt | For | For |
| 3. | Approve the Named Executive Officer compensation as disclosed in the Company’s 2021 annual meeting proxy statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 77 of 192 | ||||
Unassigned
| IDEX CORPORATION | |||
| Security: | 45167R104 | Agenda Number: | 935361484 |
| Ticker: | IEX | Meeting Type: | Annual |
| ISIN: | US45167R1041 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director for a term of three years: WILLIAM M. COOK | Mgmt | For | For |
| 1B. | Election of Director for a term of three years: MARK A. BUTHMAN | Mgmt | For | For |
| 1C. | Election of Director for a term of three years: LAKECIA N. GUNTER | Mgmt | For | For |
| 2. | Advisory vote to approve named executive officer compensation. | Mgmt | For | For |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as our independent registered accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 78 of 192 | ||||
Unassigned
| ILLINOIS TOOL WORKS INC. | |||
| Security: | 452308109 | Agenda Number: | 935361509 |
| Ticker: | ITW | Meeting Type: | Annual |
| ISIN: | US4523081093 | Meeting Date: | 07-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Daniel J. Brutto | Mgmt | For | For |
| 1B. | Election of Director: Susan Crown | Mgmt | For | For |
| 1C. | Election of Director: Darrell L. Ford | Mgmt | For | For |
| 1D. | Election of Director: James W. Griffith | Mgmt | For | For |
| 1E. | Election of Director: Jay L. Henderson | Mgmt | For | For |
| 1F. | Election of Director: Richard H. Lenny | Mgmt | For | For |
| 1G. | Election of Director: E. Scott Santi | Mgmt | For | For |
| 1H. | Election of Director: David B. Smith, Jr. | Mgmt | For | For |
| 1I. | Election of Director: Pamela B. Strobel | Mgmt | For | For |
| 1J. | Election of Director: Anré D. Williams | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 79 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as ITW’s independent registered public accounting firm for 2021. | Mgmt | For | For |
| 3. | Advisory vote to approve compensation of ITW’s named executive officers. | Mgmt | For | For |
| 4. | A non-binding stockholder proposal, if properly presented at the meeting, to permit stockholders to act by written consent. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 80 of 192 | ||||
Unassigned
| INTEL CORPORATION | |||
| Security: | 458140100 | Agenda Number: | 935369012 |
| Ticker: | INTC | Meeting Type: | Annual |
| ISIN: | US4581401001 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Patrick P. Gelsinger | Mgmt | For | For |
| 1B. | Election of Director: James J. Goetz | Mgmt | For | For |
| 1C. | Election of Director: Alyssa Henry | Mgmt | For | For |
| 1D. | Election of Director: Omar Ishrak | Mgmt | For | For |
| 1E. | Election of Director: Risa Lavizzo-Mourey | Mgmt | For | For |
| 1F. | Election of Director: Tsu-Jae King Liu | Mgmt | For | For |
| 1G. | Election of Director: Gregory D. Smith | Mgmt | For | For |
| 1H. | Election of Director: Dion J. Weisler | Mgmt | For | For |
| 1I. | Election of Director: Frank D. Yeary | Mgmt | For | For |
| 2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 81 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | Advisory vote to approve executive compensation of our listed officers. | Mgmt | Against | Against |
| 4. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. | Shr | Against | For |
| 5. | Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. | Shr | Against | For |
| 6. | Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 82 of 192 | ||||
Unassigned
| INTERNATIONAL BUSINESS MACHINES CORP. | |||
| Security: | 459200101 | Agenda Number: | 935346949 |
| Ticker: | IBM | Meeting Type: | Annual |
| ISIN: | US4592001014 | Meeting Date: | 27-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director for one year term: Thomas Buberl | Mgmt | For | For |
| 1B. | Election of Director for one year term: Michael L. Eskew | Mgmt | For | For |
| 1C. | Election of Director for one year term: David N. Farr | Mgmt | For | For |
| 1D. | Election of Director for one year term: Alex Gorsky | Mgmt | For | For |
| 1E. | Election of Director for one year term: Michelle J. Howard | Mgmt | For | For |
| 1F. | Election of Director for one year term: Arvind Krishna | Mgmt | For | For |
| 1G. | Election of Director for one year term: Andrew N. Liveris | Mgmt | For | For |
| 1H. | Election of Director for one year term: F. William McNabb III | Mgmt | For | For |
| 1I. | Election of Director for one year term: Martha E. Pollack | Mgmt | For | For |
| 1J. | Election of Director for one year term: Joseph R. Swedish | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 83 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director for one year term: Peter R. Voser | Mgmt | For | For |
| 1L. | Election of Director for one year term: Frederick H. Waddell | Mgmt | For | For |
| 2. | Ratification of Appointment of Independent Registered Public Accounting Firm. | Mgmt | For | For |
| 3. | Advisory Vote on Executive Compensation. | Mgmt | Against | Against |
| 4. | Stockholder Proposal to Have an Independent Board Chairman. | Shr | Against | For |
| 5. | Stockholder Proposal on the Right to Act by Written Consent. | Shr | For | Against |
| 6. | Stockholder Proposal Requesting the Company Publish Annually a Report Assessing its Diversity, Equity and Inclusion Efforts. | Shr | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 84 of 192 | ||||
Unassigned
| INTUIT INC. | |||
| Security: | 461202103 | Agenda Number: | 935313217 |
| Ticker: | INTU | Meeting Type: | Annual |
| ISIN: | US4612021034 | Meeting Date: | 21-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Eve Burton | Mgmt | For | For |
| 1b. | Election of Director: Scott D. Cook | Mgmt | For | For |
| 1c. | Election of Director: Richard L. Dalzell | Mgmt | For | For |
| 1d. | Election of Director: Sasan K. Goodarzi | Mgmt | For | For |
| 1e. | Election of Director: Deborah Liu | Mgmt | For | For |
| 1f. | Election of Director: Tekedra Mawakana | Mgmt | For | For |
| 1g. | Election of Director: Suzanne Nora Johnson | Mgmt | For | For |
| 1h. | Election of Director: Dennis D. Powell | Mgmt | For | For |
| 1i. | Election of Director: Brad D. Smith | Mgmt | For | For |
| 1j. | Election of Director: Thomas Szkutak | Mgmt | For | For |
| 1k. | Election of Director: Raul Vazquez | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 85 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1l. | Election of Director: Jeff Weiner | Mgmt | For | For |
| 2. | Advisory vote to approve Intuit’s executive compensation (say-on-pay). | Mgmt | For | For |
| 3. | Ratification of the selection of Ernst & Young LLP as Intuit’s independent registered public accounting firm for the fiscal year ending July 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 86 of 192 | ||||
Unassigned
| JACK HENRY & ASSOCIATES, INC. | |||
| Security: | 426281101 | Agenda Number: | 935282006 |
| Ticker: | JKHY | Meeting Type: | Annual |
| ISIN: | US4262811015 | Meeting Date: | 17-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | M. Flanigan | Mgmt | For | For | |
| 2 | J. Prim | Mgmt | For | For | |
| 3 | T. Wilson | Mgmt | For | For | |
| 4 | J. Fiegel | Mgmt | For | For | |
| 5 | T. Wimsett | Mgmt | For | For | |
| 6 | L. Kelly | Mgmt | For | For | |
| 7 | S. Miyashiro | Mgmt | For | For | |
| 8 | W. Brown | Mgmt | For | For | |
| 9 | D. Foss | Mgmt | For | For | |
| 2. | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 87 of 192 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | To approve an amendment to our certificate of incorporation to remove a supermajority voting standard for stockholder approval of an acquisition of the company by another person or entity. | Mgmt | For | For |
| 4. | To ratify the selection of the Company’s independent registered public accounting firm. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 88 of 192 |
Unassigned
| JOHNSON & JOHNSON | |||
| Security: | 478160104 | Agenda Number: | 935345214 |
| Ticker: | JNJ | Meeting Type: | Annual |
| ISIN: | US4781601046 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Mary C. Beckerle | Mgmt | For | For | |
| 1B. | Election of Director: D. Scott Davis | Mgmt | For | For | |
| 1C. | Election of Director: Ian E. L. Davis | Mgmt | For | For | |
| 1D. | Election of Director: Jennifer A. Doudna | Mgmt | For | For | |
| 1E. | Election of Director: Alex Gorsky | Mgmt | For | For | |
| 1F. | Election of Director: Marillyn A. Hewson | Mgmt | For | For | |
| 1G. | Election of Director: Hubert Joly | Mgmt | For | For | |
| 1H. | Election of Director: Mark B. McClellan | Mgmt | For | For | |
| 1I. | Election of Director: Anne M. Mulcahy | Mgmt | For | For | |
| 1J. | Election of Director: Charles Prince | Mgmt | For | For | |
| 1K. | Election of Director: A. Eugene Washington | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 89 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Mark A. Weinberger | Mgmt | For | For | |
| 1M. | Election of Director: Nadja Y. West | Mgmt | For | For | |
| 1N. | Election of Director: Ronald A. Williams | Mgmt | For | For | |
| 2. | Advisory Vote to Approve Named Executive | Mgmt | Against | Against | |
| Officer Compensation. | |||||
| 3. | Ratification of Appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| Independent Registered Public Accounting | |||||
| Firm for 2021. | |||||
| 4. | Report on Government Financial Support and | Shr | Against | For | |
| Access to COVID-19 Vaccines and | |||||
| Therapeutics. | |||||
| 5. | Independent Board Chair. | Shr | Against | For | |
| 6. | Civil Rights Audit. | Shr | For | Against | |
| 7. | Executive Compensation Bonus Deferral. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 90 of 192 |
Unassigned
| JPMORGAN CHASE & CO. | |||
| Security: | 46625H100 | Agenda Number: | 935372285 |
| Ticker: | JPM | Meeting Type: | Annual |
| ISIN: | US46625H1005 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Linda B. Bammann | Mgmt | For | For | |
| 1B. | Election of Director: Stephen B. Burke | Mgmt | For | For | |
| 1C. | Election of Director: Todd A. Combs | Mgmt | For | For | |
| 1D. | Election of Director: James S. Crown | Mgmt | For | For | |
| 1E. | Election of Director: James Dimon | Mgmt | For | For | |
| 1F. | Election of Director: Timothy P. Flynn | Mgmt | For | For | |
| 1G. | Election of Director: Mellody Hobson | Mgmt | For | For | |
| 1H. | Election of Director: Michael A. Neal | Mgmt | For | For | |
| 1I. | Election of Director: Phebe N. Novakovic | Mgmt | For | For | |
| 1J. | Election of Director: Virginia M. Rometty | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 91 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Advisory resolution to approve executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | Approval of Amended and Restated Long- | Mgmt | For | For | |
| Term Incentive Plan effective May 18, 2021. | |||||
| 4. | Ratification of independent registered public | Mgmt | For | For | |
| accounting firm. | |||||
| 5. | Improve shareholder written consent. | Shr | For | Against | |
| 6. | Racial equity audit and report. | Shr | For | Against | |
| 7. | Independent board chairman. | Shr | Against | For | |
| 8. | Political and electioneering expenditure | Shr | Against | For | |
| congruency report. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 92 of 192 |
Unassigned
| KELLOGG COMPANY | |||
| Security: | 487836108 | Agenda Number: | 935348359 |
| Ticker: | K | Meeting Type: | Annual |
| ISIN: | US4878361082 | Meeting Date: | 30-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director (term expires 2024): | Mgmt | For | For | |
| Carter Cast | |||||
| 1B. | Election of Director (term expires 2024): Zack | Mgmt | For | For | |
| Gund | |||||
| 1C. | Election of Director (term expires 2024): Don | Mgmt | For | For | |
| Knauss | |||||
| 1D. | Election of Director (term expires 2024): Mike Schlotman | Mgmt | For | For | |
| 2. | Advisory resolution to approve executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as Kellogg’s | |||||
| independent registered public accounting firm | |||||
| for fiscal year 2021. | |||||
| 4. | Management proposal to reduce | Mgmt | For | For | |
| supermajority vote requirements. | |||||
| 5. | Shareowner proposal, if properly presented at | Shr | For | ||
| the meeting, to adopt shareowner right to call | |||||
| a special meeting. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 93 of 192 |
Unassigned
| KIMBERLY-CLARK CORPORATION | |||
| Security: | 494368103 | Agenda Number: | 935343272 |
| Ticker: | KMB | Meeting Type: | Annual |
| ISIN: | US4943681035 | Meeting Date: | 29-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: John W. Culver | Mgmt | For | For | |
| 1B. | Election of Director: Robert W. Decherd | Mgmt | For | For | |
| 1C. | Election of Director: Michael D. Hsu | Mgmt | For | For | |
| 1D. | Election of Director: Mae C. Jemison, M.D. | Mgmt | For | For | |
| 1E. | Election of Director: S. Todd Maclin | Mgmt | For | For | |
| 1F. | Election of Director: Sherilyn S. McCoy | Mgmt | For | For | |
| 1G. | Election of Director: Christa S. Quarles | Mgmt | For | For | |
| 1H. | Election of Director: Ian C. Read | Mgmt | For | For | |
| 1I. | Election of Director: Dunia A. Shive | Mgmt | For | For | |
| 1J. | Election of Director: Mark T. Smucker | Mgmt | For | For | |
| 1K. | Election of Director: Michael D. White | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 94 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Ratification of Auditor. | Mgmt | For | For | |
| 3. | Advisory Vote to Approve Named Executive | Mgmt | For | For | |
| Officer Compensation. | |||||
| 4. | Approval of 2021 Equity Participation Plan. | Mgmt | For | For | |
| 5. | Approval of 2021 Outside Directors’ | Mgmt | For | For | |
| Compensation Plan. | |||||
| 6. | Reduce Ownership Threshold required to call | Mgmt | For | For | |
| a Special Meeting of Stockholders. | |||||
| 7. | Stockholder Proposal Regarding Right to Act | Shr | Against | For | |
| by Written Consent. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 95 of 192 |
Unassigned
| L3HARRIS TECHNOLOGIES INC. | |||
| Security: | 502431109 | Agenda Number: | 935345694 |
| Ticker: | LHX | Meeting Type: | Annual |
| ISIN: | US5024311095 | Meeting Date: | 23-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Sallie | |||||
| B. Bailey | |||||
| 1B. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: | |||||
| William M. Brown | |||||
| 1C. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Peter | |||||
| W. Chiarelli | |||||
| 1D. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: | |||||
| Thomas A. Corcoran | |||||
| 1E. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: | |||||
| Thomas A. Dattilo | |||||
| 1F. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Roger | |||||
| B. Fradin | |||||
| 1G. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Lewis | |||||
| Hay III | |||||
| 1H. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Lewis | |||||
| Kramer |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 96 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1I. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: | |||||
| Christopher E. Kubasik | |||||
| 1J. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Rita S. | |||||
| Lane | |||||
| 1K. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Robert | |||||
| B. Millard | |||||
| 1L. | Election of Director for a Term Expiring at the | Mgmt | For | For | |
| 2022 Annual Meeting of Shareholders: Lloyd | |||||
| W. Newton | |||||
| 2. | Approval, in an Advisory Vote, of the | Mgmt | For | For | |
| Compensation of Named Executive Officers | |||||
| as Disclosed in the Proxy Statement. | |||||
| 3. | Ratification of Appointment of Ernst & | Mgmt | For | For | |
| Young LLP as Independent Registered | |||||
| Public Accounting Firm for Fiscal Year 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 97 of 192 |
Unassigned
| LOCKHEED MARTIN CORPORATION | |||
| Security: | 539830109 | Agenda Number: | 935349933 |
| Ticker: | LMT | Meeting Type: | Annual |
| ISIN: | US5398301094 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Daniel F. Akerson | Mgmt | For | For | |
| 1B. | Election of Director: David B. Burritt | Mgmt | For | For | |
| 1C. | Election of Director: Bruce A. Carlson | Mgmt | For | For | |
| 1D. | Election of Director: Joseph F. Dunford, Jr. | Mgmt | For | For | |
| 1E. | Election of Director: James O. Ellis, Jr. | Mgmt | For | For | |
| 1F. | Election of Director: Thomas J. Falk | Mgmt | For | For | |
| 1G. | Election of Director: Ilene S. Gordon | Mgmt | For | For | |
| 1H. | Election of Director: Vicki A. Hollub | Mgmt | For | For | |
| 1I. | Election of Director: Jeh C. Johnson | Mgmt | For | For | |
| 1J. | Election of Director: Debra L. Reed-Klages | Mgmt | For | For | |
| 1K. | Election of Director: James D. Taiclet | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 98 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Ratification of Appointment of Ernst & | Mgmt | For | For | |
| Young LLP as Independent Auditors for 2021. | |||||
| 3. | Advisory Vote to Approve the Compensation | Mgmt | For | For | |
| of our Named Executive Officers (Say-on- | |||||
| Pay). | |||||
| 4. | Stockholder Proposal to Adopt Stockholder | Shr | For | Against | |
| Action By Written Consent. | |||||
| 5. | Stockholder Proposal to issue a Report on | Shr | Against | For | |
| Human Rights Due Diligence. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 99 of 192 |
Unassigned
| LOWE’S COMPANIES, INC. | |||
| Security: | 548661107 | Agenda Number: | 935387729 |
| Ticker: | LOW | Meeting Type: | Annual |
| ISIN: | US5486611073 | Meeting Date: | 28-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Raul Alvarez | Mgmt | For | For | ||
| 2 | David H. Batchelder | Mgmt | For | For | ||
| 3 | Angela F. Braly | Mgmt | For | For | ||
| 4 | Sandra B. Cochran | Mgmt | For | For | ||
| 5 | Laurie Z. Douglas | Mgmt | For | For | ||
| 6 | Richard W. Dreiling | Mgmt | For | For | ||
| 7 | Marvin R. Ellison | Mgmt | For | For | ||
| 8 | Daniel J. Heinrich | Mgmt | For | For | ||
| 9 | Brian C. Rogers | Mgmt | For | For | ||
| 10 | Bertram L. Scott | Mgmt | For | For | ||
| 11 | Mary Beth West | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 100 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Advisory vote to approve Lowe’s named | Mgmt | For | For | |
| executive officer compensation in fiscal 2020. | |||||
| 3. | Ratification of the appointment of Deloitte & | Mgmt | For | For | |
| Touche LLP as Lowe’s independent | |||||
| registered public accounting firm for fiscal | |||||
| 2021. | |||||
| 4. | Shareholder proposal regarding amending the | Shr | Against | For | |
| Company’s proxy access bylaw to remove | |||||
| shareholder aggregation limits. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 101 of 192 |
Unassigned
| MARSH & MCLENNAN COMPANIES, INC. | |||
| Security: | 571748102 | Agenda Number: | 935372817 |
| Ticker: | MMC | Meeting Type: | Annual |
| ISIN: | US5717481023 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Anthony K. Anderson | Mgmt | For | For | |
| 1B. | Election of Director: Oscar Fanjul | Mgmt | For | For | |
| 1C. | Election of Director: Daniel S. Glaser | Mgmt | For | For | |
| 1D. | Election of Director: H. Edward Hanway | Mgmt | For | For | |
| 1E. | Election of Director: Deborah C. Hopkins | Mgmt | For | For | |
| 1F. | Election of Director: Tamara Ingram | Mgmt | For | For | |
| 1G. | Election of Director: Jane H. Lute | Mgmt | For | For | |
| 1H. | Election of Director: Steven A. Mills | Mgmt | For | For | |
| 1I. | Election of Director: Bruce P. Nolop | Mgmt | For | For | |
| 1J. | Election of Director: Marc D. Oken | Mgmt | For | For | |
| 1K. | Election of Director: Morton O. Schapiro | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 102 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Lloyd M. Yates | Mgmt | For | For | |
| 1M. | Election of Director: R. David Yost | Mgmt | For | For | |
| 2. | Advisory (Nonbinding) Vote to Approve | Mgmt | For | For | |
| Named Executive Officer Compensation. | |||||
| 3. | Ratification of Selection of Independent | Mgmt | For | For | |
| Registered Public Accounting Firm. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 103 of 192 |
Unassigned
| MASTERCARD INCORPORATED | |||
| Security: | 57636Q104 | Agenda Number: | 935420644 |
| Ticker: | MA | Meeting Type: | Annual |
| ISIN: | US57636Q1040 | Meeting Date: | 22-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Ajay Banga | Mgmt | For | For | |
| 1B. | Election of Director: Merit E. Janow | Mgmt | For | For | |
| 1C. | Election of Director: Richard K. Davis | Mgmt | For | For | |
| 1D. | Election of Director: Steven J. Freiberg | Mgmt | For | For | |
| 1E. | Election of Director: Julius Genachowski | Mgmt | For | For | |
| 1F. | Election of Director: Choon Phong Goh | Mgmt | For | For | |
| 1G. | Election of Director: Oki Matsumoto | Mgmt | For | For | |
| 1H. | Election of Director: Michael Miebach | Mgmt | For | For | |
| 1I. | Election of Director: Youngme Moon | Mgmt | For | For | |
| 1J. | Election of Director: Rima Qureshi | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 104 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1K. | Election of Director: José Octavio Reyes | Mgmt | For | For | |
| Lagunes | |||||
| 1L. | Election of Director: Gabrielle Sulzberger | Mgmt | For | For | |
| 1M. | Election of Director: Jackson Tai | Mgmt | For | For | |
| 1N. | Election of Director: Lance Uggla | Mgmt | For | For | |
| 2. | Advisory approval of Mastercard’s executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| independent registered public accounting firm | |||||
| for Mastercard for 2021. | |||||
| 4. | Approval of the amendment and restatement | Mgmt | For | For | |
| of the Mastercard Incorporated 2006 Long | |||||
| Term Incentive Plan. | |||||
| 5. | Approval of the amendment and restatement | Mgmt | For | For | |
| of the Mastercard Incorporated 2006 Non- | |||||
| Employee Director Equity Compensation | |||||
| Plan. | |||||
| 6. | Approval of amendments to Mastercard’s | Mgmt | For | For | |
| Certificate of Incorporation to remove | |||||
| supermajority voting requirements. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 105 of 192 |
Unassigned
| MCDONALD’S CORPORATION | |||
| Security: | 580135101 | Agenda Number: | 935380395 |
| Ticker: | MCD | Meeting Type: | Annual |
| ISIN: | US5801351017 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Lloyd Dean | |||||
| 1B. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Robert Eckert | |||||
| 1C. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Catherine Engelbert | |||||
| 1D. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Margaret Georgiadis | |||||
| 1E. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Enrique Hernandez, Jr. | |||||
| 1F. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Christopher Kempczinski | |||||
| 1G. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Richard Lenny | |||||
| 1H. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: John Mulligan | |||||
| 1I. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Sheila Penrose | |||||
| 1J. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: John Rogers, Jr. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 106 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1K. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Paul Walsh | |||||
| 1L. | Election of Director for a one-year term | Mgmt | For | For | |
| expiring in 2022: Miles White | |||||
| 2. | Advisory vote to approve executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | Advisory vote to ratify the appointment of | Mgmt | For | For | |
| Ernst & Young LLP as independent auditor for | |||||
| 2021. | |||||
| 4. | Advisory vote on a shareholder proposal | Shr | Against | For | |
| requesting a report on sugar and public | |||||
| health, if properly presented. | |||||
| 5. | Advisory vote on a shareholder proposal | Shr | Against | For | |
| requesting a report on antibiotics and public | |||||
| health costs, if properly presented. | |||||
| 6. | Advisory vote on a shareholder proposal | Shr | For | Against | |
| requesting the ability for shareholders to act | |||||
| by written consent, if properly presented. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 107 of 192 |
Unassigned
| MEDTRONIC PLC | |||
| Security: | G5960L103 | Agenda Number: | 935288286 |
| Ticker: | MDT | Meeting Type: | Annual |
| ISIN: | IE00BTN1Y115 | Meeting Date: | 11-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Richard H. Anderson | Mgmt | For | For | |
| 1B. | Election of Director: Craig Arnold | Mgmt | For | For | |
| 1C. | Election of Director: Scott C. Donnelly | Mgmt | For | For | |
| 1D. | Election of Director: Andrea J. Goldsmith, | Mgmt | For | For | |
| Ph.D. | |||||
| 1E. | Election of Director: Randall J. Hogan, III | Mgmt | For | For | |
| 1F. | Election of Director: Michael O. Leavitt | Mgmt | For | For | |
| 1G. | Election of Director: James T. Lenehan | Mgmt | For | For | |
| 1H. | Election of Director: Kevin E. Lofton | Mgmt | For | For | |
| 1I. | Election of Director: Geoffrey S. Martha | Mgmt | For | For | |
| 1J. | Election of Director: Elizabeth G. Nabel, M.D. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 108 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1K. | Election of Director: Denise M. O’Leary | Mgmt | For | For | |
| 1L. | Election of Director: Kendall J. Powell | Mgmt | For | For | |
| 2. | To ratify, in a non-binding vote, the | Mgmt | For | For | |
| appointment of PricewaterhouseCoopers LLP | |||||
| as the Company’s independent auditor for | |||||
| fiscal year 2021 and to authorize, in a binding | |||||
| vote, the Board of Directors, acting through | |||||
| the Audit Committee, to set the auditor’s | |||||
| remuneration. | |||||
| 3. | To approve, in a non-binding advisory vote, | Mgmt | For | For | |
| named executive officer compensation (a | |||||
| “Say-on-Pay” vote). | |||||
| 4. | To renew the Board’s authority to issue | Mgmt | For | For | |
| shares. | |||||
| 5. | To renew the Board’s authority to opt out of | Mgmt | For | For | |
| pre-emption rights. | |||||
| 6. | Authorizing the Company and any subsidiary | Mgmt | For | For | |
| of the Company to make overseas market | |||||
| purchases of Medtronic ordinary shares. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 109 of 192 |
Unassigned
| MERCK & CO., INC. | |||
| Security: | 58933Y105 | Agenda Number: | 935381044 |
| Ticker: | MRK | Meeting Type: | Annual |
| ISIN: | US58933Y1055 | Meeting Date: | 25-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Leslie A. Brun | Mgmt | For | For | |
| 1B. | Election of Director: Mary Ellen Coe | Mgmt | For | For | |
| 1C. | Election of Director: Pamela J. Craig | Mgmt | For | For | |
| 1D. | Election of Director: Kenneth C. Frazier | Mgmt | For | For | |
| 1E. | Election of Director: Thomas H. Glocer | Mgmt | For | For | |
| 1F. | Election of Director: Risa J. Lavizzo-Mourey | Mgmt | For | For | |
| 1G. | Election of Director: Stephen L. Mayo | Mgmt | For | For | |
| 1H. | Election of Director: Paul B. Rothman | Mgmt | For | For | |
| 1I. | Election of Director: Patricia F. Russo | Mgmt | For | For | |
| 1J. | Election of Director: Christine E. Seidman | Mgmt | For | For | |
| 1K. | Election of Director: Inge G. Thulin | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 110 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Kathy J. Warden | Mgmt | For | For | |
| 1M. | Election of Director: Peter C. Wendell | Mgmt | For | For | |
| 2. | Non-binding advisory vote to approve the | Mgmt | For | For | |
| compensation of our named executive | |||||
| officers. | |||||
| 3. | Ratification of the appointment of the | Mgmt | For | For | |
| Company’s independent registered public | |||||
| accounting firm for 2021. | |||||
| 4. | Shareholder proposal concerning a | Shr | Against | For | |
| shareholder right to act by written consent. | |||||
| 5. | Shareholder proposal regarding access to | Shr | Against | For | |
| COVID-19 products. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 111 of 192 |
Unassigned
| MICROSOFT CORPORATION | |||
| Security: | 594918104 | Agenda Number: | 935284478 |
| Ticker: | MSFT | Meeting Type: | Annual |
| ISIN: | US5949181045 | Meeting Date: | 02-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Reid G. Hoffman | Mgmt | For | For | |
| 1B. | Election of Director: Hugh F. Johnston | Mgmt | For | For | |
| 1C. | Election of Director: Teri L. List-Stoll | Mgmt | For | For | |
| 1D. | Election of Director: Satya Nadella | Mgmt | For | For | |
| 1E. | Election of Director: Sandra E. Peterson | Mgmt | For | For | |
| 1F. | Election of Director: Penny S. Pritzker | Mgmt | For | For | |
| 1G. | Election of Director: Charles W. Scharf | Mgmt | For | For | |
| 1H. | Election of Director: Arne M. Sorenson | Mgmt | For | For | |
| 1I. | Election of Director: John W. Stanton | Mgmt | For | For | |
| 1J. | Election of Director: John W. Thompson | Mgmt | For | For | |
| 1K. | Election of Director: Emma N. Walmsley | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 112 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Padmasree Warrior | Mgmt | For | For | |
| 2. | Advisory vote to approve named executive | Mgmt | For | For | |
| officer compensation. | |||||
| 3. | Ratification of Deloitte & Touche LLP as our | Mgmt | For | For | |
| independent auditor for fiscal year 2021. | |||||
| 4. | Shareholder Proposal - Report on Employee | Shr | Against | For | |
| Representation on Board of Directors. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 113 of 192 |
Unassigned
| MONDELEZ INTERNATIONAL, INC. | |||
| Security: | 609207105 | Agenda Number: | 935357360 |
| Ticker: | MDLZ | Meeting Type: | Annual |
| ISIN: | US6092071058 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Lewis W.K. Booth | Mgmt | For | For |
| 1B. | Election of Director: Charles E. Bunch | Mgmt | For | For |
| 1C. | Election of Director: Lois D. Juliber | Mgmt | For | For |
| 1D. | Election of Director: Peter W. May | Mgmt | For | For |
| 1E. | Election of Director: Jorge S. Mesquita | Mgmt | For | For |
| 1F. | Election of Director: Jane H. Nielsen | Mgmt | For | For |
| 1G. | Election of Director: Fredric G. Reynolds | Mgmt | For | For |
| 1H. | Election of Director: Christiana S. Shi | Mgmt | For | For |
| 1I. | Election of Director: Patrick T. Siewert | Mgmt | For | For |
| 1J. | Election of Director: Michael A. Todman | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 114 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director: Jean-François M. L. van Boxmeer | Mgmt | For | For |
| 1L. | Election of Director: Dirk Van de Put | Mgmt | For | For |
| 2. | Advisory Vote to Approve Executive Compensation. | Mgmt | For | For |
| 3. | Ratification of PricewaterhouseCoopers LLP as Independent Registered Public Accountants for Fiscal Year Ending December 31, 2021. | Mgmt | For | For |
| 4. | Consider Employee Pay in Setting Chief Executive Officer Pay. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 115 of 192 |
Unassigned
| MOODY’S CORPORATION | |||
| Security: | 615369105 | Agenda Number: | 935344438 |
| Ticker: | MCO | Meeting Type: | Annual |
| ISIN: | US6153691059 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Jorge A. Bermudez | Mgmt | For | For |
| 1B. | Election of Director: Thérèse Esperdy | Mgmt | For | For |
| 1C. | Election of Director: Robert Fauber | Mgmt | For | For |
| 1D. | Election of Director: Vincent A. Forlenza | Mgmt | For | For |
| 1E. | Election of Director: Kathryn M. Hill | Mgmt | For | For |
| 1F. | Election of Director: Lloyd W. Howell, Jr. | Mgmt | For | For |
| 1G. | Election of Director: Raymond W. McDaniel, Jr. | Mgmt | For | For |
| 1H. | Election of Director: Leslie F. Seidman | Mgmt | For | For |
| 1I. | Election of Director: Bruce Van Saun | Mgmt | For | For |
| 2. | Ratification of the appointment of KPMG LLP as independent registered public accounting firm of the Company for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 116 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | Advisory resolution approving executive compensation. | Mgmt | For | For |
| 4. | Advisory “Say-on-Climate Plan” resolution approving the Company’s 2020 Decarbonization Plan. | Mgmt | Abstain | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 117 of 192 |
Unassigned
| MOTOROLA SOLUTIONS, INC. | |||
| Security: | 620076307 | Agenda Number: | 935363274 |
| Ticker: | MSI | Meeting Type: | Annual |
| ISIN: | US6200763075 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director for One-Year Term: Gregory Q. Brown | Mgmt | For | For |
| 1B. | Election of Director for One-Year Term: Kenneth D. Denman | Mgmt | For | For |
| 1C. | Election of Director for One-Year Term: Egon P. Durban | Mgmt | For | For |
| 1D. | Election of Director for One-Year Term: Clayton M. Jones | Mgmt | For | For |
| 1E. | Election of Director for One-Year Term: Judy C. Lewent | Mgmt | For | For |
| 1F. | Election of Director for One-Year Term: Gregory K. Mondre | Mgmt | For | For |
| 1G. | Election of Director for One-Year Term: Joseph M. Tucci | Mgmt | For | For |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company’s Independent Registered Public Accounting Firm for 2021. | Mgmt | For | For |
| 3. | Advisory approval of the Company’s executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 118 of 192 |
Unassigned
| MSCI INC. | |||
| Security: | 55354G100 | Agenda Number: | 935348006 |
| Ticker: | MSCI | Meeting Type: | Annual |
| ISIN: | US55354G1004 | Meeting Date: | 27-Apr-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Henry A. Fernandez | Mgmt | For | For |
| 1B. | Election of Director: Robert G. Ashe | Mgmt | For | For |
| 1C. | Election of Director: Wayne Edmunds | Mgmt | For | For |
| 1D. | Election of Director: Catherine R. Kinney | Mgmt | For | For |
| 1E. | Election of Director: Jacques P. Perold | Mgmt | For | For |
| 1F. | Election of Director: Sandy C. Rattray | Mgmt | For | For |
| 1G. | Election of Director: Linda H. Riefler | Mgmt | For | For |
| 1H. | Election of Director: Marcus L. Smith | Mgmt | For | For |
| 1I. | Election of Director: Paula Volent | Mgmt | For | For |
| 2. | To approve, by non-binding vote, our executive compensation, as described in these proxy materials. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 119 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 120 of 192 |
Unassigned
| NEXTERA ENERGY, INC. | |||
| Security: | 65339F101 | Agenda Number: | 935378201 |
| Ticker: | NEE | Meeting Type: | Annual |
| ISIN: | US65339F1012 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Sherry S. Barrat | Mgmt | For | For |
| 1B. | Election of Director: James L. Camaren | Mgmt | For | For |
| 1C. | Election of Director: Kenneth B. Dunn | Mgmt | For | For |
| 1D. | Election of Director: Naren K. Gursahaney | Mgmt | For | For |
| 1E. | Election of Director: Kirk S. Hachigian | Mgmt | For | For |
| 1F. | Election of Director: Amy B. Lane | Mgmt | For | For |
| 1G. | Election of Director: David L. Porges | Mgmt | For | For |
| 1H. | Election of Director: James L. Robo | Mgmt | For | For |
| 1I. | Election of Director: Rudy E. Schupp | Mgmt | For | For |
| 1J. | Election of Director: John L. Skolds | Mgmt | For | For |
| 1K. | Election of Director: Lynn M. Utter | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 121 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Darryl L. Wilson | Mgmt | For | For |
| 2. | Ratification of appointment of Deloitte & Touche LLP as NextEra Energy’s independent registered public accounting firm for 2021. | Mgmt | For | For |
| 3. | Approval, by non-binding advisory vote, of NextEra Energy’s compensation of its named executive officers as disclosed in the proxy statement. | Mgmt | For | For |
| 4. | Approval of the NextEra Energy, Inc. 2021 Long Term Incentive Plan. | Mgmt | For | For |
| 5. | A proposal entitled “Right to Act by Written Consent” to request action by written consent of shareholders. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 122 of 192 |
Unassigned
| NIKE, INC. | |||
| Security: | 654106103 | Agenda Number: | 935256378 |
| Ticker: | NKE | Meeting Type: | Annual |
| ISIN: | US6541061031 | Meeting Date: | 17-Sep-20 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Class B Director: Alan B. Graf, Jr. | Mgmt | For | For |
| 1b. | Election of Class B Director: Peter B. Henry | Mgmt | For | For |
| 1c. | Election of Class B Director: Michelle A. Peluso | Mgmt | For | For |
| 2. | To approve executive compensation by an advisory vote. | Mgmt | Against | Against |
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as independent registered public accounting firm. | Mgmt | For | For |
| 4. | To approve the Nike, Inc. Stock Incentive Plan, as amended and restated. | Mgmt | For | For |
| 5. | To consider a shareholder proposal regarding political contributions disclosure. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 123 of 192 |
Unassigned
| NORFOLK SOUTHERN CORPORATION | |||
| Security: | 655844108 | Agenda Number: | 935363046 |
| Ticker: | NSC | Meeting Type: | Annual |
| ISIN: | US6558441084 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Thomas D. Bell, Jr. | Mgmt | For | For |
| 1b. | Election of Director: Mitchell E. Daniels, Jr. | Mgmt | For | For |
| 1c. | Election of Director: Marcela E. Donadio | Mgmt | For | For |
| 1d. | Election of Director: John C. Huffard, Jr. | Mgmt | For | For |
| 1e. | Election of Director: Christopher T. Jones | Mgmt | For | For |
| 1f. | Election of Director: Thomas C. Kelleher | Mgmt | For | For |
| 1g. | Election of Director: Steven F. Leer | Mgmt | For | For |
| 1h. | Election of Director: Michael D. Lockhart | Mgmt | For | For |
| 1i. | Election of Director: Amy E. Miles | Mgmt | For | For |
| 1j. | Election of Director: Claude Mongeau | Mgmt | For | For |
| 1k. | Election of Director: Jennifer F. Scanlon | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 124 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1l. | Election of Director: James A. Squires | Mgmt | For | For |
| 1m. | Election of Director: John R. Thompson | Mgmt | For | For |
| 2. | Ratification of the appointment of KPMG LLP, independent registered public accounting firm, as Norfolk Southern’s independent auditors for the year ending December 31, 2021. | Mgmt | For | For |
| 3. | Approval of the advisory resolution on executive compensation, as disclosed in the proxy statement for the 2021 Annual Meeting of Shareholders. | Mgmt | For | For |
| 4. | Proposal regarding revisions to ownership requirements for proxy access. | Shr | Against | For |
| 5. | Proposal regarding a report on lobbying activity alignment with Paris Climate Agreement. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 125 of 192 |
Unassigned
| NORTHROP GRUMMAN CORPORATION | |||
| Security: | 666807102 | Agenda Number: | 935386018 |
| Ticker: | NOC | Meeting Type: | Annual |
| ISIN: | US6668071029 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Kathy J. Warden | Mgmt | For | For |
| 1B. | Election of Director: David P. Abney | Mgmt | For | For |
| 1C. | Election of Director: Marianne C. Brown | Mgmt | For | For |
| 1D. | Election of Director: Donald E. Felsinger | Mgmt | For | For |
| 1E. | Election of Director: Ann M. Fudge | Mgmt | For | For |
| 1F. | Election of Director: William H. Hernandez | Mgmt | For | For |
| 1G. | Election of Director: Madeleine A. Kleiner | Mgmt | For | For |
| 1H. | Election of Director: Karl J. Krapek | Mgmt | For | For |
| 1I. | Election of Director: Gary Roughead | Mgmt | For | For |
| 1J. | Election of Director: Thomas M. Schoewe | Mgmt | For | For |
| 1K. | Election of Director: James S. Turley | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 126 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Mark A. Welsh III | Mgmt | For | For |
| 2. | Proposal to approve, on an advisory basis, the compensation of the Company’s Named Executive Officers. | Mgmt | For | For |
| 3. | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company’s Independent Auditor for fiscal year ending December 31, 2021. | Mgmt | For | For |
| 4. | Shareholder proposal that the Company assess and report on potential human rights impacts that could result from governments’ use of the Company’s products and services, including in conflict-affected areas. | Shr | Against | For |
| 5. | Shareholder proposal to move to a 10% ownership threshold for shareholders to request action by written consent. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 127 of 192 |
Unassigned
| ORACLE CORPORATION | |||
| Security: | 68389X105 | Agenda Number: | 935274554 |
| Ticker: | ORCL | Meeting Type: | Annual |
| ISIN: | US68389X1054 | Meeting Date: | 04-Nov-20 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Jeffrey S. Berg | Mgmt | For | For | |
| 2 | Michael J. Boskin | Mgmt | For | For | |
| 3 | Safra A. Catz | Mgmt | For | For | |
| 4 | Bruce R. Chizen | Mgmt | For | For | |
| 5 | George H. Conrades | Mgmt | For | For | |
| 6 | Lawrence J. Ellison | Mgmt | For | For | |
| 7 | Rona A. Fairhead | Mgmt | For | For | |
| 8 | Jeffrey O. Henley | Mgmt | For | For | |
| 9 | Renee J. James | Mgmt | For | For | |
| 10 | Charles W. Moorman IV | Mgmt | For | For | |
| 11 | Leon E. Panetta | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 128 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 12 William G. Parrett | Mgmt | For | For | |
| 13 Naomi O. Seligman | Mgmt | For | For | |
| 14 Vishal Sikka | Mgmt | For | For | |
| 2. | Advisory Vote to Approve Compensation of Named Executive Officers. | Mgmt | Against | Against |
| 3. | Approve the Oracle Corporation 2020 Equity Incentive Plan. | Mgmt | For | For |
| 4. | Ratification of Selection of Independent Registered Public Accounting Firm. | Mgmt | For | For |
| 5. | Stockholder Proposal Regarding Pay Equity Report. | Shr | For | Against |
| 6. | Stockholder Proposal Regarding Independent Board Chair. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 129 of 192 |
Unassigned
| PACCAR INC | |||
| Security: | 693718108 | Agenda Number: | 935351457 |
| Ticker: | PCAR | Meeting Type: | Annual |
| ISIN: | US6937181088 | Meeting Date: | 27-Apr-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Mark C. Pigott | Mgmt | For | For |
| 1B. | Election of Director: Dame Alison J. Carnwath | Mgmt | For | For |
| 1C. | Election of Director: Franklin L. Feder | Mgmt | For | For |
| 1D. | Election of Director: R. Preston Feight | Mgmt | For | For |
| 1E. | Election of Director: Beth E. Ford | Mgmt | For | For |
| 1F. | Election of Director: Kirk S. Hachigian | Mgmt | For | For |
| 1G. | Election of Director: Roderick C. McGeary | Mgmt | For | For |
| 1H. | Election of Director: John M. Pigott | Mgmt | For | For |
| 1I. | Election of Director: Ganesh Ramaswamy | Mgmt | For | For |
| 1J. | Election of Director: Mark A. Schulz | Mgmt | For | For |
| 1K. | Election of Director: Gregory M. E. Spierkel | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 130 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Stockholder proposal regarding supermajority voting provisions if properly presented at the meeting. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 131 of 192 |
Unassigned
| PAYCHEX, INC. | |||
| Security: | 704326107 | Agenda Number: | 935267066 |
| Ticker: | PAYX | Meeting Type: | Annual |
| ISIN: | US7043261079 | Meeting Date: | 15-Oct-20 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: B. Thomas Golisano | Mgmt | For | For |
| 1B. | Election of Director: Thomas F. Bonadio | Mgmt | For | For |
| 1C. | Election of Director: Joseph G. Doody | Mgmt | For | For |
| 1D. | Election of Director: David J.S. Flaschen | Mgmt | For | For |
| 1E. | Election of Director: Pamela A. Joseph | Mgmt | For | For |
| 1F. | Election of Director: Martin Mucci | Mgmt | For | For |
| 1G. | Election of Director: Joseph M. Tucci | Mgmt | For | For |
| 1H. | Election of Director: Joseph M. Velli | Mgmt | For | For |
| 1I. | Election of Director: Kara Wilson | Mgmt | For | For |
| 2. | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 132 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | TO APPROVE AND AMEND THE PAYCHEX, INC. 2002 STOCK INCENTIVE PLAN. | Mgmt | For | For |
| 4. | RATIFICATION OF SELECTION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 133 of 192 |
Unassigned
| PEPSICO, INC. | |||
| Security: | 713448108 | Agenda Number: | 935355342 |
| Ticker: | PEP | Meeting Type: | Annual |
| ISIN: | US7134481081 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Segun Agbaje | Mgmt | For | For |
| 1B. | Election of Director: Shona L. Brown | Mgmt | For | For |
| 1C. | Election of Director: Cesar Conde | Mgmt | For | For |
| 1D. | Election of Director: Ian Cook | Mgmt | For | For |
| 1E. | Election of Director: Dina Dublon | Mgmt | For | For |
| 1F. | Election of Director: Michelle Gass | Mgmt | For | For |
| 1G. | Election of Director: Ramon L. Laguarta | Mgmt | For | For |
| 1H. | Election of Director: Dave Lewis | Mgmt | For | For |
| 1I. | Election of Director: David C. Page | Mgmt | For | For |
| 1J. | Election of Director: Robert C. Pohlad | Mgmt | For | For |
| 1K. | Election of Director: Daniel Vasella | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 134 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Darren Walker | Mgmt | For | For |
| 1M. | Election of Director: Alberto Weisser | Mgmt | For | For |
| 2. | Ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For |
| 3. | Advisory approval of the Company’s executive compensation. | Mgmt | For | For |
| 4. | Shareholder Proposal - Special Shareholder Meeting Vote Threshold. | Shr | For | Against |
| 5. | Shareholder Proposal - Report on Sugar and Public Health. | Shr | Against | For |
| 6. | Shareholder Proposal - Report on External Public Health Costs. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 135 of 192 |
Unassigned
| PFIZER INC. | |||
| Security: | 717081103 | Agenda Number: | 935344503 |
| Ticker: | PFE | Meeting Type: | Annual |
| ISIN: | US7170811035 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Ronald E. Blaylock | Mgmt | For | For |
| 1B. | Election of Director: Albert Bourla | Mgmt | For | For |
| 1C. | Election of Director: Susan Desmond-Hellmann | Mgmt | For | For |
| 1D. | Election of Director: Joseph J. Echevarria | Mgmt | For | For |
| 1E. | Election of Director: Scott Gottlieb | Mgmt | For | For |
| 1F. | Election of Director: Helen H. Hobbs | Mgmt | For | For |
| 1G. | Election of Director: Susan Hockfield | Mgmt | For | For |
| 1H. | Election of Director: Dan R. Littman | Mgmt | For | For |
| 1I. | Election of Director: Shantanu Narayen | Mgmt | For | For |
| 1J. | Election of Director: Suzanne Nora Johnson | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 136 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director: James Quincey | Mgmt | For | For |
| 1L. | Election of Director: James C. Smith | Mgmt | For | For |
| 2. | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. | Mgmt | For | For |
| 3. | 2021 advisory approval of executive compensation. | Mgmt | For | For |
| 4. | Shareholder proposal regarding independent chair policy. | Shr | Against | For |
| 5. | Shareholder proposal regarding political spending report. | Shr | Against | For |
| 6. | Shareholder proposal regarding access to COVID-19 products. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 137 of 192 |
Unassigned
| PHILIP MORRIS INTERNATIONAL INC. | |||
| Security: | 718172109 | Agenda Number: | 935359112 |
| Ticker: | PM | Meeting Type: | Annual |
| ISIN: | US7181721090 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Brant Bonin Bough | Mgmt | For | For |
| 1B. | Election of Director: André Calantzopoulos | Mgmt | For | For |
| 1C. | Election of Director: Michel Combes | Mgmt | For | For |
| 1D. | Election of Director: Juan José Daboub | Mgmt | For | For |
| 1E. | Election of Director: Werner Geissler | Mgmt | For | For |
| 1F. | Election of Director: Lisa A. Hook | Mgmt | For | For |
| 1G. | Election of Director: Jun Makihara | Mgmt | For | For |
| 1H. | Election of Director: Kalpana Morparia | Mgmt | For | For |
| 1I. | Election of Director: Lucio A. Noto | Mgmt | For | For |
| 1J. | Election of Director: Jacek Olczak | Mgmt | For | For |
| 1K. | Election of Director: Frederik Paulsen | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 138 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Robert B. Polet | Mgmt | For | For |
| 1M. | Election of Director: Shlomo Yanai | Mgmt | For | For |
| 2. | Advisory Vote Approving Executive Compensation. | Mgmt | For | For |
| 3. | Ratification of the Selection of Independent Auditors. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 139 of 192 |
Unassigned
| ROCKWELL AUTOMATION, INC. | |||
| Security: | 773903109 | Agenda Number: | 935318534 |
| Ticker: | ROK | Meeting Type: | Annual |
| ISIN: | US7739031091 | Meeting Date: | 02-Feb-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| A. | DIRECTOR | ||||
| 1 | William P. Gipson | Mgmt | For | For | |
| 2 | J. Phillip Holloman | Mgmt | For | For | |
| 3 | Steven R. Kalmanson | Mgmt | For | For | |
| 4 | Lawrence D. Kingsley | Mgmt | For | For | |
| 5 | Lisa A. Payne | Mgmt | For | For | |
| B. | To approve, on an advisory basis, the compensation of the Corporation’s named executive officers. | Mgmt | For | For | |
| C. | To approve the selection of Deloitte & Touche LLP as the Corporation’s independent registered public accounting firm. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 140 of 192 |
Unassigned
| S&P GLOBAL INC. | |||
| Security: | 78409V104 | Agenda Number: | 935329816 |
| Ticker: | SPGI | Meeting Type: | Special |
| ISIN: | US78409V1044 | Meeting Date: | 11-Mar-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1. | Approval of the S&P Global Share Issuance.To vote on a proposal to approve the issuance of S&P Global Inc. common stock, par value $1.00 per share, to the shareholders of IHS Markit Ltd. in connection with the merger contemplated by Agreement and Plan of Merger dated Nov. 29, 2020, as amended by Amendment No. 1, dated as of January 20, 2021, and as it may further be amended from time to time, by and among S&P Global Inc., Sapphire Subsidiary, Ltd. and IHS Markit Ltd. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 141 of 192 |
Unassigned
| S&P GLOBAL INC. | |||
| Security: | 78409V104 | Agenda Number: | 935381462 |
| Ticker: | SPGI | Meeting Type: | Annual |
| ISIN: | US78409V1044 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Marco Alverà | Mgmt | For | For |
| 1b. | Election of Director: William J. Amelio | Mgmt | For | For |
| 1c. | Election of Director: William D. Green | Mgmt | For | For |
| 1d. | Election of Director: Stephanie C. Hill | Mgmt | For | For |
| 1e. | Election of Director: Rebecca Jacoby | Mgmt | For | For |
| 1f. | Election of Director: Monique F. Leroux | Mgmt | For | For |
| 1g. | Election of Director: Ian P. Livingston | Mgmt | For | For |
| 1h. | Election of Director: Maria R. Morris | Mgmt | For | For |
| 1i. | Election of Director: Douglas L. Peterson | Mgmt | For | For |
| 1j. | Election of Director: Edward B. Rust, Jr. | Mgmt | For | For |
| 1k. | Election of Director: Kurt L. Schmoke | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 142 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1l. | Election of Director: Richard E. Thornburgh | Mgmt | For | For |
| 2. | Approve, on an advisory basis, the executive compensation program for the Company’s named executive officers. | Mgmt | For | For |
| 3. | Ratify the selection of Ernst & Young LLP as our independent auditor for 2021. | Mgmt | For | For |
| 4. | Approve, on an advisory basis, the Company’s Greenhouse Gas (GHG) Emissions Reduction Plan. | Mgmt | Abstain | Against |
| 5. | Shareholder proposal to transition to a Public Benefit Corporation. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 143 of 192 |
Unassigned
| STARBUCKS CORPORATION | |||
| Security: | 855244109 | Agenda Number: | 935326935 |
| Ticker: | SBUX | Meeting Type: | Annual |
| ISIN: | US8552441094 | Meeting Date: | 17-Mar-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Richard E. Allison, Jr. | Mgmt | For | For |
| 1B. | Election of Director: Rosalind G. Brewer (Withdrawn) | Mgmt | For | For |
| 1C. | Election of Director: Andrew Campion | Mgmt | For | For |
| 1D. | Election of Director: Mary N. Dillon | Mgmt | For | For |
| 1E. | Election of Director: Isabel Ge Mahe | Mgmt | For | For |
| 1F. | Election of Director: Mellody Hobson | Mgmt | For | For |
| 1G. | Election of Director: Kevin R. Johnson | Mgmt | For | For |
| 1H. | Election of Director: Jørgen Vig Knudstorp | Mgmt | For | For |
| 1I. | Election of Director: Satya Nadella | Mgmt | For | For |
| 1J. | Election of Director: Joshua Cooper Ramo | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 144 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director: Clara Shih | Mgmt | For | For |
| 1L. | Election of Director: Javier G. Teruel | Mgmt | For | For |
| 2. | Advisory resolution to approve our executive officer compensation. | Mgmt | Against | Against |
| 3. | Ratification of selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal 2021. | Mgmt | For | For |
| 4. | Employee Board Representation. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 145 of 192 |
Unassigned
| STRYKER CORPORATION | |||
| Security: | 863667101 | Agenda Number: | 935359972 |
| Ticker: | SYK | Meeting Type: | Annual |
| ISIN: | US8636671013 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A) | Election of Director: Mary K. Brainerd | Mgmt | For | For |
| 1B) | Election of Director: Giovanni Caforio, M.D. | Mgmt | For | For |
| 1C) | Election of Director: Srikant M. Datar, Ph.D. | Mgmt | For | For |
| 1D) | Election of Director: Allan C. Golston (Lead Independent Director) | Mgmt | For | For |
| 1E) | Election of Director: Kevin A. Lobo (Chair of the Board and Chief Executive Officer) | Mgmt | For | For |
| 1F) | Election of Director: Sherilyn S. McCoy | Mgmt | For | For |
| 1G) | Election of Director: Andrew K. Silvernail | Mgmt | For | For |
| 1H) | Election of Director: Lisa M. Skeete Tatum | Mgmt | For | For |
| 1I) | Election of Director: Ronda E. Stryker | Mgmt | For | For |
| 1J) | Election of Director: Rajeev Suri | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 146 of 192 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Ratification of Appointment of our Independent Registered Public Accounting Firm. | Mgmt | For | For |
| 3. | Advisory Vote to Approve Named Executive Officer Compensation. | Mgmt | For | For |
| 4. | Shareholder Proposal Regarding Workforce Involvement in Corporate Governance. | Shr | Against | For |
| 5. | Shareholder Proposal Regarding Right to Call Special Meetings | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 147 of 192 |
Unassigned
| SYSCO CORPORATION | |||
| Security: | 871829107 | Agenda Number: | 935276457 |
| Ticker: | SYY | Meeting Type: | Annual |
| ISIN: | US8718291078 | Meeting Date: | 20-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Daniel J. Brutto | Mgmt | For | For |
| 1B. | Election of Director: John M. Cassaday | Mgmt | For | For |
| 1C. | Election of Director: Joshua D. Frank | Mgmt | For | For |
| 1D. | Election of Director: Larry C. Glasscock | Mgmt | For | For |
| 1E. | Election of Director: Bradley M. Halverson | Mgmt | For | For |
| 1F. | Election of Director: John M. Hinshaw | Mgmt | For | For |
| 1G. | Election of Director: Kevin P. Hourican | Mgmt | For | For |
| 1H. | Election of Director: Hans-Joachim Koerber | Mgmt | For | For |
| 1I. | Election of Director: Stephanie A. Lundquist | Mgmt | For | For |
| 1J. | Election of Director: Nelson Peltz | Mgmt | For | For |
| 1K. | Election of Director: Edward D. Shirley | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 148 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
1L. | Election of Director: Sheila G. Talton | Mgmt | For | For |
| 2. | To approve, by advisory vote, the compensation paid to Sysco’s named executive officers, as disclosed in Sysco’s 2020 proxy statement. | Mgmt | For | For |
| 3. | To ratify the appointment of Ernst & Young LLP as Sysco’s independent registered public accounting firm for fiscal 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 149 of 192 |
Unassigned
| T. ROWE PRICE GROUP, INC. | |||
| Security: | 74144T108 | Agenda Number: | 935357586 |
| Ticker: | TROW | Meeting Type: | Annual |
| ISIN: | US74144T1088 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Mark S. Bartlett | Mgmt | For | For |
| 1B. | Election of Director: Mary K. Bush | Mgmt | For | For |
| 1C. | Election of Director: Dina Dublon | Mgmt | For | For |
| 1D. | Election of Director: Dr. Freeman A. | Mgmt | For | For |
| Hrabowski, III | ||||
| 1E. | Election of Director: Robert F. MacLellan | Mgmt | For | For |
| 1F. | Election of Director: Olympia J. Snowe | Mgmt | For | For |
| 1G. | Election of Director: Robert J. Stevens | Mgmt | For | For |
| 1H. | Election of Director: William J. Stromberg | Mgmt | For | For |
| 1I. | Election of Director: Richard R. Verma | Mgmt | For | For |
| 1J. | Election of Director: Sandra S. Wijnberg | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 150 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director: Alan D. Wilson | Mgmt | For | For |
| 2. | To approve, by a non-binding advisory vote, the compensation paid by the Company to its Named Executive Officers. | Mgmt | For | For |
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
| 4. | Stockholder proposal for a report on voting by our funds and portfolios on matters related to climate change. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 151 of 192 |
Unassigned
| TARGET CORPORATION | |||
| Security: | 87612E106 | Agenda Number: | 935412635 |
| Ticker: | TGT | Meeting Type: | Annual |
| ISIN: | US87612E1064 | Meeting Date: | 09-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Douglas M. Baker, Jr. | Mgmt | For | For |
| 1B. | Election of Director: George S. Barrett | Mgmt | For | For |
| 1C. | Election of Director: Brian C. Cornell | Mgmt | For | For |
| 1D. | Election of Director: Robert L. Edwards | Mgmt | For | For |
| 1E. | Election of Director: Melanie L. Healey | Mgmt | For | For |
| 1F. | Election of Director: Donald R. Knauss | Mgmt | For | For |
| 1G. | Election of Director: Christine A. Leahy | Mgmt | For | For |
| 1H. | Election of Director: Monica C. Lozano | Mgmt | For | For |
| 1I. | Election of Director: Mary E. Minnick | Mgmt | For | For |
| 1J. | Election of Director: Derica W. Rice | Mgmt | For | For |
| 1K. | Election of Director: Kenneth L. Salazar | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 152 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
1L.
| Election of Director: Dmitri L. Stockton | Mgmt | For | For |
2.
| Company proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm. | Mgmt | For | For |
3.
| Company proposal to approve, on an advisory basis, our executive compensation (Say on Pay). | Mgmt | For | For |
| 4. | Shareholder proposal to amend the proxy access bylaw to remove the shareholder group limit. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 153 of 192 |
Unassigned
| TEXAS INSTRUMENTS INCORPORATED | |||
| Security: | 882508104 | Agenda Number: | 935341709 |
| Ticker: | TXN | Meeting Type: | Annual |
| ISIN: | US8825081040 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Mark A. Blinn | Mgmt | For | For |
| 1B. | Election of Director: Todd M. Bluedorn | Mgmt | For | For |
| 1C. | Election of Director: Janet F. Clark | Mgmt | For | For |
| 1D. | Election of Director: Carrie S. Cox | Mgmt | For | For |
| 1E. | Election of Director: Martin S. Craighead | Mgmt | For | For |
| 1F. | Election of Director: Jean M. Hobby | Mgmt | For | For |
| 1G. | Election of Director: Michael D. Hsu | Mgmt | For | For |
| 1H. | Election of Director: Ronald Kirk | Mgmt | For | For |
| 1I. | Election of Director: Pamela H. Patsley | Mgmt | For | For |
| 1J. | Election of Director: Robert E. Sanchez | Mgmt | For | For |
| 1K. | Election of Director: Richard K. Templeton | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 154 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Board proposal regarding advisory approval of the Company’s executive compensation. | Mgmt | For | For |
| 3. | Board proposal to ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for 2021. | Mgmt | For | For |
| 4. | Stockholder proposal to permit shareholder action by written consent. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 155 of 192 |
Unassigned
| THE ALLSTATE CORPORATION | |||
| Security: | 020002101 | Agenda Number: | 935387402 |
| Ticker: | ALL | Meeting Type: | Annual |
| ISIN: | US0200021014 | Meeting Date: | 25-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Donald E. Brown | Mgmt | For | For |
| 1B. | Election of Director: Kermit R. Crawford | Mgmt | For | For |
| 1C. | Election of Director: Michael L. Eskew | Mgmt | For | For |
| 1D. | Election of Director: Richard T. Hume | Mgmt | For | For |
| 1E. | Election of Director: Margaret M. Keane | Mgmt | For | For |
| 1F. | Election of Director: Siddharth N. Mehta | Mgmt | For | For |
| 1G. | Election of Director: Jacques P. Perold | Mgmt | For | For |
| 1H. | Election of Director: Andrea Redmond | Mgmt | For | For |
| 1I. | Election of Director: Gregg M. Sherrill | Mgmt | For | For |
| 1J. | Election of Director: Judith A. Sprieser | Mgmt | For | For |
| 1K. | Election of Director: Perry M. Traquina | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 156 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Thomas J. Wilson | Mgmt | For | For |
| 2. | Advisory vote to approve the compensation of the named executives. | Mgmt | For | For |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as Allstate’s independent registered public accountant for 2021. | Mgmt | For | For |
| 4. | Shareholder proposal to amend proxy access. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 157 of 192 |
Unassigned
| THE CLOROX COMPANY | |||
| Security: | 189054109 | Agenda Number: | 935281383 |
| Ticker: | CLX | Meeting Type: | Annual |
| ISIN: | US1890541097 | Meeting Date: | 18-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Amy Banse | Mgmt | For | For |
| 1B. | Election of Director: Richard H. Carmona | Mgmt | For | For |
| 1C. | Election of Director: Benno Dorer | Mgmt | For | For |
| 1D. | Election of Director: Spencer C. Fleischer | Mgmt | For | For |
| 1E. | Election of Director: Esther Lee | Mgmt | For | For |
| 1F. | Election of Director: A.D. David Mackay | Mgmt | For | For |
| 1G. | Election of Director: Paul Parker | Mgmt | For | For |
| 1H. | Election of Director: Linda Rendle | Mgmt | For | For |
| 1I. | Election of Director: Matthew J. Shattock | Mgmt | For | For |
| 1J. | Election of Director: Kathryn Tesija | Mgmt | For | For |
| 1K. | Election of Director: Pamela Thomas-Graham | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 158 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Russell Weiner | Mgmt | For | For |
| 1M. | Election of Director: Christopher J. Williams | Mgmt | For | For |
| 2. | Advisory Vote to Approve Executive Compensation. | Mgmt | For | For |
| 3. | Ratification of the Selection of Ernst & Young LLP as the Clorox Company’s Independent Registered Public Accounting Firm. | Mgmt | For | For |
| 4. | Approval of the Amended and Restated Certificate of Incorporation to Eliminate Supermajority Voting Provision. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 159 of 192 |
Unassigned
| THE COCA-COLA COMPANY | |||
| Security: | 191216100 | Agenda Number: | 935342547 |
| Ticker: | KO | Meeting Type: | Annual |
| ISIN: | US1912161007 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Herbert A. Allen | Mgmt | For | For |
| 1B. | Election of Director: Marc Bolland | Mgmt | For | For |
| 1C. | Election of Director: Ana Botín | Mgmt | For | For |
| 1D. | Election of Director: Christopher C. Davis | Mgmt | For | For |
| 1E. | Election of Director: Barry Diller | Mgmt | For | For |
| 1F. | Election of Director: Helene D. Gayle | Mgmt | For | For |
| 1G. | Election of Director: Alexis M. Herman | Mgmt | For | For |
| 1H. | Election of Director: Robert A. Kotick | Mgmt | For | For |
| 1I. | Election of Director: Maria Elena Lagomasino | Mgmt | For | For |
| 1J. | Election of Director: James Quincey | Mgmt | For | For |
| 1K. | Election of Director: Caroline J. Tsay | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 160 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: David B. Weinberg | Mgmt | For | For |
| 2. | Advisory vote to approve executive compensation. | Mgmt | For | For |
| 3. | Ratification of the appointment of Ernst & Young LLP as Independent Auditors. | Mgmt | For | For |
| 4. | Shareowner proposal on sugar and public health. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 161 of 192 |
Unassigned
| THE ESTEE LAUDER COMPANIES INC. | |||
| Security: | 518439104 | Agenda Number: | 935274530 |
| Ticker: | EL | Meeting Type: | Annual |
| ISIN: | US5184391044 | Meeting Date: | 10-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Class III Director: Charlene Barshefsky | Mgmt | For | For |
| 1B. | Election of Class III Director: Wei Sun Christianson | Mgmt | For | For |
| 1C. | Election of Class III Director: Fabrizio Freda | Mgmt | For | For |
| 1D. | Election of Class III Director: Jane Lauder | Mgmt | For | For |
| 1E. | Election of Class III Director: Leonard A. Lauder | Mgmt | For | For |
| 2. | Ratification of appointment of PricewaterhouseCoopers LLP as independent auditors for the 2021 fiscal year. | Mgmt | For | For |
| 3. | Advisory vote to approve executive compensation. | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 162 of 192 |
Unassigned
| THE HERSHEY COMPANY | |||
| Security: | 427866108 | Agenda Number: | 935377300 |
| Ticker: | HSY | Meeting Type: | Annual |
| ISIN: | US4278661081 | Meeting Date: | 17-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | P. M. Arway | Mgmt | For | For | |
| 2 | J. W. Brown | Mgmt | For | For | |
| 3 | M. G. Buck | Mgmt | For | For | |
| 4 | V. L. Crawford | Mgmt | For | For | |
| 5 | R. M. Dutkowsky | Mgmt | For | For | |
| 6 | M. K. Haben | Mgmt | For | For | |
| 7 | J. C. Katzman | Mgmt | For | For | |
| 8 | M. D. Koken | Mgmt | For | For | |
| 9 | R. M. Malcolm | Mgmt | For | For | |
| 10 | A. J. Palmer | Mgmt | For | For | |
| 11 | J. R. Perez | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 163 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 12 | W. L. Schoppert | Mgmt | For | For | |
| 2. | Ratify the appointment of Ernst & Young LLP as independent auditors for 2021. | Mgmt | For | For | |
| 3. | Approve named executive officer compensation on a non-binding advisory basis. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 164 of 192 |
Unassigned
| THE HOME DEPOT, INC. | |||
| Security: | 437076102 | Agenda Number: | 935365874 |
| Ticker: | HD | Meeting Type: | Annual |
| ISIN: | US4370761029 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Gerard J. Arpey | Mgmt | For | For |
| 1B. | Election of Director: Ari Bousbib | Mgmt | For | For |
| 1C. | Election of Director: Jeffery H. Boyd | Mgmt | For | For |
| 1D. | Election of Director: Gregory D. Brenneman | Mgmt | For | For |
| 1E. | Election of Director: J. Frank Brown | Mgmt | For | For |
| 1F. | Election of Director: Albert P. Carey | Mgmt | For | For |
| 1G. | Election of Director: Helena B. Foulkes | Mgmt | For | For |
| 1H. | Election of Director: Linda R. Gooden | Mgmt | For | For |
| 1I. | Election of Director: Wayne M. Hewett | Mgmt | For | For |
| 1J. | Election of Director: Manuel Kadre | Mgmt | For | For |
| 1K. | Election of Director: Stephanie C. Linnartz | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 165 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Craig A. Menear | Mgmt | For | For |
| 2. | Ratification of the Appointment of KPMG LLP. | Mgmt | For | For |
| 3. | Advisory Vote to Approve Executive Compensation (“Say-on-Pay”). | Mgmt | For | For |
| 4. | Shareholder Proposal Regarding Amendment of Shareholder Written Consent Right. | Shr | Against | For |
| 5. | Shareholder Proposal Regarding Political Contributions Congruency Analysis. | Shr | Against | For |
| 6. | Shareholder Proposal Regarding Report on Prison Labor in the Supply Chain. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 166 of 192 |
Unassigned
| THE PROCTER & GAMBLE COMPANY | |||
| Security: | 742718109 | Agenda Number: | 935264969 |
| Ticker: | PG | Meeting Type: | Annual |
| ISIN: | US7427181091 | Meeting Date: | 13-Oct-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | ELECTION OF DIRECTOR: Francis S. Blake | Mgmt | For | For |
| 1B. | ELECTION OF DIRECTOR: Angela F. Braly | Mgmt | For | For |
| 1C. | ELECTION OF DIRECTOR: Amy L. Chang | Mgmt | For | For |
| 1D. | ELECTION OF DIRECTOR: Joseph Jimenez | Mgmt | For | For |
| 1E. | ELECTION OF DIRECTOR: Debra L. Lee | Mgmt | For | For |
| 1F. | ELECTION OF DIRECTOR: Terry J. Lundgren | Mgmt | For | For |
| 1G. | ELECTION OF DIRECTOR: Christine M. McCarthy | Mgmt | For | For |
| 1H. | ELECTION OF DIRECTOR: W. James | Mgmt | For | For |
| McNerney, Jr. | ||||
| 1I. | ELECTION OF DIRECTOR: Nelson Peltz | Mgmt | For | For |
| 1J. | ELECTION OF DIRECTOR: David S. Taylor | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 167 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | ELECTION OF DIRECTOR: Margaret C. Whitman | Mgmt | For | For |
| 1L. | ELECTION OF DIRECTOR: Patricia A. Woertz | Mgmt | For | For |
| 2. | Ratify Appointment of the Independent Registered Public Accounting Firm. | Mgmt | For | For |
| 3. | Advisory Vote to Approve the Company’s Executive Compensation (the “Say on Pay” vote). | Mgmt | For | For |
| 4. | Approval of The Procter & Gamble Company International Stock Ownership Plan, As Amended and Restated. | Mgmt | For | For |
| 5. | Shareholder Proposal - Report on Efforts to Eliminate Deforestation. | Shr | Against | For |
| 6. | Shareholder Proposal - Annual Report on | Shr | Against | For |
| Diversity. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 168 of 192 |
Unassigned
| THE WESTERN UNION COMPANY | |||
| Security: | 959802109 | Agenda Number: | 935371005 |
| Ticker: | WU | Meeting Type: | Annual |
| ISIN: | US9598021098 | Meeting Date: | 14-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Martin I. Cole | Mgmt | For | For |
| 1b. | Election of Director: Hikmet Ersek | Mgmt | For | For |
| 1c. | Election of Director: Richard A. Goodman | Mgmt | For | For |
| 1d. | Election of Director: Betsy D. Holden | Mgmt | For | For |
| 1e. | Election of Director: Jeffrey A. Joerres | Mgmt | For | For |
| 1f. | Election of Director: Michael A. Miles, Jr. | Mgmt | For | For |
| 1g. | Election of Director: Timothy P. Murphy | Mgmt | For | For |
| 1h. | Election of Director: Joyce A. Phillips | Mgmt | For | For |
| 1i. | Election of Director: Jan Siegmund | Mgmt | For | For |
| 1j. | Election of Director: Angela A. Sun | Mgmt | For | For |
| 1k. | Election of Director: Solomon D. Trujillo | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 169 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Advisory Vote to Approve Executive Compensation | Mgmt | For | For |
| 3. | Ratification of Selection of Ernst & Young LLP as Independent Registered Public Accounting Firm for 2021 | Mgmt | For | For |
| 4. | Stockholder Proposal Regarding Stockholder Right to Act by Written Consent | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 170 of 192 |
Unassigned
| TRANE TECHNOLOGIES PLC | |||
| Security: | G8994E103 | Agenda Number: | 935408927 |
| Ticker: | TT | Meeting Type: | Annual |
| ISIN: | IE00BK9ZQ967 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Kirk E. Arnold | Mgmt | For | For |
| 1B. | Election of Director: Ann C. Berzin | Mgmt | For | For |
| 1C. | Election of Director: John Bruton | Mgmt | For | For |
| 1D. | Election of Director: Jared L. Cohon | Mgmt | For | For |
| 1E. | Election of Director: Gary D. Forsee | Mgmt | For | For |
| 1F. | Election of Director: Linda P. Hudson | Mgmt | For | For |
| 1G. | Election of Director: Michael W. Lamach | Mgmt | For | For |
| 1H. | Election of Director: Myles P. Lee | Mgmt | For | For |
| 1I. | Election of Director: April Miller Boise | Mgmt | For | For |
| 1J. | Election of Director: Karen B. Peetz | Mgmt | For | For |
| 1K. | Election of Director: John P. Surma | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 171 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1L. | Election of Director: Tony L. White | Mgmt | For | For |
| 2. | Advisory approval of the compensation of the Company’s named executive officers. | Mgmt | For | For |
| 3. | Approval of the appointment of independent auditors of the Company and authorization of the Audit Committee of the Board of Directors to set the auditors’ remuneration. | Mgmt | For | For |
| 4. | Approval of the renewal of the Directors’ existing authority to issue shares. | Mgmt | For | For |
| 5. | Approval of the renewal of the Directors’ existing authority to issue shares for cash without first offering shares to existing shareholders. (Special Resolution) | Mgmt | For | For |
| 6. | Determination of the price range at which the Company can re-allot shares that it holds as treasury shares. (Special Resolution) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 172 of 192 |
Unassigned
| UNION PACIFIC CORPORATION | |||
| Security: | 907818108 | Agenda Number: | 935364947 |
| Ticker: | UNP | Meeting Type: | Annual |
| ISIN: | US9078181081 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Andrew H. Card Jr. | Mgmt | For | For |
| 1B. | Election of Director: William J. DeLaney | Mgmt | For | For |
| 1C. | Election of Director: David B. Dillon | Mgmt | For | For |
| 1D. | Election of Director: Lance M. Fritz | Mgmt | For | For |
| 1E. | Election of Director: Deborah C. Hopkins | Mgmt | For | For |
| 1F. | Election of Director: Jane H. Lute | Mgmt | For | For |
| 1G. | Election of Director: Michael R. McCarthy | Mgmt | For | For |
| 1H. | Election of Director: Thomas F. McLarty III | Mgmt | For | For |
| 1I. | Election of Director: Jose H. Villarreal | Mgmt | For | For |
| 1J. | Election of Director: Christopher J. Williams | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 173 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Ratification of the appointment of Deloitte & | Mgmt | For | For |
| Touche LLP as the independent registered | ||||
| public accounting firm of the Company for | ||||
| 2021. | ||||
| 3. | An advisory vote to approve executive | Mgmt | For | For |
| compensation (“Say on Pay”). | ||||
| 4. | Adoption of the Union Pacific Corporation | Mgmt | For | For |
| 2021 Stock Incentive Plan. | ||||
| 5. | Adoption of the Union Pacific Corporation | Mgmt | For | For |
| 2021 Employee Stock Purchase Plan. | ||||
| 6. | Shareholder proposal requesting an EEO-1 | Shr | For | Against |
| Report Disclosure, if properly presented at the | ||||
| Annual Meeting. | ||||
| 7. | Shareholder proposal requesting an Annual | Shr | For | Against |
| Diversity and Inclusion Efforts Report, if | ||||
| properly presented at the Annual Meeting. | ||||
| 8. | Shareholder proposal requesting an Annual | Shr | Against | For |
| Emissions Reduction Plan & annual advisory | ||||
| vote on Emissions Reduction Plan, if properly | ||||
| presented at the Annual Meeting. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 174 of 192 |
Unassigned
| UNITED PARCEL SERVICE, INC. | |||
| Security: | 911312106 | Agenda Number: | 935365002 |
| Ticker: | UPS | Meeting Type: | Annual |
| ISIN: | US9113121068 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Carol B. Tomé | ||||
| 1B. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Rodney C. Adkins | ||||
| 1C. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Eva C. Boratto | ||||
| 1D. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Michael J. Burns | ||||
| 1E. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Wayne M. Hewett | ||||
| 1F. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Angela Hwang | ||||
| 1G. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Kate E. Johnson | ||||
| 1H. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: William R. Johnson | ||||
| 1I. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Ann M. Livermore | ||||
| 1J. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Franck J. Moison |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 175 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Christiana Smith Shi | ||||
| 1L. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Russell Stokes | ||||
| 1M. | Election of Director to serve until the 2022 | Mgmt | For | For |
| Annual Meeting: Kevin Warsh | ||||
| 2. | To approve on an advisory basis a resolution | Mgmt | For | For |
| on UPS executive compensation. | ||||
| 3. | To approve the 2021 UPS Omnibus Incentive | Mgmt | For | For |
| Compensation Plan. | ||||
| 4. | To ratify the appointment of Deloitte & Touche | Mgmt | For | For |
| LLP as UPS’s independent registered public | ||||
| accounting firm for the year ending December | ||||
| 31, 2021. | ||||
| 5. | To prepare an annual report on UPS’s | Shr | Against | For |
| lobbying activities. | ||||
| 6. | To reduce the voting power of UPS class A | Shr | For | Against |
| stock from 10 votes per share to one vote per | ||||
| share. | ||||
| 7. | To prepare a report on reducing UPS’s total | Shr | For | Against |
| contribution to climate change. | ||||
| 8. | To transition UPS to a public benefit | Shr | Against | For |
| corporation. | ||||
| 9. | To prepare a report assessing UPS’s diversity | Shr | For | Against |
| and inclusion efforts. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 176 of 192 |
Unassigned
| UNITEDHEALTH GROUP INCORPORATED | |||
| Security: | 91324P102 | Agenda Number: | 935414879 |
| Ticker: | UNH | Meeting Type: | Annual |
| ISIN: | US91324P1021 | Meeting Date: | 07-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Richard T. Burke | Mgmt | For | For |
| 1B. | Election of Director: Timothy P. Flynn | Mgmt | For | For |
| 1C. | Election of Director: Stephen J. Hemsley | Mgmt | For | For |
| 1D. | Election of Director: Michele J. Hooper | Mgmt | For | For |
| 1E. | Election of Director: F. William McNabb III | Mgmt | For | For |
| 1F. | Election of Director: Valerie C. Montgomery | Mgmt | For | For |
| Rice, M.D. | ||||
| 1G. | Election of Director: John H. Noseworthy, | Mgmt | For | For |
| M.D. | ||||
| 1H. | Election of Director: Gail R. Wilensky, Ph.D. | Mgmt | For | For |
| 1I. | Election of Director: Andrew Witty | Mgmt | For | For |
| 2. | Advisory approval of the Company’s | Mgmt | For | For |
| executive compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 177 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | Ratification of the appointment of Deloitte & | Mgmt | For | For |
| Touche LLP as the independent registered | ||||
| public accounting firm for the Company for | ||||
| the year ending December 31, 2021. | ||||
| 4. | Approval of an amendment to the | Mgmt | For | For |
| UnitedHealth Group 1993 Employee Stock | ||||
| Purchase Plan. | ||||
| 5. | If properly presented at the 2021 Annual | Shr | Against | For |
| Meeting of Shareholders, the shareholder | ||||
| proposal set forth in the proxy statement | ||||
| requesting a reduction of the share ownership | ||||
| threshold for calling a special meeting of | ||||
| shareholders. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 178 of 192 |
Unassigned
| VERIZON COMMUNICATIONS INC. | |||
| Security: | 92343V104 | Agenda Number: | 935364846 |
| Ticker: | VZ | Meeting Type: | Annual |
| ISIN: | US92343V1044 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1a. | Election of Director: Shellye L. Archambeau | Mgmt | For | For |
| 1b. | Election of Director: Roxanne S. Austin | Mgmt | For | For |
| 1c. | Election of Director: Mark T. Bertolini | Mgmt | For | For |
| 1d. | Election of Director: Melanie L. Healey | Mgmt | For | For |
| 1e. | Election of Director: Clarence Otis, Jr. | Mgmt | For | For |
| 1f. | Election of Director: Daniel H. Schulman | Mgmt | For | For |
| 1g. | Election of Director: Rodney E. Slater | Mgmt | For | For |
| 1h. | Election of Director: Hans E. Vestberg | Mgmt | For | For |
| 1i. | Election of Director: Gregory G. Weaver | Mgmt | For | For |
| 2 | Advisory Vote to Approve Executive Compensation | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 179 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3 | Ratification of Appointment of Independent | Mgmt | For | For |
| Registered Public Accounting Firm | ||||
| 4 | Shareholder Action by Written Consent | Shr | Against | For |
| 5 | Amend Clawback Policy | Shr | Against | For |
| 6 | Shareholder Ratification of Annual Equity Awards | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 180 of 192 |
Unassigned
| VF CORPORATION | |||
| Security: | 918204108 | Agenda Number: | 935235831 |
| Ticker: | VFC | Meeting Type: | Annual |
| ISIN: | US9182041080 | Meeting Date: | 28-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Richard T. Carucci | Mgmt | For | For | |
| 2 | Juliana L. Chugg | Mgmt | For | For | |
| 3 | Benno Dorer | Mgmt | For | For | |
| 4 | Mark S. Hoplamazian | Mgmt | For | For | |
| 5 | Laura W. Lang | Mgmt | For | For | |
| 6 | W. Alan McCollough | Mgmt | For | For | |
| 7 | W. Rodney McMullen | Mgmt | For | For | |
| 8 | Clarence Otis, Jr. | Mgmt | For | For | |
| 9 | Steven E. Rendle | Mgmt | For | For | |
| 10 | Carol L. Roberts | Mgmt | For | For | |
| 11 | Matthew J. Shattock | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 181 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 12 | Veronica B. Wu | Mgmt | For | For | |
| 2. | Advisory vote to approve named executive | Mgmt | Against | Against | |
| officer compensation. | |||||
| 3. | Ratification of the selection of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as VF’s | |||||
| independent registered public accounting firm | |||||
| for the 2021 fiscal year. | |||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 182 of 192 |
Unassigned
| VISA INC. | |||
| Security: | 92826C839 | Agenda Number: | 935315576 |
| Ticker: | V | Meeting Type: | Annual |
| ISIN: | US92826C8394 | Meeting Date: | 26-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Lloyd A. Carney | Mgmt | For | For |
| 1B. | Election of Director: Mary B. Cranston | Mgmt | For | For |
| 1C. | Election of Director: Francisco Javier | Mgmt | For | For |
| Fernández-Carbajal | ||||
| 1D. | Election of Director: Alfred F. Kelly, Jr. | Mgmt | For | For |
| 1E. | Election of Director: Ramon Laguarta | Mgmt | For | For |
| 1F. | Election of Director: John F. Lundgren | Mgmt | For | For |
| 1G. | Election of Director: Robert W. Matschullat | Mgmt | For | For |
| 1H. | Election of Director: Denise M. Morrison | Mgmt | For | For |
| 1I. | Election of Director: Suzanne Nora Johnson | Mgmt | For | For |
| 1J. | Election of Director: Linda J. Rendle | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 183 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director: John A. C. Swainson | Mgmt | For | For |
| 1L. | Election of Director: Maynard G. Webb, Jr. | Mgmt | For | For |
| 2. | Approval, on an advisory basis, of compensation paid to our named executive officers. | Mgmt | For | For |
| 3. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For |
| 4. | Approval of the Visa Inc. 2007 Equity Incentive Compensation Plan, as amended and restated. | Mgmt | For | For |
| 5. | Approval of an amendment to our Certificate of Incorporation to enable the adoption of a special meeting right for Class A common stockholders. | Mgmt | For | For |
| 6. | To vote on a stockholder proposal requesting stockholders’ right to act by written consent, if properly presented. | Shr | Against | For |
| 7. | To vote on a stockholder proposal to amend our principles of executive compensation program, if properly presented. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 184 of 192 |
Unassigned
| WALMART INC. | |||
| Security: | 931142103 | Agenda Number: | 935404866 |
| Ticker: | WMT | Meeting Type: | Annual |
| ISIN: | US9311421039 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Cesar Conde | Mgmt | For | For |
| 1B. | Election of Director: Timothy P. Flynn | Mgmt | For | For |
| 1C. | Election of Director: Sarah J. Friar | Mgmt | For | For |
| 1D. | Election of Director: Carla A. Harris | Mgmt | For | For |
| 1E. | Election of Director: Thomas W. Horton | Mgmt | For | For |
| 1F. | Election of Director: Marissa A. Mayer | Mgmt | For | For |
| 1G. | Election of Director: C. Douglas McMillon | Mgmt | For | For |
| 1H. | Election of Director: Gregory B. Penner | Mgmt | For | For |
| 1I. | Election of Director: Steven S Reinemund | Mgmt | For | For |
| 1J. | Election of Director: Randall L. Stephenson | Mgmt | For | For |
| 1K. | Election of Director: S. Robson Walton | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 185 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1L. | Election of Director: Steuart L. Walton | Mgmt | For | For |
| 2. | Advisory Vote to Approve Named Executive | Mgmt | Against | Against |
| Officer Compensation. | ||||
| 3. | Ratification of Ernst & Young LLP as | Mgmt | For | For |
| Independent Accountants. | ||||
| 4. | Report on Refrigerants Released from | Shr | Against | For |
| Operations. | ||||
| 5. | Report on Lobbying Disclosures. | Shr | Against | For |
| 6. | Report on Alignment of Racial Justice Goals | Shr | Against | For |
| and Starting Wages. | ||||
| 7. | Create a Pandemic Workforce Advisory | Shr | Against | For |
| Council. | ||||
| 8. | Report on Statement of the Purpose of a | Shr | Against | For |
| Corporation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 186 of 192 |
Unassigned
| WASTE MANAGEMENT, INC. | |||
| Security: | 94106L109 | Agenda Number: | 935369199 |
| Ticker: | WM | Meeting Type: | Annual |
| ISIN: | US94106L1098 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: James C. Fish, Jr. | Mgmt | For | For |
| 1B. | Election of Director: Andrés R. Gluski | Mgmt | For | For |
| 1C. | Election of Director: Victoria M. Holt | Mgmt | For | For |
| 1D. | Election of Director: Kathleen M. Mazzarella | Mgmt | For | For |
| 1E. | Election of Director: Sean E. Menke | Mgmt | For | For |
| 1F. | Election of Director: William B. Plummer | Mgmt | For | For |
| 1G. | Election of Director: John C. Pope | Mgmt | For | For |
| 1H. | Election of Director: Maryrose T. Sylvester | Mgmt | For | For |
| 1I. | Election of Director: Thomas H. Weidemeyer | Mgmt | For | For |
| 2. | Ratification of the appointment of Ernst & | Mgmt | For | For |
| Young LLP as the independent registered | ||||
| public accounting firm for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 187 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 3. | Non-binding, advisory proposal to approve | Mgmt | For | For |
| our executive compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 188 of 192 |
Unassigned
| WEC ENERGY GROUP, INC. | |||
| Security: | 92939U106 | Agenda Number: | 935346420 |
| Ticker: | WEC | Meeting Type: | Annual |
| ISIN: | US92939U1060 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Curt S. Culver | Mgmt | For | For |
| 1B. | Election of Director: Danny L. Cunningham | Mgmt | For | For |
| 1C. | Election of Director: William M. Farrow III | Mgmt | For | For |
| 1D. | Election of Director: J. Kevin Fletcher | Mgmt | For | For |
| 1E. | Election of Director: Cristina A. Garcia-Thomas | Mgmt | For | For |
| 1F. | Election of Director: Maria C. Green | Mgmt | For | For |
| 1G. | Election of Director: Gale E. Klappa | Mgmt | For | For |
| 1H. | Election of Director: Thomas K. Lane | Mgmt | For | For |
| 1I. | Election of Director: Ulice Payne, Jr. | Mgmt | For | For |
| 1J. | Election of Director: Mary Ellen Stanek | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 189 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 2. | Ratification of Deloitte & Touche LLP as | Mgmt | For | For |
| Independent Auditors for 2021. | ||||
| 3. | Approval of the Amendment and Restatement | Mgmt | For | For |
| of the WEC Energy Group Omnibus Stock | ||||
| Incentive Plan. | ||||
| 4. | Advisory Vote to Approve Executive | Mgmt | For | For |
| Compensation of the Named Executive | ||||
| Officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 190 of 192 |
Unassigned
| YUM! BRANDS, INC. | |||
| Security: | 988498101 | Agenda Number: | 935373198 |
| Ticker: | YUM | Meeting Type: | Annual |
| ISIN: | US9884981013 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Paget L. Alves | Mgmt | For | For |
| 1B. | Election of Director: Keith Barr | Mgmt | For | For |
| 1C. | Election of Director: Christopher M. Connor | Mgmt | For | For |
| 1D. | Election of Director: Brian C. Cornell | Mgmt | For | For |
| 1E. | Election of Director: Tanya L. Domier | Mgmt | For | For |
| 1F. | Election of Director: David W. Gibbs | Mgmt | For | For |
| 1G. | Election of Director: Mirian M. Graddick-Weir | Mgmt | For | For |
| 1H. | Election of Director: Lauren R. Hobart | Mgmt | For | For |
| 1I. | Election of Director: Thomas C. Nelson | Mgmt | For | For |
| 1J. | Election of Director: P. Justin Skala | Mgmt | For | For |
| 1K. | Election of Director: Elane B. Stock | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 191 of 192 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1L. | Election of Director: Annie Young-Scrivner | Mgmt | For | For |
| 2. | Ratification of Independent Auditors. | Mgmt | For | For |
| 3. | Advisory Vote on Executive Compensation. | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 192 of 192 |
Unassigned
| ZOETIS INC. | |||
| Security: | 98978V103 | Agenda Number: | 935383252 |
| Ticker: | ZTS | Meeting Type: | Annual |
| ISIN: | US98978V1035 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1A. | Election of Director: Sanjay Khosla | Mgmt | For | For |
| 1B. | Election of Director: Antoinette R. | Mgmt | For | For |
| Leatherberry | ||||
| 1C. | Election of Director: Willie M. Reed | Mgmt | For | For |
| 1D. | Election of Director: Linda Rhodes | Mgmt | For | For |
| 2. | Advisory vote to approve our executive | Mgmt | For | For |
| compensation (Say on Pay). | ||||
| 3. | Ratification of appointment of KPMG LLP as | Mgmt | For | For |
| our independent registered public accounting | ||||
| firm for 2021. | ||||
| 4. | Shareholder proposal regarding simple | Shr | For | Against |
| majority vote. |
O'Shares U.S. Small-Cap Quality Dividend ETF
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 1 of 157 |
Unassigned
| A.O. SMITH CORPORATION | |||
| Security: | 831865209 | Agenda Number: | 935340529 |
| Ticker: | AOS | Meeting Type: | Annual |
| ISIN: | US8318652091 | Meeting Date: | 13-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Ronald D. Brown | Mgmt | For | For | ||
| 2 | Dr. Ilham Kadri | Mgmt | For | For | ||
| 3 | Idelle K. Wolf | Mgmt | For | For | ||
| 4 | Gene C. Wulf | Mgmt | For | For | ||
| 2. | Proposal to approve, by nonbinding advisory | Mgmt | For | For | ||
| vote, the compensation of our named | ||||||
| executive officers. | ||||||
| 3. | Proposal to ratify the appointment of Ernst & | Mgmt | For | For | ||
| Young LLP as the independent registered | ||||||
| public accounting firm of the corporation. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 2 of 157 |
Unassigned
| ALLETE, INC. | |||
| Security: | 018522300 | Agenda Number: | 935359477 |
| Ticker: | ALE | Meeting Type: | Annual |
| ISIN: | US0185223007 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Kathryn W. Dindo | Mgmt | For | For | |
| 1B. | Election of Director: George G. Goldfarb | Mgmt | For | For | |
| 1C. | Election of Director: James J. Hoolihan | Mgmt | For | For | |
| 1D. | Election of Director: Heidi E. Jimmerson | Mgmt | For | For | |
| 1E. | Election of Director: Madeleine W. Ludlow | Mgmt | For | For | |
| 1F. | Election of Director: Susan K. Nestegard | Mgmt | For | For | |
| 1G. | Election of Director: Douglas C. Neve | Mgmt | For | For | |
| 1H. | Election of Director: Barbara A. Nick | Mgmt | For | For | |
| 1I. | Election of Director: Bethany M. Owen | Mgmt | For | For | |
| 1J. | Election of Director: Robert P. Powers | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 3 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | Advisory vote to approve executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | Ratification of the selection of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as ALLETE's | |||||
| independent registered public accounting firm | |||||
| for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 4 of 157 |
Unassigned
| AMERICAN STATES WATER COMPANY | |||
| Security: | 029899101 | Agenda Number: | 935372843 |
| Ticker: | AWR | Meeting Type: | Annual |
| ISIN: | US0298991011 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Ms. Sarah J. Anderson | Mgmt | For | For | ||
| 2 | Mr. Steven D. Davis | Mgmt | For | For | ||
| 3 | Ms. Anne M. Holloway | Mgmt | For | For | ||
| 2. | Advisory vote to approve the compensation of | Mgmt | For | For | ||
| our named executive officers. | ||||||
| 3. | To ratify the appointment of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP as the | ||||||
| independent registered public accounting | ||||||
| firm. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 5 of 157 |
Unassigned
| AMERISAFE, INC. | |||
| Security: | 03071H100 | Agenda Number: | 935426595 |
| Ticker: | AMSF | Meeting Type: | Annual |
| ISIN: | US03071H1005 | Meeting Date: | 11-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Philip A. Garcia | Mgmt | For | For | ||
| 2 | Millard E. Morris | Mgmt | For | For | ||
| 3 | Randall E. Roach | Mgmt | For | For | ||
| 2. | To approve, on an advisory basis, our | Mgmt | For | For | ||
| executive compensation as described in the | ||||||
| Proxy Statement. | ||||||
| 3. | To ratify the appointment of Ernst & Young | Mgmt | For | For | ||
| LLP as the Company's independent | ||||||
| registered public accounting firm for 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 6 of 157 |
Unassigned
| ARTISAN PARTNERS ASSET MANAGEMENT INC | |||
| Security: | 04316A108 | Agenda Number: | 935397629 |
| Ticker: | APAM | Meeting Type: | Annual |
| ISIN: | US04316A1088 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Jennifer A. Barbetta | Mgmt | For | For | ||
| 2 | Matthew R. Barger | Mgmt | For | For | ||
| 3 | Eric R. Colson | Mgmt | For | For | ||
| 4 | Tench Coxe | Mgmt | For | For | ||
| 5 | Stephanie G. DiMarco | Mgmt | For | For | ||
| 6 | Jeffrey A. Joerres | Mgmt | For | For | ||
| 7 | Andrew A. Ziegler | Mgmt | For | For | ||
| 2. | Ratification of the Appointment of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP as our | ||||||
| Independent Registered Public Accounting | ||||||
| Firm for the Fiscal Year Ending December 31, | ||||||
| 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 7 of 157 |
Unassigned
| AVISTA CORP. | |||
| Security: | 05379B107 | Agenda Number: | 935357435 |
| Ticker: | AVA | Meeting Type: | Annual |
| ISIN: | US05379B1070 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Kristianne Blake | Mgmt | For | For | |
| 1B. | Election of Director: Donald C. Burke | Mgmt | For | For | |
| 1C. | Election of Director: Rebecca A. Klein | Mgmt | For | For | |
| 1D. | Election of Director: Sena M. Kwawu | Mgmt | For | For | |
| 1E. | Election of Director: Scott H. Maw | Mgmt | For | For | |
| 1F. | Election of Director: Scott L. Morris | Mgmt | For | For | |
| 1G. | Election of Director: Jeffry L. Philipps | Mgmt | For | For | |
| 1H. | Election of Director: Heidi B. Stanley | Mgmt | For | For | |
| 1I. | Election of Director: R. John Taylor | Mgmt | For | For | |
| 1J. | Election of Director: Dennis P. Vermillion | Mgmt | For | For | |
| 1K. | Election of Director: Janet D. Widmann | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 8 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | Ratification of the appointment of Deloitte & | Mgmt | For | For | |
| Touche LLP as the Company's independent | |||||
| registered public accounting firm for 2021. | |||||
| 3. | Advisory (non-binding) vote on executive | Mgmt | For | For | |
| compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 9 of 157 |
Unassigned
| AVNET, INC. | |||
| Security: | 053807103 | Agenda Number: | 935271281 |
| Ticker: | AVT | Meeting Type: | Annual |
| ISIN: | US0538071038 | Meeting Date: | 17-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Rodney C. Adkins | Mgmt | For | For | |
| 1B. | Election of Director: Carlo Bozotti | Mgmt | For | For | |
| 1C. | Election of Director: Michael A. Bradley | Mgmt | For | For | |
| 1D. | Election of Director: Brenda L. Freeman | Mgmt | For | For | |
| 1E. | Election of Director: Jo Ann Jenkins | Mgmt | For | For | |
| 1F. | Election of Director: Oleg Khaykin | Mgmt | For | For | |
| 1G. | Election of Director: James A. Lawrence | Mgmt | For | For | |
| 1H. | Election of Director: Avid Modjtabai | Mgmt | For | For | |
| 1I. | Election of Director: Adalio T. Sanchez | Mgmt | For | For | |
| 1J. | Election of Director: William H. Schumann III | Mgmt | For | For | |
| 2. | Advisory vote on executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 10 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Ratification of appointment of KPMG LLP as | Mgmt | For | For | |
| the independent registered public accounting | |||||
| firm for the fiscal year ending July 3, 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 11 of 157 |
Unassigned
| AZZ INC. | |||
| Security: | 002474104 | Agenda Number: | 935219469 |
| Ticker: | AZZ | Meeting Type: | Annual |
| ISIN: | US0024741045 | Meeting Date: | 08-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Daniel E. Berce | Mgmt | For | For | ||
| 2 | Paul Eisman | Mgmt | For | For | ||
| 3 | Daniel R. Feehan | Mgmt | For | For | ||
| 4 | Thomas E. Ferguson | Mgmt | For | For | ||
| 5 | Kevern R. Joyce | Mgmt | For | For | ||
| 6 | Venita McCellon-Allen | Mgmt | For | For | ||
| 7 | Ed McGough | Mgmt | For | For | ||
| 8 | Steven R. Purvis | Mgmt | For | For | ||
| 2. | Approval of advisory vote on AZZ's executive | Mgmt | For | For | ||
| compensation program. | ||||||
| 3. | Ratification of appointment of Grant Thornton | Mgmt | For | For | ||
| LLP to serve as AZZ's independent registered | ||||||
| public accounting firm for the fiscal year | ||||||
| ending February 28, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 12 of 157 |
Unassigned
| BADGER METER, INC. | |||
| Security: | 056525108 | Agenda Number: | 935355520 |
| Ticker: | BMI | Meeting Type: | Annual |
| ISIN: | US0565251081 | Meeting Date: | 30-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Todd A. Adams | Mgmt | For | For | ||
| 2 | Kenneth C. Bockhorst | Mgmt | For | For | ||
| 3 | Gale E. Klappa | Mgmt | For | For | ||
| 4 | Gail A. Lione | Mgmt | For | For | ||
| 5 | James W. McGill | Mgmt | For | For | ||
| 6 | Tessa M. Myers | Mgmt | For | For | ||
| 7 | James F. Stern | Mgmt | For | For | ||
| 8 | Glen E. Tellock | Mgmt | For | For | ||
| 2. | ADVISORY VOTE TO APPROVE | Mgmt | For | For | ||
| COMPENSATION OF OUR NAMED | ||||||
| EXECUTIVE OFFICERS. | ||||||
| 3. | RATIFICATION OF THE APPOINTMENT OF | Mgmt | For | For | ||
| ERNST & YOUNG LLP AS INDEPENDENT | ||||||
| REGISTERED PUBLIC ACCOUNTANTS | ||||||
| FOR 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 13 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 4. | APPROVE BADGER METER, INC. 2021 | Mgmt | For | For | |
| OMNIBUS INCENTIVE PLAN. | |||||
| 5. | SHAREHOLDER PROPOSAL REQUESTING | Shr | For | Against | |
| A REPORT ON BOARD DIVERSITY. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 14 of 157 |
Unassigned
| BIO-TECHNE CORP | |||
| Security: | 09073M104 | Agenda Number: | 935270570 |
| Ticker: | TECH | Meeting Type: | Annual |
| ISIN: | US09073M1045 | Meeting Date: | 29-Oct-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1. | To set the number of Directors at nine. | Mgmt | For | For | |
| 2A. | Election of Director: Robert V. Baumgartner | Mgmt | For | For | |
| 2B. | Election of Director: Julie L. Bushman | Mgmt | For | For | |
| 2C. | Election of Director: John L. Higgins | Mgmt | For | For | |
| 2D. | Election of Director: Joseph D. Keegan | Mgmt | For | For | |
| 2E. | Election of Director: Charles R. Kummeth | Mgmt | For | For | |
| 2F. | Election of Director: Roeland Nusse | Mgmt | For | For | |
| 2G. | Election of Director: Alpna Seth | Mgmt | For | For | |
| 2H. | Election of Director: Randolph Steer | Mgmt | For | For | |
| 2I. | Election of Director: Rupert Vessey | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 15 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Cast a non-binding vote on named executive | Mgmt | For | For | |
| officer compensation. | |||||
| 4. | Approve an amendment and restatement to | Mgmt | For | For | |
| the Company's Second Amended and | |||||
| Restated 2010 Equity Incentive Plan to | |||||
| allocate 1,300,000 additional shares to the | |||||
| Plan reserve and to make certain additional | |||||
| amendments. | |||||
| 5. | Ratify the appointment of the Company's | Mgmt | For | For | |
| independent registered public accounting firm | |||||
| for the 2021 fiscal year. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 16 of 157 |
Unassigned
| BLACK HILLS CORPORATION | |||
| Security: | 092113109 | Agenda Number: | 935357497 |
| Ticker: | BKH | Meeting Type: | Annual |
| ISIN: | US0921131092 | Meeting Date: | 27-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Linden R. Evans | Mgmt | For | For | ||
| 2 | Barry M. Granger | Mgmt | For | For | ||
| 3 | Tony A. Jensen | Mgmt | For | For | ||
| 4 | Steven R. Mills | Mgmt | For | For | ||
| 5 | Scott M. Prochazka | Mgmt | For | For | ||
| 2. | Ratification of the appointment of Deloitte & | Mgmt | For | For | ||
| Touche LLP to serve as Black Hills | ||||||
| Corporation's independent registered public | ||||||
| accounting firm for 2021. | ||||||
| 3. | Advisory resolution to approve executive | Mgmt | For | For | ||
| compensation. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 17 of 157 |
Unassigned
| BOOZ ALLEN HAMILTON HOLDING CORPORATION | |||
| Security: | 099502106 | Agenda Number: | 935238508 |
| Ticker: | BAH | Meeting Type: | Annual |
| ISIN: | US0995021062 | Meeting Date: | 29-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Ralph W. Shrader | Mgmt | For | For | |
| 1B. | Election of Director: Joan Lordi C. Amble | Mgmt | For | For | |
| 1C. | Election of Director: Michèle A. Flournoy | Mgmt | For | For | |
| 2. | Ratification of the appointment of Ernst & | Mgmt | For | For | |
| Young LLP as the Company's registered | |||||
| independent public accountants for fiscal year | |||||
| 2021. | |||||
| 3. | Advisory vote to approve the compensation of | Mgmt | For | For | |
| the Company's named executive officers. | |||||
| 4. | Approval of the adoption of the Fifth Amended | Mgmt | For | For | |
| and Restated Certificate of Incorporation to, | |||||
| among other things, eliminate classification of | |||||
| the Board of Directors. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 18 of 157 | |||
Unassigned
| BORGWARNER INC. | |||
| Security: | 099724106 | Agenda Number: | 935350190 |
| Ticker: | BWA | Meeting Type: | Annual |
| ISIN: | US0997241064 | Meeting Date: | 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Nelda J. Connors | Mgmt | For | For | |
| 1B. | Election of Director: Dennis C. Cuneo | Mgmt | For | For | |
| 1C. | Election of Director: David S. Haffner | Mgmt | For | For | |
| 1D. | Election of Director: Michael S. Hanley | Mgmt | For | For | |
| 1E. | Election of Director: Frederic B. Lissalde | Mgmt | For | For | |
| 1F. | Election of Director: Paul A. Mascarenas | Mgmt | For | For | |
| 1G. | Election of Director: Shaun E. McAlmont | Mgmt | For | For | |
| 1H. | Election of Director: Deborah D. McWhinney | Mgmt | For | For | |
| 1I. | Election of Director: Alexis P. Michas | Mgmt | For | For | |
| 2. | Advisory approval of the compensation of our | Mgmt | For | For | |
| named executive officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 19 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Ratify the selection of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as independent | |||||
| registered public accounting firm for the | |||||
| Company for 2021. | |||||
| 4. | Stockholder proposal to enable 10% of | Shr | For | Against | |
| shares to request a record date to initiate | |||||
| stockholder written consent. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 20 of 157 | |||
Unassigned
| CARTER'S INC. | |||
| Security: | 146229109 | Agenda Number: | 935393087 |
| Ticker: | CRI | Meeting Type: | Annual |
| ISIN: | US1462291097 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Hali Borenstein | Mgmt | For | For | |
| 1B. | Election of Director: Giuseppina Buonfantino | Mgmt | For | For | |
| 1C. | Election of Director: Michael D. Casey | Mgmt | For | For | |
| 1D. | Election of Director: A. Bruce Cleverly | Mgmt | For | For | |
| 1E. | Election of Director: Jevin S. Eagle | Mgmt | For | For | |
| 1F. | Election of Director: Mark P. Hipp | Mgmt | For | For | |
| 1G. | Election of Director: William J. Montgoris | Mgmt | For | For | |
| 1H. | Election of Director: David Pulver | Mgmt | For | For | |
| 1I. | Election of Director: Gretchen W. Schar | Mgmt | For | For | |
| 2. | Advisory approval of executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 21 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| Company's independent registered public | |||||
| accounting firm for fiscal 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 22 of 157 |
Unassigned
| CASEY'S GENERAL STORES, INC. | |||
| Security: | 147528103 | Agenda Number: | 935251289 |
| Ticker: | CASY | Meeting Type: | Annual |
| ISIN: | US1475281036 | Meeting Date: | 02-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1a. | Election of Director: H. Lynn Horak | Mgmt | For | For | |
| 1b. | Election of Director: Diane C. Bridgewater | Mgmt | For | For | |
| 1c. | Election of Director: David K. Lenhardt | Mgmt | For | For | |
| 1d. | Election of Director: Darren M. Rebelez | Mgmt | For | For | |
| 1e. | Election of Director: Larree M. Renda | Mgmt | For | For | |
| 1f. | Election of Director: Judy A. Schmeling | Mgmt | For | For | |
| 1g. | Election of Director: Allison M. Wing | Mgmt | For | For | |
| 2. | To ratify the appointment of KPMG LLP as the | Mgmt | For | For | |
| independent registered public accounting firm | |||||
| of the Company for the fiscal year ending | |||||
| April 30, 2021. | |||||
| 3. | To hold an advisory vote on our named | Mgmt | For | For | |
| executive officer compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 23 of 157 | |||
Unassigned
| CHESAPEAKE UTILITIES CORPORATION | |||
| Security: | 165303108 | Agenda Number: | 935362842 |
| Ticker: | CPK | Meeting Type: | Annual |
| ISIN: | US1653031088 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director for three-years term: | Mgmt | For | For | |
| Thomas P. Hill, Jr. | |||||
| 1B. | Election of Director for three-years term: | Mgmt | For | For | |
| Dennis S. Hudson, III | |||||
| 1C. | Election of Director for two-years term: | Mgmt | For | For | |
| Calvert A. Morgan, Jr. | |||||
| 2. | Cast a non-binding advisory vote to approve | Mgmt | For | For | |
| the compensation of the Company's Named | |||||
| Executive Officers. | |||||
| 3. | Cast a non-binding advisory vote to ratify the | Mgmt | For | For | |
| appointment of the Company's independent | |||||
| registered public accounting firm, Baker Tilly | |||||
| US, LLP. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 24 of 157 | |||
Unassigned
| COGENT COMMUNICATIONS HOLDINGS, INC. | |||
| Security: | 19239V302 | Agenda Number: | 935351483 |
| Ticker: | CCOI | Meeting Type: | Annual |
| ISIN: | US19239V3024 | Meeting Date: | 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Dave Schaeffer | Mgmt | For | For | ||
| 2 | D. Blake Bath | Mgmt | For | For | ||
| 3 | Steven D. Brooks | Mgmt | For | For | ||
| 4 | Lewis H. Ferguson, III | Mgmt | For | For | ||
| 5 | Carolyn Katz | Mgmt | For | For | ||
| 6 | Sheryl Kennedy | Mgmt | For | For | ||
| 7 | Marc Montagner | Mgmt | For | For | ||
| 2. | To ratify the appointment of Ernst & Young | Mgmt | For | For | ||
| LLP as the independent registered public | ||||||
| accountants for the fiscal year ending | ||||||
| December 31, 2021. | ||||||
| 3. | To approve an amendment and restatement | Mgmt | For | For | ||
| of the Company's 2017 Incentive Award Plan | ||||||
| including an increase in the number of shares | ||||||
| available for issuance thereunder by 1.2 | ||||||
| million shares. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 25 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 4. | Non-binding advisory vote to approve named | Mgmt | For | For | |
| executive officer compensation. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 26 of 157 | |||
Unassigned
| COHEN & STEERS, INC. | |||
| Security: | 19247A100 | Agenda Number: | 935359124 |
| Ticker: | CNS | Meeting Type: | Annual |
| ISIN: | US19247A1007 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Martin Cohen | Mgmt | For | For | |
| 1B. | Election of Director: Robert H. Steers | Mgmt | For | For | |
| 1C. | Election of Director: Joseph M. Harvey | Mgmt | For | For | |
| 1D. | Election of Director: Reena Aggarwal | Mgmt | For | For | |
| 1E. | Election of Director: Frank T. Connor | Mgmt | For | For | |
| 1F. | Election of Director: Peter L. Rhein | Mgmt | For | For | |
| 1G. | Election of Director: Richard P. Simon | Mgmt | For | For | |
| 1H. | Election of Director: Dasha Smith | Mgmt | For | For | |
| 1I. | Election of Director: Edmond D. Villani | Mgmt | For | For | |
| 2. | Ratification of Deloitte & Touche LLP as the | Mgmt | For | For | |
| company's independent registered public | |||||
| accounting firm for fiscal year ending | |||||
| December 31, 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 27 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Approval, by non-binding vote, of the | Mgmt | For | For | |
| compensation of the company's named | |||||
| executive officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 28 of 157 | |||
Unassigned
| CRACKER BARREL OLD COUNTRY STORE, INC. | |||
| Security: | 22410J106 | Agenda Number: | 935280026 |
| Ticker: | CBRL | Meeting Type: | Contested Annual |
| ISIN: | US22410J1060 | Meeting Date: | 19-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Thomas H. Barr | Mgmt | For | For | ||
| 2 | Carl T. Berquist | Mgmt | For | For | ||
| 3 | Sandra B. Cochran | Mgmt | For | For | ||
| 4 | Meg G. Crofton | Mgmt | For | For | ||
| 5 | Gilbert R. Dávila | Mgmt | For | For | ||
| 6 | Norman E. Johnson | Mgmt | For | For | ||
| 7 | William W. McCarten | Mgmt | For | For | ||
| 8 | Coleman H. Peterson | Mgmt | For | For | ||
| 9 | Gisel Ruiz | Mgmt | For | For | ||
| 10 | Andrea M. Weiss | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 29 of 157 | |||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | TO APPROVE, ON AN ADVISORY BASIS, | Mgmt | Against | Against | |
| THE COMPENSATION OF THE COMPANY'S | |||||
| NAMED EXECUTIVE OFFICERS. | |||||
| 3. | TO APPROVE THE CRACKER BARREL OLD | Mgmt | For | For | |
| COUNTRY STORE, INC. 2020 OMNIBUS | |||||
| INCENTIVE PLAN. | |||||
| 4. | TO RATIFY THE APPOINTMENT OF | Mgmt | For | For | |
| DELOITTE & TOUCHE LLP AS THE | |||||
| COMPANY'S INDEPENDENT REGISTERED | |||||
| PUBLIC ACCOUNTING FIRM FOR THE 2021 | |||||
| FISCAL YEAR. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 30 of 157 |
Unassigned
| CSG SYSTEMS INTERNATIONAL, INC. | |||
| Security: | 126349109 | Agenda Number: | 935378124 |
| Ticker: | CSGS | Meeting Type: | Annual |
| ISIN: | US1263491094 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Brian A. Shepherd | Mgmt | For | For | |
| 1B. | Election of Director: Frank V. Sica | Mgmt | For | For | |
| 1C. | Election of Director: Silvio Tavares | Mgmt | For | For | |
| 1D. | Election of Director: Tse Li "Lily" Yang | Mgmt | For | For | |
| 2. | To approve, on an advisory basis, the | Mgmt | Against | Against | |
| compensation of our named executive | |||||
| officers. | |||||
| 3. | To ratify the appointment of KPMG LLP as our | Mgmt | For | For | |
| independent registered public accounting firm | |||||
| for fiscal 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 31 of 157 |
Unassigned
| DESIGNER BRANDS INC. | |||
| Security: | 250565108 | Agenda Number: | 935228355 |
| Ticker: | DBI | Meeting Type: | Annual |
| ISIN: | US2505651081 | Meeting Date: | 14-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Harvey L. Sonnenberg | Mgmt | For | For | ||
| 2 | Allan J. Tanenbaum | Mgmt | For | For | ||
| 2. | Ratification of the appointment of Deloitte & | Mgmt | For | For | ||
| Touche LLP as our independent registered | ||||||
| accounting firm for the fiscal year ending | ||||||
| January 30, 2021. | ||||||
| 3. | Advisory, non-binding vote on the | Mgmt | For | For | ||
| compensation paid to our named executive | ||||||
| officers. | ||||||
| 4. | Approval of the amendment and restatement | Mgmt | Against | Against | ||
| of the Designer Brands Inc. 2014 Long-Term | ||||||
| Incentive Plan. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 32 of 157 |
Unassigned
| DOLBY LABORATORIES, INC. | |||
| Security: | 25659T107 | Agenda Number: | 935317506 |
| Ticker: | DLB | Meeting Type: | Annual |
| ISIN: | US25659T1079 | Meeting Date: | 02-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Kevin Yeaman | Mgmt | For | For | ||
| 2 | Peter Gotcher | Mgmt | For | For | ||
| 3 | Micheline Chau | Mgmt | For | For | ||
| 4 | David Dolby | Mgmt | For | For | ||
| 5 | Simon Segars | Mgmt | For | For | ||
| 6 | Roger Siboni | Mgmt | For | For | ||
| 7 | Anjali Sud | Mgmt | For | For | ||
| 8 | Avadis Tevanian, Jr. | Mgmt | For | For | ||
| 2. | An advisory vote to approve Named | Mgmt | For | For | ||
| Executive Officer compensation. | ||||||
| 3. | Ratification of the appointment of KPMG LLP | Mgmt | For | For | ||
| as the Company's independent registered | ||||||
| public accounting firm for the fiscal year | ||||||
| ending September 24, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 33 of 157 | |||
Unassigned
| DONALDSON COMPANY, INC. | |||
| Security: | 257651109 | Agenda Number: | 935278994 |
| Ticker: | DCI | Meeting Type: | Annual |
| ISIN: | US2576511099 | Meeting Date: | 20-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Tod E. Carpenter | Mgmt | For | For | ||
| 2 | Pilar Cruz | Mgmt | For | For | ||
| 3 | Ajita G. Rajendra | Mgmt | For | For | ||
| 2. | A non-binding advisory vote on the | Mgmt | For | For | ||
| compensation of our Named Executive | ||||||
| Officers. | ||||||
| 3. | Ratification of the appointment of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP as Donaldson | ||||||
| Company, Inc.'s independent registered | ||||||
| public accounting firm for the fiscal year | ||||||
| ending July 31, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 34 of 157 | ||||
Unassigned
| ENCOMPASS HEALTH CORPORATION | |||
| Security: | 29261A100 | Agenda Number: | 935360343 |
| Ticker: | EHC | Meeting Type: | Annual |
| ISIN: | US29261A1007 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director to serve until 2022 Annual Meeting: Greg D. Carmichael | Mgmt | For | For |
| 1B. | Election of Director to serve until 2022 Annual Meeting: John W. Chidsey | Mgmt | For | For |
| 1C. | Election of Director to serve until 2022 Annual Meeting: Donald L. Correll | Mgmt | For | For |
| 1D. | Election of Director to serve until 2022 Annual Meeting: Yvonne M. Curl | Mgmt | For | For |
| 1E. | Election of Director to serve until 2022 Annual Meeting: Charles M. Elson | Mgmt | For | For |
| 1F. | Election of Director to serve until 2022 Annual Meeting: Joan E. Herman | Mgmt | For | For |
| 1G. | Election of Director to serve until 2022 Annual Meeting: Leo I. Higdon, Jr. | Mgmt | For | For |
| 1H. | Election of Director to serve until 2022 Annual Meeting: Leslye G. Katz | Mgmt | For | For |
| 1I. | Election of Director to serve until 2022 Annual Meeting: Patricia A. Maryland | Mgmt | For | For |
| 1J. | Election of Director to serve until 2022 Annual Meeting: John E. Maupin, Jr. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
Page 35 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director to serve until 2022 Annual Meeting: Nancy M. Schlichting | Mgmt | For | For |
| 1L. | Election of Director to serve until 2022 Annual Meeting: L. Edward Shaw, Jr. | Mgmt | For | For |
| 1M. | Election of Director to serve until 2022 Annual Meeting: Mark J. Tarr | Mgmt | For | For |
| 1N. | Election of Director to serve until 2022 Annual Meeting: Terrance Williams | Mgmt | For | For |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2021. | Mgmt | For | For |
| 3. | An advisory vote to approve executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 36 of 157 | ||||
Unassigned
| ERIE INDEMNITY COMPANY | |||
| Security: | 29530P102 | Agenda Number: | 935345327 |
| Ticker: | ERIE | Meeting Type: | Annual |
| ISIN: | US29530P1021 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1. | Non-Voting agenda | Mgmt | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 37 of 157 | ||||
Unassigned
| EVERCORE INC. | |||
| Security: | 29977A105 | Agenda Number: | 935424301 |
| Ticker: | EVR | Meeting Type: | Annual |
| ISIN: | US29977A1051 | Meeting Date: | 17-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Roger C. Altman | Mgmt | For | For | |
| 2 | Richard I. Beattie | Mgmt | For | For | |
| 3 | Pamela G. Carlton | Mgmt | For | For | |
| 4 | Ellen V. Futter | Mgmt | For | For | |
| 5 | Gail B. Harris | Mgmt | For | For | |
| 6 | Robert B. Millard | Mgmt | For | For | |
| 7 | Willard J. Overlock Jr | Mgmt | For | For | |
| 8 | Sir Simon M. Robertson | Mgmt | For | For | |
| 9 | Ralph L. Schlosstein | Mgmt | For | For | |
| 10 | John S. Weinberg | Mgmt | For | For | |
| 11 | William J. Wheeler | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 38 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 12 Sarah K. Williamson | Mgmt | For | For | |
| 13 Kendrick R. Wilson III | Mgmt | For | For | |
| 2. | To approve, on an advisory basis, the executive compensation of our Named Executive Officers. | Mgmt | For | For |
| 3. | To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 39 of 157 | ||||
Unassigned
| EXPONENT, INC. | |||
| Security: | 30214U102 | Agenda Number: | 935401656 |
| Ticker: | EXPO | Meeting Type: | Annual |
| ISIN: | US30214U1025 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1.1 | Election of Director: George H. Brown | Mgmt | For | For |
| 1.2 | Election of Director: Catherine Ford Corrigan, Ph.D. | Mgmt | For | For |
| 1.3 | Election of Director: Paul R. Johnston, Ph.D. | Mgmt | For | For |
| 1.4 | Election of Director: Carol Lindstrom | Mgmt | For | For |
| 1.5 | Election of Director: Karen A. Richardson | Mgmt | For | For |
| 1.6 | Election of Director: John B. Shoven, Ph.D. | Mgmt | For | For |
| 1.7 | Election of Director: Debra L. Zumwalt | Mgmt | For | For |
| 2. | To ratify the appointment of KPMG LLP, as independent registered public accounting firm for the Company for the fiscal year ending December 31, 2021. | Mgmt | For | For |
| 3. | To approve, on an advisory basis, the fiscal 2020 compensation of the Company's named executive officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 40 of 157 | ||||
Unassigned
| FIDELITY NATIONAL FINANCIAL, INC. | |||
| Security: | 31620R303 | Agenda Number: | 935420896 |
| Ticker: | FNF | Meeting Type: | Annual |
| ISIN: | US31620R3030 | Meeting Date: | 16-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Raymond R. Quirk | Mgmt | For | For | |
| 2 | Sandra D. Morgan | Mgmt | For | For | |
| 3 | Heather H. Murren | Mgmt | For | For | |
| 4 | John D. Rood | Mgmt | For | For | |
| 2. | Approval of a non-binding advisory resolution on the compensation paid to our named executive officers. | Mgmt | For | For | |
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 41 of 157 | ||||
Unassigned
| FIRST AMERICAN FINANCIAL CORPORATION | |||
| Security: | 31847R102 | Agenda Number: | 935380559 |
| Ticker: | FAF | Meeting Type: | Annual |
| ISIN: | US31847R1023 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1. | DIRECTOR | |||
| 1 Dennis J. Gilmore | Mgmt | For | For | |
| 2 Margaret M. McCarthy | Mgmt | For | For | |
| 3 Martha B. Wyrsch | Mgmt | For | For | |
| 2. | Advisory vote to approve executive compensation. | Mgmt | For | For |
| 3. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 42 of 157 | ||||
Unassigned
| FIRSTCASH, INC. | |||
| Security: | 33767D105 | Agenda Number: | 935404171 |
| Ticker: | FCFS | Meeting Type: | Annual |
| ISIN: | US33767D1054 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Rick L. Wessel | Mgmt | For | For |
| 1B. | Election of Director: James H. Graves | Mgmt | For | For |
| 2. | Ratification of the selection of RSM US LLP as the independent registered public accounting firm of the Company for the year ending December 31, 2021. | Mgmt | For | For |
| 3. | Approve, by non-binding vote, the compensation of named executive officers as described in the Proxy Statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 43 of 157 | ||||
Unassigned
| FLIR SYSTEMS, INC. | |||
| Security: | 302445101 | Agenda Number: | 935403624 |
| Ticker: | FLIR | Meeting Type: | Special |
| ISIN: | US3024451011 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1. | To adopt the Agreement and Plan of Merger by and among Teledyne Technologies Incorporated ("Teledyne"), Firework Merger Sub I, Inc. ("Merger Sub I"), Firework Merger Sub II, LLC ("Merger Sub II"), and FLIR Systems, Inc. ("FLIR"), pursuant to which Merger Sub I will merge with and into FLIR, with FLIR surviving, and immediately thereafter FLIR will merge with and into Merger Sub II ("Mergers"), with Merger Sub II surviving and continuing as a wholly owned subsidiary of Teledyne ("FLIR Merger Proposal"). | Mgmt | For | For |
| 2. | To approve, on a non-binding, advisory basis, the compensation that will or may become payable to FLIR's named executive officers in connection with the Mergers. | Mgmt | For | For |
| 3. | To approve one or more adjournments of the special meeting of stockholders of FLIR, if necessary or appropriate, to solicit additional proxies if there are insufficient votes to approve the FLIR Merger Proposal at the time of the special meeting. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 44 of 157 | ||||
Unassigned
| FLOWERS FOODS, INC. | |||
| Security: | 343498101 | Agenda Number: | 935383719 |
| Ticker: | FLO | Meeting Type: | Annual |
| ISIN: | US3434981011 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director to serve for a term of one year: George E. Deese | Mgmt | For | For |
| 1B. | Election of Director to serve for a term of one year: Edward J. Casey, Jr. | Mgmt | For | For |
| 1C. | Election of Director to serve for a term of one year: Thomas C. Chubb, III | Mgmt | For | For |
| 1D. | Election of Director to serve for a term of one year: Rhonda Gass | Mgmt | For | For |
| 1E. | Election of Director to serve for a term of one year: Benjamin H. Griswold, IV | Mgmt | For | For |
| 1F. | Election of Director to serve for a term of one year: Margaret G. Lewis | Mgmt | For | For |
| 1G. | Election of Director to serve for a term of one year: W. Jameson McFadden | Mgmt | For | For |
| 1H. | Election of Director to serve for a term of one year: A. Ryals McMullian | Mgmt | For | For |
| 1I. | Election of Director to serve for a term of one year: James T. Spear | Mgmt | For | For |
| 1J. | Election of Director to serve for a term of one year: Melvin T. Stith, Ph.D. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 45 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1K. | Election of Director to serve for a term of one year: Terry S. Thomas | Mgmt | For | For |
| 1L. | Election of Director to serve for a term of one year: C. Martin Wood III | Mgmt | For | For |
| 2. | To approve by advisory vote the compensation of the company's named executive officers. | Mgmt | For | For |
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for Flowers Foods, Inc. for the fiscal year ending January 1, 2022. | Mgmt | For | For |
| 4. | A shareholder proposal regarding political contribution disclosure, if properly presented at the annual meeting. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 46 of 157 | ||||
Unassigned
| FRANKLIN ELECTRIC CO., INC. | |||
| Security: | 353514102 | Agenda Number: | 935359314 |
| Ticker: | FELE | Meeting Type: | Annual |
| ISIN: | US3535141028 | Meeting Date: | 07-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Elect the Director for term expiring at the 2024 Annual Meeting of Shareholders: Gregg C. Sengstack | Mgmt | For | For |
| 1B. | Elect the Director for term expiring at the 2024 Annual Meeting of Shareholders: David M. Wathen | Mgmt | For | For |
| 2. | Ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For |
| 3. | Approve, on an advisory basis, the executive compensation of the Named Executive Officers as disclosed in the Proxy Statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 47 of 157 | ||||
Unassigned
| GENPACT LIMITED | |||
| Security: | G3922B107 | Agenda Number: | 935364024 |
| Ticker: | G | Meeting Type: | Annual |
| ISIN: | BMG3922B1072 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: N.V. Tyagarajan | Mgmt | For | For |
| 1B. | Election of Director: James Madden | Mgmt | For | For |
| 1C. | Election of Director: Ajay Agrawal | Mgmt | For | For |
| 1D. | Election of Director: Stacey Cartwright | Mgmt | For | For |
| 1E. | Election of Director: Laura Conigliaro | Mgmt | For | For |
| 1F. | Election of Director: Tamara Franklin | Mgmt | For | For |
| 1G. | Election of Director: Carol Lindstrom | Mgmt | For | For |
| 1H. | Election of Director: CeCelia Morken | Mgmt | For | For |
| 1I. | Election of Director: Mark Nunnelly | Mgmt | For | For |
| 1J. | Election of Director: Brian Stevens | Mgmt | For | For |
| 1K. | Election of Director: Mark Verdi | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 48 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | To approve, on a non-binding, advisory basis, the compensation of our named executive officers. | Mgmt | For | For |
| 3. | To approve the appointment of KPMG as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 49 of 157 | ||||
Unassigned
| GENTEX CORPORATION | |||
| Security: | 371901109 | Agenda Number: | 935380028 |
| Ticker: | GNTX | Meeting Type: | Annual |
| ISIN: | US3719011096 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Ms. Leslie Brown | Mgmt | For | For | |
| 2 | Mr. Steve Downing | Mgmt | For | For | |
| 3 | Mr. Gary Goode | Mgmt | For | For | |
| 4 | Mr. James Hollars | Mgmt | For | For | |
| 5 | Mr. Richard Schaum | Mgmt | For | For | |
| 6 | Ms. Kathleen Starkoff | Mgmt | For | For | |
| 7 | Mr. Brian Walker | Mgmt | For | For | |
| 8 | Mr. James Wallace | Mgmt | For | For | |
| 9 | Dr. Ling Zang | Mgmt | For | For | |
| 2. | To ratify the appointment of Ernst & Young LLP as the Company's auditors for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 50 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | To approve, on an advisory basis, compensation of the Company's named executive officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 51 of 157 | ||||
Unassigned
| GRACO INC. | |||
| Security: | 384109104 | Agenda Number: | 935344488 |
| Ticker: | GGG | Meeting Type: | Annual |
| ISIN: | US3841091040 | Meeting Date: | 23-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A) | Election of Director: Brett C. Carter | Mgmt | For | For |
| 1B) | Election of Director: R. William Van Sant | Mgmt | For | For |
| 1C) | Election of Director: Emily C. White | Mgmt | For | For |
| 2. | Ratification of appointment of Deloitte & Touche LLP as the Company's independent registered accounting firm. | Mgmt | For | For |
| 3. | Approval, on an advisory basis, of the compensation paid to our named executive officers as disclosed in the Proxy Statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 52 of 157 | ||||
Unassigned
| GRAHAM HOLDINGS COMPANY | |||
| Security: | 384637104 | Agenda Number: | 935367614 |
| Ticker: | GHC | Meeting Type: | Annual |
| ISIN: | US3846371041 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 | Tony Allen | Mgmt | For | For | |
| 2 | Christopher C. Davis | Mgmt | For | For | |
| 3 | Anne M. Mulcahy | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 53 of 157 | ||||
Unassigned
| H&R BLOCK, INC. | |||
| Security: | 093671105 | Agenda Number: | 935254223 |
| Ticker: | HRB | Meeting Type: | Annual |
| ISIN: | US0936711052 | Meeting Date: | 10-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1A. | Election of Director: Paul J. Brown | Mgmt | For | For |
| 1B. | Election of Director: Robert A. Gerard | Mgmt | For | For |
| 1C. | Election of Director: Anuradha (Anu) Gupta | Mgmt | For | For |
| 1D. | Election of Director: Richard A. Johnson | Mgmt | For | For |
| 1E. | Election of Director: Jeffrey J. Jones II | Mgmt | For | For |
| 1F. | Election of Director: David Baker Lewis | Mgmt | For | For |
| 1G. | Election of Director: Yolande G. Piazza | Mgmt | For | For |
| 1H. | Election of Director: Victoria J. Reich | Mgmt | For | For |
| 1I. | Election of Director: Bruce C. Rohde | Mgmt | For | For |
| 1J. | Election of Director: Matthew E. Winter | Mgmt | For | For |
| 1K. | Election of Director: Christianna Wood | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 54 of 157 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending April 30, 2021. | Mgmt | For | For |
| 3. | Advisory approval of the Company's named executive officer compensation. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 55 of 157 | ||||
Unassigned
| HANESBRANDS INC. | |||
| Security: | 410345102 | Agenda Number: | 935343474 |
| Ticker: | HBI | Meeting Type: | Annual |
| ISIN: | US4103451021 | Meeting Date: | 27-Apr-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Cheryl K. Beebe | Mgmt | For | For |
| 1B. | Election of Director: Stephen B. Bratspies | Mgmt | For | For |
| 1C. | Election of Director: Geralyn R. Breig | Mgmt | For | For |
| 1D. | Election of Director: Bobby J. Griffin | Mgmt | For | For |
| 1E. | Election of Director: James C. Johnson | Mgmt | For | For |
| 1F. | Election of Director: Franck J. Moison | Mgmt | For | For |
| 1G. | Election of Director: Robert F. Moran | Mgmt | For | For |
| 1H. | Election of Director: Ronald L. Nelson | Mgmt | For | For |
| 1I. | Election of Director: Ann E. Ziegler | Mgmt | For | For |
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as Hanesbrands' independent registered public accounting firm for Hanesbrands' 2021 fiscal year. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 56 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 3. | To approve, on an advisory basis, named executive officer compensation as described in the proxy statement for the Annual Meeting. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 57 of 157 | ||||
Unassigned
| HAWAIIAN ELECTRIC INDUSTRIES, INC. | |||
| Security: | 419870100 | Agenda Number: | 935361725 |
| Ticker: | HE | Meeting Type: | Annual |
| ISIN: | US4198701009 | Meeting Date: | 07-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Richard J. Dahl | Mgmt | For | For |
| 1B. | Election of Director: Constance H. Lau | Mgmt | For | For |
| 1C. | Election of Director: Micah A. Kane | Mgmt | For | For |
| 2. | Advisory vote to approve the compensation of HEI's named executive officers. | Mgmt | For | For |
| 3. | Ratification of the appointment of Deloitte & Touche LLP as HEI's independent registered public accountant for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 58 of 157 | ||||
Unassigned
| HEALTHCARE SERVICES GROUP, INC. | |||
| Security: | 421906108 | Agenda Number: | 935406036 |
| Ticker: | HCSG | Meeting Type: | Annual |
| ISIN: | US4219061086 | Meeting Date: | 01-Jun-21 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | John M. Briggs | Mgmt | For | For | |
| 2 | Diane S. Casey | Mgmt | For | For | |
| 3 | Daniela Castagnino | Mgmt | For | For | |
| 4 | Robert L. Frome | Mgmt | For | For | |
| 5 | Laura Grant | Mgmt | For | For | |
| 6 | John J. McFadden | Mgmt | For | For | |
| 7 | Dino D. Ottaviano | Mgmt | For | For | |
| 8 | Jude Visconto | Mgmt | For | For | |
| 9 | Theodore Wahl | Mgmt | For | For | |
| 2. | To approve and ratify the selection of Grant Thornton LLP as the independent registered public accounting firm of the Company for the current fiscal year ending December 31, 2021. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 59 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 3. | To hold an advisory vote to approve the compensation of the named executive officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 60 of 157 | ||||
Unassigned
| HILL-ROM HOLDINGS, INC. | |||
| Security: | 431475102 | Agenda Number: | 935325806 |
| Ticker: | HRC | Meeting Type: | Annual |
| ISIN: | US4314751029 | Meeting Date: | 10-Mar-21 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | William G. Dempsey | Mgmt | For | For | |
| 2 | John P. Groetelaars | Mgmt | For | For | |
| 3 | Gary L. Ellis | Mgmt | For | For | |
| 4 | Stacy Enxing Seng | Mgmt | For | For | |
| 5 | Mary Garrett | Mgmt | For | For | |
| 6 | James R. Giertz | Mgmt | For | For | |
| 7 | William H. Kucheman | Mgmt | For | For | |
| 8 | Gregory J. Moore | Mgmt | For | For | |
| 9 | Felicia F. Norwood | Mgmt | For | For | |
| 10 | Nancy M. Schlichting | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 61 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 2. | To approve, on an advisory basis, the | Mgmt | For | For |
| compensation of Hill-Rom Holdings, Inc.'s named executive officers. | ||||
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as Hill-Rom Holdings, Inc.'s independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For |
| 4. | To approve the 2021 Hill- Rom Holdings, Inc. Stock Incentive Plan. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 62 of 157 | ||||
Unassigned
| IDACORP, INC. | |||
| Security: | 451107106 | Agenda Number: | 935382882 |
| Ticker: | IDA | Meeting Type: | Annual |
| ISIN: | US4511071064 | Meeting Date: | 20-May-21 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | Darrel T. Anderson | Mgmt | For | For | |
| 2 | Odette C. Bolano | Mgmt | For | For | |
| 3 | Thomas E. Carlile | Mgmt | For | For | |
| 4 | Richard J. Dahl | Mgmt | For | For | |
| 5 | Annette G. Elg | Mgmt | For | For | |
| 6 | Lisa A. Grow | Mgmt | For | For | |
| 7 | Ronald W. Jibson | Mgmt | For | For | |
| 8 | Judith A. Johansen | Mgmt | For | For | |
| 9 | Dennis L. Johnson | Mgmt | For | For | |
| 10 | Richard J. Navarro | Mgmt | For | For | |
| 11 | Mark T. Peters | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 63 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 2. | Advisory resolution to approve executive compensation. | Mgmt | For | For |
| 3. | Ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 64 of 157 | ||||
Unassigned
| INGREDION INC | |||
| Security: | 457187102 | Agenda Number: | 935373009 |
| Ticker: | INGR | Meeting Type: | Annual |
| ISIN: | US4571871023 | Meeting Date: | 19-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director for a term of one year: | Mgmt | For | For |
| Luis Aranguren- Trellez | ||||
| 1B. | Election of Director for a term of one year: | Mgmt | For | For |
| David B. Fischer | ||||
| 1C. | Election of Director for a term of one year: | Mgmt | For | For |
| Paul Hanrahan | ||||
| 1D. | Election of Director for a term of one year: | Mgmt | For | For |
| Rhonda L. Jordan | ||||
| 1E. | Election of Director for a term of one year: | Mgmt | For | For |
| Gregory B. Kenny | ||||
| 1F. | Election of Director for a term of one year: | Mgmt | For | For |
| Barbara A. Klein | ||||
| 1G. | Election of Director for a term of one year: | Mgmt | For | For |
| Victoria J. Reich | ||||
| 1H. | Election of Director for a term of one year: | Mgmt | For | For |
| Stephan B. Tanda | ||||
| 1I. | Election of Director for a term of one year: | Mgmt | For | For |
| Jorge A. Uribe | ||||
| 1J. | Election of Director for a term of one year: | Mgmt | For | For |
| Dwayne A. Wilson |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 65 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1K. | Election of Director for a term of one year: | Mgmt | For | For |
| James P. Zallie | ||||
| 2. | To approve, by advisory vote, the compensation of the Company's "named executive officers." | Mgmt | For | For |
| 3. | To ratify the appointment of KPMG LLP as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2021. | Mgmt | For | For |
| 4. | To approve an amendment to the Ingredion Incorporated Stock Incentive Plan to increase the number of shares of common stock authorized for issuance under the plan. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 66 of 157 | ||||
Unassigned
| INTERDIGITAL, INC. | |||
| Security: | 45867G101 | Agenda Number: | 935400755 |
| Ticker: | IDCC | Meeting Type: | Annual |
| ISIN: | US45867G1013 | Meeting Date: | 02-Jun-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Lawrence (Liren) Chen | Mgmt | For | For |
| 1B. | Election of Director: Joan H. Gillman | Mgmt | For | For |
| 1C. | Election of Director: S. Douglas Hutcheson | Mgmt | For | For |
| 1D. | Election of Director: John A. Kritzmacher | Mgmt | For | For |
| 1E. | Election of Director: Pierre-Yves Lesaicherre | Mgmt | For | For |
| 1F. | Election of Director: John D. Markley, Jr. | Mgmt | For | For |
| 1G. | Election of Director: Jean F. Rankin | Mgmt | For | For |
| 2. | Approval of the Amendment to the 2017 Equity Incentive Plan to increase the number of shares of stock authorized for issuance under the plan. | Mgmt | For | For |
| 3. | Advisory resolution to approve executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 67 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 4. | Ratification of PricewaterhouseCoopers LLP as the independent registered public accounting firm of InterDigital, Inc. for the year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 68 of 157 | ||||
Unassigned
| ITT INC. | |||
| Security: | 45073V108 | Agenda Number: | 935380357 |
| Ticker: | ITT | Meeting Type: | Annual |
| ISIN: | US45073V1089 | Meeting Date: | 19-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Orlando D. Ashford | Mgmt | For | For |
| 1B. | Election of Director: Geraud Darnis | Mgmt | For | For |
| 1C. | Election of Director: Donald DeFosset, Jr. | Mgmt | For | For |
| 1D. | Election of Director: Nicholas C. Fanandakis | Mgmt | For | For |
| 1E. | Election of Director: Richard P. Lavin | Mgmt | For | For |
| 1F. | Election of Director: Mario Longhi | Mgmt | For | For |
| 1G. | Election of Director: Rebecca A. McDonald | Mgmt | For | For |
| 1H. | Election of Director: Timothy H. Powers | Mgmt | For | For |
| 1I. | Election of Director: Luca Savi | Mgmt | For | For |
| 1J. | Election of Director: Cheryl L. Shavers | Mgmt | For | For |
| 1K. | Election of Director: Sabrina Soussan | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 69 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 2. | Ratification of the appointment of Deloitte & Touche LLP as the independent registered public accounting firm of the Company for the 2021 fiscal year. | Mgmt | For | For |
| 3. | Approval of an advisory vote on executive compensation. | Mgmt | For | For |
| 4. | A shareholder proposal regarding special shareholder meetings. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 70 of 157 | ||||
Unassigned
| J & J SNACK FOODS CORP. | |||
| Security: | 466032109 | Agenda Number: | 935320490 |
| Ticker: | JJSF | Meeting Type: | Annual |
| ISIN: | US4660321096 | Meeting Date: | 10-Feb-21 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | Peter G. Stanley | Mgmt | For | For | |
| 2. | ADVISORY VOTE ON APPROVAL OF THE COMPENSATION OF EXECUTIVES. | Mgmt | Against | Against | |
| 3. | VOTE ON APPROVAL OF THE AMENDED AND RESTATED LONG-TERM INCENTIVE PLAN. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 71 of 157 | ||||
Unassigned
| JOHN WILEY & SONS, INC. | |||
| Security: | 968223206 | Agenda Number: | 935259778 |
| Ticker: | JWA | Meeting Type: | Annual |
| ISIN: | US9682232064 | Meeting Date: | 24-Sep-20 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | Beth Birnbaum | Mgmt | For | For | |
| 2 | David C. Dobson | Mgmt | For | For | |
| 3 | Mariana Garavaglia | Mgmt | For | For | |
| 4 | William Pence | Mgmt | For | For | |
| 2. | Ratification of the appointment of KPMG LLP as independent accountants for the fiscal year ending April 30, 2021. | Mgmt | For | For | |
| 3. | Approval, on an advisory basis, of the compensation of the named executive officers. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 72 of 157 | ||||
Unassigned
| KEMPER CORPORATION | |||
| Security: | 488401100 | Agenda Number: | 935359148 |
| Ticker: | KMPR | Meeting Type: | Annual |
| ISIN: | US4884011002 | Meeting Date: | 05-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Teresa A. Canida | Mgmt | For | For |
| 1B. | Election of Director: George N. Cochran | Mgmt | For | For |
| 1C. | Election of Director: Kathleen M. Cronin | Mgmt | For | For |
| 1D. | Election of Director: Lacy M. Johnson | Mgmt | For | For |
| 1E. | Election of Director: Robert J. Joyce | Mgmt | For | For |
| 1F. | Election of Director: Joseph P. Lacher, Jr. | Mgmt | For | For |
| 1G. | Election of Director: Gerald Laderman | Mgmt | For | For |
| 1H. | Election of Director: Stuart B. Parker | Mgmt | For | For |
| 1I. | Election of Director: Christopher B. Sarofim | Mgmt | For | For |
| 1J. | Election of Director: David P. Storch | Mgmt | For | For |
| 1K. | Election of Director: Susan D. Whiting | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 73 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 2. | Advisory vote to ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accountant for 2021. | Mgmt | For | For |
| 3. | Advisory vote to approve the compensation of the Company's Named Executive Officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 74 of 157 | ||||
Unassigned
| LANCASTER COLONY CORPORATION | |||
| Security: | 513847103 | Agenda Number: | 935284101 |
| Ticker: | LANC | Meeting Type: | Annual |
| ISIN: | US5138471033 | Meeting Date: | 11-Nov-20 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | Robert L. Fox | Mgmt | For | For | |
| 2 | John B. Gerlach, Jr. | Mgmt | For | For | |
| 3 | Robert P. Ostryniec | Mgmt | For | For | |
| 2. | To approve, by non-binding vote, the compensation of the Corporation's named executive officers. | Mgmt | For | For | |
| 3. | To ratify the selection of Deloitte & Touche, LLP as the Corporation's independent registered public accounting firm for the year ending June 30, 2021. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 75 of 157 | ||||
Unassigned
| LANDSTAR SYSTEM, INC. | |||
| Security: | 515098101 | Agenda Number: | 935360040 |
| Ticker: | LSTR | Meeting Type: | Annual |
| ISIN: | US5150981018 | Meeting Date: | 12-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election Of Director: James B. Gattoni | Mgmt | For | For |
| 1B. | Election Of Director: Anthony J. Orlando | Mgmt | For | For |
| 2. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For |
| 3. | Advisory vote to approve executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 76 of 157 | ||||
Unassigned
| LAZARD LTD | |||
| Security: | G54050102 | Agenda Number: | 935350126 |
| Ticker: | LAZ | Meeting Type: | Annual |
| ISIN: | BMG540501027 | Meeting Date: | 29-Apr-21 |
| For/Against | |||||
| Proposed | Management's | ||||
| Prop. # | Proposal | by | Proposal Vote | Recommendation | |
| 1. | DIRECTOR | ||||
| 1 | Ann-Kristin Achleitner | Mgmt | For | For | |
| 2 | Andrew M. Alper | Mgmt | For | For | |
| 3 | Ashish Bhutani | Mgmt | For | For | |
| 2. | Non-binding advisory vote regarding executive compensation. | Mgmt | For | For | |
| 3. | Approval of the Amendment to the Lazard Ltd 2018 Incentive Compensation Plan. | Mgmt | Against | Against | |
| 4. | Ratification of appointment of Deloitte & Touche LLP as Lazard Ltd's independent registered public accounting firm for 2021 and authorization of the Board of Directors, acting by its Audit Committee, to set their remuneration. | Mgmt | For | For | |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 77 of 157 | ||||
Unassigned
| LEAR CORPORATION | |||
| Security: | 521865204 | Agenda Number: | 935381133 |
| Ticker: | LEA | Meeting Type: | Annual |
| ISIN: | US5218652049 | Meeting Date: | 20-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Mei-Wei Cheng | Mgmt | For | For |
| 1B. | Election of Director: Jonathan F. Foster | Mgmt | For | For |
| 1C. | Election of Director: Bradley M. Halverson | Mgmt | For | For |
| 1D. | Election of Director: Mary Lou Jepsen | Mgmt | For | For |
| 1E. | Election of Director: Roger A. Krone | Mgmt | For | For |
| 1F. | Election of Director: Patricia L. Lewis | Mgmt | For | For |
| 1G. | Election of Director: Kathleen A. Ligocki | Mgmt | For | For |
| 1H. | Election of Director: Conrad L. Mallett, Jr. | Mgmt | For | For |
| 1I. | Election of Director: Raymond E. Scott | Mgmt | For | For |
| 1J. | Election of Director: Gregory C. Smith | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 78 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 2. | Ratification of the retention of Ernst & Young LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
| 3. | Approve, in a non-binding advisory vote, Lear Corporation's executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 79 of 157 | ||||
Unassigned
| LEGGETT & PLATT, INCORPORATED | |||
| Security: | 524660107 | Agenda Number: | 935385244 |
| Ticker: | LEG | Meeting Type: | Annual |
| ISIN: | US5246601075 | Meeting Date: | 25-May-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | ELECTION OF DIRECTOR: MARK A. BLINN | Mgmt | For | For |
| 1B. | ELECTION OF DIRECTOR: ROBERT E. BRUNNER | Mgmt | For | For |
| 1C. | ELECTION OF DIRECTOR: MARY CAMPBELL | Mgmt | For | For |
| 1D. | Election of Director: J. Mitchell Dolloff | Mgmt | For | For |
| 1E. | Election of Director: Manuel A. Fernandez | Mgmt | For | For |
| 1F. | Election of Director: Karl G. Glassman | Mgmt | For | For |
| 1G. | Election of Director: Joseph W. McClanathan | Mgmt | For | For |
| 1H. | Election of Director: Judy C. Odom | Mgmt | For | For |
| 1I. | Election of Director: Srikanth Padmanabhan | Mgmt | For | For |
| 1J. | Election of Director: Jai Shah | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 80 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1K | Election of Director: Phoebe A. Wood | Mgmt | For | For |
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021.Ratification of the selection of | Mgmt | For | For |
| 3. | An advisory vote to approve named executive officer compensation as described in the Company's proxy statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 81 of 157 | ||||
Unassigned
| LITTELFUSE, INC. | |||
| Security: | 537008104 | Agenda Number: | 935344337 |
| Ticker: | LFUS | Meeting Type: | Annual |
| ISIN: | US5370081045 | Meeting Date: | 22-Apr-21 |
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 1A. | Election of Director: Kristina Cerniglia | Mgmt | For | For |
| 1B. | Election of Director: Tzau-Jin Chung | Mgmt | For | For |
| 1C. | Election of Director: Cary Fu | Mgmt | For | For |
| 1D. | Election of Director: Maria Green | Mgmt | For | For |
| 1E. | Election of Director: Anthony Grillo | Mgmt | For | For |
| 1F. | Election of Director: David Heinzmann | Mgmt | For | For |
| 1G. | Election of Director: Gordon Hunter | Mgmt | For | For |
| 1H. | Election of Director: William Noglows | Mgmt | For | For |
| 1I. | Election of Director: Nathan Zommer | Mgmt | For | For |
| 2. | Advisory vote to approve executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
| Page 82 of 157 | ||||
| For/Against | ||||
| Proposed | Management's | |||
| Prop. # | Proposal | by | Proposal Vote | Recommendation |
| 3. | Approve and ratify the appointment of Grant Thornton LLP as the Company's independent auditors for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 83 of 157 |
Unassigned
| M.D.C. HOLDINGS, INC. | |||
| Security: | 552676108 | Agenda Number: | 935342321 |
| Ticker: | MDC | Meeting Type: | Annual |
| ISIN: | US5526761086 | Meeting Date: | 26-Apr-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Raymond T. Baker | Mgmt | For | For | ||
| 2 | David E. Blackford | Mgmt | For | For | ||
| 3 | Courtney L. Mizel | Mgmt | For | For | ||
| 2. | To approve an advisory proposal regarding the compensation of the Company's named executive officers (Say on Pay). | Mgmt | Against | Against | ||
| 3. | To approve the M.D.C. Holdings, Inc. 2021 Equity Incentive Plan. | Mgmt | For | For | ||
| 4. | To ratify the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 84 of 157 |
Unassigned
| MANTECH INTERNATIONAL CORP. | |||
| Security: | 564563104 | Agenda Number: | 935402432 |
| Ticker: | MANT | Meeting Type: | Annual |
| ISIN: | US5645631046 | Meeting Date: | 21-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | George J. Pedersen | Mgmt | For | For | ||
| 2 | Kevin M. Phillips | Mgmt | For | For | ||
| 3 | Richard L. Armitage | Mgmt | For | For | ||
| 4 | Mary K. Bush | Mgmt | For | For | ||
| 5 | Barry G. Campbell | Mgmt | For | For | ||
| 6 | Richard J. Kerr | Mgmt | For | For | ||
| 7 | Peter B. LaMontagne | Mgmt | For | For | ||
| 8 | Kenneth A. Minihan | Mgmt | For | For | ||
| 2. | Ratify the appointment of Deloitte & Touche LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 85 of 157 |
Unassigned
| MAXIMUS, INC. | |||
| Security: | 577933104 | Agenda Number: | 935330035 |
| Ticker: | MMS | Meeting Type: | Annual |
| ISIN: | US5779331041 | Meeting Date: | 16-Mar-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 1A. | Election of Class I Director: John J. Haley | Mgmt | For | For | |
| 1B. | Election of Class II Director: Jan D. Madsen | Mgmt | For | For | |
| 1C. | Election of Class III Director: Bruce L. Caswell | Mgmt | For | For | |
| 1D. | Election of Class III Director: Richard A. Montoni | Mgmt | For | For | |
| 1E. | Election of Class III Director: Raymond B. Ruddy | Mgmt | For | For | |
| 2. | The approval of 2021 Omnibus Incentive Plan. | Mgmt | For | For | |
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent public accountants for our 2021 fiscal year. | Mgmt | For | For | |
| 4. | Advisory vote to approve the compensation of the Named Executive Officers. | Mgmt | For | For | |
| 5. | A shareholder proposal pertaining to the disclosure by the Company of certain lobbying expenditures and activities. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 86 of 157 |
Unassigned
| MDU RESOURCES GROUP, INC. | |||
| Security: | 552690109 | Agenda Number: | 935362993 |
| Ticker: | MDU | Meeting Type: | Annual |
| ISIN: | US5526901096 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 1A. | Election of Director: Thomas Everist | Mgmt | For | For | |
| 1B. | Election of Director: Karen B. Fagg | Mgmt | For | For | |
| 1C. | Election of Director: David L. Goodin | Mgmt | For | For | |
| 1D. | Election of Director: Dennis W. Johnson | Mgmt | For | For | |
| 1E. | Election of Director: Patricia L. Moss | Mgmt | For | For | |
| 1F. | Election of Director: Dale S. Rosenthal | Mgmt | For | For | |
| 1G. | Election of Director: Edward A. Ryan | Mgmt | For | For | |
| 1H. | Election of Director: David M. Sparby | Mgmt | For | For | |
| 1I. | Election of Director: Chenxi Wang | Mgmt | For | For | |
| 2. | Advisory Vote to Approve the Compensation Paid to the Company's Named Executive Officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 87 of 157 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 3. | Ratification of the Appointment of Deloitte & Touche LLP as the Company's Independent Registered Public Accounting Firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 88 of 157 |
Unassigned
| MGE ENERGY, INC. | |||
| Security: | 55277P104 | Agenda Number: | 935369454 |
| Ticker: | MGEE | Meeting Type: | Annual |
| ISIN: | US55277P1049 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Marcia M. Anderson | Mgmt | For | For | ||
| 2 | Jeffrey M. Keebler | Mgmt | For | For | ||
| 3 | Gary J. Wolter | Mgmt | For | For | ||
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the year 2021. | Mgmt | For | For | ||
| 3. | Advisory Vote: Approval of the compensation of the named executive officers as disclosed in the proxy statement under the heading “Executive Compensation”. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 89 of 157 |
Unassigned
| MOELIS & COMPANY | |||
| Security: | 60786M105 | Agenda Number: | 935404208 |
| Ticker: | MC | Meeting Type: | Annual |
| ISIN: | US60786M1053 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Kenneth Moelis | Mgmt | For | For | ||
| 2 | Eric Cantor | Mgmt | For | For | ||
| 3 | John A. Allison IV | Mgmt | For | For | ||
| 4 | Yolanda Richardson | Mgmt | For | For | ||
| 5 | Kenneth L. Shropshire | Mgmt | For | For | ||
| 2. | To approve, on an advisory basis, the compensation of our Named Executive Officers. | Mgmt | For | For | ||
| 3. | Proposal to ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 90 of 157 |
Unassigned
| MONOLITHIC POWER SYSTEMS, INC. | |||
| Security: | 609839105 | Agenda Number: | 935418966 |
| Ticker: | MPWR | Meeting Type: | Annual |
| ISIN: | US6098391054 | Meeting Date: | 10-Jun-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Eugen Elmiger | Mgmt | For | For | ||
| 2 | Jeff Zhou | Mgmt | For | For | ||
| 2. | Ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | ||
| 3. | Approve, on an advisory basis, the 2020 executive compensation. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 91 of 157 |
Unassigned
| MORNINGSTAR, INC. | |||
| Security: | 617700109 | Agenda Number: | 935361650 |
| Ticker: | MORN | Meeting Type: | Annual |
| ISIN: | US6177001095 | Meeting Date: | 14-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 1A. | Election of Director: Joe Mansueto | Mgmt | For | For | |
| 1B. | Election of Director: Kunal Kapoor | Mgmt | For | For | |
| 1C. | Election of Director: Robin Diamonte | Mgmt | For | For | |
| 1D. | Election of Director: Cheryl Francis | Mgmt | For | For | |
| 1E. | Election of Director: Steve Joynt | Mgmt | For | For | |
| 1F. | Election of Director: Steve Kaplan | Mgmt | For | For | |
| 1G. | Election of Director: Gail Landis | Mgmt | For | For | |
| 1H. | Election of Director: Bill Lyons | Mgmt | For | For | |
| 1I. | Election of Director: Doniel Sutton | Mgmt | For | For | |
| 1J. | Election of Director: Caroline Tsay | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 92 of 157 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 2. | Approve the Morningstar, Inc. Amended and Restated 2011 Stock Incentive Plan. | Mgmt | For | For | |
| 3. | Advisory vote to approve executive compensation. | Mgmt | For | For | |
| 4. | Ratification of the appointment of KPMG LLP as Morningstar's independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 93 of 157 |
Unassigned
| MSA SAFETY INCORPORATED | |||
| Security: | 553498106 | Agenda Number: | 935352663 |
| Ticker: | MSA | Meeting Type: | Annual |
| ISIN: | US5534981064 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Sandra Phillips Rogers | Mgmt | For | For | ||
| 2 | John T. Ryan III | Mgmt | For | For | ||
| 2. | Selection of Ernst & Young LLP as the Company's independent registered public accounting firm. | Mgmt | For | For | ||
| 3. | To provide an advisory vote to approve the executive compensation of the Company's named executive officers. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 94 of 157 |
Unassigned
| MSC INDUSTRIAL DIRECT CO., INC. | |||
| Security: | 553530106 | Agenda Number: | 935317227 |
| Ticker: | MSM | Meeting Type: | Annual |
| ISIN: | US5535301064 | Meeting Date: | 27-Jan-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Mitchell Jacobson | Mgmt | Withheld | Against | ||
| 2 | Erik Gershwind | Mgmt | For | For | ||
| 3 | Louise Goeser | Mgmt | For | For | ||
| 4 | Michael Kaufmann | Mgmt | For | For | ||
| 5 | Steven Paladino | Mgmt | For | For | ||
| 6 | Philip Peller | Mgmt | For | For | ||
| 7 | Rudina Seseri | Mgmt | For | For | ||
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For | ||
| 3. | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | For | For | ||
| 4. | To approve the amendment and restatement of our associate stock purchase plan. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 95 of 157 |
Unassigned
| NATIONAL FUEL GAS COMPANY | |||
| Security: | 636180101 | Agenda Number: | 935329626 |
| Ticker: | NFG | Meeting Type: | Annual |
| ISIN: | US6361801011 | Meeting Date: | 11-Mar-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | David H. Anderson | Mgmt | No vote | |||
| 2 | David P. Bauer | Mgmt | No vote | |||
| 3 | Barbara M. Baumann | Mgmt | No vote | |||
| 4 | Rebecca Ranich | Mgmt | No vote | |||
| 2. | Advisory approval of named executive officer compensation | Mgmt | For | For | ||
| 3. | Approval of an amendment of the Restated Certificate of Incorporation to declassify the Board of Directors | Mgmt | For | For | ||
| 4. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal 2021 | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 96 of 157 |
Unassigned
| NATIONAL GENERAL HOLDINGS CORP. | |||
| Security: | 636220303 | Agenda Number: | 935267434 |
| Ticker: | NGHC | Meeting Type: | Special |
| ISIN: | US6362203035 | Meeting Date: | 30-Sep-20 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 1. | To adopt the Agreement and Plan of Merger, dated as of July 7, 2020 (as it may be amended from time to time, the "Merger Agreement"), by and among National General Holdings Corp., a Delaware corporation (the "Company"), The Allstate Corporation, a Delaware corporation ("Parent"), and Bluebird Acquisition Corp., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which, subject to the satisfaction of customary closing conditions, Merger Sub will be merged with and into the Company (the "Merger"). | Mgmt | For | For | |
| 2. | To approve, on a non-binding, advisory basis, the compensation payments that will or may be paid or become payable to the Company's named executive officers and that are based on or otherwise relate to the Merger and the agreements and understandings pursuant to which such compensation will or may be paid or become payable. | Mgmt | For | For | |
| 3. | To approve the adjournment of the special meeting, if necessary or appropriate, including to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the proposal to adopt the Merger Agreement or in the absence of a quorum. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 97 of 157 |
Unassigned
| NATIONAL HEALTHCARE CORPORATION | |||
| Security: | 635906100 | Agenda Number: | 935385307 |
| Ticker: | NHC | Meeting Type: | Annual |
| ISIN: | US6359061008 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |||
| 1A. | Re-election of director to hold office for a three year term: J. Paul Abernathy | Mgmt | For | For | |||
| 1B. | Re-election of director to hold office for a three year term: Robert G. Adams | Mgmt | Against | Against | |||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 98 of 157 |
Unassigned
| NATIONAL INSTRUMENTS CORPORATION | |||
| Security: | 636518102 | Agenda Number: | 935359732 |
| Ticker: | NATI | Meeting Type: | Annual |
| ISIN: | US6365181022 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | Gayla J. Delly | Mgmt | For | For | ||
| 2 | Gerhard P. Fettweis | Mgmt | For | For | ||
| 3 | Duy-Loan T. Le | Mgmt | For | For | ||
| 2. | To approve an advisory (non-binding) proposal concerning National Instruments Corporation's executive compensation program. | Mgmt | For | For | ||
| 3. | To ratify the appointment of Ernst & Young LLP as National Instruments Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 99 of 157 |
Unassigned
| NEW JERSEY RESOURCES CORPORATION | |||
| Security: | 646025106 | Agenda Number: | 935312760 |
| Ticker: | NJR | Meeting Type: | Annual |
| ISIN: | US6460251068 | Meeting Date: | 20-Jan-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | ||
| 1. | DIRECTOR | |||||
| 1 | M. William Howard, Jr.# | Mgmt | For | For | ||
| 2 | Donald L. Correll* | Mgmt | For | For | ||
| 3 | J.H. DeGraffenreidt Jr* | Mgmt | For | For | ||
| 4 | M. Susan Hardwick* | Mgmt | For | For | ||
| 5 | George R. Zoffinger* | Mgmt | For | For | ||
| 2. | To approve a non-binding advisory resolution approving the compensation of our named executive officers. | Mgmt | For | For | ||
| 3. | To ratify the appointment by the Audit Committee of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 100 of 157 |
Unassigned
| NEWS CORP | |||
| Security: | 65249B109 | Agenda Number: | 935282323 |
| Ticker: | NWSA | Meeting Type: | Annual |
| ISIN: | US65249B1098 | Meeting Date: | 18-Nov-20 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation | |
| 1. | YOU ARE CORDIALLY INVITED TO ATTEND THE ANNUAL MEETING OF STOCKHOLDERS OF NEWS CORPORATION (THE "COMPANY") TO BE HELD ON WEDNESDAY, NOVEMBER 18, 2020 AT 3:00 PM EST EXCLUSIVELY VIA LIVE WEBCAST. PLEASE USE THE FOLLOWING URL TO ACCESS THE MEETING (WWW.VIRTUALSHAREHOLDERMEETING. COM/NWS2020). | Mgmt | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 101 of 157 |
Unassigned
| NIC INC. | |||
| Security: | 62914B100 | Agenda Number: | 935358437 |
| Ticker: | EGOV | Meeting Type: | Special |
| ISIN: | US62914B1008 | Meeting Date: | 19-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | To adopt the Agreement and Plan of Merger, dated as of February 9, 2021, as may be amended from time to time (which we refer to as the “merger agreement”), by and among NIC Inc. (which we refer to as “NIC”), Tyler Technologies Inc. (which we refer to as “Tyler”) and Topos Acquisition, Inc. (which we refer to as “Merger Sub”), pursuant to which Merger Sub will merge with and into NIC (which we refer to as the “merger”), and NIC will continue as the surviving corporation and a wholly-owned subsidiary of Tyler. | Mgmt | For | For | |
| 2. | To approve, on a non-binding advisory basis, specified compensation that may be paid or become payable to NIC’s named executive officers in connection with the merger and contemplated by the merger agreement. | Mgmt | For | For | |
| 3. | To approve one or more adjournments of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to constitute a quorum or to approve the proposal to adopt the merger agreement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 102 of 157 |
Unassigned
| NORTHWEST NATURAL HOLDING COMPANY | |||
| Security: | 66765N105 | Agenda Number: | 935400123 |
| Ticker: | NWN | Meeting Type: | Annual |
| ISIN: | US66765N1054 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Timothy P. Boyle* | Mgmt | For | For | ||
| 2 | Monica Enand* | Mgmt | For | For | ||
| 3 | Hon. Dave McCurdy* | Mgmt | For | For | ||
| 4 | Malia H. Wasson* | Mgmt | For | For | ||
| 5 | Karen Lee** | Mgmt | For | For | ||
| 6 | Nathan I. Partain** | Mgmt | For | For | ||
| 2. | Advisory vote to approve Named Executive Officer Compensation. | Mgmt | For | For | ||
| 3. | The ratification of the appointment of PricewaterhouseCoopers LLP as Northwest Natural Holding Company’s independent registered public accountants for the fiscal year 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 103 of 157 |
Unassigned
| NORTHWESTERN CORPORATION | |||
| Security: | 668074305 | Agenda Number: | 935340858 |
| Ticker: | NWE | Meeting Type: | Annual |
| ISIN: | US6680743050 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Anthony T. Clark | Mgmt | For | For | ||
| 2 | Dana J. Dykhouse | Mgmt | For | For | ||
| 3 | Jan R. Horsfall | Mgmt | For | For | ||
| 4 | Britt E. Ide | Mgmt | For | For | ||
| 5 | Linda G. Sullivan | Mgmt | For | For | ||
| 6 | Robert C. Rowe | Mgmt | For | For | ||
| 7 | Mahvash Yazdi | Mgmt | For | For | ||
| 8 | Jeffrey W. Yingling | Mgmt | For | For | ||
| 2. | Ratification of Deloitte & Touche LLP as the independent registered public accounting firm for 2021. | Mgmt | For | For | ||
| 3. | Approval of the Equity Compensation Plan. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 104 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 4. | Advisory vote to approve named executive officer compensation. | Mgmt | For | For | |
| 5. | Transaction of any other matters and business as may properly come before the annual meeting or any postponement or adjournment of the annual meeting. | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 105 of 157 |
Unassigned
| ONE GAS, INC | |||
| Security: | 68235P108 | Agenda Number: | 935388478 |
| Ticker: | OGS | Meeting Type: | Annual |
| ISIN: | US68235P1084 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1.1 | Election of Director: Robert B. Evans | Mgmt | For | For | |
| 1.2 | Election of Director: John W. Gibson | Mgmt | For | For | |
| 1.3 | Election of Director: Tracy E. Hart | Mgmt | For | For | |
| 1.4 | Election of Director: Michael G. Hutchinson | Mgmt | For | For | |
| 1.5 | Election of Director: Pattye L. Moore | Mgmt | For | For | |
| 1.6 | Election of Director: Pierce H. Norton II | Mgmt | For | For | |
| 1.7 | Election of Director: Eduardo A. Rodriguez | Mgmt | For | For | |
| 1.8 | Election of Director: Douglas H. Yaeger | Mgmt | For | For | |
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of ONE Gas, Inc. for the year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 106 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3. | Amendment and restatement of the ESP Plan to authorize an additional 550,000 shares of ONE Gas, Inc. common stock for issuance under the plan and to introduce new holding requirements and transfer restrictions for plan participants. | Mgmt | For | For | |
| 4. | Advisory vote to approve the Company’s executive compensation. | Mgmt | For | For | |
| 5. | Advisory vote to approve the frequency of advisory votes on the Company’s executive compensation. | Mgmt | 1 Year | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 107 of 157 |
Unassigned
| OTTER TAIL CORPORATION | |||
| Security: | 689648103 | Agenda Number: | 935339069 |
| Ticker: | OTTR | Meeting Type: | Annual |
| ISIN: | US6896481032 | Meeting Date: | 12-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Karen M. Bohn | Mgmt | For | For | ||
| 2 | Charles S. MacFarlane | Mgmt | For | For | ||
| 3 | Thomas J. Webb | Mgmt | For | For | ||
| 2. | Amend and restate the Articles of Incorporation to increase the maximum number of Directors from nine (9) to eleven (11). | Mgmt | For | For | ||
| 3. | Advisory vote approving the compensation provided to executive officers. | Mgmt | For | For | ||
| 4. | To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the year 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 108 of 157 |
Unassigned
| PNM RESOURCES, INC. | |||
| Security: | 69349H107 | Agenda Number: | 935324397 |
| Ticker: | PNM | Meeting Type: | Special |
| ISIN: | US69349H1077 | Meeting Date: | 12-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | Approve the Agreement and Plan of Merger, dated as of October 20, 2020, as it may be amended from time to time, or the merger agreement, by and among PNM Resources, Inc. (the Company), Avangrid, Inc. and NM Green Holdings, Inc. | Mgmt | For | For | |
| 2. | Approve, by non-binding, advisory vote, certain existing compensation arrangements for the Company’s named executive officers in connection with the merger contemplated by the merger agreement. | Mgmt | For | For | |
| 3. | Approve one or more adjournments of the special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve the merger agreement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 109 of 157 |
Unassigned
| PNM RESOURCES, INC. | |||
| Security: | 69349H107 | Agenda Number: | 935369719 |
| Ticker: | PNM | Meeting Type: | Annual |
| ISIN: | US69349H1077 | Meeting Date: | 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Vicky A. Bailey | Mgmt | For | For | |
| 1B. | Election of Director: Norman P. Becker | Mgmt | For | For | |
| 1C. | Election of Director: Patricia K. Collawn | Mgmt | For | For | |
| 1D. | Election of Director: E. Renae Conley | Mgmt | For | For | |
| 1E. | Election of Director: Alan J. Fohrer | Mgmt | For | For | |
| 1F. | Election of Director: Sidney M. Gutierrez | Mgmt | For | For | |
| 1G. | Election of Director: James A. Hughes | Mgmt | For | For | |
| 1H. | Election of Director: Maureen T. Mullarkey | Mgmt | For | For | |
| 1I. | Election of Director: Donald K. Schwanz | Mgmt | For | For | |
| 2. | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 110 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3. | Approve, on an advisory basis, the compensation of our named executive officers as disclosed in the 2021 proxy statement. | Mgmt | For | For | |
| 4. | Publish a report on costs and benefits of voluntary climate- related activities. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 111 of 157 |
Unassigned
| PORTLAND GENERAL ELECTRIC CO | |||
| Security: | 736508847 | Agenda Number: | 935346963 |
| Ticker: | POR | Meeting Type: | Annual |
| ISIN: | US7365088472 | Meeting Date: | 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Rodney Brown | Mgmt | For | For | |
| 1B. | Election of Director: Jack Davis | Mgmt | For | For | |
| 1C. | Election of Director: Kirby Dyess | Mgmt | For | For | |
| 1D. | Election of Director: Mark Ganz | Mgmt | For | For | |
| 1E. | Election of Director: Marie Oh Huber | Mgmt | For | For | |
| 1F. | Election of Director: Kathryn Jackson, PhD | Mgmt | For | For | |
| 1G. | Election of Director: Michael Lewis | Mgmt | For | For | |
| 1H. | Election of Director: Michael Millegan | Mgmt | For | For | |
| 1I. | Election of Director: Neil Nelson | Mgmt | For | For | |
| 1J. | Election of Director: Lee Pelton, PhD | Mgmt | For | For | |
| 1K. | Election of Director: Maria Pope | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 112 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: James Torgerson | Mgmt | For | For | |
| 2. | To approve, by a non-binding vote, the compensation of the Company’s named executive officers. | Mgmt | For | For | |
| 3. | To ratify the appointment of Deloitte and Touche LLP as the Company’s independent registered public accounting firm for the fiscal year 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 113 of 157 |
Unassigned
| PREMIER, INC. | |||
| Security: | 74051N102 | Agenda Number: | 935285343 |
| Ticker: | PINC | Meeting Type: | Annual |
| ISIN: | US74051N1028 | Meeting Date: | 04-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | John T. Bigalke | Mgmt | For | For | ||
| 2 | Helen M. Boudreau | Mgmt | For | For | ||
| 3 | Stephen R. D’Arcy | Mgmt | For | For | ||
| 4 | Marc D. Miller | Mgmt | For | For | ||
| 2. | Ratification of the appointment of Ernst & Young LLP to serve as our independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For | ||
| 3. | Approval, on an advisory basis, of the compensation of our named executive officers as disclosed in the proxy statement for the | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 114 of 157 |
Unassigned
| PROGRESS SOFTWARE CORPORATION | |||
| Security: | 743312100 | Agenda Number: | 935409020 |
| Ticker: | PRGS | Meeting Type: | Annual |
| ISIN: | US7433121008 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Paul T. Dacier | Mgmt | For | For | ||
| 2 | John R. Egan | Mgmt | For | For | ||
| 3 | Rainer Gawlick | Mgmt | For | For | ||
| 4 | Yogesh Gupta | Mgmt | For | For | ||
| 5 | Charles F. Kane | Mgmt | For | For | ||
| 6 | Samskriti Y. King | Mgmt | For | For | ||
| 7 | David A. Krall | Mgmt | For | For | ||
| 8 | Angela T. Tucci | Mgmt | For | For | ||
| 2. | To approve, on an advisory basis, the compensation of Progress Software Corporation’s named executive officers. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 115 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3. | To approve an increase in the number of shares authorized for issuance under the 2008 Stock Option and Incentive Plan, as amended and restated
| Mgmt | Against | Against | |
| 4. | To approve an increase in the number of shares authorized for issuance under the 1991 Employee Stock Purchase Plan, as amended and restated. | Mgmt | For | For | |
| 5. | To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 116 of 157 |
Unassigned
| RADIAN GROUP INC. | |||
| Security: | 750236101 | Agenda Number: | 935392819 |
| Ticker: | RDN | Meeting Type: | Annual |
| ISIN: | US7502361014 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director for a one-year term: Herbert Wender | Mgmt | For | For | |
| 1B. | Election of Director for a one-year term: Brad L. Conner | Mgmt | For | For | |
| 1C. | Election of Director for a one-year term: Howard B. Culang | Mgmt | For | For | |
| 1D. | Election of Director for a one-year term: Debra Hess | Mgmt | For | For | |
| 1E. | Election of Director for a one-year term: Lisa W. Hess | Mgmt | For | For | |
| 1F. | Election of Director for a one-year term: Lisa Mumford | Mgmt | For | For | |
| 1G. | Election of Director for a one-year term: Gaetano Muzio | Mgmt | For | For | |
| 1H. | Election of Director for a one-year term: Gregory V. Serio | Mgmt | For | For | |
| 1I. | Election of Director for a one-year term: Noel J. Spiegel | Mgmt | For | For | |
| 1J. | Election of Director for a one-year term: Richard G. Thornberry | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 117 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Approval, by an advisory, non-binding vote, of the overall compensation of the Company’s named executive officers. | Mgmt | For | For | |
| 3. | Approval of the Radian Group Inc. 2021 Equity Compensation Plan. | Mgmt | For | For | |
| 4. | Ratification of the appointment of Pricewaterhouse Coopers LLP as Radian’s independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 118 of 157 |
Unassigned
| ROBERT HALF INTERNATIONAL INC. | |||
| Security: | 770323103 | Agenda Number: | 935406098 |
| Ticker: | RHI | Meeting Type: | Annual |
| ISIN: | US7703231032 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Julia L. Coronado | Mgmt | For | For | |
| 1B. | Election of Director: Dirk A. Kempthorne | Mgmt | For | For | |
| 1C. | Election of Director: Harold M. Messmer, Jr. | Mgmt | For | For | |
| 1D. | Election of Director: Marc H. Morial | Mgmt | For | For | |
| 1E. | Election of Director: Barbara J. Novogradac | Mgmt | For | For | |
| 1F. | Election of Director: Robert J. Pace | Mgmt | For | For | |
| 1G. | Election of Director: Frederick A. Richman | Mgmt | For | For | |
| 1H. | Election of Director: M. Keith Waddell | Mgmt | For | For | |
| 2. | Advisory vote to approve executive compensation. | Mgmt | For | For | |
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP, as the Company’s independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 119 of 157 |
Unassigned
| SAFETY INSURANCE GROUP, INC. | |||
| Security: | 78648T100 | Agenda Number: | 935373388 |
| Ticker: | SAFT | Meeting Type: | Annual |
| ISIN: | US78648T1007 | Meeting Date: | 19-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class I Director to serve a three year term expiring in 2024: Peter J. Manning | Mgmt | For | For | |
| 1B. | Election of Class I Director to serve a three year term expiring in 2024: Mary C. Moran | Mgmt | For | For | |
| 2. | Ratification of the Appointment of PRICEWATERHOUSECOOPERS LLP. | Mgmt | For | For | |
| 3. | Advisory Vote on Executive Compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 120 of 157 |
Unassigned
| SCIENCE APPLICATIONS INTERNATIONAL CORP | |||
| Security: | 808625107 | Agenda Number: | 935394837 |
| Ticker: | SAIC | Meeting Type: | Annual |
| ISIN: | US8086251076 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Nominee: Robert A. Bedingfield | Mgmt | For | For | |
| 1B. | Election of Nominee: Carol A. Goode | Mgmt | For | For | |
| 1C. | Election of Nominee: Garth N. Graham | Mgmt | For | For | |
| 1D. | Election of Nominee: John J. Hamre | Mgmt | For | For | |
| 1E. | Election of Nominee: Yvette M. Kanouff | Mgmt | For | For | |
| 1F. | Election of Nominee: Nazzic S. Keene | Mgmt | For | For | |
| 1G. | Election of Nominee: Timothy J. Mayopoulos | Mgmt | For | For | |
| 1H. | Election of Nominee: Katharina G. McFarland | Mgmt | For | For | |
| 1I. | Election of Nominee: Donna S. Morea | Mgmt | For | For | |
| 1J. | Election of Nominee: Steven R. Shane | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 121 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | The approval of a non-binding, advisory vote on executive compensation. | Mgmt | For | For | |
| 3. | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 28, 2022. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 122 of 157 |
Unassigned
| SERVICE CORPORATION INTERNATIONAL | |||
| Security: | 817565104 | Agenda Number: | 935362804 |
| Ticker: | SCI | Meeting Type: | Annual |
| ISIN: | US8175651046 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Alan R. Buckwalter | Mgmt | For | For | ||
| 2 | Anthony L. Coelho | Mgmt | For | For | ||
| 3 | Jakki L. Haussler | Mgmt | For | For | ||
| 4 | Victor L. Lund | Mgmt | For | For | ||
| 5 | Clifton H. Morris, Jr. | Mgmt | For | For | ||
| 6 | Ellen Ochoa | Mgmt | For | For | ||
| 7 | Thomas L. Ryan | Mgmt | For | For | ||
| 8 | Sara Martinez Tucker | Mgmt | For | For | ||
| 9 | W. Blair Waltrip | Mgmt | For | For | ||
| 10 | Marcus A. Watts | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 123 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Ratify the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
| 3. | To approve, by advisory vote, named executive officer compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 124 of 157 |
Unassigned
| SIMPSON MANUFACTURING CO., INC. | |||
| Security: | 829073105 | Agenda Number: | 935357384 |
| Ticker: | SSD | Meeting Type: | Annual |
| ISIN: | US8290731053 | Meeting Date: | 04-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: James S. Andrasick | |||||
| 1B. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Jennifer A. Chatman | |||||
| 1C. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Karen Colonias | |||||
| 1D. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Gary M. Cusumano | |||||
| 1E. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Philip E. Donaldson | |||||
| 1F. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Celeste Volz Ford | |||||
| 1G. | Election of Director to hold office until the next | Mgmt | For | For | |
| annual meeting: Robin G. MacGillivray | |||||
| 2. | Approve, on an advisory, non-binding basis, | Mgmt | For | For | |
| the compensation of the Company's named | |||||
| executive officers. | |||||
| 3. | Ratify the Board of Directors' selection of | Mgmt | For | For | |
| Grant Thornton LLP as the Company's | |||||
| independent registered public accounting firm | |||||
| for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 125 of 157 |
Unassigned
| SNAP-ON INCORPORATED | |||
| Security: | 833034101 | Agenda Number: | 935351332 |
| Ticker: | SNA | Meeting Type: | Annual |
| ISIN: | US8330341012 | Meeting Date: | 29-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: David C. Adams | Mgmt | For | For | |
| 1B. | Election of Director: Karen L. Daniel | Mgmt | For | For | |
| 1C. | Election of Director: Ruth Ann M. Gillis | Mgmt | For | For | |
| 1D. | Election of Director: James P. Holden | Mgmt | For | For | |
| 1E. | Election of Director: Nathan J. Jones | Mgmt | For | For | |
| 1F. | Election of Director: Henry W. Knueppel | Mgmt | For | For | |
| 1G. | Election of Director: W. Dudley Lehman | Mgmt | For | For | |
| 1H. | Election of Director: Nicholas T. Pinchuk | Mgmt | For | For | |
| 1I. | Election of Director: Gregg M. Sherrill | Mgmt | For | For | |
| 1J. | Election of Director: Donald J. Stebbins | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 126 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | Proposal to ratify the appointment of Deloitte | Mgmt | For | For | |
| & Touche LLP as Snap-on Incorporated's | |||||
| independent registered public accounting firm | |||||
| for fiscal 2021. | |||||
| 3. | Advisory vote to approve the compensation of | Mgmt | For | For | |
| Snap-on Incorporated's named executive | |||||
| officers, as disclosed in "Compensation | |||||
| Discussion and Analysis" and "Executive | |||||
| Compensation Information" in the Proxy | |||||
| Statement. | |||||
| 4. | Proposal to amend and restate the Snap-on | Mgmt | For | For | |
| Incorporated 2011 Incentive Stock and | |||||
| Awards Plan. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 127 of 157 |
Unassigned
| SOUTHWEST GAS HOLDINGS, INC. | |||
| Security: | 844895102 | Agenda Number: | 935363680 |
| Ticker: | SWX | Meeting Type: | Annual |
| ISIN: | US8448951025 | Meeting Date: | 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Robert L. Boughner | Mgmt | For | For | ||
| 2 | José A. Cárdenas | Mgmt | For | For | ||
| 3 | Stephen C. Comer | Mgmt | For | For | ||
| 4 | John P. Hester | Mgmt | For | For | ||
| 5 | Jane Lewis-Raymond | Mgmt | For | For | ||
| 6 | Anne L. Mariucci | Mgmt | For | For | ||
| 7 | Michael J. Melarkey | Mgmt | For | For | ||
| 8 | A. Randall Thoman | Mgmt | For | For | ||
| 9 | Thomas A. Thomas | Mgmt | For | For | ||
| 10 | Leslie T. Thornton | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 128 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | To APPROVE, on a non-binding, advisory | Mgmt | For | For | |
| basis, the Company's Executive | |||||
| Compensation. | |||||
| 3. | To RATIFY the selection of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| independent registered public accounting firm | |||||
| for the Company for fiscal year 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 129 of 157 |
Unassigned
| SPIRE INC. | |||
| Security: | 84857L101 | Agenda Number: | 935312758 |
| Ticker: | SR | Meeting Type: | Annual |
| ISIN: | US84857L1017 | Meeting Date: | 28-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Mark A. Borer | Mgmt | For | For | ||
| 2 | Maria V. Fogarty | Mgmt | For | For | ||
| 3 | Stephen S. Schwartz | Mgmt | For | For | ||
| 2. | Advisory nonbinding approval of resolution to | Mgmt | For | For | ||
| approve compensation of our named | ||||||
| executive officers. | ||||||
| 3. | Ratify the appointment of Deloitte & Touche | Mgmt | For | For | ||
| LLP as our independent registered public | ||||||
| accountant for the 2021 fiscal year. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 130 of 157 |
Unassigned
| STEELCASE INC. | |||
| Security: | 858155203 | Agenda Number: | 935229662 |
| Ticker: | SCS | Meeting Type: | Annual |
| ISIN: | US8581552036 | Meeting Date: | 15-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Lawrence J. Blanford | Mgmt | For | For | |
| 1B. | Election of Director: Timothy C. E. Brown | Mgmt | For | For | |
| 1C. | Election of Director: Connie K. Duckworth | Mgmt | For | For | |
| 1D. | Election of Director: James P. Keane | Mgmt | For | For | |
| 1E. | Election of Director: Todd P. Kelsey | Mgmt | For | For | |
| 1F. | Election of Director: Jennifer C. Niemann | Mgmt | For | For | |
| 1G. | Election of Director: Robert C. Pew III | Mgmt | For | For | |
| 1H. | Election of Director: Cathy D. Ross | Mgmt | For | For | |
| 1I. | Election of Director: Catherine C. B. | Mgmt | For | For | |
| Schmelter | |||||
| 1J. | Election of Director: Peter M. Wege II | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 131 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1K. | Election of Director: Kate Pew Wolters | Mgmt | For | For | |
| 2. | Advisory vote to approve named executive | Mgmt | For | For | |
| officer compensation | |||||
| 3. | Ratification of independent registered public | Mgmt | For | For | |
| accounting firm |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 132 of 157 |
Unassigned
| STEWART INFORMATION SERVICES CORPORATION | |||
| Security: | 860372101 | Agenda Number: | 935387515 |
| Ticker: | STC | Meeting Type: | Annual |
| ISIN: | US8603721015 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Thomas G. Apel | Mgmt | For | For | ||
| 2 | C. Allen Bradley, Jr. | Mgmt | For | For | ||
| 3 | Robert L. Clarke | Mgmt | For | For | ||
| 4 | William S. Corey, Jr. | Mgmt | For | For | ||
| 5 | Frederick H Eppinger Jr | Mgmt | For | For | ||
| 6 | Deborah J. Matz | Mgmt | For | For | ||
| 7 | Matthew W. Morris | Mgmt | For | For | ||
| 8 | Karen R. Pallotta | Mgmt | For | For | ||
| 9 | Manuel Sánchez | Mgmt | For | For | ||
| 2. | Approval of the compensation of Stewart | Mgmt | For | For | ||
| Information Services Corporation's named | ||||||
| executive officers (Say-on-Pay). | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 133 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Ratification of the appointment of KPMG LLP | Mgmt | For | For | |
| as Stewart Information Services Corporation's | |||||
| independent auditors for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 134 of 157 |
Unassigned
| TETRA TECH, INC. | |||
| Security: | 88162G103 | Agenda Number: | 935323941 |
| Ticker: | TTEK | Meeting Type: | Annual |
| ISIN: | US88162G1031 | Meeting Date: | 24-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Dan L. Batrack | Mgmt | For | For | |
| 1B. | Election of Director: Gary R. Birkenbeuel | Mgmt | For | For | |
| 1C. | Election of Director: Patrick C. Haden | Mgmt | For | For | |
| 1D. | Election of Director: J. Christopher Lewis | Mgmt | For | For | |
| 1E. | Election of Director: Joanne M. Maguire | Mgmt | For | For | |
| 1F. | Election of Director: Kimberly E. Ritrievi | Mgmt | For | For | |
| 1G. | Election of Director: J. Kenneth Thompson | Mgmt | For | For | |
| 1H. | Election of Director: Kirsten M. Volpi | Mgmt | For | For | |
| 2. | To approve, on an advisory basis, the | Mgmt | For | For | |
| Company's executive compensation. | |||||
| 3. | To ratify the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| Company's independent registered public | |||||
| accounting firm for fiscal year 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 135 of 157 |
Unassigned
| THE INTERPUBLIC GROUP OF COMPANIES, INC. | |||
| Security: | 460690100 | Agenda Number: | 935395372 |
| Ticker: | IPG | Meeting Type: | Annual |
| ISIN: | US4606901001 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Jocelyn Carter-Miller | Mgmt | For | For | |
| 1B. | Election of Director: Mary J. Steele Guilfoile | Mgmt | For | For | |
| 1C. | Election of Director: Dawn Hudson | Mgmt | For | For | |
| 1D. | Election of Director: Philippe Krakowsky | Mgmt | For | For | |
| 1E. | Election of Director: Jonathan F. Miller | Mgmt | For | For | |
| 1F. | Election of Director: Patrick Q. Moore | Mgmt | For | For | |
| 1G. | Election of Director: Michael I. Roth | Mgmt | For | For | |
| 1H. | Election of Director: Linda S. Sanford | Mgmt | For | For | |
| 1I. | Election of Director: David M. Thomas | Mgmt | For | For | |
| 1J. | Election of Director: E. Lee Wyatt Jr. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 136 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as Interpublic's | |||||
| independent registered public accounting firm | |||||
| for the year 2021. | |||||
| 3. | Advisory vote to approve named executive | Mgmt | For | For | |
| officer compensation. | |||||
| 4. | Stockholder proposal entitled "Special | Shr | For | Against | |
| Stockholder Meetings." |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 137 of 157 |
Unassigned
| THE NEW YORK TIMES COMPANY | |||
| Security: | 650111107 | Agenda Number: | 935352409 |
| Ticker: | NYT | Meeting Type: | Annual |
| ISIN: | US6501111073 | Meeting Date: | 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Amanpal S. Bhutani | Mgmt | For | For | ||
| 2 | Beth Brooke | Mgmt | For | For | ||
| 3 | Brian P. McAndrews | Mgmt | For | For | ||
| 4 | Doreen Toben | Mgmt | For | For | ||
| 3. | Ratification of the selection of Ernst & Young | Mgmt | For | For | ||
| LLP as auditors for the fiscal year ending | ||||||
| December 26, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 138 of 157 |
Unassigned
| THE TORO COMPANY | |||
| Security: | 891092108 | Agenda Number: | 935330528 |
| Ticker: | TTC | Meeting Type: | Annual |
| ISIN: | US8910921084 | Meeting Date: | 16-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Janet K. Cooper | Mgmt | For | For | ||
| 2 | Gary L. Ellis | Mgmt | For | For | ||
| 3 | Michael G. Vale | Mgmt | For | For | ||
| 2. | Ratification of the selection of KPMG LLP as | Mgmt | For | For | ||
| our independent registered public accounting | ||||||
| firm for our fiscal year ending October 31, | ||||||
| 2021. | ||||||
| 3. | Approval of, on an advisory basis, our | Mgmt | For | For | ||
| executive compensation. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 139 of 157 |
Unassigned
| TOOTSIE ROLL INDUSTRIES, INC. | |||
| Security: | 890516107 | Agenda Number: | 935153267 |
| Ticker: | TR | Meeting Type: | Annual |
| ISIN: | US8905161076 | Meeting Date: | 31-Aug-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Ellen R. Gordon | Mgmt | For | For | ||
| 2 | Lana Jane Lewis-brent | Mgmt | For | For | ||
| 3 | Barre A. Seibert | Mgmt | For | For | ||
| 4 | Paula M. Wardynski | Mgmt | For | For | ||
| 2. | Ratify the appointment of Grant Thornton LLP | Mgmt | For | For | ||
| as the independent registered public | ||||||
| accounting firm for the fiscal year 2020. | ||||||
| 3. | Approval of non-binding resolution regarding | Mgmt | Against | Against | ||
| named executive officer compensation for | ||||||
| Fiscal 2019. | ||||||
| 4. | Advisory vote on the frequency of named | Mgmt | 1 Year | Against | ||
| executive officer compensation advisory | ||||||
| votes. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 140 of 157 |
Unassigned
| TOOTSIE ROLL INDUSTRIES, INC. | |||
| Security: | 890516107 | Agenda Number: | 935360850 |
| Ticker: | TR | Meeting Type: | Annual |
| ISIN: | US8905161076 | Meeting Date: | 03-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Ellen R. Gordon | Mgmt | For | For | ||
| 2 | Virginia L. Gordon | Mgmt | For | For | ||
| 3 | Lana Jane Lewis-Brent | Mgmt | For | For | ||
| 4 | Barre A. Seibert | Mgmt | For | For | ||
| 5 | Paula M. Wardynski | Mgmt | For | For | ||
| 2. | Ratify the appointment of Grant Thornton LLP | Mgmt | For | For | ||
| as the independent registered public | ||||||
| accounting firm for the fiscal year 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 141 of 157 |
Unassigned
| UGI CORPORATION | |||
| Security: | 902681105 | Agenda Number: | 935316718 |
| Ticker: | UGI | Meeting Type: | Annual |
| ISIN: | US9026811052 | Meeting Date: | 29-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Frank S. Hermance, Chair | |||||
| 1B. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: M. Shawn Bort | |||||
| 1C. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Theodore A. Dosch | |||||
| 1D. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Alan N. Harris | |||||
| 1E. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Mario Longhi | |||||
| 1F. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: William J. Marrazzo | |||||
| 1G. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Cindy J. Miller | |||||
| 1H. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: Kelly A. Romano | |||||
| 1I. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: James B. Stallings, Jr. | |||||
| 1J. | Election of Director for a term expiring in | Mgmt | For | For | |
| 2022: John L. Walsh |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 142 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | Advisory Vote on Executive Compensation. | Mgmt | For | For | |
| 3. | Approval of the Company's 2021 Incentive | Mgmt | For | For | |
| Award Plan. | |||||
| 4. | Ratification of Independent Registered Public | Mgmt | For | For | |
| Accounting Firm for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 143 of 157 |
Unassigned
| UNIFIRST CORPORATION | |||
| Security: | 904708104 | Agenda Number: | 935311667 |
| Ticker: | UNF | Meeting Type: | Annual |
| ISIN: | US9047081040 | Meeting Date: | 12-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Kathleen M. Camilli | Mgmt | For | For | ||
| 2 | Michael Iandoli | Mgmt | For | For | ||
| 2. | APPROVAL, ON A NON-BINDING, | Mgmt | For | For | ||
| ADVISORY BASIS, OF THE | ||||||
| COMPENSATION OF THE NAMED | ||||||
| EXECUTIVE OFFICERS AS MORE FULLY | ||||||
| DESCRIBED IN THE PROXY STATEMENT. | ||||||
| 3. | RATIFICATION OF APPOINTMENT OF | Mgmt | For | For | ||
| ERNST & YOUNG LLP AS THE COMPANY'S | ||||||
| INDEPENDENT REGISTERED PUBLIC | ||||||
| ACCOUNTING FIRM FOR THE FISCAL | ||||||
| YEAR ENDING AUGUST 28, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 144 of 157 |
Unassigned
| VECTOR GROUP LTD. | |||
| Security: | 92240M108 | Agenda Number: | 935409272 |
| Ticker: | VGR | Meeting Type: | Annual |
| ISIN: | US92240M1080 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
Recommendation
| ||||||
| 1. | DIRECTOR | |||||
| 1 | Bennett S. LeBow | Mgmt | For | For | ||
| 2 | Howard M. Lorber | Mgmt | For | For | ||
| 3 | Richard J. Lampen | Mgmt | For | For | ||
| 4 | Stanley S. Arkin | Mgmt | For | For | ||
| 5 | Henry C. Beinstein | Mgmt | For | For | ||
| 6 | Ronald J. Bernstein | Mgmt | For | For | ||
| 7 | Paul V. Carlucci | Mgmt | For | For | ||
| 8 | Jean E. Sharpe | Mgmt | For | For | ||
| 9 | Barry Watkins | Mgmt | For | For | ||
| 2. | Advisory approval of executive compensation | Mgmt | For | For | ||
| (say on pay). | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 145 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Approval of ratification of Deloitte & Touche | Mgmt | For | For | |
| LLP as independent registered public | |||||
| accounting firm for the year ending December | |||||
| 31, 2021. | |||||
| 4. | Advisory approval of a shareholder proposal | Shr | For | Against | |
| regarding the adoption of a by-law for | |||||
| directors to be elected by a majority vote. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 146 of 157 | |||
Unassigned
| VIRTU FINANCIAL INC | |||
| Security: | 928254101 | Agenda Number: | 935404525 |
| Ticker: | VIRT | Meeting Type: | Annual |
| ISIN: | US9282541013 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Virginia Gambale | Mgmt | For | For | ||
| 2 | John D. Nixon | Mgmt | For | For | ||
| 3 | David J. Urban | Mgmt | For | For | ||
| 4 | Michael T. Viola | Mgmt | For | For | ||
| 2. | Advisory Vote to Approve Compensation of | Mgmt | Against | Against | ||
| Named Executive Officers. | ||||||
| 3. | Proposal to ratify the appointment of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP as the | ||||||
| Company's independent registered public | ||||||
| accounting firm for fiscal year ending | ||||||
| December 31, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 147 of 157 | |||
Unassigned
| WATSCO, INC. | |||
| Security: | 942622200 | Agenda Number: | 935424729 |
| Ticker: | WSO | Meeting Type: | Annual |
| ISIN: | US9426222009 | Meeting Date: | 07-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | George P. Sape | Mgmt | For | For | ||
| 2. | To approve the Watsco, Inc. 2021 Incentive | Mgmt | For | For | ||
| Compensation Plan. | ||||||
| 3. | To approve the advisory resolution regarding | Mgmt | Against | Against | ||
| the compensation of our named executive | ||||||
| officers. | ||||||
| 4. | To ratify the appointment of KPMG LLP as our | Mgmt | For | For | ||
| independent registered public accounting firm | ||||||
| for the 2021 fiscal year. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 148 of 157 | |||
Unassigned
| WATTS WATER TECHNOLOGIES, INC. | |||
| Security: | 942749102 | Agenda Number: | 935370281 |
| Ticker: | WTS | Meeting Type: | Annual |
| ISIN: | US9427491025 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Christopher L. Conway | Mgmt | For | For | ||
| 2 | Michael J. Dubose | Mgmt | For | For | ||
| 3 | David A. Dunbar | Mgmt | For | For | ||
| 4 | Louise K. Goeser | Mgmt | For | For | ||
| 5 | Jes Munk Hansen | Mgmt | For | For | ||
| 6 | W. Craig Kissel | Mgmt | For | For | ||
| 7 | Joseph T. Noonan | Mgmt | For | For | ||
| 8 | Robert J. Pagano, Jr. | Mgmt | For | For | ||
| 9 | Merilee Raines | Mgmt | For | For | ||
| 10 | Joseph W. Reitmeier | Mgmt | For | For | ||
| 2. | Advisory vote to approve named executive | Mgmt | For | For | ||
| officer compensation. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 149 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | To ratify the appointment of KPMG LLP as our | Mgmt | For | For | |
| independent registered public accounting firm | |||||
| for the fiscal year ending December 31, 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 150 of 157 | |||
Unassigned
| WD-40 COMPANY | |||
| Security: | 929236107 | Agenda Number: | 935288957 |
| Ticker: | WDFC | Meeting Type: | Annual |
| ISIN: | US9292361071 | Meeting Date: | 08-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Daniel T. Carter | Mgmt | For | For | |
| 1B. | Election of Director: Melissa Claassen | Mgmt | For | For | |
| 1C. | Election of Director: Eric P. Etchart | Mgmt | For | For | |
| 1D. | Election of Director: Lara L. Lee | Mgmt | For | For | |
| 1E. | Election of Director: Trevor I. Mihalik | Mgmt | For | For | |
| 1F. | Election of Director: Graciela I. Monteagudo | Mgmt | For | For | |
| 1G. | Election of Director: David B. Pendarvis | Mgmt | For | For | |
| 1H. | Election of Director: Garry O. Ridge | Mgmt | For | For | |
| 1I. | Election of Director: Gregory A. Sandfort | Mgmt | For | For | |
| 1J. | Election of Director: Anne G. Saunders | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 151 of 157 | |||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 2. | To hold an advisory vote to approve executive | Mgmt | For | For | |
| compensation. | |||||
| 3. | To ratify the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| Company's independent registered public | |||||
| accounting firm for fiscal year 2021. | |||||
| 4. | Shareholder proposal - policy to include non- | Shr | Against | For | |
| management employees as prospective | |||||
| director candidates. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 152 of 157 | |||
Unassigned
| WEIS MARKETS, INC. | |||
| Security: | 948849104 | Agenda Number: | 935353160 |
| Ticker: | WMK | Meeting Type: | Annual |
| ISIN: | US9488491047 | Meeting Date: | 29-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management's | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Jonathan H. Weis | Mgmt | For | For | ||
| 2 | Harold G. Graber | Mgmt | For | For | ||
| 3 | Dennis G. Hatchell | Mgmt | For | For | ||
| 4 | Edward J. Lauth III | Mgmt | For | For | ||
| 5 | Gerrald B. Silverman | Mgmt | For | For | ||
| 2. | Proposal to ratify the appointment of RSM US | Mgmt | For | For | ||
| LLP as the independent registered public | ||||||
| accounting firm of the corporation. | ||||||
| 3. | Shareholder proposal to amend the | Shr | For | Against | ||
| Company's articles of incorporation and/or | ||||||
| bylaws to provide that directors shall be | ||||||
| elected by the affirmative vote of the majority | ||||||
| of votes cast at an annual meeting of | ||||||
| shareholders in uncontested elections. | ||||||
| 4. | Shareholder proposal to adopt a policy, and | Shr | Against | For | ||
| amend the bylaws as necessary, to require | ||||||
| the Board Chair to be an independent | ||||||
| director. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 153 of 157 | |||
Unassigned
| WHIRLPOOL CORPORATION | |||
| Security: | 963320106 | Agenda Number: | 935342307 |
| Ticker: | WHR | Meeting Type: | Annual |
| ISIN: | US9633201069 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1A. | Election of Director: Samuel R. Allen | Mgmt | For | For | |
| 1B. | Election of Director: Marc R. Bitzer | Mgmt | For | For | |
| 1C. | Election of Director: Greg Creed | Mgmt | For | For | |
| 1D. | Election of Director: Gary T. DiCamillo | Mgmt | For | For | |
| 1E. | Election of Director: Diane M. Dietz | Mgmt | For | For | |
| 1F. | Election of Director: Gerri T. Elliott | Mgmt | For | For | |
| 1G. | Election of Director: Jennifer A. LaClair | Mgmt | For | For | |
| 1H. | Election of Director: John D. Liu | Mgmt | For | For | |
| 1I. | Election of Director: James M. Loree | Mgmt | For | For | |
| 1J. | Election of Director: Harish Manwani | Mgmt | For | For | |
| 1K. | Election of Director: Patricia K. Poppe | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 154 of 157 | |||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1L. | Election of Director: Larry O. Spencer | Mgmt | For | For | |
| 1M. | Election of Director: Michael D. White | Mgmt | For | For | |
| 2. | Advisory vote to approve Whirlpool | Mgmt | For | For | |
| Corporation's executive compensation. | |||||
| 3. | Ratification of the appointment of Ernst & | Mgmt | For | For | |
| Young LLP as Whirlpool Corporation's | |||||
| independent registered public accounting firm | |||||
| for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 155 of 157 | |||
Unassigned
| WILLIAMS-SONOMA, INC. | |||
| Security: | 969904101 | Agenda Number: | 935390308 |
| Ticker: | WSM | Meeting Type: | Annual |
| ISIN: | US9699041011 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1.1 | Election of Director: Laura Alber | Mgmt | For | For | |
| 1.2 | Election of Director: Esi Eggleston Bracey | Mgmt | For | For | |
| 1.3 | Election of Director: Scott Dahnke, Chair | Mgmt | For | For | |
| 1.4 | Election of Director: Anne Mulcahy | Mgmt | For | For | |
| 1.5 | Election of Director: William Ready | Mgmt | For | For | |
| 1.6 | Election of Director: Sabrina Simmons | Mgmt | For | For | |
| 1.7 | Election of Director: Frits van Paasschen | Mgmt | For | For | |
| 2. | The amendment of our 2001 Long-Term | Mgmt | For | For | |
| Incentive Plan. | |||||
| 3. | An advisory vote to approve executive | Mgmt | Against | Against | |
| compensation. | |||||
| 4. | Ratification of the selection of Deloitte & | Mgmt | For | For | |
| Touche LLP as our independent registered | |||||
| public accounting firm for the fiscal year | |||||
| ending January 31, 2022. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 156 of 157 | |||
Unassigned
| XEROX HOLDINGS CORPORATION | |||
| Security: | 98421M106 | Agenda Number: | 935383632 |
| Ticker: | XRX | Meeting Type: | Annual |
| ISIN: | US98421M1062 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 1.1 | Election of Director: Keith Cozza | Mgmt | For | For | |
| 1.2 | Election of Director: Joseph J. Echevarria | Mgmt | For | For | |
| 1.3 | Election of Director: Cheryl Gordon Krongard | Mgmt | For | For | |
| 1.4 | Election of Director: Scott Letier | Mgmt | For | For | |
| 1.5 | Election of Director: Nichelle Maynard-Elliott | Mgmt | For | For | |
| 1.6 | Election of Director: Steven D. Miller | Mgmt | For | For | |
| 1.7 | Election of Director: James L. Nelson | Mgmt | For | For | |
| 1.8 | Election of Director: Margarita Paláu- | Mgmt | For | For | |
| Hernández | |||||
| 1.9 | Election of Director: Giovanni ("John") | Mgmt | For | For | |
| Visentin | |||||
| 2. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as the | |||||
| Company's independent registered public | |||||
| accounting firm for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 157 of 157 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| 3. | Approval, on an advisory basis, of the 2020 | Mgmt | Against | Against | |
| compensation of our named executive | |||||
| officers. | |||||
| 4. | Approval of the Company's amended and | Mgmt | For | For | |
| restated Equity Compensation Plan for Non- | |||||
| Employee Directors. | |||||
| 5. | Consideration of a shareholder proposal for | Shr | For | Against | |
| shareholder action by written consent, if | |||||
| properly presented at the Annual Meeting. | |||||
| 6. | Election of Aris Kekedjian as a Director. | Mgmt | For | For |
O’Shares Global Internet Giants ETF
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 1 of 153 |
Unassigned
| ACTIVISION BLIZZARD, INC. | |||
| Security: | 00507V109 | Agenda Number: | 935427749 |
| Ticker: | ATVI | Meeting Type: | Annual |
| ISIN: | US00507V1098 | Meeting Date: | 21-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Reveta Bowers | Mgmt | For | For | |
| 1B. | Election of Director: Robert Corti | Mgmt | For | For | |
| 1C. | Election of Director: Hendrik Hartong III | Mgmt | For | For | |
| 1D. | Election of Director: Brian Kelly | Mgmt | For | For | |
| 1E. | Election of Director: Robert Kotick | Mgmt | For | For | |
| 1F. | Election of Director: Barry Meyer | Mgmt | For | For | |
| 1G. | Election of Director: Robert Morgado | Mgmt | For | For | |
| 1H. | Election of Director: Peter Nolan | Mgmt | For | For | |
| 1I. | Election of Director: Dawn Ostroff | Mgmt | For | For | |
| 1J. | Election of Director: Casey Wasserman | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 2 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | To provide advisory approval of our executive | Mgmt | Against | Against | |
| compensation. | |||||
| 3. | To ratify the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as our | |||||
| independent registered public accounting firm | |||||
| for 2021. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 3 of 153 |
Unassigned
| ADEVINTA ASA | |||
| Security: | R0000V110 | Agenda Number: | 714299876 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | NO0010844038 | Meeting Date: | 29-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE | Non-Voting | |||
| OF BENEFICIAL OWNER INFORMATION | |||||
| FOR ALL VOTED ACCOUNTS. IF AN | |||||
| ACCOUNT HAS MULTIPLE BENEFICIAL | |||||
| OWNERS, YOU WILL NEED TO PROVIDE | |||||
| THE BREAKDOWN OF EACH BENEFICIAL | |||||
| OWNER NAME, ADDRESS AND SHARE | |||||
| POSITION TO YOUR CLIENT SERVICE | |||||
| REPRESENTATIVE. THIS INFORMATION IS | |||||
| REQUIRED IN ORDER FOR YOUR VOTE | |||||
| TO BE LODGED | |||||
| CMMT | IMPORTANT MARKET PROCESSING | Non-Voting | |||
| REQUIREMENT: POWER OF ATTORNEY | |||||
| (POA) REQUIREMENTS VARY BY | |||||
| CUSTODIAN. GLOBAL CUSTODIANS MAY | |||||
| HAVE A POA IN PLACE WHICH WOULD | |||||
| ELIMINATE THE NEED FOR THE | |||||
| INDIVIDUAL BENEFICIAL OWNER POA. IN | |||||
| THE ABSENCE OF THIS ARRANGEMENT, | |||||
| AN INDIVIDUAL BENEFICIAL OWNER POA | |||||
| MAY BE REQUIRED. IF YOU HAVE ANY | |||||
| QUESTIONS PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE. | |||||
| THANK YOU | |||||
| CMMT | SHARES HELD IN AN OMNIBUS/NOMINEE | Non-Voting | |||
| ACCOUNT NEED TO BE RE-REGISTERED | |||||
| IN THE BENEFICIAL OWNERS NAME TO | |||||
| BE ALLOWED TO VOTE AT MEETINGS. | |||||
| SHARES WILL BE TEMPORARILY | |||||
| TRANSFERRED TO A SEPARATE | |||||
| ACCOUNT IN THE BENEFICIAL OWNER’S | |||||
| NAME ON THE PROXY DEADLINE AND | |||||
| TRANSFERRED BACK TO THE | |||||
| OMNIBUS/NOMINEE ACCOUNT THE DAY | |||||
| AFTER THE MEETING |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 4 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU | |||||
| 1 | APPROVAL OF THE NOTICE AND AGENDA | Mgmt | For | For | |
| OF THE ANNUAL GENERAL METING | |||||
| 2 | ELECTION OF CHAIRPERSON FOR THE | Mgmt | For | For | |
| MEETING | |||||
| 3 | ELECTION OF A PERSON TO COSIGN THE | Mgmt | For | For | |
| MINUTES | |||||
| 4 | APPROVAL OF THE FINANCIAL | Mgmt | For | For | |
| STATEMENTS AND THE BOARD OF | |||||
| DIRECTORS REPORT FOR 2020 FOR | |||||
| ADEVINTA ASA AND THE ADEVINTA | |||||
| GROUP | |||||
| 5 | CONSIDERATION OF REPORT FOR | Mgmt | For | For | |
| CORPORATE GOVERNANCE | |||||
| 6 | APPROVAL OF THE BOARD OF | Mgmt | For | For | |
| DIRECTORS DECLARATION OF SALARY | |||||
| AND OTHER REMUNERATIONS | |||||
| 7 | APPROVAL OF THE AUDITORS FEE FOR | Mgmt | For | For | |
| 2020 | |||||
| 8.A | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: ORLA NOONAN | |||||
| 8.B | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: FERNANDO ABRIL | |||||
| MARTORELL HERNANDEZ |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 5 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 8.C | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: PETER BROOKS | |||||
| JOHNSON | |||||
| 8.D | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: SOPHIE JAVARY | |||||
| 8.E | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: KRISTIN SKOGEN LUND | |||||
| 8.F | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: JULIA JAEKEL | |||||
| 8.G | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS: MICHAEL NILLES | |||||
| 9 | APPROVAL OF REMUNERATION TO THE | Mgmt | For | For | |
| MEMBERS OF THE BOARD OF | |||||
| DIRECTORS | |||||
| 10.A | ELECTION OF MEMBER OF THE | Mgmt | For | For | |
| NOMINATION COMMITTEE: OLE E. DAHL | |||||
| 11 | APPROVAL OF REMUNERATION TO THE | Mgmt | For | For | |
| MEMBERS OF THE NOMINATION | |||||
| COMMITTEE | |||||
| 12 | AUTHORISATION TO THE BOARD OF | Mgmt | For | For | |
| DIRECTORS TO INCREASE THE SHARE | |||||
| CAPITAL | |||||
| 13 | AUTHORISATION TO THE BOARD OF | Mgmt | For | For | |
| DIRECTORS TO ISSUE CONVERTIBLE | |||||
| LOANS | |||||
| 14 | AUTHORISATION TO THE BOARD OF | Mgmt | For | For | |
| DIRECTORS TO BUYBACK THE | |||||
| COMPANY’S SHARES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 6 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 15 | AMENDMENTS TO THE COMPANY’S | Mgmt | For | For | |
| ARTICLES OF ASSOCIATION | |||||
| CMMT | 08 JUNE 2021: PLEASE NOTE THAT IF YOU | Non-Voting | |||
| HOLD CREST DEPOSITORY INTERESTS | |||||
| (CDIS) AND PARTICIPATE AT THIS | |||||
| MEETING, YOU (OR YOUR CREST | |||||
| SPONSORED MEMBER/CUSTODIAN) WILL | |||||
| BE REQUIRED TO INSTRUCT A TRANSFER | |||||
| OF THE RELEVANT CDIS TO THE | |||||
| ESCROW ACCOUNT SPECIFIED IN THE | |||||
| ASSOCIATED CORPORATE EVENT IN THE | |||||
| CREST SYSTEM. THIS TRANSFER WILL | |||||
| NEED TO BE COMPLETED BY THE | |||||
| SPECIFIED CREST SYSTEM DEADLINE. | |||||
| ONCE THIS TRANSFER HAS SETTLED, | |||||
| THE CDIS WILL BE BLOCKED IN THE | |||||
| CREST SYSTEM. THE CDIS WILL BE | |||||
| RELEASED FROM ESCROW AS SOON AS | |||||
| PRACTICABLE ON THE BUSINESS DAY | |||||
| PRIOR TO MEETING DATE UNLESS | |||||
| OTHERWISE SPECIFIED. IN ORDER FOR A | |||||
| VOTE TO BE ACCEPTED, THE VOTED | |||||
| POSITION MUST BE BLOCKED IN THE | |||||
| REQUIRED ESCROW ACCOUNT IN THE | |||||
| CREST SYSTEM. BY VOTING ON THIS | |||||
| MEETING, YOUR CREST SPONSORED | |||||
| MEMBER/CUSTODIAN MAY USE YOUR | |||||
| VOTE INSTRUCTION AS THE | |||||
| AUTHORIZATION TO TAKE THE | |||||
| NECESSARY ACTION WHICH WILL | |||||
| INCLUDE TRANSFERRING YOUR | |||||
| INSTRUCTED POSITION TO ESCROW. | |||||
| PLEASE CONTACT YOUR CREST | |||||
| SPONSORED MEMBER/CUSTODIAN | |||||
| DIRECTLY FOR FURTHER INFORMATION | |||||
| ON THE CUSTODY PROCESS AND | |||||
| WHETHER OR NOT THEY REQUIRE | |||||
| SEPARATE INSTRUCTIONS FROM YOU | |||||
| AND | |||||
| CMMT | 08 JUNE 2021: PLEASE NOTE THAT THIS | Non-Voting | |||
| IS A REVISION DUE TO ADDITION OF | |||||
| COMMENT. IF YOU HAVE ALREADY SENT | |||||
| IN YOUR VOTES, PLEASE DO NOT VOTE | |||||
| AGAIN UNLESS YOU DECIDE TO AMEND | |||||
| YOUR ORIGINAL INSTRUCTIONS. THANK | |||||
| YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 7 of 153 |
Unassigned
| ADOBE INC | |||
| Security: | 00724F101 | Agenda Number: | 935343412 |
| Ticker: | ADBE | Meeting Type: | Annual |
| ISIN: | US00724F1012 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director for a term of one year: | Mgmt | For | For | |
| Amy Banse | |||||
| 1B. | Election of Director for a term of one year: | Mgmt | For | For | |
| Melanie Boulden | |||||
| 1C. | Election of Director for a term of one year: | Mgmt | For | For | |
| Frank Calderoni | |||||
| 1D. | Election of Director for a term of one year: | Mgmt | For | For | |
| James Daley | |||||
| 1E. | Election of Director for a term of one year: | Mgmt | For | For | |
| Laura Desmond | |||||
| 1F. | Election of Director for a term of one year: | Mgmt | For | For | |
| Shantanu Narayen | |||||
| 1G. | Election of Director for a term of one year: | Mgmt | For | For | |
| Kathleen Oberg | |||||
| 1H. | Election of Director for a term of one year: | Mgmt | For | For | |
| Dheeraj Pandey | |||||
| 1I. | Election of Director for a term of one year: | Mgmt | For | For | |
| David Ricks | |||||
| 1J. | Election of Director for a term of one year: | Mgmt | For | For | |
| Daniel Rosensweig |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 8 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1K. | Election of Director for a term of one year: | Mgmt | For | For | |
| John Warnock | |||||
| 2. | Approve the Adobe Inc. 2019 Equity Incentive | Mgmt | For | For | |
| Plan, as amended, to increase the available | |||||
| share reserve by 6 million shares. | |||||
| 3. | Ratify the appointment of KPMG LLP as our | Mgmt | For | For | |
| independent registered public accounting firm | |||||
| for our fiscal year ending on December 3, | |||||
| 2021. | |||||
| 4. | Approve, on an advisory basis, the | Mgmt | For | For | |
| compensation of our named executive | |||||
| officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 9 of 153 |
Unassigned
| ALIBABA GROUP HOLDING LIMITED | |||
| Security: | 01609W102 | Agenda Number: | 935265086 |
| Ticker: | BABA | Meeting Type: | Annual |
| ISIN: | US01609W1027 | Meeting Date: | 30-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | Amend and restate the Company’s Memorandum and Articles of Association to expressly permit completely virtual shareholders’ meetings and reflect such updates as are detailed in the proxy statement and set forth in Exhibit A thereto. | Mgmt | For | For | |
| 2.1 | Election of Director: MAGGIE WEI WU (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). | Mgmt | For | ||
| 2.2 | Election of Director: KABIR MISRA (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). | Mgmt | For | For | |
| 2.3 | Election of Director: WALTER TEH MING KWAUK (To serve for a three year term or until such director’s successor is elected or appointed and duly qualified). | Mgmt | For | For | |
| 3. | Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company for the fiscal year ending March 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 10 of 153 |
Unassigned
| ALPHABET INC. | |||
| Security: | 02079K305 | Agenda Number: | 935406264 |
| Ticker: | GOOGL | Meeting Type: | Annual |
| ISIN: | US02079K3059 | Meeting Date: | 02-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Larry Page | Mgmt | For | For | |
| 1B. | Election of Director: Sergey Brin | Mgmt | For | For | |
| 1C. | Election of Director: Sundar Pichai | Mgmt | For | For | |
| 1D. | Election of Director: John L. Hennessy | Mgmt | For | For | |
| 1E. | Election of Director: Frances H. Arnold | Mgmt | For | For | |
| 1F. | Election of Director: L. John Doerr | Mgmt | For | For | |
| 1G. | Election of Director: Roger W. Ferguson Jr. | Mgmt | For | For | |
| 1H. | Election of Director: Ann Mather | Mgmt | For | For | |
| 1I. | Election of Director: Alan R. Mulally | Mgmt | For | For | |
| 1J. | Election of Director: K. Ram Shriram | Mgmt | For | For | |
| 1K. | Election of Director: Robin L. Washington | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 11 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Ratification of the appointment of Ernst & Young LLP as Alphabet’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
| 3. | Approval of Alphabet’s 2021 Stock Plan. | Mgmt | For | For | |
| 4. | A stockholder proposal regarding equal shareholder voting, if properly presented at the meeting. | Shr | For | Against | |
| 5. | A stockholder proposal regarding the nomination of human rights and/or civil rights expert to the board, if properly presented at the meeting. | Shr | Against | For | |
| 6. | A stockholder proposal regarding a report on sustainability metrics, if properly presented at the meeting. | Shr | Against | For | |
| 7. | A stockholder proposal regarding a report on takedown requests, if properly presented at the meeting. | Shr | Against | For | |
| 8. | A stockholder proposal regarding a report on whistleblower policies and practices, if properly presented at the meeting. | Shr | For | Against | |
| 9. | A stockholder proposal regarding a report on charitable contributions, if properly presented at the meeting. | Shr | Against | For | |
| 10. | A stockholder proposal regarding a report on risks related to anticompetitive practices, if properly presented at the meeting. | Shr | Against | For | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 12 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11. | A stockholder proposal regarding a transition to a public benefit corporation, if properly presented at the meeting. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 13 of 153 |
Unassigned
| AMAZON.COM, INC. | |||
| Security: | 023135106 | Agenda Number: | 935397592 |
| Ticker: | AMZN | Meeting Type: | Annual |
| ISIN: | US0231351067 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Jeffrey P. Bezos | Mgmt | For | For | |
| 1B. | Election of Director: Keith B. Alexander | Mgmt | For | For | |
| 1C. | Election of Director: Jamie S. Gorelick | Mgmt | For | For | |
| 1D. | Election of Director: Daniel P. Huttenlocher | Mgmt | For | For | |
| 1E. | Election of Director: Judith A. McGrath | Mgmt | For | For | |
| 1F. | Election of Director: Indra K. Nooyi | Mgmt | For | For | |
| 1G. | Election of Director: Jonathan J. Rubinstein | Mgmt | For | For | |
| 1H. | Election of Director: Thomas O. Ryder | Mgmt | For | For | |
| 1I. | Election of Director: Patricia Q. Stonesifer | Mgmt | For | For | |
| 1J. | Election of Director: Wendell P. Weeks | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 14 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS. | Mgmt | For | For | |
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | Mgmt | For | For | |
| 4. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER DUE DILIGENCE. | Shr | For | Against | |
| 5. | SHAREHOLDER PROPOSAL REQUESTING A MANDATORY INDEPENDENT BOARD CHAIR POLICY. | Shr | Against | For | |
| 6. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON GENDER/RACIAL PAY. | Shr | Against | For | |
| 7. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PROMOTION DATA. | Shr | For | Against | |
| 8. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON PACKAGING MATERIALS. | Shr | Against | For | |
| 9. | SHAREHOLDER PROPOSAL REQUESTING A DIVERSITY AND EQUITY AUDIT REPORT. | Shr | For | Against | |
| 10. | SHAREHOLDER PROPOSAL REQUESTING AN ALTERNATIVE DIRECTOR CANDIDATE POLICY. | Shr | Against | For | |
| 11. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON COMPETITION STRATEGY AND RISK. | Shr | For | Against | |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 15 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 12. | SHAREHOLDER PROPOSAL REQUESTING AN ADDITIONAL REDUCTION IN THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Shr | For | Against | |
| 13. | SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL REPORTING ON LOBBYING. | Shr | Against | For | |
| 14. | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CUSTOMER USE OF CERTAIN TECHNOLOGIES. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 16 of 153 |
Unassigned
| ATLASSIAN CORPORATION PLC | |||
| Security: | G06242104 | Agenda Number: | 935287513 |
| Ticker: | TEAM | Meeting Type: | Annual |
| ISIN: | GB00BZ09BD16 | Meeting Date: | 03-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | To receive the Company’s accounts and the reports of the directors and the auditors for the year ended June 30, 2020 (the Annual Report). | Mgmt | For | For | |
| 2. | To approve the Directors’ Remuneration Report, as set forth in the Annual Report. | Mgmt | For | For | |
| 3. | To reappoint Ernst & Young LLP as auditor of the Company to hold office until the conclusion of the next annual general meeting of the Company. | Mgmt | For | For | |
| 4. | To authorize the Audit Committee of the Board of Directors to determine the remuneration of the auditor. | Mgmt | For | For | |
| 5. | To re-elect Shona L. Brown as a director of the Company. | Mgmt | For | For | |
| 6. | To re-elect Michael Cannon-Brookes as a director of the Company. | Mgmt | For | For | |
| 7. | To re-elect Scott Farquhar as a director of the Company. | Mgmt | For | For | |
| 8. | To re-elect Heather Mirjahangir Fernandez as a director of the Company. | Mgmt | For | For | |
| 9. | To re-elect Sasan Goodarzi as a director of the Company. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 17 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 10. | To re-elect Jay Parikh as a director of the Company. | Mgmt | For | For | |
| 11. | To re-elect Enrique Salem as a director of the Company. | Mgmt | For | For | |
| 12. | To re-elect Steven Sordello as a director of the Company. | Mgmt | For | For | |
| 13. | To re-elect Richard P. Wong as a director of the Company. | Mgmt | For | For | |
| 14. | To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be generally and unconditionally authorized in accordance with section 693A of the Companies Act 2006 to make off-market purchases (within the meaning of section 693 of the Companies Act 2006) of its own Class A ordinary shares for the purposes of, or pursuant to, an employee share scheme (within the meaning of section 1166 of the Companies Act 2006). | Mgmt | For | For | |
| 15. | To consider and, if thought fit, pass the following as an ordinary resolution: That the Company be authorized pursuant to section 694 of Companies Act 2006 to repurchase up to a maximum of 65,081 of its own Class A ordinary shares pursuant to, & on terms described in, a Securities Restriction Agreement and produced at meeting (“Securities Restriction Agreement”) & that the terms, & entry into, of Securities Restriction Agreement is hereby approved, ratified & confirmed (authority conferred on Company by this Resolution 15 to expire on December 3, 2025). | Mgmt | Abstain | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 18 of 153 |
Unassigned
| AVALARA, INC. | |||
| Security: | 05338G106 | Agenda Number: | 935400274 |
| Ticker: | AVLR | Meeting Type: | Annual |
| ISIN: | US05338G1067 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| By | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Marion Foote | Mgmt | For | For | ||
| 2 | Rajeev Singh | Mgmt | For | For | ||
| 3 | Kathleen Zwickert | Mgmt | For | For | ||
| 2. | Approval on an advisory basis of the compensation of the Company’s named executive officers. | Mgmt | For | For | ||
| 3. | Ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 19 of 153 |
Unassigned
| BAIDU, INC. | |||
| Security: | 056752108 | Agenda Number: | 935333168 |
| Ticker: | BIDU | Meeting Type: | Special |
| ISIN: | US0567521085 | Meeting Date: | 01-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | Change of Authorised Share Capital by One-to-Eighty Subdivision of Shares: By an Ordinary Resolution that each share classified as Class A ordinary shares, Class B ordinary shares and preferred shares of a par value of US$0.00005 each in the share capital of the Company (including authorised issued and unissued class A ordinary shares, class B ordinary shares and preferred shares) be sub-divided into 80 shares of a par value of US$0.000000625 each (the “Subdivision”), such that, following ...(due to space limits, see proxy material for full proposal). | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 20 of 153 |
Unassigned
| BOOKING HOLDINGS INC. | |||
| Security: | 09857L108 | Agenda Number: | 935408434 |
| Ticker: | BKNG | Meeting Type: | Annual |
| ISIN: | US09857L1089 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | |||||
| 1 | Timothy M. Armstrong | Mgmt | For | For | ||
| 2 | Glenn D. Fogel | Mgmt | For | For | ||
| 3 | Mirian M. Graddick-Weir | Mgmt | For | For | ||
| 4 | Wei Hopeman | Mgmt | For | For | ||
| 5 | Robert J. Mylod, Jr. | Mgmt | For | For | ||
| 6 | Charles H. Noski | Mgmt | For | For | ||
| 7 | Nicholas J. Read | Mgmt | For | For | ||
| 8 | Thomas E. Rothman | Mgmt | For | For | ||
| 9 | Bob van Dijk | Mgmt | For | For | ||
| 10 | Lynn M. Vojvodich | Mgmt | For | For | ||
| 11 | Vanessa A. Wittman | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 21 of 153 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | Advisory vote to approve 2020 executive compensation. | Mgmt | For | For | |
| 3. | Management proposal to amend the Company’s 1999 Omnibus Plan. | Mgmt | For | For | |
| 4. | Ratification of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
| 5. | Management proposal to amend the Company’s Certificate of Incorporation to allow stockholders the right to act by written consent. | Mgmt | Abstain | Against | |
| 6. | Stockholder proposal requesting the right of stockholders to act by written consent. | Shr | For | Against | |
| 7. | Stockholder proposal requesting the Company issue a climate transition report. | Shr | For | Against | |
| 8. | Stockholder proposal requesting the Company hold an annual advisory stockholder vote on the Company’s climate policies and strategies. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 22 of 153 | ||||
Unassigned
| CHEWY, INC. | |||
| Security: | 16679L109 | Agenda Number: | 935228090 |
| Ticker: | CHWY | Meeting Type: | Annual |
| ISIN: | US16679L1098 | Meeting Date: | 14-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| By | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Raymond Svider | Mgmt | For | For | ||
| 2 | Sharon McCollam | Mgmt | For | For | ||
| 3 | J.K. Symancyk | Mgmt | For | For | ||
| 2. | To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending January 31, 2021. | Mgmt | For | For | ||
| 3. | To approve, on a non-binding, advisory basis, the compensation of the Company’s named executive officers. | Mgmt | Against | Against | ||
| 4 | To approve, on a non-binding, advisory basis, the frequency of future votes on named executive officer compensation. | Mgmt | 1 Year | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 23 of 153 |
Unassigned
| CLOUDFLARE, INC. | |||
| Security: | 18915M107 | Agenda Number: | 935406062 |
| Ticker: | NET | Meeting Type: | Annual |
| ISIN: | US18915M1071 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Maria Eitel | Mgmt | For | For | ||
| 2 | Matthew Prince | Mgmt | For | For | ||
| 3 | Katrin Suder | Mgmt | For | For | ||
| 2. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2021. | Mgmt | For | For | ||
| 3. | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | For | For | ||
| 4. | To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of our named executive officers. | Mgmt | 1 Year | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 24 of 153 |
Unassigned
| COUPA SOFTWARE INCORPORATED | |||
| Security: | 22266L106 | Agenda Number: | 935391639 |
| Ticker: | COUP | Meeting Type: | Annual |
| ISIN: | US22266L1061 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Roger Siboni | Mgmt | For | For | ||
| 2 | Tayloe Stansbury | Mgmt | For | For | ||
| 2. | Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2022. | Mgmt | For | For | ||
| 3. | Advisory (non-binding) vote to approve named executive officer compensation. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 25 of 153 |
Unassigned
| CROWDSTRIKE HOLDINGS, INC. | |||
| Security: | 22788C105 | Agenda Number: | 935223735 |
| Ticker: | CRWD | Meeting Type: | Annual |
| ISIN: | US22788C1053 | Meeting Date: | 06-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Denis J. O’Leary | Mgmt | For | For | ||
| 2 | Joseph E. Sexton | Mgmt | For | For | ||
| 3 | Godfrey R. Sullivan | Mgmt | For | For | ||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending January 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 26 of 153 |
Unassigned
| CROWDSTRIKE HOLDINGS, INC. | |||
| Security: | 22788C105 | Agenda Number: | 935436003 |
| Ticker: | CRWD | Meeting Type: | Annual |
| ISIN: | US22788C1053 | Meeting Date: | 30-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Roxanne S. Austin | Mgmt | For | For | ||
| 2 | Sameer K. Gandhi | Mgmt | For | For | ||
| 3 | Gerhard Watzinger | Mgmt | For | For | ||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as CrowdStrike’s independent registered public accounting firm for its fiscal year ending January 31, 2022. | Mgmt | For | For | ||
| 3. | To approve, on an advisory basis, the compensation of CrowdStrike’s named executive officers. | Mgmt | Against | Against | ||
| 4. | To approve, on an advisory basis, the frequency of future stockholder advisory votes on the compensation of CrowdStrike’s named executive officers. | Mgmt | 1 Year | Against | ||
| 5. | To approve an amendment to CrowdStrike’s 2019 Employee Stock Purchase Plan. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 27 of 153 |
Unassigned
| CTS EVENTIM AG & CO. KGAA | |||
| Security: | D1648T108 | Agenda Number: | 713749147 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0005470306 | Meeting Date: | 07-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | |||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 28 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | |||
| 1 | PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORTS: PRESENTATION OF THE FINANCIAL STATEMENTS AND ANNUAL REPORT FOR THE 2020 FINANCIAL YEAR WITH THE REPORT OF THE SUPERVISORY BOARD, THE GROUP FINANCIAL STATEMENTS AND GROUP ANNUAL REPORT AS WELL AS THE REPORT BY THE GENERAL PARTNER PURSUANT TO SECTIONS 289A(1) AND 315A(1) OF THE GERMAN COMMERCIAL CODE | Non-Voting |
| 2 | RESOLUTION ON THE APPROVAL OF THE FINANCIAL STATEMENTS FOR THE 2020 FINANCIAL YEAR | Mgmt | For | For | |
| 3 | RESOLUTION ON THE APPROPRIATION OF THE DISTRIBUTABLE PROFIT: THE DISTRIBUTABLE PROFIT OF EUR 280,717,397.31 SHALL BE APPROPRIATED AS FOLLOWS: THE ENTIRE AMOUNT SHALL BE CARRIED FORWARD | Mgmt | For | For | |
| 4 | RATIFICATION OF THE ACTS OF THE GENERAL PARTNER | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 29 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 5 | RATIFICATION OF THE ACTS OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 6 | APPOINTMENT OF AUDITORS: THE FOLLOWING ACCOUNTANTS SHALL BE APPOINTED AS AUDITORS AND GROUP AUDITORS FOR THE 2021 FINANCIAL YEAR: KPMG AG, HAMBURG | Mgmt | For | For |
| 7 | RESOLUTION ON THE AUTHORIZATION TO ACQUIRE OWN SHARES: THE EXISTING AUTHORIZATION GIVEN BY THE SHAREHOLDERS MEETING OF JUNE 19, 2020 TO ACQUIRE OWN SHARES SHALL BE REVOKED. THE GENERAL PARTNER SHALL BE AUTHORIZED TO ACQUIRE OWN SHARES OF UP TO 10 PERCENT OF THE COMPANY’S SHARE CAPITAL, AT PRICES NEITHER MORE THAN 10 PERCENT ABOVE, NOR MORE THAN 20 PERCENT BELOW, THE MARKET PRICE OF THE SHARES, ON OR BEFORE MAY 6, 2026. BESIDES SELLING THE SHARES ON THE STOCK EXCHANGE OR OFFERING THEM TO ALL SHAREHOLDERS, THE GENERAL PARTNER SHALL ALSO BE AUTHORIZED TO USE THE SHARES FOR MERGERS AND ACQUISITIONS, TO OFFER THE SHARES TO EMPLOYEES OF THE COMPANY AND AFFILIATED COMPANIES AS WELL AS TO MANAGERS OF AFFILIATED COMPANIES, TO DISPOSE OF THE SHARES IN A MANNER OTHER THAN THE STOCK EXCHANGE OR A RIGHTS OFFERING IF THEY ARE SOLD AT A PRICE NOT MATERIALLY BELOW THEIR MARKET PRICE, AND TO RETIRE THE SHARES | Mgmt | For | For | |
| 8 | RESOLUTION ON THE APPROVAL OF THE REMUNERATION SYSTEM FOR THE MEMBERS OF THE BOARD OF MDS THE REMUNERATION SYSTEM FOR THE MEMBERS OF THE BOARD OF MDS, EFFECTIVE FROM JANUARY 1, 2021, SHALL BE APPROVED | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 30 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 9 | RESOLUTION ON THE APPROVAL OF THE REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD: THE REMUNERATION FOR THE MEMBERS OF THE SUPERVISORY BOARD AS DETERMINED IN SECTION 15 OF THE ARTICLES OF ASSOCIATION SHALL BE CONFIRMED | Mgmt | For | For | |
| 10 | RESOLUTION ON THE INCREASE OF THE NUMBER OF MEMBERS IN THE SUPERVISORY BOARD AND THE CORRESPONDING AMENDMENT TO THE ARTICLES OF ASSOCIATION SECTION 11(1): THE SUPERVISORY BOARD COMPRISES FOUR MEMBERS | Mgmt | For | For |
| 11 | ELECTION OF PHILIPP WESTERMEYER TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 12 | RESOLUTION ON THE AUTHORIZATION TO GRANT SUBSCRIPTION RIGHTS, THE CREATION OF A CONTINGENT CAPITAL 2021, AND THE CORRESPONDING AMENDMENT TO THE ARTICLES OF ASSOCIATION: THE EXISTING AUTHORIZATION GIVEN BY THE SHAREHOLDERS MEETING OF JANUARY 21, 2000 AND THE CONTINGENT CAPITAL 2000/I SHALL BE REVOKED. THE GENERAL PARTNER SHALL BE AUTHORIZED, WITH THE CONSENT OF THE SUPERVISORY BOARD, TO GRANT SUBSCRIPTION RIGHTS FOR UP TO 1,440,000 BEARER NO-PAR SHARES TO MANAGERS OF AFFILIATED COMPANIES AS WELL TO SELECTED EXECUTIVES AND EMPLOYEES OF THE COMPANY AND AFFILIATED COMPANIES, ON OR BEFORE MAY 6, 2026. THE COMPANY’S SHARE CAPITAL SHALL BE INCREASED ACCORDINGLY BY UP TO EUR 1,440,000 THROUGH THE ISSUE OF UP TO 1,440,000 NEW BEARER NO-PAR SHARES, INSOFAR AS SUBSCRIPTION RIGHTS ARE EXERCISED (CONTINGENT CAPITAL 2021) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 31 of 153 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 01 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTION 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 32 of 153 |
Unassigned
| DATADOG, INC. | |||
| Security: | 23804L103 | Agenda Number: | 935406644 |
| Ticker: | DDOG | Meeting Type: | Annual |
| ISIN: | US23804L1035 | Meeting Date: | 10-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class II Director to hold office until Annual Meeting in 2024: Alexis Lê-Quôc | Mgmt | Abstain | Against |
| 1B. | Election of Class II Director to hold office until Annual Meeting in 2024: Michael Callahan | Mgmt | For | For | |
| 2. | Advisory vote to approve the compensation of our named executive officers. | Mgmt | For | For | |
| 3. | Advisory vote to recommend the frequency of future advisory votes on the compensation of our named executive officers. | Mgmt | 1 Year | For | |
| 4. | To ratify the selection by the Audit Committee of our Board of Directors of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 33 of 153 | ||||
Unassigned
| DELIVERY HERO SE | |||
| Security: | D1T0KZ103 | Agenda Number: | 714130729 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE000A2E4K43 | Meeting Date: | 16-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 34 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE | Non-Voting | |||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting | |||
| CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 35 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | |||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | |||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | |||
| 2 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MARTIN ENDERLE FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HILARY GOSHER FOR FISCAL YEAR 2020 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 36 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER PATRICK KOLEK FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BJOERN LJUNGBERG FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER VERA STACHOWIAK FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER CHRISTIAN GRAF VON HARDENBERG FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JEANETTE GORGAS FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NILS ENGVALL FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GABRIELLA ARDBO FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 3.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GERALD TAYLOR FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 4 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For | |
| 5 | APPROVE REMUNERATION POLICY | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 37 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Mgmt | For | For | |
| 7 | APPROVE CREATION OF EUR 13.7 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS | Mgmt | Against | Against | |
| 8 | APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 3 BILLION; APPROVE CREATION OF EUR 14 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS; AMEND 2019 RESOLUTION | Mgmt | Against | Against |
| 9 | APPROVE CREATION OF EUR 6.9 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN | Mgmt | For | For | |
| 10 | APPROVE STOCK OPTION PLAN FOR KEY EMPLOYEES; APPROVE CREATION OF EUR 5 MILLION POOL OF CONDITIONAL CAPITAL TO GUARANTEE CONVERSION RIGHTS | Mgmt | For | For |
| 11 | AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES | Mgmt | For | For | |
| 12 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 38 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 17 MAY 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | |||
| CMMT | 17 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF CDI COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 39 of 153 |
Unassigned
| DOCUSIGN, INC. | |||
| Security: | 256163106 | Agenda Number: | 935397453 |
| Ticker: | DOCU | Meeting Type: | Annual |
| ISIN: | US2561631068 | Meeting Date: | 28-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Enrique Salem | Mgmt | For | For | ||
| 2 | Peter Solvik | Mgmt | For | For | ||
| 3 | Inhi Cho Suh | Mgmt | For | For | ||
| 4 | Mary Agnes Wilderotter | Mgmt | For | For | ||
| 2. | Ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year ending January 31, 2022. | Mgmt | For | For | ||
| 3. | Approval, on an advisory basis, of our named executive officers’ compensation. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 40 of 153 |
Unassigned
| EBAY INC. | |||
| Security: | 278642103 | Agenda Number: | 935418790 |
| Ticker: | EBAY | Meeting Type: | Annual |
| ISIN: | US2786421030 | Meeting Date: | 15-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Anthony J. Bates | Mgmt | For | For | |
| 1B. | Election of Director: Adriane M. Brown | Mgmt | For | For | |
| 1C. | Election of Director: Diana Farrell | Mgmt | For | For | |
| 1D. | Election of Director: Logan D. Green | Mgmt | For | For | |
| 1E. | Election of Director: Bonnie S. Hammer | Mgmt | For | For | |
| 1F. | Election of Director: E. Carol Hayles | Mgmt | For | For | |
| 1G. | Election of Director: Jamie Iannone | Mgmt | For | For | |
| 1H. | Election of Director: Kathleen C. Mitic | Mgmt | For | For | |
| 1I. | Election of Director: Matthew J. Murphy | Mgmt | For | For | |
| 1J. | Election of Director: Paul S. Pressler | Mgmt | For | For | |
| 1K. | Election of Director: Mohak Shroff | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 41 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Robert H. Swan | Mgmt | For | For | |
| 1M. | Election of Director: Perry M. Traquina | Mgmt | For | For | |
| 2. | Ratification of appointment of independent auditors. | Mgmt | For | For | |
| 3. | Advisory vote to approve named executive officer compensation. | Mgmt | Against | Against | |
| 4. | Executive Compensation, if properly presented. | Shr | Against | For | |
| 5. | Right to Act by Written Consent, if properly presented. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 42 of 153 |
Unassigned
| ELASTIC N.V. | |||
| Security: | N14506104 | Agenda Number: | 935278982 |
| Ticker: | ESTC | Meeting Type: | Annual |
| ISIN: | NL0013056914 | Meeting Date: | 21-Oct-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of non-executive Director: Jonathan Chadwick | Mgmt | For | For | |
| 1B. | Election of non-executive Director: Michelangelo Volpi | Mgmt | For | For | |
| 2. | Adoption of Dutch Statutory Annual Accounts for fiscal year 2020. | Mgmt | For | For | |
| 3. | Grant of full discharge of the Company’s executive director from liability with respect to the performance of his duties during fiscal year 2020. | Mgmt | For | For |
| 4. | Grant of full discharge of the Company’s non- executive directors from liability with respect to the performance of their duties during fiscal year 2020. | Mgmt | For | For | |
| 5. | Ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for fiscal year 2021. | Mgmt | For | For | |
| 6. | Authorization of the Board of Directors to repurchase shares in the capital of the Company. | Mgmt | For | For | |
| 7. | Non-binding advisory vote on the frequency of future non-binding advisory votes on the compensation of the Company’s named executive officers. | Mgmt | 1 Year | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 43 of 153 |
Unassigned
| ETSY, INC. | |||
| Security: | 29786A106 | Agenda Number: | 935412611 |
| Ticker: | ETSY | Meeting Type: | Annual |
| ISIN: | US29786A1060 | Meeting Date: | 11-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class III Director to serve until our 2024 Annual Meeting: Gary S. Briggs | Mgmt | For | For | |
| 1B. | Election of Class III Director to serve until our 2024 Annual Meeting: Edith W. Cooper | Mgmt | For | For | |
| 1C. | Election of Class III Director to serve until our 2024 Annual Meeting: Melissa Reiff | Mgmt | For | For | |
| 2. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
| 3. | Advisory vote to approve executive compensation. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 44 of 153 |
Unassigned
| FACEBOOK, INC. | |||
| Security: | 30303M102 | Agenda Number: | 935395891 |
| Ticker: | FB | Meeting Type: | Annual |
| ISIN: | US30303M1027 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Peggy Alford | Mgmt | For | For | ||
| 2 | Marc L. Andreessen | Mgmt | For | For | ||
| 3 | Andrew W. Houston | Mgmt | For | For | ||
| 4 | Nancy Killefer | Mgmt | For | For | ||
| 5 | Robert M. Kimmitt | Mgmt | For | For | ||
| 6 | Sheryl K. Sandberg | Mgmt | For | For | ||
| 7 | Peter A. Thiel | Mgmt | For | For | ||
| 8 | Tracey T. Travis | Mgmt | For | For | ||
| 9 | Mark Zuckerberg | Mgmt | For | For | ||
| 2. | To ratify the appointment of Ernst & Young LLP as Facebook, Inc.’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 45 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3. | To approve an amendment to the director compensation policy. | Mgmt | For | For | |
| 4. | A shareholder proposal regarding dual class capital structure. | Shr | For | Against | |
| 5. | A shareholder proposal regarding an independent chair. | Shr | Against | For | |
| 6. | A shareholder proposal regarding child exploitation. | Shr | For | Against | |
| 7. | A shareholder proposal regarding human/civil rights expert on board. | Shr | For | Against | |
| 8. | A shareholder proposal regarding platform misuse. | Shr | For | Against | |
| 9. | A shareholder proposal regarding public benefit corporation. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 46 of 153 |
Unassigned
| FORTINET, INC. | |||
| Security: | 34959E109 | Agenda Number: | 935425391 |
| Ticker: | FTNT | Meeting Type: | Annual |
| ISIN: | US34959E1091 | Meeting Date: | 18-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1.1 | Election of Director to serve for a term of one year until the next annual meeting: Ken Xie | Mgmt | For | For | |
| 1.2 | Election of Director to serve for a term of one year until the next annual meeting: Michael Xie | Mgmt | For | For | |
| 1.3 | Election of Director to serve for a term of one year until the next annual meeting: Kelly Ducourty | Mgmt | For | For | |
| 1.4 | Election of Director to serve for a term of one year until the next annual meeting: Kenneth A. Goldman | Mgmt | For | For | |
| 1.5 | Election of Director to serve for a term of one year until the next annual meeting: Ming Hsieh | Mgmt | For | For | |
| 1.6 | Election of Director to serve for a term of one year until the next annual meeting: Jean Hu | Mgmt | For | For | |
| 1.7 | Election of Director to serve for a term of one year until the next annual meeting: William Neukom | Mgmt | For | For | |
| 1.8 | Election of Director to serve for a term of one year until the next annual meeting: Judith Sim | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 47 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | To ratify the appointment of Deloitte & Touche LLP as Fortinet’s independent registered accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
| 3. | Advisory vote to approve named executive officer compensation, as disclosed in the proxy statement. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 48 of 153 |
Unassigned
| HELLOFRESH SE | |||
| Security: | D3R2MA100 | Agenda Number: | 713956576 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE000A161408 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 49 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | |||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | |||
| 2 | APPROVE ALLOCATION OF INCOME AND OMISSION OF DIVIDENDS | Mgmt | For | For | |
| 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For | |
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 50 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6.1 | RE-ELECT JOHN RITTENHOUSE TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 6.2 | RE-ELECT URSULA RADEKE-PIETSCH TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 6.3 | RE-ELECT DEREK ZISSMAN TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 6.4 | RE-ELECT SUSANNE SCHROETER CROSSAN TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 6.5 | RE-ELECT STEFAN SMALLA TO THE SUPERVISORY BOARD | Mgmt | For | For | |
| 7 | AMEND CORPORATE PURPOSE | Mgmt | For | For | |
| 8 | APPROVE REMUNERATION POLICY | Mgmt | Against | Against | |
| 9 | APPROVE REMUNERATION OF | Mgmt | For | For | |
| SUPERVISORY BOARD | |||||
| 10 | APPROVE CREATION OF EUR 13.6 MILLION POOL OF CAPITAL WITH PARTIAL EXCLUSION OF PREEMPTIVE RIGHTS | Mgmt | For | For | |
| 11 | APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 1 BILLION APPROVE CREATION OF EUR 17.4 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 51 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 12 | AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 52 of 153 |
Unassigned
| HUBSPOT, INC. | |||
| Security: | 443573100 | Agenda Number: | 935406341 |
| Ticker: | HUBS | Meeting Type: | Annual |
| ISIN: | US4435731009 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class I Director to hold office until the 2024 Annual Meeting: Brian Halligan | Mgmt | For | For | |
| 1B. | Election of Class I Director to hold office until the 2024 Annual Meeting: Ron Gill | Mgmt | For | For | |
| 1C. | Election of Class I Director to hold office until the 2024 Annual Meeting: Jill Ward | Mgmt | For | For | |
| 2. | Ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For | |
| 3. | Non-binding advisory vote to approve the Mgmt Against Against compensation of the Company’s Named Executive Officers. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 53 of 153 |
Unassigned
| IAC/INTERACTIVECORP | |||
| Security: | 44891N109 | Agenda Number: | 935399495 |
| Ticker: | IAC | Meeting Type: | Annual |
| ISIN: | US44891N1090 | Meeting Date: | 14-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | To approve amendments to the IAC restated certificate of incorporation that will effect the separation of IAC’s Vimeo business from the remaining businesses of IAC through a series of transaction (referred to as the “Spin-off”) by: Reclassifying each share of IAC par value $0.001 common stock into (i) one share of IAC par value $0.0001 common stock and (ii) 1/100th of a share of IAC par value $0.01 Series 1 mandatorily exchangeable preferred stock that will automatically exchange into a number of shares. | Mgmt | For | For | |
| 2. | To approve amendments to the IAC restated certificate of incorporation pursuant to which, following the Spin-off, IAC would renounce any interest or expectancy in certain corporate opportunities, which generally would have the effect that no officer or director of IAC who is also an officer or director of SpinCo will be liable to IAC or its stockholders for breach of any fiduciary duty by reason of the fact that any such individual directs a corporate opportunity to SpinCo instead of IAC. | Mgmt | For | For | |
| 3. | To approve one or more adjournments or postponements of the annual meeting, if necessary or appropriate, including to solicit additional proxies if there are not sufficient votes to approve the foregoing proposals. | Mgmt | For | For | |
| 4a. | Election of Director: Chelsea Clinton | Mgmt | For | For | |
| 4b. | Election of Director: Barry Diller | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 54 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 4c. | Election of Director: Michael D. Eisner | Mgmt | For | For | |
| 4d. | Election of Director: Bonnie S. Hammer | Mgmt | For | For | |
| 4e. | Election of Director: Victor A. Kaufman | Mgmt | For | For | |
| 4f. | Election of Director: Joseph Levin | Mgmt | For | For | |
| 4g. | Election of Director: Bryan Lourd (To be voted upon by the holders of Common Stock voting as a separate class) | Mgmt | For | For | |
| 4h. | Election of Director: Westley Moore | Mgmt | For | For | |
| 4i. | Election of Director: David Rosenblatt | Mgmt | For | For | |
| 4j. | Election of Director: Alan G. Spoon (To be voted upon by the holders of Common Stock voting as a separate class) | Mgmt | For | For | |
| 4k. | Election of Director: Alexander von Furstenberg | Mgmt | For | For | |
| 4l. | Election of Director: Richard F. Zannino (To be voted upon by the holders of Common Stock voting as a separate class) | Mgmt | For | For | |
| 5. | To ratify the appointment of Ernst & Young LLP as IAC’s independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 55 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6. | To hold a non-binding advisory vote on IAC’s executive compensation. | Mgmt | Against | Against | |
| 7. | To hold a non-binding advisory vote on the frequency of holding the advisory vote on executive compensation in the future. | Mgmt | 1 Year | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 56 of 153 |
Unassigned
| INTUIT INC. | |||
| Security: | 461202103 | Agenda Number: | 935313217 |
| Ticker: | INTU | Meeting Type: | Annual |
| ISIN: | US4612021034 | Meeting Date: | 21-Jan-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1a. | Election of Director: Eve Burton | Mgmt | For | For | |
| 1b. | Election of Director: Scott D. Cook | Mgmt | For | For | |
| 1c. | Election of Director: Richard L. Dalzell | Mgmt | For | For | |
| 1d. | Election of Director: Sasan K. Goodarzi | Mgmt | For | For | |
| 1e. | Election of Director: Deborah Liu | Mgmt | For | For | |
| 1f. | Election of Director: Tekedra Mawakana | Mgmt | For | For | |
| 1g. | Election of Director: Suzanne Nora Johnson | Mgmt | For | For | |
| 1h. | Election of Director: Dennis D. Powell | Mgmt | For | For | |
| 1i. | Election of Director: Brad D. Smith | Mgmt | For | For | |
| 1j. | Election of Director: Thomas Szkutak | Mgmt | For | For | |
| 1k. | Election of Director: Raul Vazquez | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 57 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1l. | Election of Director: Jeff Weiner | Mgmt | For | For | |
| 2. | Advisory vote to approve Intuit’s executive compensation (say-on-pay). | Mgmt | For | For | |
| 3. | Ratification of the selection of Ernst & Young LLP as Intuit’s independent registered public accounting firm for the fiscal year ending July 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 58 of 153 |
Unassigned
| JD.COM, INC. | |||
| Security: | 47215P106 | Agenda Number: | 935446016 |
| Ticker: | JD | Meeting Type: | Annual |
| ISIN: | US47215P1066 | Meeting Date: | 23-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | As a special resolution: Resolution No. 1 set out in the Notice of the Annual General Meeting to approve the adoption of the Company’s dual foreign name. | Mgmt | For | For | |
| 2. | As a special resolution: Resolution No. 2 set out in the Notice of the Annual General Meeting to approve the adoption of the Second Amended and Restated Memorandum of Association and Articles of Association. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 59 of 153 |
Unassigned
| JUST EAT TAKEAWAY.COM N.V. | |||
| Security: | N4753E105 | Agenda Number: | 713832118 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | NL0012015705 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting | |||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | |||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 540518 DUE TO RECEIPT OF ADDITIONAL NON-VOTING RESOLUTIONS 2, 3, 4, 5. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | |||
| CMMT | INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 60 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | OPENING AND ANNOUNCEMENTS | Non-Voting | |||
| 2. | MANAGEMENT REPORT; REMUNERATION REPORT; ANNUAL ACCOUNTS | Non-Voting | |||
| 2a. | REPORT OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 | Non-Voting | |||
| 2b. | REMUNERATION REPORT | Mgmt | For | For | |
| 2c | ADOPTION OF THE ANNUAL ACCOUNTS 2020 | Mgmt | For | For | |
| 3. | DISCHARGE | Non-Voting | |||
| 3a. | DISCHARGE OF MEMBERS OF THE MANAGEMENT BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FINANCIAL YEAR 2020 | Mgmt | For | For | |
| 3b. | DISCHARGE OF MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY FOR THEIR RESPONSIBILITIES IN THE FINANCIAL YEAR 2020 | Mgmt | For | For | |
| 4. | REAPPOINTMENT OF MEMBERS OF THE MANAGEMENT BOARD | Non-Voting | |||
| 4a. | REAPPOINTMENT OF MR. JITSE GROEN AS CHIEF EXECUTIVE OFFICER AND MEMBER OF THE MANAGEMENT BOARD | Mgmt | For | For | |
| 4b. | REAPPOINTMENT OF MR. BRENT WISSINK AS CHIEF FINANCIAL OFFICER AND MEMBER OF THE MANAGEMENT BOARD | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 61 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 4c. | REAPPOINTMENT OF MR. JORG GERBIG AS MEMBER OF THE MANAGEMENT BOARD | Mgmt | For | For | |
| 4d. | REAPPOINTMENT OF MR. MATTHEW MALONEY AS MEMBER OF THE MANAGEMENT BOARD | Mgmt | For | For | |
| 5. | REAPPOINTMENT OF MEMBERS OF THE SUPERVISORY BOARD | Non-Voting | |||
| 5a. | REAPPOINTMENT OF MR. ADRIAAN NUHN AS CHAIRMAN OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5b. | REAPPOINTMENT OF MS. CORINNE VIGREUX AS VICE-CHAIRMAN OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5c. | REAPPOINTMENT OF MR. RON TEERLINK AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5d. | REAPPOINTMENT OF MS. GWYN BURR AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5e. | REAPPOINTMENT OF MR. JAMBU PALANIAPPAN AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5f. | REAPPOINTMENT OF MR. LLOYD FRINK AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For | |
| 5g. | REAPPOINTMENT OF MR. DAVID FISHER AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 62 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6. | REAPPOINTMENT EXTERNAL AUDITOR FOR THE FINANCIAL YEARS 2021 THROUGH 2023: DELOITTE ACCOUNTANTS B.V. | Mgmt | For | For |
| 7. | AUTHORISATION OF THE MANAGEMENT | Mgmt | For | For | |
| BOARD TO ISSUE SHARES | |||||
| 8. | DELEGATION OF THE RIGHT TO EXCLUDE | Mgmt | For | For | |
| OR LIMIT PRE-EMPTIVE RIGHTS | |||||
| 9. | AUTHORISATION OF THE MANAGEMENT | Mgmt | For | For | |
| BOARD TO REPURCHASE SHARES | |||||
| 10. | ANY OTHER BUSINESS | Non-Voting | |||
| 11. | CLOSING OF THE MEETING | Non-Voting | |||
| CMMT | 05 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION 6 DUE TO CHANGE IN NUMBERING FOR RESOLUTION 2c. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID: 548838. PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 63 of 153 |
Unassigned
| KINGDEE INTERNATIONAL SOFTWARE GROUP CO LTD | |||
| Security: | G52568147 | Agenda Number: | 713954128 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | KYG525681477 | Meeting Date: | 21-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 26 APR 2021: PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: https://www1.hkexnews.hk/listedco/listconews /sehk/2021/0420/2021042000975.pdf & https://www1.hkexnews.hk/listedco/listconews /sehk/2021/0420/2021042000965.pdf | Non-Voting | |||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||
| 1 | TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED ACCOUNTS, THE REPORT OF THE DIRECTORS OF THE COMPANY (THE “DIRECTORS”) AND THE REPORT OF THE AUDITORS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2020 | Mgmt | For | For |
| 2.A | TO RE-ELECT MR. XU SHAO CHUN AS AN | Mgmt | Against | Against | |
| EXECUTIVE DIRECTOR | |||||
| 2.B | TO RE-ELECT MS. DONG MING ZHU AS A | Mgmt | Against | Against | |
| NON-EXECUTIVE DIRECTOR | |||||
| 2.C | TO RE-ELECT MR. MR. ZHOU BO WEN AS | Mgmt | Against | Against | |
| A NON-EXECUTIVE DIRECTOR |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 64 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2.D | TO RE-ELECT MR. MR. NI ZHENG DONG AS AN INDEPENDENT NON-EXECUTIVE DIRECTOR | Mgmt | For | For | |
| 3 | TO AUTHORIZE THE BOARD OF DIRECTORS (THE “BOARD”) TO FIX THE REMUNERATION OF THE DIRECTORS | Mgmt | For | For | |
| 4 | REMUNERATION OF THE DIRECTORS TO CONSIDER AND APPROVE THE RE- APPOINTMENT PRICEWATERHOUSECOOPERS, THE RETIRING AUDITORS OF THE COMPANY, AS THE AUDITORS OF THE COMPANY AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION | Mgmt | Against | Against |
| 5.A | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE AND ALLOT ADDITIONAL SHARES NOT EXCEEDING 20% OF THE EXISTING TOTAL NUMBER OF ISSUED SHARES | Mgmt | Against | Against | |
| 5.B | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE THE SHARES NOT EXCEEDING 10% OF THE EXISTING TOTAL NUMBER OF ISSUED SHARES | Mgmt | For | For | |
| 5.C | CONDITIONAL UPON ORDINARY RESOLUTIONS 5(A) AND 5(B) BEING PASSED, TO EXTEND THE GENERAL MANDATE TO THE DIRECTORS TO ISSUE AND ALLOT ADDITIONAL SHARES BY THE NUMBER OF SHARES REPURCHASED BY THE COMPANY UNDER THE MANDATE REFERRED TO IN ORDINARY RESOLUTION NUMBERED 5(B) ABOVE | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 65 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 26 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 66 of 153 |
Unassigned
| LIVE NATION ENTERTAINMENT, INC. | |||
| Security: | 538034109 | Agenda Number: | 935413411 |
| Ticker: | LYV | Meeting Type: | Annual |
| ISIN: | US5380341090 | Meeting Date: | 10-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Maverick Carter | Mgmt | For | For | |
| 1B. | Election of Director: Ariel Emanuel | Mgmt | For | For | |
| 1C. | Election of Director: Ping Fu | Mgmt | For | For | |
| 1D. | Election of Director: Jeffrey T. Hinson | Mgmt | For | For | |
| 1E. | Election of Director: Chad Hollingsworth | Mgmt | For | For | |
| 1F. | Election of Director: James Iovine | Mgmt | For | For | |
| 1G. | Election of Director: James S. Kahan | Mgmt | For | For | |
| 1H. | Election of Director: Gregory B. Maffei | Mgmt | For | For | |
| 1I. | Election of Director: Randall T. Mays | Mgmt | For | For | |
| 1J. | Election of Director: Michael Rapino | Mgmt | For | For | |
| 1K. | Election of Director: Mark S. Shapiro | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 67 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Dana Walden | Mgmt | For | For | |
| 2. | Ratification of the appointment of Ernst & Young LLP as Live Nation Entertainment’s independent registered public accounting firm for the 2021 fiscal year. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 68 of 153 |
Unassigned
| MATCH GROUP, INC. | |||
| Security: | 57667L107 | Agenda Number: | 935411924 |
| Ticker: | MTCH | Meeting Type: | Annual |
| ISIN: | US57667L1070 | Meeting Date: | 15-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Wendi Murdoch | Mgmt | For | For | |
| 1B. | Election of Director: Glenn Schiffman | Mgmt | For | For | |
| 1C. | Election of Director: Pamela S. Seymon | Mgmt | For | For | |
| 2. | To approve the Match Group, Inc. 2021 Global Employee Stock Purchase Plan. | Mgmt | For | For | |
| 3. | Ratification of the appointment of Ernst & Young LLP as Match Group, Inc.’s independent registered public accounting firm for 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 69 of 153 |
Unassigned
| MEITUAN | |||
| Security: | G59669104 | Agenda Number: | 714199987 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | KYG596691041 | Meeting Date: | 23-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: | Non-Voting | |||
| https://www1.hkexnews.hk/listedco/listconews/sehk/2021/0521/2021052100405.pdf AND | |||||
| https://www1.hkexnews.hk/listedco/listconews/sehk/2021/0521/2021052100429.pdf | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||
| 1 | TO RECEIVE AND ADOPT THE AUDITED CONSOLIDATED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED DECEMBER 31, 2020 AND THE REPORTS OF THE DIRECTORS OF THE COMPANY (“DIRECTORS”) AND INDEPENDENT AUDITOR OF THE COMPANY THEREON | Mgmt | For | For | |
| 2 | TO RE-ELECT MR. WANG HUIWEN AS AN EXECUTIVE DIRECTOR | Mgmt | Against | Against | |
| 3 | TO RE-ELECT MR. LAU CHI PING MARTIN AS A NON-EXECUTIVE DIRECTOR | Mgmt | Against | Against | |
| 4 | TO RE-ELECT MR. NEIL NANPENG SHEN AS A NON-EXECUTIVE DIRECTOR | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 70 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 5 | TO AUTHORIZE THE BOARD OF DIRECTORS (“BOARD”) TO FIX THE REMUNERATION OF THE DIRECTORS | Mgmt | For | For | |
| 6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL CLASS B SHARES OF THE COMPANY NOT EXCEEDING 20% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Mgmt | Against | Against | |
| 7 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS, EXERCISABLE ON THEIR BEHALF BY MR. WANG XING, TO REPURCHASE SHARES OF THE COMPANY NOT EXCEEDING 10% OF THE TOTAL NUMBER OF ISSUED SHARES OF THE COMPANY AS AT THE DATE OF PASSING OF THIS RESOLUTION | Mgmt | For | For | |
| 8 | TO EXTEND THE GENERAL MANDATE GRANTED TO THE DIRECTORS TO ISSUE, ALLOT AND DEAL WITH ADDITIONAL SHARES IN THE CAPITAL OF THE COMPANY BY THE AGGREGATE NUMBER OF THE SHARES REPURCHASED BY THE COMPANY | Mgmt | Against | Against | |
| 9 | TO RE-APPOINT PRICEWATERHOUSECOOPERS AS AUDITOR OF THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AND TO AUTHORIZE THE BOARD TO FIX THEIR REMUNERATION FOR THE YEAR ENDING DECEMBER 31, 2021 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 71 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 10.A | TO APPROVE THE SUBSCRIPTION AGREEMENT (THE “TENCENT SUBSCRIPTION AGREEMENT”) DATED APRIL 19, 2021 AND ENTERED INTO BY THE COMPANY AS ISSUER AND TENCENT MOBILITY LIMITED (“TENCENT”) AS SUBSCRIBER IN RELATION TO THE SUBSCRIPTION OF 11,352,600 NEW SHARES (THE “TENCENT SUBSCRIPTION SHARES”) AT THE SUBSCRIPTION PRICE OF HKD 273.80 PER SHARE | Mgmt | For | For | |
| 10.B | TO APPROVE THE GRANT OF A SPECIFIC MANDATE TO THE DIRECTORS OF THE COMPANY TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT AND ISSUE THE TENCENT SUBSCRIPTION SHARES, SUBJECT TO AND IN ACCORDANCE WITH THE TERMS AND CONDITIONS SET OUT IN THE TENCENT SUBSCRIPTION AGREEMENT | Mgmt | For | For | |
| 10.C | TO AUTHORIZE ANY ONE DIRECTOR OF THE COMPANY TO SIGN, EXECUTE, PERFECT AND DELIVER ALL SUCH DOCUMENTS AND DEEDS, AND DO ALL SUCH ACTS, MATTERS AND THINGS AS ARE, IN THE OPINION OF SUCH DIRECTOR OF THE COMPANY, DESIRABLE OR EXPEDIENT TO GIVE EFFECT TO THE TENCENT SUBSCRIPTION AGREEMENT, ALL THE TRANSACTIONS CONTEMPLATED THEREUNDER AND/OR ANY MATTER ANCILLARY OR INCIDENTAL THERETO (INCLUDING WITHOUT LIMITATION THE ALLOTMENT AND ISSUE OF THE TENCENT SUBSCRIPTION SHARES PURSUANT THERETO), TO AGREE TO SUCH VARIATIONS, AMENDMENTS OR WAIVERS TO OR OF ANY OF THE PROVISIONS OF THE TENCENT SUBSCRIPTION AGREEMENT AND ALL DOCUMENTS ANCILLARY OR INCIDENTAL THERETO AS ARE, IN THE OPINION OF SUCH DIRECTOR OF THE COMPANY, NOT OF A MATERIAL NATURE AND IN THE INTEREST OF THE COMPANY, AND TO EFFECT OR IMPLEMENT ANY OTHER MATTER REFERRED TO IN THIS RESOLUTION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 72 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11 | TO AMEND THE MEMORANDUM AND ARTICLES OF ASSOCIATION TO UPDATE THE NAME OF THE COMPANY FROM “MEITUAN DIANPING” TO “MEITUAN” | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 73 of 153 |
Unassigned
| MEITUAN DIANPING | |||
| Security: | G59669104 | Agenda Number: | 713104874 |
| Ticker: | Meeting Type: | EGM | |
| ISIN: | KYG596691041 | Meeting Date: | 29-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY NOTICE AND PROXY FORM ARE AVAILABLE BY CLICKING ON THE URL LINKS: | Non-Voting | |||
| https://www1.hkexnews.hk/listedco/listconews/sehk/2020/0911/2020091100448.pdf AND | |||||
| https://www1.hkexnews.hk/listedco/listconews/sehk/2020/0911/2020091100420.pdf | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’ FOR ALL RESOLUTIONS, ABSTAIN IS NOT A VOTING OPTION ON THIS MEETING | Non-Voting | |||
| 1.A | TO APPROVE, SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS, THE CHANGE OF THE ENGLISH NAME OF THE COMPANY FROM “MEITUAN DIANPING” TO “MEITUAN” AND THE ADOPTION OF THE CHINESE NAME OF (“AS SPECIFIED”) AS THE DUAL FOREIGN NAME OF THE COMPANY IN PLACE OF ITS EXISTING CHINESE NAME OF (“AS SPECIFIED”) WITH EFFECT FROM THE DATE OF REGISTRATION AS SET OUT IN THE CERTIFICATE OF INCORPORATION ON CHANGE OF NAME ISSUED BY THE REGISTRAR OF COMPANIES OF THE CAYMAN ISLANDS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 74 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1.B | TO AUTHORIZE ANY ONE DIRECTOR OF THE COMPANY ON BEHALF OF THE COMPANY TO DO ALL SUCH ACTS AND THINGS AND EXECUTE AND DELIVER ALL SUCH DOCUMENTS WHICH HE CONSIDERS NECESSARY, DESIRABLE OR EXPEDIENT FOR THE PURPOSE OF, OR IN CONNECTION WITH, THE IMPLEMENTATION OF AND GIVING EFFECT TO RESOLUTION NO. 1(A) ABOVE AND TO ATTEND TO ANY REGISTRATION AND/OR FILING IN THE CAYMAN ISLANDS AND HONG KONG ON BEHALF OF THE COMPANY | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 75 of 153 |
Unassigned
| MERCADOLIBRE, INC. | |||
| Security: | 58733R102 | Agenda Number: | 935420858 |
| Ticker: | MELI | Meeting Type: | Annual |
| ISIN: | US58733R1023 | Meeting Date: | 08-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 Nicolás Galperin | Mgmt | For | For | ||
| 2 Henrique Dubugras | Mgmt | For | For | ||
| 2. | To approve, on an advisory basis, the compensation of our named executive officers for fiscal year 2020. | Mgmt | For | For | |
| 3. | Ratification of the appointment of Deloitte & Co. S.A. as our independent registered public accounting firm for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 76 of 153 |
Unassigned
| MICROSOFT CORPORATION | |||
| Security: | 594918104 | Agenda Number: | 935284478 |
| Ticker: | MSFT | Meeting Type: | Annual |
| ISIN: | US5949181045 | Meeting Date: | 02-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Reid G. Hoffman | Mgmt | For | For | |
| 1B. | Election of Director: Hugh F. Johnston | Mgmt | For | For | |
| 1C. | Election of Director: Teri L. List-Stoll | Mgmt | For | For | |
| 1D. | Election of Director: Satya Nadella | Mgmt | For | For | |
| 1E. | Election of Director: Sandra E. Peterson | Mgmt | For | For | |
| 1F. | Election of Director: Penny S. Pritzker | Mgmt | For | For | |
| 1G. | Election of Director: Charles W. Scharf | Mgmt | For | For | |
| 1H. | Election of Director: Arne M. Sorenson | Mgmt | For | For | |
| 1I. | Election of Director: John W. Stanton | Mgmt | For | For | |
| 1J. | Election of Director: John W. Thompson | Mgmt | For | For | |
| 1K. | Election of Director: Emma N. Walmsley | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 77 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1L. | Election of Director: Padmasree Warrior | Mgmt | For | For | |
| 2. | Advisory vote to approve named executive officer compensation. | Mgmt | For | For | |
| 3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2021. | Mgmt | For | For | |
| 4. | Shareholder Proposal - Report on Employee Representation on Board of Directors. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 78 of 153 |
Unassigned
| MONGODB, INC. | |||
| Security: | 60937P106 | Agenda Number: | 935222632 |
| Ticker: | MDB | Meeting Type: | Annual |
| ISIN: | US60937P1066 | Meeting Date: | 10-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 Archana Agrawal | Mgmt | For | For | ||
| 2 Hope Cochran | Mgmt | For | For | ||
| 3 Dwight Merriman | Mgmt | For | For | ||
| 2. | Approval, on a non-binding advisory basis, of the compensation of our named executive officers. | Mgmt | For | For | |
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 79 of 153 |
Unassigned
| MONGODB, INC. | |||
| Security: | 60937P106 | Agenda Number: | 935437853 |
| Ticker: | MDB | Meeting Type: | Annual |
| ISIN: | US60937P1066 | Meeting Date: | 29-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 Roelof Botha | Mgmt | For | For | ||
| 2 Dev Ittycheria | Mgmt | For | For | ||
| 3 John McMahon | Mgmt | For | For | ||
| 2. | Approval, on a non-binding advisory basis, of the compensation of our named executive officers. | Mgmt | For | For | |
| 3. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2022. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 80 of 153 |
Unassigned
| NETEASE, INC. | |||
| Security: | 64110W102 | Agenda Number: | 935269452 |
| Ticker: | NTES | Meeting Type: | Annual |
| ISIN: | US64110W1027 | Meeting Date: | 25-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Re-election of Director: William Lei Ding | Mgmt | For | For | |
| 1B. | Re-election of Director: Alice Yu-Fen Cheng | Mgmt | For | For | |
| 1C. | Re-election of Director: Denny Ting Bun Lee | Mgmt | For | For | |
| 1D. | Re-election of Director: Joseph Tze Kay Tong | Mgmt | For | For | |
| 1E. | Re-election of Director: Lun Feng | Mgmt | For | For | |
| 1F. | Re-election of Director: Michael Man Kit Leung | Mgmt | For | For | |
| 1G. | Re-election of Director: Michael Sui Bau Tong | Mgmt | For | For | |
| 2. | Ratify the appointment of PricewaterhouseCoopers Zhong Tian LLP and PricewaterhouseCoopers as auditors of NetEase, Inc. for the fiscal year ending December 31, 2020 for U.S. financial reporting and Hong Kong financial reporting purposes, respectively. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 81 of 153 |
Unassigned
| NETEASE, INC. | |||
| Security: | 64110W102 | Agenda Number: | 935447296 |
| Ticker: | NTES | Meeting Type: | Annual |
| ISIN: | US64110W1027 | Meeting Date: | 23-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Re-election of Director: William Lei Ding | Mgmt | For | For | |
| 1B. | Re-election of Director: Alice Yu-Fen Cheng | Mgmt | For | For | |
| 1C. | Re-election of Director: Denny Ting Bun Lee | Mgmt | For | For | |
| 1D. | Re-election of Director: Joseph Tze Kay Tong | Mgmt | For | For | |
| 1E. | Re-election of Director: Lun Feng | Mgmt | For | For | |
| 1F. | Re-election of Director: Michael Man Kit Leung | Mgmt | For | For | |
| 2. | Ratify the appointment of PricewaterhouseCoopers Zhong Tian LLP and PricewaterhouseCoopers as auditors of NetEase, Inc. for the fiscal year ending December 31, 2021 for U.S. financial reporting and Hong Kong financial reporting purposes, respectively. | Mgmt | For | For | |
| 3. | Amend and restate the Company’s Memorandum and Articles of Association to expressly permit completely virtual shareholders’ meetings, change the quorum for shareholders’ meetings and reflect other updates. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 82 of 153 |
Unassigned
| NETFLIX, INC. | |||
| Security: | 64110L106 | Agenda Number: | 935406252 |
| Ticker: | NFLX | Meeting Type: | Annual |
| ISIN: | US64110L1061 | Meeting Date: | 03-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class I Director to hold office until the 2024 Annual Meeting: Richard N. Barton | Mgmt | For | For | |
| 1B. | Election of Class I Director to hold office until the 2024 Annual Meeting: Rodolphe Belmer | Mgmt | For | For | |
| 1C. | Election of Class I Director to hold office until the 2024 Annual Meeting: Bradford L. Smith | Mgmt | For | For | |
| 1D. | Election of Class I Director to hold office until the 2024 Annual Meeting: Anne M. Sweeney | Mgmt | For | For | |
| 2. | To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | |
| 3. | Advisory approval of the Company’s executive officer compensation. | Mgmt | Against | Against | |
| 4. | Stockholder proposal entitled, “Proposal 4 - Political Disclosures,” if properly presented at the meeting. | Shr | Against | For | |
| 5. | Stockholder proposal entitled, “Proposal 5 - Simple Majority Vote,” if properly presented at the meeting. | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 83 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6. | Stockholder proposal entitled, “Stockholder Proposal to Improve the Executive Compensation Philosophy,” if properly presented at the meeting. | Shr | Against | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 84 of 153 |
Unassigned
| NEXON CO., LTD. | |||
| Security: | J4914X104 | Agenda Number: | 713663068 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | JP3758190007 | Meeting Date: | 25-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| By | Management’s | ||||
| Recommendation | |||||
| 1.1 | Appoint a Director who is not Audit and Supervisory Committee Member Owen Mahoney | Mgmt | Against | Against | |
| 1.2 | Appoint a Director who is not Audit and Supervisory Committee Member Uemura, Shiro | Mgmt | Against | Against | |
| 1.3 | Appoint a Director who is not Audit and Supervisory Committee Member Patrick Soderlund | Mgmt | Against | Against | |
| 1.4 | Appoint a Director who is not Audit and Supervisory Committee Member Kevin Mayer | Mgmt | For | For | |
| 2 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Mgmt | For | For | |
| 3 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | Mgmt | For | For | |
| 4 | Approve Details of the Compensation to be received by Directors who are Audit and Supervisory Committee Members | Mgmt | For | For | |
| 5 | Approve Issuance of Share Acquisition Rights as Stock Options for Employees, etc. | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 85 of 153 |
Unassigned
| OCADO GROUP PLC | |||
| Security: | G6718L106 | Agenda Number: | 713609533 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB00B3MBS747 | Meeting Date: | 13-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS | Mgmt | For | For | |
| 2 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT | Mgmt | Against | Against | |
| 3 | TO RE-APPOINT TIM STEINER | Mgmt | Against | Against | |
| 4 | TO RE-APPOINT NEILL ABRAMS | Mgmt | Against | Against | |
| 5 | TO RE-APPOINT MARK RICHARDSON | Mgmt | Against | Against | |
| 6 | TO RE-APPOINT LUKE JENSEN | Mgmt | Against | Against | |
| 7 | TO RE-APPOINT JORN RAUSING | Mgmt | Against | Against | |
| 8 | TO RE-APPOINT ANDREW HARRISON | Mgmt | For | For | |
| 9 | TO RE-APPOINT EMMA LLOYD | Mgmt | For | For | |
| 10 | TO RE-APPOINT JULIE SOUTHERN | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 86 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11 | TO RE-APPOINT JOHN MARTIN | Mgmt | For | For | |
| 12 | TO APPOINT MICHAEL SHERMAN | Mgmt | For | For | |
| 13 | TO APPOINT RICHARD HAYTHORNTHWAITE | Mgmt | Against | Against | |
| 14 | TO APPOINT STEPHEN DAINTITH | Mgmt | Against | Against | |
| 15 | TO RE-APPOINT DELOITTE LLP AS AUDITORS | Mgmt | For | For | |
| 16 | TO AUTHORISE THE DIRECTORS TO DETERMINE THE AUDITORS’ REMUNERATION | Mgmt | For | For | |
| 17 | AUTHORITY FOR POLITICAL DONATIONS AND POLITICAL EXPENDITURE | Mgmt | For | For | |
| 18 | AMENDMENT TO THE OCADO EMPLOYEE SHARE PURCHASE PLAN | Mgmt | For | For | |
| 19 | AUTHORITY TO ALLOT SHARES UP TO ONE-THIRD OF ISSUED SHARE CAPITAL | Mgmt | For | For | |
| 20 | AUTHORITY TO ALLOT SHARES IN CONNECTION WITH A RIGHTS ISSUE ONLY | Mgmt | For | For | |
| 21 | GENERAL AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS | Mgmt | For | For | |
| 22 | ADDITIONAL AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 87 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 23 | AUTHORITY TO PURCHASE OWN SHARES | Mgmt | For | For | |
| 24 | NOTICE OF GENERAL MEETINGS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 88 of 153 |
Unassigned
| OKTA, INC. | |||
| Security: | 679295105 | Agenda Number: | 935426418 |
| Ticker: | OKTA | Meeting Type: | Annual |
| ISIN: | US6792951054 | Meeting Date: | 17-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Todd McKinnon | Mgmt | For | For | ||
| 2 | Michael Stankey | Mgmt | For | For | ||
| 2. | A proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. | Mgmt | For | For | ||
| 3. | To approve, on an advisory non-binding basis, the compensation of our named executive officers. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 89 of 153 |
Unassigned
| PALANTIR TECHNOLOGIES INC. | |||
| Security: | 69608A108 | Agenda Number: | 935420012 |
| Ticker: | PLTR | Meeting Type: | Annual |
| ISIN: | US69608A1088 | Meeting Date: | 08-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Todd McKinnon | Mgmt | For | For | ||
| 2 | Michael Stankey | Mgmt | For | For | ||
| 3 | Peter Thiel | Mgmt | For | For | ||
| 4 | Alexander Moore | Mgmt | For | For | ||
| 5 | Spencer Rascoff | Mgmt | For | For | ||
| 6 | Alexandra Schiff | Mgmt | For | For | ||
| 7 | Lauren Friedman Stat | Mgmt | For | For | ||
| 2. | Advisory vote on frequency of executive compensation votes. | Mgmt | 1 Year | Against | ||
| 3. | Ratification of the appointment of Ernst & Young LLP as Palantir’s independent registered public accounting firm for 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 90 of 153 |
Unassigned
| PALO ALTO NETWORKS, INC. | |||
| Security: | 697435105 | Agenda Number: | 935287501 |
| Ticker: | PANW | Meeting Type: | Annual |
| ISIN: | US6974351057 | Meeting Date: | 09-Dec-20 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1a | Election of Class III Director: Nikesh Arora | Mgmt | Abstain | Against | ||
| 1b. | Election of Class III Director: Carl Eschenbach | Mgmt | Abstain | Against | ||
| 1c. | Election of Class III Director: Lorraine Twohill | Mgmt | Abstain | Against | ||
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2021. | Mgmt | For | For | ||
| 3. | To approve, on an advisory basis, the compensation of our named executive officers. | Mgmt | Abstain | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 91 of 153 |
Unassigned
| PINDUODUO INC | |||
| Security: | 722304102 | Agenda Number: | 935246959 |
| Ticker: | PDD | Meeting Type: | Annual |
| ISIN: | US7223041028 | Meeting Date: | 22-Jul-20 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | As an ordinary resolution: THAT Mr. Zheng Huang be re-elected as a director of the Company. | Mgmt | For | For | ||
| 2. | As an ordinary resolution: THAT Mr. Haifeng Lin be re-elected as a director of the Company. | Mgmt | For | For | ||
| 3. | As an ordinary resolution: THAT Mr. Nanpeng Shen be re-elected as a director of the Company. | Mgmt | For | For | ||
| 4. | As an ordinary resolution: THAT Dr. Qi Lu be re-elected as a director of the Company. | Mgmt | For | For | ||
| 5. | As an ordinary resolution: THAT Mr. George Yong-Boon Yeo be re-elected as a director of the Company. | Mgmt | For | For | ||
| 6. | As an ordinary resolution: THAT Mr. Anthony Kam Ping Leung be re-elected as a director of the Company. | Mgmt | For | For | ||
| 7. | As an ordinary resolution: THAT Mr. Lei Chen be elected as a director of the Company. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 92 of 153 |
Unassigned
| PINTEREST, INC. | |||
| Security: | 72352L106 | Agenda Number: | 935394938 |
| Ticker: | PINS | Meeting Type: | Annual |
| ISIN: | US72352L1061 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1A. | Election of Class II Director to hold office until the 2024 annual meeting: Fredric Reynolds | Mgmt | For | For | ||
| 1B. | Election of Class II Director to hold office until the 2024 annual meeting: Evan Sharp | Mgmt | For | For | ||
| 1C. | Election of Class II Director to hold office until the 2024 annual meeting: Andrea Wishom | Mgmt | For | For | ||
| 2. | Ratify the audit committee’s selection of Ernst & Young LLP as the company’s independent registered public accounting firm for the fiscal year 2021. | Mgmt | For | For | ||
| 3. | Approve, on an advisory non-binding basis, the compensation of our named executive officers.
| Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 93 of 153 |
Unassigned
| RINGCENTRAL, INC. | |||
| Security: | 76680R206 | Agenda Number: | 935432207 |
| Ticker: | RNG | Meeting Type: | Annual |
| ISIN: | US76680R2067 | Meeting Date: | 04-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Vladimir Shmunis | Mgmt | For | For | ||
| 2 | Kenneth Goldman | Mgmt | For | For | ||
| 3 | Michelle McKenna | Mgmt | For | For | ||
| 4 | Robert Theis | Mgmt | For | For | ||
| 5 | Allan Thygesen | Mgmt | For | For | ||
| 6 | Neil Williams | Mgmt | For | For | ||
| 7 | Mignon Clyburn | Mgmt | For | For | ||
| 8 | Arne Duncan | Mgmt | For | For | ||
| 2. | Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 94 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 3. | To approve, on an advisory (non-binding) basis, the named executive officers’ compensation, as disclosed in the Proxy Statement. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 95 of 153 |
Unassigned
| ROKU, INC. | |||
| Security: | 77543R102 | Agenda Number: | 935414932 |
| Ticker: | ROKU | Meeting Type: | Annual |
| ISIN: | US77543R1023 | Meeting Date: | 10-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1A. | Election of Class I Director to serve until the 2024 annual meeting: Ravi Ahuja | Mgmt | For | For | ||
| 1B. | Election of Class I Director to serve until the 2024 annual meeting: Mai Fyfield | Mgmt | For | For | ||
| 1C. | Election of Class I Director to serve until the 2024 annual meeting: Laurie Simon Hodrick | Mgmt | For | For | ||
| 2. | Advisory vote to approve our named executive officer compensation. | Mgmt | Against | Against | ||
| 3. | To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 96 of 153 |
Unassigned
| SALESFORCE.COM, INC. | |||
| Security: | 79466L302 | Agenda Number: | 935416811 |
| Ticker: | CRM | Meeting Type: | Annual |
| ISIN: | US79466L3024 | Meeting Date: | 10-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1A. | Election of Director: Marc Benioff | Mgmt | For | For | ||
| 1B. | Election of Director: Craig Conway | Mgmt | For | For | ||
| 1C. | Election of Director: Parker Harris | Mgmt | For | For | ||
| 1D. | Election of Director: Alan Hassenfeld | Mgmt | For | For | ||
| 1E. | Election of Director: Neelie Kroes | Mgmt | For | For | ||
| 1F. | Election of Director: Colin Powell | Mgmt | For | For | ||
| 1G. | Election of Director: Sanford Robertson | Mgmt | For | For | ||
| 1H. | Election of Director: John V. Roos | Mgmt | For | For | ||
| 1I. | Election of Director: Robin Washington | Mgmt | For | For | ||
| 1J. | Election of Director: Maynard Webb | Mgmt | For | For | ||
| 1K. | Election of Director: Susan Wojcicki | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 97 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 2. | Amendment and restatement of our 2013 Equity Incentive Plan to increase the number of shares reserved for issuance. | Mgmt | For | For | ||
| 3. | Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2022. | Mgmt | For | For | ||
| 4. | An advisory vote to approve the fiscal 2021 compensation of our named executive officers. | Mgmt | For | For | ||
| 5. | A stockholder proposal requesting that the Board of Directors take steps necessary to transition Salesforce to a Public Benefit Corporation, if properly presented at the meeting. | Shr | Against | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 98 of 153 |
Unassigned
| SAP SE | |||
| Security: | D66992104 | Agenda Number: | 713760329 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0007164600 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting | ||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 99 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | ||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | ||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | ||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.85 PER SHARE | Mgmt | For | For | ||
| 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For | ||
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For | ||
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 100 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 6.1 | ELECT QI LU TO THE SUPERVISORY BOARD | Mgmt | For | For | ||
| 6.2 | ELECT ROUVEN WESTPHAL TO THE SUPERVISORY BOARD | Mgmt | For | For | ||
| 7 | APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 10 BILLION APPROVE CREATION OF EUR 100 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS | Mgmt | For | For | ||
| 8 | AMEND CORPORATE PURPOSE | Mgmt | For | For | ||
| 9 | AMEND ARTICLES RE: PROOF OF ENTITLEMENT | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 101 of 153 |
Unassigned
| SERVICENOW, INC. | |||
| Security: | 81762P102 | Agenda Number: | 935416746 |
| Ticker: | NOW | Meeting Type: | Annual |
| ISIN: | US81762P1021 | Meeting Date: | 07-Jun-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1A. | Election of Director: Susan L. Bostrom | Mgmt | For | For | ||
| 1B. | Election of Director: Jonathan C. Chadwick | Mgmt | For | For | ||
| 1C. | Election of Director: Lawrence J. Jackson, Jr. | Mgmt | For | For | ||
| 1D. | Election of Director: Frederic B. Luddy | Mgmt | For | For | ||
| 1E. | Election of Director: Jeffrey A. Miller | Mgmt | For | For | ||
| 2. | To approve, on an advisory basis, the compensation of our Named Executive Officers (“Say-on-Pay”). | Mgmt | For | For | ||
| 3. | To ratify PricewaterhouseCoopers LLP as the independent registered public accounting firm for 2021. | Mgmt | For | For | ||
| 4. | To approve an amendment to our Restated Certificate of Incorporation, as amended, to provide shareholders with the right to call a special meeting. | Mgmt | For | For | ||
| 5. | To approve the 2021 Equity Incentive Plan to replace the 2012 Equity Incentive Plan. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 102 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 6. | To approve the Amended and Restated 2012 Employee Stock Purchase Plan. | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 103 of 153 |
Unassigned
| SHOPIFY INC. | |||
| Security: | 82509L107 | Agenda Number: | 935411366 |
| Ticker: | SHOP | Meeting Type: | Annual and Special |
| ISIN: | CA82509L1076 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1A | Election of Director: Tobias Lütke | Mgmt | For | For | ||
| 1B | Election of Director: Robert Ashe | Mgmt | For | For | ||
| 1C | Election of Director: Gail Goodman | Mgmt | For | For | ||
| 1D | Election of Director: Colleen Johnston | Mgmt | For | For | ||
| 1E | Election of Director: Jeremy Levine | Mgmt | For | For | ||
| 1F | Election of Director: John Phillips | Mgmt | For | For | ||
| 02 | Appointment of the Auditors Resolution approving the re-appointment of PricewaterhouseCoopers LLP as auditors of Shopify Inc. and authorizing the Board of Directors to fix their remuneration. | Mgmt | For | For | ||
| 03 | Approval of Stock Option Plan Resolution approving the second amendment and restatement of Shopify Inc.’s Stock Option Plan and approving all unallocated options under the Stock Option Plan, as amended, all as disclosed in the Management Information Circular for the Meeting. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 104 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 04 | Approval of Long Term Incentive Plan Resolution approving the second amendment and restatement of Shopify Inc.’s Long Term Incentive Plan and approving all unallocated awards under the Long Term Incentive Plan, as amended, all as disclosed in the Management Information Circular for the Meeting. | Mgmt | Against | Against | ||
| 05 | Advisory Vote on Executive Compensation Non-binding advisory resolution that the shareholders accept Shopify Inc.’s approach to executive compensation as disclosed in the Management Information Circular for the Meeting. | Mgmt | Against | Against | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 105 of 153 |
Unassigned
| SINCH AB | |||
| Security: | W835AF166 | Agenda Number: | 713931536 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | SE0007439112 | Meeting Date: | 18-May-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION | Non-Voting | ||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | ||||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 106 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1 | OPEN MEETING | Non-Voting | ||||
| 2 | ELECT CHAIRMAN OF MEETING | Non-Voting | ||||
| 3 | DESIGNATE INSPECTOR(S) OF MINUTES OF MEETING | Non-Voting | ||||
| 4 | PREPARE AND APPROVE LIST OF SHAREHOLDERS | Non-Voting | ||||
| 5 | APPROVE AGENDA OF MEETING | Non-Voting | ||||
| 6 | ACKNOWLEDGE PROPER CONVENING OF MEETING | Non-Voting | ||||
| 7 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS | Non-Voting | ||||
| 8.A | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Mgmt | For | For | ||
| 8.B | APPROVE ALLOCATION OF INCOME AND OMISSION OF DIVIDENDS | Mgmt | For | For | ||
| 8.C1 | APPROVE DISCHARGE OF ERIK FROBERG | Mgmt | For | For | ||
| 8.C2 | APPROVE DISCHARGE OF BRIDGET COSGRAVE | Mgmt | For | For | ||
| 8.C3 | APPROVE DISCHARGE OF RENEE ROBINSON STROMBERG | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 107 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 8.C4 | APPROVE DISCHARGE OF JOHAN STUART | Mgmt | For | For | ||
| 8.C5 | APPROVE DISCHARGE OF BJORN ZETHRAEUS | Mgmt | For | For | ||
| 8.C6 | APPROVE DISCHARGE OF OSCAR WERNER | Mgmt | For | For | ||
| 8.C7 | APPROVE DISCHARGE OF ROBERT GERSTMANN | Mgmt | For | For | ||
| 9.1 | DETERMINE NUMBER OF MEMBERS (6) AND DEPUTY MEMBERS (0) OF BOARD | Mgmt | For | For | ||
| 9.2 | DETERMINE NUMBER OF AUDITORS (1) AND DEPUTY AUDITORS (0) | Mgmt | For | For | ||
| 10 | APPROVE REMUNERATION OF DIRECTORS IN THE AMOUNT OF SEK 1.5 MILLION FOR CHAIRMAN AND SEK 700 ,000 FOR OTHER DIRECTORS APPROVE REMUNERATION FOR COMMITTEE WORK APPROVE REMUNERATION OF AUDITORS | Mgmt | Against | Against | ||
| 111.1 | REELECT ERIK FROBERG AS DIRECTOR | Mgmt | For | For | ||
| 111.2 | REELECT BRIDGET COSGRAVE AS DIRECTOR | Mgmt | For | For | ||
| 111.3 | REELECT RENEE ROBINSON STROMBERG AS DIRECTOR | Mgmt | For | For | ||
| 111.4 | REELECT JOHAN STUART AS DIRECTOR | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 108 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 111.5 | REELECT BJORN ZETHRAEUS AS DIRECTOR | Mgmt | For | For | ||
| 111.6 | ELECT LUCIANA CARVALHO AS NEW DIRECTOR | Mgmt | For | For | ||
| 11.2 | REELECT ERIK FROBERG AS BOARD CHAIRMAN | Mgmt | Against | Against | ||
| 11.3 | RATIFY DELOITTE AS AUDITORS | Mgmt | For | For | ||
| 12 | AUTHORIZE CHAIRMAN OF BOARD AND REPRESENTATIVES OF FOUR OF COMPANY’S LARGEST SHAREHOLDERS TO SERVE ON NOMINATING COMMITTEE | Mgmt | For | For | ||
| 13 | APPROVE REMUNERATION POLICY AND OTHER TERMS OF EMPLOYMENT FOR EXECUTIVE MANAGEMENT | Mgmt | For | For | ||
| 14 | APPROVE REMUNERATION REPORT | Mgmt | For | For | ||
| 15 | APPROVE ISSUANCE OF UP TO 20 PERCENT OF SHARE CAPITAL WITHOUT PREEMPTIVE RIGHTS | Mgmt | For | For | ||
| 16 | APPROVE 10:1 STOCK SPLIT AMEND ARTICLES ACCORDINGLY | Mgmt | For | For | ||
| 17 | APPROVE STOCK OPTION PLAN LTI 2021 FOR KEY EMPLOYEES | Mgmt | For | For | ||
| 18 | CLOSE MEETING | Non-Voting | ||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 109 of 153 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 110 of 153 |
Unassigned
| SPLUNK INC. | |||
| Security: | 848637104 | Agenda Number: | 935422624 |
| Ticker: | SPLK | Meeting Type: | Annual |
| ISIN: | US8486371045 | Meeting Date: | 17-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Class III Director: Sara Baack | Mgmt | For | For | |
| 1B. | Election of Class III Director: Sean Boyle | Mgmt | For | For | |
| 1C. | Election of Class III Director: Douglas Merritt | Mgmt | For | For | |
| 1D. | Election of Class III Director: Graham Smith | Mgmt | For | For | |
| 2. | To ratify the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as our | |||||
| independent registered public accounting firm | |||||
| for our fiscal year ending January 31, 2022. | |||||
| 3. | To approve, on an advisory basis, the | Mgmt | Against | Against | |
| compensation of our named executive | |||||
| officers, as described in the proxy statement. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 111 of 153 |
Unassigned
| SPOTIFY TECHNOLOGY S.A. | |||
| Security: | L8681T102 | Agenda Number: | 935346038 |
| Ticker: | SPOT | Meeting Type: | Annual |
| ISIN: | LU1778762911 | Meeting Date: | 21-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | Approve the Company’s annual accounts for | Mgmt | For | For | |
| the financial year ended December 31, 2020 | |||||
| and the Company’s consolidated financial | |||||
| statements for the financial year ended | |||||
| December 31, 2020. | |||||
| 2. | Approve allocation of the Company’s annual | Mgmt | For | For | |
| results for the financial year ended December | |||||
| 31, 2020. | |||||
| 3. | Grant discharge of the liability of the members | Mgmt | For | For | |
| of the Board of Directors for, and in | |||||
| connection with, the financial year ended | |||||
| December 31, 2020. | |||||
| 4A. | Election of Director: Mr. Daniel Ek (A Director) | Mgmt | For | For | |
| 4B. | Election of Director: Mr. Martin Lorentzon (A | Mgmt | For | For | |
| Director) | |||||
| 4C. | Election of Director: Mr. Shishir Samir | Mgmt | For | For | |
| Mehrotra (A Director) | |||||
| 4D. | Election of Director: Mr. Christopher Marshall | Mgmt | For | For | |
| (B Director) | |||||
| 4E. | Election of Director: Mr. Barry McCarthy (B | Mgmt | For | For | |
| Director) |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 112 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 4F. | Election of Director: Ms. Heidi O’Neill (B | Mgmt | For | For | |
| Director) | |||||
| 4G. | Election of Director: Mr. Ted Sarandos (B | Mgmt | For | For | |
| Director) | |||||
| 4H. | Election of Director: Mr. Thomas Owen | Mgmt | For | For | |
| Staggs (B Director) | |||||
| 4I. | Election of Director: Ms. Cristina Mayville | Mgmt | For | For | |
| Stenbeck (B Director) | |||||
| 4J. | Election of Director: Ms. Mona Sutphen (B | Mgmt | For | For | |
| Director) | |||||
| 4K. | Election of Director: Ms. Padmasree Warrior | Mgmt | For | For | |
| (B Director) | |||||
| 5. | Appoint Ernst & Young S.A. (Luxembourg) as | Mgmt | For | For | |
| the independent auditor for the period ending | |||||
| at the general meeting approving the annual | |||||
| accounts for the financial year ending on | |||||
| December 31, 2021. | |||||
| 6. | Approve the directors’ remuneration for the | Mgmt | For | For | |
| year 2021. | |||||
| 7. | Authorize the Board to repurchase | Mgmt | For | For | |
| 10,000,000 shares issued by the Company | |||||
| during a period of five years, for a price that | |||||
| will be determined by the Board within the | |||||
| following limits: at least the par value and at | |||||
| the most the fair market value. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 113 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 8. | Authorize and empower each of Mr. Guy | Mgmt | For | For | |
| Harles and Mr. Alexandre Gobert to execute | |||||
| and deliver, under their sole signature, on | |||||
| behalf of the Company and with full power of | |||||
| substitution, any documents necessary or | |||||
| useful in connection with the annual filing and | |||||
| registration required by the Luxembourg laws. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 114 of 153 |
Unassigned
| TEAMVIEWER AG | |||
| Security: | D8T895100 | Agenda Number: | 714036058 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE000A2YN900 | Meeting Date: | 15-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU | |||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE | Non-Voting | |||
| OF SPECIFIC CONFLICTS OF INTEREST IN | |||||
| CONNECTION WITH SPECIFIC ITEMS OF | |||||
| THE AGENDA FOR THE GENERAL | |||||
| MEETING YOU ARE NOT ENTITLED TO | |||||
| EXERCISE YOUR VOTING RIGHTS. | |||||
| FURTHER, YOUR VOTING RIGHT MIGHT | |||||
| BE EXCLUDED WHEN YOUR SHARE IN | |||||
| VOTING RIGHTS HAS REACHED CERTAIN | |||||
| THRESHOLDS AND YOU HAVE NOT | |||||
| COMPLIED WITH ANY OF YOUR | |||||
| MANDATORY VOTING RIGHTS | |||||
| NOTIFICATIONS PURSUANT TO THE | |||||
| GERMAN SECURITIES TRADING ACT | |||||
| (WPHG). FOR QUESTIONS IN THIS | |||||
| REGARD PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE FOR | |||||
| CLARIFICATION. IF YOU DO NOT HAVE | |||||
| ANY INDICATION REGARDING SUCH | |||||
| CONFLICT OF INTEREST, OR ANOTHER | |||||
| EXCLUSION FROM VOTING, PLEASE | |||||
| SUBMIT YOUR VOTE AS USUAL. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 115 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | INFORMATION ON COUNTER PROPOSALS | Non-Voting | |||
| CAN BE FOUND DIRECTLY ON THE | |||||
| ISSUER’S WEBSITE (PLEASE REFER TO | |||||
| THE MATERIAL URL SECTION OF THE | |||||
| APPLICATION). IF YOU WISH TO ACT ON | |||||
| THESE ITEMS, YOU WILL NEED TO | |||||
| REQUEST A MEETING ATTEND AND VOTE | |||||
| YOUR SHARES DIRECTLY AT THE | |||||
| COMPANY’S MEETING. COUNTER | |||||
| PROPOSALS CANNOT BE REFLECTED ON | |||||
| THE BALLOT ON PROXYEDGE. | |||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE | Non-Voting | |||
| WILL CODE ALL AGENDAS FOR GERMAN | |||||
| MEETINGS IN ENGLISH ONLY. IF YOU | |||||
| WISH TO SEE THE AGENDA IN GERMAN, | |||||
| THIS WILL BE MADE AVAILABLE AS A LINK | |||||
| UNDER THE ‘MATERIAL URL’ DROPDOWN | |||||
| AT THE TOP OF THE BALLOT. THE | |||||
| GERMAN AGENDAS FOR ANY EXISTING | |||||
| OR PAST MEETINGS WILL REMAIN IN | |||||
| PLACE. FOR FURTHER INFORMATION, | |||||
| PLEASE CONTACT YOUR CLIENT | |||||
| SERVICE REPRESENTATIVE. | |||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND | Non-Voting | |||
| STATUTORY REPORTS FOR FISCAL YEAR | |||||
| 2020 | |||||
| 2 | APPROVE DISCHARGE OF MANAGEMENT | Mgmt | For | For | |
| BOARD FOR FISCAL YEAR 2020 | |||||
| 3 | APPROVE DISCHARGE OF SUPERVISORY | Mgmt | For | For | |
| BOARD FOR FISCAL YEAR 2020 | |||||
| 4.1 | RATIFY ERNST & YOUNG GMBH AS | Mgmt | For | For | |
| AUDITORS FOR FISCAL YEAR 2021 | |||||
| 4.2 | RATIFY ERNST & YOUNG GMBH AS | Mgmt | For | For | |
| AUDITORS FOR FISCAL 2022 UNTIL THE | |||||
| NEXT AGM |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 116 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 5 | APPROVE REMUNERATION POLICY | Mgmt | For | For | |
| 6 | APPROVE REMUNERATION OF | Mgmt | For | For | |
| SUPERVISORY BOARD |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 117 of 153 |
Unassigned
| TENCENT HOLDINGS LTD | |||
| Security: | G87572163 | Agenda Number: | 713856310 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | KYG875721634 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY | Non-Voting | |||
| NOTICE AND PROXY FORM ARE | |||||
| AVAILABLE BY CLICKING ON THE URL | |||||
| LINKS: | |||||
| https://www1.hkexnews.hk/listedco/listconews | |||||
| /sehk/2021/0408/2021040802057.pdf AND | |||||
| https://www1.hkexnews.hk/listedco/listconews | |||||
| /sehk/2021/0408/2021040802049.pdf | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS | Non-Voting | |||
| ARE ALLOWED TO VOTE ‘IN FAVOR’ OR | |||||
| ‘AGAINST’ FOR ALL RESOLUTIONS, | |||||
| ABSTAIN IS NOT A VOTING OPTION ON | |||||
| THIS MEETING | |||||
| 1 | TO RECEIVE AND CONSIDER THE | Mgmt | For | For | |
| AUDITED FINANCIAL STATEMENTS, THE | |||||
| DIRECTORS’ REPORT AND THE | |||||
| INDEPENDENT AUDITOR ’S REPORT FOR | |||||
| THE YEAR ENDED 31 DECEMBER 2020 | |||||
| 2 | TO DECLARE A FINAL DIVIDEND | Mgmt | For | For | |
| 3.A | TO RE-ELECT MR YANG SIU SHUN AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 3.B | TO AUTHORISE THE BOARD OF | Mgmt | For | For | |
| DIRECTORS TO FIX THE DIRECTORS’ | |||||
| REMUNERATION |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 118 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| By | Management’s | ||||
| Recommendation | |||||
| 4 | TO RE-APPOINT AUDITOR AND | Mgmt | For | For | |
| AUTHORISE THE BOARD OF DIRECTORS | |||||
| TO FIX THEIR REMUNERATION: | |||||
| PRICEWATERHOUSECOOPERS AS | |||||
| AUDITOR | |||||
| 5 | TO GRANT A GENERAL MANDATE TO THE | Mgmt | Against | Against | |
| DIRECTORS TO ISSUE NEW SHARES | |||||
| 6 | TO GRANT A GENERAL MANDATE TO THE | Mgmt | For | For | |
| DIRECTORS TO REPURCHASE SHARES | |||||
| 7 | TO EXTEND THE GENERAL MANDATE TO | Mgmt | Against | Against | |
| ISSUE NEW SHARES BY ADDING THE | |||||
| NUMBER OF SHARES REPURCHASED | |||||
| CMMT | 12 APR 2021: PLEASE NOTE THAT THIS IS | Non-Voting | |||
| A REVISION DUE TO MODIFICATION OF | |||||
| THE TEXT OF RESOLUTION 4. IF YOU | |||||
| HAVE ALREADY SENT IN YOUR VOTES, | |||||
| PLEASE DO NOT VOTE AGAIN UNLESS | |||||
| YOU DECIDE TO AMEND YOUR ORIGINAL | |||||
| INSTRUCTIONS. THANK YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 119 of 153 |
Unassigned
| TENCENT HOLDINGS LTD | |||
| Security: | G87572163 | Agenda Number: | 714010410 |
| Ticker: | Meeting Type: | EGM | |
| ISIN: | KYG875721634 | Meeting Date: | 20-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THE COMPANY | Non-Voting | |||
| NOTICE AND PROXY FORM ARE | |||||
| AVAILABLE BY CLICKING ON THE URL | |||||
| LINKS: | |||||
| https://www1.hkexnews.hk/listedco/listconews | |||||
| /sehk/2021/0423/2021042302014.pdf, | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS | Non-Voting | |||
| ARE ALLOWED TO VOTE ‘IN FAVOR’ OR | |||||
| ‘AGAINST’ FOR RESOLUTION 1, ABSTAIN | |||||
| IS NOT A VOTING OPTION ON THIS | |||||
| MEETING | |||||
| 1 | TO ADOPT THE SHARE OPTION PLAN OF | Mgmt | For | For | |
| CHINA LITERATURE LIMITED |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 120 of 153 |
Unassigned
| THE TRADE DESK, INC. | |||
| Security: | 88339J105 | Agenda Number: | 935289745 |
| Ticker: | TTD | Meeting Type: | Special |
| ISIN: | US88339J1051 | Meeting Date: | 22-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | The amendment of our certificate of | Mgmt | For | For | |
| incorporation to change the events upon | |||||
| which all of our shares of Class B common | |||||
| stock will automatically convert into Class A | |||||
| common stock. | |||||
| 2. | The amendment of our certificate of | Mgmt | For | For | |
| incorporation to permit stockholders to act by | |||||
| written consent beginning on the first date on | |||||
| which the outstanding shares of Class B | |||||
| common stock represent less than 50% of the | |||||
| Company’s outstanding voting power. | |||||
| 3. | The amendment of our certificate of | Mgmt | For | For | |
| incorporation to permit stockholders owning at | |||||
| least 20% of our outstanding shares of | |||||
| common stock continuously for one year to | |||||
| request special stockholder meetings. | |||||
| 4. | The amendment of our certificate of | Mgmt | For | For | |
| incorporation to provide that the holders of | |||||
| our Class A common stock, voting as a single | |||||
| class, will be entitled to elect one director if | |||||
| the total number of directors is eight or fewer | |||||
| or two directors if the total number of directors | |||||
| is nine or greater. | |||||
| 5. | The adoption of the Amended and Restated | Mgmt | For | For | |
| Bylaws of the Company. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 121 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6. | The approval of one or more adjournments of | Mgmt | For | For | |
| the Special Meeting, if necessary, to solicit | |||||
| additional proxies if there are insufficient | |||||
| votes at the time of the Special Meeting to | |||||
| approve any of the proposals to be | |||||
| considered at the meeting. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 122 of 153 |
Unassigned
| THE TRADE DESK, INC. | |||
| Security: | 88339J105 | Agenda Number: | 935395271 |
| Ticker: | TTD | Meeting Type: | Annual |
| ISIN: | US88339J1051 | Meeting Date: | 27-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | David R. Pickles | Mgmt | For | For | ||
| 2 | Gokul Rajaram | Mgmt | For | For | ||
| 2. | The ratification of the appointment of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP (“PwC”) as our | ||||||
| independent registered public accounting firm | ||||||
| for the fiscal year ending December 31, 2021. | ||||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 123 of 153 |
Unassigned
| THG PLC | |||
| Security: | G47093102 | Agenda Number: | 714200184 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB00BMTV7393 | Meeting Date: | 24-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND | Mgmt | For | For | |
| STATUTORY REPORTS | |||||
| 2 | APPROVE REMUNERATION REPORT | Mgmt | For | For | |
| 3 | APPROVE REMUNERATION POLICY | Mgmt | For | For | |
| 4 | ELECT MATTHEW MOULDING AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5 | ELECT JOHN GALLEMORE AS DIRECTOR | Mgmt | For | For | |
| 6 | ELECT ZILLAH BYNG-THORNE AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 7 | ELECT DOMINIC MURPHY AS DIRECTOR | Mgmt | For | For | |
| 8 | ELECT EDWARD KOOPMAN AS DIRECTOR | Mgmt | For | For | |
| 9 | ELECT IAIN MCDONALD AS DIRECTOR | Mgmt | For | For | |
| 10 | ELECT DAMIAN SANDERS AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 124 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11 | ELECT TIFFANY HALL AS DIRECTOR | Mgmt | For | For | |
| 12 | APPOINT ERNST YOUNG LLP AS | Mgmt | Against | Against | |
| AUDITORS | |||||
| 13 | AUTHORISE THE AUDIT COMMITTEE TO | Mgmt | For | For | |
| FIX REMUNERATION OF AUDITORS | |||||
| 14 | AUTHORISE ISSUE OF EQUITY | Mgmt | For | For | |
| 15 | AUTHORISE UK POLITICAL DONATIONS | Mgmt | For | For | |
| AND EXPENDITURE | |||||
| 16 | AUTHORISE ISSUE OF EQUITY WITHOUT | Mgmt | For | For | |
| PRE-EMPTIVE RIGHTS | |||||
| 17 | AUTHORISE ISSUE OF EQUITY WITHOUT | Mgmt | For | For | |
| PRE-EMPTIVE RIGHTS IN CONNECTION | |||||
| WITH AN ACQUISITION OR OTHER | |||||
| CAPITAL INVESTMENT | |||||
| 18 | AUTHORISE MARKET PURCHASE OF | Mgmt | For | For | |
| ORDINARY SHARES | |||||
| 19 | AUTHORISE THE COMPANY TO CALL | Mgmt | For | For | |
| GENERAL MEETING WITH TWO WEEKS’ | |||||
| NOTICE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 125 of 153 |
Unassigned
| TRIPADVISOR, INC. | |||
| Security: | 896945201 | Agenda Number: | 935418144 |
| Ticker: | TRIP | Meeting Type: | Annual |
| ISIN: | US8969452015 | Meeting Date: | 08-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
| by | Management’s | |||||
| Recommendation | ||||||
| 1. | DIRECTOR | |||||
| 1 | Gregory B. Maffei | Mgmt | For | For | ||
| 2 | Stephen Kaufer | Mgmt | For | For | ||
| 3 | Jay C. Hoag | Mgmt | Withheld | Against | ||
| 4 | Betsy L. Morgan | Mgmt | For | For | ||
| 5 | M. Greg O’Hara | Mgmt | For | For | ||
| 6 | Jeremy Philips | Mgmt | For | For | ||
| 7 | Albert E. Rosenthaler | Mgmt | For | For | ||
| 8 | Jane Sun | Mgmt | For | For | ||
| 9 | Trynka Shineman Blake | Mgmt | For | For | ||
| 10 | Robert S. Wiesenthal | Mgmt | For | For | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 126 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 2. | To ratify the appointment of KPMG LLP as | Mgmt | For | For | |
| TripAdvisor, Inc.’s independent registered | |||||
| public accounting firm for the fiscal year | |||||
| ending December 31, 2021. | |||||
| 3. | Approval of Amendment to TripAdvisor, Inc. | Mgmt | Against | Against | |
| 2018 Stock and Annual Incentive Plan. | |||||
| 4. | Advisory Vote on Compensation of Named | Mgmt | For | For | |
| Executive Officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 127 of 153 |
Unassigned
| TWILIO INC. | |||
| Security: | 90138F102 | Agenda Number: | 935414716 |
| Ticker: | TWLO | Meeting Type: | Annual |
| ISIN: | US90138F1021 | Meeting Date: | 16-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1. | DIRECTOR | ||||
| 1 Jeff Lawson | Mgmt | For | For | ||
| 2 Byron Deeter | Mgmt | For | For | ||
| 3 Jeffrey Epstein | Mgmt | For | For | ||
| 2. | Ratification of the appointment of KPMG LLP | Mgmt | For | For | |
| as the Company’s independent registered | |||||
| public accounting firm for the fiscal year | |||||
| ending December 31, 2021. | |||||
| 3. | Approval of, on a non-binding advisory basis, | Mgmt | Against | Against | |
| the compensation of the Company’s named | |||||
| executive officers. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 128 of 153 |
Unassigned
| TWITTER, INC. | |||
| Security: | 90184L102 | Agenda Number: | 935395120 |
| Ticker: | TWTR | Meeting Type: | Annual |
| ISIN: | US90184L1026 | Meeting Date: | 24-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1A. | Election of Director: Jesse Cohn | Mgmt | For | For | |
| 1B. | Election of Director: Martha Lane Fox | Mgmt | For | For | |
| 1C. | Election of Director: Fei-Fei Li | Mgmt | For | For | |
| 1D. | Election of Director: David Rosenblatt | Mgmt | For | For | |
| 2. | The approval, on an advisory basis, of the | Mgmt | For | For | |
| compensation of our named executive officers | |||||
| (“Say-on-Pay”). | |||||
| 3. | The approval, on an advisory basis, of the | Mgmt | 1 Year | For | |
| frequency of future stockholder advisory votes | |||||
| on the compensation of our named executive | |||||
| officers. | |||||
| 4. | Ratification of the appointment of | Mgmt | For | For | |
| PricewaterhouseCoopers LLP as our | |||||
| independent registered public accounting firm | |||||
| for our fiscal year ending December 31, 2021. | |||||
| 5. | The approval of an amendment to our | Mgmt | For | For | |
| amended and restated certificate of | |||||
| incorporation to declassify our board of | |||||
| directors. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 129 of 153 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6. | Shareholder proposal no. 6 has been | Shr | Abstain | Against | |
| withdrawn | |||||
| 7. | A stockholder proposal regarding a director | Shr | For | Against | |
| candidate with human and/or civil rights | |||||
| expertise, if properly presented at the Annual | |||||
| Meeting. |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 130 of 153 |
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Unassigned
UBISOFT ENTERTAINMENT | |||
Security: | F9396N106 | Agenda Number: | 712740073 |
Ticker: |
| Meeting Type: | MIX |
ISIN: | FR0000054470 | Meeting Date: | 02-Jul-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting |
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CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting |
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CMMT | 17 JUN 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2020052720020 00-64 AND https://www.journal-officiel.gouv.fr/balo/document/2020061720025 66-73; PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING OF RESOLUTION E.35 AND | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 131 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| ADDITION OF URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. |
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O.1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020 | Mgmt | For | For | |
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O.2 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020 | Mgmt | For | For | |
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O.3 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020 | Mgmt | For | For | |
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O.4 | APPROVAL OF REGULATED AGREEMENTS AND COMMITMENTS | Mgmt | For | For | |
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O.5 | APPROVAL OF ALL ELEMENTS OF THE COMPENSATION OF CORPORATE OFFICERS REFERRED TO IN ARTICLE L. 225-37-3 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR ENDED 31 MARCH 2020 | Mgmt | For | For | |
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O.6 | APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. YVES GUILLEMOT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For | |
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O.7 | APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. CLAUDE GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 132 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
O.8 | APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. MICHEL GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER | Mgmt | For | For | |
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O.9 | APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. GERARD GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER | Mgmt | For | For | |
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O.10 | APPROVAL OF THE ELEMENTS OF COMPENSATION AND BENEFITS PAID DURING THE FINANCIAL YEAR ENDED 31 MARCH 2020, OR ALLOCATED IN RESPECT OF SAID FINANCIAL YEAR, TO MR. CHRISTIAN GUILLEMOT, DEPUTY CHIEF EXECUTIVE OFFICER | Mgmt | For | For | |
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O.11 | APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For | |
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O.12 | APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO DEPUTY CHIEF EXECUTIVE OFFICERS | Mgmt | For | For | |
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O.13 | APPROVAL OF THE COMPENSATION POLICY APPLICABLE TO DIRECTORS | Mgmt | For | For | |
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O.14 | RENEWAL OF THE TERM OF OFFICE OF MR. YVES GUILLEMOT AS DIRECTOR | Mgmt | Against | Against | |
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O.15 | RENEWAL OF THE TERM OF OFFICE OF MR. GERARD GUILLEMOT AS DIRECTOR | Mgmt | Against | Against |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 133 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
O.16 | RENEWAL OF THE TERM OF OFFICE OF MRS. FLORENCE NAVINER AS DIRECTOR | Mgmt | For | For | |
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O.17 | APPOINTMENT OF MR. JOHN PARKES AS A DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS, WITH MR. ERIC | Mgmt | Against | Against | |
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| TREMBLAY AS HIS DEPUTY |
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O.18 | AUTHORIZATION FOR THE BOARD OF DIRECTORS TO TRADE IN THE COMPANY’S SHARES | Mgmt | For | For | |
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E.19 | AUTHORIZATION TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE SHARE CAPITAL BY CANCELLING TREASURY SHARES HELD BY THE COMPANY | Mgmt | For | For | |
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E.20 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY CAPITALIZATION OF RESERVES, PROFITS, PREMIUMS OR OTHERS WHOSE CAPITALIZATION WOULD BE ALLOWED | Mgmt | For | For | |
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E.21 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT | Mgmt | For | For | |
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E.22 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 134 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY MEANS OF A PUBLIC OFFERING, EXCLUDING THE OFFERS REFERRED TO IN SECTION 1DECREE OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE |
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E.23 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING SHARES OF THE COMPANY AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL OR THAT OF ONE OF ITS SUBSIDIARIES AND/OR GRANTING ENTITLEMENT TO THE ALLOCATION OF DEBT SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, BY WAY OF A PUBLIC OFFERING REFERRED TO IN SECTION 1DECREE OF ARTICLE L. 411-2 OF THE FRENCH MONETARY AND FINANCIAL CODE (FORMERLY “PRIVATE PLACEMENT” | Mgmt | For | For | |
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E.24 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, IN ORDER TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT | Mgmt | For | For | |
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E.25 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, FOR THE BENEFIT OF MEMBERS OF (A) COMPANY OR GROUP SAVINGS PLAN(S | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 135 of 153 |
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Prop. # | Proposal | Proposed by | Proposal Vote | For/Against | |
E.26 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR EMPLOYEES AND/OR CORPORATE OFFICERS OF CERTAIN SUBSIDIARIES OF THE COMPANY WITHIN THE MEANING OF ARTICLE L. 233-16 OF THE FRENCH COMMERCIAL CODE, WHOSE REGISTERED OFFICE IS LOCATED OUTSIDE FRANCE, EXCLUDING COMPANY OR GROUP SAVINGS PLANS | Mgmt | For | For | |
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E.27 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES AND/OR COMPOSITE TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES IN THE CONTEXT OF AN EMPLOYEE SHAREHOLDING OFFER | Mgmt | For | For | |
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E.28 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO GRANT OPTIONS TO SUBSCRIBE FOR AND/OR PURCHASE COMMON SHARES OF THE COMPANY REFERRED TO IN ARTICLES L. 225-177 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE FOR THE BENEFIT OF EMPLOYEES, INCLUDING ALL OR SOME OF THE MEMBERS OF THE EXECUTIVE COMMITTEE OF UBISOFT GROUP REFERRED TO IN SECTION 4.1.2.3 OF THE UNIVERSAL REGISTRATION DOCUMENT, EXCLUDING THE COMPANY’S EXECUTIVE CORPORATE OFFICERS REFERRED TO IN THE TWENTY-NINTH RESOLUTION | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 136 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
E.29 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO GRANT OPTIONS TO SUBSCRIBE FOR AND/OR PURCHASE COMMON SHARES OF THE COMPANY REFERRED TO IN ARTICLES L. 225-177 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE FOR THE BENEFIT OF THE COMPANY’S EXECUTIVE CORPORATE OFFICERS. | Mgmt | Against | Against | |
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E.29 | OVERALL CEILING ON CAPITAL INCREASES | Mgmt | For | For | |
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E.30 | AMENDMENT TO ARTICLE 8 OF THE COMPANY’S BY-LAWS IN ORDER TO PROVIDE THAT THE TERM OF OFFICE OF DIRECTORS REPRESENTING EMPLOYEES MAY EXCEPTIONALLY BE LESS THAN FOUR YEARS AND TO HARMONIZE THE COMPANY’S SHAREHOLDING RULES FOR EACH CATEGORY OF DIRECTORS AND/OR MAKE ANY OTHER CLARIFICATION BY REFERENCE TO THE LEGAL AND REGULATORY PROVISIONS APPLICABLE IN THIS REGARD | Mgmt | For | For | |
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E.32 | AMENDMENT TO ARTICLE 12 OF THE COMPANY’S BY-LAWS IN ORDER TO SET A STATUTORY AGE LIMIT FOR THE PERFORMANCE OF THE FUNCTIONS OF CHIEF EXECUTIVE OFFICER AND DEPUTY CHIEF EXECUTIVE OFFICER IN LINE WITH THE STATUTORY AGE LIMIT FOR DIRECTORS AND THE CHAIRMAN OF THE BOARD OF DIRECTORS, AND TO UPDATE THE DURATION OF SAID FUNCTIONS FOLLOWING THE AMENDMENT TO ARTICLE L. 225-56 OF THE FRENCH COMMERCIAL CODE BY LAW NO. 2001- 420 OF 15 MAY 2001 (“NRE” LAW | Mgmt | For | For | |
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E.33 | ALIGNMENT OF THE BY-LAWS WITH THE LEGAL AND REGULATORY PROVISIONS IN FORCE | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 137 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
E.34 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS TO AMEND THE BY-LAWS IN ORDER TO BRING THEM INTO COMPLIANCE WITH LEGAL AND REGULATORY PROVISIONS | Mgmt | For | For | |
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E.35 | POWERS TO CARRY OUT FORMALITIES | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 138 of 153 |
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Unassigned
UNITY SOFTWARE INC |
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Security: | 91332U101 | Agenda Number: | 935414639 |
Ticker: | U | Meeting Type: | Annual |
ISIN: | US91332U1016 | Meeting Date: | 17-Jun-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against Management’s Recommendation | ||
1. | DIRECTOR |
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| 1 | Roelof Botha | Mgmt | For | For | |
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| 2 | David Helgason | Mgmt | For | For | |
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| 3 | John Riccitiello | Mgmt | For | For | |
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2. | To ratify the selection by the Audit Committee of the Board of Directors of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. | Mgmt | For | For | ||
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 139 of 153 |
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Unassigned
VMWARE, INC. | |||
Security: | 928563402 | Agenda Number: | 935225993 |
Ticker: | VMW | Meeting Type: | Annual |
ISIN: | US9285634021 | Meeting Date: | 15-Jul-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
1A. | Election of Director: Anthony Bates | Mgmt | For | For | |
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2. | An advisory vote to approve named executive officer compensation, as described in VMware’s Proxy Statement. | Mgmt | Against | Against | |
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3. | To ratify the selection by the Audit Committee of VMware’s Board of Directors of PricewaterhouseCoopers LLP as VMware’s independent auditor for the fiscal year ending January 29, 2021. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 140 of 153 |
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Unassigned
WAYFAIR INC | |||
Security: | 94419L101 | Agenda Number: | 935361763 |
Ticker: | W | Meeting Type: | Annual |
ISIN: | US94419L1017 | Meeting Date: | 11-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
1A. | Election of Director: Niraj Shah | Mgmt | For | For | |
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1B. | Election of Director: Steven Conine | Mgmt | For | For | |
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1C. | Election of Director: Michael Choe | Mgmt | For | For | |
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1D. | Election of Director: Andrea Jung | Mgmt | For | For | |
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1E. | Election of Director: Michael Kumin | Mgmt | For | For | |
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1F. | Election of Director: Jeffrey Naylor | Mgmt | For | For | |
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1G. | Election of Director: Anke Schäferkordt | Mgmt | For | For | |
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1H. | Election of Director: Michael E. Sneed | Mgmt | For | For | |
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2. | To ratify the appointment of Ernst & Young LLP as the Corporation’s independent registered public accountants for the fiscal year ending December 31, 2021. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 141 of 153 |
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Unassigned
WIX.COM LTD | |||
Security: | M98068105 | Agenda Number: | 935282157 |
Ticker: | WIX | Meeting Type: | Annual |
ISIN: | IL0011301780 | Meeting Date: | 09-Nov-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
1A. | Re-election of Class I director to serve until the 2023 Annual General Meeting of Shareholders: Deirdre Bigley | Mgmt | For | For | |
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1B. | Re-election of Class I director to serve until the 2023 Annual General Meeting of Shareholders: Allon Bloch | Mgmt | For | For | |
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2. | To ratify the appointment and compensation of Kost, Forer, Gabbay & Kasierer, a member of Ernst & Young Global, as the Company’s independent registered public accounting firm for the year ending December 31, 2020 and until the next annual general meeting of shareholders. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 142 of 153 |
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Unassigned
WORKDAY, INC. | |||
Security: | 98138H101 | Agenda Number: | 935410477 |
Ticker: | WDAY | Meeting Type: | Annual |
ISIN: | US98138H1014 | Meeting Date: | 08-Jun-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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1. | DIRECTOR |
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| 1 Aneel Bhusri | Mgmt | For | For | |
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| 2 Ann-Marie Campbell | Mgmt | For | For | |
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| 3 David A. Duffield | Mgmt | For | For | |
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| 4 Lee J. Styslinger III | Mgmt | For | For | |
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2. | To ratify the appointment of Ernst & Young LLP as Workday’s independent registered public accounting firm for the fiscal year ending January 31, 2022. | Mgmt | For | For | |
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3. | To approve, on an advisory basis, the compensation of our named executive officers as disclosed in the Proxy Statement. | Mgmt | Against | Against | |
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4. | To approve, on an advisory basis, the frequency of future advisory votes concerning the compensation of our named executive officers. | Mgmt | 1 Year | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 143 of 153 |
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Unassigned
XERO LTD | |||
Security: | Q98665104 | Agenda Number: | 712933820 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | ��NZXROE0001S2 | Meeting Date: | 13-Aug-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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1 | FIXING THE REMUNERATION OF THE AUDITOR | Mgmt | For | For | |
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2 | RE-ELECTION OF LEE HATTON | Mgmt | For | For | |
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3 | RE-ELECTION OF ROD DRURY | Mgmt | For | For | |
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4 | ELECTION OF MARK CROSS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 144 of 153 |
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Unassigned
Z HOLDINGS CORPORATION | |||
Security: | J9894K105 | Agenda Number: | 714218143 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | JP3933800009 | Meeting Date: | 18-Jun-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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| Please reference meeting materials. | Non-Voting |
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1 | Amend Articles to: Establish the Articles Related to Shareholders Meeting held without specifying a venue | Mgmt | For | For | |
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2.1 | Appoint a Director who is not Audit and Supervisory Committee Member Kawabe, Kentaro | Mgmt | For | For | |
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2.2 | Appoint a Director who is not Audit and Supervisory Committee Member Idezawa, Takeshi | Mgmt | For | For | |
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2.3 | Appoint a Director who is not Audit and Supervisory Committee Member Jungho Shin | Mgmt | For | For | |
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2.4 | Appoint a Director who is not Audit and Supervisory Committee Member Ozawa, Takao | Mgmt | For | For | |
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2.5 | Appoint a Director who is not Audit and Supervisory Committee Member Masuda, Jun | Mgmt | For | For | |
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2.6 | Appoint a Director who is not Audit and Supervisory Committee Member Oketani, Taku | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 145 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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3 | Appoint a Director who is Audit and Supervisory Committee Member Usumi, Yoshio | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 146 of 153 |
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Unassigned
ZALANDO SE | |||
Security: | D98423102 | Agenda Number: | 713856841 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | DE000ZAL1111 | Meeting Date: | 19-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 147 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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CMMT | INFORMATION ON COUNTER PROPOSALS | Non-Voting |
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| CAN BE FOUND DIRECTLY ON THE |
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| ISSUER’S WEBSITE (PLEASE REFER TO |
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| THE MATERIAL URL SECTION OF THE |
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| APPLICATION). IF YOU WISH TO ACT ON |
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| THESE ITEMS, YOU WILL NEED TO |
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| REQUEST A MEETING ATTEND AND VOTE |
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| YOUR SHARES DIRECTLY AT THE |
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| COMPANY’S MEETING. COUNTER |
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| PROPOSALS CANNOT BE REFLECTED ON |
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| THE BALLOT ON PROXYEDGE |
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CMMT | FROM 10TH FEBRUARY, BROADRIDGE | Non-Voting |
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| WILL CODE ALL AGENDAS FOR GERMAN |
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| MEETINGS IN ENGLISH ONLY. IF YOU |
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| WISH TO SEE THE AGENDA IN GERMAN, |
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| THIS WILL BE MADE AVAILABLE AS A LINK |
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| UNDER THE ‘MATERIAL URL’ DROPDOWN |
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| AT THE TOP OF THE BALLOT. THE |
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| GERMAN AGENDAS FOR ANY EXISTING |
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| OR PAST MEETINGS WILL REMAIN IN |
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| PLACE. FOR FURTHER INFORMATION, |
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| PLEASE CONTACT YOUR CLIENT |
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| SERVICE REPRESENTATIVE |
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1 | RECEIVE FINANCIAL STATEMENTS AND | Non-Voting |
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| STATUTORY REPORTS FOR FISCAL YEAR |
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| 2020 |
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2 | APPROVE ALLOCATION OF INCOME AND | Mgmt | For | For | |
| OMISSION OF DIVIDENDS |
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3 | APPROVE DISCHARGE OF MANAGEMENT | Mgmt | For | For | |
| BOARD FOR FISCAL YEAR 2020 |
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4 | APPROVE DISCHARGE OF SUPERVISORY | Mgmt | For | For | |
| BOARD FOR FISCAL YEAR 2020 |
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5.1 | RATIFY ERNST & YOUNG GMBH AS | Mgmt | For | For | |
| AUDITORS FOR FISCAL YEAR 2021 |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 148 of 153 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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5.2 | RATIFY ERNST & YOUNG GMBH AS | Mgmt | For | For | |
| AUDITORS UNTIL THE 2022 AGM |
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6.1 | ELECT KELLY BENNETT TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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6.2 | ELECT JENNIFER HYMAN TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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6.3 | ELECT NIKLAS OESTBERG TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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6.4 | ELECT ANDERS HOLCH POVLSEN TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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6.5 | ELECT MARIELLA ROEHM-KOTTMANN TO | Mgmt | For | For | |
| THE SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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6.6 | ELECT CRISTINA STENBECK TO THE | Mgmt | Against | Against | |
| SUPERVISORY BOARD AS |
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| SHAREHOLDER REPRESENTATIVE |
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7 | APPROVE REMUNERATION POLICY | Mgmt | Against | Against | |
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8 | APPROVE REMUNERATION OF | Mgmt | For | For | |
| SUPERVISORY BOARD |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 149 of 153 |
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Unassigned
ZENDESK, INC. | |||
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Security: | 98936J101 | Agenda Number: | 935367210 |
Ticker: | ZEN | Meeting Type: | Annual |
ISIN: | US98936J1016 | Meeting Date: | 18-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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| |
1A | Election of Class I Director: Archana Agrawal | Mgmt | For | For | |
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1B. | Election of Class I Director: Hilarie Koplow- | Mgmt | For | For | |
| McAdams |
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1C. | Election of Class I Director: Michelle Wilson | Mgmt | For | For | |
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2. | To ratify the appointment of Ernst & Young | Mgmt | For | For | |
| LLP as Zendesk’s independent registered |
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| public accounting firm for the fiscal year |
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| ending December 31, 2021. |
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3. | Non-binding advisory vote to approve the | Mgmt | For | For | |
| compensation of our Named Executive |
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| Officers. |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 150 of 153 |
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Unassigned
ZOOM VIDEO COMMUNICATIONS, INC. | |||
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Security: | 98980L101 | Agenda Number: | 935412926 |
Ticker: | ZM | Meeting Type: | Annual |
ISIN: | US98980L1017 | Meeting Date: | 17-Jun-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
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| by |
| Management’s | ||
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| Recommendation | ||
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1. | DIRECTOR |
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| 1 | Jonathan Chadwick | Mgmt | For | For | |
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| 2 | Kimberly L. Hammonds | Mgmt | For | For | |
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| 3 | Dan Scheinman | Mgmt | For | For | |
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2. | Ratify the appointment of KPMG LLP as our | Mgmt | For | For | ||
| independent registered public accounting firm |
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| for our fiscal year ending January 31, 2022. |
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3. | To approve, on an advisory non-binding basis, | Mgmt | Against | Against | ||
| the compensation of our named executive |
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| ||
| officers as disclosed in our proxy statement. |
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| ||
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4. | To approve, on an advisory non-binding basis, | Mgmt | 1 Year | For | ||
| the frequency of future advisory non-binding |
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| ||
| votes on the compensation of our named |
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| ||
| executive officers. |
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| ||
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 151 of 153 |
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Unassigned
ZSCALER, INC. | |||
Security: | 98980G102 | Agenda Number: | 935301705 |
Ticker: | ZS | Meeting Type: | Annual |
ISIN: | US98980G1022 | Meeting Date: | 06-Jan-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | ||
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| by |
| Management’s | ||
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| Recommendation | ||
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| ||
1. | DIRECTOR |
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| 1 | Jagtar (“Jay”) Chaudhry | Mgmt | For | For | |
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| 2 | Amit Sinha | Mgmt | For | For | |
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2. | To ratify the selection of | Mgmt | For | For | ||
| PricewaterhouseCoopers LLP as our |
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| independent registered public accounting firm |
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| for fiscal year 2021. |
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3. | To approve on a non-binding, advisory basis, | Mgmt | Against | Against | ||
| the compensation of our named executive |
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| ||
| officers. |
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| ||
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 152 of 153 |
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Unassigned
ZYNGA INC. | |||
Security: | 98986T108 | Agenda Number: | 935376017 |
Ticker: | ZNGA | Meeting Type: | Annual |
ISIN: | US98986T1088 | Meeting Date: | 17-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
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| by |
| Management’s | |
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| Recommendation | |
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| |
1a. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Mark Pincus |
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1b. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Frank Gibeau |
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1c. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Dr. Regina E. Dugan |
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1d. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: William “Bing” Gordon |
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1e. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Louis J. Lavigne, Jr. |
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1f. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Carol G. Mills |
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1g. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Janice M. Roberts |
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1h. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Ellen F. Siminoff |
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1i. | Election of Director to serve until the next | Mgmt | For | For | |
| annual meeting: Noel B. Watson |
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| |
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| |
2. | To approve, on an advisory basis, the | Mgmt | Against | Against | |
| compensation of Zynga’s named executive |
|
|
| |
| officers. |
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|
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
|
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|
| Page 153 of 153 |
|
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
|
| by |
| Management’s | |
|
|
|
| Recommendation | |
|
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|
|
| |
3. | To ratify the selection of Ernst & Young LLP | Mgmt | For | For | |
| as the independent registered public |
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|
| |
| accounting firm of Zynga for its fiscal year |
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|
| |
| ending December 31, 2021. |
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| |
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| |
4. | Shareholder proposal to amend the | Shr | For | Against | |
| shareholding threshold to call a Special |
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| |
| Meeting. |
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|
O’Shares Europe Quality Dividend ETF
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 1 of 261 |
Unassigned
| ABB LTD | |
| Security: H0010V101 | Agenda Number: 713634031 |
| Ticker: | Meeting Type: AGM |
| ISIN: CH0012221716 | Meeting Date: 25-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER | Non-Voting | |||
| DETAILS ARE REQUIRED FOR THIS | |||||
| MEETING. IF NO BENEFICIAL OWNER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY BE REJECTED. THANK | |||||
| YOU. | |||||
| 1 | APPROVAL OF THE MANAGEMENT | Mgmt | For | For | |
| REPORT, THE CONSOLIDATED FINANCIAL | |||||
| STATEMENTS AND THE ANNUAL | |||||
| FINANCIAL STATEMENTS FOR 2020 | |||||
| 2 | CONSULTATIVE VOTE ON THE 2020 | Mgmt | For | For | |
| COMPENSATION REPORT | |||||
| 3 | DISCHARGE OF THE BOARD OF | Mgmt | For | For | |
| DIRECTORS AND THE PERSONS | |||||
| ENTRUSTED WITH MANAGEMENT | |||||
| 4 | APPROPRIATION OF EARNINGS: | Mgmt | For | For | |
| DIVIDEND OF CHF 0.80 GROSS PER | |||||
| REGISTERED SHARE | |||||
| 5 | CAPITAL REDUCTION THROUGH | Mgmt | For | For | |
| CANCELLATION OF SHARES | |||||
| REPURCHASED UNDER THE SHARE | |||||
| BUYBACK PROGRAM | |||||
| 6 | RENEWAL OF AUTHORIZED SHARE | Mgmt | For | For | |
| CAPITAL |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 2 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 7.1 | BINDING VOTE ON THE MAXIMUM | Mgmt | For | For | |
| AGGREGATE AMOUNT OF | |||||
| COMPENSATION OF THE BOARD OF | |||||
| DIRECTORS FOR THE NEXT TERM OF | |||||
| OFFICE, I. E. FROM THE 2021 ANNUAL | |||||
| GENERAL MEETING TO THE 2022 ANNUAL | |||||
| GENERAL MEETING | |||||
| 7.2 | BINDING VOTE ON THE MAXIMUM | Mgmt | For | For | |
| AGGREGATE AMOUNT OF | |||||
| COMPENSATION OF THE EXECUTIVE | |||||
| COMMITTEE FOR THE FOLLOWING | |||||
| FINANCIAL YEAR, I. E. 2022 | |||||
| 8.1 | REELECT GUNNAR BROCK AS DIRECTOR | Mgmt | For | For | |
| 8.2 | REELECT DAVID CONSTABLE AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 8.3 | REELECT FREDERICO CURADO AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 8.4 | REELECT LARS FOERBERG AS DIRECTOR | Mgmt | For | For | |
| 8.5 | REELECT JENNIFER XIN-ZHE LI AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 8.6 | REELECT GERALDINE MATCHETT AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 8.7 | REELECT DAVID MELINE AS DIRECTOR | Mgmt | For | For | |
| 8.8 | REELECT SATISH PAI AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 3 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 8.9 | REELECT JACOB WALLENBERG AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 8.10 | REELECT PETER VOSER AS DIRECTOR | Mgmt | For | For | |
| AND BOARD CHAIRMAN | |||||
| 9.1 | ELECTION TO THE COMPENSATION | Mgmt | For | For | |
| COMMITTEE: DAVID CONSTABLE | |||||
| 9.2 | ELECTION TO THE COMPENSATION | Mgmt | For | For | |
| COMMITTEE: FREDERICO FLEURY | |||||
| CURADO | |||||
| 9.3 | ELECTION TO THE COMPENSATION | Mgmt | For | For | |
| COMMITTEE: JENNIFER XIN-ZHE LI | |||||
| 10 | ELECTION OF THE INDEPENDENT PROXY: | Mgmt | For | For | |
| DR. HANS ZEHNDER, ATTORNEY-AT-LAW | |||||
| 11 | ELECTION OF THE AUDITOR: KPMG AG, | Mgmt | For | For | |
| ZURICH |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 4 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING | Non-Voting | |||
| ON AGENDA AND MEETING ATTENDANCE | |||||
| REQUESTS ONLY. PLEASE ENSURE THAT | |||||
| YOU HAVE FIRST VOTED IN FAVOUR OF | |||||
| THE REGISTRATION OF SHARES IN PART | |||||
| 1 OF THE MEETING. IT IS A MARKET | |||||
| REQUIREMENT FOR MEETINGS OF THIS | |||||
| TYPE THAT THE SHARES ARE | |||||
| REGISTERED AND MOVED TO A | |||||
| REGISTERED LOCATION AT THE CSD, | |||||
| AND SPECIFIC POLICIES AT THE | |||||
| INDIVIDUAL SUB-CUSTODIANS MAY VARY. | |||||
| UPON RECEIPT OF THE VOTE | |||||
| INSTRUCTION, IT IS POSSIBLE THAT A | |||||
| MARKER MAY BE PLACED ON YOUR | |||||
| SHARES TO ALLOW FOR | |||||
| RECONCILIATION AND RE-REGISTRATION | |||||
| FOLLOWING A TRADE. THEREFORE | |||||
| WHILST THIS DOES NOT PREVENT THE | |||||
| TRADING OF SHARES, ANY THAT ARE | |||||
| REGISTERED MUST BE FIRST | |||||
| DEREGISTERED IF REQUIRED FOR | |||||
| SETTLEMENT. DEREGISTRATION CAN | |||||
| AFFECT THE VOTING RIGHTS OF THOSE | |||||
| SHARES. IF YOU HAVE CONCERNS | |||||
| REGARDING YOUR ACCOUNTS, PLEASE | |||||
| CONTACT YOUR CLIENT | |||||
| REPRESENTATIVE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 5 of 261 |
Unassigned
| ADMIRAL GROUP PLC | |
| Security: G0110T106 | Agenda Number: 713724082 |
| Ticker: | Meeting Type: AGM |
| ISIN: GB00B02J6398 | Meeting Date: 30-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | TO RECEIVE THE FINANCIAL | Mgmt | For | For | |
| STATEMENTS AND THE REPORTS OF THE | |||||
| DIRECTORS AND THE AUDITORS FOR | |||||
| THE YEAR ENDED 31 DECEMBER 2020 | |||||
| 2 | TO APPROVE THE DIRECTORS’ | Mgmt | For | For | |
| REMUNERATION REPORT (EXCLUDING | |||||
| THE DIRECTORS’ REMUNERATION | |||||
| POLICY) FOR THE FINANCIAL YEAR | |||||
| ENDED 31 DECEMBER 2020 | |||||
| 3 | TO APPROVE THE DIRECTORS’ | Mgmt | For | For | |
| REMUNERATION POLICY FOR THE | |||||
| FINANCIAL YEAR ENDED 31 DECEMBER | |||||
| 2020 | |||||
| 4 | TO DECLARE A FINAL DIVIDEND ON THE | Mgmt | For | For | |
| ORDINARY SHARES OF THE COMPANY | |||||
| FOR THE YEAR ENDED 31 DECEMBER | |||||
| 2020 OF 86 PENCE PER ORDINARY | |||||
| SHARE, PAYABLE TO ALL ORDINARY | |||||
| SHAREHOLDERS ON THE COMPANY’S | |||||
| REGISTER OF MEMBERS AT THE CLOSE | |||||
| OF BUSINESS ON 7 MAY 2021 | |||||
| 5 | TO APPOINT JAYAPRAKASA | Mgmt | For | For | |
| RANGASWAMI AS A NON-EXECUTIVE | |||||
| DIRECTOR OF THE COMPANY | |||||
| 6 | TO APPOINT MILENA MONDINI-DE- | Mgmt | For | For | |
| FOCATIIS AS A EXECUTIVE DIRECTOR OF | |||||
| THE COMPANY |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 6 of 261 | |||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 7 | TO RE-APPOINT GERAINT JONES AS A | Mgmt | For | For | |
| EXECUTIVE DIRECTOR OF THE COMPANY | |||||
| 8 | TO RE-APPOINT ANNETTE COURT AS A | Mgmt | For | For | |
| NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY | |||||
| 9 | TO RE-APPOINT JEAN PARK AS A NON- | Mgmt | For | For | |
| EXECUTIVE DIRECTOR OF THE COMPANY | |||||
| 10 | TO RE-APPOINT GEORGE MANNING | Mgmt | For | For | |
| ROUNTREE AS A NON-EXECUTIVE | |||||
| DIRECTOR OF THE COMPANY | |||||
| 11 | TO RE-APPOINT OWEN CLARKE AS A | Mgmt | For | For | |
| NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY | |||||
| 12 | TO RE-APPOINT JUSTINE ROBERTS AS A | Mgmt | For | For | |
| NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY | |||||
| 13 | TO RE-APPOINT ANDREW CROSSLEY AS | Mgmt | For | For | |
| A NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY | |||||
| 14 | TO RE-APPOINT MICHAEL BRIERLEY AS A | Mgmt | For | For | |
| NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY | |||||
| 15 | TO RE-APPOINT KAREN GREEN AS A | Mgmt | For | For | |
| NON-EXECUTIVE DIRECTOR OF THE | |||||
| COMPANY |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 7 of 261 | |||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 16 | TO RE-APPOINT DELOITTE LLP AS THE | Mgmt | For | For | |
| AUDITORS OF THE COMPANY FROM THE | |||||
| CONCLUSION OF THIS MEETING UNTIL | |||||
| THE CONCLUSION OF THE NEXT | |||||
| GENERAL MEETING AT WHICH | |||||
| ACCOUNTS ARE LAID | |||||
| 17 | TO AUTHORISE THE AUDIT COMMITTEE | Mgmt | For | For | |
| (ON BEHALF OF THE BOARD) TO | |||||
| DETERMINE THE REMUNERATION OF THE | |||||
| AUDITORS | |||||
| 18 | TO AMEND THE COMPANY’S | Mgmt | For | For | |
| DISCRETIONARY FREE SHARE SCHEME | |||||
| RULES BY: (I) REMOVING THE GBP | |||||
| 2,000,000 CAP FROM THE ANNUAL AWARD | |||||
| LIMIT; AND (II) REDUCING THE | |||||
| PERCENTAGE CAP ASSOCIATED WITH | |||||
| AWARDS OVER GBP 1,000,000 FROM | |||||
| 600% TO 500% |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 8 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 19 | TO AUTHORISE THE COMPANY AND ALL | Mgmt | For | For | |
| COMPANIES THAT ARE ITS SUBSIDIARIES | |||||
| AT ANY TIME DURING THE PERIOD FOR | |||||
| WHICH THIS RESOLUTION HAS EFFECT | |||||
| FOR THE PURPOSES OF SECTION 366 OF | |||||
| THE COMPANIES ACT 2006 (CA 2006) TO: | |||||
| (I) MAKE POLITICAL DONATIONS TO | |||||
| POLITICAL PARTIES OR INDEPENDENT | |||||
| ELECTION CANDIDATES (AS SUCH | |||||
| TERMS ARE DEFINED IN SECTIONS 363 | |||||
| AND 364 OF THE CA 2006), NOT | |||||
| EXCEEDING GBP 100,000 IN AGGREGATE; | |||||
| (II) MAKE POLITICAL DONATIONS TO | |||||
| POLITICAL ORGANISATIONS OTHER THAN | |||||
| POLITICAL PARTIES (AS SUCH TERMS | |||||
| ARE DEFINED IN SECTIONS 363 AND 364 | |||||
| OF THE CA 2006), NOT EXCEEDING GBP | |||||
| 100,000 IN AGGREGATE; AND (III) TO | |||||
| INCUR POLITICAL EXPENDITURE (AS | |||||
| SUCH TERM IS DEFINED IN SECTION 365 | |||||
| OF THE CA 2006), NOT EXCEEDING GBP | |||||
| 100,000 IN AGGREGATE, DURING THE | |||||
| PERIOD BEGINNING WITH THE DATE OF | |||||
| THE PASSING OF THIS RESOLUTION AND | |||||
| ENDING ON THE EARLIER OF, THE | |||||
| CONCLUSION OF THE NEXT AGM OF THE | |||||
| COMPANY OR 30 JUNE 2022, UNLESS | |||||
| PREVIOUSLY RENEWED, VARIED OR | |||||
| REVOKED BY THE COMPANY IN GENERAL | |||||
| MEETING, PROVIDED THAT THE | |||||
| MAXIMUM AMOUNTS REFERRED TO IN (I), | |||||
| (II) AND (III) MAY COMPRISE SUMS IN | |||||
| DIFFERENT CURRENCIES WHICH SHALL | |||||
| BE CONVERTED AT SUCH RATE AS THE | |||||
| BOARD MAY IN ITS ABSOLUTE | |||||
| DISCRETION DETERMINE TO BE | |||||
| APPROPRIATE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 9 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 20 | THAT, IN SUBSTITUTION FOR ALL | Mgmt | For | For | |
| EXISTING AUTHORITIES, THE DIRECTORS | |||||
| BE GENERALLY AND UNCONDITIONALLY | |||||
| AUTHORISED IN ACCORDANCE WITH | |||||
| SECTION 551 OF THE CA 2006 TO | |||||
| EXERCISE ALL THE POWERS OF THE | |||||
| COMPANY TO ALLOT SHARES IN THE | |||||
| COMPANY OR GRANT RIGHTS TO | |||||
| SUBSCRIBE FOR OR TO CONVERT ANY | |||||
| SECURITY INTO SHARES IN THE | |||||
| COMPANY: (I) UP TO AN AGGREGATE | |||||
| NOMINAL AMOUNT OF GBP 99,007; AND | |||||
| (II) COMPRISING EQUITY SECURITIES (AS | |||||
| DEFINED IN SECTION 560(1) OF THE CA | |||||
| 2006) UP TO A FURTHER AGGREGATE | |||||
| NOMINAL AMOUNT OF GBP 99,007 IN | |||||
| CONNECTION WITH AN OFFER BY WAY | |||||
| OF A RIGHTS ISSUE, PROVIDED THAT THE | |||||
| AUTHORITIES CONFERRED BY SUB | |||||
| PARAGRAPHS (I) AND (II) ABOVE SHALL | |||||
| EXPIRE (UNLESS PREVIOUSLY | |||||
| RENEWED, VARIED OR REVOKED BY THE | |||||
| COMPANY IN GENERAL MEETING) AT THE | |||||
| EARLIER OF THE CONCLUSION OF THE | |||||
| NEXT AGM OF THE COMPANY AFTER THE | |||||
| DATE OF THE PASSING OF THIS | |||||
| RESOLUTION OR 30 JUNE 2022, BUT, IN | |||||
| EACH CASE, SO THAT THE COMPANY MAY | |||||
| MAKE OFFERS AND ENTER INTO | |||||
| AGREEMENTS BEFORE THE AUTHORITY | |||||
| EXPIRES WHICH WOULD, OR MIGHT, | |||||
| REQUIRE SHARES TO BE ALLOTTED OR | |||||
| RIGHTS TO SUBSCRIBE FOR OR TO | |||||
| CONVERT ANY SECURITY INTO SHARES | |||||
| TO BE GRANTED AFTER THE AUTHORITY | |||||
| EXPIRES AND THE DIRECTORS MAY | |||||
| ALLOT SHARES OR GRANT SUCH RIGHTS | |||||
| UNDER ANY SUCH OFFER OR | |||||
| AGREEMENT AS IF THE AUTHORITY HAD | |||||
| NOT EXPIRED. REFERENCES IN THIS | |||||
| RESOLUTION 20 TO THE NOMINAL | |||||
| AMOUNT OF RIGHTS TO SUBSCRIBE FOR | |||||
| OR TO CONVERT ANY SECURITY INTO | |||||
| SHARES (INCLUDING WHERE SUCH | |||||
| RIGHTS ARE REFERRED TO AS EQUITY | |||||
| SECURITIES AS DEFINED IN SECTION | |||||
| 560(1) OF THE CA 2006) ARE TO THE | |||||
| NOMINAL AMOUNT OF SHARES THAT MAY | |||||
| BE ALLOTTED PURSUANT TO THE | |||||
| RIGHTS. FOR THE PURPOSES OF THIS | |||||
| RESOLUTION 20 "RIGHTS ISSUE" MEANS | |||||
| AN OFFER TO: (A) ORDINARY | |||||
| SHAREHOLDERS IN PROPORTION (AS | |||||
| NEARLY AS MAY BE PRACTICABLE) TO | |||||
| THEIR EXISTING HOLDINGS; AND (B) | |||||
| HOLDERS OF OTHER EQUITY | |||||
| SECURITIES, AS REQUIRED BY THE | |||||
| RIGHTS OF THOSE SECURITIES OR, | |||||
| SUBJECT TO SUCH RIGHTS, AS THE | |||||
| DIRECTORS OTHERWISE CONSIDER | |||||
| NECESSARY, TO SUBSCRIBE FOR | |||||
| FURTHER SECURITIES BY MEANS OF THE | |||||
| ISSUE OF A RENOUNCEABLE LETTER (OR | |||||
| OTHER NEGOTIABLE DOCUMENT) WHICH | |||||
| MAY BE TRADED FOR A PERIOD BEFORE | |||||
| PAYMENT FOR THE SECURITIES IS DUE, | |||||
| INCLUDING AN OFFER TO WHICH THE | |||||
| DIRECTORS MAY IMPOSE ANY LIMITS OR | |||||
| RESTRICTIONS OR MAKE ANY OTHER | |||||
| ARRANGEMENTS WHICH THEY | |||||
| CONSIDER NECESSARY OR | |||||
| APPROPRIATE TO DEAL WITH TREASURY | |||||
| SHARES, FRACTIONAL ENTITLEMENTS, | |||||
| RECORD DATES, LEGAL, REGULATORY | |||||
| OR PRACTICAL PROBLEMS IN, OR UNDER | |||||
| THE LAWS OF, ANY TERRITORY OR ANY | |||||
| OTHER MATTER |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 10 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 21 | THAT, IN SUBSTITUTION FOR ALL | Mgmt | For | For | |
| EXISTING AUTHORITIES AND SUBJECT TO | |||||
| THE PASSING OF RESOLUTION 20, THE | |||||
| DIRECTORS BE GENERALLY | |||||
| EMPOWERED PURSUANT TO SECTION | |||||
| 570 OF THE CA 2006 TO ALLOT EQUITY | |||||
| SECURITIES (AS DEFINED IN SECTION | |||||
| 560(1) OF THE CA 2006) FOR CASH | |||||
| PURSUANT TO THE AUTHORITY | |||||
| GRANTED BY RESOLUTION 20 AND/OR | |||||
| PURSUANT TO SECTION 573 OF THE CA | |||||
| 2006 TO SELL ORDINARY SHARES HELD | |||||
| BY THE COMPANY AS TREASURY SHARES | |||||
| FOR CASH, IN EACH CASE FREE OF THE | |||||
| RESTRICTION IN SECTION 561 OF THE CA | |||||
| 2006, SUCH AUTHORITY TO BE LIMITED: | |||||
| (I) TO THE ALLOTMENT OF EQUITY | |||||
| SECURITIES AND/OR SALE OF TREASURY | |||||
| SHARES FOR CASH IN CONNECTION | |||||
| WITH AN OFFER OF EQUITY SECURITIES | |||||
| (BUT IN THE CASE OF AN ALLOTMENT | |||||
| PURSUANT TO THE AUTHORITY | |||||
| GRANTED BY PARAGRAPH (II) OF | |||||
| RESOLUTION 20, BY WAY OF A RIGHTS | |||||
| ISSUE ONLY): (A) TO ORDINARY | |||||
| SHAREHOLDERS IN PROPORTION (AS | |||||
| NEARLY AS MAY BE PRACTICABLE) TO | |||||
| THEIR EXISTING HOLDINGS; AND (B) TO | |||||
| HOLDERS OF OTHER EQUITY | |||||
| SECURITIES, AS REQUIRED BY THE | |||||
| RIGHTS OF THOSE SECURITIES OR, | |||||
| SUBJECT TO SUCH RIGHTS, AS THE | |||||
| DIRECTORS OTHERWISE CONSIDER | |||||
| NECESSARY, AND SO THAT THE | |||||
| DIRECTORS MAY IMPOSE ANY LIMITS OR | |||||
| RESTRICTIONS OR MAKE ANY OTHER | |||||
| ARRANGEMENTS WHICH THEY | |||||
| CONSIDER NECESSARY OR | |||||
| APPROPRIATE TO DEAL WITH TREASURY | |||||
| SHARES, FRACTIONAL ENTITLEMENTS, | |||||
| RECORD DATES, LEGAL, REGULATORY | |||||
| OR PRACTICAL PROBLEMS IN, OR UNDER | |||||
| THE LAWS OF, ANY TERRITORY OR ANY | |||||
| OTHER MATTER; AND (II) TO THE | |||||
| ALLOTMENT OF EQUITY SECURITIES | |||||
| PURSUANT TO THE AUTHORITY | |||||
| GRANTED BY PARAGRAPH (I) OF | |||||
| RESOLUTION 20 AND/OR SALE OF | |||||
| TREASURY SHARES FOR CASH (IN EACH | |||||
| CASE OTHERWISE THAN IN THE | |||||
| CIRCUMSTANCES SET OUT IN | |||||
| PARAGRAPH (I) OF THIS RESOLUTION 21) | |||||
| UP TO A NOMINAL AMOUNT OF GBP | |||||
| 14,851 (CALCULATED, IN THE CASE OF | |||||
| EQUITY SECURITIES WHICH ARE RIGHTS | |||||
| TO SUBSCRIBE FOR, OR TO CONVERT | |||||
| SECURITIES INTO, ORDINARY SHARES | |||||
| BY REFERENCE TO THE AGGREGATE | |||||
| NOMINAL AMOUNT OF RELEVANT | |||||
| SHARES WHICH MAY BE ALLOTTED | |||||
| PURSUANT TO SUCH RIGHTS), SUCH | |||||
| AUTHORITY TO APPLY UNTIL THE | |||||
| EARLIER OF THE CONCLUSION OF THE | |||||
| NEXT AGM OF THE COMPANY OR 30 JUNE | |||||
| 2022, UNLESS PREVIOUSLY RENEWED, | |||||
| VARIED OR REVOKED BY THE COMPANY | |||||
| IN GENERAL MEETING BUT, IN EACH | |||||
| CASE, SO THAT THE COMPANY MAY | |||||
| MAKE OFFERS AND ENTER INTO | |||||
| AGREEMENTS BEFORE THE AUTHORITY | |||||
| EXPIRES WHICH WOULD, OR MIGHT, | |||||
| REQUIRE EQUITY SECURITIES TO BE | |||||
| ALLOTTED (AND/OR TREASURY SHARES | |||||
| TO BE SOLD) AFTER THE AUTHORITY | |||||
| EXPIRES AND THE DIRECTORS MAY | |||||
| ALLOT EQUITY SECURITIES (AND/OR | |||||
| SELL TREASURY SHARES) UNDER ANY | |||||
| SUCH OFFER OR AGREEMENT AS IF THE | |||||
| AUTHORITY HAD NOT EXPIRED. FOR THE | |||||
| PURPOSE OF THIS RESOLUTION 21, | |||||
| "RIGHTS ISSUE" HAS THE SAME MEANING | |||||
| AS IN RESOLUTION 20 ABOVE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 11 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 22 | THAT, IN ADDITION TO ANY AUTHORITY | Mgmt | For | For | |
| GRANTED UNDER RESOLUTION 21, AND | |||||
| SUBJECT TO THE PASSING OF | |||||
| RESOLUTION 20, THE DIRECTORS BE | |||||
| GENERALLY EMPOWERED PURSUANT TO | |||||
| SECTION 570 OF THE CA 2006 TO ALLOT | |||||
| EQUITY SECURITIES (AS DEFINED IN | |||||
| SECTION 560(1) OF THE CA 2006) FOR | |||||
| CASH PURSUANT TO THE AUTHORITY | |||||
| GRANTED BY RESOLUTION 20 AND/OR | |||||
| PURSUANT TO SECTION 573 OF THE CA | |||||
| 2006 TO SELL ORDINARY SHARES HELD | |||||
| BY THE COMPANY AS TREASURY SHARES | |||||
| FOR CASH, IN EACH CASE FREE OF THE | |||||
| RESTRICTION IN SECTION 561 OF THE CA | |||||
| 2006, SUCH AUTHORITY TO BE: LIMITED | |||||
| TO THE ALLOTMENT OF EQUITY | |||||
| SECURITIES AND/OR SALE OF TREASURY | |||||
| SHARES FOR CASH UP TO AN | |||||
| AGGREGATE NOMINAL AMOUNT OF GBP | |||||
| 14,851 (CALCULATED, IN THE CASE OF | |||||
| EQUITY SECURITIES WHICH ARE RIGHTS | |||||
| TO SUBSCRIBE FOR, OR TO CONVERT | |||||
| SECURITIES INTO, ORDINARY SHARES | |||||
| BY REFERENCE TO THE AGGREGATE | |||||
| NOMINAL AMOUNT OF RELEVANT | |||||
| SHARES WHICH MAY BE ALLOTTED | |||||
| PURSUANT TO SUCH RIGHTS); AND (II) | |||||
| USED ONLY FOR THE PURPOSES OF | |||||
| FINANCING (OR REFINANCING, IF THE | |||||
| AUTHORITY IS TO BE USED WITHIN SIX | |||||
| MONTHS AFTER THE ORIGINAL | |||||
| TRANSACTION) A TRANSACTION WHICH | |||||
| THE DIRECTORS OF THE COMPANY | |||||
| DETERMINE TO BE AN ACQUISITION OR | |||||
| OTHER CAPITAL INVESTMENT OF A KIND | |||||
| CONTEMPLATED BY THE STATEMENT OF | |||||
| PRINCIPLES ON DISAPPLYING PRE- | |||||
| EMPTION RIGHTS MOST RECENTLY | |||||
| PUBLISHED BY THE PRE-EMPTION | |||||
| GROUP PRIOR TO THE DATE OF THIS | |||||
| NOTICE, SUCH AUTHORITY TO APPLY | |||||
| UNTIL THE EARLIER OF THE | |||||
| CONCLUSION OF THE NEXT AGM OF THE | |||||
| COMPANY OR 30 JUNE 2022 UNLESS | |||||
| PREVIOUSLY RENEWED, VARIED OR | |||||
| REVOKED BY THE COMPANY IN GENERAL | |||||
| MEETING BUT, IN EACH CASE, SO THAT | |||||
| THE COMPANY MAY MAKE OFFERS AND | |||||
| ENTER INTO AGREEMENTS BEFORE THE | |||||
| AUTHORITY EXPIRES WHICH WOULD, OR | |||||
| MIGHT, REQUIRE EQUITY SECURITIES TO | |||||
| BE ALLOTTED (AND/OR TREASURY | |||||
| SHARES TO BE SOLD) AFTER THE | |||||
| AUTHORITY EXPIRES AND THE | |||||
| DIRECTORS OF THE COMPANY MAY | |||||
| ALLOT EQUITY SECURITIES (AND/OR | |||||
| SELL TREASURY SHARES) UNDER ANY | |||||
| SUCH OFFER OR AGREEMENT AS IF THE | |||||
| AUTHORITY CONFERRED HEREBY HAD | |||||
| NOT EXPIRED |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 12 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 23 | THAT: (I) THE PAYMENT OF 27.7P PER | Mgmt | For | For | |
| ORDINARY SHARE BY WAY OF INTERIM | |||||
| DIVIDEND PAID ON 21 OCTOBER 2009 | |||||
| (THE 2009 INTERIM DIVIDEND) AND THE | |||||
| APPROPRIATION, FOR THE PURPOSES | |||||
| OF THE PREPARATION OF THE | |||||
| COMPANY’S AUDITED FINANCIAL | |||||
| STATEMENTS FOR THE FINANCIAL YEAR | |||||
| ENDED 31 DECEMBER 2009, OF THE | |||||
| DISTRIBUTABLE PROFITS OF THE | |||||
| COMPANY TO THE PAYMENT OF THE 2009 | |||||
| INTERIM DIVIDEND AND THE RESULTING | |||||
| ENTRY FOR THE DISTRIBUTABLE | |||||
| PROFITS OF THE COMPANY IN SUCH | |||||
| FINANCIAL STATEMENTS, BE AND ARE | |||||
| HEREBY AUTHORISED BY REFERENCE | |||||
| TO THE SAME RECORD DATE AS THE | |||||
| ORIGINAL ACCOUNTING ENTRIES FOR | |||||
| THE 2009 INTERIM DIVIDEND; (II) THE | |||||
| PAYMENT OF 32.6P PER ORDINARY | |||||
| SHARE BY WAY OF INTERIM DIVIDEND | |||||
| PAID ON 20 OCTOBER 2010 (THE 2010 | |||||
| INTERIM DIVIDEND) AND THE | |||||
| APPROPRIATION, FOR THE PURPOSES | |||||
| OF THE PREPARATION OF THE | |||||
| COMPANY’S AUDITED FINANCIAL | |||||
| STATEMENTS FOR THE FINANCIAL YEAR | |||||
| ENDED 31 DECEMBER 2010, OF THE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 13 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| DISTRIBUTABLE PROFITS OF THE | |||||
| COMPANY TO THE PAYMENT OF THE 2010 | |||||
| INTERIM DIVIDEND AND THE RESULTING | |||||
| ENTRY FOR THE DISTRIBUTABLE | |||||
| PROFITS OF THE COMPANY IN SUCH | |||||
| FINANCIAL STATEMENTS, BE AND ARE | |||||
| HEREBY AUTHORISED BY REFERENCE | |||||
| TO THE SAME RECORD DATE AS THE | |||||
| ORIGINAL ACCOUNTING ENTRIES FOR | |||||
| THE 2010 INTERIM DIVIDEND; (III) THE | |||||
| PAYMENT OF 91.2P PER ORDINARY | |||||
| SHARE BY WAY OF INTERIM DIVIDEND | |||||
| PAID ON 2 OCTOBER 2020 (THE 2020 | |||||
| INTERIM DIVIDEND) AND THE | |||||
| APPROPRIATION OF DISTRIBUTABLE | |||||
| PROFITS OF THE COMPANY (AS SHOWN | |||||
| IN THE INTERIM ACCOUNTS OF THE | |||||
| COMPANY MADE UP TO 11 AUGUST 2020 | |||||
| AND FILED WITH THE REGISTRAR OF | |||||
| COMPANIES ON 16 OCTOBER 2020) TO | |||||
| THE PAYMENT OF THE 2020 INTERIM | |||||
| DIVIDEND BE AND IS HEREBY | |||||
| AUTHORISED BY REFERENCE TO THE | |||||
| SAME RECORD DATE AS THE ORIGINAL | |||||
| ACCOUNTING ENTRIES FOR THE 2020 | |||||
| INTERIM DIVIDEND; (IV) ANY AND ALL | |||||
| CLAIMS WHICH THE COMPANY HAS OR | |||||
| MAY HAVE ARISING OUT OF OR IN | |||||
| CONNECTION WITH THE PAYMENT OF | |||||
| THE 2009 INTERIM DIVIDEND, THE 2010 | |||||
| INTERIM DIVIDEND OR THE 2020 INTERIM | |||||
| DIVIDEND (TOGETHER, THE RELEVANT | |||||
| DISTRIBUTIONS) AGAINST ITS | |||||
| SHAREHOLDERS WHO APPEARED ON | |||||
| THE REGISTER OF SHAREHOLDERS ON | |||||
| THE RELEVANT RECORD DATE FOR EACH | |||||
| RELEVANT DISTRIBUTION (OR THE | |||||
| PERSONAL REPRESENTATIVES AND | |||||
| THEIR SUCCESSORS IN TITLE (AS | |||||
| APPROPRIATE) OF A SHAREHOLDER’S | |||||
| ESTATE IF HE OR SHE IS DECEASED) BE | |||||
| WAIVED AND RELEASED, AND A DEED OF | |||||
| RELEASE IN FAVOUR OF SUCH | |||||
| SHAREHOLDERS (OR THE PERSONAL | |||||
| REPRESENTATIVES AND THEIR | |||||
| SUCCESSORS IN TITLE (AS | |||||
| APPROPRIATE) OF A SHAREHOLDER’S | |||||
| ESTATE IF HE OR SHE IS DECEASED) BE | |||||
| ENTERED INTO BY THE COMPANY IN THE | |||||
| FORM PRODUCED TO THE AGM AND | |||||
| INITIALLED BY THE CHAIR FOR THE | |||||
| PURPOSES OF IDENTIFICATION AND ANY | |||||
| DIRECTOR IN THE PRESENCE OF A |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 14 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| WITNESS, ANY TWO DIRECTORS OR ANY | |||||
| DIRECTOR AND THE COMPANY | |||||
| SECRETARY BE AUTHORISED TO | |||||
| EXECUTE THE SAME AS A DEED POLL | |||||
| FOR AND ON BEHALF OF THE COMPANY; | |||||
| AND (V) ANY AND ALL CLAIMS WHICH THE | |||||
| COMPANY HAS OR MAY HAVE AGAINST | |||||
| EACH OF ITS DIRECTORS AND EACH OF | |||||
| DAVID STEVENS, MANFRED ALDAG, | |||||
| KEVIN CHIDWICK, HENRY ENGELHARDT, | |||||
| DAVID JACKSON, DAVID JAMES, | |||||
| MARGARET JOHNSON, LUCY KELLAWAY, | |||||
| ALASTAIR LYONS AND JOHN SUSSENS | |||||
| (THE FORMER DIRECTORS) OR THE | |||||
| PERSONAL REPRESENTATIVES AND | |||||
| THEIR SUCCESSORS IN TITLE (AS | |||||
| APPROPRIATE) OF HIS OR HER ESTATE IF | |||||
| SUCH DIRECTOR OR FORMER DIRECTOR | |||||
| IS DECEASED, ARISING OUT OF OR IN | |||||
| CONNECTION WITH THE APPROVAL, | |||||
| DECLARATION OR PAYMENT OF THE | |||||
| RELEVANT DISTRIBUTIONS BE WAIVED | |||||
| AND RELEASED AND THAT A DEED OF | |||||
| RELEASE IN FAVOUR OF EACH OF SUCH | |||||
| DIRECTORS AND FORMER DIRECTORS | |||||
| (OR THE PERSONAL REPRESENTATIVES | |||||
| AND THEIR SUCCESSORS IN TITLE OF | |||||
| HIS OR HER ESTATE IF SUCH DIRECTOR | |||||
| OR FORMER DIRECTOR IS DECEASED), | |||||
| BE ENTERED INTO BY THE COMPANY IN | |||||
| THE FORM PRODUCED TO THE AGM AND | |||||
| INITIALLED BY THE CHAIR FOR | |||||
| PURPOSES OF IDENTIFICATION AND ANY | |||||
| DIRECTOR IN THE PRESENCE OF A | |||||
| WITNESS, ANY TWO DIRECTORS OR ANY | |||||
| DIRECTOR AND THE COMPANY | |||||
| SECRETARY BE AUTHORISED TO | |||||
| EXECUTE THE SAME AS A DEED POLL | |||||
| FOR AND ON BEHALF OF THE COMPANY |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 15 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 24 | THAT THE COMPANY BE GENERALLY AND | Mgmt | For | For | |
| UNCONDITIONALLY AUTHORISED, | |||||
| PURSUANT TO AND IN ACCORDANCE | |||||
| WITH SECTION 701 OF THE CA 2006, TO | |||||
| MAKE ONE OR MORE MARKET | |||||
| PURCHASES (WITHIN THE MEANING OF | |||||
| SECTION 693(4) OF THE CA 2006) ON THE | |||||
| LONDON STOCK EXCHANGE OF | |||||
| ORDINARY SHARES OF 0.1P IN THE | |||||
| CAPITAL OF THE COMPANY (ORDINARY | |||||
| SHARES) PROVIDED THAT: (I) THE | |||||
| MAXIMUM AGGREGATE NUMBER OF | |||||
| ORDINARY SHARES AUTHORISED TO BE | |||||
| PURCHASED IS 14,851,058 | |||||
| (REPRESENTING 5.00 PER CENT. OF THE | |||||
| ISSUED ORDINARY SHARE CAPITAL); (II) | |||||
| THE MINIMUM PRICE (EXCLUDING | |||||
| EXPENSES) WHICH MAY BE PAID FOR AN | |||||
| ORDINARY SHARE IS THE NOMINAL | |||||
| VALUE OF SUCH SHARE; (III) THE | |||||
| MAXIMUM PRICE (EXCLUDING | |||||
| EXPENSES) WHICH MAY BE PAID FOR AN | |||||
| ORDINARY SHARE SHALL BE THE HIGHER | |||||
| OF (1) AN AMOUNT EQUAL TO 105 PER | |||||
| CENT. OF THE AVERAGE OF THE MIDDLE | |||||
| MARKET QUOTATIONS FOR AN ORDINARY | |||||
| SHARE AS DERIVED FROM THE LONDON | |||||
| STOCK EXCHANGE DAILY OFFICIAL LIST | |||||
| FOR THE 5 BUSINESS DAYS IMMEDIATELY | |||||
| PRECEDING THE DAY ON WHICH THAT | |||||
| ORDINARY SHARE IS PURCHASED AND | |||||
| (2) THE HIGHER OF THE PRICE OF THE | |||||
| LAST INDEPENDENT TRADE AND THE | |||||
| HIGHEST CURRENT INDEPENDENT BID | |||||
| FOR AN ORDINARY SHARE ON THE | |||||
| TRADING VENUE WHERE THE PURCHASE | |||||
| IS CARRIED OUT; (IV) THIS AUTHORITY | |||||
| EXPIRES AT THE EARLIER OF THE | |||||
| CONCLUSION OF THE NEXT AGM OF THE | |||||
| COMPANY OR 30 JUNE 2022; AND (V) THE | |||||
| COMPANY MAY MAKE A CONTRACT TO | |||||
| PURCHASE ORDINARY SHARES UNDER | |||||
| THIS AUTHORITY BEFORE THE EXPIRY | |||||
| OF THE AUTHORITY WHICH WILL OR MAY | |||||
| BE EXECUTED WHOLLY OR PARTLY | |||||
| AFTER THE EXPIRY OF THE AUTHORITY | |||||
| AND MAY MAKE A PURCHASE OF | |||||
| ORDINARY SHARES IN PURSUANCE OF | |||||
| ANY SUCH CONTRACT | |||||
| 25 | THAT A GENERAL MEETING OTHER THAN | Mgmt | For | For | |
| AN ANNUAL GENERAL MEETING MAY BE | |||||
| CALLED ON NOT LESS THAN 14 CLEAR | |||||
| DAYS’ NOTICE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 16 of 261 |
Unassigned
| ASML HOLDING NV | |
| Security: N07059202 | Agenda Number: 713687234 |
| Ticker: | Meeting Type: AGM |
| ISIN: NL0010273215 | Meeting Date: 29-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER | Non-Voting | |||
| DETAILS IS REQUIRED FOR THIS | |||||
| MEETING. IF NO BENEFICIAL OWNER | |||||
| DETAILS IS PROVIDED, YOUR | |||||
| INSTRUCTION MAY BE REJECTED. THANK | |||||
| YOU. | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU | |||||
| 1. | OPENING | Non-Voting | |||
| 2. | OVERVIEW OF THE COMPANY’S | Non-Voting | |||
| BUSINESS, FINANCIAL SITUATION AND | |||||
| SUSTAINABILITY | |||||
| 3. | FINANCIAL STATEMENTS, RESULTS AND | Non-Voting | |||
| DIVIDEND | |||||
| 3.a | ADVISORY VOTE ON THE | Mgmt | For | For | |
| REMUNERATION REPORT FOR THE | |||||
| BOARD OF MANAGEMENT AND THE | |||||
| SUPERVISORY BOARD FOR THE | |||||
| FINANCIAL YEAR 2020 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 17 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3.b | PROPOSAL TO ADOPT THE FINANCIAL | Mgmt | For | For | |
| STATEMENTS OF THE COMPANY FOR THE | |||||
| FINANCIAL YEAR 2020, AS PREPARED IN | |||||
| ACCORDANCE WITH DUTCH LAW | |||||
| 3.c | CLARIFICATION OF THE COMPANY’S | Non-Voting | |||
| RESERVES AND DIVIDEND POLICY | |||||
| 3.d | PROPOSAL TO ADOPT A DIVIDEND IN | Mgmt | For | For | |
| RESPECT OF THE FINANCIAL YEAR 2020: | |||||
| EUR 2.75 PER SHARE | |||||
| 4 | DISCHARGE | Non-Voting | |||
| 4.a | PROPOSAL TO DISCHARGE THE | Mgmt | For | For | |
| MEMBERS OF THE BOARD OF | |||||
| MANAGEMENT FROM LIABILITY FOR | |||||
| THEIR RESPONSIBILITIES IN THE | |||||
| FINANCIAL YEAR 2020 | |||||
| 4.b | PROPOSAL TO DISCHARGE THE | Mgmt | For | For | |
| MEMBERS OF THE SUPERVISORY BOARD | |||||
| FROM LIABILITY FOR THEIR | |||||
| RESPONSIBILITIES IN THE FINANCIAL | |||||
| YEAR 2020 | |||||
| 5. | PROPOSAL TO APPROVE THE NUMBER | Mgmt | For | For | |
| OF SHARES FOR THE BOARD OF | |||||
| MANAGEMENT | |||||
| 6. | PROPOSAL TO ADOPT CERTAIN | Mgmt | For | For | |
| ADJUSTMENTS TO THE REMUNERATION | |||||
| POLICY FOR THE BOARD OF | |||||
| MANAGEMENT | |||||
| 7. | PROPOSAL TO ADOPT CERTAIN | Mgmt | For | For | |
| ADJUSTMENTS TO THE REMUNERATION | |||||
| POLICY FOR THE SUPERVISORY BOARD |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 18 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 8. | COMPOSITION OF THE BOARD OF | Non-Voting | |||
| MANAGEMENT | |||||
| 9. | COMPOSITION OF THE SUPERVISORY | Non-Voting | |||
| BOARD | |||||
| 9.a | PROPOSAL TO APPOINT MS. B. CONIX AS | Mgmt | For | For | |
| A MEMBER OF THE SUPERVISORY | |||||
| BOARD | |||||
| 9.b | COMPOSITION OF THE SUPERVISORY | Non-Voting | |||
| BOARD IN 2022 | |||||
| 10. | PROPOSAL TO APPOINT KPMG | Mgmt | For | For | |
| ACCOUNTANTS N.V. AS EXTERNAL | |||||
| AUDITOR FOR THE REPORTING YEAR | |||||
| 2022: KPMG Accountants N.V. | |||||
| 11. | PROPOSALS TO AUTHORIZE THE BOARD | Non-Voting | |||
| OF MANAGEMENT TO ISSUE ORDINARY | |||||
| SHARES OR GRANT RIGHTS TO | |||||
| SUBSCRIBE FOR ORDINARY SHARES, AS | |||||
| WELL AS TO RESTRICT OR EXCLUDE THE | |||||
| PRE-EMPTION RIGHTS ACCRUING TO | |||||
| SHAREHOLDERS | |||||
| 11.a | AUTHORIZATION TO ISSUE ORDINARY | Mgmt | For | For | |
| SHARES OR GRANT RIGHTS TO | |||||
| SUBSCRIBE FOR ORDINARY SHARES UP | |||||
| TO 5% FOR GENERAL PURPOSES | |||||
| 11.b | AUTHORIZATION OF THE BOARD OF | Mgmt | For | For | |
| MANAGEMENT TO RESTRICT OR | |||||
| EXCLUDE PRE-EMPTION RIGHTS IN | |||||
| CONNECTION WITH AGENDA ITEM 11 A) |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 19 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11.c | AUTHORIZATION TO ISSUE ORDINARY | Mgmt | For | For | |
| SHARES OR GRANT RIGHTS TO | |||||
| SUBSCRIBE FOR ORDINARY SHARES UP | |||||
| TO 5% IN CONNECTION WITH OR ON THE | |||||
| OCCASION OF MERGERS, ACQUISITIONS | |||||
| AND/OR (STRATEGIC) ALLIANCES | |||||
| 11.d | AUTHORIZATION OF THE BOARD OF | Mgmt | For | For | |
| MANAGEMENT TO RESTRICT OR | |||||
| EXCLUDE PRE-EMPTION RIGHTS IN | |||||
| CONNECTION WITH AGENDA ITEM 11 C) | |||||
| 12. | PROPOSALS TO AUTHORIZE THE BOARD | Non-Voting | |||
| OF MANAGEMENT TO REPURCHASE | |||||
| ORDINARY SHARES UP TO 20% OF THE | |||||
| ISSUED SHARE CAPITAL | |||||
| 12.a | AUTHORIZATION TO REPURCHASE | Mgmt | For | For | |
| ORDINARY SHARES UP TO 10% OF THE | |||||
| ISSUED SHARE CAPITAL | |||||
| 12.b | AUTHORIZATION TO REPURCHASE | Mgmt | For | For | |
| ADDITIONAL ORDINARY SHARES UP TO | |||||
| 10% OF THE ISSUED SHARE CAPITAL | |||||
| 13. | PROPOSAL TO CANCEL ORDINARY | Mgmt | For | For | |
| SHARES | |||||
| 14. | ANY OTHER BUSINESS | Non-Voting | |||
| 15. | CLOSING | Non-Voting | |||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | |||
| NOTE THAT IF YOU ARE CLASSIFIED AS | |||||
| AN INTERMEDIARY CLIENT UNDER THE | |||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | |||||
| YOU SHOULD BE PROVIDING THE | |||||
| UNDERLYING SHAREHOLDER | |||||
| INFORMATION AT THE VOTE | |||||
| INSTRUCTION LEVEL. IF YOU ARE | |||||
| UNSURE ON HOW TO PROVIDE THIS | |||||
| LEVEL OF DATA TO BROADRIDGE | |||||
| OUTSIDE OF PROXYEDGE, PLEASE | |||||
| SPEAK TO YOUR DEDICATED CLIENT | |||||
| SERVICE REPRESENTATIVE FOR | |||||
| ASSISTANCE. THANK YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 20 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 30 MAR 2021: PLEASE NOTE THAT THIS IS | Non-Voting | |||
| A REVISION DUE TO MODIFICATION OF | |||||
| TEXT IN RESOLUTION 3.D, 10 AND | |||||
| CHANGE IN NUMBERING OF ALL | |||||
| RESOLUTIONS.. IF YOU HAVE ALREADY | |||||
| SENT IN YOUR VOTES, PLEASE DO NOT | |||||
| VOTE AGAIN UNLESS YOU DECIDE TO | |||||
| AMEND YOUR ORIGINAL INSTRUCTIONS. | |||||
| THANK YOU. | |||||
| CMMT | 30 MAr 2021: Deletion of comment | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 21 of 261 |
Unassigned
| ASTRAZENECA PLC | |
| Security: G0593M107 | Agenda Number: 713747648 |
| Ticker: | Meeting Type: AGM |
| ISIN: GB0009895292 | Meeting Date: 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | TO RECEIVE THE COMPANY’S | Mgmt | For | For | |
| ACCOUNTS, THE REPORTS OF THE | |||||
| DIRECTORS AND AUDITOR AND THE | |||||
| STRATEGIC REPORT FOR THE YEAR | |||||
| ENDED 31 DECEMBER 2020 | |||||
| 2 | TO CONFIRM DIVIDENDS | Mgmt | For | For | |
| 3 | TO REAPPOINT | Mgmt | For | For | |
| PRICEWATERHOUSECOOPERS LLP AS | |||||
| AUDITOR | |||||
| 4 | TO AUTHORISE THE DIRECTORS TO | Mgmt | For | For | |
| AGREE THE REMUNERATION OF THE | |||||
| AUDITOR | |||||
| 5A | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: LEIF JOHANSSON | |||||
| 5B | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: PASCAL SORIOT | |||||
| 5C | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: MARC DUNOYER | |||||
| 5D | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: PHILIP BROADLEY | |||||
| 5E | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: EUAN ASHLEY |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 22 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 5F | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: MICHEL DEMARE | |||||
| 5G | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: DEBORAH DISANZO | |||||
| 5H | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: DIANA LAYFIELD | |||||
| 5I | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: SHERI MCCOY | |||||
| 5J | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: TONY MOK | |||||
| 5K | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: NAZNEEN RAHMAN | |||||
| 5L | TO ELECT OR RE-ELECT THE FOLLOWING | Mgmt | For | For | |
| DIRECTORS: MARCUS WALLENBERG | |||||
| 6 | TO APPROVE THE ANNUAL REPORT ON | Mgmt | For | For | |
| REMUNERATION FOR THE YEAR ENDED | |||||
| 31 DECEMBER 2020 | |||||
| 7 | TO APPROVE THE DIRECTORS’ | Mgmt | Against | Against | |
| REMUNERATION POLICY | |||||
| 8 | TO AUTHORISE LIMITED POLITICAL | Mgmt | For | For | |
| DONATIONS | |||||
| 9 | TO AUTHORISE THE DIRECTORS TO | Mgmt | For | For | |
| ALLOT SHARES | |||||
| 10 | TO AUTHORISE THE DIRECTORS TO | Mgmt | For | For | |
| DISAPPLY PRE-EMPTION RIGHTS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 23 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11 | TO AUTHORISE THE DIRECTORS TO | Mgmt | For | For | |
| FURTHER DISAPPLY PRE-EMPTION | |||||
| RIGHTS FOR ACQUISITIONS AND | |||||
| SPECIFIED CAPITAL INVESTMENTS | |||||
| 12 | TO AUTHORISE THE COMPANY TO | Mgmt | For | For | |
| PURCHASE ITS OWN SHARES | |||||
| 13 | TO REDUCE THE NOTICE PERIOD FOR | Mgmt | For | For | |
| GENERAL MEETINGS | |||||
| 14 | TO AMEND THE RULES OF THE | Mgmt | For | For | |
| PERFORMANCE SHARE PLAN 2020 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 24 of 261 |
Unassigned
| ASTRAZENECA PLC | |
| Security: G0593M107 | Agenda Number: 713898495 |
| Ticker: | Meeting Type: OGM |
| ISIN: GB0009895292 | Meeting Date: 11-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | PROPOSED ACQUISITION BY THE | Mgmt | For | For | |
| COMPANY OF ALEXION | |||||
| PHARMACEUTICALS INC | |||||
| CMMT | 23 APR 2021: PLEASE NOTE THAT THE | Non-Voting | |||
| MEETING TYPE CHANGED FROM EGM TO | |||||
| OGM. IF YOU HAVE ALREADY SENT IN | |||||
| YOUR VOTES, PLEASE DO NOT VOTE | |||||
| AGAIN UNLESS YOU DECIDE TO AMEND | |||||
| YOUR ORIGINAL INSTRUCTIONS. THANK | |||||
| YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 25 of 261 |
Unassigned
| ATLAS COPCO AB | |
| Security: W1R924161 | Agenda Number: 713277538 |
| Ticker: | Meeting Type: EGM |
| ISIN: SE0011166610 | Meeting Date: 26-Nov-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME | Non-Voting | |||
| EFFECT AS AN AGAINST VOTE IF THE | |||||
| MEETING REQUIRES APPROVAL FROM | |||||
| THE MAJORITY OF PARTICIPANTS TO | |||||
| PASS A RESOLUTION | |||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE | Non-Voting | |||
| OF BENEFICIAL OWNER INFORMATION | |||||
| FOR ALL VOTED ACCOUNTS. IF AN | |||||
| ACCOUNT HAS MULTIPLE BENEFICIAL | |||||
| OWNERS, YOU WILL NEED TO PROVIDE | |||||
| THE BREAKDOWN OF EACH BENEFICIAL | |||||
| OWNER NAME, ADDRESS AND SHARE | |||||
| POSITION TO YOUR CLIENT SERVICE | |||||
| REPRESENTATIVE. THIS INFORMATION IS | |||||
| REQUIRED IN ORDER FOR YOUR VOTE | |||||
| TO BE LODGED | |||||
| CMMT | IMPORTANT MARKET PROCESSING | Non-Voting | |||
| REQUIREMENT: A BENEFICIAL OWNER | |||||
| SIGNED POWER OF ATTORNEY (POA) IS | |||||
| REQUIRED IN ORDER TO LODGE AND | |||||
| EXECUTE YOUR VOTING INSTRUCTIONS | |||||
| IN THIS MARKET. ABSENCE OF A POA, | |||||
| MAY CAUSE YOUR INSTRUCTIONS TO BE | |||||
| REJECTED. IF YOU HAVE ANY | |||||
| QUESTIONS, PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 26 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 1 | ELECTION OF CHAIR FOR THE MEETING: | Non-Voting | |||
| HANS STRABERG | |||||
| 2 | PREPARATION AND APPROVAL OF THE | Non-Voting | |||
| VOTING LIST | |||||
| 3 | APPROVAL OF THE AGENDA | Non-Voting | |||
| 4 | ELECTION OF ONE PERSON, THE | Non-Voting | |||
| ADJUSTER, TO APPROVE THE MINUTES | |||||
| TOGETHER WITH THE CHAIR | |||||
| 5 | DETERMINATION WHETHER THE | Non-Voting | |||
| MEETING HAS BEEN PROPERLY | |||||
| CONVENED | |||||
| 6 | RESOLUTION ON DIVIDEND AND RECORD | Mgmt | For | For | |
| DATE: AS A CONSEQUENCE OF THE | |||||
| UNCERTAINTY CAUSED BY COVID-19, IT | |||||
| WAS DECIDED AT ATLAS COPCO’ S AGM | |||||
| ON APRIL 23, 2020, ON A DIVIDEND OF | |||||
| SEK 3.50 PER SHARE | |||||
| 7 | RESOLUTION ON AMENDMENT OF THE | Mgmt | For | For | |
| ARTICLES OF ASSOCIATION | |||||
| 8 | CONCLUSION OF THE MEETING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 27 of 261 |
Unassigned
| ATLAS COPCO AB | |
| Security: W1R924161 | Agenda Number: 713724931 |
| Ticker: | Meeting Type: AGM |
| ISIN: SE0011166610 | Meeting Date: 27-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME | Non-Voting | |||
| EFFECT AS AN AGAINST VOTE IF THE | |||||
| MEETING REQUIRES APPROVAL FROM | |||||
| THE MAJORITY OF PARTICIPANTS TO | |||||
| PASS A RESOLUTION | |||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE | Non-Voting | |||
| OF BENEFICIAL OWNER INFORMATION | |||||
| FOR ALL VOTED ACCOUNTS. IF AN | |||||
| ACCOUNT HAS MULTIPLE BENEFICIAL | |||||
| OWNERS, YOU WILL NEED TO PROVIDE | |||||
| THE BREAKDOWN OF EACH BENEFICIAL | |||||
| OWNER NAME, ADDRESS AND SHARE | |||||
| POSITION TO YOUR CLIENT SERVICE | |||||
| REPRESENTATIVE. THIS INFORMATION IS | |||||
| REQUIRED IN ORDER FOR YOUR VOTE | |||||
| TO BE LODGED | |||||
| CMMT | IMPORTANT MARKET PROCESSING | Non-Voting | |||
| REQUIREMENT: A BENEFICIAL OWNER | |||||
| SIGNED POWER OF ATTORNEY (POA) IS | |||||
| REQUIRED IN ORDER TO LODGE AND | |||||
| EXECUTE YOUR VOTING INSTRUCTIONS | |||||
| IN THIS MARKET. ABSENCE OF A POA, | |||||
| MAY CAUSE YOUR INSTRUCTIONS TO BE | |||||
| REJECTED. IF YOU HAVE ANY | |||||
| QUESTIONS, PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 28 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THIS IS AN | Non-Voting | |||
| AMENDMENT TO MEETING ID 535275 DUE | |||||
| TO RECEIPT OF UPDATED AGENDA. ALL | |||||
| VOTES RECEIVED ON THE PREVIOUS | |||||
| MEETING WILL BE DISREGARDED AND | |||||
| YOU WILL NEED TO REINSTRUCT ON | |||||
| THIS MEETING NOTICE. THANK YOU | |||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | |||
| NOTE THAT IF YOU ARE CLASSIFIED AS | |||||
| AN INTERMEDIARY CLIENT UNDER THE | |||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | |||||
| YOU SHOULD BE PROVIDING THE | |||||
| UNDERLYING SHAREHOLDER | |||||
| INFORMATION AT THE VOTE | |||||
| INSTRUCTION LEVEL. IF YOU ARE | |||||
| UNSURE ON HOW TO PROVIDE THIS | |||||
| LEVEL OF DATA TO BROADRIDGE | |||||
| OUTSIDE OF PROXYEDGE, PLEASE | |||||
| SPEAK TO YOUR DEDICATED CLIENT | |||||
| SERVICE REPRESENTATIVE FOR | |||||
| ASSISTANCE. THANK YOU | |||||
| 1 | OPENING OF MEETING; ELECT | Non-Voting | |||
| CHAIRMAN OF MEETING | |||||
| 2 | PREPARE AND APPROVE LIST OF | Non-Voting | |||
| SHAREHOLDERS | |||||
| 3 | APPROVE AGENDA OF MEETING | Non-Voting | |||
| 4 | DESIGNATE INSPECTOR(S) OF MINUTES | Non-Voting | |||
| OF MEETING | |||||
| 5 | ACKNOWLEDGE PROPER CONVENING OF | Non-Voting | |||
| MEETING | |||||
| 6 | RECEIVE FINANCIAL STATEMENTS AND | Non-Voting | |||
| STATUTORY REPORTS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 29 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 7.A | ACCEPT FINANCIAL STATEMENTS AND | Mgmt | For | For | |
| STATUTORY REPORTS | |||||
| 7.B.1 | APPROVE DISCHARGE OF STAFFAN | Mgmt | For | For | |
| BOHMAN | |||||
| 7.B.2 | APPROVE DISCHARGE OF TINA | Mgmt | For | For | |
| DONIKOWSKI | |||||
| 7.B.3 | APPROVE DISCHARGE OF JOHAN | Mgmt | For | For | |
| FORSSELL | |||||
| 7.B.4 | APPROVE DISCHARGE OF ANNA | Mgmt | For | For | |
| OHLSSON-LEIJON | |||||
| 7.B.5 | APPROVE DISCHARGE OF MATS | Mgmt | For | For | |
| RAHMSTROM | |||||
| 7.B.6 | APPROVE DISCHARGE OF GORDON | Mgmt | For | For | |
| RISKE | |||||
| 7.B.7 | APPROVE DISCHARGE OF HANS | Mgmt | For | For | |
| STRABERG | |||||
| 7.B.8 | APPROVE DISCHARGE OF PETER | Mgmt | For | For | |
| WALLENBERG JR | |||||
| 7.B.9 | APPROVE DISCHARGE OF SABINE NEUSS | Mgmt | For | For | |
| 7.B10 | APPROVE DISCHARGE OF MIKAEL | Mgmt | For | For | |
| BERGSTEDT | |||||
| 7.B11 | APPROVE DISCHARGE OF BENNY | Mgmt | For | For | |
| LARSSON |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 30 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 7.B12 | APPROVE DISCHARGE OF PRESIDENT | Mgmt | For | For | |
| MATS RAHMSTROM | |||||
| 7.C | APPROVE ALLOCATION OF INCOME AND | Mgmt | For | For | |
| DIVIDENDS OF SEK 7.30 PER SHARE | |||||
| 7.D | APPROVE RECORD DATE FOR DIVIDEND | Mgmt | For | For | |
| PAYMENT | |||||
| 8.A | DETERMINE NUMBER OF MEMBERS (8) | Mgmt | For | For | |
| AND DEPUTY MEMBERS OF BOARD (0) | |||||
| 8.B | DETERMINE NUMBER OF AUDITORS (1) | Mgmt | For | For | |
| AND DEPUTY AUDITORS (0) | |||||
| 9.A | ELECTION OF BOARD MEMBERS | Non-Voting | |||
| 9.A.1 | REELECT STAFFAN BOHMAN AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.2 | REELECT TINA DONIKOWSKI AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.3 | REELECT JOHAN FORSSELL AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.4 | REELECT ANNA OHLSSON-LEIJON AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.5 | REELECT MATS RAHMSTROM AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.6 | REELECT GORDON RISKE AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 31 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 9.A.7 | REELECT HANS STRABERG AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.A.8 | REELECT PETER WALLENBERG JR AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 9.B | REELECT HANS STRABERG AS BOARD | Mgmt | For | For | |
| CHAIRMAN | |||||
| 9.C | RATIFY ERNST & YOUNG AS AUDITORS | Mgmt | For | For | |
| 10.A | APPROVE REMUNERATION OF | Mgmt | For | For | |
| DIRECTORS IN THE AMOUNT OF SEK 2.6 | |||||
| MILLION TO CHAIR AND SEK 825,000 TO | |||||
| OTHER DIRECTORS; APPROVE | |||||
| REMUNERATION FOR COMMITTEE WORK; | |||||
| APPROVE DELIVERING PART OF | |||||
| REMUNERATION IN FORM OF SYNTHETIC | |||||
| SHARES | |||||
| 10.B | APPROVE REMUNERATION OF AUDITORS | Mgmt | For | For | |
| 11.A | APPROVE REMUNERATION REPORT | Mgmt | For | For | |
| 11.B | APPROVE STOCK OPTION PLAN 2021 FOR | Mgmt | For | For | |
| KEY EMPLOYEES | |||||
| 12.A | ACQUIRE CLASS A SHARES RELATED TO | Mgmt | For | For | |
| PERSONNEL OPTION PLAN FOR 2021 | |||||
| 12.B | ACQUIRE CLASS A SHARES RELATED TO | Mgmt | For | For | |
| REMUNERATION OF DIRECTORS IN THE | |||||
| FORM OF SYNTHETIC SHARES | |||||
| 12.C | TRANSFER CLASS A SHARES RELATED | Mgmt | For | For | |
| TO PERSONNEL OPTION PLAN FOR 2021 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 32 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 12.D | SELL CLASS A SHARES TO COVER COSTS | Mgmt | For | For | |
| RELATED TO SYNTHETIC SHARES TO THE | |||||
| BOARD | |||||
| 12.E | SELL CLASS A TO COVER COSTS IN | Mgmt | For | For | |
| RELATION TO THE PERSONNEL OPTION | |||||
| PLANS FOR 2016, 2017 AND 2018 | |||||
| 13 | CLOSE MEETING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 33 of 261 |
Unassigned
| BAE SYSTEMS PLC | |
| Security: G06940103 | Agenda Number: 713754427 |
| Ticker: | Meeting Type: AGM |
| ISIN: GB0002634946 | Meeting Date: 06-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 01 | REPORT AND ACCOUNTS | Mgmt | For | For | |
| 02 | REMUNERATION REPORT | Mgmt | Against | Against | |
| 03 | FINAL DIVIDEND: 14.3 PENCE PER | Mgmt | For | For | |
| ORDINARY SHARE | |||||
| 04 | RE-ELECT THOMAS ARSENEAULT | Mgmt | For | For | |
| 05 | RE-ELECT SIR ROGER CARR | Mgmt | For | For | |
| 06 | RE-ELECT DAME ELIZABETH CORLEY | Mgmt | For | For | |
| 07 | RE-ELECT BRADLEY GREVE | Mgmt | For | For | |
| 08 | RE-ELECT JANE GRIFFITHS | Mgmt | For | For | |
| 09 | RE-ELECT CHRISTOPHER GRIGG | Mgmt | For | For | |
| 10 | RE-ELECT STEPHEN PEARCE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 34 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 11 | RE-ELECT NICOLE PIASECKI | Mgmt | For | For | |
| 12 | RE-ELECT IAN TYLER | Mgmt | For | For | |
| 13 | RE-ELECT CHARLES WOODBURN | Mgmt | For | For | |
| 14 | ELECT NICHOLAS ANDERSON | Mgmt | For | For | |
| 15 | ELECT DAME CAROLYN FAIRBAIRN | Mgmt | For | For | |
| 16 | RE-APPOINTMENT OF AUDITORS: | Mgmt | For | For | |
| DELOITTE LLP | |||||
| 17 | REMUNERATION OF AUDITORS | Mgmt | For | For | |
| 18 | POLITICAL DONATIONS UP TO SPECIFIED | Mgmt | For | For | |
| LIMITS | |||||
| 19 | AUTHORITY TO ALLOT NEW SHARES | Mgmt | For | For | |
| 20 | DISAPPLICATION OF PRE-EMPTION | Mgmt | For | For | |
| RIGHTS | |||||
| 21 | PURCHASE OWN SHARES | Mgmt | For | For | |
| 22 | NOTICE OF GENERAL MEETINGS | Mgmt | For | For | |
| 23 | AMEND ARTICLES OF ASSOCIATION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 35 of 261 |
Unassigned
| BRITISH AMERICAN TOBACCO PLC | |
| Security: G1510J102 | Agenda Number: 713831320 |
| Ticker: | Meeting Type: AGM |
| ISIN: GB0002875804 | Meeting Date: 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT THIS IS AN | Non-Voting | |||
| AMENDMENT TO MEETING ID 532482 DUE | |||||
| TO RECEIPT OF DELETION FOR | |||||
| RESOLUTION NUMBER 9. ALL VOTES | |||||
| RECEIVED ON THE PREVIOUS MEETING | |||||
| WILL BE DISREGARDED IF VOTE | |||||
| DEADLINE EXTENSIONS ARE GRANTED. | |||||
| THEREFORE PLEASE REINSTRUCT ON | |||||
| THIS MEETING NOTICE ON THE NEW JOB. | |||||
| IF HOWEVER VOTE DEADLINE | |||||
| EXTENSIONS ARE NOT GRANTED IN THE | |||||
| MARKET, THIS MEETING WILL BE CLOSED | |||||
| AND YOUR VOTE INTENTIONS ON THE | |||||
| ORIGINAL MEETING WILL BE APPLICABLE. | |||||
| PLEASE ENSURE VOTING IS SUBMITTED | |||||
| PRIOR TO CUTOFF ON THE ORIGINAL | |||||
| MEETING, AND AS SOON AS POSSIBLE | |||||
| ON THIS NEW AMENDED MEETING. | |||||
| THANK YOU | |||||
| 1 | RECEIPT OF THE 2020 ANNUAL REPORT | Mgmt | For | For | |
| AND ACCOUNTS | |||||
| 2 | APPROVAL OF THE 2020 DIRECTORS’ | Mgmt | Against | Against | |
| REMUNERATION REPORT | |||||
| 3 | REAPPOINTMENT OF THE AUDITORS: | Mgmt | For | For | |
| KPMG LLP | |||||
| 4 | AUTHORITY FOR THE AUDIT COMMITTEE | Mgmt | For | For | |
| TO AGREE THE AUDITORS’ | |||||
| REMUNERATION | |||||
| 5 | RE-ELECTION OF LUC JOBIN AS A | Mgmt | For | For | |
| DIRECTOR (A, N) |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 36 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6 | RE-ELECTION OF JACK BOWLES AS A | Mgmt | For | For | |
| DIRECTOR | |||||
| 7 | RE-ELECTION OF TADEU MARROCO AS A | Mgmt | For | For | |
| DIRECTOR | |||||
| 8 | RE-ELECTION OF SUE FARR AS A | Mgmt | For | For | |
| DIRECTOR | |||||
| 9 | RE-ELECTION OF JEREMY FOWDEN AS A | Non-Voting | |||
| DIRECTOR (A, N) | |||||
| 10 | RE-ELECTION OF DR MARION HELMES AS | Mgmt | For | For | |
| A DIRECTOR (N, R) | |||||
| 11 | RE-ELECTION OF HOLLY KELLER | Mgmt | For | For | |
| KOEPPEL AS A DIRECTOR (A, N) | |||||
| 12 | RE-ELECTION OF SAVIO KWAN AS A | Mgmt | For | For | |
| DIRECTOR (N, R) | |||||
| 13 | RE-ELECTION OF DIMITRI | Mgmt | For | For | |
| PANAYOTOPOULOS AS A DIRECTOR (N, R) | |||||
| 14 | ELECTION OF KAREN GUERRA AS A | Mgmt | For | For | |
| DIRECTOR (N, R) WHO HAS BEEN | |||||
| APPOINTED SINCE THE LAST ANNUAL | |||||
| GENERAL MEETING | |||||
| 15 | ELECTION OF DARRELL THOMAS AS A | Mgmt | For | For | |
| DIRECTOR (A, N), WHO HAS BEEN | |||||
| APPOINTED SINCE THE LAST ANNUAL | |||||
| GENERAL MEETING | |||||
| 16 | RENEWAL OF THE DIRECTORS’ | Mgmt | For | For | |
| AUTHORITY TO ALLOT SHARES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 37 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 17 | RENEWAL OF THE DIRECTORS’ | Mgmt | For | For | |
| AUTHORITY TO DISAPPLY PRE-EMPTION | |||||
| RIGHTS | |||||
| 18 | AUTHORITY FOR THE COMPANY TO | Mgmt | For | For | |
| PURCHASE ITS OWN SHARES | |||||
| 19 | AUTHORITY TO MAKE DONATIONS TO | Mgmt | For | For | |
| POLITICAL ORGANISATIONS AND TO | |||||
| INCUR POLITICAL EXPENDITURE | |||||
| 20 | NOTICE PERIOD FOR GENERAL | Mgmt | For | For | |
| MEETINGS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 38 of 261 |
Unassigned
| CARLSBERG AS | |
| Security: K36628137 | Agenda Number: 713606563 |
| Ticker: | Meeting Type: AGM |
| ISIN: DK0010181759 | Meeting Date: 15-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | IN THE MAJORITY OF MEETINGS THE | Non-Voting | |||
| VOTES ARE CAST WITH THE REGISTRAR | |||||
| WHO WILL FOLLOW CLIENT | |||||
| INSTRUCTIONS. IN A SMALL | |||||
| PERCENTAGE OF MEETINGS THERE IS | |||||
| NO REGISTRAR AND CLIENTS VOTES | |||||
| MAY BE CAST BY THE CHAIRMAN OF THE | |||||
| BOARD OR A BOARD MEMBER AS PROXY. | |||||
| CLIENTS CAN ONLY EXPECT THEM TO | |||||
| ACCEPT PRO-MANAGEMENT VOTES. THE | |||||
| ONLY WAY TO GUARANTEE THAT ABSTAIN | |||||
| AND/OR AGAINST VOTES ARE | |||||
| REPRESENTED AT THE MEETING IS TO | |||||
| SEND YOUR OWN REPRESENTATIVE OR | |||||
| ATTEND THE MEETING IN PERSON. THE | |||||
| SUB CUSTODIAN BANKS OFFER | |||||
| REPRESENTATION SERVICES FOR AN | |||||
| ADDED FEE IF REQUESTED. THANK YOU | |||||
| CMMT | PLEASE BE ADVISED THAT SPLIT AND | Non-Voting | |||
| PARTIAL VOTING IS NOT AUTHORISED | |||||
| FOR A BENEFICIAL OWNER IN THE | |||||
| DANISH MARKET. PLEASE CONTACT | |||||
| YOUR GLOBAL CUSTODIAN FOR | |||||
| FURTHER INFORMATION | |||||
| CMMT | IMPORTANT MARKET PROCESSING | Non-Voting | |||
| REQUIREMENT: A BENEFICIAL OWNER | |||||
| SIGNED POWER OF ATTORNEY (POA) IS | |||||
| REQUIRED IN ORDER TO LODGE AND | |||||
| EXECUTE YOUR VOTING INSTRUCTIONS | |||||
| IN THIS MARKET. ABSENCE OF A POA, | |||||
| MAY CAUSE YOUR INSTRUCTIONS TO BE | |||||
| REJECTED. IF YOU HAVE ANY | |||||
| QUESTIONS, PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 39 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU | |||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | |||
| NOTE THAT IF YOU ARE CLASSIFIED AS | |||||
| AN INTERMEDIARY CLIENT UNDER THE | |||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | |||||
| YOU SHOULD BE PROVIDING THE | |||||
| UNDERLYING SHAREHOLDER | |||||
| INFORMATION AT THE VOTE | |||||
| INSTRUCTION LEVEL. IF YOU ARE | |||||
| UNSURE ON HOW TO PROVIDE THIS | |||||
| LEVEL OF DATA TO BROADRIDGE | |||||
| OUTSIDE OF PROXYEDGE, PLEASE | |||||
| SPEAK TO YOUR DEDICATED CLIENT | |||||
| SERVICE REPRESENTATIVE FOR | |||||
| ASSISTANCE. THANK YOU | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS | Non-Voting | |||
| ARE ALLOWED TO VOTE ’IN FAVOR’ OR | |||||
| ’ABSTAIN’ ONLY FOR RESOLUTION | |||||
| NUMBERS 6.A TO 6.J AND 7. THANK YOU | |||||
| 1. | REPORT ON THE ACTIVITIES OF THE | Non-Voting | |||
| COMPANY IN THE PAST YEAR | |||||
| 2. | PRESENTATION OF THE AUDITED | Mgmt | For | For | |
| ANNUAL REPORT FOR APPROVAL AND | |||||
| RESOLUTION TO DISCHARGE THE | |||||
| SUPERVISORY BOARD AND THE | |||||
| EXECUTIVE BOARD FROM LIABILITY | |||||
| 3. | PROPOSAL FOR DISTRIBUTION OF THE | Mgmt | For | For | |
| PROFIT FOR THE YEAR, INCLUDING | |||||
| DECLARATION OF DIVIDENDS: THE | |||||
| SUPERVISORY BOARD PROPOSES A | |||||
| DIVIDEND OF DKK 22 PER SHARE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 40 of 261 |
| Prop. # | Proposal | PropCMMTosed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 4. | PRESENTATION OF AN ADVISORY VOTE | Mgmt | For | For | |
| ON THE REMUNERATION REPORT 2020 | |||||
| 5A. | PROPOSAL FROM THE SUPERVISORY | Mgmt | For | For | |
| BOARD: APPROVAL OF THE | |||||
| SUPERVISORY BOARD’S REMUNERATION | |||||
| FOR 2021 | |||||
| 5B. | PROPOSAL FROM THE SUPERVISORY | Mgmt | For | For | |
| BOARD: PROPOSAL TO REDUCE THE | |||||
| COMPANY’S SHARE CAPITAL FOR THE | |||||
| PURPOSE OF CANCELLING TREASURY | |||||
| SHARES | |||||
| 5C. | PROPOSAL FROM THE SUPERVISORY | Mgmt | For | For | |
| BOARD: PROPOSAL TO AMEND THE | |||||
| COMPANY’S ARTICLES OF ASSOCIATION | |||||
| (AUTHORIZATION TO THE SUPERVISORY | |||||
| BOARD TO ASSEMBLE GENERAL | |||||
| MEETINGS AS FULLY VIRTUAL GENERAL | |||||
| MEETINGS) | |||||
| 5D. | PLEASE NOTE THAT THIS RESOLUTION IS | Shr | For | For | |
| A SHAREHOLDER PROPOSAL: PROPOSAL | |||||
| FROM THE SHAREHOLDERS | |||||
| AKADEMIKERPENSION AND LD FONDE: | |||||
| PROPOSAL TO COMPLETE AND PUBLISH | |||||
| A TAX TRANSPARENCY FEASIBILITY | |||||
| ASSESSMENT | |||||
| 6.a | RE-ELECTION OF MEMBER TO THE | Mgmt | Abstain | Against | |
| SUPERVISORY BOARD: FLEMMING | |||||
| BESENBACHER | |||||
| 6.b | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: LARS | |||||
| FRUERGAARD JORGENSEN | |||||
| 6.c | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: CARL BACHE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 41 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6.d | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: MAGDI BATATO | |||||
| 6.e | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: LILIAN FOSSUM | |||||
| BINER | |||||
| 6.f | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: RICHARD | |||||
| BURROWS | |||||
| 6.g | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: SOREN-PETER | |||||
| FUCHS OLESEN | |||||
| 6.h | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: MAJKEN SCHULTZ | |||||
| 6.i | RE-ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: LARS STEMMERIK | |||||
| 6.j | ELECTION OF MEMBER TO THE | Mgmt | For | For | |
| SUPERVISORY BOARD: HENRIK POULSEN | |||||
| 7. | RE-ELECTION OF THE AUDITOR | Mgmt | For | For | |
| PRICEWATERHOUSECOOPERS | |||||
| STATSAUTORISERET | |||||
| REVISIONSPARTNERSELSKAB (PWC) |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 42 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST | Non-Voting | |||
| DEPOSITORY INTERESTS (CDIs) AND | |||||
| PARTICIPATE AT THIS MEETING, YOU (OR | |||||
| YOUR CREST SPONSORED | |||||
| MEMBER/CUSTODIAN) WILL BE | |||||
| REQUIRED TO INSTRUCT A TRANSFER OF | |||||
| THE RELEVANT CDIs TO THE ESCROW | |||||
| ACCOUNT SPECIFIED IN THE | |||||
| ASSOCIATED CORPORATE EVENT IN THE | |||||
| CREST SYSTEM. THIS TRANSFER WILL | |||||
| NEED TO BE COMPLETED BY THE | |||||
| SPECIFIED CREST SYSTEM DEADLINE. | |||||
| ONCE THIS TRANSFER HAS SETTLED, | |||||
| THE CDIs WILL BE BLOCKED IN THE | |||||
| CREST SYSTEM. THE CDIs WILL BE | |||||
| RELEASED FROM ESCROW AS SOON AS | |||||
| PRACTICABLE ON THE BUSINESS DAY | |||||
| PRIOR TO MEETING DATE UNLESS | |||||
| OTHERWISE SPECIFIED. IN ORDER FOR A | |||||
| VOTE TO BE ACCEPTED, THE VOTED | |||||
| POSITION MUST BE BLOCKED IN THE | |||||
| REQUIRED ESCROW ACCOUNT IN THE | |||||
| CREST SYSTEM. BY VOTING ON THIS | |||||
| MEETING, YOUR CREST SPONSORED | |||||
| MEMBER/CUSTODIAN MAY USE YOUR | |||||
| VOTE INSTRUCTION AS THE | |||||
| AUTHORIZATION TO TAKE THE | |||||
| NECESSARY ACTION WHICH WILL | |||||
| INCLUDE TRANSFERRING YOUR | |||||
| INSTRUCTED POSITION TO ESCROW. | |||||
| PLEASE CONTACT YOUR CREST | |||||
| SPONSORED MEMBER/CUSTODIAN | |||||
| DIRECTLY FOR FURTHER INFORMATION | |||||
| ON THE CUSTODY PROCESS AND | |||||
| WHETHER OR NOT THEY REQUIRE | |||||
| SEPARATE INSTRUCTIONS FROM YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 43 of 261 |
Unassigned
| COLOPLAST A/S | |
| Security: K16018192 | Agenda Number: 713354102 |
| Ticker: | Meeting Type: AGM |
| ISIN: DK0060448595 | Meeting Date: 03-Dec-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | IN THE MAJORITY OF MEETINGS THE | Non-Voting | |||
| VOTES ARE CAST WITH THE REGISTRAR | |||||
| WHO WILL FOLLOW CLIENT | |||||
| INSTRUCTIONS. IN A SMALL | |||||
| PERCENTAGE OF MEETINGS THERE IS | |||||
| NO REGISTRAR AND CLIENTS VOTES | |||||
| MAY BE CAST BY THE CHAIRMAN OF THE | |||||
| BOARD OR A BOARD MEMBER AS PROXY. | |||||
| CLIENTS CAN ONLY EXPECT THEM TO | |||||
| ACCEPT PRO-MANAGEMENT VOTES. THE | |||||
| ONLY WAY TO GUARANTEE THAT ABSTAIN | |||||
| AND/OR AGAINST VOTES ARE | |||||
| REPRESENTED AT THE MEETING IS TO | |||||
| SEND YOUR OWN REPRESENTATIVE OR | |||||
| ATTEND THE MEETING IN PERSON. THE | |||||
| SUB CUSTODIAN BANKS OFFER | |||||
| REPRESENTATION SERVICES FOR AN | |||||
| ADDED FEE IF REQUESTED. THANK YOU | |||||
| CMMT | PLEASE BE ADVISED THAT SPLIT AND | Non-Voting | |||
| PARTIAL VOTING IS NOT AUTHORISED | |||||
| FOR A BENEFICIAL OWNER IN THE | |||||
| DANISH MARKET. PLEASE CONTACT | |||||
| YOUR GLOBAL CUSTODIAN FOR | |||||
| FURTHER INFORMATION. | |||||
| CMMT | IMPORTANT MARKET PROCESSING | Non-Voting | |||
| REQUIREMENT: A BENEFICIAL OWNER | |||||
| SIGNED POWER OF ATTORNEY (POA) IS | |||||
| REQUIRED IN ORDER TO LODGE AND | |||||
| EXECUTE YOUR VOTING INSTRUCTIONS | |||||
| IN THIS MARKET. ABSENCE OF A POA, | |||||
| MAY CAUSE YOUR INSTRUCTIONS TO BE | |||||
| REJECTED. IF YOU HAVE ANY | |||||
| QUESTIONS, PLEASE CONTACT YOUR | |||||
| CLIENT SERVICE REPRESENTATIVE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 44 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | |||
| DETAILS ARE REQUIRED TO VOTE AT | |||||
| THIS MEETING. IF NO SHAREHOLDER | |||||
| DETAILS ARE PROVIDED, YOUR | |||||
| INSTRUCTION MAY CARRY A | |||||
| HEIGHTENED RISK OF BEING REJECTED. | |||||
| THANK YOU | |||||
| 1 | REPORT BY THE BOARD OF DIRECTORS | Non-Voting | |||
| ON THE ACTIVITIES OF THE COMPANY | |||||
| DURING THE PAST FINANCIAL YEAR | |||||
| 2 | PRESENTATION AND APPROVAL OF THE | Mgmt | For | For | |
| AUDITED ANNUAL REPORT | |||||
| 3 | RESOLUTION ON THE DISTRIBUTION OF | Mgmt | For | For | |
| PROFIT IN ACCORDANCE WITH THE | |||||
| APPROVED ANNUAL REPORT | |||||
| 4 | PRESENTATION AND APPROVAL OF THE | Mgmt | For | For | |
| REMUNERATION REPORT | |||||
| 5 | APPROVAL OF THE BOARD OF | Mgmt | For | For | |
| DIRECTORS’ REMUNERATION FOR THE | |||||
| CURRENT FINANCIAL YEAR | |||||
| 6.1 | PROPOSAL BY THE BOARD OF | Mgmt | For | For | |
| DIRECTORS: UPDATE OF REMUNERATION | |||||
| POLICY | |||||
| 6.2.1 | PROPOSAL BY THE BOARD OF | Mgmt | For | For | |
| DIRECTORS: AMENDMENT OF ARTICLE 2 | |||||
| OF THE ARTICLES OF ASSOCIATION - | |||||
| OBJECT | |||||
| 6.2.2 | PROPOSAL BY THE BOARD OF | Mgmt | For | For | |
| DIRECTORS: ADOPTION OF NEW ARTICLE | |||||
| 11 OF THE ARTICLES OF ASSOCIATION - | |||||
| ELECTRONIC GENERAL MEETING |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 45 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 6.3 | PLEASE NOTE THAT THIS RESOLUTION IS | Shr | For | For | |
| A SHAREHOLDER PROPOSAL: PROPOSAL | |||||
| BY THE SHAREHOLDER: FOR THE BOARD | |||||
| OF DIRECTORS TO COMPLETE AN | |||||
| ASSESSMENT OF THE VIABILITY OF | |||||
| COLOPLAST TO PUBLISH CORPORATE | |||||
| COUNTRY-BY-COUNTRY TAX REPORTING | |||||
| IN LINE WITH THE GLOBAL REPORTING | |||||
| INITIATIVE’S STANDARD (GRI 207: TAX | |||||
| 2019) STARTING FROM FINANCIAL YEAR | |||||
| 2021/22. THE FINDINGS OF THE | |||||
| ASSESSMENT SHOULD BE MADE PUBLIC | |||||
| BEFORE THE AGM IN 2021 | |||||
| CMMT | PLEASE NOTE THAT SHAREHOLDERS | Non-Voting | |||
| ARE ALLOWED TO VOTE ’IN FAVOR’ OR | |||||
| ’ABSTAIN’ ONLY FOR RESOLUTION | |||||
| NUMBERS 7.1 TO 7.6 AND 8. THANK YOU | |||||
| 7.1 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: LARS SOREN | |||||
| RASMUSSEN | |||||
| 7.2 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: NIELS PETER | |||||
| LOUIS-HANSEN | |||||
| 7.3 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: BIRGITTE | |||||
| NIELSEN | |||||
| 7.4 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: CARSTEN | |||||
| HELLMANN |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 46 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 7.5 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: JETTE | |||||
| NYGAARD-ANDERSEN | |||||
| 7.6 | ELECTION OF MEMBER TO THE BOARD | Mgmt | For | For | |
| OF DIRECTORS. THE BOARD OF | |||||
| DIRECTORS PROPOSES ELECTION OF | |||||
| THE FOLLOWING MEMBER: MARIANNE | |||||
| WIINHOLT | |||||
| 8 | ELECTION OF AUDITORS. THE BOARD OF | Mgmt | For | For | |
| DIRECTORS PROPOSES THE RE- | |||||
| ELECTION OF | |||||
| PRICEWATERHOUSECOOPERS | |||||
| STATSAUTORISERET | |||||
| REVISIONSPARTNERSELSKAB AS THE | |||||
| COMPANY’S AUDITORS | |||||
| 9 | ANY OTHER BUSINESS | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 47 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | 11 NOV 2020: PLEASE NOTE THAT IF YOU | Non-Voting | |||
| HOLD CREST DEPOSITORY INTERESTS | |||||
| (CDIS) AND PARTICIPATE AT THIS | |||||
| MEETING, YOU (OR YOUR CREST | |||||
| SPONSORED MEMBER/CUSTODIAN) WILL | |||||
| BE REQUIRED TO INSTRUCT A TRANSFER | |||||
| OF THE RELEVANT CDIS TO THE | |||||
| ESCROW ACCOUNT SPECIFIED IN THE | |||||
| ASSOCIATED CORPORATE EVENT IN THE | |||||
| CREST SYSTEM. THIS TRANSFER WILL | |||||
| NEED TO BE COMPLETED BY THE | |||||
| SPECIFIED CREST SYSTEM DEADLINE. | |||||
| ONCE THIS TRANSFER HAS SETTLED, | |||||
| THE CDIS WILL BE BLOCKED IN THE | |||||
| CREST SYSTEM. THE CDIS WILL BE | |||||
| RELEASED FROM ESCROW AS SOON AS | |||||
| PRACTICABLE ON THE BUSINESS DAY | |||||
| PRIOR TO MEETING DATE UNLESS | |||||
| OTHERWISE SPECIFIED. IN ORDER FOR A | |||||
| VOTE TO BE ACCEPTED, THE VOTED | |||||
| POSITION MUST BE BLOCKED IN THE | |||||
| REQUIRED ESCROW ACCOUNT IN THE | |||||
| CREST SYSTEM. BY VOTING ON THIS | |||||
| MEETING, YOUR CREST SPONSORED | |||||
| MEMBER/CUSTODIAN MAY USE YOUR | |||||
| VOTE INSTRUCTION AS THE | |||||
| AUTHORIZATION TO TAKE THE | |||||
| NECESSARY ACTION WHICH WILL | |||||
| INCLUDE TRANSFERRING YOUR | |||||
| INSTRUCTED POSITION TO ESCROW. | |||||
| PLEASE CONTACT YOUR CREST | |||||
| SPONSORED MEMBER/CUSTODIAN | |||||
| DIRECTLY FOR FURTHER INFORMATION | |||||
| ON THE CUSTODY PROCESS AND | |||||
| WHETHER OR NOT THEY REQUIRE | |||||
| SEPARATE INSTRUCTIONS FROM YOU | |||||
| CMMT | 11 NOV 2020: PLEASE NOTE THAT THIS IS | Non-Voting | |||
| A REVISION DUE TO ADDITION OF | |||||
| COMMENT. IF YOU HAVE ALREADY SENT | |||||
| IN YOUR VOTES, PLEASE DO NOT VOTE | |||||
| AGAIN UNLESS YOU DECIDE TO AMEND | |||||
| YOUR ORIGINAL INSTRUCTIONS. THANK | |||||
| YOU. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 48 of 261 |
Unassigned
| COMPAGNIE FINANCIERE RICHEMONT SA | |
| Security: H25662182 | Agenda Number: 713030396 |
| Ticker: | Meeting Type: AGM |
| ISIN: CH0210483332 | Meeting Date: 09-Sep-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING | Non-Voting | |||
| ON AGENDA AND MEETING ATTENDANCE | |||||
| REQUESTS ONLY. PLEASE ENSURE THAT | |||||
| YOU HAVE FIRST VOTED IN FAVOUR OF | |||||
| THE REGISTRATION OF SHARES IN PART | |||||
| 1 OF THE MEETING. IT IS A MARKET | |||||
| REQUIREMENT FOR MEETINGS OF THIS | |||||
| TYPE THAT THE SHARES ARE | |||||
| REGISTERED AND MOVED TO A | |||||
| REGISTERED LOCATION AT THE CSD, | |||||
| AND SPECIFIC POLICIES AT THE | |||||
| INDIVIDUAL SUB-CUSTODIANS MAY VARY. | |||||
| UPON RECEIPT OF THE VOTE | |||||
| INSTRUCTION, IT IS POSSIBLE THAT A | |||||
| MARKER MAY BE PLACED ON YOUR | |||||
| SHARES TO ALLOW FOR | |||||
| RECONCILIATION AND RE-REGISTRATION | |||||
| FOLLOWING A TRADE. THEREFORE | |||||
| WHILST THIS DOES NOT PREVENT THE | |||||
| TRADING OF SHARES, ANY THAT ARE | |||||
| REGISTERED MUST BE FIRST | |||||
| DEREGISTERED IF REQUIRED FOR | |||||
| SETTLEMENT. DEREGISTRATION CAN | |||||
| AFFECT THE VOTING RIGHTS OF THOSE | |||||
| SHARES. IF YOU HAVE CONCERNS | |||||
| REGARDING YOUR ACCOUNTS, PLEASE | |||||
| CONTACT YOUR CLIENT | |||||
| REPRESENTATIVE | |||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND | Mgmt | For | For | |
| STATUTORY REPORTS | |||||
| 2 | APPROVE ALLOCATION OF INCOME AND | Mgmt | For | For | |
| DIVIDENDS OF CHF 1.00 PER | |||||
| REGISTERED A SHARE AND CHF 0.10 PER | |||||
| REGISTERED B SHARE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 49 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 3 | APPROVE CREATION OF CHF 24.2 | Mgmt | For | For | |
| MILLION POOL OF CONDITIONAL CAPITAL | |||||
| TO COVER EXERCISE OF WARRANTS | |||||
| 4 | APPROVE DISCHARGE OF BOARD AND | Mgmt | For | For | |
| SENIOR MANAGEMENT | |||||
| 5.1 | REELECT JOHANN RUPERT AS DIRECTOR | Mgmt | For | For | |
| AND BOARD CHAIRMAN | |||||
| 5.2 | REELECT JOSUA MALHERBE AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.3 | REELECT NIKESH ARORA AS DIRECTOR | Mgmt | For | For | |
| 5.4 | REELECT NICOLAS BOS AS DIRECTOR | Mgmt | For | For | |
| 5.5 | REELECT CLAY BRENDISH AS DIRECTOR | Mgmt | For | For | |
| 5.6 | REELECT JEAN-BLAISE ECKERT AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.7 | REELECT BURKHART GRUND AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.8 | REELECT KEYU JIN AS DIRECTOR | Mgmt | For | For | |
| 5.9 | REELECT JEROME LAMBERT AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.10 | REELECT RUGGERO MAGNONI AS | Mgmt | For | For | |
| DIRECTOR |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 50 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 5.11 | REELECT JEFF MOSS AS DIRECTOR | Mgmt | For | For | |
| 5.12 | REELECT VESNA NEVISTIC AS DIRECTOR | Mgmt | For | For | |
| 5.13 | REELECT GUILLAUME PICTET AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.14 | REELECT ALAN QUASHA AS DIRECTOR | Mgmt | For | For | |
| 5.15 | REELECT MARIA RAMOS AS DIRECTOR | Mgmt | For | For | |
| 5.16 | REELECT ANTON RUPERT AS DIRECTOR | Mgmt | For | For | |
| 5.17 | REELECT JAN RUPERT AS DIRECTOR | Mgmt | For | For | |
| 5.18 | REELECT GARY SAAGE AS DIRECTOR | Mgmt | For | For | |
| 5.19 | REELECT CYRILLE VIGNERON AS | Mgmt | For | For | |
| DIRECTOR | |||||
| 5.20 | ELECT WENDY LUHABE AS DIRECTOR | Mgmt | For | For | |
| 6.1 | REAPPOINT CLAY BRENDISH AS MEMBER | Mgmt | For | For | |
| OF THE COMPENSATION COMMITTEE | |||||
| 6.2 | REPPOINT KEYU JIN AS MEMBER OF THE | Mgmt | For | For | |
| COMPENSATION COMMITTEE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 51 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
|
|
| by |
| Management’s |
|
|
|
|
| Recommendation |
|
6.3 | REAPPOINT GUILLAUME PICTET AS MEMBER OF THE COMPENSATION COMMITTEE | Mgmt | For | For |
|
|
|
|
|
|
|
6.4 | REAPPOINT MARIA RAMOS AS MEMBER OF THE COMPENSATION COMMITTEE | Mgmt | For | For |
|
|
|
|
|
|
|
7 | RATIFY PRICEWATERHOUSECOOPERS SA AS AUDITORS | Mgmt | For | For |
|
|
|
|
|
|
|
8 | DESIGNATE ETUDE GAMPERT DEMIERRE MORENO AS INDEPENDENT PROXY | Mgmt | For | For |
|
|
|
|
|
|
|
9.1 | APPROVE REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 6.7 MILLION | Mgmt | For | For |
|
|
|
|
|
|
|
9.2 | APPROVE FIXED REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.8 MILLION | Mgmt | For | For |
|
|
|
|
|
|
|
9.3 | APPROVE VARIABLE REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 38.3 MILLION | Mgmt | For | For |
|
|
|
|
|
|
|
CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting |
|
|
|
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 52 of 261 |
Unassigned
COMPAGNIE FINANCIERE RICHEMONT SA | ||
Security: H25662182 | Agenda Number: 713248979 | |
Ticker: | Meeting Type: EGM | |
ISIN: CH0210483332 | Meeting Date: 17-Nov-20 | |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
|
|
| by |
| Management’s |
|
|
|
|
| Recommendation |
|
CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting |
|
|
|
|
|
|
|
|
|
CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE | Non-Voting |
|
|
|
|
|
|
|
|
|
1 | APPROVE CREATION OF CHF 24.2 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS | Mgmt | For | For |
|
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 53 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
|
|
| by |
| Management’s |
|
|
|
|
| Recommendation |
|
CMMT | 27 OCT 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE FROM 03 NOV 2020 TO 09 NOV 2020. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
|
|
|
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 53 of 261 |
Unassigned
| COMPASS GROUP PLC | |
| Security: G23296208 | Agenda Number: 713451021 |
| Ticker: | Meeting Type: AGM |
| ISIN: GB00BD6K4575 | Meeting Date: 04-Feb-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
|
| by |
| Management’s | |
|
|
|
| Recommendation | |
1 | RECEIVE AND ADOPT THE DIRECTORS’ ANNUAL REPORT AND ACCOUNTS AND THE AUDITOR’S REPORT THEREON | Mgmt | For | For |
|
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2 | RECEIVE AND ADOPT THE REMUNERATION POLICY | Mgmt | For | For |
|
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|
|
|
|
3 | RECEIVE AND ADOPT THE DIRECTORS’ REMUNERATION REPORT | Mgmt | For | For |
|
|
|
|
|
|
|
4 | ELECT IAN MEAKINS AS A DIRECTOR | Mgmt | For | For |
|
|
|
|
|
|
|
5 | RE-ELECT DOMINIC BLAKEMORE AS A DIRECTOR | Mgmt | For | For |
|
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|
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6 | RE-ELECT GARY GREEN AS A DIRECTOR | Mgmt | For | For |
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7 | RE-ELECT KAREN WITTS AS A DIRECTOR | Mgmt | For | For |
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8 | RE-ELECT CAROL ARROWSMITH AS A DIRECTOR | Mgmt | For | For |
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9 | RE-ELECT JOHN BASON AS A DIRECTOR | Mgmt | For | For |
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10 | RE-ELECT STEFAN BOMHARD AS A DIRECTOR | Mgmt | For | For |
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Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 55 of 261 |
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11 | RE-ELECT JOHN BRYANT AS A DIRECTOR | Mgmt | For | For |
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12 | RE-ELECT ANNE-FRANCOISE NESMES AS A DIRECTOR | Mgmt | For | For |
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13 | RE-ELECT NELSON SILVA AS A DIRECTOR | Mgmt | For | For |
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14 | RE-ELECT IREENA VITTAL AS A DIRECTOR | Mgmt | For | For |
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15 | REAPPOINT KPMG LLP AS AUDITOR | Mgmt | For | For |
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16 | AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR’S REMUNERATION | Mgmt | For | For |
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17 | DONATIONS TO POLITICAL ORGANISATIONS | Mgmt | For | For |
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18 | AUTHORITY TO ALLOT SHARES | Mgmt | For | For |
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19 | AUTHORITY TO ALLOT SHARES FOR CASH | Mgmt | For | For |
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20 | ADDITIONAL AUTHORITY TO ALLOT SHARES FOR CASH IN LIMITED CIRCUMSTANCES | Mgmt | For | For |
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21 | AUTHORITY TO PURCHASE SHARES | Mgmt | For | For |
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22 | ADOPTION OF ARTICLES OF ASSOCIATION | Mgmt | For | For |
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Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 56 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management’s | ||||
| Recommendation | |||||
| 23 | REDUCE GENERAL MEETING NOTICE | Mgmt | For | For | |
| PERIODS: TO AUTHORISE THE | |||||
| DIRECTORS TO CALL A GENERAL | |||||
| MEETING OF THE COMPANY, OTHER | |||||
| THAN AN ANNUAL GENERAL MEETING, | |||||
| ON NOT LESS THAN 14 CLEAR WORKING | |||||
| DAYS' NOTICE, PROVIDED THAT THIS | |||||
| AUTHORITY SHALL EXPIRE AT THE | |||||
| CONCLUSION OF THE NEXT ANNUAL | |||||
| GENERAL MEETING OF THE COMPANY | |||||
| AFTER THE DATE OF THE PASSING OF | |||||
| THIS RESOLUTION | |||||
| CMMT | 16 DEC 2020: PLEASE NOTE THAT THIS IS | Non-Voting | |||
| A REVISION DUE TO MODIFICATION OF | |||||
| THE TEXT OF RESOLUTION 23. IF YOU | |||||
| HAVE ALREADY SENT IN YOUR VOTES, | |||||
| PLEASE DO NOT VOTE AGAIN UNLESS | |||||
| YOU DECIDE TO AMEND YOUR ORIGINAL | |||||
| INSTRUCTIONS. THANK YOU |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 57 of 261 |
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Unassigned
DANONE SA | |||
Security: | F12033134 | Agenda Number: | 713755657 |
Ticker: |
| Meeting Type: | MIX |
ISIN: | FR0000120644 | Meeting Date: | 29-Apr-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting |
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CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 58 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting |
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CMMT | 14 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021041421009 17-45 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT AND CHANGE IN NUMBERING OF ALL RESOLUTIONS AND CHANGE IN TEXT OF COMMENT AND RECEIPT OF UPDATED BALO. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO MID 541236, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 59 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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CMMT | 07 APR 2021: PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 535348 DUE TO RECEIPT OF ADDITIONAL RESOLUTIONS 27 AND 28. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU. | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 60 of 261 |
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| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1 | APPROVAL OF THE CORPORATE | Mgmt | For | For |
| FINANCIAL STATEMENTS FOR THE | ||||
| FINANCIAL YEAR ENDED 31 DECEMBER | ||||
| 2020 | ||||
| 2 | APPROVAL OF THE CONSOLIDATED | Mgmt | For | For |
| FINANCIAL STATEMENTS FOR THE | ||||
| FINANCIAL YEAR ENDED 31 DECEMBER | ||||
| 2020 | ||||
| 3 | ALLOCATION OF INCOME FOR THE | Mgmt | For | For |
| FINANCIAL YEAR ENDED 31 DECEMBER | ||||
| 2020 AND SETTING OF THE DIVIDEND AT | ||||
| 1.94 EUROS PER SHARE | ||||
| 4 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. GUIDO BARILLA AS DIRECTOR | ||||
| 5 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MRS. CECILE CABANIS AS DIRECTOR | ||||
| 6 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. MICHEL LANDEL AS DIRECTOR | ||||
| PURSUANT TO PARAGRAPH 2 OF | ||||
| ARTICLE 15-II OF THE BY-LAWS | ||||
| 7 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MRS. SERPIL TIMURAY AS DIRECTOR | ||||
| 8 | RATIFICATION OF THE CO-OPTATION OF | Mgmt | For | For |
| MR. GILLES SCHNEPP AS DIRECTOR, AS | ||||
| A REPLACEMENT FOR MR. GREGG L. | ||||
| ENGLES, WHO RESIGNED | ||||
| 9 | APPROVAL OF THE AGREEMENTS | Mgmt | For | For |
| SUBJECT TO THE PROVISIONS OF | ||||
| ARTICLES L.225-38 AND FOLLOWING OF | ||||
| THE FRENCH COMMERCIAL CODE | ||||
| CONCLUDED BY THE COMPANY WITH | ||||
| THE SICAV DANONE COMMUNITIES |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 61 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
10 | APPROVAL OF THE INFORMATION RELATING TO THE REMUNERATION OF CORPORATE OFFICERS MENTIONED IN SECTION I OF ARTICLE L.22-10-9 OF THE FRENCH COMMERCIAL CODE FOR THE FINANCIAL YEAR 2020 | Mgmt | For | For |
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11 | APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
12 | APPROVAL OF THE REMUNERATION POLICY FOR EXECUTIVE CORPORATE OFFICERS FOR THE FINANCIAL YEAR 2021 | Mgmt | For | For |
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13 | SETTING OF THE OVERALL ANNUAL REMUNERATION AMOUNT OF DIRECTORS | Mgmt | For | For |
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14 | APPROVAL OF THE REMUNERATION POLICY FOR THE DIRECTORS FOR THE FINANCIAL YEAR 2021 | Mgmt | For | For |
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15 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PURCHASE, RETAIN OR TRANSFER SHARES OF THE COMPANY | Mgmt | For | For |
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16 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH RETENTION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| |
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| Page 62 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
17 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, BUT WITH THE OBLIGATION TO GRANT A PRIORITY RIGHT | Mgmt | For | For |
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18 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN CASE OF A CAPITAL INCREASE WITH CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, IN ORDER TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED | Mgmt | For | For |
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19 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, IN THE EVENT OF A PUBLIC EXCHANGE OFFER INITIATED BY THE COMPANY | Mgmt | For | For |
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20 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT, TO REMUNERATE CONTRIBUTIONS IN KIND GRANTED TO THE COMPANY AND CONSTITUTED OF EQUITY SECURITIES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL | Mgmt | For | For |
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21 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE COMPANY’S CAPITAL BY INCORPORATION OF RESERVES, PROFITS, PREMIUMS OR OTHER AMOUNTS WHOSE CAPITALISATION WOULD BE ALLOWED | Mgmt
| For
| For
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| |
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| Page 63 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
22 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES RESERVED FOR EMPLOYEES WHO ARE MEMBERS OF A COMPANY SAVINGS PLAN AND/OR FOR TRANSFERS OF RESERVED SECURITIES, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT | Mgmt | For | For |
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23 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE COMMON SHARES AND TRANSFERABLE SECURITIES, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, RESERVED FOR CATEGORIES OF BENEFICIARIES CONSISTING OF EMPLOYEES WORKING IN FOREIGN COMPANIES OF THE DANONE GROUP, OR IN A SITUATION OF INTERNATIONAL MOBILITY, IN THE CONTEXT OF EMPLOYEE SHAREHOLDING OPERATIONS | Mgmt | For | For |
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24 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS TO PROCEED WITH ALLOCATIONS OF EXISTING SHARES OR SHARES TO BE ISSUED OF THE COMPANY, WITHOUT THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHT | Mgmt | For | For |
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25 | AUTHORIZATION GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE CAPITAL BY CANCELLING SHARES | Mgmt | For | For |
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26 | POWERS TO CARRY OUT FORMALITIES | Mgmt | For | For |
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27 | APPROVAL OF THE COMPENSATION POLICY FOR EXECUTIVE CORPORATE OFFICERS ON AN INTERIM BASIS FOR THE FINANCIAL YEAR 2021 | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 64 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
28
| APPROVAL OF THE ELEMENTS OF COMPENSATION PAID DURING OR AWARDED IN RESPECT OF THE FINANCIAL YEAR 2021 TO MR. EMMANUEL FABER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER, UNTIL HIS DEPARTURE | Mgmt
| For
| For
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 65 of 261 |
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Unassigned
| DEUTSCHE POST AG | |||
| Security: | D19225107 | Agenda Number: | 713717823 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0005552004 | Meeting Date: | 06-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ’MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
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CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| |
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| Page 66 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT
| THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE | Non-Voting
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CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| |
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| Page 67 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting |
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1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting |
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2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.35 PER SHARE | Mgmt | For | For |
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3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
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4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
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5 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For |
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6.1 | ELECT INGRID DELTENRE TO THE SUPERVISORY BOARD | Mgmt | For | For |
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6.2 | ELECT KATJA WINDT TO THE SUPERVISORY BOARD | Mgmt | For | For |
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6.3 | ELECT NIKOLAUS VON BOMHARD TO THE SUPERVISORY BOARD | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 68 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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| Recommendation |
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7 | APPROVE CREATION OF EUR 130 MILLION POOL OF CAPITAL WITHOUT PREEMPTIVE RIGHTS | Mgmt | For | For |
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8 | AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES | Mgmt | For | For |
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9 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES | Mgmt | For | For |
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10 | APPROVE REMUNERATION POLICY | Mgmt | For | For |
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11 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Mgmt | For | For |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 69 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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| Recommendation |
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CMMT | 07 APR 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
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CMMT | 07 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 70 of 261 |
Unassigned
DEUTSCHE TELEKOM AG | |
Security: D2035M136 | Agenda Number: 713657762 |
Ticker: | Meeting Type: AGM |
ISIN: DE0005557508 | Meeting Date: 01-Apr-21 |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ’MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
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CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END- INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 71 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE | Non-Voting |
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CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 72 of 261 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting |
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1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting |
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2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 0.60 PER SHARE | Mgmt | For | For |
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3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
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4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
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5.1 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For |
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5.2 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE 2021 INTERIM FINANCIAL STATEMENTS | Mgmt | For | For |
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5.3 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE FIRST QUARTER OF FISCAL YEAR 2021 | Mgmt | For | For |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 73 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
5.4 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR THE THIRD QUARTER OF FISCAL YEAR 2021 AND FIRST QUARTER OF FISCAL YEAR 2022 | Mgmt | For | For |
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6 | ELECT HELGA JUNG TO THE SUPERVISORY BOARD | Mgmt | For | For |
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7 | AUTHORIZE SHARE REPURCHASE PROGRAM AND REISSUANCE OR CANCELLATION OF REPURCHASED SHARES | Mgmt | For | For |
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8 | AUTHORIZE USE OF FINANCIAL DERIVATIVES WHEN REPURCHASING SHARES | Mgmt | For | For |
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9 | APPROVE REMUNERATION POLICY | Mgmt | For | For |
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10 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Mgmt | For | For |
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11 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: SHAREHOLDER PROPOSAL SUBMITTED BY DEUTSCHE SCHUTZVEREINIGUNG FUER WERTPAPIERBESITZ E.V. (DSW): AMEND ARTICLES RE: SHAREHOLDERS’ RIGHT TO PARTICIPATION DURING THE VIRTUAL MEETING | Shr | For | Against |
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CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 522716 DUE TO RECEIPT OF ADDITIONAL RESOLUTION 11. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 74 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
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CMMT | 16 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 75 of 261 |
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CMMT | 16 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
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CMMT | 16 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 76 of 261 |
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Unassigned
| DIAGEO PLC | |||
| Security: | G42089113 | Agenda Number: | 713039407 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB0002374006 | Meeting Date: | 28-Sep-20 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation |
1 | REPORT AND ACCOUNTS 2020 | Mgmt | For | For |
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2 | DIRECTORS’ REMUNERATION REPORT 2020 | Mgmt | For | For |
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3 | DIRECTORS’ REMUNERATION POLICY 2020 | Mgmt | For | For |
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4 | DECLARATION OF FINAL DIVIDEND | Mgmt | For | For |
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5 | ELECTION OF MELISSA BETHELL AS A DIRECTOR | Mgmt | For | For |
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6 | RE-ELECTION OF JAVIER FERRAN AS A DIRECTOR | Mgmt | For | For |
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7 | RE-ELECTION OF SUSAN KILSBY AS A DIRECTOR | Mgmt | For | For |
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8 | RE-ELECTION OF LADY MENDELSOHN AS A DIRECTOR | Mgmt | For | For |
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9 | RE-ELECTION OF IVAN MENEZES AS A DIRECTOR | Mgmt | For | For |
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10 | RE-ELECTION OF KATHRYN MIKELLS AS A DIRECTOR | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 77 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
11 | RE-ELECTION OF ALAN STEWART AS A DIRECTOR | Mgmt | For | For |
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12 | RE-APPOINTMENT OF AUDITOR: PRICEWATERHOUSECOOPERS LLP | Mgmt | For | For |
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13 | REMUNERATION OF AUDITOR | Mgmt | For | For |
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14 | AUTHORITY TO MAKE POLITICAL DONATIONS AND/OR TO INCUR POLITICAL EXPENDITURE | Mgmt | For | For |
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15 | AUTHORITY TO ALLOT SHARES | Mgmt | For | For |
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16 | AMENDMENT OF THE DIAGEO 2001 SHARE INCENTIVE PLAN | Mgmt | For | For |
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17 | ADOPTION OF THE DIAGEO 2020 SHARESAVE PLAN | Mgmt | For | For |
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18 | ADOPTION OF THE DIAGEO DEFERRED BONUS SHARE PLAN | Mgmt | For | For |
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19 | AUTHORITY TO ESTABLISH INTERNATIONAL SHARE PLANS | Mgmt | For | For |
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20 | DISAPPLICATION OF PRE-EMPTION RIGHTS | Mgmt | For | For |
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21 | AUTHORITY TO PURCHASE OWN ORDINARY SHARES | Mgmt | For | For |
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22 | REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN AGM | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 78 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
23 | APPROVAL AND ADOPTION OF NEW ARTICLES OF ASSOCIATION | Mgmt | For | For |
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24 | 2019 SHARE BUY-BACKS AND EMPLOYEE BENEFIT AND SHARE OWNERSHIP TRUST TRANSACTIONS | Mgmt | For | For |
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CMMT | 28 AUG 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF TEXT IN RESOLUTION 12. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 79 of 261 |
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Unassigned
| ELISA CORPORATION | |||
| Security: | X1949T102 | Agenda Number: | 713575578 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | FI0009007884 | Meeting Date: | 08-Apr-21 |
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Recommendation |
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | ||
| CMMT | A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| 1 | OPENING OF THE MEETING | Non-Voting | ||
| 2 | CALLING THE MEETING TO ORDER: JUKKA LAITASALO | Non-Voting |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 80 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
3 | ELECTION OF PERSONS TO SCRUTINIZE THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES: ANNE VAINIO | Non-Voting |
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4 | RECORDING THE LEGALITY OF THE MEETING | Non-Voting |
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5 | RECORDING THE ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES | Non-Voting |
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6 | PRESENTATION OF THE FINANCIAL STATEMENTS, THE REPORT OF THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT FOR THE YEAR 2020 | Non-Voting |
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7 | ADOPTION OF THE FINANCIAL STATEMENTS | Mgmt | For | For |
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8 | RESOLUTION ON THE USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND THE PAYMENT OF DIVIDEND: EUR 1.95 PER SHARE | Mgmt | For | For |
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9 | RESOLUTION ON THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE CEO FROM LIABILITY | Mgmt | For | For |
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10 | REMUNERATION REPORT | Mgmt | For | For |
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CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE PROPOSED BY SHAREHOLDERS’ NOMINATION BOARD AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 81 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
11 | RESOLUTION ON THE REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS AND ON THE GROUNDS FOR REIMBURSEMENT OF EXPENSES | Mgmt | For |
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12 | RESOLUTION ON THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS: THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS WOULD BE EIGHT (SEVEN MEMBERS IN 2020) | Mgmt | For |
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13 | ELECTION OF MEMBERS OF THE BOARD Mgmt For OF DIRECTORS: THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT MS CLARISSE BERGGARDH, MR KIM IGNATIUS, MR TOPI MANNER, MS EVA-LOTTA SJOSTEDT, MS SEIJA TURUNEN, MR ANSSI VANJOKI AND MR ANTTI VASARA BE RE-ELECTED AS MEMBERS OF THE BOARD. THE SHAREHOLDERS’ NOMINATION BOARD FURTHER PROPOSES THAT MR MAHER CHEBBO IS ELECTED AS A NEW MEMBER OF THE BOARD. THE SHAREHOLDERS’ NOMINATION BOARD PROPOSES TO THE GENERAL MEETING THAT MR ANSSI VANJOKI BE ELECTED AS THE CHAIR OF THE BOARD AND MS CLARISSE BERGGARDH BE ELECTED AS THE DEPUTY CHAIR | Mgmt | For |
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14 | RESOLUTION ON THE REMUNERATION OF THE AUDITOR AND ON THE GROUNDS FOR REIMBURSEMENT OF TRAVEL EXPENSES | Mgmt | For | For |
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15 | ELECTION OF AUDITOR: THE BOARD OF DIRECTORS PROPOSES, ON THE RECOMMENDATION OF THE BOARD’S AUDIT COMMITTEE, TO THE GENERAL MEETING THAT KPMG OY AB, AUTHORIZED PUBLIC ACCOUNTANTS ORGANIZATION, BE RE-ELECTED AS THE COMPANY’S AUDITOR FOR THE FINANCIAL PERIOD 2021. KPMG OY AB HAS INFORMED THE COMPANY THAT THE AUDITOR WITH PRINCIPAL RESPONSIBILITY WOULD BE MR TONI AALTONEN, AUTHORIZED PUBLIC ACCOUNTANT | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 82 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
16 | AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE REPURCHASE OF THE COMPANY’S OWN SHARES | Mgmt | For | For |
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17 | AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUANCE OF SHARES AS WELL AS THE ISSUANCE OF SPECIAL RIGHTS ENTITLING TO SHARES | Mgmt | For | For |
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18 | CLOSING OF THE MEETING | Non-Voting |
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CMMT | 02 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
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CMMT | 02 FEB 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 83 of 261 |
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Unassigned
| FERGUSON PLC | |||
| Security: | G3421J106 | Agenda Number: | 712909045 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | JE00BJVNSS43 | Meeting Date: | 29-Jul-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
1 | TO ADOPT NEW ARTICLES OF ASSOCIATION OF THE COMPANY | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 84 of 261 |
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Unassigned
| GEBERIT AG | |||
| Security: | H2942E124 | Agenda Number: | 713679491 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | CH0030170408 | Meeting Date: | 14-Apr-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting |
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CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 85 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
1 | APPROVAL OF THE BUSINESS AND FINANCIAL REVIEW, THE FINANCIAL STATEMENTS AND THE CONSOLIDATED FINANCIAL STATEMENTS FOR 2020, ACCEPTANCE OF THE AUDITORS’ REPORTS | Mgmt | For | For |
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2 | RESOLUTION ON THE APPROPRIATION OF AVAILABLE EARNINGS: CHF 11.40 PER SHARE | Mgmt | For | For |
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3 | FORMAL APPROVAL OF THE ACTIONS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
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4.1.1 | RE-ELECTION OF ALBERT M. BAEHNY AS A MEMBER OF THE BOARD OF DIRECTORS AND AS CHAIRMAN OF THE BOARD OF DIRECTORS | Mgmt | For | For |
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4.1.2 | RE-ELECTION OF FELIX R. EHRAT: THE BOARD OF DIRECTORS PROPOSES THAT FELIX R. EHRAT BE RE-ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
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4.1.3 | RE-ELECTION OF WERNER KARLEN: THE BOARD OF DIRECTORS PROPOSES THAT WERNER KARLEN BE RE-ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
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4.1.4 | RE-ELECTION OF BERNADETTE KOCH: THE BOARD OF DIRECTORS PROPOSES THAT BERNADETTE KOCH BE RE- ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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4.1.5 | RE-ELECTION OF EUNICE ZEHNDER-LAI: THE BOARD OF DIRECTORS PROPOSES THAT EUNICE ZEHNDER-LAI BE RE- ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
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4.1.6 | ELECTION OF THOMAS BACHMANN: THE BOARD OF DIRECTORS PROPOSES THAT THOMAS BACHMANN BE ELECTED AS A MEMBER OF THE BOARD OF DIRECTORS UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
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4.2.1 | RE-ELECTION OF WERNER KARLEN: THE BOARD OF DIRECTORS PROPOSES THAT WERNER KARLEN BE RE-ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
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4.2.2 | RE-ELECTION OF EUNICE ZEHNDER-LAI: THE BOARD OF DIRECTORS PROPOSES THAT EUNICE ZEHNDER-LAI BE RE- ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING. IF EUNICE ZEHNDER-LAI IS RE-ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE, THE BOARD OF DIRECTORS INTENDS TO APPOINT HER AS CHAIRWOMAN OF THE COMPENSATION COMMITTEE | Mgmt | For | For |
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4.2.3 | ELECTION OF THOMAS BACHMANN: THE BOARD OF DIRECTORS PROPOSES THAT THOMAS BACHMANN BE ELECTED AS A MEMBER OF THE COMPENSATION COMMITTEE UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Recommendation |
| 5 | RE-ELECTION OF THE INDEPENDENT PROXY: THE BOARD OF DIRECTORS PROPOSES THAT THE LAWYER’S OFFICE HBA RECHTSANWALTE AG, ZURICH, REPRESENTED BY ROGER MULLER, LAWYER, BE RE-ELECTED AS THE INDEPENDENT PROXY UNTIL THE CLOSING OF THE NEXT ORDINARY GENERAL MEETING | Mgmt | For | For |
| 6 | RE-APPOINTMENT OF THE AUDITORS: THE BOARD OF DIRECTORS PROPOSES THAT PRICEWATERHOUSECOOPERS AG BE RE-APPOINTED AS AUDITORS FOR THE 2021 BUSINESS YEAR | Mgmt | For | For |
| 7.1 | CONSULTATIVE VOTE ON THE 2020 REMUNERATION REPORT | |||
| 7.2 | APPROVAL OF THE MAXIMUM AGGREGATE REMUNERATION AMOUNT FOR THE MEMBERS OF THE BOARD OF DIRECTORS FOR THE PERIOD UNTIL THE NEXT ORDINARY GENERAL MEETING | |||
| 7.3 | APPROVAL OF THE MAXIMUM AGGREGATE REMUNERATION AMOUNT FOR THE MEMBERS OF THE GROUP EXECUTIVE BOARD FOR THE BUSINESS YEAR 2022 | Mgmt | For | For |
| 8 | REDUCTION IN CAPITAL: REDUCTION IN THE SHARE CAPITAL BY CANCELLING 1,167,094 OF THE COMPANY’S SHARES THAT WERE ACQUIRED AS PART OF THE SHARE BUYBACK PROGRAMME ANNOUNCED ON 6 JUNE 2017 AND CONCLUDED ON 30 APRIL 2020 AS WELL AS THE SHARE BUYBACK PROGRAMME STARTED ON 17 SEPTEMBER 2020, NOT CONCLUDED YET | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
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| Page 88 of 261 | |
Unassigned
GLAXOSMITHKLINE PLC | |||
Security: | G3910J112 | Agenda Number: | 713744488 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | GB0009252882 | Meeting Date: | 05-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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1 | TO RECEIVE AND ADOPT THE 2020 ANNUAL REPORT | Mgmt | For | For |
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2 | TO APPROVE THE ANNUAL REPORT ON REMUNERATION | Mgmt | For | For |
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3 | TO RE-ELECT SIR JONATHAN SYMONDS AS A DIRECTOR | Mgmt | For | For |
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4 | TO RE-ELECT EMMA WALMSLEY AS A DIRECTOR | Mgmt | For | For |
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5 | TO RE-ELECT CHARLES BANCROFT AS A DIRECTOR | Mgmt | For | For |
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6 | TO RE-ELECT VINDI BANGA AS A DIRECTOR | Mgmt | For | For |
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7 | TO RE-ELECT DR HAL BARRON AS A DIRECTOR | Mgmt | For | For |
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8 | TO RE-ELECT DR VIVIENNE COX AS A DIRECTOR | Mgmt | For | For |
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9 | TO RE-ELECT LYNN ELSENHANS AS A DIRECTOR | Mgmt | For | For |
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10 | TO RE-ELECT DR LAURIE GLIMCHER AS A DIRECTOR | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | ||
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| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 11 | TO RE-ELECT DR JESSE GOODMAN AS A DIRECTOR | Mgmt | For | For |
| 12 | TO RE-ELECT IAIN MACKAY AS A DIRECTOR | Mgmt | For | For |
| 13 | TO RE-ELECT URS ROHNER AS A DIRECTOR | Mgmt | For | For |
| 14 | TO RE-APPOINT THE AUDITOR: DELOITTE LLP | Mgmt | For | For |
| 15 | TO DETERMINE REMUNERATION OF THE AUDITOR | Mgmt | For | For |
| 16 | TO AUTHORISE THE COMPANY AND ITS SUBSIDIARIES TO MAKE DONATIONS TO POLITICAL ORGANISATIONS AND INCUR POLITICAL EXPENDITURE | Mgmt | For | For |
| 17 | TO AUTHORISE ALLOTMENT OF SHARES | Mgmt | For | For |
| 18 | TO DISAPPLY PRE-EMPTION RIGHTS - GENERAL POWER | Mgmt | For | For |
| 19 | TO DISAPPLY PRE-EMPTION RIGHTS - IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT | Mgmt | For | For |
| 20 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN SHARES | Mgmt | For | For |
| 21 | TO AUTHORISE EXEMPTION FROM STATEMENT OF NAME OF SENIOR STATUTORY AUDITOR | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 90 of 261 |
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| 22 | TO AUTHORISE REDUCED NOTICE OF A GENERAL MEETING OTHER THAN AN AGM | Mgmt | For | For |
Investment Company Report
Meeting Date Range:01-Jul-2020 - 30-Jun-2021 |
| Report Date: | 29-Jul-2021 | |
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Unassigned
HENKEL AG & CO. KGAA | |||
Security: | D3207M102 | Agenda Number: | 713657736 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | DE0006048408 | Meeting Date: | 16-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL. | Non-Voting |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 92 of 261 |
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| CMMT | INFORMATION ON COUNTER PROPOSALS | Non-Voting | ||
| CAN BE FOUND DIRECTLY ON THE | ||||
| ISSUER'S WEBSITE (PLEASE REFER TO | ||||
| THE MATERIAL URL SECTION OF THE | ||||
| APPLICATION). IF YOU WISH TO ACT ON | ||||
| THESE ITEMS, YOU WILL NEED TO | ||||
| REQUEST A MEETING ATTEND AND VOTE | ||||
| YOUR SHARES DIRECTLY AT THE | ||||
| COMPANY'S MEETING. COUNTER | ||||
| PROPOSALS CANNOT BE REFLECTED ON | ||||
| THE BALLOT ON PROXYEDGE. | ||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE | Non-Voting | ||
| WILL CODE ALL AGENDAS FOR GERMAN | ||||
| MEETINGS IN ENGLISH ONLY. IF YOU | ||||
| WISH TO SEE THE AGENDA IN GERMAN, | ||||
| THIS WILL BE MADE AVAILABLE AS A LINK | ||||
| UNDER THE 'MATERIAL URL' DROPDOWN | ||||
| AT THE TOP OF THE BALLOT. THE | ||||
| GERMAN AGENDAS FOR ANY EXISTING | ||||
| OR PAST MEETINGS WILL REMAIN IN | ||||
| PLACE. FOR FURTHER INFORMATION, | ||||
| PLEASE CONTACT YOUR CLIENT | ||||
| SERVICE REPRESENTATIVE. | ||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND | Mgmt | For | For |
| STATUTORY REPORTS | ||||
| 2 | APPROVE ALLOCATION OF INCOME AND | Mgmt | For | For |
| DIVIDENDS OF EUR 1.83 PER ORDINARY | ||||
| SHARE AND EUR 1.85 PER PREFERRED | ||||
| SHARE | ||||
| 3 | APPROVE DISCHARGE OF PERSONALLY | Mgmt | For | For |
| LIABLE PARTNER FOR FISCAL YEAR 2020 | ||||
| 4 | APPROVE DISCHARGE OF SUPERVISORY | Mgmt | For | For |
| BOARD FOR FISCAL YEAR 2020 | ||||
| 5 | APPROVE DISCHARGE OF | Mgmt | For | For |
| SHAREHOLDERS' COMMITTEE FOR | ||||
| FISCAL YEAR 2020 |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 93 of 261 |
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| 6 | RATIFY PRICEWATERHOUSECOOPERS GMBH AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For |
| 7 | ELECT JAMES ROWAN TO THE SHAREHOLDERS’ COMMITTEE | Mgmt | For | For |
| 8 | APPROVE REMUNERATION POLICY | Mgmt | For | For |
| 9 | AMEND ARTICLES RE: REMUNERATION OF SUPERVISORY BOARD AND SHAREHOLDERS’ COMMITTEE | Mgmt | For | For |
| 10 | APPROVE REMUNERATION OF SUPERVISORY BOARD AND SHAREHOLDERS’ COMMITTEE | Mgmt | For | For |
| 11 | AMEND ARTICLES RE: ELECTRONIC PARTICIPATION IN THE GENERAL MEETING | Mgmt | For | For |
| CMMT | 25 MAR 2021: INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 94 of 261 |
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| CMMT | 25 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
Meeting Date Range:01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 95 of 261 |
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Unassigned
IBERDROLA SA | |||
Security: | E6165F166 | Agenda Number: | 714171030 |
Ticker: |
| Meeting Type: | OGM |
ISIN: | ES0144580Y14 | Meeting Date: | 18-Jun-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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CMMT | DELETION OF COMMENT |
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1 | ANNUAL FINANCIAL STATEMENTS 2020 | Mgmt | For | For |
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2 | DIRECTORS’ REPORTS 2020 | Mgmt | For | For |
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3 | STATEMENT OF NON-FINANCIAL | Mgmt | For | For |
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4 | INFORMATION 2020 |
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| CORPORATE MANAGEMENT AND | Mgmt | For | For |
| ACTIVITIES OF THE BOARD OF |
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| DIRECTORS IN 2020 |
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5 | AMENDMENT OF THE PREAMBLE AND OF | Mgmt | For | For |
| ARTICLES 1, 4, 8, 9, 12, 14, 15, 17, 19, 21, |
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| 23, 24, 27, 30, 31, 32, 33, 35, 36, 37, 38, 42, |
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| 43, 44, 45, 46, 47 AND 49 OF THE BY-LAWS |
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| TO UPDATE THE NAME OF THE |
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| GOVERNANCE AND SUSTAINABILITY |
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| SYSTEM AND MAKE OTHER TECHNICAL |
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| IMPROVEMENTS |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-202 | Report Date: | 29-Jul-2021 |
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| Page 96 of 261 |
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| 6 | AMENDMENT OF ARTICLE 10 OF THE BY- LAWS IN ORDER TO REFLECT THE AMOUNT OF SHARE CAPITAL RESULTING FROM THE REDUCTION THEREIN BY MEANS OF THE RETIREMENT OF A MAXIMUM OF 178,156,000 OWN SHARES (2.776% OF THE SHARE CAPITAL) | Mgmt | For | For |
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7 | AMENDMENT OF ARTICLES 12, 17, 28, 33, 39, 40 AND 41 OF THE BY-LAWS TO CONFORM THE TEXT THEREOF TO THE NEW LEGAL PROVISIONS AS REGARDS THE ENCOURAGEMENT OF LONG-TERM SHAREHOLDER ENGAGEMENT | Mgmt | For | For |
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8 | AMENDMENT OF ARTICLES 18, 19, 20, 22, 23, 24, 26 AND 27 OF THE BY-LAWS TO REGULATE REMOTE ATTENDANCE AT THE GENERAL SHAREHOLDERS’ MEETING | Mgmt | For | For |
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9 | AMENDMENT OF ARTICLE 32 OF THE BY- LAWS TO INCLUDE THE APPROVAL OF A CLIMATE ACTION PLAN | Mgmt | For | For |
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10 | AMENDMENT OF ARTICLES 35 AND 36 OF THE BY-LAWS TO UPDATE THE RULES ON THE WAYS OF HOLDING MEETINGS OF THE BOARD OF DIRECTORS AND OF ITS COMMITTEES | Mgmt | For | For |
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11 | AMENDMENT OF ARTICLES 53 AND 54 OF THE BY-LAWS AND ADDITION OF SIX NEW ARTICLES NUMBERED FROM 55 TO 60, REORGANISING THE CHAPTERS OF TITLE V, TO ESTABLISH THE REGULATIONS FOR THE PREPARATION, VERIFICATION AND APPROVAL OF THE ANNUAL FINANCIAL AND NON-FINANCIAL INFORMATION | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 97 of 261 |
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| 12 | AMENDMENT OF ARTICLES 55 AND 56 OF THE BY-LAWS, WHICH WILL BECOME ARTICLES 61 AND 62, TO MAKE TECHNICAL IMPROVEMENTS AND GROUP THEM WITHIN A NEW TITLE VI | Mgmt | For | For |
| 13 | AMENDMENT OF ARTICLES 4, 6, 7, 8, 9, 19, 20, 28, 29, 30, 38, 39, 40 AND 41 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING IN ORDER TO UPDATE THE NAME OF THE GOVERNANCE AND SUSTAINABILITY SYSTEM AND TO MAKE OTHER TECHNICAL IMPROVEMENTS | Mgmt | For | For |
| 14 | AMENDMENT OF ARTICLES 9 AND 20 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING TO CONFORM THE TEXT THEREOF TO THE NEW LEGAL PROVISIONS AS REGARDS THE ENCOURAGEMENT OF LONG-TERM SHAREHOLDER ENGAGEMENT | Mgmt | For | For |
| 15 | AMENDMENT OF ARTICLES 11, 14, 18, 19, 21, 22, 23, 24, 25, 26, 29, 31, 33, 34, 35, 36, 40 AND 43 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS’ MEETING AND ADDITION OF A NEW ARTICLE 37 TO ESTABLISH THE RULES FOR REMOTE ATTENDANCE, AND NUMBERING OF THE ARTICLES | Mgmt | For | For |
| 16 | DIRECTOR REMUNERATION POLICY | Mgmt | For | For |
| 17 | ALLOCATION OF PROFITS/LOSSES AND DISTRIBUTION OF 2020 DIVIDENDS, THE SUPPLEMENTARY PAYMENT OF WHICH WILL BE MADE WITHIN THE FRAMEWORK OF THE "IBERDROLA RETRIBUCION FLEXIBLE" OPTIONAL DIVIDEND SYSTEM | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 98 of 261 |
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18 | FIRST INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,725 MILLION EUROS IN ORDER TO IMPLEMENT THE “IBERDROLA RETRIBUCION FLEXIBLE” OPTIONAL DIVIDEND SYSTEM | Mgmt | For | For |
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19 | SECOND INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,250 MILLION EUROS IN ORDER TO IMPLEMENT THE “IBERDROLA RETRIBUCION FLEXIBLE” OPTIONAL DIVIDEND SYSTEM | Mgmt | For | For |
20 | RE-ELECTION OF MR JUAN MANUEL GONZALEZ SERNA AS INDEPENDENT DIRECTOR | Mgmt | For | For |
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21 | RE-ELECTION OF MR FRANCISCO MARTINEZ CORCOLES AS EXECUTIVE DIRECTOR | Mgmt | For | For |
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22 | RATIFICATION AND RE-ELECTION OF MR ANGEL JESUS ACEBES PANIAGUA AS INDEPENDENT DIRECTOR | Mgmt | For | For |
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23 | SETTING OF THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS AT FOURTEEN | Mgmt | For | For |
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24 | AUTHORISATION TO ISSUE SIMPLE DEBENTURES OR BONDS AND OTHER FIXED-INCOME SECURITIES, NOT EXCHANGEABLE FOR OR CONVERTIBLE INTO SHARES, WITH A LIMIT OF 6,000 MILLION EUROS FOR PROMISSORY NOTES AND 30,000 MILLION EUROS FOR OTHER FIXED-INCOME SECURITIES, AS WELL AS TO GUARANTEE ISSUES OF SUBSIDIARIES | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 99 of 261 |
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25 | DELEGATION OF POWERS TO FORMALISE AND TO CONVERT THE RESOLUTIONS ADOPTED INTO A PUBLIC INSTRUMENT | Mgmt | For | For |
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26 | ANNUAL DIRECTOR REMUNERATION REPORT 2020 | Mgmt | For | For |
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27 | CLIMATE ACTION POLICY | Mgmt | For | For |
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CMMT | 24 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO POSTPONEMENT OF THE MEETING DATE FROM SECOND CALL DATE FROM 17 JUNE 2021 TO 18 JUNE 2021. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 100 of 261 |
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Unassigned
| INDUSTRIA DE DISENO TEXTIL S.A. | |||
| Security: | E6282J125 | Agenda Number: | 712823613 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | ES0148396007 | Meeting Date: | 14-Jul-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
1 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE ANNUAL ACCOUNTS (BALANCE SHEET, INCOME STATEMENT, STATEMENT OF CHANGES IN EQUITY, STATEMENT OF CASH FLOWS AND NOTES TO THE ACCOUNTS) AND DIRECTORS’ REPORT OF INDUSTRIA DE DISENO TEXTIL, SOCIEDAD ANONIMA, (INDITEX, S.A.) FOR FINANCIAL YEAR 2019, ENDED 31 JANUARY 2020 | Mgmt | For | For |
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2 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE CONSOLIDATED ANNUAL ACCOUNTS (CONSOLIDATED BALANCE SHEET, CONSOLIDATED INCOME STATEMENT, CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME, CONSOLIDATED STATEMENT OF CHANGES IN EQUITY, CONSOLIDATED STATEMENT OF CASH FLOWS AND NOTES TO THE CONSOLIDATED ACCOUNTS) AND CONSOLIDATED DIRECTORS’ REPORT OF THE CONSOLIDATED GROUP (INDITEX GROUP) FOR FINANCIAL YEAR 2019, ENDED 31 JANUARY 2020, AND OF THE MANAGEMENT OF THE COMPANY | Mgmt | For | For |
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3 | REVIEW AND APPROVAL, WHERE APPROPRIATE, OF THE STATEMENT ON NON-FINANCIAL INFORMATION (ACT 11/2018 OF 28 DECEMBER ON MANDATORY DISCLOSURE OF NON-FINANCIAL INFORMATION) | Mgmt | For | For |
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4 | DISTRIBUTION OF THE INCOME OR LOSS OF THE FINANCIAL YEAR | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 101 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
5 | DECLARATION OF A DIVIDEND IN THE GROSS AMOUNT OF EUR 0.35 PER SHARE CHARGED TO UNRESTRICTED RESERVES | Mgmt | For | For |
6.A | RE-ELECTION OF PONTEGADEA INVERSIONES, S.L. (REPRESENTED BY MS FLORA PEREZ MARCOTE) TO THE BOARD OF DIRECTORS AS NON- EXECUTIVE PROPRIETARY DIRECTOR | Mgmt | For | For |
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6.B | RE-ELECTION OF BNS. DENISE PATRICIA KINGSMILL TO THE BOARD OF DIRECTORS AS NON-EXECUTIVE INDEPENDENT DIRECTOR | Mgmt | For | For |
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6.C | RATIFICATION AND APPOINTMENT OF MS ANNE LANGE TO THE BOARD OF DIRECTORS AS NON-EXECUTIVE INDEPENDENT DIRECTOR | Mgmt | For | For |
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7 | RE-ELECTION OF DELOITTE, S.L. AS STATUTORY AUDITOR OF THE COMPANY AND ITS GROUP FOR FINANCIAL YEAR 2020 | Mgmt | For | For |
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8.A | AMENDMENT OF THE ARTICLES OF ASSOCIATION IN ORDER TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT THE ANNUAL GENERAL MEETING VIA: APPROVAL OF THE AMENDMENT OF ARTICLE 16 (“ELIGIBILITY TO ATTEND THE GENERAL MEETINGS OF SHAREHOLDERS. RIGHT TO VOTE”) AND ARTICLE 17 (“REPRESENTATION AT THE GENERAL MEETING OF SHAREHOLDERS”) IN PART I (“GENERAL MEETING OF SHAREHOLDERS”) OF CHAPTER III (“GOVERNING BODIES OF THE COMPANY”) | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
8.B | AMENDMENT OF THE ARTICLES OF ASSOCIATION IN ORDER TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT THE ANNUAL GENERAL MEETING VIA: APPROVAL OF THE REVISED TEXT OF THE ARTICLES OF ASSOCIATION | Mgmt | For | For |
9.A | AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE AMENDMENT OF ARTICLE 6 (“POWERS OF THE GENERAL MEETING OF SHAREHOLDERS”) IN CHAPTER II (“THE GENERAL MEETING OF SHAREHOLDERS”) | Mgmt | For | For |
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9.B | AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE ADDITION OF ARTICLE 11BIS (“REMOTE ATTENDANCE”) IN PART I (“ATTENDANCE AND PROXIES”) AND THE AMENDMENT OF ARTICLE 12 (“PROXY REPRESENTATION AT THE GENERAL MEETING OF SHAREHOLDERS”) IN PART I (“ATTENDANCE AND PROXIES”), ARTICLE 19 (“QUORUM”) IN PART II (“THE GENERAL MEETING OF SHAREHOLDERS”) AND ARTICLE 20 (“REQUEST BY SHAREHOLDERS TO TAKE THE FLOOR. IDENTIFICATION”) IN PART III (“USE OF THE FLOOR BY SHAREHOLDERS”), ALL OF THEM IN CHAPTER IV (“HOLDING OF THE GENERAL MEETING OF SHAREHOLDERS”) | Mgmt | For | For |
Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 103 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
9.C | AMENDMENT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS IN ORDER TO INCLUDE THE APPROVAL OF THE STATEMENT ON NON-FINANCIAL INFORMATION AMONG THE POWERS OF THE GENERAL MEETING OF SHAREHOLDERS AND TO EXPRESSLY PROVIDE FOR THE POSSIBILITY OF REMOTE ATTENDANCE AT ANNUAL GENERAL MEETING VIA: APPROVAL OF THE REVISED TEXT OF THE REGULATIONS OF THE GENERAL MEETING OF SHAREHOLDERS | Mgmt | For | For |
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10 | ADVISORY VOTE (SAY ON PAY) OF THE ANNUAL REPORT ON THE REMUNERATION OF DIRECTORS | Mgmt | For | For |
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11 | GRANTING OF POWERS TO IMPLEMENT RESOLUTIONS | Mgmt | For | For |
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12 | REPORTING TO THE ANNUAL GENERAL MEETING ON THE AMENDMENT OF THE BOARD OF DIRECTORS’ REGULATIONS | Mgmt | For | For |
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CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A SECOND CALL ON 15 JUL 2020. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 104 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 432741 DUE TO SPLITTING OF RESOLUTION 9. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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Unassigned
| INVESTOR AB | |||
| Security: | W48102128 | Agenda Number: | 713838209 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | SE0000107419 | Meeting Date: | 05-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION | Non-Voting |
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CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting |
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CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 106 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
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CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
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Investment Company Report
Meeting Date Range: 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 107 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 517906 DUE TO RECEIPT OF UPDATED AGENDA. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting |
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1 | ELECTION OF THE CHAIR OF THE MEETING: EVA HAGG | Non-Voting |
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2.A | ELECTION OF ONE OR TWO PERSONS TO ATTEST TO THE ACCURACY OF THE MINUTES: MARIANNE NILSSON, SWEDBANK ROBUR FONDER | Non-Voting |
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2.B | ELECTION OF ONE OR TWO PERSONS TO Non-Voting ATTEST TO THE ACCURACY OF THE MINUTES: OSSIAN EKDAHL, FORSTA AP-FONDEN (AP1) | Non-Voting |
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3 | DRAWING UP AND APPROVAL OF THE VOTING LIST | Non-Voting |
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4 | APPROVAL OF THE AGENDA | Non-Voting |
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5 | DETERMINATION OF WHETHER THE MEETING HAS BEEN DULY CONVENED | Non-Voting |
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Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 108 of 261 | ||||
| Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management’s Recommendation |
| 6 | PRESENTATION OF THE PARENT COMPANY’S ANNUAL REPORT AND THE AUDITORS’ REPORT, AS WELL AS OF THE CONSOLIDATED FINANCIAL STATEMENTS AND THE AUDITORS’ REPORT FOR THE INVESTOR GROUP | Non-Voting | ||
| 7 | RESOLUTIONS REGARDING ADOPTION OF THE INCOME STATEMENT AND THE BALANCE SHEET FOR THE PARENT COMPANY, AS WELL AS OF THE CONSOLIDATED INCOME STATEMENT AND THE CONSOLIDATED BALANCE SHEET FOR THE INVESTOR GROUP | Mgmt | For | For |
| 8 | PRESENTATION OF THE BOARD OF DIRECTORS’ REMUNERATION REPORT FOR APPROVAL | Mgmt | For | For |
| 9.A | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: GUNNAR BROCK | Mgmt | For | For |
| 9.B | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: JOHAN FORSSELL | Mgmt | For | For |
| 9.C | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: MAGDALENA GERGER | Mgmt | For | For |
| 9.D | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: TOM JOHNSTONE, CBE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 109 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 9.E | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: SARA MAZUR | Mgmt | For | For |
| 9.F | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: GRACE REKSTEN SKAUGEN | Mgmt | For | For |
| 9.G | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: HANS STRABERG | Mgmt | For | For |
| 9.H | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: LENA TRESCHOW TORELL | Mgmt | For | For |
| 9.I | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: JACOB WALLENBERG | Mgmt | For | For |
| 9.J | RESOLUTION REGARDING DISCHARGE FROM LIABILITY OF THE MEMBER OF THE BOARD OF DIRECTORS AND THE PRESIDENT: MARCUS WALLENBERG | Mgmt | For | For |
| 10 | RESOLUTION REGARDING DISPOSITION OF INVESTOR’S EARNINGS IN ACCORDANCE WITH THE APPROVED BALANCE SHEET AND DETERMINATION OF RECORD DATE FOR DIVIDENDS: THE BOARD OF DIRECTORS PROPOSES A DIVIDEND TO THE SHAREHOLDERS OF SEK 14.00 PER SHARE TO BE PAID IN TWO INSTALLMENTS. AT THE FIRST INSTALLMENT SEK 10.00 PER SHARE IS PAID WITH THE RECORD DATE FRIDAY, MAY 7, 2021. AT THE SECOND INSTALLMENT SEK 4.00 PER SHARE IS PAID (OR SEK 1.00 PER SHARE AFTER IMPLEMENTATION OF THE SHARE SPLIT 4:1 PROPOSED BY THE BOARD OF DIRECTORS TO THE ANNUAL GENERAL MEETING) WITH THE RECORD DATE MONDAY, NOVEMBER 8, 2021. SHOULD THE MEETING DECIDE IN FAVOR OF THE PROPOSAL, PAYMENT OF THE DIVIDEND IS EXPECTED TO BE MADE BY EUROCLEAR SWEDEN AB ON WEDNESDAY, MAY 12, 2021 AND ON THURSDAY, NOVEMBER 11, 2021 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 110 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 11.A | DECISION ON THE NUMBER OF MEMBERS AND DEPUTY MEMBERS OF THE BOARD OF DIRECTORS WHO SHALL BE APPOINTED BY THE MEETING: ELEVEN MEMBERS OF THE BOARD OF DIRECTORS AND NO DEPUTY MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 11.B | DECISION ON THE NUMBER OF AUDITORS AND DEPUTY AUDITORS WHO SHALL BE APPOINTED BY THE MEETING: ONE REGISTERED AUDITING COMPANY | Mgmt | For | For |
| 12.A | DECISION ON THE COMPENSATION THAT SHALL BE PAID TO THE BOARD OF DIRECTOR | Mgmt | For | For |
| 12.B | DECISION ON THE COMPENSATION THAT SHALL BE PAID TO THE AUDITORS | Mgmt | For | For |
| 13.A | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: GUNNAR BROCK, RE-ELECTION | Mgmt | For | For |
| 13.B | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: JOHAN FORSSELL, RE-ELECTION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 111 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 13.C | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: MAGDALENA GERGER, RE-ELECTION | Mgmt | For | For |
| 13.D | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: TOM JOHNSTONE, CBE, RE-ELECTION | Mgmt | For | For |
| 13.E | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: SARA MAZUR, RE-ELECTION | Mgmt | For | For |
| 13.F | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: GRACE REKSTEN SKAUGEN, RE-ELECTION | Mgmt | For | For |
| 13.G | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: HANS STRABERG, RE-ELECTION | Mgmt | For | For |
| 13.H | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: JACOB WALLENBERG, RE-ELECTION | Mgmt | For | For |
| 13.I | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: MARCUS WALLENBERG, RE-ELECTION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 112 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 13.J | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: ISABELLE KOCHER, NEW ELECTION | Mgmt | For | For |
| 13.K | ELECTION OF MEMBER AND DEPUTY MEMBER OF THE BOARD OF DIRECTORS: PROPOSAL FROM THE NOMINATION COMMITTEE: SVEN NYMAN, NEW ELECTION | Mgmt | For | For |
| 14 | ELECTION OF CHAIR OF THE BOARD OF DIRECTORS. PROPOSAL FROM THE NOMINATION COMMITTEE: JACOB WALLENBERG IS PROPOSED TO BE RE-ELECTED AS CHAIR OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 15 | ELECTION OF AUDITORS AND DEPUTY AUDITORS: THE REGISTERED AUDITING COMPANY DELOITTE AB IS PROPOSED TO BE RE-ELECTED AS AUDITOR FOR THE PERIOD UNTIL THE END OF THE ANNUAL GENERAL MEETING 2022. DELOITTE AB HAS INFORMED THAT, SUBJECT TO THE APPROVAL OF THE PROPOSAL FROM THE NOMINATION COMMITTEE REGARDING AUDITOR, THE AUTHORIZED PUBLIC ACCOUNTANT JONAS STAHLBERG WILL CONTINUE AS THE AUDITOR IN CHARGE FOR THE AUDIT. THE NOMINATION COMMITTEE’S PROPOSAL IS CONSISTENT WITH THE AUDIT AND RISK COMMITTEE’S RECOMMENDATION | Mgmt | For | For |
| 16.A | PROPOSAL FOR RESOLUTION ON A LONG-TERM VARIABLE REMUNERATION PROGRAM FOR EMPLOYEES WITHIN INVESTOR, EXCLUDING PATRICIA INDUSTRIES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 113 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 16.B | PROPOSAL FOR RESOLUTION ON A LONG-TERM VARIABLE REMUNERATION PROGRAM FOR EMPLOYEES WITHIN PATRICIA INDUSTRIES | Mgmt | For | For |
| 17.A | PROPOSAL FOR RESOLUTION ON PURCHASE AND TRANSFER OF OWN SHARES IN ORDER TO GIVE THE BOARD OF DIRECTORS WIDER FREEDOM OF ACTION IN THE WORK WITH THE COMPANY’S CAPITAL STRUCTURE, IN ORDER TO ENABLE TRANSFER OF OWN SHARES ACCORDING TO 17B, AND IN ORDER TO SECURE THE COSTS CONNECTED TO THE LONG-TERM VARIABLE REMUNERATION PROGRAM ACCORDING TO 16A AND THE ALLOCATION OF SYNTHETIC SHARES AS PART OF THE COMPENSATION TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 17.B | PROPOSAL FOR RESOLUTION ON TRANSFER OF OWN SHARES IN ORDER TO ENABLE THE COMPANY TO TRANSFER OWN SHARES TO EMPLOYEES WHO PARTICIPATE IN THE LONG-TERM VARIABLE REMUNERATION PROGRAM 2021 ACCORDING TO 16A | Mgmt | For | For |
| 18 | PROPOSAL FOR RESOLUTION ON SHARE SPLIT AND AMENDMENT TO THE ARTICLES OF ASSOCIATION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 114 of 261 | ||||
Unassigned
| KESKO CORP | |||
| Security: | X44874109 | Agenda Number: | 713690546 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | FI0009000202 | Meeting Date: | 12-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | ||
| CMMT | A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| 1 | OPENING OF THE MEETING | Non-Voting | ||
| 2 | CALLING THE MEETING TO ORDER | Non-Voting | ||
| 3 | ELECTION OF PERSON TO CONFIRM THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 115 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4 | RECORDING THE LEGALITY OF THE MEETING | Non-Voting | ||
| 5 | RECORDING ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES | Non-Voting | ||
| 6 | REVIEW BY THE PRESIDENT AND CEO | Non-Voting | ||
| 7 | PRESENTATION OF THE 2020 FINANCIAL STATEMENTS, THE REPORT BY THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT | Non-Voting | ||
| 8 | ADOPTION OF THE FINANCIAL STATEMENTS | Mgmt | For | For |
| 9 | USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND RESOLUTION ON THE PAYMENT OF DIVIDEND: THE BOARD PROPOSES THAT A DIVIDEND OF EURO 0.75 PER SHARE BE PAID FOR THE YEAR 2020 BASED ON THE ADOPTED BALANCE SHEET ON SHARES HELD OUTSIDE THE COMPANY AT THE DATE OF DIVIDEND DISTRIBUTION. THE REMAINING DISTRIBUTABLE ASSETS WILL REMAIN IN EQUITY. THE BOARD PROPOSES THAT THE DIVIDEND BE PAID IN TWO INSTALMENTS. THE FIRST INSTALMENT, EURO 0.38 PER SHARE, IS TO BE PAID TO SHAREHOLDERS REGISTERED IN THE COMPANY’S REGISTER OF SHAREHOLDERS KEPT BY EUROCLEAR FINLAND LTD ON THE FIRST DIVIDEND INSTALMENT PAYMENT RECORD DATE 14 APRIL 2021. THE BOARD PROPOSES THAT THE FIRST DIVIDEND INSTALMENT PAY DATE BE 21 APRIL 2021. THE SECOND INSTALMENT, EURO 0.37 PER SHARE, IS TO BE PAID TO SHAREHOLDERS REGISTERED IN THE COMPANY’S REGISTER OF SHAREHOLDERS KEPT BY EUROCLEAR FINLAND LTD ON THE SECOND DIVIDEND INSTALMENT PAYMENT RECORD DATE 1 OCTOBER 2021. THE BOARD PROPOSES THAT THE SECOND DIVIDEND INSTALMENT PAY DATE BE 8 OCTOBER 2021. THE BOARD PROPOSES THAT IT BE AUTHORISED TO DECIDE, IF NECESSARY, ON A NEW DIVIDEND~|~USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND RESOLUTION ON THE PAYMENT OF DIVIDEND | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 116 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 10 | RESOLUTION ON DISCHARGING THE BOARD MEMBERS AND THE MANAGING DIRECTOR FROM LIABILITY FOR THE FINANCIAL YEAR 1 JAN - 31 DEC 2020 | Mgmt | For | For |
| 11 | REVIEWING THE REMUNERATION REPORT FOR GOVERNING BODIES | Mgmt | For | For |
| CMMT | PLEASE NOTE THAT RESOLUTIONS 12 TO 14 ARE PROPOSED BY SHAREHOLDERS’ NOMINATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting | ||
| 12 | RESOLUTION ON THE BOARD MEMBERS’ REMUNERATION AND THE BASIS FOR REIMBURSEMENT OF THEIR EXPENSES | Mgmt | For | |
| 13 | RESOLUTION ON THE NUMBER OF BOARD MEMBERS: SEVEN | Mgmt | For | |
| 14 | ELECTION OF BOARD MEMBERS: THE SHAREHOLDERS’ NOMINATION COMMITTEE PROPOSES THAT THE FOLLOWING MEMBERS BE ELECTED TO THE COMPANY’S BOARD OF DIRECTORS FOR THE THREE-YEAR TERM OF OFFICE THAT WILL END, AS DETERMINED IN THE COMPANY’S ARTICLES OF ASSOCIATION, AT THE CLOSE OF THE 2024 ANNUAL GENERAL MEETING. THE COMMITTEE PROPOSES THE RE-ELECTION OF ESA KIISKINEN, RETAILER, BUSINESS COLLEGE GRADUATE: PETER FAGERN S, MASTER OF LAWS: JANNICA FAGERHOLM, M.SC. ECONOMICS: PIIA KARHU, DOCTOR OF SCIENCE, ECONOMICS AND BUSINESS ADMINISTRATION: AND TONI POKELA, RETAILER, EMBA. THE COMMITTEE PROPOSES THAT TIMO RITAKALLIO, DOCTOR OF SCIENCE (TECHNOLOGY), LL.M., MBA, AND JUSSI PER L, RETAILER, BUSINESS COLLEGE GRADUATE, BE ELECTED AS NEW BOARD MEMBERS | Mgmt | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 117 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 15 | RESOLUTION ON THE AUDITOR’S FEE AND THE BASIS FOR REIMBURSEMENT OF EXPENSES | Mgmt | For | For |
| 16 | ELECTION OF THE AUDITOR: THE BOARD PROPOSES TO THE GENERAL MEETING, AT THE RECOMMENDATION OF THE BOARD’S AUDIT COMMITTEE, THAT THE FIRM OF AUTHORISED PUBLIC ACCOUNTANTS DELOITTE OY BE ELECTED AS THE COMPANY’S AUDITOR FOR THE FINANCIAL YEAR 2021. IF DELOITTE OY IS ELECTED AS KESKO’S AUDITOR, THE FIRM HAS ANNOUNCED THAT APA JUKKA VATTULAINEN WILL BE THE AUDITOR WITH PRINCIPAL RESPONSIBILITY | Mgmt | For | For |
| 17 | PROPOSAL BY THE BOARD OF DIRECTORS FOR ITS AUTHORISATION TO DECIDE ON THE ISSUANCE OF SHARES | Mgmt | For | For |
| 18 | DONATIONS FOR CHARITABLE PURPOSES | Mgmt | For | For |
| 19 | CLOSING OF THE MEETING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 118 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 119 of 261 |
Unassigned
| KONE OYJ | |||
| Security: | X4551T105 | Agenda Number: | 713575516 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | FI0009013403 | Meeting Date: | 02-Mar-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | ||
| CMMT | A POA IS NEEDED TO APPOINT OWN REPRESENTATIVE BUT IS NOT NEEDED IF A FINNISH SUB/BANK IS APPOINTED EXCEPT IF THE SHAREHOLDER IS FINNISH THEN A POA WOULD STILL BE REQUIRED. | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| 1 | OPENING OF THE MEETING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 120 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 2 | CALLING THE MEETING TO ORDER: ATTORNEY MERJA KIVELA WILL SERVE AS CHAIRPERSON OF THE MEETING. IN THE EVENT MERJA KIVELA IS PREVENTED FROM SERVING AS THE CHAIRPERSON FOR A WEIGHTY REASON, THE BOARD OF DIRECTORS WILL APPOINT THE PERSON THEY DEEM THE MOST SUITABLE TO SERVE AS THE CHAIRPERSON | Non-Voting | ||
| 3 | ELECTION OF PERSON TO SCRUTINIZE THE MINUTES AND TO SUPERVISE THE COUNTING OF VOTES: THE COMPANY'S LEGAL COUNSEL HETA RONKKO WILL SCRUTINIZE THE MINUTES AND SUPERVISE THE COUNTING OF THE VOTES. IN THE EVENT HETA RONKKO IS PREVENTED FROM SCRUTINIZING THE MINUTES AND SUPERVISING THE COUNTING OF THE VOTES FOR A WEIGHTY REASON, THE BOARD OF DIRECTORS WILL APPOINT THE PERSON THEY DEEM THE MOST SUITABLE TO SCRUTINIZE THE MINUTES AND SUPERVISE THE COUNTING OF THE VOTES | Non-Voting | ||
| 4 | RECORDING THE LEGALITY OF THE MEETING | Non-Voting | ||
| 5 | RECORDING THE ATTENDANCE AT THE MEETING AND ADOPTION OF THE LIST OF VOTES | Non-Voting | ||
| 6 | PRESENTATION OF THE ANNUAL ACCOUNTS, THE REPORT OF THE BOARD OF DIRECTORS AND THE AUDITOR’S REPORT FOR THE YEAR 2020 | Non-Voting | ||
| 7 | ADOPTION OF THE ANNUAL ACCOUNTS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 121 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 8 | RESOLUTION ON THE USE OF THE PROFIT SHOWN ON THE BALANCE SHEET AND THE PAYMENT OF DIVIDENDS: THE BOARD OF DIRECTORS PROPOSES THAT FOR THE FINANCIAL YEAR 2020 A DIVIDEND OF EUR 1.7475 IS PAID FOR EACH CLASS A SHARE AND A DIVIDEND OF EUR 1.75 IS PAID FOR EACH CLASS B SHARE. FURTHER, THE BOARD PROPOSES THAT AN EXTRA DIVIDEND OF EUR 0.4975 IS PAID FOR EACH CLASS A SHARE AND AN EXTRA DIVIDEND OF EUR 0.50 IS PAID FOR EACH CLASS B SHARE | Mgmt | For | For |
| 9 | RESOLUTION ON THE DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE PRESIDENT AND CEO FROM LIABILITY FOR THE FINANCIAL YEAR 2020 | Mgmt | For | For |
| 10 | CONSIDERATION OF THE REMUNERATION REPORT FOR GOVERNING BODIES | Mgmt | For | For |
| CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 13 ARE PROPOSED BY NOMINATION AND COMPENSATION COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting | ||
| 11 | RESOLUTION ON THE REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | Against | |
| 12 | RESOLUTION ON THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS: THE NOMINATION AND COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS PROPOSES TO THE GENERAL MEETING THAT EIGHT BOARD MEMBERS ARE ELECTED | Mgmt | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 122 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 13 | ELECTION OF MEMBERS OF THE BOARDOF DIRECTORS: THE NOMINATION AND COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS PROPOSES TO THE GENERAL MEETING THAT MATTI ALAHUHTA, SUSAN DUINHOVEN, ANTTI HERLIN, IIRIS HERLIN, JUSSI HERLIN, RAVI KANT AND JUHANI KASKEALA ARE RE-ELECTED TO THE BOARD OF DIRECTORS AND JENNIFER XIN-ZHE LI IS ELECTED AS A NEW MEMBER TO THE BOARD OF DIRECTORS | Mgmt | Against | |
| 14 | RESOLUTION ON THE REMUNERATION OF THE AUDITORS | Mgmt | For | For |
| 15 | RESOLUTION ON THE NUMBER OF AUDITORS: IN THE BEGINNING OF 2020, KONE FINALIZED THE MANDATORY AUDIT FIRM SELECTION PROCEDURE CONCERNING THE AUDIT FOR THE FINANCIAL YEAR 2021. CONSEQUENTLY, AUDIT FIRM ERNST & YOUNG OY WAS ELECTED AS THE AUDITOR OF THE COMPANY FOR THE FINANCIAL YEAR 2021 ALREADY IN THE GENERAL MEETING 2020 AND IN THE SAME CONTEXT ALSO THE NUMBER OF AUDITORS FOR THE FINANCIAL YEAR 2021 WAS RESOLVED. THEREFORE, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS NOW PROPOSES TO THE GENERAL MEETING THAT ONE AUDITOR IS ELECTED FOR THE COMPANY FOR A TERM ENDING AT THE CONCLUSION OF THE FOLLOWING ANNUAL GENERAL MEETING | Mgmt | For | For |
| 16 | ELECTION OF AUDITORS: IN THE BEGINNING OF 2020, KONE FINALIZED THE MANDATORY AUDIT FIRM SELECTION PROCEDURE CONCERNING THE AUDIT FOR THE FINANCIAL YEAR 2021. CONSEQUENTLY, AUDIT FIRM ERNST & YOUNG OY WAS ELECTED AS THE AUDITOR OF THE COMPANY FOR THE FINANCIAL YEAR 2021 ALREADY IN THE GENERAL MEETING 2020. THEREFORE, THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS NOW PROPOSES TO THE GENERAL MEETING THAT AUDIT FIRM ERNST & YOUNG OY BE ELECTED AS THE AUDITOR OF THE COMPANY FOR A TERM ENDING AT THE CONCLUSION OF THE FOLLOWING ANNUAL GENERAL MEETING | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 123 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 17 | AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE REPURCHASE OF THE COMPANY’S OWN SHARES | Mgmt | For | For |
| 18 | AUTHORIZING THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUANCE OF SHARES AS WELL AS THE ISSUANCE OF OPTIONS AND OTHER SPECIAL RIGHTS ENTITLING TO SHARES | Mgmt | For | For |
| 19 | CLOSING OF THE MEETING | Non-Voting | ||
| CMMT | 02 FEB 2021: INTERMEDIARY CLIENTSONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||
| CMMT | 02 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 124 of 261 |
Unassigned
| KONINKLIJKE AHOLD DELHAIZE N.V. | |||
| Security: | N0074E105 | Agenda Number: | 713650718 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | NL0011794037 | Meeting Date: | 14-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| 1. | OPENING | Non-Voting | ||
| 2. | REPORT OF THE MANAGEMENT BOARD FOR THE FINANCIAL YEAR 2020 | Non-Voting | ||
| 3. | EXPLANATION OF POLICY ON ADDITIONS TO RESERVES AND DIVIDENDS | Non-Voting | ||
| 4. | PROPOSAL TO ADOPT THE 2020 FINANCIAL STATEMENTS | Mgmt | For | For |
| 5. | PROPOSAL TO DETERMINE THE DIVIDEND OVER FINANCIAL YEAR 2020 | Mgmt | For | For |
| 6. | REMUNERATION REPORT | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 125 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 7. | PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE MEMBERS OF THE MANAGEMENT BOARD | Mgmt | For | For |
| 8. | PROPOSAL FOR DISCHARGE OF LIABILITIES OF THE MEMBERS OF THE SUPERVISORY BOARD | Mgmt | For | For |
| 9. | PROPOSAL TO APPOINT JAN ZIJDERVELD AS A NEW MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For |
| 10. | PROPOSAL TO APPOINT BALA SUBRAMANIAN AS NEW MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For |
| 11. | PROPOSAL TO RE-APPOINT PRICEWATERHOUSECOOPERS ACCOUNTANTS N.V. AS EXTERNAL AUDITOR FOR FINANCIAL YEAR 2021 | Mgmt | For | For |
| 12. | AUTHORIZATION TO ISSUE SHARES | Mgmt | For | For |
| 13. | AUTHORIZATION TO RESTRICT OR EXCLUDE PRE-EMPTIVE RIGHTS | Mgmt | For | For |
| 14. | AUTHORIZATION TO ACQUIRE COMMON SHARES | Mgmt | For | For |
| 15. | CANCELLATION OF SHARES | Mgmt | For | For |
| 16. | CLOSING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 126 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASENOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 127 of 261 |
Unassigned
| KONINKLIJKE KPN NV | |||
| Security: | N4297B146 | Agenda Number: | 713650706 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | NL0000009082 | Meeting Date: | 14-Apr-21 |
| Prop. # | Proposal | Proposal | Proposed Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS IS REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS IS PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||
| 1. | OPENING AND ANNOUNCEMENTS | Non-Voting | ||
| 2. | REPORT BY THE BOARD OF MANAGEMENT FOR THE FISCAL YEAR 2020 | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 128 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3. | PROPOSAL TO ADOPT THE FINANCIAL STATEMENTS FOR THE FISCAL YEAR 2020 | Mgmt | For | For |
| 4. | REMUNERATION REPORT IN THE FISCAL YEAR 2020 (ADVISORY VOTE) | Mgmt | For | For |
| 5. | EXPLANATION OF THE FINANCIAL AND DIVIDEND POLICY | Non-Voting | ||
| 6. | PROPOSAL TO DETERMINE THE DIVIDEND OVER THE FISCAL YEAR 2020: EUR 13.00 PER SHARE | Mgmt | For | For |
| 7. | PROPOSAL TO DISCHARGE THE MEMBERS OF THE BOARD OF MANAGEMENT FROM LIABILITY | Mgmt | For | For |
| 8. | PROPOSAL TO DISCHARGE THE MEMBERS OF THE SUPERVISORY BOARD FROM LIABILITY | Mgmt | For | For |
| 9. | PROPOSAL TO APPOINT THE EXTERNAL AUDITOR FOR THE FISCAL YEAR 2022: ERNST AND YOUNG ACCOUNTANTS LLP | Mgmt | For | For |
| 10. | OPPORTUNITY TO MAKE RECOMMENDATIONS FOR THE APPOINTMENT OF MEMBERS OF THE SUPERVISORY BOARD | Non-Voting | ||
| 11. | PROPOSAL TO APPOINT MR. E.J.C. OVERBEEK AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For |
| 12. | PROPOSAL TO APPOINT MR. G.J.A. VAN DE AAST AS MEMBER OF THE SUPERVISORY BOARD | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 129 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 13. | ANNOUNCEMENT CONCERNING VACANCIES IN THE SUPERVISORY BOARD ARISING IN 2022 | Non-Voting | ||
| 14. | PROPOSAL TO AUTHORIZE THE BOARD OF MANAGEMENT TO RESOLVE THAT THE COMPANY MAY ACQUIRE ITS OWN SHARES | Mgmt | For | For |
| 15. | PROPOSAL TO REDUCE THE CAPITAL BY CANCELLING OWN SHARES | Mgmt | For | For |
| 16. | PROPOSAL TO DESIGNATE THE BOARD OF MANAGEMENT AS THE COMPETENT BODY TO ISSUE ORDINARY SHARES | Mgmt | For | For |
| 17. | PROPOSAL TO DESIGNATE THE BOARD OF MANAGEMENT AS THE COMPETENT BODY TO RESTRICT OR EXCLUDE PRE-EMPTIVE RIGHTS UPON ISSUING ORDINARY SHARES | Mgmt | For | For |
| 18. | ANY OTHER BUSINESS | Non-Voting | ||
| 19. | VOTING RESULTS AND CLOSURE OF THE MEETING | Non-Voting | ||
| CMMT | 26 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE TEXT OF RESOLUTIONS 9 AND 6. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 130 of 261 |
Unassigned
| L'OREAL S.A. | |||
| Security: | F58149133 | Agenda Number: | 713687551 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0000120321 | Meeting Date: | 20-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting | ||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 131 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 16 MAR 2021: PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU AND INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE AND PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIs) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIs TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIs WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIs WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 132 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting | ||
| CMMT | 08 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021033121006 46-39 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO RECEIPT OF UPDATED BALO LINK AND CHANGE IN NUMBERING OF ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||
| 1 | APPROVE FINANCIAL STATEMENTS AND STATUTORY REPORTS | Mgmt | For | For |
| 2 | APPROVE CONSOLIDATED FINANCIAL STATEMENTS AND STATUTORY REPORTS | Mgmt | For | For |
| 3 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 4 PER SHARE AND AN EXTRA OF EUR 0.40 PER SHARE TO LONG TERM REGISTERED SHARES | Mgmt | For | For |
| 4 | ELECT NICOLAS HIERONIMUS AS DIRECTOR | Mgmt | Against | Against |
| 5 | ELECT ALEXANDRE RICARD AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 133 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 6 | RE-ELECT FRANCOISE BETTENCOURT MEYERS AS DIRECTOR | Mgmt | Against | Against |
| 7 | RE-ELECT PAUL BULCKE AS DIRECTOR | Mgmt | Against | Against |
| 8 | RE-ELECT VIRGINIE MORGON AS DIRECTOR | Mgmt | For | For |
| 9 | APPROVE COMPENSATION REPORT OF CORPORATE OFFICERS | Mgmt | For | For |
| 10 | APPROVE COMPENSATION OF JEAN- PAUL AGON, CHAIRMAN AND CEO | Mgmt | For | For |
| 11 | APPROVE REMUNERATION POLICY OF DIRECTORS | Mgmt | For | For |
| 12 | APPROVE REMUNERATION POLICY OF JEAN-PAUL AGON, CHAIRMAN AND CEO UNTIL APRIL 30, 2021 | Mgmt | For | For |
| 13 | APPROVE REMUNERATION POLICY OF NICOLAS HIERONIMUS, CEO SINCE MAY 1, 2021 | Mgmt | For | For |
| 14 | APPROVE REMUNERATION POLICY OF JEAN-PAUL AGON, CHAIRMAN OF THE BOARD SINCE MAY 1, 2021 | Mgmt | For | For |
| 15 | APPROVE AMENDMENT OF EMPLOYMENT CONTRACT OF NICOLAS HIERONIMUS,CEO SINCE MAY 1, 2021 | Mgmt | For | For |
| 16 | AUTHORIZE REPURCHASE OF UP TO 10 PERCENT OF ISSUED SHARE CAPITAL | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 134 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 17 | AUTHORIZE ISSUANCE OF EQUITY OR EQUITY-LINKED SECURITIES WITH PREEMPTIVE RIGHTS UP A MAXIMUM NOMINAL SHARE CAPITAL VALUE OF EUR 156,764,042.40 | Mgmt | For | For |
| 18 | AUTHORIZE CAPITALIZATION OF RESERVES FOR BONUS ISSUE OR INCREASE IN PAR VALUE | Mgmt | For | For |
| 19 | AUTHORIZE CAPITAL INCREASE OF UP TO 2 PERCENT OF ISSUED CAPITAL FOR CONTRIBUTIONS IN KIND | Mgmt | For | For |
| 20 | AUTHORIZE CAPITAL ISSUANCES FOR USE IN EMPLOYEE STOCK PURCHASE PLANS | Mgmt | For | For |
| 21 | AUTHORIZE CAPITAL ISSUANCES FOR USE IN EMPLOYEE STOCK PURCHASE PLANS RESERVED FOR EMPLOYEES OF INTERNATIONAL SUBSIDIARIES | Mgmt | For | For |
| 22 | AMEND ARTICLE 7 OF BYLAWS RE: WRITTEN CONSULTATION | Mgmt | For | For |
| 23 | AUTHORIZE FILING OF REQUIRED DOCUMENTS/OTHER FORMALITIES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 135 of 261 |
Unassigned
| LEGRAND SA | |||
| Security: | F56196185 | Agenda Number: | 713911976 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0010307819 | Meeting Date: | 26-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting | ||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | ||
| CMMT | 16 APR 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 136 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 137 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1 | THE SHAREHOLDERS’ MEETING, AFTER HAVING REVIEWED THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS, APPROVES THE COMPANY’S FINANCIAL STATEMENTS FOR THE FISCAL YEAR THAT ENDED IN 2020, AS PRESENTED TO THE MEETING, SHOWING EARNINGS AMOUNTING TO EUR 427,487,360.64. THE SHAREHOLDERS’ MEETING APPROVES THE NON DEDUCTIBLE EXPENSES AND CHARGES AMOUNTING TO EUR 46,734.00 AND THEIR CORRESPONDING TAX OF EUR 14,966.00 | Mgmt | For | For |
| 2 | THE SHAREHOLDERS’ MEETING, AFTER HAVING REVIEWED THE REPORTS OF THE BOARD OF DIRECTORS AND THE AUDITORS, APPROVES THE CONSOLIDATED FINANCIAL STATEMENTS FOR SAID FINANCIAL YEAR, AS PRESENTED TO THE MEETING, SHOWING NET EARNINGS (GROUP SHARE) AMOUNTING TO EUR 681,200,000.00 | Mgmt | For | For |
| 3 | THE SHAREHOLDERS’ MEETINGRESOLVES TO ALLOCATE THE EARNINGS AS FOLLOWS: ORIGIN: EARNINGS: EUR 427,487,360.64 LEGAL RESERVE: EUR (68,647.20) RETAINED EARNINGS: EUR 90,255,385.25 INTERIM DISTRIBUTABLE INCOME: EUR 517,674,098.69 UNAVAILABLE RESERVES FOR TREASURY SHARES: EUR (5,158,756.43) DISTRIBUTABLE INCOME: EUR 512,515,342.26 ALLOCATION: DIVIDENDS: EUR 379,597,721.38 (BASED ON THE SHARES COMPOSING THE SHARE CAPITAL AS OF THE 31ST OF DECEMBER 2020) RETAINED EARNINGS: EUR 132,917,620.88 FOLLOWING THIS ALLOCATION, THE UNAVAILABLE RESERVES FOR TREASURY SHARES WILL SHOW A NEW BALANCE OF EUR 8,615,006.54. THE SHAREHOLDERS WILL BE GRANTED A DIVIDEND OF EUR 1.42 PER SHARE, THAT WILL BE ELIGIBLE TO THE 40 PER CENT DEDUCTION PROVIDED BY THE FRENCH GENERAL TAX CODE. THIS DIVIDEND WILL BE PAID ON THE 1ST OF JUNE 2021. AS REQUIRED BY LAW, IT IS REMINDED THAT, FOR THE LAST THREE FINANCIAL YEARS, THE DIVIDENDS WERE PAID AS FOLLOWS: EUR 1.26 PER SHARE FOR FISCAL YEAR 2017 EUR 1.34 PER SHARE FOR FISCAL YEARS 2018 AND 2019 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 138 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4 | THE SHAREHOLDERS’ MEETING APPROVES THE INFORMATION MENTIONED IN THE ARTICLE L.22-10-9 I OF THE FRENCH COMMERCIAL CODE | Mgmt | For | For |
| 5 | THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MR GILLES SCHNEPP AS CHAIRMAN OF THE BOARD OF DIRECTORS UNTIL THE 30TH OF JUNE 2020 FOR THE 2020 FINANCIAL YEAR | Mgmt | For | For |
| 6 | THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MRS ANGELES GARCIA-POVEDA AS CHAIRWOMAN OF THE BOARD OF DIRECTORS FROM THE 1ST OF JULY 2020 FOR THE 2020 FINANCIAL YEAR | Mgmt | For | For |
| 7 | THE SHAREHOLDERS’ MEETING APPROVES THE FIXED, VARIABLE AND ONE-OFF COMPONENTS OF THE TOTAL COMPENSATION AS WELL AS THE BENEFITS OR PERKS OF ANY KIND PAID AND AWARDED TO MR BENOIT COQUART AS MANAGING DIRECTOR FOR THE 2020 FINANCIAL YEAR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 139 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 8 | THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE CHAIRMAN OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 9 | THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE MANAGING DIRECTOR | Mgmt | For | For |
| 10 | THE SHAREHOLDERS’ MEETING APPROVES THE POLICY OF THE COMPENSATION APPLICABLE TO THE MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 11 | THE SHAREHOLDERS’ MEETING RENEWS THE APPOINTMENT OF MRS ANNALISA LOUSTAU ELIA AS A DIRECTOR FOR A 3- YEAR PERIOD, I.E. UNTIL THE SHAREHOLDERS’ MEETING CALLED TO RULE ON THE FINANCIAL STATEMENTS FOR THE 2023 FISCAL YEAR | Mgmt | For | For |
| 12 | THE SHAREHOLDERS’ MEETING APPOINTS AS A DIRECTOR, MR JEAN- MARC CHERY FOR A 3-YEAR PERIOD, I.E. UNTIL THE SHAREHOLDERS’ MEETING CALLED TO RULE ON THE FINANCIAL STATEMENTS FOR THE 2023 FISCAL YEAR | Mgmt | For | For |
| 13 | THE SHAREHOLDERS’ MEETING AUTHORIZES THE BOARD OF DIRECTORS TO BUY BACK THE COMPANY’S SHARES, SUBJECT TO THE CONDITIONS DESCRIBED BELOW: MAXIMUM PURCHASE PRICE: EUR 120.00, MAXIMUM NUMBER OF SHARES TO BE ACQUIRED: 10 PER CENT OF THE SHARE CAPITAL, MAXIMUM FUNDS INVESTED IN THE SHARE BUYBACKS: EUR 1,000,000,000.00. THIS AUTHORIZATION IS GIVEN FOR AN 18-MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 140 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 14 | THE SHAREHOLDERS’ MEETING GRANTS ALL POWERS TO THE BOARD OF DIRECTORS TO REDUCE THE SHARE CAPITAL, ON ONE OR MORE OCCASIONS AND AT ITS SOLE DISCRETION, BY CANCELLING ALL OR PART OF THE SHARES HELD BY THE COMPANY IN CONNECTION WITH THE STOCK REPURCHASE PLAN, UP TO A MAXIMUM OF 10 PER CENT OF THE SHARE CAPITAL OVER A 24-MONTH PERIOD. THIS AUTHORIZATION IS GIVEN FOR AN 18- MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES | Mgmt | For | For |
| 15 | THE SHAREHOLDERS’ MEETING AUTHORIZES THE BOARD OF DIRECTORS TO GRANT, FOR FREE, ON ONE OR MORE OCCASIONS, EXISTING OR TO BE ISSUED COMPANY’S SHARES, IN FAVOUR OF BENEFICIARIES TO BE CHOSEN AMONG THE EMPLOYEES AND OR THE CORPORATE OFFICERS OF THE COMPANY AND RELATED COMPANIES. THEY MAY NOT REPRESENT MORE THAN 1.5 PER CENT OF THE SHARE CAPITAL, AMONG WHICH THE SHARES GRANTED TO THE CORPORATE OFFICERS OF THE COMPANY MAY NOT REPRESENT MORE THAN 10 PER CENT OF THE TOTAL NUMBER OF SHARES GRANTED FOR FREE. THIS AUTHORIZATION IS GIVEN FOR A 38-MONTH PERIOD. THIS DELEGATION OF POWERS SUPERSEDES ANY AND ALL EARLIER DELEGATIONS TO THE SAME EFFECT. THE SHAREHOLDERS’ MEETING DELEGATES ALL POWERS TO THE BOARD OF DIRECTORS TO TAKE ALL NECESSARY MEASURES AND ACCOMPLISH ALL NECESSARY FORMALITIES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 141 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 16 | THE SHAREHOLDERS’ MEETING DECIDES TO AMEND ARTICLE NR 12.4 : ’VOTING RIGHT’ OF THE BYLAWS | Mgmt | For | For |
| 17 | THE SHAREHOLDERS’ MEETING GRANTS FULL POWERS TO THE BEARER OF AN ORIGINAL, A COPY OR EXTRACT OF THE MINUTES OF THIS MEETING TO CARRY OUT ALL FILINGS, PUBLICATIONS AND OTHER FORMALITIES PRESCRIBED BY LAW | Mgmt | For | For |
| CMMT | 05 MAY 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal- officiel.gouv.fr/balo/document/2021041421008 42-45 AND https://www.journal- officiel.gouv.fr/balo/document/2021050521013 75-54 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF COMMENT AND DUE TO RECEIPT OF UPDATED BALO LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 142 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY – PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 143 of 261 |
Unassigned
| LVMH MOET HENNESSY LOUIS VUITTON SE | |||
| Security: | F58485115 | Agenda Number: | 713673110 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0000121014 | Meeting Date: | 15-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO | Non-Voting | ||
| SHAREHOLDERS THAT DO NOT HOLD | ||||
| SHARES DIRECTLY WITH A FRENCH | ||||
| CUSTODIAN: PROXY CARDS: VOTING | ||||
| INSTRUCTIONS WILL BE FORWARDED TO | ||||
| THE GLOBAL CUSTODIANS ON THE VOTE | ||||
| DEADLINE DATE. IN CAPACITY AS | ||||
| REGISTERED INTERMEDIARY, THE | ||||
| GLOBAL CUSTODIANS WILL SIGN THE | ||||
| PROXY CARDS AND FORWARD THEM TO | ||||
| THE LOCAL CUSTODIAN. IF YOU | ||||
| REQUEST MORE INFORMATION, PLEASE | ||||
| CONTACT YOUR CLIENT | ||||
| REPRESENTATIVE. | ||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT | Non-Voting | ||
| OF PROXY CARDS FOR FRENCH | ||||
| MEETINGS, ABSTAIN IS NOW A VALID | ||||
| VOTING OPTION. FOR ANY ADDITIONAL | ||||
| ITEMS RAISED AT THE MEETING THE | ||||
| VOTING OPTION WILL DEFAULT TO | ||||
| ‘AGAINST’, OR FOR POSITIONS WHERE | ||||
| THE PROXY CARD IS NOT COMPLETED | ||||
| BY BROADRIDGE, TO THE PREFERENCE | ||||
| OF YOUR CUSTODIAN. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
| Page 144 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 12 MAR 2021: PLEASE NOTE THAT IF YOU | Non-Voting | ||
| HOLD CREST DEPOSITORY INTERESTS | ||||
| (CDIs) AND PARTICIPATE AT THIS | ||||
| MEETING, YOU (OR YOUR CREST | ||||
| SPONSORED MEMBER/CUSTODIAN) WILL | ||||
| BE REQUIRED TO INSTRUCT A TRANSFER | ||||
| OF THE RELEVANT CDIs TO THE ESCROW | ||||
| ACCOUNT SPECIFIED IN THE | ||||
| ASSOCIATED CORPORATE EVENT IN THE | ||||
| CREST SYSTEM. THIS TRANSFER WILL | ||||
| NEED TO BE COMPLETED BY THE | ||||
| SPECIFIED CREST SYSTEM DEADLINE. | ||||
| ONCE THIS TRANSFER HAS SETTLED, | ||||
| THE CDIs WILL BE BLOCKED IN THE | ||||
| CREST SYSTEM. THE CDIs WILL BE | ||||
| RELEASED FROM ESCROW AS SOON AS | |||
| PRACTICABLE ON THE BUSINESS DAY | ||||
| PRIOR TO MEETING DATE UNLESS | ||||
| OTHERWISE SPECIFIED. IN ORDER FOR A | ||||
| VOTE TO BE ACCEPTED, THE VOTED | ||||
| POSITION MUST BE BLOCKED IN THE | ||||
| REQUIRED ESCROW ACCOUNT IN THE | ||||
| CREST SYSTEM. BY VOTING ON THIS | ||||
| MEETING, YOUR CREST SPONSORED | ||||
| MEMBER/CUSTODIAN MAY USE YOUR | ||||
| VOTE INSTRUCTION AS THE | ||||
| AUTHORIZATION TO TAKE THE | ||||
| NECESSARY ACTION WHICH WILL | ||||
| INCLUDE TRANSFERRING YOUR | ||||
| INSTRUCTED POSITION TO ESCROW. | ||||
| PLEASE CONTACT YOUR CREST | ||||
| SPONSORED MEMBER/CUSTODIAN | ||||
| DIRECTLY FOR FURTHER INFORMATION | ||||
| ON THE CUSTODY PROCESS AND | ||||
| WHETHER OR NOT THEY REQUIRE | ||||
| SEPARATE INSTRUCTIONS FROM YOU | ||||
| AND PLEASE NOTE THAT SHAREHOLDER | ||||
| DETAILS ARE REQUIRED TO VOTE AT | ||||
| THIS MEETING. IF NO SHAREHOLDER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY CARRY A | ||||
| HEIGHTENED RISK OF BEING REJECTED. | ||||
| THANK YOU AND INTERMEDIARY | ||||
| CLIENTS ONLY - PLEASE NOTE THAT IF | ||||
| YOU ARE CLASSIFIED AS AN | ||||
| INTERMEDIARY CLIENT UNDER THE | ||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | ||||
| YOU SHOULD BE PROVIDING THE | ||||
| UNDERLYING SHAREHOLDER | ||||
| INFORMATION AT THE VOTE | ||||
| INSTRUCTION LEVEL. IF YOU ARE | ||||
| UNSURE ON HOW TO PROVIDE THIS | ||||
| LEVEL OF DATA TO BROADRIDGE | ||||
| OUTSIDE OF PROXYEDGE, PLEASE | ||||
| SPEAK TO YOUR DEDICATED CLIENT | ||||
| SERVICE REPRESENTATIVE FOR | ||||
| ASSISTANCE | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE | Non-Voting | ||
| CURRENT COVID19 CRISIS AND IN | ||||
| ACCORDANCE WITH THE PROVISIONS | ||||
| ADOPTED BY THE FRENCH | ||||
| GOVERNMENT UNDER LAW NO. 2020- | ||||
| 1379 OF NOVEMBER 14, 2020, EXTENDED | ||||
| AND MODIFIED BY LAW NO 2020-1614 OF | ||||
| DECEMBER 18, 2020 THE GENERAL | ||||
| MEETING WILL TAKE PLACE BEHIND | ||||
| CLOSED DOORS WITHOUT THE | ||||
| PHYSICAL PRESENCE OF THE | ||||
| SHAREHOLDERS. TO COMPLY WITH | ||||
| THESE LAWS, PLEASE DO NOT SUBMIT | ||||
| ANY REQUESTS TO ATTEND THE | ||||
| MEETING IN PERSON. SHOULD THIS | ||||
| SITUATION CHANGE, THE COMPANY | ||||
| ENCOURAGES ALL SHAREHOLDERS TO | ||||
| REGULARLY CONSULT THE COMPANY | ||||
| WEBSITE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 145 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 08 APR 2021: PLEASE NOTE THAT THIS IS | Non-Voting | ||
| A REVISION DUE TO MODIFICATION OF | ||||
| TEXT OF COMMENT AND CHANGE IN | ||||
| NUMBERING OF RESOLUTIONS. IF YOU | ||||
| HAVE ALREADY SENT IN YOUR VOTES, | ||||
| PLEASE DO NOT VOTE AGAIN UNLESS | ||||
| YOU DECIDE TO AMEND YOUR ORIGINAL | ||||
| INSTRUCTIONS. THANK YOU AND PLEASE | ||||
| NOTE THAT IMPORTANT ADDITIONAL | ||||
| MEETING INFORMATION IS AVAILABLE BY | ||||
| CLICKING ON THE MATERIAL URL LINK: | ||||
| https://www.journal- | ||||
| officiel.gouv.fr/balo/document/2021031021004 | ||||
| 15-30 | ||||
| 1 | APPROVAL OF THE CORPORATE | Mgmt | For | For |
| FINANCIAL STATEMENT FOR THE | ||||
| FINANCIAL YEAR ENDED 31 DECEMBER | ||||
| 2020 | ||||
| 2 | APPROVAL OF THE CONSOLIDATED | Mgmt | For | For |
| FINANCIAL STATEMENT FOR THE | ||||
| FINANCIAL YEAR ENDED 31 DECEMBER | ||||
| 2020 | ||||
| 3 | ALLOCATION OF INCOME FOR THE | Mgmt | For | For |
| FINANCIAL YEAR AND SETTING OF THE | ||||
| DIVIDEND | ||||
| 4 | APPROVAL OF REGULATED | Mgmt | For | For |
| AGREEMENTS REFERRED TO IN ARTICLE | ||||
| L. 225-38 OF THE FRENCH COMMERCIAL | ||||
| CODE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 146 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 5 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. ANTOINE ARNAULT AS DIRECTOR | ||||
| 6 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. NICOLAS BAZIRE AS DIRECTOR | ||||
| 7 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. CHARLES DE CROISSET AS | ||||
| DIRECTOR | ||||
| 8 | RENEWAL OF THE TERM OF OFFICE OF | Mgmt | For | For |
| MR. YVES-THIBAULT DE SILGUY AS | ||||
| DIRECTOR | ||||
| 9 | APPOINTMENT OF MR. M. OLIVIER LENEL | Mgmt | For | For |
| AS DEPUTY STATUTORY AUDITOR, AS A | ||||
| REPLACEMENT FOR MR. PHILIPPE | ||||
| CASTAGNAC WHO RESIGNED | ||||
| 10 | APPROVAL OF THE CHANGES MADE FOR | Mgmt | For | For |
| THE FINANCIAL YEAR 2020 TO THE | ||||
| DIRECTORS’ COMPENSATION POLICY | ||||
| 11 | APPROVAL OF THE CHANGES MADE FOR | Mgmt | Against | Against |
| THE YEAR 2020 TO THE COMPENSATION | ||||
| POLICY FOR THE CHAIRMAN AND CHIEF | ||||
| EXECUTIVE OFFICER AND THE DEPUTY | ||||
| CHIEF EXECUTIVE OFFICER | ||||
| 12 | APPROVAL OF THE INFORMATION | Mgmt | Against | Against |
| REFERRED TO IN ARTICLE L. 22-10-9 I OF | ||||
| THE FRENCH COMMERCIAL CODE | ||||
| 13 | APPROVAL OF THE COMPENSATION | Mgmt | Against | Against |
| ELEMENTS PAID DURING THE FINANCIAL | ||||
| YEAR 2020 OR GRANTED FOR THE SAME | ||||
| FINANCIAL YEAR TO MR. BERNARD | ||||
| ARNAULT, CHAIRMAN AND CHIEF | ||||
| EXECUTIVE OFFICER |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 147 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 14 | APPROVAL OF THE COMPENSATION | Mgmt | Against | Against |
| ELEMENTS PAID DURING THE FINANCIAL | ||||
| YEAR 2020 OR GRANTED FOR THE SAME | ||||
| FINANCIAL YEAR TO MR. ANTONIO | ||||
| BELLONI, DEPUTY CHIEF EXECUTIVE | ||||
| OFFICER | ||||
| 15 | APPROVAL OF THE COMPENSATION | Mgmt | For | For |
| POLICY OF DIRECTORS | ||||
| 16 | APPROVAL OF THE COMPENSATION | Mgmt | Against | Against |
| POLICY OF THE CHAIRMAN AND CHIEF | ||||
| EXECUTIVE OFFICER | ||||
| 17 | APPROVAL OF THE COMPENSATION | Mgmt | Against | Against |
| POLICY OF THE DEPUTY CHIEF | ||||
| EXECUTIVE OFFICER | ||||
| 18 | AUTHORIZATION FOR THE BOARD OF | Mgmt | For | For |
| DIRECTORS, FOR A PERIOD OF 18 | ||||
| MONTHS, TO TRADE IN THE COMPANY’S | ||||
| SHARES FOR A MAXIMUM PURCHASE | ||||
| PRICE OF 700 EUROS PER SHARE, I.E. A | ||||
| MAXIMUM AGGREGATE AMOUNT OF 35.3 | ||||
| BILLION EUROS | ||||
| 19 | AUTHORIZATION TO THE BOARD OF | Mgmt | For | For |
| DIRECTORS, FOR A PERIOD OF 18 | ||||
| MONTHS, TO REDUCE THE SHARE | ||||
| CAPITAL BY CANCELLING SHARES HELD | ||||
| BY THE COMPANY FOLLOWING THE | ||||
| REPURCHASE OF ITS OWN SHARES | ||||
| 20 | DELEGATION OF AUTHORITY TO THE | Mgmt | For | For |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO INCREASE | ||||
| THE CAPITAL BY INCORPORATING | ||||
| PROFITS, RESERVES, PREMIUMS OR | ||||
| OTHERS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 148 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 21 | DELEGATION OF AUTHORITY TO THE | Mgmt | For | For |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE | ||||
| COMMON SHARES, AND/OR EQUITY | ||||
| SECURITIES GRANTING ACCESS TO | ||||
| OTHER EQUITY SECURITIES OR | ||||
| GRANTING ENTITLEMENT TO THE | ||||
| ALLOTMENT OF DEBT SECURITIES, | ||||
| AND/OR TRANSFERABLE SECURITIES | ||||
| GRANTING ACCESS TO EQUITY | ||||
| SECURITIES TO BE ISSUED WITH | ||||
| RETENTION OF THE PRE-EMPTIVE | ||||
| SUBSCRIPTION RIGHTS | ||||
| 22 | DELEGATION OF AUTHORITY TO THE | Mgmt | Against | Against |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE, BY | ||||
| WAY OF A PUBLIC OFFERING, COMMON | ||||
| SHARES, AND/OR EQUITY SECURITIES | ||||
| GRANTING ACCESS TO OTHER EQUITY | ||||
| SECURITIES OR GRANTING | ||||
| ENTITLEMENT TO THE ALLOTMENT OF | ||||
| DEBT SECURITIES, AND/OR | ||||
| TRANSFERABLE SECURITIES GRANTING | ||||
| ACCESS TO EQUITY SECURITIES TO BE | ||||
| ISSUED, WITH CANCELLATION OF THE | ||||
| PRE-EMPTIVE SUBSCRIPTION RIGHT | ||||
| WITH A PRIORITY RIGHT OPTION | ||||
| 23 | DELEGATION OF AUTHORITY TO THE | Mgmt | Against | Against |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE | ||||
| COMMON SHARES, AND/OR EQUITY | ||||
| SECURITIES GRANTING ACCESS TO | ||||
| OTHER EQUITY SECURITIES OR | ||||
| GRANTING ENTITLEMENT TO THE | ||||
| ALLOTMENT OF DEBT SECURITIES, | ||||
| AND/OR TRANSFERABLE SECURITIES | ||||
| GRANTING ACCESS TO EQUITY | ||||
| SECURITIES TO BE ISSUED, WITH | ||||
| CANCELLATION OF THE PRE-EMPTIVE | ||||
| SUBSCRIPTION RIGHT, FOR THE BENEFIT | ||||
| OF QUALIFIED INVESTORS OR A LIMITED | ||||
| CIRCLE OF INVESTORS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 149 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 24 | DELEGATION OF AUTHORITY TO THE | Mgmt | Against | Against |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO INCREASE | ||||
| THE NUMBER OF SHARES TO BE ISSUED | ||||
| IN THE EVENT OF A CAPITAL INCREASE | ||||
| WITH RETENTION OR CANCELLATION OF | ||||
| THE SHAREHOLDERS’ PRE-EMPTIVE | ||||
| RIGHT OF SUBSCRIPTION IN THE | ||||
| CONTEXT OF OVER-ALLOTMENT | ||||
| OPTIONS IN THE EVENT OF | ||||
| SUBSCRIPTIONS EXCEEDING THE | ||||
| NUMBER OF SECURITIES PROPOSED | ||||
| 25 | DELEGATION OF AUTHORITY TO THE | Mgmt | Against | Against |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE | ||||
| SHARES AND/OR EQUITY SECURITIES | ||||
| GRANTING ACCESS TO OTHER EQUITY | ||||
| SECURITIES OR TO THE ALLOCATION OF | ||||
| DEBT SECURITIES AS REMUNERATION | ||||
| OF SECURITIES CONTRIBUTED TO ANY | ||||
| PUBLIC EXCHANGE OFFER INITIATED BY | ||||
| THE COMPANY | ||||
| 26 | DELEGATION OF POWERS TO THE | Mgmt | Against | Against |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE, | ||||
| WITHIN THE LIMIT OF 10% OF THE SHARE | ||||
| CAPITAL, COMMON SHARES OR EQUITY | ||||
| SECURITIES GRANTING ACCESS TO | ||||
| OTHER EQUITY SECURITIES OF THE | ||||
| COMPANY OR GRANTING ENTITLEMENT | ||||
| TO THE ALLOCATION OF DEBT | ||||
| SECURITIES AS REMUNERATION FOR | ||||
| CONTRIBUTIONS IN KIND OF EQUITY | ||||
| SECURITIES OR TRANSFERABLE | ||||
| SECURITIES GRANTING ACCESS TO THE | ||||
| CAPITAL, GRANTED TO THE COMPANY |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 150 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 27 | AUTHORIZATION FOR THE BOARD OF | Mgmt | Against | Against |
| DIRECTORS, FOR A PERIOD OF 26 | ||||
| MONTHS, TO GRANT SHARE | ||||
| SUBSCRIPTION OPTIONS WITH | ||||
| CANCELLATION OF THE SHAREHOLDERS’ | ||||
| PRE-EMPTIVE SUBSCRIPTION RIGHTS, | ||||
| OR SHARE PURCHASE OPTIONS TO | ||||
| EMPLOYEES AND/OR EXECUTIVE | ||||
| OFFICERS OF THE COMPANY AND | ||||
| RELATED ENTITIES, WITHIN THE LIMIT OF | ||||
| 1% OF THE CAPITAL | ||||
| 28 | DELEGATION OF AUTHORITY TO THE | Mgmt | For | For |
| BOARD OF DIRECTORS, FOR A PERIOD | ||||
| OF TWENTY-SIX MONTHS, TO ISSUE | ||||
| SHARES AND/OR TRANSFERABLE | ||||
| SECURITIES GRANTING ACCESS TO THE | ||||
| CAPITAL OF THE COMPANY, WITH | ||||
| CANCELLATION OF THE SHAREHOLDERS’ | ||||
| PRE-EMPTIVE SUBSCRIPTION RIGHTS, | ||||
| FOR THE BENEFIT OF THE MEMBERS OF | ||||
| THE GROUP’S COMPANY SAVINGS | ||||
| PLAN(S), WITHIN THE LIMIT OF 1% OF | ||||
| THE SHARE CAPITAL | ||||
| 29 | SETTING OF THE OVERALL CEILING FOR | Mgmt | For | For |
| IMMEDIATE OR FUTURE CAPITAL | ||||
| INCREASES DECIDED BY VIRTUE OF | ||||
| DELEGATIONS OF AUTHORITY | ||||
| 30 | AMENDMENT TO ARTICLE 22 OF THE BY- | Mgmt | For | For |
| LAWS CONCERNING THE STATUTORY | ||||
| AUDITORS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 151 of 261 |
Unassigned
| LVMH MOET HENNESSY LOUIS VUITTON SE | |||
| Security: | F58485115 | Agenda Number: | 713972330 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | FR0000121014 | Meeting Date: | 28-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO | Non-Voting | ||
| SHAREHOLDERS THAT DO NOT HOLD | ||||
| SHARES DIRECTLY WITH A FRENCH | ||||
| CUSTODIAN: PROXY CARDS: VOTING | ||||
| INSTRUCTIONS WILL BE FORWARDED TO | ||||
| THE GLOBAL CUSTODIANS ON THE VOTE | ||||
| DEADLINE DATE. IN CAPACITY AS | ||||
| REGISTERED INTERMEDIARY, THE | ||||
| GLOBAL CUSTODIANS WILL SIGN THE | ||||
| PROXY CARDS AND FORWARD THEM TO | ||||
| THE LOCAL CUSTODIAN. IF YOU | ||||
| REQUEST MORE INFORMATION, PLEASE | ||||
| CONTACT YOUR CLIENT | ||||
| REPRESENTATIVE. | ||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT | Non-Voting | ||
| OF PROXY CARDS FOR FRENCH | ||||
| MEETINGS, ABSTAIN IS NOW A VALID | ||||
| VOTING OPTION. FOR ANY ADDITIONAL | ||||
| ITEMS RAISED AT THE MEETING THE | ||||
| VOTING OPTION WILL DEFAULT TO | ||||
| ‘AGAINST’, OR FOR POSITIONS WHERE | ||||
| THE PROXY CARD IS NOT COMPLETED | ||||
| BY BROADRIDGE, TO THE PREFERENCE | ||||
| OF YOUR CUSTODIAN. |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 152 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 07 MAY 2021: PLEASE NOTE THAT | Non-Voting | ||
| IMPORTANT ADDITIONAL MEETING | ||||
| INFORMATION IS AVAILABLE BY CLICKING | ||||
| ON THE MATERIAL URL LINK: | ||||
| https://www.journal- | ||||
| officiel.gouv.fr/balo/document/2021042121010 | ||||
| 36-48 AND https://www.journal- | ||||
| officiel.gouv.fr/balo/document/2021050721014 | ||||
| 11-55 AND PLEASE NOTE THAT THE | ||||
| MEETING TYPE CHANGED FROM EGM TO | ||||
| OGM AND ADDITTION OF CDI COMMENT | ||||
| AND CHANGE IN RECORD DATE FROM 26 | ||||
| MAY 2021 TO 25 MAY 2021 AND ADDITION | ||||
| OF BALO LINK. IF YOU HAVE ALREADY | ||||
| SENT IN YOUR VOTES, PLEASE DO NOT | ||||
| VOTE AGAIN UNLESS YOU DECIDE TO | ||||
| AMEND YOUR ORIGINAL INSTRUCTIONS. | ||||
| THANK YOU AND PLEASE NOTE THAT | ||||
| SHAREHOLDER DETAILS ARE REQUIRED | ||||
| TO VOTE AT THIS MEETING. IF NO | ||||
| SHAREHOLDER DETAILS ARE PROVIDED, | ||||
| YOUR INSTRUCTION MAY CARRY A | ||||
| HEIGHTENED RISK OF BEING REJECTED. | ||||
| THANK YOU AND PLEASE NOTE THAT IF | ||||
| YOU HOLD CREST DEPOSITORY | ||||
| INTERESTS (CDIS) AND PARTICIPATE AT | ||||
| THIS MEETING, YOU (OR YOUR CREST | ||||
| SPONSORED MEMBER/CUSTODIAN) WILL | ||||
| BE REQUIRED TO INSTRUCT A TRANSFER | ||||
| OF THE RELEVANT CDIS TO THE | ||||
| ESCROW ACCOUNT SPECIFIED IN THE | ||||
| ASSOCIATED CORPORATE EVENT IN THE | ||||
| CREST SYSTEM. THIS TRANSFER WILL | ||||
| NEED TO BE COMPLETED BY THE | ||||
| SPECIFIED CREST SYSTEM DEADLINE. | ||||
| ONCE THIS TRANSFER HAS SETTLED, | ||||
| THE CDIS WILL BE BLOCKED IN THE | ||||
| CREST SYSTEM. THE CDIS WILL BE | ||||
| RELEASED FROM ESCROW AS SOON AS | ||||
| PRACTICABLE ON THE BUSINESS DAY | ||||
| PRIOR TO MEETING DATE UNLESS | ||||
| OTHERWISE SPECIFIED. IN ORDER FOR A | ||||
| VOTE TO BE ACCEPTED, THE VOTED | ||||
| POSITION MUST BE BLOCKED IN THE | ||||
| REQUIRED ESCROW ACCOUNT IN THE | ||||
| CREST SYSTEM. BY VOTING ON THIS | ||||
| MEETING, YOUR CREST SPONSORED | ||||
| MEMBER/CUSTODIAN MAY USE YOUR | ||||
| VOTE INSTRUCTION AS THE | ||||
| AUTHORIZATION TO TAKE THE | ||||
| NECESSARY ACTION WHICH WILL | ||||
| INCLUDE TRANSFERRING YOUR | ||||
| INSTRUCTED POSITION TO ESCROW. | ||||
| PLEASE CONTACT YOUR CREST | ||||
| SPONSORED MEMBER/CUSTODIAN | ||||
| DIRECTLY FOR FURTHER INFORMATION | ||||
| ON THE CUSTODY PROCESS AND | ||||
| WHETHER OR NOT THEY REQUIRE | ||||
| SEPARATE INSTRUCTIONS FROM YOU | ||||
| AND | ||||
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 153 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE | Non-Voting | ||
| CURRENT COVID19 CRISIS AND IN | ||||
| ACCORDANCE WITH THE PROVISIONS | ||||
| ADOPTED BY THE FRENCH | ||||
| GOVERNMENT UNDER LAW NO. 2020- | ||||
| 1379 OF NOVEMBER 14, 2020, EXTENDED | ||||
| AND MODIFIED BY LAW NO 2020-1614 OF | ||||
| DECEMBER 18, 2020 THE GENERAL | ||||
| MEETING WILL TAKE PLACE BEHIND | ||||
| CLOSED DOORS WITHOUT THE | ||||
| PHYSICAL PRESENCE OF THE | ||||
| SHAREHOLDERS. TO COMPLY WITH | ||||
| THESE LAWS, PLEASE DO NOT SUBMIT | ||||
| ANY REQUESTS TO ATTEND THE | ||||
| MEETING IN PERSON. SHOULD THIS | ||||
| SITUATION CHANGE, THE COMPANY | ||||
| ENCOURAGES ALL SHAREHOLDERS TO | ||||
| REGULARLY CONSULT THE COMPANY | ||||
| WEBSITE | ||||
| 1 | AUTHORIZE REPURCHASE OF UP TO 10 | Mgmt | For | For |
| PERCENT OF ISSUED SHARE CAPITAL |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 154 of 261 |
Unassigned
| MERCK KGAA | |||
| Security: | D5357W103 | Agenda Number: | 713679251 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0006599905 | Meeting Date: | 23-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | ||
| DETAILS ARE REQUIRED TO VOTE AT | ||||
| THIS MEETING. IF NO SHAREHOLDER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY CARRY A | ||||
| HEIGHTENED RISK OF BEING REJECTED. | ||||
| THANK YOU | ||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE | Non-Voting | ||
| WILL CODE ALL AGENDAS FOR GERMAN | ||||
| MEETINGS IN ENGLISH ONLY. IF YOU | ||||
| WISH TO SEE THE AGENDA IN GERMAN, | ||||
| THIS WILL BE MADE AVAILABLE AS A LINK | ||||
| UNDER THE ’MATERIAL URL’ DROPDOWN | ||||
| AT THE TOP OF THE BALLOT. THE | ||||
| GERMAN AGENDAS FOR ANY EXISTING | ||||
| OR PAST MEETINGS WILL REMAIN IN | ||||
| PLACE. FOR FURTHER INFORMATION, | ||||
| PLEASE CONTACT YOUR CLIENT | ||||
| SERVICE REPRESENTATIVE | ||||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE | Non-Voting | ||
| OF SPECIFIC CONFLICTS OF INTEREST IN | ||||
| CONNECTION WITH SPECIFIC ITEMS OF | ||||
| THE AGENDA FOR THE GENERAL | ||||
| MEETING YOU ARE NOT ENTITLED TO | ||||
| EXERCISE YOUR VOTING RIGHTS. | ||||
| FURTHER, YOUR VOTING RIGHT MIGHT | ||||
| BE EXCLUDED WHEN YOUR SHARE IN | ||||
| VOTING RIGHTS HAS REACHED CERTAIN | ||||
| THRESHOLDS AND YOU HAVE NOT | ||||
| COMPLIED WITH ANY OF YOUR | ||||
| MANDATORY VOTING RIGHTS | ||||
| NOTIFICATIONS PURSUANT TO THE | ||||
| GERMAN SECURITIES TRADING ACT | ||||
| (WPHG). FOR QUESTIONS IN THIS | ||||
| REGARD PLEASE CONTACT YOUR | ||||
| CLIENT SERVICE REPRESENTATIVE FOR | ||||
| CLARIFICATION. IF YOU DO NOT HAVE | ||||
| ANY INDICATION REGARDING SUCH | ||||
| CONFLICT OF INTEREST, OR ANOTHER | ||||
| EXCLUSION FROM VOTING, PLEASE | ||||
| SUBMIT YOUR VOTE AS USUAL |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 155 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INFORMATION ON COUNTER PROPOSALS | Non-Voting | ||
| CAN BE FOUND DIRECTLY ON THE | ||||
| ISSUER’S WEBSITE (PLEASE REFER TO | ||||
| THE MATERIAL URL SECTION OF THE | ||||
APPLICATION). IF YOU WISH TO ACT ON | ||||
| THESE ITEMS, YOU WILL NEED TO | ||||
| REQUEST A MEETING ATTEND AND VOTE | ||||
YOUR SHARES DIRECTLY AT THE | ||||
COMPANY’S MEETING. COUNTER | ||||
| PROPOSALS CANNOT BE REFLECTED ON | ||||
| THE BALLOT ON PROXYEDGE | ||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND | Non-Voting | ||
| STATUTORY REPORTS FOR FISCAL YEAR | ||||
| 2020 | ||||
| 2 | ACCEPT FINANCIAL STATEMENTS AND | Mgmt | For | For |
| STATUTORY REPORTS FOR FISCAL YEAR | ||||
| 2020 | ||||
| 3 | APPROVE ALLOCATION OF INCOME AND | Mgmt | For | For |
| DIVIDENDS OF EUR 1.40 PER SHARE | ||||
| 4 | APPROVE DISCHARGE OF EXECUTIVE | Mgmt | For | For |
| BOARD FISCAL YEAR 2020 | ||||
| 5 | APPROVE DISCHARGE OF SUPERVISORY | Mgmt | For | For |
| BOARD FOR FISCAL YEAR 2020 | ||||
| 6 | RATIFY KPMG AG AS AUDITORS FOR | Mgmt | For | For |
| FISCAL YEAR 2021 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 156 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 7 | AMEND ARTICLES RE: SUPERVISORY | Mgmt | For | For |
| BOARD APPROVAL OF TRANSACTIONS | ||||
| WITH RELATED PARTIES | ||||
| 8 | APPROVE REMUNERATION POLICY | Mgmt | For | For |
| 9 | APPROVE REMUNERATION OF | Mgmt | For | For |
| SUPERVISORY BOARD | ||||
| 10 | APPROVE ELEVEN AFFILIATION | Mgmt | For | For |
| AGREEMENTS | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | ||
| NOTE THAT IF YOU ARE CLASSIFIED AS | ||||
| AN INTERMEDIARY CLIENT UNDER THE | ||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | ||||
| YOU SHOULD BE PROVIDING THE | ||||
| UNDERLYING SHAREHOLDER | ||||
| INFORMATION AT THE VOTE | ||||
| INSTRUCTION LEVEL. IF YOU ARE | ||||
| UNSURE ON HOW TO PROVIDE THIS | ||||
| LEVEL OF DATA TO BROADRIDGE | ||||
| OUTSIDE OF PROXYEDGE, PLEASE | ||||
| SPEAK TO YOUR DEDICATED CLIENT | ||||
| SERVICE REPRESENTATIVE FOR | ||||
| ASSISTANCE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 157 of 261 |
Unassigned
| NESTLE S.A. | |||
| Security: | H57312649 | Agenda Number: | 713713469 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | CH0038863350 | Meeting Date: | 15-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT THIS IS AN | Non-Voting | ||
| AMENDMENT TO MEETING ID 508495 DUE | ||||
| TO RECEIPT OF CHANGE IN VOTING | ||||
| STAUS FOR RESOLUTON 8. ALL VOTES | ||||
| RECEIVED ON THE PREVIOUS MEETING | ||||
| WILL BE DISREGARDED IF VOTE | ||||
| DEADLINE EXTENSIONS ARE GRANTED. | ||||
| THEREFORE PLEASE REINSTRUCT ON | ||||
| THIS MEETING NOTICE ON THE NEW JOB. | ||||
| IF HOWEVER VOTE DEADLINE | ||||
| EXTENSIONS ARE NOT GRANTED IN THE | ||||
| MARKET, THIS MEETING WILL BE CLOSED | ||||
| AND YOUR VOTE INTENTIONS ON THE | ||||
| ORIGINAL MEETING WILL BE APPLICABLE. | ||||
| PLEASE ENSURE VOTING IS SUBMITTED | ||||
| PRIOR TO CUTOFF ON THE ORIGINAL | ||||
| MEETING, AND AS SOON AS POSSIBLE | ||||
| ON THIS NEW AMENDED MEETING. | ||||
| THANK YOU | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER | Non-Voting | ||
| DETAILS ARE REQUIRED FOR THIS | ||||
| MEETING. IF NO BENEFICIAL OWNER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY BE REJECTED. THANK | ||||
| YOU. | ||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING | Non-Voting | ||
| ON AGENDA AND MEETING ATTENDANCE | ||||
| REQUESTS ONLY. PLEASE ENSURE THAT | ||||
| YOU HAVE FIRST VOTED IN FAVOUR OF | ||||
| THE REGISTRATION OF SHARES IN PART | ||||
| 1 OF THE MEETING. IT IS A MARKET | ||||
| REQUIREMENT FOR MEETINGS OF THIS | ||||
| TYPE THAT THE SHARES ARE | ||||
| REGISTERED AND MOVED TO A | ||||
| REGISTERED LOCATION AT THE CSD, | ||||
| AND SPECIFIC POLICIES AT THE | ||||
| INDIVIDUAL SUB-CUSTODIANS MAY VARY. | ||||
| UPON RECEIPT OF THE VOTE | ||||
| INSTRUCTION, IT IS POSSIBLE THAT A |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 158 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| MARKER MAY BE PLACED ON YOUR | ||||
| SHARES TO ALLOW FOR | ||||
| RECONCILIATION AND RE-REGISTRATION | ||||
| FOLLOWING A TRADE. THEREFORE | ||||
| WHILST THIS DOES NOT PREVENT THE | ||||
| TRADING OF SHARES, ANY THAT ARE | ||||
| REGISTERED MUST BE FIRST | ||||
| DEREGISTERED IF REQUIRED FOR | ||||
| SETTLEMENT. DEREGISTRATION CAN | ||||
| AFFECT THE VOTING RIGHTS OF THOSE | ||||
| SHARES. IF YOU HAVE CONCERNS | ||||
| REGARDING YOUR ACCOUNTS, PLEASE | ||||
| CONTACT YOUR CLIENT | ||||
| REPRESENTATIVE | ||||
| 1.1 | APPROVAL OF THE ANNUAL REVIEW, THE | Mgmt | For | For |
| FINANCIAL STATEMENTS OF NESTLE S.A. | ||||
| AND THE CONSOLIDATED FINANCIAL | ||||
| STATEMENTS OF THE NESTLE GROUP | ||||
| FOR 2020 | ||||
| 1.2 | ACCEPTANCE OF THE COMPENSATION | Mgmt | For | For |
| REPORT 2020 (ADVISORY VOTE) | ||||
| 2 | DISCHARGE TO THE MEMBERS OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS AND OF THE | ||||
| MANAGEMENT | ||||
| 3 | APPROPRIATION OF PROFIT RESULTING | Mgmt | For | For |
| FROM THE BALANCE SHEET OF NESTLE | ||||
| S.A. (PROPOSED DIVIDEND) FOR THE | ||||
| FINANCIAL YEAR 2020 | ||||
| 4.1.1 | RE-ELECTION AS MEMBER AND | Mgmt | For | For |
| CHAIRMAN OF THE BOARD OF | ||||
| DIRECTORS: PAUL BULCKE | ||||
| 4.1.2 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: ULF MARK | ||||
| SCHNEIDER |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 159 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4.1.3 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: HENRI DE | ||||
| CASTRIES | ||||
| 4.1.4 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: RENATO | ||||
| FASSBIND | ||||
| 4.1.5 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: PABLO ISLA | ||||
| 4.1.6 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: ANN M. | ||||
| VENEMAN | ||||
| 4.1.7 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: EVA CHENG | ||||
| 4.1.8 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: PATRICK | ||||
| AEBISCHER | ||||
| 4.1.9 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: KASPER | ||||
| RORSTED | ||||
| 4.110 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: KIMBERLY A. | ||||
| ROSS | ||||
| 4.111 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: DICK BOER | ||||
| 4.112 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: DINESH PALIWAL |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 160 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4.113 | RE-ELECTION AS MEMBER OF THE | Mgmt | For | For |
| BOARD OF DIRECTORS: HANNE JIMENEZ | ||||
| DE MORA | ||||
| 4.2 | ELECTION TO THE BOARD OF | Mgmt | For | For |
| DIRECTORS: LINDIWE MAJELE SIBANDA | ||||
| 4.3.1 | ELECTION AS MEMBER OF THE | Mgmt | For | For |
| COMPENSATION COMMITTEE: PABLO | ||||
| ISLA | ||||
| 4.3.2 | ELECTION AS MEMBER OF THE | Mgmt | For | For |
| COMPENSATION COMMITTEE: PATRICK | ||||
| AEBISCHER | ||||
| 4.3.3 | ELECTION AS MEMBER OF THE | Mgmt | For | For |
| COMPENSATION COMMITTEE: DICK BOER | ||||
| 4.3.4 | ELECTION AS MEMBER OF THE | Mgmt | For | For |
| COMPENSATION COMMITTEE: KASPER | ||||
| RORSTED | ||||
| 4.4 | ELECTION OF THE STATUTORY | Mgmt | For | For |
| AUDITORS: ERNST AND YOUNG LTD, | ||||
| LAUSANNE BRANCH | ||||
| 4.5 | ELECTION OF THE INDEPENDENT | Mgmt | For | For |
| REPRESENTATIVE: HARTMANN DREYER, | ||||
| ATTORNEYS-AT-LAW | ||||
| 5.1 | APPROVAL OF THE COMPENSATION OF | Mgmt | For | For |
| THE BOARD OF DIRECTORS | ||||
| 5.2 | APPROVAL OF THE COMPENSATION OF | Mgmt | For | For |
| THE EXECUTIVE BOARD | ||||
| 6 | CAPITAL REDUCTION (BY CANCELLATION | Mgmt | For | For |
| OF SHARES) |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 161 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 7 | SUPPORT OF NESTLE’S CLIMATE | Mgmt | For | For |
| ROADMAP (ADVISORY VOTE) | ||||
| 8 | IN THE EVENT OF ANY YET UNKNOWN | Shr | Against | For |
| NEW OR MODIFIED PROPOSAL BY A | ||||
| SHAREHOLDER DURING THE GENERAL | ||||
| MEETING, I INSTRUCT THE INDEPENDENT | ||||
| REPRESENTATIVE TO VOTE AS | ||||
| FOLLOWS: (YES = VOTE IN FAVOR OF | ||||
| ANY SUCH YET UNKNOWN PROPOSAL, | ||||
| NO = VOTE AGAINST ANY SUCH YET | ||||
| UNKNOWN PROPOSAL, ABSTAIN = | ||||
| ABSTAIN FROM VOTING) - THE BOARD OF | ||||
| DIRECTORS RECOMMENDS TO VOTE NO | ||||
| ON ANY SUCH YET UNKNOWN PROPOSAL |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 162 of 261 |
Unassigned
| NOVARTIS AG | |||
| Security: | H5820Q150 | Agenda Number: | 713572988 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | CH0012005267 | Meeting Date: | 02-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER | Non-Voting | ||
| DETAILS ARE REQUIRED FOR THIS | ||||
| MEETING. IF NO BENEFICIAL OWNER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY BE REJECTED. THANK | ||||
| YOU | ||||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING | Non-Voting | ||
| ON AGENDA AND MEETING ATTENDANCE | ||||
| REQUESTS ONLY. PLEASE ENSURE THAT | ||||
| YOU HAVE FIRST VOTED IN FAVOUR OF | ||||
| THE REGISTRATION OF SHARES IN PART | ||||
| 1 OF THE MEETING. IT IS A MARKET | ||||
| REQUIREMENT FOR MEETINGS OF THIS | ||||
| TYPE THAT THE SHARES ARE | ||||
| REGISTERED AND MOVED TO A | ||||
| REGISTERED LOCATION AT THE CSD, | ||||
| AND SPECIFIC POLICIES AT THE | ||||
| INDIVIDUAL SUB-CUSTODIANS MAY VARY. | ||||
| UPON RECEIPT OF THE VOTE | ||||
| INSTRUCTION, IT IS POSSIBLE THAT A | ||||
| MARKER MAY BE PLACED ON YOUR | ||||
| SHARES TO ALLOW FOR | ||||
| RECONCILIATION AND RE-REGISTRATION | ||||
| FOLLOWING A TRADE. THEREFORE | ||||
| WHILST THIS DOES NOT PREVENT THE | ||||
| TRADING OF SHARES, ANY THAT ARE | ||||
| REGISTERED MUST BE FIRST | ||||
| DEREGISTERED IF REQUIRED FOR | ||||
| SETTLEMENT. DEREGISTRATION CAN | ||||
| AFFECT THE VOTING RIGHTS OF THOSE | ||||
| SHARES. IF YOU HAVE CONCERNS | ||||
| REGARDING YOUR ACCOUNTS, PLEASE | ||||
| CONTACT YOUR CLIENT | ||||
| REPRESENTATIVE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 163 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1 | APPROVAL OF THE OPERATING AND | Mgmt | For | For |
| FINANCIAL REVIEW OF NOVARTIS AG, | ||||
| THE FINANCIAL STATEMENTS OF | ||||
| NOVARTIS AG AND THE GROUP | ||||
| CONSOLIDATED FINANCIAL STATEMENTS | ||||
| FOR THE 2020 FINANCIAL YEAR | ||||
| 2 | DISCHARGE FROM LIABILITY OF THE | Mgmt | For | For |
| MEMBERS OF THE BOARD OF | ||||
| DIRECTORS AND THE EXECUTIVE | ||||
| COMMITTEE | ||||
| 3 | APPROPRIATION OF AVAILABLE | Mgmt | For | For |
| EARNINGS OF NOVARTIS AG AS PER | ||||
| BALANCE SHEET AND DECLARATION OF | ||||
| DIVIDEND FOR 2020 | ||||
| 4 | REDUCTION OF SHARE CAPITAL | Mgmt | For | For |
| 5 | FURTHER SHARE REPURCHASES | Mgmt | For | For |
| 6.1 | VOTE ON COMPENSATION FOR THE | Mgmt | For | For |
| MEMBERS OF THE BOARD OF | ||||
| DIRECTORS AND THE EXECUTIVE | ||||
| COMMITTEE: BINDING VOTE ON THE | ||||
| MAXIMUM AGGREGATE AMOUNT OF | ||||
| COMPENSATION FOR THE BOARD OF | ||||
| DIRECTORS FROM THE 2021 ANNUAL | ||||
| GENERAL MEETING TO THE 2022 ANNUAL | ||||
| GENERAL MEETING | ||||
| 6.2 | VOTE ON COMPENSATION FOR THE | Mgmt | For | For |
| MEMBERS OF THE BOARD OF | ||||
| DIRECTORS AND THE EXECUTIVE | ||||
| COMMITTEE: BINDING VOTE ON THE | ||||
| MAXIMUM AGGREGATE AMOUNT OF | ||||
| COMPENSATION FOR THE EXECUTIVE | ||||
| COMMITTEE FOR THE FINANCIAL YEAR | ||||
| 2022 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 164 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 6.3 | VOTE ON COMPENSATION FOR THE | Mgmt | For | For |
| MEMBERS OF THE BOARD OF | ||||
| DIRECTORS AND THE EXECUTIVE | ||||
| COMMITTEE: ADVISORY VOTE ON THE | ||||
| 2020 COMPENSATION REPORT | ||||
| 7.1 | RE-ELECTION OF JOERG REINHARDT AS | Mgmt | For | For |
| MEMBER AND CHAIRMAN OF THE BOARD | ||||
| OF DIRECTORS | ||||
| 7.2 | RE-ELECTION OF NANCY C. ANDREWS AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.3 | RE-ELECTION OF TON BUECHNER AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.4 | RE-ELECTION OF PATRICE BULA AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.5 | RE-ELECTION OF ELIZABETH DOHERTY | Mgmt | For | For |
| AS MEMBER OF THE BOARD OF | ||||
| DIRECTORS | ||||
| 7.6 | RE-ELECTION OF ANN FUDGE AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.7 | RE-ELECTION OF BRIDGETTE HELLER AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.8 | RE-ELECTION OF FRANS VAN HOUTEN AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.9 | RE-ELECTION OF SIMON MORONEY AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.10 | RE-ELECTION OF ANDREAS VON PLANTA | Mgmt | For | For |
| AS MEMBER OF THE BOARD OF | ||||
| DIRECTORS |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 165 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 7.11 | RE-ELECTION OF CHARLES L. SAWYERS | Mgmt | For | For |
| AS MEMBER OF THE BOARD OF | ||||
| DIRECTORS | ||||
| 7.12 | RE-ELECTION OF ENRICO VANNI AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 7.13 | RE-ELECTION OF WILLIAM T. WINTERS AS | Mgmt | For | For |
| MEMBER OF THE BOARD OF DIRECTORS | ||||
| 8.1 | RE-ELECTION OF PATRICE BULA TO THE | Mgmt | For | For |
| COMPENSATION COMMITTEE | ||||
| 8.2 | RE-ELECTION OF BRIDGETTE HELLER TO | Mgmt | For | For |
| THE COMPENSATION COMMITTEE | ||||
| 8.3 | RE-ELECTION OF ENRICO VANNI TO THE | Mgmt | For | For |
| COMPENSATION COMMITTEE | ||||
| 8.4 | RE-ELECTION OF WILLIAM T. WINTERS TO | Mgmt | For | For |
| THE COMPENSATION COMMITTEE | ||||
| 8.5 | ELECTION OF SIMON MORONEY AS NEW | Mgmt | For | For |
| MEMBER OF THE COMPENSATION | ||||
| COMMITTEE | ||||
| 9 | RE-ELECTION OF THE STATUTORY | Mgmt | For | For |
| AUDITOR: THE BOARD OF DIRECTORS | ||||
| PROPOSES THE RE-ELECTION OF | ||||
| PRICEWATERHOUSECOOPERS AG AS | ||||
| AUDITOR FOR THE FINANCIAL YEAR | ||||
| STARTING ON JANUARY 1, 2021 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 166 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 10 | RE-ELECTION OF THE INDEPENDENT | Mgmt | For | For |
| PROXY: THE BOARD OF DIRECTORS | ||||
| PROPOSES THE RE-ELECTION OF LIC. | ||||
| IUR. PETER ANDREAS ZAHN, ATTORNEY | ||||
| AT LAW, BASEL, AS INDEPENDENT PROXY | ||||
| UNTIL THE END OF THE NEXT ANNUAL | ||||
| GENERAL MEETING | ||||
| 11 | AMENDMENT TO ARTICLE 20 PARAGRAPH | Mgmt | For | For |
| 3 OF THE ARTICLES OF INCORPORATION | ||||
| B | GENERAL INSTRUCTIONS IN CASE OF | Mgmt | Against | Against |
| ALTERNATIVE MOTIONS UNDER THE | ||||
| AGENDA ITEMS PUBLISHED IN THE | ||||
| INVITATION TO THE ANNUAL GENERAL | ||||
| MEETING, AND/OR OF MOTIONS | ||||
| RELATING TO ADDITIONAL AGENDA | ||||
| ITEMS ACCORDING TO ARTICLE 700 | ||||
| PARAGRAPH 3 OF THE SWISS CODE OF | ||||
| OBLIGATIONS. I/WE INSTRUCT THE | ||||
| INDEPENDENT PROXY TO VOTE AS | ||||
| FOLLOWS: (FOR = ACCORDING TO THE | ||||
| MOTION OF THE BOARD OF DIRECTORS, | ||||
| AGAINST = AGAINST ALTERNATIVE | ||||
| AND/OR ADDITIONAL MOTIONS, ABSTAIN | ||||
| = ABSTAIN FROM VOTING) |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 167 of 261 |
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Unassigned
NOVO NORDISK A/S | |||
Security: | K72807132 | Agenda Number: | 713620563 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | DK0060534915 | Meeting Date: | 25-Mar-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| by |
| Management’s |
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CMMT | IN THE MAJORITY OF MEETINGS THE VOTES ARE CAST WITH THE REGISTRAR WHO WILL FOLLOW CLIENT INSTRUCTIONS. IN A SMALL PERCENTAGE OF MEETINGS THERE IS NO REGISTRAR AND CLIENTS VOTES MAY BE CAST BY THE CHAIRMAN OF THE BOARD OR A BOARD MEMBER AS PROXY. CLIENTS CAN ONLY EXPECT THEM TO ACCEPT PRO-MANAGEMENT VOTES. THE ONLY WAY TO GUARANTEE THAT ABSTAIN AND/OR AGAINST VOTES ARE REPRESENTED AT THE MEETING IS TO SEND YOUR OWN REPRESENTATIVE OR ATTEND THE MEETING IN PERSON. THE SUB CUSTODIAN BANKS OFFER REPRESENTATION SERVICES FOR AN ADDED FEE IF REQUESTED. THANK YOU | Non-Voting |
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CMMT | PLEASE BE ADVISED THAT SPLIT AND PARTIAL VOTING IS NOT AUTHORISED FOR A BENEFICIAL OWNER IN THE DANISH MARKET. PLEASE CONTACT YOUR GLOBAL CUSTODIAN FOR FURTHER INFORMATION. | Non-Voting |
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CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 168 of 261 |
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| Management’s |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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1 | THE BOARD OF DIRECTORS’ ORAL REPORT ON THE COMPANY’S ACTIVITIES IN THE PAST FINANCIAL YEAR | Non-Voting |
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2 | PRESENTATION AND ADOPTION OF THE AUDITED ANNUAL REPORT 2020 | Mgmt | For | For |
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3 | RESOLUTION TO DISTRIBUTE THE PROFIT ACCORDING TO THE ADOPTED ANNUAL REPORT 2020 | Mgmt | For | For |
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4 | PRESENTATION AND ADVISORY VOTE ON THE REMUNERATION REPORT 2020 | Mgmt | For | For |
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5.1 | APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS: APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2020 | Mgmt | For | For |
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5.2 | APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS: APPROVAL OF THE REMUNERATION LEVEL FOR 2021 | Mgmt | For | For |
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6.1 | ELECTION OF HELGE LUND AS CHAIR | Mgmt | For | For |
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6.2 | ELECTION OF JEPPE CHRISTIANSEN AS VICE-CHAIR | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 169 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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6.3.A | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: LAURENCE DEBROUX | Mgmt | For | For |
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6.3.B | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: ANDREAS FIBIG | Mgmt | For | For |
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6.3.C | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: SYLVIE GREGOIRE | Mgmt | For | For |
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6.3.D | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: KASIM KUTAY | Mgmt | For | For |
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6.3.E | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: MARTIN MACKAY | Mgmt | For | For |
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6.3.F | ELECTION OF OTHER MEMBER TO THE BOARD OF DIRECTORS: HENRIK POULSEN | Mgmt | For | For |
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7 | APPOINTMENT OF AUDITOR: DELOITTE STATSAUTORISERET REVISIONSPARTNERSELSKAB | Mgmt | For | For |
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8.1 | REDUCTION OF THE COMPANY’S B SHARE CAPITAL BY NOMINALLY DKK 8,000,000 BY CANCELLATION OF B SHARES | Mgmt | For | For |
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8.2 | AUTHORISATION TO THE BOARD OF DIRECTORS TO ALLOW THE COMPANY TO REPURCHASE OWN SHARES | Mgmt | For | For |
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8.3.A | AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITAL: CANCELLATION OF ARTICLE 5.3 OF THE ARTICLES OF ASSOCIATION | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 170 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| by |
| Management’s |
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| Recommendation |
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8.3.B | AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITAL: EXTENSION OF AUTHORISATION TO THE BOARD OF DIRECTORS TO INCREASE THE COMPANY’S SHARE CAPITA | Mgmt | For | For |
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8.4.A | INDEMNIFICATION OF THE BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT: INDEMNIFICATION OF MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
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8.4.B | INDEMNIFICATION OF THE BOARD OF DIRECTORS AND EXECUTIVE MANAGEMENT: INDEMNIFICATION OF MEMBERS OF EXECUTIVE MANAGEMENT | Mgmt | For | For |
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8.5 | AMENDMENTS TO THE REMUNERATION POLICY | Mgmt | For | For |
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8.6.A | AMENDMENT OF THE ARTICLES OF ASSOCIATION: VIRTUAL GENERAL MEETINGS | Mgmt | For | For |
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8.6.B | AMENDMENT OF THE ARTICLES OF ASSOCIATION: LANGUAGE IN DOCUMENTS PREPARED FOR GENERAL MEETINGS | Mgmt | For | For |
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8.6.C | AMENDMENT OF THE ARTICLES OF ASSOCIATION: DIFFERENTIATION OF VOTES | Mgmt | For | For |
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8.7.A | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: PROPOSAL FROM THE SHAREHOLDER KRITISKE AKTIONAERER ON MAKING A PLAN FOR CHANGED OWNERSHIP | Shr | Against | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 171 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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9 | ANY OTHER BUSINESS | Non-Voting |
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CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ’IN FAVOR’ OR ’ABSTAIN’ ONLY FOR RESOLUTION NUMBERS 6.1 TO 6.2, 6.3.A TO 6.3.F AND 7. THANK YOU | Non-Voting |
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CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
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CMMT | 24 FEB 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 172 of 261 |
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CMMT | 24 FEB 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
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Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 173 of 261 |
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Unassigned
PARTNERS GROUP HOLDING AG | |||
Security: | H6120A101 | Agenda Number: | 713977518 |
Ticker: |
| Meeting Type: | AGM |
ISIN: | CH0024608827 | Meeting Date: | 12-May-21 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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| Recommendation |
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CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting |
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CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE | Non-Voting |
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1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 174 of 261 |
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Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF CHF 27.50 PER SHARE | Mgmt | For | For |
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3 | APPROVE DISCHARGE OF BOARD AND SENIOR MANAGEMENT | Mgmt | For | For |
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4 | AMEND ARTICLES RE EXTERNAL MANDATES FOR MEMBERS OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE | Mgmt | For | For |
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5 | APPROVE REMUNERATION REPORT | Mgmt | For | For |
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6.1 | APPROVE SHORT-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3 MILLION | Mgmt | For | For |
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6.2 | APPROVE LONG-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3.8 MILLION | Mgmt | For | For |
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6.3 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 10.1 MILLION | Mgmt | For | For |
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6.4 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2021 | Mgmt | For | For |
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6.5 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2022 | Mgmt | For | For |
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6.6 | APPROVE LONG-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.1 MILLION | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 175 of 261 |
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6.7 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 60,000 | Mgmt | For | For |
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7.1.1 | ELECT STEFFEN MEISTER AS DIRECTOR AND AS BOARD CHAIRMAN | Mgmt | For | For |
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7.1.2 | ELECT MARCEL ERNI AS DIRECTOR | Mgmt | For | For |
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7.1.3 | ELECT ALFRED GANTNER AS DIRECTOR | Mgmt | For | For |
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7.1.4 | ELECT LISA HOOK AS DIRECTOR | Mgmt | For | For |
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7.1.5 | ELECT JOSEPH LANDY AS DIRECTOR | Mgmt | For | For |
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7.1.6 | ELECT GRACE DEL ROSARIO-CASTANO AS DIRECTOR | Mgmt | For | For |
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7.1.7 | ELECT MARTIN STROBEL AS DIRECTOR | Mgmt | For | For |
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7.1.8 | ELECT URS WIETLISBACH AS DIRECTOR | Mgmt | For | For |
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7.2.1 | APPOINT GRACE DEL ROSARIO-CASTANO AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Mgmt | For | For |
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7.2.2 | APPOINT LISA HOOK AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 176 of 261 |
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7.2.3 | APPOINT MARTIN STROBEL AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Mgmt | For | For |
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7.3 | DESIGNATE HOTZ GOLDMANN AS INDEPENDENT PROXY | Mgmt | For | For |
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7.4 | RATIFY KPMG AG AS AUDITORS | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 |
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| Page 177 of 261 |
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Unassigned
PERNOD RICARD SA | |||
Security: | F72027109 | Agenda Number: | 713260583 |
Ticker: |
| Meeting Type: | MIX |
ISIN: | FR0000120693 | Meeting Date: | 27-Nov-20 |
Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
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| Management’s |
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CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting |
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CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ’AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting |
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CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
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Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 178 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 09 NOV 2020: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2020102320043 01-128 AND https://www.journal-officiel.gouv.fr/balo/document/2020110920044 73-135; PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF URL LINK IN COMMENT. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||
| 1 | MODIFICATION OF ARTICLES 35 AND 36 OF THE BYLAWS ON THE INCLUSION OF ABSTENTION, BLANK AND NULL VOTES FOR THE CALCULATION OF THE MAJORITY AT GENERAL MEETINGS IN ACCORDANCE WITH THE SOILIHI LAW | Mgmt | For | For |
| 2 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 - ACKNOWLEDGEMENT OF THE TOTAL AMOUNT OF EXPENSES AND CHARGES REFERRED TO IN PARAGRAPH 4 OF ARTICLE 39 OF THE FRENCH GENERAL TAX CODE | Mgmt | For | For |
| 3 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 | Mgmt | For | For |
| 4 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 30 JUNE 2020 AND SETTING OF THE DIVIDEND | Mgmt | For | For |
| 5 | RENEWAL OF THE TERM OF OFFICE OF MR. ALEXANDRE RICARD AS DIRECTOR | Mgmt | Against | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 179 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 6 | RENEWAL OF THE TERM OF OFFICE OF MR. CESAR GIRON AS DIRECTOR | Mgmt | Against | Against |
| 7 | RENEWAL OF THE TERM OF OFFICE OF MR. WOLFGANG COLBERG AS DIRECTOR | Mgmt | Against | Against |
| 8 | APPOINTMENT OF MRS. VIRGINIE FAUVEL AS DIRECTOR | Mgmt | For | For |
| 9 | SETTING OF THE ANNUAL AMOUNT OF COMPENSATION ALLOCATED TO MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 10 | APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED DURING THE FINANCIAL YEAR 2019/20 TO MR. ALEXANDRE RICARD, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 11 | APPROVAL OF THE COMPENSATION ELEMENTS PAID OR ALLOCATED DURING THE FINANCIAL YEAR 2019/20 TO THE CORPORATE OFFICERS | Mgmt | For | For |
| 12 | APPROVAL OF THE ELEMENTS OF THE COMPENSATION POLICY APPLICABLE TO MR. ALEXANDRE RICARD, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 13 | APPROVAL OF THE ELEMENTS OF THE COMPENSATION POLICY APPLICABLE TO CORPORATE OFFICERS | Mgmt | For | For |
| 14 | APPROVAL OF THE REGULATED AGREEMENTS REFERRED TO IN ARTICLES L. 225-38 AND FOLLOWING OF THE FRENCH COMMERCIAL CODE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 180 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 15 | AUTHORIZATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO TRADE IN THE COMPANY’S SHARES | Mgmt | For | For |
| 16 | RATIFICATION OF THE DECISION OF THE BOARD OF DIRECTORS TO TRANSFER THE REGISTERED OFFICE OF THE COMPANY AND OF THE AMENDMENT TO ARTICLE 4 “REGISTERED OFFICE” OF THE BYLAWS RELATING THERETO | Mgmt | For | For |
| 17 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE SHARE CAPITAL WITHIN THE LIMIT OF 2% OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL, RESERVED FOR MEMBERS OF COMPANY SAVINGS PLANS WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF THE LATTER | Mgmt | For | For |
| 18 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE TO INCREASE THE SHARE CAPITAL WITHIN THE LIMIT OF 2% OF THE SHARE CAPITAL BY ISSUING SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL IN FAVOUR OF CATEGORY S OF DESIGNATED BENEFICIARIES WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT FOR THE BENEFIT OF THE LATTER | Mgmt | For | For |
| 19 | AMENDMENT TO ARTICLE 21 OF THE BYLAWS “MEETINGS” IN ORDER TO INTRODUCE THE POSSIBILITY FOR THE BOARD OF DIRECTORS TO TAKE DECISIONS BY WRITTEN CONSULTATION UNDER THE CONDITIONS SET BY LAW SOILIHI LAW | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 181 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 20 | MODIFICATION OF ARTICLES 25 “REMUNERATION OF BOARD MEMBERS”, 28 “CENSORS” AND 35 “ORDINARY GENERAL MEETINGS” OF THE BYLAWS IN ORDER TO REPLACE THE TERM “ATTENDANCE FEES” BY THAT OF “REMUNERATION” IN ACCORDANCE WITH THE PACTE LAW | Mgmt | For | For |
| 21 | POWERS TO CARRY OUT ALL LEGAL FORMALITIES | Mgmt | For | For |
| CMMT | 29 OCT 2020: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (“CDIs”) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIs TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIs WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIs WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU. | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 182 of 261 | ||||
Unassigned
| RELX PLC | |||
| Security: | G7493L105 | Agenda Number: | 713657293 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB00B2B0DG97 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1 | RECEIVE THE 2020 ANNUAL REPORT | Mgmt | For | For |
| 2 | APPROVE ANNUAL REMUNERATION REPORT | Mgmt | For | For |
| 3 | DECLARATION OF 2020 FINAL DIVIDEND: 33.4P PER SHARE | Mgmt | For | For |
| 4 | RE-APPOINTMENT OF AUDITORS: ERNST & YOUNG LLP | Mgmt | For | For |
| 5 | AUDITORS’ REMUNERATION | Mgmt | For | For |
| 6 | ELECT PAUL WALKER AS A DIRECTOR | Mgmt | For | For |
| 7 | ELECT JUNE FELIX AS A DIRECTOR | Mgmt | For | For |
| 8 | RE-ELECT ERIK ENGSTROM AS A DIRECTOR | Mgmt | For | For |
| 9 | RE-ELECT WOLFHART HAUSER AS A DIRECTOR | Mgmt | For | For |
| 10 | RE-ELECT CHARLOTTE HOGG AS A DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 183 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 11 | RE-ELECT MARIKE VAN LIER LELS AS A DIRECTOR | Mgmt | For | For |
| 12 | RE-ELECT NICK LUFF AS A DIRECTOR | Mgmt | For | For |
| 13 | RE-ELECT ROBERT MACLEOD AS A DIRECTOR | Mgmt | For | For |
| 14 | RE-ELECT LINDA SANFORD AS A DIRECTOR | Mgmt | For | For |
| 15 | RE-ELECT ANDREW SUKAWATY AS A DIRECTOR | Mgmt | For | For |
| 16 | RE-ELECT SUZANNE WOOD AS A DIRECTOR | Mgmt | For | For |
| 17 | AUTHORITY TO ALLOT SHARES | Mgmt | For | For |
| 18 | DISAPPLICATION OF PRE-EMPTION RIGHTS | Mgmt | For | For |
| 19 | ADDITIONAL DISAPPLICATION OF PRE-EMPTION RIGHTS | Mgmt | For | For |
| 20 | AUTHORITY TO PURCHASE OWN SHARES | Mgmt | For | For |
| 21 | NOTICE PERIOD FOR GENERAL MEETINGS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 184 of 261 | ||||
Unassigned
| SAGE GROUP PLC | |||
| Security: | G7771K142 | Agenda Number: | 713447212 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB00B8C3BL03 | Meeting Date: | 04-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS OF THE COMPANY TOGETHER WITH THE REPORTS OF THE DIRECTORS AND OF THE COMPANY’S AUDITORS FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020 | Mgmt | For | For |
| 2 | TO APPROVE THE DIRECTORS’ REMUNERATION REPORT FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020, SET OUT ON PAGES 120 TO 148 OF THE FY20 ANNUAL REPORT AND ACCOUNTS (EXCLUDING THE PART SUMMARISING THE DIRECTORS’ REMUNERATION POLICY, WHICH IS ON PAGES 128 TO 132) | Mgmt | For | For |
| 3 | TO DECLARE A FINAL DIVIDEND RECOMMENDED BY THE DIRECTORS OF 11.32 PENCE PER ORDINARY SHARE FOR THE FINANCIAL YEAR ENDED 30 SEPTEMBER 2020 TO BE PAID ON 11 FEBRUARY 2021 TO MEMBERS WHOSE NAMES APPEAR ON THE REGISTER OF MEMBERS AT THE CLOSE OF BUSINESS ON 15 JANUARY 2021 | Mgmt | For | For |
| 4 | THAT SANGEETA ANAND BE ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 5 | THAT IRANA WASTI BE ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 185 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 6 | THAT SIR DONALD BRYDON BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 7 | THAT DR JOHN BATES BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 8 | THAT JONATHAN BEWES BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 9 | THAT ANNETTE COURT BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 10 | THAT DRUMMOND HALL BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 11 | THAT STEVE HARE BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 12 | THAT JONATHAN HOWELL BE RE-ELECTED AS A DIRECTOR OF THE COMPANY | Mgmt | For | For |
| 13 | TO RE-APPOINT ERNST & YOUNG LLP AS AUDITORS TO THE COMPANY TO HOLD OFFICE UNTIL THE CONCLUSION OF THE NEXT GENERAL MEETING AT WHICH ACCOUNTS ARE LAID BEFORE THE COMPANY | Mgmt | For | For |
| 14 | THAT THE AUDIT AND RISK COMMITTEE OF THE BOARD BE AUTHORISED TO DETERMINE AND AGREE THE REMUNERATION OF THE AUDITORS TO THE COMPANY | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 186 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 15 | THAT, IN ACCORDANCE WITH SECTION 366 OF THE COMPANIES ACT 2006, THE COMPANY AND ALL COMPANIES THAT ARE SUBSIDIARIES OF THE COMPANY AT ANY TIME DURING THE PERIOD FOR WHICH THIS RESOLUTION HAS EFFECT ARE AUTHORISED TO: (A) MAKE POLITICAL DONATIONS TO POLITICAL PARTIES OR INDEPENDENT ELECTION CANDIDATES NOT EXCEEDING GBP 100,000 IN TOTAL; (B) MAKE POLITICAL DONATIONS TO POLITICAL ORGANISATIONS OTHER THAN POLITICAL PARTIES NOT EXCEEDING GBP 100,000 IN TOTAL; AND (C) INCUR POLITICAL EXPENDITURE NOT EXCEEDING GBP 100,000 IN TOTAL, PROVIDED THAT THE AGGREGATE AMOUNT OF ANY SUCH DONATIONS AND EXPENDITURE SHALL NOT EXCEED GBP 100,000 IN TOTAL, DURING THE PERIOD BEGINNING WITH THE DATE OF THE PASSING OF THIS RESOLUTION AND ENDING AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022. FOR THE PURPOSE OF THIS RESOLUTION THE TERMS “POLITICAL DONATIONS”, “POLITICAL PARTIES”, “INDEPENDENT ELECTION CANDIDATES”, “POLITICAL ORGANISATIONS” AND “POLITICAL EXPENDITURE” HAVE THE MEANINGS SET OUT IN SECTIONS 363 TO 365 OF THE COMPANIES ACT 2006 | Mgmt | For | For |
| 16 | THAT THE EXISTING THE SAGE GROUP PLC 2019 RESTRICTED SHARE PLAN (“RSP”) AND THE SAGE GROUP PLC 2015 PERFORMANCE SHARE PLAN (“PSP”) (TOGETHER, THE “DISCRETIONARY SHARE PLANS”) BE AMENDED TO INCLUDE THE ADOPTION OF A FRENCH APPENDIX (UNDER THE RSP) / SCHEDULE (UNDER THE PSP) (THE “FRENCH APPENDIX” AND “FRENCH SCHEDULE” RESPECTIVELY) WHICH ARE BASED ON THE TERMS OF THE RELEVANT DISCRETIONARY SHARE PLAN SAVE WHERE MODIFIED, IN ORDER TO FALL WITHIN THE SCOPE OF THE “LOI MACRON” AND BENEFIT FROM THE APPLICABLE TAX ADVANTAGES, AND/OR TO TAKE ACCOUNT OF LOCAL LAWS IN FRANCE, AND ARE HEREBY ADOPTED BY THE COMPANY, AND THE DIRECTORS BE AND ARE HEREBY AUTHORISED TO DO ALL SUCH ACTS AND THINGS NECESSARY TO GIVE EFFECT TO THE SAME | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 187 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 17 | THAT: (A) THE DIRECTORS BE AND ARE HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH ARTICLE 7 OF THE COMPANY’S ARTICLES OF ASSOCIATION AND SECTION 551 OF THE COMPANIES ACT 2006 TO EXERCISE ALL THE POWERS OF THE COMPANY TO ALLOT SHARES IN THE COMPANY OR GRANT RIGHTS TO SUBSCRIBE FOR, OR CONVERT ANY SECURITY INTO, SHARES IN THE COMPANY: (I) UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 3,830,707.75 (SUCH AMOUNT TO BE REDUCED BY THE NOMINAL AMOUNT OF ANY EQUITY SECURITIES (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) ALLOTTED UNDER PARAGRAPH (II) BELOW IN EXCESS OF GBP 3,830,707.75); AND (II) COMPRISING EQUITY SECURITIES (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 7,661,415.50 (SUCH AMOUNT TO BE REDUCED BY ANY SHARES ALLOTTED OR RIGHTS GRANTED UNDER PARAGRAPH (I) ABOVE) IN CONNECTION WITH AN OFFER BY WAY OF A RIGHTS ISSUE (AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION); (B) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION, OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022; AND (C) ALL PREVIOUS UNUTILISED AUTHORITIES UNDER SECTION 551 OF THE COMPANIES ACT 2006 SHALL CEASE TO HAVE EFFECT (SAVE TO THE EXTENT THAT THE SAME ARE EXERCISABLE PURSUANT TO SECTION 551(7) OF THE COMPANIES ACT 2006 BY REASON OF ANY OFFER OR AGREEMENT MADE PRIOR TO THE DATE OF THIS RESOLUTION WHICH WOULD OR MIGHT REQUIRE SHARES TO BE ALLOTTED OR RIGHTS TO BE GRANTED ON OR AFTER THAT DATE) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 188 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 18 | THAT: (A) IN ACCORDANCE WITH ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION, THE DIRECTORS BE GIVEN POWER TO ALLOT EQUITY SECURITIES FOR CASH AS IF SECTION 561 OF THE COMPANIES ACT 2006 DID NOT APPLY; (B) THE POWER UNDER PARAGRAPH (A) ABOVE (OTHER THAN IN CONNECTION WITH A RIGHTS ISSUE, AS DEFINED IN ARTICLE 8 OF THE COMPANY’S ARTICLES OF ASSOCIATION) SHALL BE LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES HAVING A NOMINAL AMOUNT NOT EXCEEDING IN AGGREGATE GBP 575,181.34; (C) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 189 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 19 | THAT: (A) IN ADDITION TO ANY AUTHORITY GRANTED UNDER RESOLUTION 18, THE DIRECTORS BE AUTHORISED: (I) SUBJECT TO THE PASSING OF RESOLUTION 17, TO ALLOT EQUITY SECURITIES (AS DEFINED IN SECTION 560 OF THE COMPANIES ACT 2006) FOR CASH PURSUANT TO THE AUTHORITY CONFERRED ON THEM BY THAT RESOLUTION UNDER SECTION 551 OF THAT ACT; AND (II) TO ALLOT EQUITY SECURITIES AS DEFINED IN SECTION 560(3) OF THAT ACT (SALE OF TREASURY SHARES) FOR CASH, IN EITHER CASE AS IF SECTION 561 OF THAT ACT DID NOT APPLY TO THE ALLOTMENT OR SALE, BUT THIS POWER SHALL BE: (A) LIMITED TO THE ALLOTMENT OF EQUITY SECURITIES UP TO A MAXIMUM NOMINAL AMOUNT OF GBP 575,181.34; AND (B) USED ONLY FOR THE PURPOSES OF FINANCING (OR REFINANCING, IF THE AUTHORITY IS TO BE USED WITHIN SIX MONTHS AFTER THE ORIGINAL TRANSACTION) A TRANSACTION WHICH THE BOARD OF THE COMPANY DETERMINES TO BE AN ACQUISITION OR OTHER CAPITAL INVESTMENT OF A KIND CONTEMPLATED BY THE STATEMENT OF PRINCIPLES ON DISAPPLYING PRE-EMPTION RIGHTS MOST RECENTLY PUBLISHED BY THE PRE-EMPTION GROUP PRIOR TO THE DATE OF THIS DOCUMENT; (B) THIS POWER SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022; AND (C) THE COMPANY MAY, BEFORE THIS POWER EXPIRES, MAKE AN OFFER OR ENTER INTO AN AGREEMENT, WHICH WOULD OR MIGHT REQUIRE EQUITY SECURITIES TO BE ALLOTTED AFTER IT EXPIRES, AND THE DIRECTORS MAY ALLOT EQUITY SECURITIES IN PURSUANCE OF SUCH OFFER OR AGREEMENT AS IF THIS POWER HAD NOT EXPIRED | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 190 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 20 | THAT IN ACCORDANCE WITH SECTION 701 OF THE COMPANIES ACT 2006, THE COMPANY BE AND IS HEREBY GRANTED GENERAL AND UNCONDITIONAL AUTHORITY TO MAKE ONE OR MORE MARKET PURCHASES (WITHIN THE MEANING OF SECTION 693 OF THE COMPANIES ACT 2006) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY ON SUCH TERMS AND IN SUCH MANNER AS THE DIRECTORS SHALL DETERMINE PROVIDED THAT: (A) THE MAXIMUM NUMBER OF ORDINARY SHARES WHICH MAY BE ACQUIRED PURSUANT TO THIS AUTHORITY IS 109,355,465 ORDINARY SHARES IN THE CAPITAL OF THE COMPANY; (B) THE MINIMUM PRICE WHICH MAY BE PAID FOR EACH SUCH ORDINARY SHARE (EXCLUSIVE OF ALL EXPENSES) IS ITS NOMINAL VALUE; (C) THE MAXIMUM PRICE WHICH MAY BE PAID FOR EACH SUCH ORDINARY SHARE (EXCLUSIVE OF ALL EXPENSES) SHALL NOT BE MORE THAN THE HIGHER OF: (I) AN AMOUNT EQUAL TO 105% OF THE AVERAGE OF THE MIDDLE MARKET PRICES SHOWN IN THE QUOTATIONS FOR THE ORDINARY SHARES IN THE LONDON STOCK EXCHANGE DAILY OFFICIAL LIST FOR THE FIVE BUSINESS DAYS IMMEDIATELY PRECEDING THE DAY ON WHICH THAT ORDINARY SHARE IS PURCHASED; AND (II) AN AMOUNT EQUAL TO THE HIGHER OF THE PRICE OF THE LAST INDEPENDENT TRADE OF AN ORDINARY SHARE AND THE HIGHEST CURRENT INDEPENDENT BID FOR AN ORDINARY SHARE ON THE TRADING VENUE WHERE THE PURCHASE IS CARRIED OUT; (D) THIS AUTHORITY SHALL EXPIRE AT THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING OF THE COMPANY AFTER THE PASSING OF THIS RESOLUTION, OR, IF EARLIER, AT THE CLOSE OF BUSINESS ON 31 MARCH 2022 UNLESS RENEWED BEFORE THAT TIME; AND (E) THE COMPANY MAY MAKE A CONTRACT OR CONTRACTS TO PURCHASE ORDINARY SHARES UNDER THIS AUTHORITY BEFORE ITS EXPIRY WHICH WILL BE OR MAY BE EXECUTED WHOLLY OR PARTLY AFTER EXPIRY OF THIS AUTHORITY AND MAY MAKE A PURCHASE OF ORDINARY SHARES IN PURSUANCE OF SUCH CONTRACT | Mgmt | For | For |
| 21 | THAT A GENERAL MEETING (OTHER THAN AN ANNUAL GENERAL MEETING) MAY BE CALLED ON NOT LESS THAN 14 CLEAR DAYS’ NOTICE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 191 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 22 | THAT WITH EFFECT FROM THE CONCLUSION OF THE ANNUAL GENERAL MEETING, THE ARTICLES OF ASSOCIATION PRODUCED TO THE MEETING AND FOR THE PURPOSE OF IDENTIFICATION INITIALLED BY THE CHAIRMAN OF THE MEETING BE ADOPTED AS THE ARTICLES OF ASSOCIATION OF THE COMPANY IN SUBSTITUTION FOR, AND TO THE EXCLUSION OF, THE EXISTING ARTICLES OF ASSOCIATION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 192 of 261 |
Unassigned
| SANOFI SA | |||
| Security: | F5548N101 | Agenda Number: | 713892962 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0000120578 | Meeting Date: | 30-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting | ||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 193 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020-1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 553318 DUE TO RECEIPT OF DELETION OF RESOLUTION 7. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU. | Non-Voting | ||
| CMMT | PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021041221008 99-44 | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 194 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||
| 1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Mgmt | For | For |
| 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 | Mgmt | For | For |
| 3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 AND SETTING OF THE DIVIDEND | Mgmt | For | For |
| 4 | RATIFICATION OF THE CO-OPTATION OF MR. GILLES SCHNEPP AS DIRECTOR | Mgmt | For | For |
| 5 | RENEWAL OF THE TERM OF OFFICE OF MRS. FABIENNE LECORVAISIER AS DIRECTOR | Mgmt | For | For |
| 6 | RENEWAL OF THE TERM OF OFFICE OF MRS. MELANIE LEE AS DIRECTOR | Mgmt | For | For |
| 7 | APPOINTMENT OF MRS. BARBARA LAVERNOS AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 195 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 8 | APPROVAL OF THE COMPENSATION REPORT FOR CORPORATE OFFICERS ISSUED PURSUANT TO ARTICLE L. 22-10-9 OF THE FRENCH COMMERCIAL CODE | Mgmt | For | For |
| 9 | APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. SERGE WEINBERG, CHAIRMAN OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 10 | APPROVAL OF THE COMPENSATION ELEMENTS PAID DURING OR AWARDED FOR THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 TO MR. PAUL HUDSON, CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 11 | APPROVAL OF THE COMPENSATION POLICY FOR DIRECTORS | Mgmt | For | For |
| 12 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 13 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 14 | AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO TRADE IN THE COMPANY’S SHARES (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 15 | AUTHORISATION TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO REDUCE THE SHARE CAPITAL BY CANCELLING TREASURY SHARES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 196 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 16 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH RETENTION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 17 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY, BY WAY OF A PUBLIC OFFERING OTHER THAN THAT MENTIONED IN ARTICLE L. 411-2-1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 18 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, OF SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY, WITHIN THE CONTEXT OF AN OFFER REFERRED TO IN ARTICLE L. 411-2 1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE (OFFER RESERVED FOR A RESTRICTED CIRCLE OF INVESTORS) ( TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 197 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 19 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE OF DEBT SECURITIES GRANTING ACCESS TO THE CAPITAL OF SUBSIDIARIES OF THE COMPANY AND/OR OF ANY OTHER COMPANY) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 20 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO INCREASE THE NUMBER OF SECURITIES TO BE ISSUED IN THE EVENT OF AN ISSUE OF COMMON SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ANY SUBSIDIARY AND/OR OF ANY OTHER COMPANY WITH OR WITHOUT THE PRE-EMPTIVE SUBSCRIPTION RIGHT) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 21 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO ISSUE, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT, SHARES AND/OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY, OF ONE OF ITS SUBSIDIARIES AND/OR OF ANOTHER COMPANY IN CONSIDERATION OF CONTRIBUTIONS IN KIND) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
| 22 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO DECIDE TO INCREASE THE SHARE CAPITAL BY CAPITALISATION OF PREMIUMS, RESERVES, PROFITS OR OTHERS) (TO BE USED OUTSIDE OF PUBLIC OFFERING PERIODS) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 198 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 23 | DELEGATION OF AUTHORITY TO BE GRANTED TO THE BOARD OF DIRECTORS TO DECIDE ON THE ISSUE OF SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE COMPANY’S CAPITAL RESERVED FOR MEMBERS OF SAVINGS PLANS, WITH CANCELLATION OF THE PRE-EMPTIVE SUBSCRIPTION RIGHT IN FAVOUR OF THE LATTER | Mgmt | For | For |
| 24 | AUTHORISATION GRANTED TO THE BOARD OF DIRECTORS IN ORDER TO PROCEED WITH FREE ALLOCATIONS OF EXISTING SHARES OR SHARES TO BE ISSUED FOR THE BENEFIT OF EMPLOYEES AND CORPORATE OFFICERS OF THE GROUP OR SOME OF THEM | Mgmt | For | For |
| 25 | AMENDMENT OF ARTICLE 13 OF THE BY-LAWS IN ORDER TO ALLOW THE BOARD OF DIRECTORS TO TAKE DECISIONS BY WRITTEN CONSULTATION | Mgmt | For | For |
| 26 | AMENDMENT TO ARTICLE 14 AND ARTICLE 17 OF THE BY-LAWS IN ORDER TO ALIGN THEIR CONTENT WITH THE PACTE LAW | Mgmt | For | For |
| 27 | POWERS TO CARRY OUT FORMALITIES | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 199 of 261 |
Unassigned
| SAP SE | |||
| Security: | D66992104 | Agenda Number: | 713760329 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0007164600 | Meeting Date: | 12-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 200 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED ON THE BALLOT ON PROXYEDGE | Non-Voting | ||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | ||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | ||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.85 PER SHARE | Mgmt | For | For |
| 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Mgmt | For | For |
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 201 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 6.1 | ELECT QI LU TO THE SUPERVISORY BOARD | Mgmt | For | For |
| 6.2 | ELECT ROUVEN WESTPHAL TO THE SUPERVISORY BOARD | Mgmt | For | For |
| 7 | APPROVE ISSUANCE OF WARRANTS/BONDS WITH WARRANTS ATTACHED/CONVERTIBLE BONDS WITHOUT PREEMPTIVE RIGHTS UP TO AGGREGATE NOMINAL AMOUNT OF EUR 10 BILLION APPROVE CREATION OF EUR 100 MILLION POOL OF CAPITAL TO GUARANTEE CONVERSION RIGHTS | Mgmt | For | For |
| 8 | AMEND CORPORATE PURPOSE | Mgmt | For | For |
| 9 | AMEND ARTICLES RE: PROOF OF ENTITLEMENT | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 202 of 261 |
Unassigned
| SCHNEIDER ELECTRIC SE | |||
| Security: | F86921107 | Agenda Number: | 713726264 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0000121972 | Meeting Date: | 28-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting | ||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO ‘AGAINST’, OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 203 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020-1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 204 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | 05 APR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021032221006 14-35 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING FOR ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES FOR MID:536913, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 535333 DUE TO RECEIPT OF CHANGE IN VOTING STATUS FOR RESOLUTIONS 11, 12 AND 14. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU. | Non-Voting | ||
| 1 | APPROVAL OF THE CORPORATE FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2020 | Mgmt | For | For |
| 2 | APPROVAL OF THE CONSOLIDATED FINANCIAL STATEMENTS FOR THE FINANCIAL YEAR 2020 | Mgmt | For | For |
| 3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR AND SETTING OF THE DIVIDEND | Mgmt | For | For |
| 4 | APPROVAL OF THE REGULATED AGREEMENTS REFERRED TO IN ARTICLE L. 225-38 AND FOLLOWING OF THE | Mgmt | For | For |
| FRENCH COMMERCIAL CODE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 205 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 5 | APPROVAL OF THE INFORMATION RELATING TO THE COMPENSATION OF CORPORATE OFFICERS PAID DURING OR ALLOCATED IN RESPECT OF THE FINANCIAL YEAR ENDED 31 DECEMBER 2020 MENTIONED IN ARTICLE L. 22-10-9 OF THE FRENCH COMMERCIAL CODE | Mgmt | For | For |
| 6 | APPROVAL OF THE ELEMENTS MAKING UP THE TOTAL COMPENSATION AND BENEFITS OF ANY KIND PAID DURING THE FINANCIAL YEAR 2020 OR ALLOCATED IN RESPECT OF THE SAME FINANCIAL YEAR TO MR. JEAN PASCAL TRICOIRE, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 7 | APPROVAL OF THE COMPENSATION POLICY FOR THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER | Mgmt | For | For |
| 8 | APPROVAL OF THE COMPENSATION POLICY FOR THE MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 9 | RENEWAL OF THE TERM OF OFFICE OF MR. JEAN-PASCAL TRICOIRE AS DIRECTOR | Mgmt | For | For |
| 10 | APPOINTMENT OF MRS. ANNA OHLSSON-LEIJON AS DIRECTOR | Mgmt | For | For |
| 11 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MR. THIERRY JACQUET AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 206 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 12 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MRS. ZENNIA CSIKOS AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS | Shr | For | Against |
| 13 | RENEWAL OF THE TERM OF OFFICE OF MRS. XIAOYUN MA AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS | Mgmt | For | For |
| 14 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: APPOINTMENT OF MRS. MALENE KVIST KRISTENSEN AS DIRECTOR REPRESENTING EMPLOYEE SHAREHOLDERS | Shr | For | Against |
| 15 | AUTHORIZATION FOR THE BOARD OF DIRECTORS FOR THE COMPANY TO PURCHASE ITS OWN SHARES | Mgmt | For | For |
| 16 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY | Mgmt | For | For |
| 17 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITY GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS BY WAY OF A PUBLIC OFFERING OTHER THAN THAT REFERRED TO IN ARTICLE L. 411-2 1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 207 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 18 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITY GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS, AS PART OF AN OFFER REFERRED TO IN ARTICLE L. 411-2-1DECREE OF THE FRENCH MONETARY AND FINANCIAL CODE | Mgmt | For | For |
| 19 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE NUMBER OF SHARES TO BE ISSUED IN THE EVENT OF A CAPITAL INCREASE WITH RETENTION OR CANCELLATION OF THE SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS | Mgmt | For | For |
| 20 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY ISSUING COMMON SHARES OR ANY TRANSFERABLE SECURITIES GRANTING ACCESS TO THE CAPITAL OF THE COMPANY WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS IN ORDER TO REMUNERATE CONTRIBUTIONS IN KIND | Mgmt | For | For |
| 21 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO INCREASE THE SHARE CAPITAL BY INCORPORATING PREMIUMS, RESERVES, PROFITS OR OTHERS | Mgmt | For | For |
| 22 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO PROCEED WITH CAPITAL INCREASES RESERVED FOR MEMBERS OF A COMPANY SAVINGS PLAN WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 208 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 23 | DELEGATION OF AUTHORITY TO THE BOARD OF DIRECTORS TO PROCEED WITH CAPITAL INCREASES RESERVED FOR EMPLOYEES OF CERTAIN FOREIGN GROUP COMPANIES, DIRECTLY OR THROUGH INTERVENING ENTITIES, IN ORDER TO OFFER THEM BENEFITS COMPARABLE TO THOSE OFFERED TO MEMBERS OF A COMPANY SAVINGS PLAN, WITHOUT SHAREHOLDERS’ PRE-EMPTIVE SUBSCRIPTION RIGHTS | Mgmt | For | For |
| 24 | AUTHORIZATION FOR THE BOARD OF DIRECTORS TO CANCEL COMPANY SHARES PURCHASED UNDER SHARE BUYBACK PROGRAMS | Mgmt | For | For |
| 25 | AMENDMENT TO ARTICLE 13 OF THE BYLAWS TO CORRECT A MATERIAL ERROR | Mgmt | For | For |
| 26 | POWERS TO CARRY OUT FORMALITIES | Mgmt | For | For |
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 209 of 261 |
Unassigned
| SGS SA | |||
| Security: | H7485A108 | Agenda Number: | 713641810 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | CH0002497458 | Meeting Date: | 23-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting | ||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 210 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1.1 | ANNUAL REPORT, FINANCIAL STATEMENTS OF SGS SA AND CONSOLIDATED FINANCIAL STATEMENTS OF THE SGS GROUP FOR 2020 | Mgmt | For | For |
| 1.2 | ADVISORY VOTE ON THE 2020 REMUNERATION REPORT | Mgmt | For | For |
| 2 | RELEASE OF THE BOARD OF DIRECTORS AND OF THE MANAGEMENT | Mgmt | For | For |
| 3 | APPROPRIATION OF PROFIT | Mgmt | For | For |
| 4.1.1 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. CALVIN GRIEDER | Mgmt | For | For |
| 4.1.2 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. SAMI ATIYA | Mgmt | For | For |
| 4.1.3 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. PAUL DESMARAIS, JR | Mgmt | For | For |
| 4.1.4 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. IAN GALLIENNE | Mgmt | For | For |
| 4.1.5 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. SHELBY R. DU PASQUIER | Mgmt | For | For |
| 4.1.6 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MS. KORY SORENSON | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 211 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4.1.7 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MR. TOBIAS HARTMANN | Mgmt | For | For |
| 4.1.8 | RE-ELECTION AND ELECTION TO THE BOARD OF DIRECTOR: MS. JANET S. VERGIS (NEW) | Mgmt | For | For |
| 4.2.1 | ELECTION OF MR. CALVIN GRIEDER AS CHAIRMAN OF THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.3.1 | ELECTION TO THE REMUNERATION COMMITTEE: MR. IAN GALLIENNE | Mgmt | For | For |
| 4.3.2 | ELECTION TO THE REMUNERATION COMMITTEE: MR. SHELBY R. DU PASQUIER | Mgmt | For | For |
| 4.3.3 | ELECTION TO THE REMUNERATION COMMITTEE: MS. KORY SORENSEN | Mgmt | For | For |
| 4.4 | ELECTION OF THE STATUTORY AUDITORS: PRICEWATERHOUSECOOPERS SA, GENEVA | Mgmt | For | For |
| 4.5 | ELECTION OF THE INDEPENDENT PROXY: JEANDIN + DEFACQZ, GENEVA | Mgmt | For | For |
| 5.1 | REMUNERATION MATTERS: REMUNERATION OF THE BOARD OF DIRECTORS UNTIL THE 2022 ANNUAL GENERAL MEETING | Mgmt | For | For |
| 5.2 | REMUNERATION MATTERS: FIXED REMUNERATION OF SENIOR MANAGEMENT FOR THE FISCAL YEAR 2022 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 212 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 5.3 | REMUNERATION MATTERS: ANNUAL VARIABLE REMUNERATION OF SENIOR MANAGEMENT FOR THE FISCAL YEAR 2020 | Mgmt | For | For |
| 5.4 | REMUNERATION MATTERS: LONG TERM INCENTIVE PLAN TO BE ISSUED IN 2021 | Mgmt | For | For |
| 6 | REDUCTION OF SHARE CAPITAL | Mgmt | For | For |
| 7 | AUTHORIZED SHARE CAPITAL | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 213 of 261 |
Unassigned
| SIEMENS AG | |||
| Security: | D69671218 | Agenda Number: | 712718228 |
| Ticker: | Meeting Type: | EGM | |
| ISIN: | DE0007236101 | Meeting Date: | 09-Jul-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE ‘MATERIAL URL’ DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | ||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END-INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 214 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE | Non-Voting | ||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting | ||
| CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER’S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY’S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 215 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 1 | TO RESOLVE ON THE APPROVAL OF THE SPIN-OFF AND TRANSFER AGREEMENT BETWEEN SIEMENS AG AND SIEMENS ENERGY AG, MUNICH, DATED MAY 22, 2020 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 216 of 261 | ||||
Unassigned
| SIEMENS AG | |||
| Security: | D69671218 | Agenda Number: | 713501131 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | DE0007236101 | Meeting Date: | 03-Feb-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 502455 DUE TO ADDITION OF RESOLUTION 10. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED IF VOTE DEADLINE EXTENSIONS ARE GRANTED. THEREFORE PLEASE REINSTRUCT ON THIS MEETING NOTICE ON THE NEW JOB. IF HOWEVER VOTE DEADLINE EXTENSIONS ARE NOT GRANTED IN THE MARKET, THIS MEETING WILL BE CLOSED AND YOUR VOTE INTENTIONS ON THE ORIGINAL MEETING WILL BE APPLICABLE. PLEASE ENSURE VOTING IS SUBMITTED PRIOR TO CUTOFF ON THE ORIGINAL MEETING, AND AS SOON AS POSSIBLE ON THIS NEW AMENDED MEETING. THANK YOU | Non-Voting | ||
| CMMT | FROM 10TH FEBRUARY, BROADRIDGE WILL CODE ALL AGENDAS FOR GERMAN MEETINGS IN ENGLISH ONLY. IF YOU WISH TO SEE THE AGENDA IN GERMAN, THIS WILL BE MADE AVAILABLE AS A LINK UNDER THE 'MATERIAL URL' DROPDOWN AT THE TOP OF THE BALLOT. THE GERMAN AGENDAS FOR ANY EXISTING OR PAST MEETINGS WILL REMAIN IN PLACE. FOR FURTHER INFORMATION, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 217 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON 9TH JULY 2015 AND THE OVER-RULING OF THE DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH JUNE 2012 THE VOTING PROCESS HAS NOW CHANGED WITH REGARD TO THE GERMAN REGISTERED SHARES. AS A RESULT, IT IS NOW THE RESPONSIBILITY OF THE END- INVESTOR (I.E. FINAL BENEFICIARY) AND NOT THE INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL BENEFICIARY VOTING RIGHTS THEREFORE THE CUSTODIAN BANK / AGENT IN THE MARKET WILL BE SENDING THE VOTING DIRECTLY TO MARKET AND IT IS THE END INVESTORS RESPONSIBILITY TO ENSURE THE REGISTRATION ELEMENT IS COMPLETE WITH THE ISSUER DIRECTLY, SHOULD THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE CAPITAL | Non-Voting | ||
| CMMT | THE VOTE/REGISTRATION DEADLINE AS DISPLAYED ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL BE UPDATED AS SOON AS BROADRIDGE RECEIVES CONFIRMATION FROM THE SUB CUSTODIANS REGARDING THEIR INSTRUCTION DEADLINE. FOR ANY QUERIES PLEASE CONTACT YOUR CLIENT SERVICES REPRESENTATIVE | Non-Voting | ||
| CMMT | ACCORDING TO GERMAN LAW, IN CASE OF SPECIFIC CONFLICTS OF INTEREST IN CONNECTION WITH SPECIFIC ITEMS OF THE AGENDA FOR THE GENERAL MEETING YOU ARE NOT ENTITLED TO EXERCISE YOUR VOTING RIGHTS. FURTHER, YOUR VOTING RIGHT MIGHT BE EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE NOT COMPLIED WITH ANY OF YOUR MANDATORY VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE GERMAN SECURITIES TRADING ACT (WPHG). FOR QUESTIONS IN THIS REGARD PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE FOR CLARIFICATION. IF YOU DO NOT HAVE ANY INDICATION REGARDING SUCH CONFLICT OF INTEREST, OR ANOTHER EXCLUSION FROM VOTING, PLEASE SUBMIT YOUR VOTE AS USUAL | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 218 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | FURTHER INFORMATION ON COUNTER PROPOSALS CAN BE FOUND DIRECTLY ON THE ISSUER'S WEBSITE (PLEASE REFER TO THE MATERIAL URL SECTION OF THE APPLICATION). IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL NEED TO REQUEST A MEETING ATTEND AND VOTE YOUR SHARES DIRECTLY AT THE COMPANY'S MEETING. COUNTER PROPOSALS CANNOT BE REFLECTED IN THE BALLOT ON PROXYEDGE | Non-Voting | ||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 219 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU | Non-Voting | ||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL 2019/20 | Non-Voting | ||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 3.50 PER SHARE | Mgmt | For | For |
| 3.1 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JOE KAESER FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.2 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER ROLAND BUSCH FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.3 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER LISA DAVIS (UNTIL FEB. 29, 2020) FOR FISCAL 2019/20 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 220 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 3.4 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER KLAUS HELMRICH FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.5 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER JANINA KUGEL (UNTIL JAN. 31, 2020) FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.6 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER CEDRIK NEIKE FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.7 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER MICHAEL SEN (UNTIL MARCH 31, 2020) FOR FISCAL 2019/20 | Mgmt | For | For |
| 3.8 | APPROVE DISCHARGE OF MANAGEMENT BOARD MEMBER RALF THOMAS FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.1 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JIM SNABE FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.2 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BIRGIT STEINBORN FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.3 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WERNER WENNING FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.4 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER WERNER BRANDT FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.5 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MICHAEL DIEKMANN FOR FISCAL 2019/20 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 221 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4.6 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ANDREA FEHRMANN FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.7 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BETTINA HALLER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.8 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER ROBERT KENSBOCK (UNTIL SEP. 25, 2020) FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.9 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HARALD KERN FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.10 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER JUERGEN KERNER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.11 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NICOLA LEIBINGER- KAMMUELLER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.12 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER BENOIT POTIER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.13 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER HAGEN REIMER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.14 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NORBERT REITHOFER FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.15 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NEMAT SHAFIK FOR FISCAL 2019/20 | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 222 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 4.16 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER NATHALIE VON SIEMENS FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.17 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MICHAEL SIGMUND FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.18 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER DOROTHEA SIMON FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.19 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER MATTHIAS ZACHERT FOR FISCAL 2019/20 | Mgmt | For | For |
| 4.20 | APPROVE DISCHARGE OF SUPERVISORY BOARD MEMBER GUNNAR ZUKUNFT FOR FISCAL 2019/20 | Mgmt | For | For |
| 5 | RATIFY ERNST YOUNG GMBH AS AUDITORS FOR FISCAL 2020/21 | Mgmt | For | For |
| 6.1 | ELECT GRAZIA VITTADINI TO THE SUPERVISORY BOARD | Mgmt | For | For |
| 6.2 | ELECT KASPER RORSTED TO THE SUPERVISORY BOARD | Mgmt | For | For |
| 6.3 | REELECT JIM SNABE TO THE SUPERVISORY BOARD | Mgmt | For | For |
| 7 | APPROVE REMUNERATION OF SUPERVISORY BOARD | Mgmt | For | For |
| 8 | APPROVE CREATION OF EUR 90 MILLION POOL OF CAPITAL FOR EMPLOYEE STOCK PURCHASE PLAN | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 223 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management’s | |||
| Recommendation | ||||
| 9 | AMEND AFFILIATION AGREEMENT WITH SIEMENS BANK GMBH | Mgmt | For | For |
| 10 | PLEASE NOTE THAT THIS RESOLUTION IS A SHAREHOLDER PROPOSAL: AMENDMENT TO THE ARTICLES OF ASSOCIATION OF SIEMENS AG | Shr | For | Against |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 224 of 261 | ||||
Unassigned
| SSE PLC | |||
| Security: | G8842P102 | Agenda Number: | 712927928 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB0007908733 | Meeting Date: | 12-Aug-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1 | RECEIVE THE REPORT AND ACCOUNTS | Mgmt | For | For |
| 2 | APPROVE THE 2020 REMUNERATION REPORT | Mgmt | For | For |
| 3 | DECLARE A FINAL DIVIDEND | Mgmt | For | For |
| 4 | RE-APPOINT GREGOR ALEXANDER | Mgmt | For | For |
| 5 | RE-APPOINT SUE BRUCE | Mgmt | For | For |
| 6 | RE-APPOINT TONY COCKER | Mgmt | For | For |
| 7 | RE-APPOINT CRAWFORD GILLIES | Mgmt | For | For |
| 8 | RE-APPOINT RICHARD GILLINGWATER | Mgmt | For | For |
| 9 | RE-APPOINT PETER LYNAS | Mgmt | For | For |
| 10 | RE-APPOINT HELEN MAHY | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 225 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 11 | RE-APPOINT ALISTAIR PHILLIPS-DAVIES | Mgmt | For | For |
| 12 | RE-APPOINT MARTIN PIBWORTH | Mgmt | For | For |
| 13 | RE-APPOINT MELANIE SMITH | Mgmt | For | For |
| 14 | APPOINT ANGELA STRANK | Mgmt | For | For |
| 15 | RE-APPOINT ERNST AND YOUNG LLP AS AUDITOR | Mgmt | For | For |
| 16 | AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR'S REMUNERATION | Mgmt | For | For |
| 17 | AUTHORISE THE DIRECTORS TO ALLOT SHARES | Mgmt | For | For |
| 18 | TO DISAPPLY PRE-EMPTION RIGHTS | Mgmt | For | For |
| 19 | TO EMPOWER THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | Mgmt | For | For |
| 20 | TO APPROVE 14 DAYS' NOTICE OF GENERAL MEETINGS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 226 of 261 | ||||
Unassigned
| SWEDISH MATCH AB | |||
| Security: | W92277115 | Agenda Number: | 713666242 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | SE0000310336 | Meeting Date: | 13-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO MEETING ID 526921 DUE TO CHANGE IN VOTING STATUS FOR RESOLUTION 6. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED AND YOU WILL NEED TO REINSTRUCT ON THIS MEETING NOTICE. THANK YOU | Non-Voting | ||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE | Non-Voting | ||
| CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS AN AGAINST VOTE IF THE MEETING REQUIRES APPROVAL FROM THE MAJORITY OF PARTICIPANTS TO PASS A RESOLUTION | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 227 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | MARKET RULES REQUIRE DISCLOSURE OF BENEFICIAL OWNER INFORMATION FOR ALL VOTED ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE BENEFICIAL OWNERS, YOU WILL NEED TO PROVIDE THE BREAKDOWN OF EACH BENEFICIAL OWNER NAME, ADDRESS AND SHARE POSITION TO YOUR CLIENT SERVICE REPRESENTATIVE. THIS INFORMATION IS REQUIRED IN ORDER FOR YOUR VOTE TO BE LODGED | Non-Voting | ||
| CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT: A BENEFICIAL OWNER SIGNED POWER OF ATTORNEY (POA) IS REQUIRED IN ORDER TO LODGE AND EXECUTE YOUR VOTING INSTRUCTIONS IN THIS MARKET. ABSENCE OF A POA, MAY CAUSE YOUR INSTRUCTIONS TO BE REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE CONTACT YOUR CLIENT SERVICE REPRESENTATIVE | Non-Voting | ||
| CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| 1 | ELECTION OF THE CHAIRMAN OF THE MEETING | Non-Voting | ||
| 2 | PREPARATION AND APPROVAL OF THE VOTING LIST | Non-Voting | ||
| 3 | ELECTION OF TWO PERSONS TO VERIFY THE MINUTES: PETER LUNDKVIST AND FILIPPA GERSTADT | Non-Voting | ||
| 4 | DETERMINATION OF WHETHER THE MEETING HAS BEEN DULY CONVENED | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 228 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 5 | APPROVAL OF THE AGENDA | Non-Voting | ||
| 6 | RESOLUTION ON THE REMUNERATION REPORT | Mgmt | For | For |
| 7 | RESOLUTION ON ADOPTION OF THE INCOME STATEMENT AND BALANCE SHEET AND OF THE CONSOLIDATED INCOME STATEMENT AND CONSOLIDATED BALANCE SHEET | Mgmt | For | For |
| 8 | RESOLUTION REGARDING ALLOCATION OF THE COMPANY'S PROFIT IN ACCORDANCE WITH THE ADOPTED BALANCE SHEET AND RESOLUTION ON A RECORD DAY FOR DIVIDEND | Mgmt | For | For |
| 9.A | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: CHARLES A. BLIXT | Mgmt | For | For |
| 9.B | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: ANDREW CRIPPS | Mgmt | For | For |
| 9.C | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: JACQUELINE HOOGERBRUGGE | Mgmt | For | For |
| 9.D | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: CONNY CARLSSON | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 229 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 9.E | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: ALEXANDER LACIK | Mgmt | For | For |
| 9.F | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PAULINE LINDWALL | Mgmt | For | For |
| 9.G | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: WENCHE ROLFSEN | Mgmt | For | For |
| 9.H | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: JOAKIM WESTH | Mgmt | For | For |
| 9.I | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PATRIK ENGELBREKTSSON | Mgmt | For | For |
| 9.J | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: PAR-OLA OLAUSSON | Mgmt | For | For |
| 9.K | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE BOARD MEMBER FOR 2020: DRAGAN POPOVIC | Mgmt | For | For |
| 9.L | RESOLUTION REGARDING DISCHARGE FROM LIABILITY IN RESPECT OF THE PRESIDENT FOR 2020: LARS DAHLGREN (AS THE PRESIDENT) | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 230 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 10 | RESOLUTION REGARDING THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS TO BE ELECTED BY THE MEETING: EIGHT | Mgmt | For | For |
| CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 14 ARE PROPOSED BY NOMINATING COMMITTEE AND BOARD DOES NOT MAKE ANY RECOMMENDATION ON THESE PROPOSALS. THE STANDING INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting | ||
| 11 | RESOLUTION REGARDING REMUNERATION TO THE MEMBERS OF THE BOARD OF DIRECTORS | Mgmt | For | |
| 12.A | RE- ELECTION OF BOARD MEMBER: CHARLES A. BLIXT | Mgmt | For | |
| 12.B | RE- ELECTION OF BOARD MEMBER: ANDREW CRIPPS | Mgmt | For | |
| 12.C | RE- ELECTION OF BOARD MEMBER: JACQUELINE HOOGERBRUGGE | Mgmt | For | |
| 12.D | RE- ELECTION OF BOARD MEMBER: CONNY CARLSSON | Mgmt | For | |
| 12.E | RE- ELECTION OF BOARD MEMBER: ALEXANDER LACIK | Mgmt | For | |
| 12.F | RE- ELECTION OF BOARD MEMBER: PAULINE LINDWALL | Mgmt | For | |
| 12.G | RE- ELECTION OF BOARD MEMBER: WENCHE ROLFSEN | Mgmt | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 231 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 12.H | RE- ELECTION OF BOARD MEMBER: JOAKIM WESTH | Mgmt | For | |
| 12.I | RE-ELECTION OF THE CHAIRMAN OF THE BOARD: CONNY KARLSSON | Mgmt | For | |
| 12.J | RE-ELECTION OF THE DEPUTY CHAIRMAN OF THE BOARD: ANDREW CRIPPS | Mgmt | For | |
| 13 | RESOLUTION REGARDING THE NUMBER OF AUDITORS | Mgmt | For | |
| 14 | RESOLUTION REGARDING REMUNERATION TO THE AUDITOR | Mgmt | For | |
| 15 | ELECTION OF AUDITOR: THE NOMINATING COMMITTEE PROPOSES THAT THE NUMBER OF AUDITORS SHALL BE ONE WITH NO DEPUTY AUDITOR AND THAT THE AUDITOR COMPANY DELOITTE AB SHALL BE ELECTED AS AUDITOR FOR THE PERIOD AS OF THE END OF THE ANNUAL GENERAL MEETING 2021 UNTIL THE END OF THE ANNUAL GENERAL MEETING 2022 | Mgmt | For | For |
| 16.A | RESOLUTION REGARDING: THE REDUCTION OF THE SHARE CAPITAL BY MEANS OF WITHDRAWAL OF REPURCHASED SHARES | Mgmt | For | For |
| 16.B | RESOLUTION REGARDING: BONUS ISSUE | Mgmt | For | For |
| 17 | RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO RESOLVE ON ACQUISITIONS OF SHARES IN THE COMPANY | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 232 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 18 | RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO RESOLVE ON TRANSFER OF SHARES IN THE COMPANY | Mgmt | For | For |
| 19 | RESOLUTION REGARDING AUTHORIZATION OF THE BOARD OF DIRECTORS TO ISSUE NEW SHARES | Mgmt | For | For |
| 20.A | RESOLUTION ON: AMENDMENT OF THE ARTICLES OF ASSOCIATION | Mgmt | For | For |
| 20.B | RESOLUTION ON: A SPLIT OF THE COMPANY'S SHARES (SHARE SPLIT) | Mgmt | For | For |
| 21 | RESOLUTION ON AMENDMENT OF THE ARTICLES OF ASSOCIATION | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 233 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 234 of 261 | ||||
Unassigned
| SWISSCOM AG | |||
| Security: | H8398N104 | Agenda Number: | 713621969 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | CH0008742519 | Meeting Date: | 31-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against | |
| by | Management's | ||||
| Recommendation | |||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS ARE REQUIRED FOR THIS MEETING. IF NO BENEFICIAL OWNER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY BE REJECTED. THANK YOU. | Non-Voting | |||
| CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON AGENDA AND MEETING ATTENDANCE REQUESTS ONLY. PLEASE ENSURE THAT YOU HAVE FIRST VOTED IN FAVOUR OF THE REGISTRATION OF SHARES IN PART 1 OF THE MEETING. IT IS A MARKET REQUIREMENT FOR MEETINGS OF THIS TYPE THAT THE SHARES ARE REGISTERED AND MOVED TO A REGISTERED LOCATION AT THE CSD, AND SPECIFIC POLICIES AT THE INDIVIDUAL SUB-CUSTODIANS MAY VARY. UPON RECEIPT OF THE VOTE INSTRUCTION, IT IS POSSIBLE THAT A MARKER MAY BE PLACED ON YOUR SHARES TO ALLOW FOR RECONCILIATION AND RE-REGISTRATION FOLLOWING A TRADE. THEREFORE WHILST THIS DOES NOT PREVENT THE TRADING OF SHARES, ANY THAT ARE REGISTERED MUST BE FIRST DEREGISTERED IF REQUIRED FOR SETTLEMENT. DEREGISTRATION CAN AFFECT THE VOTING RIGHTS OF THOSE SHARES. IF YOU HAVE CONCERNS REGARDING YOUR ACCOUNTS, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 235 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1.1 | APPROVAL OF THE MANAGEMENT REPORT, THE CONSOLIDATED FINANCIAL STATEMENTS AND THE FINANCIAL STATEMENTS OF SWISSCOM LTD FOR THE FINANCIAL YEAR 2020 | Mgmt | For | For |
| 1.2 | CONSULTATIVE VOTE ON THE REMUNERATION REPORT 2020 | Mgmt | Against | Against |
| 2 | APPROPRIATION OF THE RETAINED EARNINGS 2020 AND DECLARATION OF DIVIDEND: THE BOARD OF DIRECTORS PROPOSES TO THE SHAREHOLDERS' MEETING A DIVIDEND OF CHF 22 GROSS PER SHARE (PRIOR YEAR: CHF 22). THE TOTAL DIVIDEND OF APPROX. CHF 1,140 MILLION IS BASED ON A PORTFOLIO OF 51,800,516 SHARES WITH A DIVIDEND ENTITLEMENT (AS OF 31 DECEMBER 2020). SUBJECT TO THE APPROVAL OF THE PROPOSAL BY THE SHAREHOLDERS' MEETING, AFTER DEDUCTING FEDERAL WITHHOLDING TAX OF 35%, A NET DIVIDEND OF CHF 14.30 PER SHARE WILL BE PAID OUT ON 8 APRIL 2021. THE LAST TRADING DAY WITH ENTITLEMENT TO RECEIVE A DIVIDEND IS 1 APRIL 2021. AS OF 6 APRIL 2021, THE SHARES WILL BE TRADED EX DIVIDEND | Mgmt | For | For |
| 3 | DISCHARGE OF THE MEMBERS OF THE BOARD OF DIRECTORS AND THE GROUP EXECUTIVE BOARD | Mgmt | For | For |
| 4.1 | RE-ELECTION OF ROLAND ABT TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.2 | RE-ELECTION OF ALAIN CARRUPT TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.3 | ELECTION OF GUUS DEKKERS TO THE BOARD OF DIRECTORS | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 236 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 4.4 | RE-ELECTION OF FRANK ESSER TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.5 | RE-ELECTION OF BARBARA FREI TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.6 | RE-ELECTION OF SANDRA LATHION- ZWEIFEL TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.7 | RE-ELECTION OF ANNA MOSSBERG TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.8 | RE-ELECTION OF MICHAEL RECHSTEINER TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 4.9 | ELECTION OF MICHAEL RECHSTEINER AS CHAIRMAN TO THE BOARD OF DIRECTORS | Mgmt | For | For |
| 5.1 | RE-ELECTION OF ROLAND ABT TO THE COMPENSATION COMMITTEE | Mgmt | For | For |
| 5.2 | RE-ELECTION OF FRANK ESSER TO THE COMPENSATION COMMITTEE | Mgmt | For | For |
| 5.3 | RE-ELECTION OF BARBARA FREI TO THE COMPENSATION COMMITTEE | Mgmt | For | For |
| 5.4 | ELECTION OF MICHAEL RECHSTEINER TO THE COMPENSATION COMMITTEE | Mgmt | For | For |
| 5.5 | RE-ELECTION OF RENZO SIMONI TO THE COMPENSATION COMMITTEE | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 237 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 6.1 | APPROVAL OF THE TOTAL REMUNERATION OF THE MEMBERS OF THE BOARD OF DIRECTORS FOR 2022 | Mgmt | For | For |
| 6.2 | APPROVAL OF THE TOTAL REMUNERATION OF THE MEMBERS OF THE GROUP EXECUTIVE BOARD FOR 2022 | Mgmt | For | For |
| 7 | RE-ELECTION OF THE INDEPENDENT PROXY: THE BOARD OF DIRECTORS PROPOSES THAT THE LAW FIRM REBER RECHTSANWALTE, ZURICH, BE RE- ELECTED AS INDEPENDENT PROXY FOR THE PERIOD OF TIME UNTIL THE CONCLUSION OF THE NEXT ORDINARY SHAREHOLDERS' MEETING | Mgmt | For | For |
| 8 | RE-ELECTION OF THE STATUTORY AUDITORS: THE BOARD OF DIRECTORS PROPOSES THAT PRICEWATERHOUSECOOPERS AG, ZURICH, BE RE-ELECTED AS STATUTORY AUDITORS FOR THE 2021 FINANCIAL YEAR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 238 of 261 | ||||
Unassigned
| UNILEVER PLC | |||
| Security: | G92087165 | Agenda Number: | 713023341 |
| Ticker: | Meeting Type: | CRT | |
| ISIN: | GB00B10RZP78 | Meeting Date: | 12-Oct-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT ABSTAIN IS NOT A VALID VOTE OPTION FOR THIS MEETING TYPE. PLEASE CHOOSE BETWEEN "FOR" AND "AGAINST" ONLY. SHOULD YOU CHOOSE TO VOTE ABSTAIN FOR THIS MEETING THEN YOUR VOTE WILL BE DISREGARDED BY THE ISSUER OR ISSUERS AGENT | Non-Voting | ||
| 1 | APPROVAL OF CROSS-BORDER MERGER | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 239 of 261 | ||||
Unassigned
| UNILEVER PLC | |||
| Security: | G92087165 | Agenda Number: | 713023339 |
| Ticker: | Meeting Type: | OGM | |
| ISIN: | GB00B10RZP78 | Meeting Date: | 12-Oct-20 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1 | THE SPECIAL RESOLUTION IS TO APPROVE: (I) THE CROSS-BORDER MERGER, INCLUDING ALL SUCH STEPS AS ARE NECESSARY TO BE TAKEN FOR THE PURPOSE OF EFFECTING THE CROSS-BORDER MERGER; AND (II) THE AMENDMENTS TO THE COMPANY'S ARTICLES OF ASSOCIATION. THE SPECIAL RESOLUTION IS SET OUT IN FULL IN THE NOTICE OF GENERAL MEETING CONTAINED IN SCHEDULE 2 OF THE CIRCULAR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 240 of 261 | ||||
Unassigned
| UNILEVER PLC | |||
| Security: | G92087165 | Agenda Number: | 713716972 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | GB00B10RZP78 | Meeting Date: | 05-May-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 1. | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Mgmt | For | For |
| 2. | APPROVE REMUNERATION REPORT | Mgmt | For | For |
| 3. | APPROVE REMUNERATION POLICY | Mgmt | For | For |
| 4. | APPROVE CLIMATE TRANSITION ACTION PLAN | Mgmt | For | For |
| 5. | RE-ELECT NILS ANDERSEN AS DIRECTOR | Mgmt | For | For |
| 6. | RE-ELECT LAURA CHA AS DIRECTOR | Mgmt | For | For |
| 7. | RE-ELECT DR JUDITH HARTMANN AS DIRECTOR | Mgmt | For | For |
| 8. | RE-ELECT ALAN JOPE AS DIRECTOR | Mgmt | For | For |
| 9. | RE-ELECT ANDREA JUNG AS DIRECTOR | Mgmt | For | For |
| 10. | RE-ELECT SUSAN KILSBY AS DIRECTOR | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 241 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 11. | RE-ELECT STRIVE MASIYIWA AS DIRECTOR | Mgmt | For | For |
| 12. | RE-ELECT YOUNGME MOON AS DIRECTOR | Mgmt | For | For |
| 13. | RE-ELECT GRAEME PITKETHLY AS DIRECTOR | Mgmt | For | For |
| 14. | RE-ELECT JOHN RISHTON AS DIRECTOR | Mgmt | For | For |
| 15. | RE-ELECT FEIKE SIJBESMA AS DIRECTOR | Mgmt | For | For |
| 16. | REAPPOINT KPMG LLP AS AUDITORS | Mgmt | For | For |
| 17. | AUTHORISE BOARD TO FIX REMUNERATION OF AUDITORS | Mgmt | For | For |
| 18. | AUTHORISE EU POLITICAL DONATIONS AND EXPENDITURE | Mgmt | For | For |
| 19. | APPROVE SHARES PLAN | Mgmt | For | For |
| 20. | AUTHORISE ISSUE OF EQUITY | Mgmt | For | For |
| 21. | AUTHORISE ISSUE OF EQUITY WITHOUT PRE-EMPTIVE RIGHTS | Mgmt | For | For |
| 22. | AUTHORISE ISSUE OF EQUITY WITHOUT PRE-EMPTIVE RIGHTS IN CONNECTION WITH AN ACQUISITION OR OTHER CAPITAL INVESTMENT | Mgmt | For | For |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 242 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 23. | AUTHORISE MARKET PURCHASE OF ORDINARY SHARES | Mgmt | For | For |
| 24. | AUTHORISE THE COMPANY TO CALL GENERAL MEETING WITH TWO WEEKS' NOTICE | Mgmt | For | For |
| 25. | ADOPT NEW ARTICLES OF ASSOCIATION | Mgmt | For | For |
| 26. | APPROVE REDUCTION OF THE SHARE PREMIUM ACCOUNT | Mgmt | For | For |
| CMMT | 23 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO DUE CHANGE IN NUMBERING FOR ALL RESOLUTIONS. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 243 of 261 | ||||
Unassigned
| VIVENDI SE | |||
| Security: | F97982106 | Agenda Number: | 713615980 |
| Ticker: | Meeting Type: | EGM | |
| ISIN: | FR0000127771 | Meeting Date: | 29-Mar-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS THAT DO NOT HOLD SHARES DIRECTLY WITH A FRENCH CUSTODIAN: PROXY CARDS: VOTING INSTRUCTIONS WILL BE FORWARDED TO THE GLOBAL CUSTODIANS ON THE VOTE DEADLINE DATE. IN CAPACITY AS REGISTERED INTERMEDIARY, THE GLOBAL CUSTODIANS WILL SIGN THE PROXY CARDS AND FORWARD THEM TO THE LOCAL CUSTODIAN. IF YOU REQUEST MORE INFORMATION, PLEASE CONTACT YOUR CLIENT REPRESENTATIVE. | Non-Voting | ||
| CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY CARDS FOR FRENCH MEETINGS, ABSTAIN IS NOW A VALID VOTING OPTION. FOR ANY ADDITIONAL ITEMS RAISED AT THE MEETING THE VOTING OPTION WILL DEFAULT TO 'AGAINST', OR FOR POSITIONS WHERE THE PROXY CARD IS NOT COMPLETED BY BROADRIDGE, TO THE PREFERENCE OF YOUR CUSTODIAN. | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 244 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | 24 FEB 2021: PLEASE NOTE THAT IF YOU HOLD CREST DEPOSITORY INTERESTS (CDIS) AND PARTICIPATE AT THIS MEETING, YOU (OR YOUR CREST SPONSORED MEMBER/CUSTODIAN) WILL BE REQUIRED TO INSTRUCT A TRANSFER OF THE RELEVANT CDIS TO THE ESCROW ACCOUNT SPECIFIED IN THE ASSOCIATED CORPORATE EVENT IN THE CREST SYSTEM. THIS TRANSFER WILL NEED TO BE COMPLETED BY THE SPECIFIED CREST SYSTEM DEADLINE. ONCE THIS TRANSFER HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE CREST SYSTEM. THE CDIS WILL BE RELEASED FROM ESCROW AS SOON AS PRACTICABLE ON THE BUSINESS DAY PRIOR TO MEETING DATE UNLESS OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO BE ACCEPTED, THE VOTED POSITION MUST BE BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN THE CREST SYSTEM. BY VOTING ON THIS MEETING, YOUR CREST SPONSORED MEMBER/CUSTODIAN MAY USE YOUR VOTE INSTRUCTION AS THE AUTHORIZATION TO TAKE THE NECESSARY ACTION WHICH WILL INCLUDE TRANSFERRING YOUR INSTRUCTED POSITION TO ESCROW. PLEASE CONTACT YOUR CREST SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR FURTHER INFORMATION ON THE CUSTODY PROCESS AND WHETHER OR NOT THEY REQUIRE SEPARATE INSTRUCTIONS FROM YOU AND PLEASE NOTE THAT SHAREHOLDER DETAILS ARE REQUIRED TO VOTE AT THIS MEETING. IF NO SHAREHOLDER DETAILS ARE PROVIDED, YOUR INSTRUCTION MAY CARRY A HEIGHTENED RISK OF BEING REJECTED. THANK YOU | Non-Voting | ||
| CMMT | PLEASE NOTE THAT DUE TO THE CURRENT COVID19 CRISIS AND IN ACCORDANCE WITH THE PROVISIONS ADOPTED BY THE FRENCH GOVERNMENT UNDER LAW NO. 2020- 1379 OF NOVEMBER 14, 2020, EXTENDED AND MODIFIED BY LAW NO 2020-1614 OF DECEMBER 18, 2020 THE GENERAL MEETING WILL TAKE PLACE BEHIND CLOSED DOORS WITHOUT THE PHYSICAL PRESENCE OF THE SHAREHOLDERS. TO COMPLY WITH THESE LAWS, PLEASE DO NOT SUBMIT ANY REQUESTS TO ATTEND THE MEETING IN PERSON. SHOULD THIS SITUATION CHANGE, THE COMPANY ENCOURAGES ALL SHAREHOLDERS TO REGULARLY CONSULT THE COMPANY WEBSITE | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 245 of 261 | ||||
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | 10 MAR 2021: PLEASE NOTE THAT IMPORTANT ADDITIONAL MEETING INFORMATION IS AVAILABLE BY CLICKING ON THE MATERIAL URL LINK: https://www.journal-officiel.gouv.fr/balo/document/2021031021004 88-30 AND PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN URL LINK. IF YOU HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting |
| 1 | AMENDMENT TO ARTICLE 20 OF THE BY- LAWS - ALLOCATION AND DISTRIBUTION OF INCOME | Mgmt | For | For |
| 2 | POWERS TO CARRY OUT FORMALITIES | Mgmt | For | For |
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE THAT IF YOU ARE CLASSIFIED AS AN INTERMEDIARY CLIENT UNDER THE SHAREHOLDER RIGHTS DIRECTIVE II, YOU SHOULD BE PROVIDING THE UNDERLYING SHAREHOLDER INFORMATION AT THE VOTE INSTRUCTION LEVEL. IF YOU ARE UNSURE ON HOW TO PROVIDE THIS LEVEL OF DATA TO BROADRIDGE OUTSIDE OF PROXYEDGE, PLEASE SPEAK TO YOUR DEDICATED CLIENT SERVICE REPRESENTATIVE FOR ASSISTANCE. THANK YOU | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 246 of 261 |
Unassigned
| VIVENDI SE | |||
| Security: | F97982106 | Agenda Number: | 714164934 |
| Ticker: | Meeting Type: | MIX | |
| ISIN: | FR0000127771 | Meeting Date: | 22-Jun-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | THE FOLLOWING APPLIES TO | Non-Voting | ||
| SHAREHOLDERS THAT DO NOT HOLD | ||||
| SHARES DIRECTLY WITH A FRENCH | ||||
| CUSTODIAN: PROXY CARDS: VOTING | ||||
| INSTRUCTIONS WILL BE FORWARDED TO | ||||
| THE GLOBAL CUSTODIANS ON THE VOTE | ||||
| DEADLINE DATE. IN CAPACITY AS | ||||
| REGISTERED INTERMEDIARY, THE | ||||
| GLOBAL CUSTODIANS WILL SIGN THE | ||||
| PROXY CARDS AND FORWARD THEM TO | ||||
| THE LOCAL CUSTODIAN. IF YOU | ||||
| REQUEST MORE INFORMATION, PLEASE | ||||
| CONTACT YOUR CLIENT | ||||
| REPRESENTATIVE. | ||||
| CMMT | FOLLOWING CHANGES IN THE FORMAT | Non-Voting | ||
| OF PROXY CARDS FOR FRENCH | ||||
| MEETINGS, ABSTAIN IS NOW A VALID | ||||
| VOTING OPTION. FOR ANY ADDITIONAL | ||||
| ITEMS RAISED AT THE MEETING THE | ||||
| VOTING OPTION WILL DEFAULT TO | ||||
| 'AGAINST', OR FOR POSITIONS WHERE | ||||
| THE PROXY CARD IS NOT COMPLETED | ||||
| BY BROADRIDGE, TO THE PREFERENCE | ||||
| OF YOUR CUSTODIAN. | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | ||
| DETAILS ARE REQUIRED TO VOTE AT | ||||
| THIS MEETING. IF NO SHAREHOLDER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY CARRY A | ||||
| HEIGHTENED RISK OF BEING REJECTED. | ||||
| THANK YOU |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 247 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT DUE TO THE | Non-Voting | ||
| CURRENT COVID19 CRISIS AND IN | ||||
| ACCORDANCE WITH THE PROVISIONS | ||||
| ADOPTED BY THE FRENCH | ||||
| GOVERNMENT UNDER LAW NO. 2020- | ||||
| 1379 OF NOVEMBER 14, 2020, EXTENDED | ||||
| AND MODIFIED BY LAW NO 2020-1614 OF | ||||
| DECEMBER 18, 2020 THE GENERAL | ||||
| MEETING WILL TAKE PLACE BEHIND | ||||
| CLOSED DOORS WITHOUT THE | ||||
| PHYSICAL PRESENCE OF THE | ||||
| SHAREHOLDERS. TO COMPLY WITH | ||||
| THESE LAWS, PLEASE DO NOT SUBMIT | ||||
| ANY REQUESTS TO ATTEND THE | ||||
| MEETING IN PERSON. SHOULD THIS | ||||
| SITUATION CHANGE, THE COMPANY | ||||
| ENCOURAGES ALL SHAREHOLDERS TO | ||||
| REGULARLY CONSULT THE COMPANY | ||||
| WEBSITE | ||||
| CMMT | PLEASE NOTE THAT IMPORTANT | Non-Voting | ||
| ADDITIONAL MEETING INFORMATION IS | ||||
| AVAILABLE BY CLICKING ON THE | ||||
| MATERIAL URL LINK: https://www.journal- | ||||
| officiel.gouv.fr/balo/document/2021051221016 | ||||
| 84-57 AND https://www.journal- | ||||
| officiel.gouv.fr/balo/document/2021060421023 | ||||
| 85-67 | ||||
| 1 | THE SHAREHOLDERS' MEETING, AFTER | Mgmt | For | For |
| HAVING REVIEWED THE REPORTS OF | ||||
| THE EXECUTIVE COMMITTEE AND THE | ||||
| AUDITORS, APPROVES THE COMPANY'S | ||||
| FINANCIAL STATEMENTS FOR THE | ||||
| FISCAL YEAR THAT ENDED IN 2020, AS | ||||
| PRESENTED TO THE MEETING, SHOWING | ||||
| NET EARNINGS AMOUNTING TO EUR | ||||
| 3,009,370,168.18 | ||||
| 2 | THE SHAREHOLDERS' MEETING, AFTER | Mgmt | For | For |
| HAVING REVIEWED THE REPORTS OF | ||||
| THE EXECUTIVE COMMITTEE AND THE | ||||
| AUDITORS, APPROVES THE | ||||
| CONSOLIDATED FINANCIAL STATEMENTS | ||||
| FOR SAID FINANCIAL YEAR, AS | ||||
| PRESENTED TO THE MEETING |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 248 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 3 | THE SHAREHOLDERS' MEETING, AFTER | Mgmt | For | For |
| REVIEWING THE SPECIAL REPORT OF | ||||
| THE AUDITORS ON AGREEMENTS | ||||
| GOVERNED BY ARTICLE L.225-88 OF THE | ||||
| FRENCH COMMERCIAL CODE, APPROVES | ||||
| SAID REPORT AND THE AGREEMENT | ||||
| AUTHORIZED SINCE THE CLOSING OF | ||||
| THE 2020 FISCAL YEAR AS REFERRED TO | ||||
| THEREIN, AND TAKES NOTICE THAT NO | ||||
| NEW AGREEMENT HAS BEEN | ||||
| AUTHORIZED FOR SAID FISCAL YEAR | ||||
| AND THAT NO AGREEMENT PREVIOUSLY | ||||
| ENTERED INTO REMAINED IN FORCE | ||||
| DURING SAID FISCAL YEAR | ||||
| 4 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| APPROVES THE RECOMMENDATIONS OF | ||||
| THE EXECUTIVE COMMITTEE AND | ||||
| RESOLVES TO ALLOCATE THE EARNINGS | ||||
| AS FOLLOWS: ORIGIN: EARNINGS: EUR | ||||
| 3,009,370,168.18 RETAINED EARNINGS: | ||||
| EUR 2,955,604,551.07 DISTRIBUTABLE | ||||
| INCOME: EUR 5,964,974,719.25 | ||||
| ALLOCATION: DIVIDENDS: EUR | ||||
| 651,333,876.60 RETAINED EARNINGS: EUR | ||||
| 5,313,640,842.65 THE SHAREHOLDERS | ||||
| WILL BE GRANTED AN ORDINARY | ||||
| DIVIDEND OF EUR 0.60 PER SHARE, THAT | ||||
| WILL BE ELIGIBLE TO THE 40 PER CENT | ||||
| DEDUCTION PROVIDED BY THE FRENCH | ||||
| GENERAL TAX CODE. THIS DIVIDEND | ||||
| WILL BE PAID FROM THE 25TH OF JUNE | ||||
| 2021. AS REQUIRED BY LAW, IT IS | ||||
| REMINDED THAT, FOR THE LAST THREE | ||||
| FINANCIAL YEARS, THE DIVIDENDS WERE | ||||
| PAID AS FOLLOWS: EUR 0.45 PER SHARE | ||||
| FOR FISCAL YEAR 2017 EUR 0.50 PER | ||||
| SHARE FOR FISCAL YEAR 2018 EUR 0.60 | ||||
| PER SHARE FOR FISCAL YEAR 2019 | ||||
| RESULTS APPROPRIATION |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 249 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 5 | THE SHAREHOLDERS' MEETING ISSUES A | Mgmt | For | For |
| FAVOURABLE OPINION ON THE | ||||
| PROPOSED EXCEPTIONAL DISTRIBUTION | ||||
| OF CONTRIBUTIONS IN KIND OF A | ||||
| MAJORITY OF THE SHARE CAPITAL OF | ||||
| THE UNIVERSAL MUSIC GROUP N.V. | ||||
| COMPANY TO THE SHAREHOLDERS OF | ||||
| THE VIVENDI SE COMPANY, AS | ||||
| REFERRED TO IN RESOLUTION 6 | ||||
| 6 | THE SHAREHOLDERS' MEETING DECIDES | Mgmt | For | For |
| TO EXCEPTIONALLY GRANT 1,086,266,883 | ||||
| SHARES OF THE UNIVERSAL MUSIC | ||||
| GROUP N.V. COMPANY, AT THE RATE OF 1 | ||||
| SHARE OF THE UNIVERSAL MUSIC | ||||
| GROUP N.V. COMPANY FOR 1 SHARE OF | ||||
| THE VIVENDI SE COMPANY, | ||||
| CORRESPONDING TO A VALUE OF EUR | ||||
| 19,800,000,000.00 THAT WILL BE | ||||
| CHARGED ON THE RETAINED EARNINGS | ||||
| ACCOUNT FOR THE AMOUNT OF EUR | ||||
| 5,313,640,842.65 (THIS LATTER AMOUNT | ||||
| CORRESPONDING TO THE 2020 | ||||
| EARNINGS AMOUNTING TO EUR | ||||
| 3,009,370,168.18 DIMINISHED BY THE | ||||
| ORDINARY DIVIDEND AMOUNTING TO | ||||
| EUR 651,333,876.60, I.E. EUR | ||||
| 2,358,036,291.58, ADDED WITH THE | ||||
| PREVIOUS RETAINED EARNINGS | ||||
| AMOUNTING TO EUR 2,955,604,551.07) TO | ||||
| BE PAID ON THE 29TH OF SEPTEMBER | ||||
| 2021, TO THE BENEFIT OF THE | ||||
| SHAREHOLDERS OF THE VIVENDI SE | ||||
| COMPANY WHOSE SHARES ARE | ||||
| REGISTERED BY THE 28TH OF | ||||
| SEPTEMBER 2021. THE AMOUNT OF THE | ||||
| DOWN PAYMENT AMOUNTING TO EUR | ||||
| 14,486,359,157.35 WILL BE CHARGED ON | ||||
| THE RESULTS APPROPRIATION OF THE | ||||
| 2021 FISCAL YEAR. ALL POWERS TO THE | ||||
| EXECUTIVE COMMITTEE TO ACCOMPLISH | ||||
| ALL NECESSARY FORMALITIES | ||||
| 7 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE INFORMATION | ||||
| MENTIONED IN THE ARTICLE L.22-10-9 I | ||||
| OF THE FRENCH COMMERCIAL CODE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 250 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 8 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR YANNICK | ||||
| BOLLORE AS CHAIRMAN OF THE | ||||
| SUPERVISORY BOARD FOR THE 2020 | ||||
| FINANCIAL YEAR | ||||
| 9 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR ARNAUD DE | ||||
| PUYFONTAINE AS CHAIRMAN OF THE | ||||
| EXECUTIVE COMMITTEE FOR THE 2020 | ||||
| FINANCIAL YEAR | ||||
| 10 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR GILLES ALIX AS | ||||
| MEMBER OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2020 FINANCIAL | ||||
| YEAR | ||||
| 11 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR CEDRIC DE | ||||
| BAILLIENCOURT AS MEMBER OF THE | ||||
| EXECUTIVE COMMITTEE FOR THE 2020 | ||||
| FINANCIAL YEAR | ||||
| 12 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR FREDERIC CREPIN | ||||
| AS MEMBER OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2020 FINANCIAL | ||||
| YEAR |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 251 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 13 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR SIMON GILLHAM | ||||
| AS MEMBER OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2020 FINANCIAL | ||||
| YEAR | ||||
| 14 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR HERVE PHILIPPE | ||||
| AS MEMBER OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2020 FINANCIAL | ||||
| YEAR | ||||
| 15 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE COMPONENTS OF THE | ||||
| TOTAL COMPENSATION AS WELL AS THE | ||||
| BENEFITS OR PERKS OF ANY KIND PAID | ||||
| AND AWARDED TO MR STEPHANE | ||||
| ROUSSEL AS MEMBER OF THE | ||||
| EXECUTIVE COMMITTEE FOR THE 2020 | ||||
| FINANCIAL YEAR | ||||
| 16 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE POLICY OF THE | ||||
| COMPENSATION APPLICABLE TO THE | ||||
| MEMBERS OF THE SUPERVISORY BOARD | ||||
| AND ITS CHAIRMAN FOR THE 2021 | ||||
| FISCAL YEAR | ||||
| 17 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE POLICY OF THE | ||||
| COMPENSATION APPLICABLE TO THE | ||||
| CHAIRMAN OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2021 FISCAL YEAR |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 252 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 18 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| APPROVES THE POLICY OF THE | ||||
| COMPENSATION APPLICABLE TO THE | ||||
| MEMBERS OF THE EXECUTIVE | ||||
| COMMITTEE FOR THE 2021 FISCAL YEAR | ||||
| 19 | THE SHAREHOLDERS' MEETING RENEWS | Mgmt | For | For |
| THE APPOINTMENT OF MRS VERONIQUE | ||||
| DRIOT-ARGENTIN AS A MEMBER OF THE | ||||
| SUPERVISORY BOARD FOR A 4-YEAR | ||||
| PERIOD, I.E. UNTIL THE SHAREHOLDERS' | ||||
| MEETING CALLED TO RULE ON THE | ||||
| FINANCIAL STATEMENTS FOR THE 2024 | ||||
| FISCAL YEAR | ||||
| 20 | THE SHAREHOLDERS' MEETING RENEWS | Mgmt | For | For |
| THE APPOINTMENT OF MRS SANDRINE | ||||
| LE BIHAN AS A MEMBER OF THE | ||||
| SUPERVISORY BOARD REPRESENTING | ||||
| THE EMPLOYEE SHAREHOLDERS FOR A | ||||
| 4-YEAR PERIOD, I.E. UNTIL THE | ||||
| SHAREHOLDERS' MEETING CALLED TO | ||||
| RULE ON THE FINANCIAL STATEMENTS | ||||
| FOR THE 2024 FISCAL YEAR | ||||
| 21 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| AUTHORIZES THE EXECUTIVE | ||||
| COMMITTEE TO BUY BACK THE | ||||
| COMPANY'S EQUITIES, SUBJECT TO THE | ||||
| CONDITIONS DESCRIBED BELOW: | ||||
| MAXIMUM PURCHASE PRICE: EUR 29.00, | ||||
| MAXIMUM NUMBER OF EQUITIES TO BE | ||||
| ACQUIRED: 10 PER CENT OF THE SHARE | ||||
| CAPITAL. THIS AUTHORIZATION IS GIVEN | ||||
| FOR AN 18-MONTH PERIOD. THIS | ||||
| AUTHORIZATION SUPERSEDES THE | ||||
| FRACTION UNUSED OF THE | ||||
| AUTHORIZATION GRANTED BY THE | ||||
| SHAREHOLDERS' MEETING OF THE 20TH | ||||
| OF APRIL 2020 IN ITS RESOLUTION | ||||
| NUMBER 6. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 253 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 22 | THE SHAREHOLDERS' MEETING GRANTS | Mgmt | For | For |
| ALL POWERS TO THE EXECUTIVE | ||||
| COMMITTEE TO REDUCE THE SHARE | ||||
| CAPITAL, ON ONE OR MORE OCCASIONS | ||||
| AND AT ITS SOLE DISCRETION, BY | ||||
| CANCELLING ALL OR PART OF THE | ||||
| SHARES HELD BY THE COMPANY IN | ||||
| CONNECTION WITH THE STOCK | ||||
| REPURCHASE PLAN, UP TO A MAXIMUM | ||||
| OF 10 PER CENT OF THE SHARE CAPITAL | ||||
| OVER A 24-MONTH PERIOD. THIS | ||||
| AUTHORIZATION IS GIVEN FOR AN 18- | ||||
| MONTH PERIOD. THIS AUTHORIZATION | ||||
| SUPERSEDES THE FRACTION UNUSED | ||||
| OF THE AUTHORIZATION GRANTED BY | ||||
| THE SHAREHOLDERS' MEETING OF THE | ||||
| 20TH OF APRIL 2020 IN ITS RESOLUTION | ||||
| NUMBER 7. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES | ||||
| 23 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| AUTHORIZES THE EXECUTIVE | ||||
| COMMITTEE, EXCEPT DURING THE | ||||
| PERIOD OF A PUBLIC OFFER ON THE | ||||
| COMPANY'S EQUITIES, TO REPURCHASE | ||||
| A MAXIMUM NUMBER OF 592,997,810 | ||||
| COMPANY'S SHARES, WITHIN THE LIMIT | ||||
| OF 50 PER CENT OF THE SHARE CAPITAL, | ||||
| TO BE OFFERED TO ALL THE | ||||
| SHAREHOLDERS, WITH A VIEW TO | ||||
| CANCELLING THEM AND REDUCING THE | ||||
| SHARE CAPITAL BY A MAXIMUM NOMINAL | ||||
| AMOUNT OF EUR 3,261,487,955.00. THE | ||||
| MAXIMUM PURCHASE PRICE PER SHARE | ||||
| IN THE CONTEXT OF THIS PUBLIC SHARE | ||||
| BUYBACK OFFERING IS SET AT EUR | ||||
| 29.00, CORRESPONDING TO A MAXIMUM | ||||
| AMOUNT OF EUR 17,196,936,490.00. THIS | ||||
| AUTHORIZATION IS GIVEN FOR AN 18- | ||||
| MONTH PERIOD. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 254 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 24 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| DELEGATES TO THE EXECUTIVE | ||||
| COMMITTEE THE NECESSARY POWERS | ||||
| TO INCREASE THE CAPITAL, ON ONE OR | ||||
| MORE OCCASIONS, IN FRANCE OR | ||||
| ABROAD, BY A MAXIMUM NOMINAL | ||||
| AMOUNT OF EUR 655,000,000.00, BY | ||||
| ISSUANCE OF COMPANY'S ORDINARY | ||||
| SHARES AND ANY SECURITIES GIVING | ||||
| ACCESS TO COMPANY'S EQUITY | ||||
| SECURITIES, WITH PREFERENTIAL | ||||
| SUBSCRIPTION RIGHTS MAINTAINED. | ||||
| THIS AUTHORIZATION IS GIVEN FOR A 26- | ||||
| MONTH PERIOD. THIS AUTHORIZATION | ||||
| SUPERSEDES THE FRACTION UNUSED | ||||
| OF THE AUTHORIZATION GRANTED BY | ||||
| THE SHAREHOLDERS' MEETING OF THE | ||||
| 15TH OF APRIL 2019 IN ITS RESOLUTION | ||||
| NUMBER 30 | ||||
| 25 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| DELEGATES TO THE EXECUTIVE | ||||
| COMMITTEE ALL POWERS IN ORDER TO | ||||
| INCREASE THE SHARE CAPITAL, IN ONE | ||||
| OR MORE OCCASIONS AND AT ITS SOLE | ||||
| DISCRETION, UP TO A MAXIMUM | ||||
| NOMINAL AMOUNT OF EUR | ||||
| 327,500,000.00, BY WAY OF CAPITALIZING | ||||
| RESERVES, PROFITS, PREMIUMS OR | ||||
| OTHER MEANS, PROVIDED THAT SUCH | ||||
| CAPITALIZATION IS ALLOWED BY LAW | ||||
| AND UNDER THE BYLAWS, BY ISSUING | ||||
| FREE SHARES OR RAISING THE PAR | ||||
| VALUE OF EXISTING SHARES. THIS | ||||
| AMOUNT SHALL COUNT AGAINST THE | ||||
| AMOUNT SET FORTH IN RESOLUTION 24. | ||||
| THIS AUTHORIZATION IS GIVEN FOR A 26- | ||||
| MONTH PERIOD. THIS AUTHORIZATION | ||||
| SUPERSEDES THE FRACTION UNUSED | ||||
| OF THE AUTHORIZATION GRANTED BY | ||||
| THE SHAREHOLDERS' MEETING OF THE | ||||
| 15TH OF APRIL 2019 IN ITS RESOLUTION | ||||
| NUMBER 31 |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 255 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 26 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| DELEGATES ALL POWERS TO THE | ||||
| EXECUTIVE COMMITTEE TO INCREASE | ||||
| THE SHARE CAPITAL, UP TO 5 PER CENT | ||||
| OF THE SHARE CAPITAL, IN | ||||
| CONSIDERATION FOR THE | ||||
| CONTRIBUTIONS IN KIND GRANTED TO | ||||
| THE COMPANY AND COMPOSED OF | ||||
| EQUITY SECURITIES OR SECURITIES | ||||
| GIVING ACCESS TO THE SHARE CAPITAL, | ||||
| WITH CANCELLATION OF PREFERENTIAL | ||||
| SUBSCRIPTION RIGHTS. THIS AMOUNT | ||||
| SHALL COUNT AGAINST THE AMOUNT | ||||
| SET FORTH IN RESOLUTION 24. THIS | ||||
| AUTHORIZATION IS GIVEN FOR A 26- | ||||
| MONTH PERIOD. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES | ||||
| 27 | THE SHAREHOLDERS' MEETING | Mgmt | Against | Against |
| AUTHORIZES THE EXECUTIVE | ||||
| COMMITTEE TO GRANT, ON ONE OR | ||||
| MORE OCCASIONS, (I) FREE EXISTING | ||||
| OR TO BE ISSUED COMPANY'S SHARES, | ||||
| IN FAVOUR OF THE EMPLOYEES OF THE | ||||
| COMPANY OR RELATED COMPANIES (II) | ||||
| EXISTING OR TO BE ISSUED COMPANY'S | ||||
| PERFORMANCE SHARES IN FAVOUR OF | ||||
| THE EMPLOYEES AND THE CORPORATE | ||||
| OFFICERS OF THE COMPANY OR | ||||
| RELATED COMPANIES, WITH | ||||
| CANCELLATION OF PREFERENTIAL | ||||
| SUBSCRIPTION RIGHTS. THEY MAY NOT | ||||
| REPRESENT MORE THAN 1 PER CENT OF | ||||
| THE SHARE CAPITAL, AMONG WHICH THE | ||||
| PERFORMANCE SHARES GRANTED | ||||
| YEARLY TO THE MEMBERS OF THE | ||||
| EXECUTIVE COMMITTEE MAY NOT | ||||
| REPRESENT MORE THAN 0.035 PER | ||||
| CENT OF THE SHARE CAPITAL. THIS | ||||
| AUTHORIZATION IS GIVEN FOR A 38- | ||||
| MONTH PERIOD. THIS AUTHORIZATION | ||||
| SUPERSEDES THE FRACTION UNUSED | ||||
| OF THE AUTHORIZATION GRANTED BY | ||||
| THE SHAREHOLDERS' MEETING OF THE | ||||
| 19TH OF APRIL 2018 IN ITS RESOLUTION | ||||
| NUMBER 27. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 256 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 28 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| AUTHORIZES THE EXECUTIVE | ||||
| COMMITTEE TO INCREASE THE SHARE | ||||
| CAPITAL, ON ONE OR MORE OCCASIONS, | ||||
| AT ITS SOLE DISCRETION, IN FAVOUR OF | ||||
| THE MEMBERS OF A COMPANY SAVINGS | ||||
| PLAN OF THE COMPANY AND FRENCH OR | ||||
| FOREIGN RELATED COMPANIES, BY | ||||
| ISSUANCE OF SHARES AND ANY OTHER | ||||
| SECURITIES GIVING ACCESS TO THE | ||||
| COMPANY'S SHARE CAPITAL, WITH | ||||
| CANCELLATION OF PREFERENTIAL | ||||
| SUBSCRIPTION RIGHTS. THIS | ||||
| DELEGATION IS GIVEN FOR A 26-MONTH | ||||
| PERIOD AND FOR A NOMINAL AMOUNT | ||||
| THAT SHALL NOT EXCEED 1 PER CENT | ||||
| OF THE SHARE CAPITAL (INCLUDING THE | ||||
| SHARE CAPITAL INCREASE MENTIONED | ||||
| IN RESOLUTION 27). THIS AMOUNT SHALL | ||||
| COUNT AGAINST THE OVERALL VALUE | ||||
| SET FORTH AT EUR 655,000,000.00 IN | ||||
| RESOLUTION NUMBER 24. THIS | ||||
| AUTHORIZATION SUPERSEDES THE | ||||
| FRACTION UNUSED OF THE | ||||
| AUTHORIZATION GRANTED BY THE | ||||
| SHAREHOLDERS' MEETING OF THE 15TH | ||||
| OF APRIL 2019 IN ITS RESOLUTION | ||||
| NUMBER 32. THE SHAREHOLDERS' | ||||
| MEETING DELEGATES ALL POWERS TO | ||||
| THE EXECUTIVE COMMITTEE TO TAKE | ||||
| ALL NECESSARY MEASURES AND | ||||
| ACCOMPLISH ALL NECESSARY | ||||
| FORMALITIES |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 257 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 29 | THE SHAREHOLDERS' MEETING | Mgmt | For | For |
| AUTHORIZES THE EXECUTIVE | ||||
| COMMITTEE TO INCREASE THE SHARE | ||||
| CAPITAL UP TO 1 PER CENT OF THE | ||||
| SHARE CAPITAL IN FAVOUR OF (A) | ||||
| EMPLOYEES, CORPORATE OFFICERS OF | ||||
| RELATED COMPANIES OF THE VIVENDI | ||||
| GROUP WITH THEIR HEAD OFFICE | ||||
| ABROAD; (B) UCITS, EMPLOYEE | ||||
| SHAREHOLDING INVESTED IN | ||||
| COMPANY'S EQUITIES WHOSE | ||||
| SHAREHOLDERS ARE COMPOSED OF | ||||
| THE PERSONS IN (A); (C) ANY FINANCIAL | ||||
| INSTITUTION SETTING UP A | ||||
| STRUCTURED SHAREHOLDING SCHEME | ||||
| FOR EMPLOYEES OF FRENCH | ||||
| COMPANIES OF THE VIVENDI GROUP | ||||
| WITHIN THE USE OF RESOLUTION 27, OR | ||||
| OFFERING THE SUBSCRIPTION OF | ||||
| SHARES TO PERSONS IN (A) NOT | ||||
| BENEFITING FROM THE SHAREHOLDING | ||||
| SCHEME MENTIONED ABOVE OR TO THE | ||||
| EXTENT THAT THE SUBSCRIPTION OF | ||||
| COMPANY'S SHARES BY THAT FINANCIAL | ||||
| INSTITUTION WOULD ALLOW PERSONS | ||||
| IN (A) TO BENEFIT FROM SHAREHOLDING | ||||
| OR SAVINGS SCHEMES, BY ISSUANCE OF | ||||
| SHARES OR ANY OTHER SECURITIES | ||||
| GIVING ACCESS TO THE SHARE CAPITAL, | ||||
| WITH CANCELLATION OF PREFERENTIAL | ||||
| SUBSCRIPTION RIGHTS. 18 MONTHS, | ||||
| SUPERSEDING THE AUTHORIZATION 33 | ||||
| GRANTED ON APRIL 15, 2019 | ||||
| 30 | THE SHAREHOLDERS' MEETING GRANTS | Mgmt | For | For |
| FULL POWERS TO THE BEARER OF AN | ||||
| ORIGINAL, A COPY OR EXTRACT OF THE | ||||
| MINUTES OF THIS MEETING TO CARRY | ||||
| OUT ALL FILINGS, PUBLICATIONS AND | ||||
| OTHER FORMALITIES PRESCRIBED BY | ||||
| LAW | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | ||
| NOTE THAT IF YOU ARE CLASSIFIED AS | ||||
| AN INTERMEDIARY CLIENT UNDER THE | ||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | ||||
| YOU SHOULD BE PROVIDING THE | ||||
| UNDERLYING SHAREHOLDER | ||||
| INFORMATION AT THE VOTE | ||||
| INSTRUCTION LEVEL. IF YOU ARE | ||||
| UNSURE ON HOW TO PROVIDE THIS | ||||
| LEVEL OF DATA TO BROADRIDGE | ||||
| OUTSIDE OF PROXYEDGE, PLEASE | ||||
| SPEAK TO YOUR DEDICATED CLIENT | ||||
| SERVICE REPRESENTATIVE FOR | ||||
| ASSISTANCE |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 258 of 261 |
Unassigned
| WOLTERS KLUWER N.V. | |||
| Security: | N9643A197 | Agenda Number: | 713679174 |
| Ticker: | Meeting Type: | AGM | |
| ISIN: | NL0000395903 | Meeting Date: | 22-Apr-21 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | PLEASE NOTE THAT BENEFICIAL OWNER | Non-Voting | ||
| DETAILS IS REQUIRED FOR THIS | ||||
| MEETING. IF NO BENEFICIAL OWNER | ||||
| DETAILS IS PROVIDED, YOUR | ||||
| INSTRUCTION MAY BE REJECTED. THANK | ||||
| YOU. | ||||
| CMMT | PLEASE NOTE THAT SHAREHOLDER | Non-Voting | ||
| DETAILS ARE REQUIRED TO VOTE AT | ||||
| THIS MEETING. IF NO SHAREHOLDER | ||||
| DETAILS ARE PROVIDED, YOUR | ||||
| INSTRUCTION MAY CARRY A | ||||
| HEIGHTENED RISK OF BEING REJECTED. | ||||
| THANK YOU | ||||
| CMMT | PLEASE NOTE THAT THIS IS AN | Non-Voting | ||
| AMENDMENT TO MEETING ID 528968 DUE | ||||
| TO RECEIPT OF UPDATED AGENDA. ALL | ||||
| VOTES RECEIVED ON THE PREVIOUS | ||||
| MEETING WILL BE DISREGARDED AND | ||||
| YOU WILL NEED TO REINSTRUCT ON | ||||
| THIS MEETING NOTICE. THANK YOU | ||||
| 1. | OPENING | Non-Voting | ||
| 2. | 2020 ANNUAL REPORT | Non-Voting | ||
| 2.a. | REPORT OF THE EXECUTIVE BOARD FOR 2020 | Non-Voting | ||
| 2.b. | REPORT OF THE SUPERVISORY BOARD FOR 2020 | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 259 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 2.c. | ADVISORY VOTE ON THE | Mgmt | For | For |
| REMUNERATION REPORT AS INCLUDED | ||||
| IN THE 2020 ANNUAL REPORT | ||||
| 3. | 2020 FINANCIAL STATEMENTS AND | Non-Voting | ||
| DIVIDEND | ||||
| 3.a. | PROPOSAL TO ADOPT THE FINANCIAL | Mgmt | For | For |
| STATEMENTS FOR 2020 AS INCLUDED IN | ||||
| THE 2020 ANNUAL REPORT | ||||
| 3.b. | EXPLANATION OF DIVIDEND POLICY | Non-Voting | ||
| 3.c. | PROPOSAL TO DISTRIBUTE A TOTAL | Mgmt | For | For |
| DIVIDEND OF 1.36 PER ORDINARY | ||||
| SHARE, RESULTING IN A FINAL DIVIDEND | ||||
| OF 0.89 PER ORDINARY SHARE | ||||
| 4. | RELEASE OF THE MEMBERS OF THE | Non-Voting | ||
| EXECUTIVE BOARD AND THE | ||||
| SUPERVISORY BOARD FROM LIABILITY | ||||
| FOR THE EXERCISE OF THEIR | ||||
| RESPECTIVE DUTIES | ||||
| 4.a. | PROPOSAL TO RELEASE THE MEMBERS | Mgmt | For | For |
| OF THE EXECUTIVE BOARD FOR THE | ||||
| EXERCISE OF THEIR DUTIES | ||||
| 4.b. | PROPOSAL TO RELEASE THE MEMBERS | Mgmt | For | For |
| OF THE SUPERVISORY BOARD FOR THE | ||||
| EXERCISE OF THEIR DUTIES | ||||
| 5. | COMPOSITION SUPERVISORY BOARD | Non-Voting | ||
| 5.a. | PROPOSAL TO REAPPOINT MR. FRANS | Mgmt | For | For |
| CREMERS AS MEMBER OF THE | ||||
| SUPERVISORY BOARD |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 260 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| 5.b. | PROPOSAL TO REAPPOINT MS. ANN | Mgmt | For | For |
| ZIEGLER AS MEMBER OF THE | ||||
| SUPERVISORY BOARD | ||||
| 6. | PROPOSAL TO REAPPOINT MR. KEVIN | Mgmt | For | For |
| ENTRICKEN AS MEMBER OF THE | ||||
| EXECUTIVE BOARD | ||||
| 7. | PROPOSAL TO ADOPT THE | Mgmt | For | For |
| REMUNERATION POLICY FOR THE | ||||
| MEMBERS OF THE EXECUTIVE BOARD | ||||
| 8. | PROPOSAL TO EXTEND THE AUTHORITY | Non-Voting | ||
| OF THE EXECUTIVE BOARD | ||||
| 8.a. | TO ISSUE SHARES AND/OR GRANT | Mgmt | For | For |
| RIGHTS TO SUBSCRIBE FOR SHARES | ||||
| 8.b. | TO RESTRICT OR EXCLUDE STATUTORY | Mgmt | For | For |
| PRE-EMPTION RIGHTS | ||||
| 9. | PROPOSAL TO AUTHORIZE THE | Mgmt | For | For |
| EXECUTIVE BOARD TO ACQUIRE SHARES | ||||
| IN THE COMPANY | ||||
| 10. | PROPOSAL TO CANCEL SHARES | Mgmt | For | For |
| 11. | ANY OTHER BUSINESS | Non-Voting | ||
| 12. | CLOSING | Non-Voting |
Investment Company Report
| Meeting Date Range: | 01-Jul-2020 - 30-Jun-2021 | Report Date: | 29-Jul-2021 | |
| Page 261 of 261 |
| Prop. # | Proposal | Proposed | Proposal Vote | For/Against |
| by | Management's | |||
| Recommendation | ||||
| CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE | Non-Voting | ||
| NOTE THAT IF YOU ARE CLASSIFIED AS | ||||
| AN INTERMEDIARY CLIENT UNDER THE | ||||
| SHAREHOLDER RIGHTS DIRECTIVE II, | ||||
| YOU SHOULD BE PROVIDING THE | ||||
| UNDERLYING SHAREHOLDER | ||||
| INFORMATION AT THE VOTE | ||||
| INSTRUCTION LEVEL. IF YOU ARE | ||||
| UNSURE ON HOW TO PROVIDE THIS | ||||
| LEVEL OF DATA TO BROADRIDGE | ||||
| OUTSIDE OF PROXYEDGE, PLEASE | ||||
| SPEAK TO YOUR DEDICATED CLIENT | ||||
| SERVICE REPRESENTATIVE FOR | ||||
| ASSISTANCE |
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.
OSI ETF Trust
| By: | /s/ Kevin Beadles |
| Kevin Beadles | |
| President |
Date: August 13, 2021
