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 811-23567
BBR ALO FUND, LLC
(Exact name of registrant as specified in charter)
55 East 52nd Street, 18th Floor
New York, New York 10055
(Address of principal executive offices) (Zip code)
Matthew Shapiro
c/o BBR Partners, LLC
55 East 52nd Street, 18th Floor
New York, New York 10055
(Name and address of agent for service)
Registrant's telephone number, including area code: (212) 313-9870
With a copy to:
Nicole M. Runyan, Esq.
Brad A. Green, Esq.
Proskauer Rose LLP
Eleven Times Square
New York, New York 10036
(212) 969-3000
Date of fiscal year end: March 31
Date of reporting period: July 1, 2020 through 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 (ss.ss.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, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
Item 1. Proxy Voting Record
BBR ALO Fund, LLC
Reporting Period: 07/01/2020 to 06/30/2021
| ICON plc | ||
| Meeting Date: 07/21/2020 | Country: Ireland | Primary Security ID: G4705A100 |
| Record Date: 05/29/2020 | Meeting Type: Annual | Ticker: ICLR |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1.1 | Elect Director Mary Pendergast | Mgmt | For | For | For |
| 1.2 | Elect Director Hugh Brady | Mgmt | For | For | For |
| 1.3 | Elect Director Ronan Murphy | Mgmt | For | For | For |
| 1.4 | Elect Director Julie O'Neill | Mgmt | For | For | For |
| 2 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | For |
| 3 | Authorize Board to Fix Remuneration of Auditors | Mgmt | For | For | For |
| 4 | Authorize Issue of Equity | Mgmt | For | For | For |
| 5 | Authorize Issue of Equity without Pre-emptive Rights | Mgmt | For | For | For |
| 6 | Authorize Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment | Mgmt | For | For | For |
| 7 | Authorize Share Repurchase Program | Mgmt | For | For | For |
| 8 | Approve the Price Range for the Reissuance of Shares | Mgmt | For | For | For |
| Check Point Software Technologies Ltd. | ||
| Meeting Date: 08/03/2020 | Country: Israel | Primary Security ID: M22465104 |
| Record Date: 06/25/2020 | Meeting Type: Annual | Ticker: CHKP |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1.a | Elect Gil Shwed as Director | Mgmt | For | For | For |
| 1.b | Elect Jerry Ungerman as Director | Mgmt | For | For | For |
| 1.c | Elect Dan Propper as Director | Mgmt | For | For | For |
| 1.d | Elect Tal Shavit as Director | Mgmt | For | For | For |
| 1.e | Elect Eyal Waldman as Director | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
Check Point Software Technologies Ltd.
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1.f | Elect Shai Weiss as Director | Mgmt | For | For | For |
| 2a | Elect Irwin Federman as External Director | Mgmt | For | For | For |
| 2b | Elect Ray Rothrock as External Director | Mgmt | For | For | For |
| 3 | Reappoint Kost, Forer, Gabbay & Kasierer as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | For |
| 4 | Approve Compensation Terms of Check Point's CEO | Mgmt | For | For | For |
| 5 | Approve Amended Compensation of Non-Executive Directors | Mgmt | For | For | For |
| A | Vote FOR if you are NOT a controlling shareholder and do NOT have a personal interest in one or several resolutions, as indicated in the proxy card; otherwise, vote AGAINST. If you vote AGAINST, please provide an explanation to your account manager | Mgmt | None | Refer | For |
| adidas AG | ||
| Meeting Date: 08/11/2020 | Country: Germany | Primary Security ID: D0066B185 |
| Record Date: 07/15/2020 | Meeting Type: Annual | Ticker: ADS |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1 | Receive Financial Statements and Statutory Reports for Fiscal 2019 (Non-Voting) | Mgmt | None | None | None |
| 2 | Approve Allocation of Income and Omission of Dividends | Mgmt | For | For | For |
| 3 | Approve Discharge of Management Board for Fiscal 2019 | Mgmt | For | For | For |
| 4 | Approve Discharge of Supervisory Board for Fiscal 2019 | Mgmt | For | For | For |
| 5 | Amend Articles Re: Electronic Participation | Mgmt | For | For | For |
| 6 | Elect Christian Klein to the Supervisory Board | Mgmt | For | For | For |
| 7 | Ratify KPMG AG as Auditors for Fiscal 2020 | Mgmt | For | For | For |
| 8 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
Reporting Period: 07/01/2020 to 06/30/2021
adidas AG
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 9 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
| 10 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
| Alibaba Group Holding Limited | ||
| Meeting Date: 09/30/2020 | Country: Cayman Islands | Primary Security ID: G01719114 |
| Record Date: 08/17/2020 | Meeting Type: Annual | Ticker: 9988 |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1 | Amend Articles of Association | Mgmt | For | For | For |
| 2.1 | Elect Maggie Wei Wu as Director | Mgmt | For | Against | For |
| 2.2 | Elect Kabir Misra as Director | Mgmt | For | Against | For |
| 2.3 | Elect Walter Teh Ming Kwauk as Director | Mgmt | For | For | For |
| 3 | Ratify PricewaterhouseCoopers as Auditors | Mgmt | For | For | For |
| Unilever Plc | ||
| Meeting Date: 10/12/2020 | Country: United Kingdom | Primary Security ID: G92087165 |
| Record Date: 08/20/2020 | Meeting Type: Special | Ticker: ULVR |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| Court Meeting | |||||
| 1 | Approve the Cross-Border Merger between Unilever PLC and Unilever N.V. | Mgmt | For | For | For |
| General Meeting | None | None | None | ||
| 1 | Approve Matters Relating to the Unification of the Unilever Group under a Single Parent Company | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
| Medtronic plc | ||
| Meeting Date: 12/11/2020 | Country: Ireland | Primary Security ID: G5960L103 |
| Record Date: 10/15/2020 | Meeting Type: Annual | Ticker: MDT |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1a | Elect Director Richard H. Anderson | Mgmt | For | For | For |
| 1b | Elect Director Craig Arnold | Mgmt | For | For | For |
| 1c | Elect Director Scott C. Donnelly | Mgmt | For | For | For |
| 1d | Elect Director Andrea J. Goldsmith | Mgmt | For | For | For |
| 1e | Elect Director Randall J. Hogan, III | Mgmt | For | For | For |
| 1f | Elect Director Michael O. Leavitt | Mgmt | For | For | For |
| 1g | Elect Director James T. Lenehan | Mgmt | For | For | For |
| 1h | Elect Director Kevin E. Lofton | Mgmt | For | For | For |
| 1i | Elect Director Geoffrey S. Martha | Mgmt | For | For | For |
| 1j | Elect Director Elizabeth G. Nabel | Mgmt | For | For | For |
| 1k | Elect Director Denise M. O'Leary | Mgmt | For | For | For |
| 1l | Elect Director Kendall J. Powell | Mgmt | For | For | For |
| 2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | For |
| 3 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | For | For | For |
| 4 | Renew the Board's Authority to Issue Shares Under Irish Law | Mgmt | For | For | For |
| 5 | Renew the Board's Authority to Opt-Out of Statutory Pre-Emptions Rights Under Irish Law | Mgmt | For | For | For |
| 6 | Authorize Overseas Market Purchases of Ordinary Shares | Mgmt | For | For | For |
| Accenture plc | ||
| Meeting Date: 02/03/2021 | Country: Ireland | Primary Security ID: G1151C101 |
| Record Date: 12/07/2020 | Meeting Type: Annual | Ticker: ACN |
Reporting Period: 07/01/2020 to 06/30/2021
| Accenture plc | |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1a | Elect Director Jaime Ardila | Mgmt | For | For | For |
| 1b | Elect Director Herbert Hainer | Mgmt | For | For | For |
| 1c | Elect Director Nancy McKinstry | Mgmt | For | For | For |
| 1d | Elect Director Beth E. Mooney | Mgmt | For | For | For |
| 1e | Elect Director Gilles C. Pelisson | Mgmt | For | For | For |
| 1f | Elect Director Paula A. Price | Mgmt | For | For | For |
| 1g | Elect Director Venkata (Murthy) Renduchintala | Mgmt | For | For | For |
| 1h | Elect Director David Rowland | Mgmt | For | For | For |
| 1i | Elect Director Arun Sarin | Mgmt | For | For | For |
| 1j | Elect Director Julie Sweet | Mgmt | For | For | For |
| 1k | Elect Director Frank K. Tang | Mgmt | For | For | For |
| 1l | Elect Director Tracey T. Travis | Mgmt | For | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | For | For | For |
| 3 | Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration | Mgmt | For | For | For |
| 4 | Renew the Board's Authority to Issue Shares Under Irish Law | Mgmt | For | For | For |
| 5 | Authorize Board to Opt-Out of Statutory Pre-Emption Rights | Mgmt | For | For | For |
| 6 | Determine Price Range for Reissuance of Treasury Shares | Mgmt | For | For | For |
| New Oriental Education & Technology Group, Inc. | |||
| Meeting Date: 03/08/2021 | Country: Cayman Islands | Primary Security ID: G6470A116 | |
| Record Date: 02/01/2021 | Meeting Type: Special | Ticker: 9901 | |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders |
Reporting Period: 07/01/2020 to 06/30/2021
New Oriental Education & Technology Group, Inc.
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1 | Approve Share Subdivision | Mgmt | For | For | For |
| 2 | Adopt Chinese Name as Dual Foreign Name of the Company | Mgmt | For | For | For |
| 3 | Adopt Amended and Restated Memorandum and Articles of Association | Mgmt | For | For | For |
| Nestle SA | ||
| Meeting Date: 04/15/2021 | Country: Switzerland | Primary Security ID: H57312649 |
| Record Date: 03/09/2021 | Meeting Type: Annual | Ticker: NESN |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1.1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | For |
| 1.2 | Approve Remuneration Report | Mgmt | For | For | For |
| 2 | Approve Discharge of Board and Senior Management | Mgmt | For | For | For |
| 3 | Approve Allocation of Income and Dividends of CHF 2.75 per Share | Mgmt | For | For | For |
| 4.1.a | Reelect Paul Bulcke as Director and Board Chairman | Mgmt | For | For | For |
| 4.1.b | Reelect Ulf Schneider as Director | Mgmt | For | For | For |
| 4.1.c | Reelect Henri de Castries as Director | Mgmt | For | For | For |
| 4.1.d | Reelect Renato Fassbind as Director | Mgmt | For | For | For |
| 4.1.e | Reelect Pablo Isla as Director | Mgmt | For | For | For |
| 4.1.f | Reelect Ann Veneman as Director | Mgmt | For | For | For |
| 4.1.g | Reelect Eva Cheng as Director | Mgmt | For | For | For |
| 4.1.h | Reelect Patrick Aebischer as Director | Mgmt | For | For | For |
| 4.1.i | Reelect Kasper Rorsted as Director | Mgmt | For | For | For |
| 4.1.j | Reelect Kimberly Ross as Director | Mgmt | For | For | For |
| 4.1.k | Reelect Dick Boer as Director | Mgmt | For | For | For |
| 4.1.l | Reelect Dinesh Paliwal as Director | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
Nestle SA
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 4.1.m | Reelect Hanne Jimenez de Mora as Director | Mgmt | For | For | For |
| 4.2 | Elect Lindiwe Sibanda as Director | Mgmt | For | For | For |
| 4.3.1 | Appoint Pablo Isla as Member of the Compensation Committee | Mgmt | For | For | For |
| 4.3.2 | Appoint Patrick Aebischer as Member of the Compensation Committee | Mgmt | For | For | For |
| 4.3.3 | Appoint Dick Boer as Member of the Compensation Committee | Mgmt | For | For | For |
| 4.3.4 | Appoint Kasper Rorsted as Member of the Compensation Committee | Mgmt | For | For | For |
| 4.4 | Ratify Ernst & Young AG as Auditors | Mgmt | For | For | For |
| 4.5 | Designate Hartmann Dreyer as Independent Proxy | Mgmt | For | For | For |
| 5.1 | Approve Remuneration of Directors in the Amount of CHF 10 Million | Mgmt | For | For | For |
| 5.2 | Approve Remuneration of Executive Committee in the Amount of CHF 57.5 Million | Mgmt | For | For | For |
| 6 | Approve CHF 6.6 Million Reduction in Share Capital as Part of the Share Buyback Program via Cancellation of Repurchased Shares | Mgmt | For | For | For |
| 7 | Approve Climate Action Plan | Mgmt | For | For | For |
| 8 | Transact Other Business (Voting) | Mgmt | Against | Against | Against |
| Unilever Plc | ||
| Meeting Date: 05/05/2021 | Country: United Kingdom | Primary Security ID: G92087165 |
| Record Date: 03/10/2021 | Meeting Type: Annual | Ticker: ULVR |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1 | Accept Financial Statements and Statutory Reports | Mgmt | For | For | For |
| 2 | Approve Remuneration Report | Mgmt | For | For | For |
| 3 | Approve Remuneration Policy | Mgmt | For | For | For |
| 4 | Approve Climate Transition Action Plan | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
Unilever Plc
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 5 | Re-elect Nils Andersen as Director | Mgmt | For | For | For |
| 6 | Re-elect Laura Cha as Director | Mgmt | For | For | For |
| 7 | Re-elect Dr Judith Hartmann as Director | Mgmt | For | For | For |
| 8 | Re-elect Alan Jope as Director | Mgmt | For | For | For |
| 9 | Re-elect Andrea Jung as Director | Mgmt | For | For | For |
| 10 | Re-elect Susan Kilsby as Director | Mgmt | For | For | For |
| 11 | Re-elect Strive Masiyiwa as Director | Mgmt | For | For | For |
| 12 | Re-elect Youngme Moon as Director | Mgmt | For | For | For |
| 13 | Re-elect Graeme Pitkethly as Director | Mgmt | For | For | For |
| 14 | Re-elect John Rishton as Director | Mgmt | For | For | For |
| 15 | Re-elect Feike Sijbesma as Director | Mgmt | For | For | For |
| 16 | Reappoint KPMG LLP as Auditors | Mgmt | For | For | For |
| 17 | Authorise Board to Fix Remuneration of Auditors | Mgmt | For | For | For |
| 18 | Authorise UK Political Donations and Expenditure | Mgmt | For | For | For |
| 19 | Approve SHARES Plan | Mgmt | For | For | For |
| 20 | Authorise Issue of Equity | Mgmt | For | For | For |
| 21 | Authorise Issue of Equity without Pre-emptive Rights | Mgmt | For | For | For |
| 22 | Authorise Issue of Equity without Pre-emptive Rights in Connection with an Acquisition or Other Capital Investment | Mgmt | For | For | For |
| 23 | Authorise Market Purchase of Ordinary Shares | Mgmt | For | For | For |
| 24 | Authorise the Company to Call General Meeting with Two Weeks' Notice | Mgmt | For | For | For |
| 25 | Adopt New Articles of Association | Mgmt | For | For | For |
| 26 | Approve Reduction of the Share Premium Account | Mgmt | For | For | For |
| adidas AG | ||
| Meeting Date: 05/12/2021 | Country: Germany | Primary Security ID: D0066B185 |
| Record Date: 04/08/2021 | Meeting Type: Annual | Ticker: ADS |
Reporting Period: 07/01/2020 to 06/30/2021
adidas AG
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1 | Receive Financial Statements and Statutory Reports for Fiscal Year 2020 (Non-Voting) | Mgmt | None | None | None |
| 2 | Approve Allocation of Income and Dividends of EUR 3.00 per Share | Mgmt | For | For | For |
| 3 | Approve Discharge of Management Board for Fiscal Year 2020 | Mgmt | For | For | For |
| 4 | Approve Discharge of Supervisory Board for Fiscal Year 2020 | Mgmt | For | For | For |
| 5 | Elect Jackie Joyner-Kersee to the Supervisory Board | Mgmt | For | For | For |
| 6 | Approve Remuneration Policy | Mgmt | For | For | For |
| 7 | Approve Remuneration of Supervisory Board | Mgmt | For | For | For |
| 8 | Amend Articles Re: Information for Registration in the Share Register | Mgmt | For | For | For |
| 9 | Approve Creation of EUR 50 Million Pool of Capital with Preemptive Rights | Mgmt | For | For | For |
| 10 | Approve Creation of EUR 20 Million Pool of Capital without Preemptive Rights | Mgmt | For | For | For |
| 11 | Cancel Authorized Capital 2016 | Mgmt | For | For | For |
| 12 | Authorize Share Repurchase Program and Reissuance or Cancellation of Repurchased Shares | Mgmt | For | For | For |
| 13 | Authorize Use of Financial Derivatives when Repurchasing Shares | Mgmt | For | For | For |
| 14 | Ratify KPMG AG as Auditors for Fiscal Year 2021 | Mgmt | For | For | For |
| 15 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
| 16 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
| 17 | Additional Proposals presented at the Meeting | SH | Against | Against | Against |
| A | Counter Motion A | SH | Against | Against | Against |
| B | Counter Motion B | SH | Against | Against | Against |
| C | Counter Motion C | SH | Against | Against | Against |
Reporting Period: 07/01/2020 to 06/30/2021
SAP SE
| Meeting Date: 05/12/2021 | Country: Germany | Primary Security ID: D66992104 |
| Record Date: 03/29/2021 | Meeting Type: Annual | Ticker: SAP |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| Meeting for ADR Holders | |||||
| 1 | Receive Financial Statements and Statutory Reports for Fiscal Year 2020 (Non-Voting) | Mgmt | None | None | None |
| 2 | Approve Allocation of Income and Dividends of EUR 1.85 per Share | Mgmt | For | For | For |
| 3 | Approve Discharge of Management Board for Fiscal Year 2020 | Mgmt | For | For | For |
| 4 | Approve Discharge of Supervisory Board for Fiscal Year 2020 | Mgmt | For | For | For |
| 5 | Ratify KPMG AG as Auditors for Fiscal Year 2021 | Mgmt | For | For | For |
| 6.a | Elect Qi Lu to the Supervisory Board | Mgmt | For | For | For |
| 6.b | Elect Rouven Westphal to the Supervisory Board | Mgmt | For | 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 | For |
| 8 | Amend Corporate Purpose | Mgmt | For | For | For |
| 9 | Amend Articles Re: Proof of Entitlement | Mgmt | For | For | For |
| Aon plc | ||
| Meeting Date: 06/02/2021 | Country: Ireland | Primary Security ID: G0403H108 |
| Record Date: 04/08/2021 | Meeting Type: Annual | Ticker: AON |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1.1 | Elect Director Lester B. Knight | Mgmt | For | For | For |
| 1.2 | Elect Director Gregory C. Case | Mgmt | For | For | For |
| 1.3 | Elect Director Jin-Yong Cai | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
Aon plc
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1.4 | Elect Director Jeffrey C. Campbell | Mgmt | For | For | For |
| 1.5 | Elect Director Fulvio Conti | Mgmt | For | For | For |
| 1.6 | Elect Director Cheryl A. Francis | Mgmt | For | For | For |
| 1.7 | Elect Director J. Michael Losh | Mgmt | For | For | For |
| 1.8 | Elect Director Richard B. Myers | Mgmt | For | For | For |
| 1.9 | Elect Director Richard C. Notebaert | Mgmt | For | For | For |
| 1.10 | Elect Director Gloria Santona | Mgmt | For | For | For |
| 1.11 | Elect Director Byron O. Spruell | Mgmt | For | For | For |
| 1.12 | Elect Director Carolyn Y. Woo | Mgmt | For | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Mgmt | For | For | For |
| 3 | Ratify Ernst & Young LLP as Auditors | Mgmt | For | For | For |
| 4 | Ratify Ernst & Young Chartered Accountants as Statutory Auditor | Mgmt | For | For | For |
| 5 | Authorize Board to Fix Remuneration of Auditors | Mgmt | For | For | For |
| 6 | Amend Articles of Association Re: Article 190 | Mgmt | For | For | For |
| 7 | Authorize the Board of Directors to Capitalize Certain Non-distributable Reserves | Mgmt | For | For | For |
| 8 | Approve Creation of Distributable Profits by the Reduction and Cancellation of the Amounts Capitalized Pursuant to the Authority Given Under Proposal 7 | Mgmt | For | For | For |
| ICON plc | ||
| Meeting Date: 06/15/2021 | Country: Ireland | Primary Security ID: G4705A100 |
| Record Date: 04/26/2021 | Meeting Type: Special | Ticker: ICLR |
| Proposal Number | Proposal Text | Proponent | Mgmt Rec | Voting Policy Rec | Vote Instruction |
| 1 | Issue Shares in Connection with Merger | Mgmt | For | For | For |
| 2 | Adjourn Meeting | Mgmt | For | For | For |
Reporting Period: 07/01/2020 to 06/30/2021
| Company Name | Symbol | Custodian | Description | Meeting Date | Did Fund Vote | Vote Cast | For or Against Management | Date Voted |
| Avalara, Inc. | AVLR | UMB Bank | DIRECTOR | 6/3/2021 | Yes | For | For | 5/18/2021 |
| 1) Election of Director: Marion Foote | ||||||||
| 2) Election of Director: Rajeev Singh | ||||||||
| 3) Election of Director: Kathleen Zwickert | ||||||||
| Approval on an advisory basis of the compensation of the Company's named | Yes | For | For | |||||
| executive officers. | ||||||||
| Ratification of the appointment of Deloitte & Touche LLP as the Company's | Yes | For | For | |||||
| independent registered public accounting firm for the year ending December 31, 2021. | ||||||||
| Booking Holdings Inc. | BKNG | UMB Bank | DIRECTOR | 6/3/2021 | Yes | For | For | 5/18/2021 |
| 1) Election of Director: Timothy M. Armstrong | ||||||||
| 2) Election of Director: Glenn D. Fogel | ||||||||
| 3) Election of Director: Mirian M. Graddick-Weir | ||||||||
| 4) Election of Director: Wei Hopeman | ||||||||
| 5) Election of Director: Robert J. Mylod, Jr. | ||||||||
| 6) Election of Director: Charles H. Noski | ||||||||
| 7) Election of Director: Nicholas J. Read | ||||||||
| 8) Election of Director: Thomas E. Rothman | ||||||||
| 9) Election of Director: Bob van Dijk | ||||||||
| 10) Election of Director: Lynn M. Vojvodich | ||||||||
| 11) Election of Director: Vanessa A. Wittman | ||||||||
| Advisory vote to approve 2020 executive compensation. | Yes | For | For | |||||
| Management proposal to amend the Company's 1999 Omnibus Plan. | Yes | For | For | |||||
| Ratification of Deloitte & Touche LLP as our independent registered public | Yes | For | For | |||||
| accounting firm for the fiscal year ending December 31, 2021. | ||||||||
| Management proposal to amend the Company's Certificate of Incorporation to | Yes | For | For | |||||
| allow stockholders the right to act by written consent. | ||||||||
| Stockholder proposal requesting the right of stockholders to act by written consent. | Yes | Against | For | |||||
| Stockholder proposal requesting the Company issue a climate transition report. | Yes | Against | For | |||||
| Stockholder proposal requesting the Company hold an annual advisory stockholder | Yes | Against | For | |||||
| vote on the Company's climate policies and strategies. | ||||||||
| Copart, Inc. | CPRT | UMB | Ellection of Director: Willis J. Johnson | 12/4/2020 | Yes | For | For | 2-Dec-20 |
| Election of Director: A. Jayson Adair | Yes | For | For | |||||
| Election of Director: Matt Blunt | Yes | For | For | |||||
| Election of Director: Steven D. Cohan | Yes | For | For | |||||
| Election of Director: Daniel J. Englander | Yes | For | For | |||||
| Election of Director: James E. Meeks | Yes | For | For | |||||
| Election of Director: Thomas N. Tryforos | Yes | For | For | |||||
| Election of Director: Diane M. Morefield | Yes | For | For | |||||
| Election of Director: Stephen Fisher | Yes | For | For | |||||
| To approve, on an advisory (non-binding) basis, the compensation of our named | Yes | For | For | |||||
| executive officers (say-on-pay vote). | ||||||||
| To approve an amendment to our Amended and Restated 2007 Equity Incentive | Yes | For | For | |||||
| Plan to increase the number of shares reserved under the plan from 32,000,000 | ||||||||
| shares to 36,000,000 shares. | ||||||||
| To ratify the appointment of Ernst & Young LLP as our independent registered | Yes | For | For | |||||
| public accounting firm for the fiscal year ending July 31, 2021. | ||||||||
| Costar Group, Inc. | CSGP | UMB Bank | Election of director: Michael R. Klein | 6/2/2021 | Yes | For | For | 5/18/2021 |
| Election of director: Andrew C. Florance | Yes | For | For | |||||
| Election of director: Laura Cox Kaplan | Yes | For | For | |||||
| Election of director: Michael J. Glosserman | Yes | For | For | |||||
| Election of director: John W. Hill | Yes | For | For | |||||
| Election of director: Robert W. Musslewhite | Yes | For | For | |||||
| Election of director: Christopher J. Nassetta | Yes | For | For | |||||
| Election of director: Louise S. Sams | Yes | For | For | |||||
| Proposal to ratify the appointment of Ernst & Young LLP as the Company's | Yes | For | For | |||||
| independent registered public accounting firm for 2021. | ||||||||
| Proposal to approve, on an advisory basis, the Company's executive compensation. | Yes | For | For | |||||
| Proposal to approve the adoption of the Company's Fourth Amended and | Yes | For | For | |||||
| Restated Certificate of Incorporation to increase the total number of shares of | ||||||||
| common stock that the Company is authorized to issue from 60,000,000 to | ||||||||
| 1200000000 and correspondingly increase the total number of shares of | ||||||||
| capital stock that the Company is authorized to issue from 62,000,000 to | ||||||||
| 1,202,000,000.00 | ||||||||
| Proposal to approve the amendment and restatement of the CoStar Employee Stock | Yes | For | For | |||||
| Purchase Plan to increase the number of shares authorized for issuance thereunder. | ||||||||
| Stockholder proposal regarding simple majority vote, if properly presented. | Yes | Against | For | |||||
| Credit Acceptance Corporation | CACC | UMB Bank | DIRECTOR | 7/15/2020 | Yes | For | For | 14-Jul-20 |
| 1) Glenda J. Flanagan | ||||||||
| 2) Brett A. Roberts | ||||||||
| 3) Thomas N. Tryforos | ||||||||
| 4) Scott J. Vassalluzzo | ||||||||
| Advisory vote to approve named executive officer compensation. | Yes | For | For | |||||
| Ratification of the selection of Grant Thornton LLP as Credit Acceptance | Yes | For | For | |||||
| Corporation's independent registered public accounting firm for 2020. | ||||||||
| D.R. Horton, Inc. | DHI | UMB Bank | Election of director: Donald R. Horton | 1/20/2021 | Yes | For | For | 1/15/2021 |
| Election of director: Barbara K. Allen | Yes | For | For | |||||
| Election of director: Brad S. Anderson | Yes | For | For | |||||
| Election of director: Michael R. Buchanan | Yes | For | For | |||||
| Election of director: Michael W. Hewatt | Yes | For | For | |||||
| Election of director: Maribess L. Miller | Yes | For | For | |||||
| Approval of the advisory resolution on executive compensation. | Yes | For | For | |||||
| Ratify the appointment of Ernst & Young LLP as our independent registered | Yes | For | For | |||||
| public accounting firm. | ||||||||
| Fastenal Company | FAST | UMB Bank | Election of Director: Scott A. Satterlee | 4/24/2021 | Yes | For | For | 3/19/2021 |
| Election of Director: Michael J. Ancius | Yes | For | For | |||||
| Election of Director: Stephen L. Eastman | Yes | For | For | |||||
| Election of Director: Daniel L. Florness | Yes | For | For | |||||
| Election of Director: Rita J. Heise | Yes | For | For | |||||
| Election of Director: Hsenghung Sam Hsu | Yes | For | For | |||||
| Election of Director: Daniel L. Johnson | Yes | For | For | |||||
| Election of Director: Nicholas J. Lundquist | Yes | For | For | |||||
| Election of Director: Reyne K. Wisecup | Yes | For | For | |||||
| Ratification of the appointment of KPMG LLP as independent registered public | Yes | For | For | |||||
| accounting firm for the 2021 fiscal year. | ||||||||
| Approval, by non-binding vote, of executive compensation. | Yes | For | For | |||||
| First Republic Bank | FRC | UMB Bank | Election of Director: James H. Herbert, II | 5/12/2021 | Yes | For | For | 4/27/2021 |
| Election of Director: Katherine August-deWilde | Yes | For | For | |||||
| Election of Director: Hafize Gaye Erkan | Yes | For | For | |||||
| Election of Director: Frank J. Fahrenkopf, Jr. | Yes | For | For | |||||
| Election of Director: Boris Groysberg | Yes | For | For | |||||
| Election of Director: Sandra R. Hernández | Yes | For | For | |||||
| Election of Director: Pamela J. Joyner | Yes | For | For | |||||
| Election of Director: Reynold Levy | Yes | For | For | |||||
| Election of Director: Duncan L. Niederauer | Yes | For | For | |||||
| Election of Director: George G.C. Parker | Yes | For | For | |||||
| To ratify KPMG LLP as the independent registered public accounting firm of First | Yes | For | For | |||||
| Republic Bank for the fiscal year ending December 31, 2021. | ||||||||
| To approve, by advisory (non-binding) vote, the compensation of our executive | Yes | For | For | |||||
| officers ("say on pay" vote). | ||||||||
| Graco Inc. | GGG | UMB Bank | Election of Director: Brett C. Carter | 4/23/2021 | Yes | For | For | 3/25/2021 |
| Election of Director: R. William Van Sant | Yes | For | For | |||||
| Election of Director: Emily C. White | Yes | For | For | |||||
| Ratification of appointment of Deloitte & Touche LLP as the Company's | Yes | For | For | |||||
| independent registered accounting firm. | ||||||||
| Approval, on an advisory basis, of the compensation paid to our named executive | Yes | For | For | |||||
| officers as disclosed in the Proxy Statement. | ||||||||
| Landstar System, Inc. | LSTR | UMB Bank | Election Of Director: James B. Gattoni | 5/12/2021 | Yes | For | For | 4/27/2021 |
| Election Of Director: Anthony J. Orlando | Yes | For | For | |||||
| Ratification of the appointment of KPMG LLP as the Company's independent | Yes | For | For | |||||
| registered public accounting firm for fiscal year 2021. | ||||||||
| Advisory vote to approve executive compensation. | Yes | For | For | |||||
| Moody's Corporation | MCO | UMB | Election of Director: Jorge A. Bermudez | 4/21/2021 | Yes | For | For | 3/19/2021 |
| Election of Director: Thérèse Esperdy | Yes | For | For | |||||
| Election of Director: Robert Fauber | Yes | For | For | |||||
| Election of Director: Vincent A. Forlenza | Yes | For | For | |||||
| Election of Director: Kathryn M. Hill | Yes | For | For | |||||
| Election of Director: Lloyd W. Howell, Jr. | Yes | For | For | |||||
| Election of Director: Raymond W. McDaniel, Jr. | Yes | For | For | |||||
| Election of Director: Leslie F. Seidman | Yes | For | For | |||||
| Election of Director: Bruce Van Saun | Yes | For | For | |||||
| Ratification of the appointment of KPMG LLP as independent registered public | Yes | For | For | |||||
| accounting firm of the Company for 2021. | ||||||||
| Advisory resolution approving executive compensation. | Yes | For | For | |||||
| Advisory "Say-on-Climate Plan" resolution approving the Company's 2020 Decarbonization Plan. | Yes | For | For | |||||
| MSCI Inc. | MSCI | UMB | Election of Director: Henry A. Fernandez | 4/27/2021 | Yes | For | For | 4/13/2021 |
| Election of Director: Robert G. Ashe | Yes | For | For | |||||
| Election of Director: Wayne Edmunds | Yes | For | For | |||||
| Election of Director: Catherine R. Kinney | Yes | For | For | |||||
| Election of Director: Jacques P. Perold | Yes | For | For | |||||
| Election of Director: Sandy C. Rattray | Yes | For | For | |||||
| Election of Director: Linda H. Riefler | Yes | For | For | |||||
| Election of Director: Marcus L. Smith | Yes | For | For | |||||
| Election of Director: Paula Volent | Yes | For | For | |||||
| To approve, by non-binding vote, our executive compensation, as described in | Yes | For | For | |||||
| these proxy materials. | ||||||||
| To ratify the appointment of PricewaterhouseCoopers LLP as independent auditor. | Yes | For | For | |||||
| NVR, Inc. | NVR | UMB | Election of Director: Dwight C. Schar | 5/5/2021 | Yes | For | For | 4/27/2021 |
| Election of Director: C.E. Andrews | Yes | For | For | |||||
| Election of Director: Sallie B. Bailey | Yes | For | For | |||||
| Election of Director: Thomas D. Eckert | Yes | For | For | |||||
| Election of Director: Alfred E. Festa | Yes | For | For | |||||
| Election of Director: Manuel H. Johnson | Yes | For | For | |||||
| Election of Director: Alexandra A. Jung | Yes | For | For | |||||
| Election of Director: Mel Martinez | Yes | For | For | |||||
| Election of Director: William A. Moran | Yes | For | For | |||||
| Election of Director: David A. Preiser | Yes | For | For | |||||
| Election of Director: W. Grady Rosier | Yes | For | For | |||||
| Election of Director: Susan Williamson Ross | Yes | For | For | |||||
| Ratification of appointment of KPMG LLP as independent auditor for the year | Yes | For | For | |||||
| ending December 31, 2021. | ||||||||
| Advisory vote to approve executive compensation. | Yes | For | For | |||||
| Old Dominmion Freight Line, Inc. | ODFL | UMB | Election of Director: Sherry A. Aaholm | 5/19/2021 | Yes | For | For | 4/30/2021 |
| Election of Director: David S. Congdon | Yes | For | For | |||||
| Election of Director: John R. Congdon, Jr. | Yes | For | For | |||||
| Election of Director: Bradley R. Gabosch | Yes | For | For | |||||
| Election of Director: Greg C. Gantt | Yes | For | For | |||||
| Election of Director: Patrick D. Hanley | Yes | For | For | |||||
| Election of Director: John D. Kasarda | Yes | For | For | |||||
| Election of Director: Wendy T. Stallings | Yes | For | For | |||||
| Election of Director: Thomas A. Stith, III | Yes | For | For | |||||
| Election of Director: Leo H. Suggs | Yes | For | For | |||||
| Election of Director: D. Michael Wray | Yes | For | For | |||||
| Approval, on an advisory basis, of the compensation of the Company's named | Yes | For | For | |||||
| executive officers. | ||||||||
| Ratification of the appointment of Ernst & Young LLP as the Company's independent | Yes | For | For | |||||
| registered public accounting firm for the year ending December 31, 2021. | ||||||||
| Primerica, Inc. | PRI | UMB | Election of Director: John A. Addison, Jr. | 5/12/2021 | Yes | For | For | 4/27/2021 |
| Election of Director: Joel M. Babbit | Yes | For | For | |||||
| Election of Director: P. George Benson | Yes | For | For | |||||
| Election of Director: C. Saxby Chamblis | Yes | For | For | |||||
| Election of Director: Gary L. Crittenden | Yes | For | For | |||||
| Election of Director: Cynthia N. Day | Yes | For | For | |||||
| Election of Director: Sanjeev Dheer | Yes | For | For | |||||
| Election of Director: Beatriz R. Perez | Yes | For | For | |||||
| Election of Director: D. Richard Williams | Yes | For | For | |||||
| Election of Director: Glenn J. Williams | Yes | For | For | |||||
| Election of Director: Barbara A. Yastine | Yes | For | For | |||||
| To consider an advisory vote on executive compensation (Say-on- Pay). | Yes | For | For | |||||
| To ratify the appointment of KPMG LLP as our independent registered public | Yes | For | For | |||||
| accounting firm for fiscal 2021. | ||||||||
| Verisign, Inc. | VRSN | UMB | Election of Director: D. James Bidzos | 5/27/2021 | Yes | For | For | 4/30/2021 |
| Election of Director: Yehuda Ari Buchalter | Yes | For | For | |||||
| Election of Director: Kathleen A. Cote | Yes | For | For | |||||
| Election of Director: Thomas F. Frist III | Yes | For | For | |||||
| Election of Director: Jamie S. Gorelick | Yes | For | For | |||||
| Election of Director: Roger H. Moore | Yes | For | For | |||||
| Election of Director: Louis A. Simpson | Yes | For | For | |||||
| Election of Director: Timothy Tomlinson | Yes | For | For | |||||
| To approve, on a non-binding, advisory basis, the Company's executive | Yes | For | For | |||||
| compensation. | ||||||||
| To ratify the selection of KPMG LLP as the Company's independent registered | Yes | For | For | |||||
| public accounting firm for the year ending December 31, 2021. | ||||||||
| To vote on a stockholder proposal, if properly presented at the meeting, requesting | Yes | Against | For | |||||
| that the Board take steps to permit stockholder action by written consent. | ||||||||
| Watsco, Inc. | WSO | UMB | Election of Director: George P. Sape | 6/7/2021 | Yes | For | For | 5/18/2021 |
| To approve the Watsco, Inc. 2021 Incentive Compensation Plan. | Yes | For | For | |||||
| To approve the advisory resolution regarding the compensation of our named | Yes | For | For | |||||
| executive officers. | ||||||||
| To ratify the appointment of KPMG LLP as our independent registered public | Yes | For | For | |||||
| accounting firm for the 2021 fiscal year. | ||||||||
| WHITBREAD PLC | |||||||||||||||||
| Security | G9606P197 | Meeting Type | Annual General Meeting | ||||||||||||||
| Ticker Symbol | Meeting Date | 07-Jul-2020 | |||||||||||||||
| ISIN | GB00B1KJJ408 | Agenda | 712776648 - Management | ||||||||||||||
| Record Date | Holding Recon Date | 03-Jul-2020 | |||||||||||||||
| City / | Country | DUNSTA BLE | / | United Kingdom | Vote Deadline Date | 29-Jun-2020 | |||||||||||
| SEDOL(s) | B1KJJ40 - B1MCN34 - B1MCN67 - BKSG2K3 | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||||||
| 1 | TO RECEIVE THE ANNUAL REPORT AND ACCOUNTS FOR THE YEAR ENDED 27 FEBRUARY 2020 | Management | For | For | For | ||||||||||||
| 2 | TO APPROVE THE ANNUAL REPORT ON REMUNERATION | Management | For | For | For | ||||||||||||
| 3 | TO ELECT HORST BAIER AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 4 | TO RE-ELECT DAVID ATKINS AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 5 | TO RE-ELECT ALISON BRITTAIN AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 6 | TO RE-ELECT NICHOLAS CADBURY AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 7 | TO RE-ELECT ADAM CROZIER AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 8 | TO RE-ELECT FRANK FISKERS AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 9 | TO RE-ELECT RICHARD GILLINGWATER AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 10 | TO RE-ELECT CHRIS KENNEDY AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 11 | TO RE-ELECT DEANNA OPPENHEIMER AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 12 | TO RE-ELECT LOUISE SMALLEY AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 13 | TO RE-ELECT SUSAN TAYLOR MARTIN AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 14 | TO REAPPOINT DELOITTE LLP AS THE AUDITOR | Management | For | For | For | ||||||||||||
| 15 | TO AUTHORISE THE BOARD, THROUGH THE AUDIT COMMITTEE, TO SET THE AUDITOR'S REMUNERATION | Management | For | For | For | ||||||||||||
| 16 | TO AUTHORISE THE COMPANY TO MAKE POLITICAL DONATIONS | Management | For | For | For | ||||||||||||
| 17 | TO AUTHORISE THE BOARD TO ALLOT SHARES | Management | For | For | For | ||||||||||||
| 18 | TO AUTHORISE THE DISAPPLICATION OF PRE-EMPTION RIGHTS | Management | For | For | For | ||||||||||||
| 19 | TO AUTHORISE THE DISAPPLICATION OF PRE-EMPTION RIGHTS IN CONNECTION WITH AN ACQUISITION OR SPECIFIED CAPITAL INVESTMENT | Management | For | For | For | ||||||||||||
| 20 | TO AUTHORISE THE COMPANY TO PURCHASE ITS OWN ORDINARY SHARES | Management | For | For | For | ||||||||||||
| 21 | TO ENABLE THE COMPANY TO CALL GENERAL MEETINGS, OTHER THAN AN ANNUAL GENERAL MEETING, ON REDUCED NOTICE | Management | For | For | For | ||||||||||||
| COMPASS GROUP PLC | |||||||||||||||||
| Security | G23296208 | Meeting Type | Annual General Meeting | ||||||||||||||
| Ticker Symbol | Meeting Date | 04-Feb-2021 | |||||||||||||||
| ISIN | GB00BD6K4575 | Agenda | 713451021 - Management | ||||||||||||||
| Record Date | Holding Recon Date | 02-Feb-2021 | |||||||||||||||
| City / | Country | CHERTS EY | / | United Kingdom | Vote Deadline Date | 07-Jan-2021 | |||||||||||
| SEDOL(s) | BD6K457 - BKSG3Q6 - BZBYF99 | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||||||
| 1 | RECEIVE AND ADOPT THE DIRECTORS' ANNUAL REPORT AND ACCOUNTS AND THE AUDITOR'S REPORT THEREON | Management | For | For | For | ||||||||||||
| 2 | RECEIVE AND ADOPT THE REMUNERATION POLICY | Management | For | For | For | ||||||||||||
| 3 | RECEIVE AND ADOPT THE DIRECTORS' REMUNERATION REPORT | Management | For | For | For | ||||||||||||
| 4 | ELECT IAN MEAKINS AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 5 | RE-ELECT DOMINIC BLAKEMORE AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 6 | RE-ELECT GARY GREEN AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 7 | RE-ELECT KAREN WITTS AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 8 | RE-ELECT CAROL ARROWSMITH AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 9 | RE-ELECT JOHN BASON AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 10 | RE-ELECT STEFAN BOMHARD AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 11 | RE-ELECT JOHN BRYANT AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 12 | RE-ELECT ANNE-FRANCOISE NESMES AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 13 | RE-ELECT NELSON SILVA AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 14 | RE-ELECT IREENA VITTAL AS A DIRECTOR | Management | For | For | For | ||||||||||||
| 15 | REAPPOINT KPMG LLP AS AUDITOR | Management | For | For | For | ||||||||||||
| 16 | AUTHORISE THE AUDIT COMMITTEE TO AGREE THE AUDITOR'S REMUNERATION | Management | For | For | For | ||||||||||||
| 17 | DONATIONS TO POLITICAL ORGANISATIONS | Management | For | For | For | ||||||||||||
| 18 | AUTHORITY TO ALLOT SHARES | Management | For | For | For | ||||||||||||
| 19 | AUTHORITY TO ALLOT SHARES FOR CASH | Management | For | For | For | ||||||||||||
| 20 | ADDITIONAL AUTHORITY TO ALLOT SHARES FOR CASH IN LIMITED CIRCUMSTANCES | Management | For | For | For | ||||||||||||
| 21 | AUTHORITY TO PURCHASE SHARES | Management | For | For | For | ||||||||||||
| 22 | ADOPTION OF ARTICLES OF ASSOCIATION | Management | For | For | For | ||||||||||||
| 23 | REDUCE GENERAL MEETING NOTICE 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 | Management | For | For | For | ||||||||||||
| CMMT | 16 DEC 2020: PLEASE NOTE THAT THIS IS 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 | Non-Voting | None | None | None | ||||||||||||
| SAP SE | |||||||||||||||||
| Security | D66992104 | Meeting Type | Annual General Meeting | ||||||||||||||
| Ticker Symbol | Meeting Date | 12-May-2021 | |||||||||||||||
| ISIN | DE0007164600 | Agenda | 713760329 - Management | ||||||||||||||
| Record Date | 20-Apr-2021 | Holding Recon Date | 20-Apr-2021 | ||||||||||||||
| City / | Country | WALLDO RF | / | Germany | Vote Deadline Date | 14-Apr-2021 | |||||||||||
| SEDOL(s) | 4846288 - 4882185 - B115107 - B4KJM86 - BF0Z8B6 - BGRHNY0 | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 1 | RECEIVE FINANCIAL STATEMENTS AND STATUTORY REPORTS FOR FISCAL YEAR 2020 | Non-Voting | None | None | None | ||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF EUR 1.85 PER SHARE | Management | For | For | For | ||||||||||||
| 3 | APPROVE DISCHARGE OF MANAGEMENT BOARD FOR FISCAL YEAR 2020 | Management | For | For | For | ||||||||||||
| 4 | APPROVE DISCHARGE OF SUPERVISORY BOARD FOR FISCAL YEAR 2020 | Management | For | For | For | ||||||||||||
| 5 | RATIFY KPMG AG AS AUDITORS FOR FISCAL YEAR 2021 | Management | For | For | For | ||||||||||||
| 6.1 | ELECT QI LU TO THE SUPERVISORY BOARD | Management | For | For | For | ||||||||||||
| 6.2 | ELECT ROUVEN WESTPHAL TO THE SUPERVISORY BOARD | Management | For | 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 | Management | For | For | For | ||||||||||||
| 8 | AMEND CORPORATE PURPOSE | Management | For | For | For | ||||||||||||
| 9 | AMEND ARTICLES RE: PROOF OF ENTITLEMENT | Management | For | For | For | ||||||||||||
| PARTNERS GROUP HOLDING AG | |||||||||||||||||
| Security | H6120A101 | Meeting Type | Annual General Meeting | ||||||||||||||
| Ticker Symbol | Meeting Date | 12-May-2021 | |||||||||||||||
| ISIN | CH0024608827 | Agenda | 713977518 - Management | ||||||||||||||
| Record Date | 03-May-2021 | Holding Recon Date | 03-May-2021 | ||||||||||||||
| City / | Country | TBD | / | Switzerland | Vote Deadline Date | 30-Apr-2021 | |||||||||||
| SEDOL(s) | B119QG0 - B120H92 - BKJ8ZJ8 | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Management | For | For | For | ||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF CHF 27.50 PER SHARE | Management | For | For | For | ||||||||||||
| 3 | APPROVE DISCHARGE OF BOARD AND SENIOR MANAGEMENT | Management | For | For | For | ||||||||||||
| 4 | AMEND ARTICLES RE EXTERNAL MANDATES FOR MEMBERS OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE | Management | For | For | For | ||||||||||||
| 5 | APPROVE REMUNERATION REPORT | Management | For | For | For | ||||||||||||
| 6.1 | APPROVE SHORT-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3 MILLION | Management | For | For | For | ||||||||||||
| 6.2 | APPROVE LONG-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3.8 MILLION | Management | For | For | For | ||||||||||||
| 6.3 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 10.1 MILLION | Management | For | For | For | ||||||||||||
| 6.4 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2021 | Management | For | For | For | ||||||||||||
| 6.5 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2022 | Management | For | For | For | ||||||||||||
| 6.6 | APPROVE LONG-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.1 MILLION | Management | For | For | For | ||||||||||||
| 6.7 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 60,000 | Management | For | For | For | ||||||||||||
| 7.1.1 | ELECT STEFFEN MEISTER AS DIRECTOR AND AS BOARD CHAIRMAN | Management | For | For | For | ||||||||||||
| 7.1.2 | ELECT MARCEL ERNI AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.3 | ELECT ALFRED GANTNER AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.4 | ELECT LISA HOOK AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.5 | ELECT JOSEPH LANDY AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.6 | ELECT GRACE DEL ROSARIO-CASTANO AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.7 | ELECT MARTIN STROBEL AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.1.8 | ELECT URS WIETLISBACH AS DIRECTOR | Management | For | For | For | ||||||||||||
| 7.2.1 | APPOINT GRACE DEL ROSARIO- CASTANO AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | For | For | For | ||||||||||||
| 7.2.2 | APPOINT LISA HOOK AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | For | For | For | ||||||||||||
| 7.2.3 | APPOINT MARTIN STROBEL AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | For | For | For | ||||||||||||
| 7.3 | DESIGNATE HOTZ GOLDMANN AS INDEPENDENT PROXY | Management | For | For | For | ||||||||||||
| 7.4 | RATIFY KPMG AG AS AUDITORS | Management | For | For | For | ||||||||||||
| PARTNERS GROUP HOLDING AG | |||||||||||||||||
| Security | H6120A101 | Meeting Type | Annual General Meeting | ||||||||||||||
| Ticker Symbol | Meeting Date | 12-May-2021 | |||||||||||||||
| ISIN | CH0024608827 | Agenda | 713977518 - Management | ||||||||||||||
| Record Date | 03-May-2021 | Holding Recon Date | 03-May-2021 | ||||||||||||||
| City / | Country | TBD | / | Switzerland | Vote Deadline Date | 30-Apr-2021 | |||||||||||
| SEDOL(s) | B119QG0 - B120H92 - BKJ8ZJ8 | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 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 | None | None | None | ||||||||||||
| 1 | ACCEPT FINANCIAL STATEMENTS AND STATUTORY REPORTS | Management | No Action | For | None | ||||||||||||
| 2 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS OF CHF 27.50 PER SHARE | Management | No Action | For | None | ||||||||||||
| 3 | APPROVE DISCHARGE OF BOARD AND SENIOR MANAGEMENT | Management | No Action | For | None | ||||||||||||
| 4 | AMEND ARTICLES RE EXTERNAL MANDATES FOR MEMBERS OF THE BOARD OF DIRECTORS AND EXECUTIVE COMMITTEE | Management | No Action | For | None | ||||||||||||
| 5 | APPROVE REMUNERATION REPORT | Management | No Action | For | None | ||||||||||||
| 6.1 | APPROVE SHORT-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3 MILLION | Management | No Action | For | None | ||||||||||||
| 6.2 | APPROVE LONG-TERM REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 3.8 MILLION | Management | No Action | For | None | ||||||||||||
| 6.3 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF DIRECTORS IN THE AMOUNT OF CHF 10.1 MILLION | Management | No Action | For | None | ||||||||||||
| 6.4 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2021 | Management | No Action | For | None | ||||||||||||
| 6.5 | APPROVE SHORT-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 9 MILLION FOR FISCAL YEAR 2022 | Management | No Action | For | None | ||||||||||||
| 6.6 | APPROVE LONG-TERM REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 15.1 MILLION | Management | No Action | For | None | ||||||||||||
| 6.7 | APPROVE TECHNICAL NON-FINANCIAL REMUNERATION OF EXECUTIVE COMMITTEE IN THE AMOUNT OF CHF 60,000 | Management | No Action | For | None | ||||||||||||
| 7.1.1 | ELECT STEFFEN MEISTER AS DIRECTOR AND AS BOARD CHAIRMAN | Management | No Action | For | None | ||||||||||||
| 7.1.2 | ELECT MARCEL ERNI AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.3 | ELECT ALFRED GANTNER AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.4 | ELECT LISA HOOK AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.5 | ELECT JOSEPH LANDY AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.6 | ELECT GRACE DEL ROSARIO-CASTANO AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.7 | ELECT MARTIN STROBEL AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.1.8 | ELECT URS WIETLISBACH AS DIRECTOR | Management | No Action | For | None | ||||||||||||
| 7.2.1 | APPOINT GRACE DEL ROSARIO- CASTANO AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | No Action | For | None | ||||||||||||
| 7.2.2 | APPOINT LISA HOOK AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | No Action | For | None | ||||||||||||
| 7.2.3 | APPOINT MARTIN STROBEL AS MEMBER OF THE NOMINATION AND COMPENSATION COMMITTEE | Management | No Action | For | None | ||||||||||||
| 7.3 | DESIGNATE HOTZ GOLDMANN AS INDEPENDENT PROXY | Management | No Action | For | None | ||||||||||||
| 7.4 | RATIFY KPMG AG AS AUDITORS | Management | No Action | For | None | ||||||||||||
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.
| BBR ALO FUND, LLC | |||
| By: | /s/ Barry M. Klayman | ||
| Name: | Barry M. Klayman | ||
| Title: | Principal Executive Officer | ||
| August 30, 2021 | |||
