UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-23226
Listed Funds Trust
615 East Michigan Street, Milwaukee, Wisconsin 53202
Gregory Bakken, President/Principal Executive Officer
Listed Funds Trust
c/o U.S. Bancorp Fund Services, LLC
811 East Wisconsin Avenue
Milwaukee, Wisconsin 53202
Registrant's telephone number, including area code: (414) 765-4711
Date of fiscal year end: April 30
Date of reporting period: July 1, 2019 – December 17, 2019
Item 1. Proxy Voting Record.
VOTING RECORD | |||
Name of Fund: | Innovation α® United States ETF | ||
Period: | July 1, 2019 - December 17, 2019 | ||
Company Name | Meeting Date | CUSIP | Ticker |
ORACLE CORPORATION | November 19, 2019 | 68389X105 | ORCL |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Jeffrey S Berg | |
For | For | Michael J Boskin | |
For | For | Safra A Catz | |
For | For | Bruce R Chizen | |
For | For | George H Conrades | |
For | For | Lawrence J Ellison | |
For | For | Rona A Fairchild | |
For | For | Hector Garcia-Molina | |
For | For | Jeffrey O Henley | |
For | For | Mark V Hurd | |
For | For | Renee J James | |
For | For | Charles W Moorman IV | |
For | For | Leon E Panetta | |
For | For | William G Parrett | |
For | For | Naomi O Seligman | |
For | For | 2. Advisory Vote to Approve Compensation of Named Executive Officers. | Issuer |
For | For | 3. Ratification of Selection of Ernst & Young LLP as Independent Registered public Accounting Firm for Fiscal 2020. | Issuer |
Against | Against | 4. Stockholder Proposal Regarding Pay Equity Report | Issuer |
For | Against | 5. Stockholder Proposal Regarding Independent Board Chair | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
THE CLOROX COMPANY | November 20, 2019 | 189054109 | CLX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Amy Banse | |
For | For | Richard H Carmona | |
For | For | Benno Dorer | |
For | For | Spencer C Fleischer | |
For | For | Esther Lee | |
For | For | A D David Mackay | |
For | For | Robert W Matschullat | |
For | For | Matthew J Shattock | |
For | For | Pamela Thomas-Graham | |
For | For | Russell Weiner | |
For | For | Christopher J Williams | |
For | For | 2. Advisory Vote to Approve Executive Compensation | Issuer |
For | For | 3.. Ratification of Independent Registered Accounting Firm | Issuer |
For | For | 4. Approval of the Amended and Restated Certificate of Incorporation to Eliminate the Supermajority Voting Provision. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
MICROSOFT CORPORATION | December 4, 2019 | 594918104 | MSFT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | William H. Gates III | |
For | For | Reid G. Hoffman | |
For | For | Hugh F. Johnston | |
For | For | Teri L. List-Stoll | |
For | For | Satya Nadella | |
For | For | Sandra E. Peterson | |
For | For | Penny S. Pritzker | |
For | For | Charles W. Scharf | |
For | For | Arne M. Sorenson | |
For | For | John W. Stanton | |
For | For | John W. Thompson | |
For | For | Emma Walmsley | |
For | For | Padmasree Warrior | |
For | For | 2. Advisory vote to approve named executive officer compensation. | Issuer |
For | For | 3. Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Issuer |
Against | Against | 4. Shareholder Proposal - Report on Employee Representation on Board of Directors | Security Holder |
Against | Against | 5. Shareholder Proposal - Report on Gender Pay Gap | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
MEDTRONIC PLC | December 6, 2019 | G5960L103 | MDT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Richard H. Anderson | |
For | For | Craig Arnold | |
For | For | Scott C. Donnelly | |
For | For | Andrea J. Goldsmith, Ph.D. | |
For | For | Randall J. Hogan, III | |
For | For | Omar Ishrak | |
For | For | Michael O. Leavitt | |
For | For | James T. Lenehan | |
For | For | Geoffrey S. Martha | |
For | For | Elizabeth G. Nabel, M.D. | |
For | For | Denise M. O'Leary | |
For | For | Kendall J. Powell | |
For | For | 2. To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers, LLC as Medtronic's independent auditor for fiscal year 2020 and to authorize, in a binding vote, the Board of Directors, acting through the Audit Committee, to set the auditor's remuneration. | Issuer |
For | For | 3. To approve, in a non-binding advisory vote, named executive officer compensation (a "Say-on-Pay" vote). | Issuer |
For | For | 4. To renew the Board's authority to issue shares. | Issuer |
For | For | 5. To renew the Board's authority to opt out of pre-emption rights. | Issuer |
For | For | 6. Authorizing the Company and any subsidiary of the Company to make overseas market purchases of Medtronic ordinary shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CISCO SYSTEMS, INC. | December 10, 2019 | 17275R102 | CISCO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | M. Michele Burns | |
For | For | Wesley G. Bush | |
For | For | Michael D. Capellas | |
For | For | Mark Garrett | |
For | For | Dr. Kristina M. Johnson | |
For | For | Roderick C. McGeary | |
For | For | Charles H. Robbins | |
For | For | Arun Sarin | |
For | For | Brenton L. Saunders | |
For | For | Carol B. Torre | |
For | For | 2. Approval on advisory basis, of executive compensation. | Issuer |
For | For | 3. Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2020. | Issuer |
For | Against | 4. Approval to have Cisco's Board adopt a policy to have an independent Board chairman. | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
NIKE, INC. | September 19, 2019 | 654106103 | NIKE |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Alan B Graf, Jr | |||
Peter B Henry | |||
Michelle A Peluso | |||
Non-Vote | For | 2. TO APPROVE EXECUTIVE COMPENSATION BY AN ADVISORY VOTE. | Issuer |
Non-Vote | For | 3. TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
THE PROCTER & GAMBLE COMPANY | October 8, 2019 | 742718109 | PG |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Francis S. Blake | |||
Angela F. Brady | |||
Amy L. Chang | |||
Scott D. Cook | |||
Jospeh Jimenez | |||
Terry J Lundgren | |||
Christine M. McCarthy | |||
W. James McNerney, Jr | |||
Nelson Peltz | |||
David S. Taylor | |||
Magaret C. Whitman | |||
Patricia A. Woertz | |||
Non-Vote | For | 2. Ratify appointment of the Independent Registered Accounting Firm | Issuer |
Non-Vote | For | 3. Advisory Vote to Approve the Company's Executive Compensation (the "Say on Pay" vote) | Issuer |
Non-Vote | For | 4. Approve of the Procter & Gamble 2019 Stock and Incentive Compensation Plan. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
L3HARRRIS TECHNOLOGIES, INC. | October 25, 2019 | 502431109 | LHX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Sallie B. Bailey | |||
William M. Brown | |||
Peter W. Chiarelli | |||
Thomas A Corcoran | |||
Thomas A. Dattilo | |||
Roger B. Fradin | |||
Lewis Hay III | |||
Lewis Kramer | |||
Christopher E. Kubsik | |||
Rita S. Lane | |||
Robert B Millard | |||
Lloyd W. Newton | |||
Non-Vote | For | 2. Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Issuer |
Non-Vote | For | 3. Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for the fiscal transition period ending January 3, 2020. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CREE, INC. | October 28, 2019 | 225447101 | CREE |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
John C. Hodge | |||
Clyde R Hosein | |||
Darren R Jackson | |||
Duy-Loan T Le | |||
Gregg A Lowe | |||
John B. Replogle | |||
Thomas H. Werner | |||
Anne C. Whitaker | |||
Non-Vote | For | 2. RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 28, 2020 | Issuer |
Non-Vote | For | 3. ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
SEAGATE TECHNOLOGY PLC | October 29, 2019 | G7945M107 | STX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
William D. Mosley | |||
Stephen J Luczo | |||
Mark W. Adams | |||
Judy Bruner | |||
Michael R. Cannon | |||
William T. Coleman | |||
Jay L. Gledmacher | |||
Dylan Haggart | |||
Stephanie Tilenius | |||
Edward J Zander | |||
Non-Vote | For | 2. Approve, in an advisory, non-binding vote, the compensation of the Company's named executive officers ("Say-on-Pay") | Issuer |
Non-Vote | For | 3. Ratify, in a non-binding vote, the appointment of Ernst & Young LLP as the independent auditors of the Company, and authorize, in a binding vote, the Audit Committee of the Company's Board of Directors to set the auditors remuneration. | Issuer |
Non-Vote | For | 4. Approve our Amended and Restated 2012 Equity Incentive Plan. | Issuer |
Non-Vote | For | 5. Grant the Board the authority to allot and issue shares. | Issuer |
Non-Vote | For | 6. Grant the Board the authority to opt-out of statutory pre-emption rights. | Issuer |
Non-Vote | For | 7. Determine the price range at which the Company can re-allot shares that it acquires as treasury shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
LAM RESEARCH CORPORATION | November 5, 2019 | 512807108 | LRCX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Schail U. Ahmed | |||
Timothy M. Archer | |||
Eric K Brandt | |||
Michael R Cannon | |||
Youssef A. El-Mansy | |||
Catherine P. Lego | |||
Bethany J. Mayer | |||
Abhijit Y Talwalkar | |||
Lih Shyng (Rick L.) Tsai | |||
Leslie F Varon | |||
Non-Vote | For | 2. Advisory vote to approve the compensation of the named executive officers of Lam Research, or "Say on Pay." | Issuer |
Non-Vote | For | 3. Ratification of the appointment of the independent registered public accounting firm for fiscal year 2020 | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
United Technologies Corporation | October 10, 2019 | 91302DYS8 | UTX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. Approve the issuance of UTC common stock, par value $1.00 per share, to Raytheon stockholders in connection with the merger contemplated by the Agreement and Plan of Merger, dated June 9, 2019 by and among United Technologies Corporation, Light Merger Sub Corp. and Raytheon Company (the "UTC share issuance proposal"). | Issuer |
Non-Vote | For | 2. Approve the adjournment of the UTC special meeting to a later date or dates, if necessary or appropriate, to solicit additional proxies in the event there are not sufficient votes at the time of the UTC special meeting to approve the UTC share issuance proposal. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
Raytheon Company | October 10, 2019 | 755111507 | RTN |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. Raytheon merger proposal: To adopt the Agreement and Plan of Merger, dated as of June 9, 2019, by and among United Technologies, Light Merger Sub Corp and Raytheon Company (the "merger agreement"). | Issuer |
Non-Vote | For | 2. Raytheon merger-related compensation proposal. To approve, by advisory (non-binding) vote, certain compensation arrangements that may be paid or become payable to Raytheon Company's named executive officers in connection with the merger contemplated by the merger agreement. | Issuer |
Non-Vote | For | 3. Raytheon adjournment proposal: To approve the adjournment of the Special Meeting of Stockholders of Raytheon Company to a later date or dates, if necessary or appropriate, to solicit additional proxies in the vent there are not sufficient votes at the time of the Special Meeting of Stockholders of Raytheon Company to adopt the Raytheon merger proposal. | Issuer |
VOTING RECORD | |||
Name of Fund: | Innovation α® Global ETF | ||
Period: | July 1, 2019 - December 17, 2019 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Western Digital Corporation | November 14, 2019 | 958102105 | WDC |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Kimberly E. Alexy | |
For | For | Martin I Cole | |
For | For | Kathleen A Cote | |
For | For | Tunc Doluca | |
For | For | Len J Lauer | |
For | For | Matthew E Massengill | |
For | For | Stephen A Streeter | |
For | For | 2. To approve on an advisory basis the named executive officer compensation disclosed in the Proxy Statement. | Issuer |
For | For | 3. To approve an amendment and restatement of our 2017 Performance Incentive Plan that would, among other things, increase by 6 million the number of shares of our common stock available for issuance under the plan. | Issuer |
For | For | 4. RATIFICATION OF SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2020 | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
ORACLE CORPORATION | November 19, 2019 | 68389X105 | ORCL |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Jeffrey S Berg | |
For | For | Michael J Boskin | |
For | For | Safra A Catz | |
For | For | Bruce R Chizen | |
For | For | George H Conrades | |
For | For | Lawrence J Ellison | |
For | For | Rona A Fairchild | |
For | For | Hector Garcia-Molina | |
For | For | Jeffrey O Henley | |
For | For | Mark V Hurd | |
For | For | Renee J James | |
For | For | Charles W Moorman IV | |
For | For | Leon E Panetta | |
For | For | William G Parrett | |
For | For | Naomi O Seligman | |
For | For | 2. Advisory Vote to Approve Compensation of Named Executive Officers. | Issuer |
For | For | 3. Ratification of Selection of Ernst & Young LLP as Independent Registered public Accounting Firm for Fiscal 2020. | Issuer |
Against | Against | 4. Stockholder Proposal Regarding Pay Equity Report | Issuer |
For | Against | 5. Stockholder Proposal Regarding Independent Board Chair | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
MICROSOFT CORPORATION | December 4, 2019 | 594918104 | MSFT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | William H. Gates III | |
For | For | Reid G. Hoffman | |
For | For | Hugh F. Johnston | |
For | For | Teri L. List-Stoll | |
For | For | Satya Nadella | |
For | For | Sandra E. Peterson | |
For | For | Penny S. Pritzker | |
For | For | Charles W. Scharf | |
For | For | Arne M. Sorenson | |
For | For | John W. Stanton | |
For | For | John W. Thompson | |
For | For | Emma Walmsley | |
For | For | Padmasree Warrior | |
For | For | 2. Advisory vote to approve named executive officer compensation. | Issuer |
For | For | 3. Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Issuer |
Against | Against | 4. Shareholder Proposal - Report on Employee Representation on Board of Directors | Security Holder |
Against | Against | 5. Shareholder Proposal - Report on Gender Pay Gap | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
MEDTRONIC PLC | December 6, 2019 | G5960L103 | MDT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Richard H. Anderson | |
For | For | Craig Arnold | |
For | For | Scott C. Donnelly | |
For | For | Andrea J. Goldsmith, Ph.D. | |
For | For | Randall J. Hogan, III | |
For | For | Omar Ishrak | |
For | For | Michael O. Leavitt | |
For | For | James T. Lenehan | |
For | For | Geoffrey S. Martha | |
For | For | Elizabeth G. Nabel, M.D. | |
For | For | Denise M. O'Leary | |
For | For | Kendall J. Powell | |
For | For | 2. To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers, LLC as Medtronic's independent auditor for fiscal year 2020 and to authorize, in a binding vote, the Board of Directors, acting through the Audit Committee, to set the auditor's remuneration. | Issuer |
For | For | 3. To approve, in a non-binding advisory vote, named executive officer compensation (a "Say-on-Pay" vote). | Issuer |
For | For | 4. To renew the Board's authority to issue shares. | Issuer |
For | For | 5. To renew the Board's authority to opt out of pre-emption rights. | Issuer |
For | For | 6. Authorizing the Company and any subsidary of the Company to make overseas market purchases of Medtronic ordinary shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CISCO SYSTEMS, INC. | December 10, 2019 | 17275R102 | CISCO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | M. Michele Burns | |
For | For | Wesley G. Bush | |
For | For | Michael D. Capellas | |
For | For | Mark Garrett | |
For | For | Dr. Kristina M. Johnson | |
For | For | Roderick C. McGeary | |
For | For | Charles H. Robbins | |
For | For | Arun Sarin | |
For | For | Brenton L. Saunders | |
For | For | Carol B. Torre | |
For | For | 2. Approval on advisory basis, of executive compensation. | Issuer |
For | For | 3. Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2020. | Issuer |
For | Against | 4. Approval to have Cisco's Board adopt a policy to have an independent Board chairman. | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
THE PROCTER & GAMBLE COMPANY | October 8, 2019 | 742718109 | PG |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Francis S. Blake | |||
Angela F. Brady | |||
Amy L. Chang | |||
Scott D. Cook | |||
Joseph Jimenez | |||
Terry J Lundgren | |||
Christine M. McCarthy | |||
W. James McNerney, Jr | |||
Nelson Peltz | |||
David S. Taylor | |||
Magaret C. Whitman | |||
Patricia A. Woertz | |||
Non-Vote | For | 2. Ratify appointment of the Independent Registered Accounting Firm | Issuer |
Non-Vote | For | 3. Advisory Vote to Approve the Company's Executive Compensation (the "Say on Pay" vote) | Issuer |
Non-Vote | For | 4. Approve of the Procter & Gamble 2019 Stock and Incentive Compensation Plan. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
L3HARRRIS TECHNOLOGIES, INC. | October 25, 2019 | 502431109 | LHX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Sallie B. Bailey | |||
William M. Brown | |||
Peter W. Chiarelli | |||
Thomas A Corcoran | |||
Thomas A. Dattilo | |||
Roger B. Fradin | |||
Lewis Hay III | |||
Lewis Kramer | |||
Christopher E. Kubsik | |||
Rita S. Lane | |||
Robert B Millard | |||
Lloyd W. Newton | |||
Non-Vote | For | 2. Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Issuer |
Non-Vote | For | 3. Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for the fiscal transition period ending January 3, 2020. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
SEAGATE TECHNOLOGY PLC | October 29, 2019 | G7945M107 | STX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
William D. Mosley | |||
Stephen J Luczo | |||
Mark W. Adams | |||
Judy Bruner | |||
Michael R. Cannon | |||
William T. Coleman | |||
Jay L. Gledmacher | |||
Dylan Haggart | |||
Stephanie Tilenius | |||
Edward J Zander | |||
Non-Vote | For | 2. Approve, in an advisory, non-binding vote, the compensation of the Company's named executive officers ("Say-on-Pay") | Issuer |
Non-Vote | For | 3. Ratify, in a non-binding vote, the appointment of Ernst & Young LLP as the independent auditors of the Company, and authorize, in a binding vote, the Audit Committee of the Company's Board of Directors to set the auditors remuneration. | Issuer |
Non-Vote | For | 4. Approve our Amended and Restated 2012 Equity Incentive Plan. | Issuer |
Non-Vote | For | 5. Grant the Board the authority to allot and issue shares. | Issuer |
Non-Vote | For | 6. Grant the Board the authority to opt-out of statutory pre-emption rights. | Issuer |
Non-Vote | For | 7. Determine the price range at which the Company can re-allot shares that it acquires as treasury shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
LAM RESEARCH CORPORATION | November 5, 2019 | 512807108 | LRCX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Schail U. Ahmed | |||
Timothy M. Archer | |||
Eric K Brandt | |||
Michael R Cannon | |||
Youssef A. El-Mansy | |||
Catherine P. Lego | |||
Bethany J. Mayer | |||
Abhijit Y Talwalkar | |||
Lih Shyng (Rick L.) Tsai | |||
Leslie F Varon | |||
Non-Vote | For | 2. Advisory vote to approve the compensation of the named executive officers of Lam Research, or "Say on Pay." | Issuer |
Non-Vote | For | 3. Ratification of the appointment of the independent registered public accounting firm for fiscal year 2020 | Issuer |
VOTING RECORD | |||
Name of Fund: | Innovation α® Trade War ETF | ||
Period: | July 1, 2019 - December 17, 2019 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Western Digital Corporation | November 14, 2019 | 958102105 | WDC |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Kimberly E. Alexy | |
For | For | Martin I Cole | |
For | For | Kathleen A Cote | |
For | For | Tunc Doluca | |
For | For | Len J Lauer | |
For | For | Matthew E Massengill | |
For | For | Stephen A Streeter | |
For | For | 2. To approve on an advisory basis the named executive officer compensation disclosed in the Proxy Statement. | Issuer |
For | For | 3. To approve an amendment and restatement of our 2017 Performance Incentive Plan that would, among other things, increase by 6 million the number of shares of our common stock available for issuance under the plan. | Issuer |
For | For | 4. RATIFICATION OF SELECTION OF KPMG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL 2020 | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
ORACLE CORPORATION | November 19, 2019 | 68389X105 | ORCL |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Jeffrey S Berg | |
For | For | Michael J Boskin | |
For | For | Safra A Catz | |
For | For | Bruce R Chizen | |
For | For | George H Conrades | |
For | For | Lawrence J Ellison | |
For | For | Rona A Fairchild | |
For | For | Hector Garcia-Molina | |
For | For | Jeffrey O Henley | |
For | For | Mark V Hurd | |
For | For | Renee J James | |
For | For | Charles W Moorman IV | |
For | For | Leon E Panetta | |
For | For | William G Parrett | |
For | For | Naomi O Seligman | |
For | For | 2. Advisory Vote to Approve Compensation of named Executive Officers. | Issuer |
For | For | 3. Ratification of Selection of Ernst & Young LLP as Independent Registered public Accounting Firm for Fiscal 2020. | Issuer |
Against | Against | 4. Stockholder Proposal Regarding Pay Equity Report | Issuer |
For | Against | 5. Stockholder Proposal Regarding Independent Board Chair | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
MICROSOFT CORPORATION | December 4, 2019 | 594918104 | MSFT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | William H. Gates III | |
For | For | Reid G. Hoffman | |
For | For | Hugh F. Johnston | |
For | For | Teri L. List-Stoll | |
For | For | Satya Nadella | |
For | For | Sandra E. Peterson | |
For | For | Penny S. Pritzker | |
For | For | Charles W. Scharf | |
For | For | Arne M. Sorenson | |
For | For | John W. Stanton | |
For | For | John W. Thompson | |
For | For | Emma Walmsley | |
For | For | Padmasree Warrior | |
For | For | 2. Advisory vote to approve named executive officer compensation. | Issuer |
For | For | 3. Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Issuer |
Against | Against | 4. Shareholder Proposal - Report on Employee Representation on Board of Directors | Security Holder |
Against | Against | 5. Shareholder Proposal - Report on Gender Pay Gap | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
MEDTRONIC PLC | December 6, 2019 | G5960L103 | MDT |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | Richard H. Anderson | |
For | For | Craig Arnold | |
For | For | Scott C. Donnelly | |
For | For | Andrea J. Goldsmith, Ph.D. | |
For | For | Randall J. Hogan, III | |
For | For | Omar Ishrak | |
For | For | Michael O. Leavitt | |
For | For | James T. Lenehan | |
For | For | Geoffrey S. Martha | |
For | For | Elizabeth G. Nabel, M.D. | |
For | For | Denise M. O'Leary | |
For | For | Kendall J. Powell | |
For | For | 2. To ratify, in a non-binding vote, the appointment of PricewaterhouseCoopers, LLC as Medtronic's independent auditor for fiscal year 2020 and to authorize, in a binding vote, the Board of Directors, acting through the Audit Committee, to set the auditor's remuneration. | Issuer |
For | For | 3. To approve, in a non-binding advisory vote, named executive officer compensation (a "Say-on-Pay" vote). | Issuer |
For | For | 4. To renew the Board's authority to issue shares. | Issuer |
For | For | 5. To renew the Board's authority to opt out of pre-emption rights. | Issuer |
For | For | 6. Authorizing the Company and any subsidiary of the Company to make overseas market purchases of Medtronic ordinary shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
CISCO SYSTEMS, INC. | December 10, 2019 | 17275R102 | CISCO |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
For | 1. DIRECTOR | Issuer | |
For | For | M. Michele Burns | |
For | For | Wesley G. Bush | |
For | For | Michael D. Capellas | |
For | For | Mark Garrett | |
For | For | Dr. Kristina M. Johnson | |
For | For | Roderick C. McGeary | |
For | For | Charles H. Robbins | |
For | For | Arun Sarin | |
For | For | Brenton L. Saunders | |
For | For | Carol B. Torre | |
For | For | 2. Approval on advisory basis, of executive compensation. | Issuer |
For | For | 3. Ratification of PricewaterhouseCoopers LLP as Cisco's independent registered public accounting firm for fiscal 2020. | Issuer |
For | Against | 4. Approval to have Cisco's Board adopt a policy to have an independent Board chairman. | Security Holder |
Company Name | Meeting Date | CUSIP | Ticker |
THE PROCTER & GAMBLE COMPANY | October 8, 2019 | 742718109 | PG |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Francis S. Blake | |||
Angela F. Brady | |||
Amy L. Chang | |||
Scott D. Cook | |||
Joseph Jimenez | |||
Terry J Lundgren | |||
Christine M. McCarthy | |||
W. James McNerney, Jr | |||
Nelson Peltz | |||
David S. Taylor | |||
Magaret C. Whitman | |||
Patricia A. Woertz | |||
Non-Vote | For | 2. Ratify appointment of the Independent Registered Accounting Firm | Issuer |
Non-Vote | For | 3. Advisory Vote to Approve the Company's Executive Compensation (the "Say on Pay" vote) | Issuer |
Non-Vote | For | 4. Approve of the Procter & Gamble 2019 Stock and Incentive Compensation Plan. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
L3HARRRIS TECHNOLOGIES, INC. | October 25, 2019 | 502431109 | LHX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Sallie B. Bailey | |||
William M. Brown | |||
Peter W. Chiarelli | |||
Thomas A Corcoran | |||
Thomas A. Dattilo | |||
Roger B. Fradin | |||
Lewis Hay III | |||
Lewis Kramer | |||
Christopher E. Kubsik | |||
Rita S. Lane | |||
Robert B Millard | |||
Lloyd W. Newton | |||
Non-Vote | For | 2. Advisory Vote to Approve the Compensation of Named Executive Officers as Disclosed in the Proxy Statement. | Issuer |
Non-Vote | For | 3. Ratification of Appointment of Ernst & Young LLP as Independent Registered Public Accounting Firm for the fiscal transition period ending January 3, 2020. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
SEAGATE TECHNOLOGY PLC | October 29, 2019 | G7945M107 | STX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
William D. Mosley | |||
Stephen J Luczo | |||
Mark W. Adams | |||
Judy Bruner | |||
Michael R. Cannon | |||
William T. Coleman | |||
Jay L. Gledmacher | |||
Dylan Haggart | |||
Stephanie Tilenius | |||
Edward J Zander | |||
Non-Vote | For | 2. Approve, in an advisory, non-binding vote, the compensation of the Company's named executive officers ("Say-on-Pay") | Issuer |
Non-Vote | For | 3. Ratify, in a non-binding vote, the appointment of Ernst & Young LLP as the independent auditors of the Company, and authorize, in a binding vote, the Audit Committee of the Company's Board of Directors to set the auditors remuneration. | Issuer |
Non-Vote | For | 4. Approve our Amended and Restated 2012 Equity Incentive Plan. | Issuer |
Non-Vote | For | 5. Grant the Board the authority to allot and issue shares. | Issuer |
Non-Vote | For | 6. Grant the Board the authority to opt-out of statutory pre-emption rights. | Issuer |
Non-Vote | For | 7. Determine the price range at which the Company can re-allot shares that it acquires as treasury shares. | Issuer |
Company Name | Meeting Date | CUSIP | Ticker |
LAM RESEARCH CORPORATION | November 5, 2019 | 512807108 | LRCX |
Vote | MRV | Proposal | Proposed by Issuer or Security Holder |
Non-Vote | For | 1. DIRECTOR | Issuer |
Schail U. Ahmed | |||
Timothy M. Archer | |||
Eric K Brandt | |||
Michael R Cannon | |||
Youssef A. El-Mansy | |||
Catherine P. Lego | |||
Bethany J. Mayer | |||
Abhijit Y Talwalkar | |||
Lih Shyng (Rick L.) Tsai | |||
Leslie F Varon | |||
Non-Vote | For | 2. Advisory vote to approve the compensation of the named executive officers of Lam Research, or "Say on Pay." | Issuer |
Non-Vote | For | 3.Ratification of the appointment of the independent registered public accounting firm for fiscal year 2020 | Issuer |
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.
(Registrant) Listed Funds Trust
By (Signature and Title)* /s/ Gregory Bakken
Gregory Bakken
President/Principal Executive Officer
Date: 07/20/2020
* Print the name and title of each signing officer under his or her signature.