UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-03287
New Alternatives Fund
(Exact name of registrant as specified in charter)
150 Broadhollow Road, Suite PH2
Melville, New York 11747
(Address of principal executive offices) (Zip code)
David J. Schoenwald, President
New Alternatives Fund
150 Broadhollow Road, Suite PH2
Melville, New York 11747
(Name and address of agent for service)
Registrant’s telephone number, including area code: 631-423-7373
Date of fiscal year end: December 31
Date of reporting period: July 1, 2020 – 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, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2020 TO JUNE 30, 2021
Investment Company Report
SIEMENS GAMESA RENEWABLE ENERGY SA | ||||||
Security | E8T87A100 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 22-Jul-2020 | ||||
ISIN | ES0143416115 | Agenda | 712847764 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Management Proposal | Management | For | |||||||||||
2 | Management Proposal | Management | For | |||||||||||
3 | Management Proposal | Management | For | |||||||||||
4 | Management Proposal | Management | For | |||||||||||
5 | Management Proposal | Management | For | |||||||||||
6 | Management Proposal | Management | For | |||||||||||
7 | Management Proposal | Management | For | |||||||||||
8 | Management Proposal | Management | For | |||||||||||
9 | Management Proposal | Management | For | |||||||||||
10 | Management Proposal | Management | For | |||||||||||
11 | Management Proposal | Management | For | |||||||||||
12 | Management Proposal | Management | For | |||||||||||
13 | Management Proposal | Management | For | |||||||||||
14 | Management Proposal | Management | For | |||||||||||
15 | Management Proposal | Management | For | |||||||||||
16 | Management Proposal | Management | For | |||||||||||
17 | Management Proposal | Management | For | |||||||||||
18.1 | Management Proposal | Management | For | |||||||||||
18.2 | Management Proposal | Management | For | |||||||||||
18.3 | Management Proposal | Management | For | |||||||||||
18.4 | Management Proposal | Management | For | |||||||||||
19 | Management Proposal | Management | For | |||||||||||
20 | Management Proposal | Management | For | |||||||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND CALL ON 23 JUL 2020. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL-REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||||||
CMMT | 30 JUN 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE TEXT OF-RESOLUTIONS 18.1 TO 18.4. 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 |
Page 1 of 52 | 29-Jul-2021 |
Investment Company Report
SIEMENS GAMESA RENEWABLE ENERGY SA | ||||||
Security | E8T87A100 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 22-Jul-2020 | ||||
ISIN | ES0143416115 | Agenda | 712847764 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For | |||||||||
12 | Management Proposal | Management | For | For | For | |||||||||
13 | Management Proposal | Management | For | For | For | |||||||||
14 | Management Proposal | Management | For | For | For | |||||||||
15 | Management Proposal | Management | For | For | For | |||||||||
16 | Management Proposal | Management | For | For | For | |||||||||
17 | Management Proposal | Management | For | For | For | |||||||||
18.1 | Management Proposal | Management | For | For | For | |||||||||
18.2 | Management Proposal | Management | For | For | For | |||||||||
18.3 | Management Proposal | Management | For | For | For | |||||||||
18.4 | Management Proposal | Management | For | For | For | |||||||||
19 | Management Proposal | Management | For | For | For | |||||||||
20 | Management Proposal | Management | For | For | For | |||||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND CALL ON 23 JUL 2020. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL-REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU. | Non-Voting | ||||||||||||
CMMT | 30 JUN 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN THE TEXT OF-RESOLUTIONS 18.1 TO 18.4. 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 |
Page 2 of 52 | 29-Jul-2021 |
Investment Company Report
TRUSTPOWER LIMITED | ||||||
Security | Q9239W147 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 24-Jul-2020 | ||||
ISIN | NZTPXE0001S5 | Agenda | 712911747 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For |
Page 3 of 52 | 29-Jul-2021 |
Investment Company Report
TRUSTPOWER LIMITED | ||||||
Security | Q9239W147 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 24-Jul-2020 | ||||
ISIN | NZTPXE0001S5 | Agenda | 712911747 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Management Proposal | Management | For | |||||||||||
2 | Management Proposal | Management | For |
Page 4 of 52 | 29-Jul-2021 |
Investment Company Report
TERRAFORM POWER INC. | ||||||
Security | 88104R209 | Meeting Type | Annual | |||
Ticker Symbol | TERP | Meeting Date | 29-Jul-2020 | |||
ISIN | US88104R2094 | Agenda | 935245844 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Approve Reorganization Plan | Management | For | For | For | |||||||||
2a. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2b. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2c. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2d. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2e. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2f. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2g. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
3. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
4. | 14A Executive Compensation | Management | For | For | For | |||||||||
5. | Approve Motion to Adjourn Meeting | Management | For | For | For |
Page 5 of 52 | 29-Jul-2021 |
Investment Company Report
INFRATIL LTD | ||||||
Security | Q4933Q124 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 20-Aug-2020 | ||||
ISIN | NZIFTE0003S3 | Agenda | 712977214 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 23 JUL 2020: VOTING EXCLUSIONS APPLY TO THIS MEETING FOR PROPOSAL “3” AND-VOTES CAST BY ANY INDIVIDUAL OR RELATED PARTY WHO BENEFIT FROM THE PASSING OF-THE PROPOSAL/S WILL BE DISREGARDED. HENCE, IF YOU HAVE OBTAINED BENEFIT OR DO-EXPECT TO OBTAIN FUTURE BENEFIT YOU SHOULD NOT VOTE (OR VOTE “ABSTAIN”) FOR-THE RELEVANT PROPOSAL ITEMS. | Non-Voting | ||||||||||||
CMMT | 23 JUL 2020: 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 |
Page 6 of 52 | 29-Jul-2021 |
Investment Company Report
SIGNIFY N.V. | ||||||
Security | N8063K107 | Meeting Type | Special General Meeting | |||
Ticker Symbol | Meeting Date | 27-Oct-2020 | ||||
ISIN | NL0011821392 | Agenda | 713105028 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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 | ||||||||||||
1. | Management Proposal | Management | For | For | For | |||||||||
CMMT | 16 OCT 2020: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING-OF RESOLUTION 1. 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 |
Page 7 of 52 | 29-Jul-2021 |
Investment Company Report
EDP RENOVAVEIS, SA | ||||||
Security | E3847K101 | Meeting Type | ExtraOrdinary General Meeting | |||
Ticker Symbol | Meeting Date | 22-Feb-2021 | ||||
ISIN | ES0127797019 | Agenda | 713565781 - Management |
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 | ||||||||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND CALL ON 01 MAR 2021. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL-REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU | Non-Voting | ||||||||||||
1A | Management Proposal | Management | For | For | For | |||||||||
1B | Management Proposal | Management | For | For | For | |||||||||
1C | Management Proposal | Management | For | For | For | |||||||||
2A | Management Proposal | Management | For | For | For | |||||||||
2B | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 25 JAN 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. THANK YOU | Non-Voting | ||||||||||||
CMMT | 25 JAN 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 |
Page 8 of 52 | 29-Jul-2021 |
Investment Company Report
ORSTED | ||||||
Security | K7653Q105 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 01-Mar-2021 | ||||
ISIN | DK0060094928 | Agenda | 713588993 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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 | ||||||||||||
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 | ||||||||||||
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 |
Page 9 of 52 | 29-Jul-2021 |
Investment Company Report
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’-ONLY FOR RESOLUTION NUMBERS 9.1 TO 9.9 AND 11. THANK YOU | Non-Voting | ||||||||||||
1 | REPORT BY THE BOARD OF DIRECTORS | Non-Voting | ||||||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7.1 | Management Proposal | Management | For | For | For | |||||||||
7.2 | Management Proposal | Management | For | For | For | |||||||||
7.3 | Management Proposal | Management | For | For | For | |||||||||
7.4 | Management Proposal | Management | For | For | For | |||||||||
8 | ANY PROPOSALS FROM THE SHAREHOLDERS (NO PROPOSALS) | Non-Voting | ||||||||||||
9.1 | Management Proposal | Management | For | For | For | |||||||||
9.2 | Management Proposal | Management | For | For | For | |||||||||
9.3 | Management Proposal | Management | For | For | For | |||||||||
9.4 | Management Proposal | Management | For | For | For | |||||||||
9.5 | Management Proposal | Management | For | For | For | |||||||||
9.6 | Management Proposal | Management | For | For | For | |||||||||
9.7 | Management Proposal | Management | For | For | For | |||||||||
9.8 | Management Proposal | Management | For | For | For | |||||||||
9.9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For | |||||||||
12 | ANY OTHER BUSINESS | 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. THANK YOU | Non-Voting |
Page 10 of 52 | 29-Jul-2021 |
Investment Company Report
CMMT | 05 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 | ||||||||||||
CMMT | 05 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 |
Page 11 of 52 | 29-Jul-2021 |
Investment Company Report
JOHNSON CONTROLS INTERNATIONAL PLC | ||||||
Security | G51502105 | Meeting Type | Annual | |||
Ticker Symbol | JCI | Meeting Date | 10-Mar-2021 | |||
ISIN | IE00BY7QL619 | Agenda | 935328244 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1L. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2.A | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
2.B | Approve Remuneration of Directors and Auditors | Management | For | For | For | |||||||||
3. | Stock Repurchase Plan | Management | For | For | For | |||||||||
4. | Miscellaneous Corporate Actions | Management | For | For | For | |||||||||
5. | 14A Executive Compensation | Management | For | For | For | |||||||||
6. | Approve Stock Compensation Plan | Management | For | For | For | |||||||||
7. | Allot Securities | Management | For | For | For | |||||||||
8. | Eliminate Pre-Emptive Rights | Management | For | For | For |
Page 12 of 52 | 29-Jul-2021 |
Investment Company Report
SIEMENS GAMESA RENEWABLE ENERGY SA | ||||||
Security | E8T87A100 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 17-Mar-2021 | ||||
ISIN | ES0143416115 | Agenda | 713602058 - Management |
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 | ||||||||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND CALL ON 18 MAR 2021. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL-REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU | Non-Voting | ||||||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For | |||||||||
12 | Management Proposal | Management | For | For | For | |||||||||
13 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 03 MAR 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, | Non-Voting |
Page 13 of 52 | 29-Jul-2021 |
Investment Company Report
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 | 03 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 |
Page 14 of 52 | 29-Jul-2021 |
Investment Company Report
VESTAS WIND SYSTEMS A/S | ||||||
Security | K9773J128 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 08-Apr-2021 | ||||
ISIN | DK0010268606 | Agenda | 713663208 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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 | ||||||||||||
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 | ||||||||||||
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 |
Page 15 of 52 | 29-Jul-2021 |
Investment Company Report
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 | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’-ONLY FOR RESOLUTION NUMBERS 6.A TO 6.H AND 7. THANK YOU | Non-Voting | ||||||||||||
1 | THE BOARD OF DIRECTORS’ REPORT | Non-Voting | ||||||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6.a | Management Proposal | Management | For | For | For | |||||||||
6.b | Management Proposal | Management | For | For | For | |||||||||
6.c | Management Proposal | Management | For | For | For | |||||||||
6.d | Management Proposal | Management | For | For | For | |||||||||
6.e | Management Proposal | Management | For | For | For | |||||||||
6.f | Management Proposal | Management | For | For | For | |||||||||
6.g | Management Proposal | Management | For | For | For | |||||||||
6.h | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8.1 | Management Proposal | Management | For | For | For | |||||||||
8.2 | Management Proposal | Management | For | For | For | |||||||||
8.3 | Management Proposal | Management | For | For | For | |||||||||
8.4 | Management Proposal | Management | For | For | For | |||||||||
8.5 | Management Proposal | Management | For | For | For | |||||||||
8.6 | Management Proposal | Management | For | For | For | |||||||||
8.7 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | ANY OTHER BUSINESS | Non-Voting |
Page 16 of 52 | 29-Jul-2021 |
Investment Company Report
CMMT | 22 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO DUE CHANGE IN-NUMBERING FOR RESOLUTIONS 6 AND 3. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO-MID 529134, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting |
Page 17 of 52 | 29-Jul-2021 |
Investment Company Report
EDP RENOVAVEIS, SA | ||||||
Security | E3847K101 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 12-Apr-2021 | ||||
ISIN | ES0127797019 | Agenda | 713684517 - Management |
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 | ||||||||||||
CMMT | PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM, THERE WILL BE A-SECOND CALL ON 13 APRIL 2021. CONSEQUENTLY, YOUR VOTING INSTRUCTIONS WILL-REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED. THANK YOU | Non-Voting | ||||||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6A | Management Proposal | Management | For | For | For | |||||||||
6B | Management Proposal | Management | For | For | For | |||||||||
6C | Management Proposal | Management | For | For | For | |||||||||
6D | Management Proposal | Management | For | For | For | |||||||||
6E | Management Proposal | Management | For | For | For | |||||||||
6F | Management Proposal | Management | For | For | For | |||||||||
6G | Management Proposal | Management | For | For | For | |||||||||
6H | Management Proposal | Management | For | For | For | |||||||||
6I | Management Proposal | Management | For | For | For | |||||||||
6J | Management Proposal | Management | For | For | For | |||||||||
6K | Management Proposal | Management | For | For | For | |||||||||
6L | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For |
Page 18 of 52 | 29-Jul-2021 |
Investment Company Report
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 | ||||||||||||
CMMT | 25 MAR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN RECORD DATE-FROM 07 APR 2021 TO 01 APR 2021. IF YOU HAVE ALREADY SENT IN YOUR VOTES TO-MID 528329, PLEASE DO NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND YOUR ORIGINAL-INSTRUCTIONS. THANK YOU | Non-Voting |
Page 19 of 52 | 29-Jul-2021 |
Investment Company Report
ACCIONA SA | ||||||
Security | E0008Z109 | Meeting Type | ExtraOrdinary General Meeting | |||
Ticker Symbol | Meeting Date | 12-Apr-2021 | ||||
ISIN | ES0125220311 | Agenda | 713697069 - Management |
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 | ||||||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 22 MAR 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 |
Page 20 of 52 | 29-Jul-2021 |
Investment Company Report
CMMT | 22 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 |
Page 21 of 52 | 29-Jul-2021 |
Investment Company Report
OWENS CORNING | ||||||
Security | 690742101 | Meeting Type | Annual | |||
Ticker Symbol | OC | Meeting Date | 15-Apr-2021 | |||
ISIN | US6907421019 | Agenda | 935341280 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
3. | 14A Executive Compensation | Management | For | For | For |
Page 22 of 52 | 29-Jul-2021 |
Investment Company Report
NEXTERA ENERGY PARTNERS, LP | ||||||
Security | 65341B106 | Meeting Type | Annual | |||
Ticker Symbol | NEP | Meeting Date | 20-Apr-2021 | |||
ISIN | US65341B1061 | Agenda | 935341622 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
3. | 14A Executive Compensation | Management | For | For | For |
Page 23 of 52 | 29-Jul-2021 |
Investment Company Report
VEOLIA ENVIRONNEMENT | ||||||
Security | 92334N103 | Meeting Type | Annual | |||
Ticker Symbol | VEOEY | Meeting Date | 22-Apr-2021 | |||
ISIN | US92334N1037 | Agenda | 935371776 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Adopt Accounts for Past Year | Management | For | None | ||||||||||
2. | Receive Consolidated Financial Statements | Management | For | None | ||||||||||
3. | Approve Article Amendments | Management | For | None | ||||||||||
4. | Dividends | Management | For | None | ||||||||||
5. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
6. | Election of Directors (Full Slate) | Management | For | None | ||||||||||
7. | Election of Directors (Full Slate) | Management | For | None | ||||||||||
8. | Election of Directors (Majority Voting) | Management | For | None | ||||||||||
9. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
10. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
11. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
12. | Miscellaneous Compensation Plans | Management | For | None | ||||||||||
13. | Amend Articles-Board Related | Management | For | None | ||||||||||
14. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
15. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
16. | Authorize Directors to Repurchase Shares | Management | For | None | ||||||||||
17. | Increase Share Capital | Management | For | None | ||||||||||
18. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
19. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
20. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
21. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
22. | Miscellaneous Corporate Actions | Management | For | None | ||||||||||
23. | Amend Articles-Board Related | Management | For | None | ||||||||||
24. | Approve Article Amendments | Management | For | None | ||||||||||
25. | Approve Previous Board’s Actions | Management | For | None |
Page 24 of 52 | 29-Jul-2021 |
Investment Company Report
CLEARWAY ENERGY, INC. | ||||||
Security | 18539C105 | Meeting Type | Annual | |||
Ticker Symbol | CWENA | Meeting Date | 29-Apr-2021 | |||
ISIN | US18539C1053 | Agenda | 935350998 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Election of Directors | Management | ||||||||||||
1 Jonathan Bram | For | For | For | |||||||||||
2 Nathaniel Anschuetz | For | For | For | |||||||||||
3 Brian R. Ford | For | For | For | |||||||||||
4 Bruce MacLennan | For | For | For | |||||||||||
5 Ferrell P. McClean | For | For | For | |||||||||||
6 Daniel B. More | For | For | For | |||||||||||
7 E. Stanley O’Neal | For | For | For | |||||||||||
8 Christopher S. Sotos | For | For | For | |||||||||||
9 Scott Stanley | For | For | For | |||||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Amend Stock Compensation Plan | Management | For | For | For | |||||||||
4. | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 25 of 52 | 29-Jul-2021 |
Investment Company Report
CLEARWAY ENERGY, INC. | ||||||
Security | 18539C204 | Meeting Type | Annual | |||
Ticker Symbol | CWEN | Meeting Date | 29-Apr-2021 | |||
ISIN | US18539C2044 | Agenda | 935350998 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Election of Directors | Management | ||||||||||||
1 Jonathan Bram | For | For | For | |||||||||||
2 Nathaniel Anschuetz | For | For | For | |||||||||||
3 Brian R. Ford | For | For | For | |||||||||||
4 Bruce MacLennan | For | For | For | |||||||||||
5 Ferrell P. McClean | For | For | For | |||||||||||
6 Daniel B. More | For | For | For | |||||||||||
7 E. Stanley O’Neal | For | For | For | |||||||||||
8 Christopher S. Sotos | For | For | For | |||||||||||
9 Scott Stanley | For | For | For | |||||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Amend Stock Compensation Plan | Management | For | For | For | |||||||||
4. | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 26 of 52 | 29-Jul-2021 |
Investment Company Report
TERNA S.P.A. | ||||||
Security | T9471R100 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 30-Apr-2021 | ||||
ISIN | IT0003242622 | Agenda | 713755570 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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 | ||||||||||||
O.1 | Management Proposal | Management | For | For | For | |||||||||
O.2 | Management Proposal | Management | For | For | For | |||||||||
O.3 | Management Proposal | Management | For | For | For | |||||||||
O.4 | Management Proposal | Management | For | For | For | |||||||||
O.5.1 | Management Proposal | Management | For | For | For | |||||||||
O.5.2 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 05 APR 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 | ||||||||||||
CMMT | 05 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 |
Page 27 of 52 | 29-Jul-2021 |
Investment Company Report
GENERAL ELECTRIC COMPANY | ||||||
Security | 369604103 | Meeting Type | Annual | |||
Ticker Symbol | GE | Meeting Date | 04-May-2021 | |||
ISIN | US3696041033 | Agenda | 935357954 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
4. | Approve Reverse Stock Split | Management | For | For | For | |||||||||
5. | S/H Proposal - Corporate Governance | Shareholder | For | Against | Against | |||||||||
6. | S/H Proposal - Establish Independent Chairman | Shareholder | For | Against | Against | |||||||||
7. | Miscellaneous Corporate Actions | Management | For | For | For |
Page 28 of 52 | 29-Jul-2021 |
Investment Company Report
ATLANTICA SUSTAINABLE INFRASTRUCTURE PLC | ||||||
Security | G0751N103 | Meeting Type | Annual | |||
Ticker Symbol | AY | Meeting Date | 04-May-2021 | |||
ISIN | GB00BLP5YB54 | Agenda | 935363921 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Receive Directors’ Report | Management | For | For | For | |||||||||
2. | Approve Remuneration of Directors and Auditors | Management | For | For | For | |||||||||
3. | Approve Remuneration of Directors and Auditors | Management | For | For | For | |||||||||
4. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
5. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
6. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
7. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
8. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
9. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
10. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
11. | Election of Directors (Full Slate) | Management | For | For | For | |||||||||
12. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
13. | Approve Remuneration of Directors and Auditors | Management | For | For | For | |||||||||
14. | Stock Issuance | Management | For | For | For | |||||||||
15. | Eliminate Pre-Emptive Rights | Management | For | For | For | |||||||||
16. | Eliminate Pre-Emptive Rights | Management | For | For | For | |||||||||
17. | Miscellaneous Corporate Actions | Management | For | For | For |
Page 29 of 52 | 29-Jul-2021 |
Investment Company Report
BORALEX INC | ||||||
Security | 09950M300 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 05-May-2021 | ||||
ISIN | CA09950M3003 | Agenda | 713675114 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR RESOLUTIONS 3 AND 4 AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION-NUMBERS 1.1 TO 1.11 AND 2. THANK YOU | Non-Voting | ||||||||||||
1.1 | Management Proposal | Management | For | For | For | |||||||||
1.2 | Management Proposal | Management | For | For | For | |||||||||
1.3 | Management Proposal | Management | For | For | For | |||||||||
1.4 | Management Proposal | Management | For | For | For | |||||||||
1.5 | Management Proposal | Management | For | For | For | |||||||||
1.6 | Management Proposal | Management | For | For | For | |||||||||
1.7 | Management Proposal | Management | For | For | For | |||||||||
1.8 | Management Proposal | Management | For | For | For | |||||||||
1.9 | Management Proposal | Management | For | For | For | |||||||||
1.10 | Management Proposal | Management | For | For | For | |||||||||
1.11 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For |
Page 30 of 52 | 29-Jul-2021 |
Investment Company Report
EVERSOURCE ENERGY | ||||||
Security | 30040W108 | Meeting Type | Annual | |||
Ticker Symbol | ES | Meeting Date | 05-May-2021 | |||
ISIN | US30040W1080 | Agenda | 935351774 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 31 of 52 | 29-Jul-2021 |
Investment Company Report
KONINKLIJKE PHILIPS ELECTRONICS N.V. | ||||||
Security | 500472303 | Meeting Type | Annual | |||
Ticker Symbol | PHG | Meeting Date | 06-May-2021 | |||
ISIN | US5004723038 | Agenda | 935399433 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
2B. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
2C. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
2D. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
2E. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
2F. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
3. | Election of Directors (Full Slate) | Management | For | None | ||||||||||
4A. | Election of Directors (Majority Voting) | Management | For | None | ||||||||||
4B. | Election of Directors (Majority Voting) | Management | For | None | ||||||||||
5A. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
5B. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
6. | Miscellaneous Corporate Governance | Management | For | None | ||||||||||
7. | Miscellaneous Corporate Governance | Management | For | None |
Page 32 of 52 | 29-Jul-2021 |
Investment Company Report
INNERGEX RENEWABLE ENERGY INC | ||||||
Security | 45790B104 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 11-May-2021 | ||||
ISIN | CA45790B1040 | Agenda | 713833526 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR RESOLUTION 3 AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS-1.1 TO 1.10 AND 2. THANK YOU | Non-Voting | ||||||||||||
1.1 | Management Proposal | Management | For | For | For | |||||||||
1.2 | Management Proposal | Management | For | For | For | |||||||||
1.3 | Management Proposal | Management | For | For | For | |||||||||
1.4 | Management Proposal | Management | For | For | For | |||||||||
1.5 | Management Proposal | Management | For | For | For | |||||||||
1.6 | Management Proposal | Management | For | For | For | |||||||||
1.7 | Management Proposal | Management | For | For | For | |||||||||
1.8 | Management Proposal | Management | For | For | For | |||||||||
1.9 | Management Proposal | Management | For | For | For | |||||||||
1.10 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 19 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO MODIFICATION OF THE-TEXT OF RESOLUTION 3. 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 |
Page 33 of 52 | 29-Jul-2021 |
Investment Company Report
XYLEM INC. | ||||||
Security | 98419M100 | Meeting Type | Annual | |||
Ticker Symbol | XYL | Meeting Date | 12-May-2021 | |||
ISIN | US98419M1009 | Agenda | 935365658 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
3. | 14A Executive Compensation | Management | For | For | For | |||||||||
4. | S/H Proposal - Corporate Governance | Shareholder | For | Against | Against |
Page 34 of 52 | 29-Jul-2021 |
Investment Company Report
AMERICAN WATER WORKS COMPANY, INC. | ||||||
Security | 030420103 | Meeting Type | Annual | |||
Ticker Symbol | AWK | Meeting Date | 12-May-2021 | |||
ISIN | US0304201033 | Agenda | 935369074 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 35 of 52 | 29-Jul-2021 |
Investment Company Report
SIGNIFY N.V. | ||||||
Security | N8063K107 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 18-May-2021 | ||||
ISIN | NL0011821392 | Agenda | 713760418 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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. | PRESENTATION BY CEO ERIC RONDOLAT | Non-Voting | ||||||||||||
2. | Management Proposal | Management | For | For | For | |||||||||
3. | EXPLANATION OF THE POLICY ON ADDITIONS TO RESERVES AND DIVIDENDS | Non-Voting | ||||||||||||
4. | Management Proposal | Management | For | For | For | |||||||||
5. | DIVIDEND | Non-Voting | ||||||||||||
5a. | Management Proposal | Management | For | For | For | |||||||||
5b. | Management Proposal | Management | For | For | For | |||||||||
6. | DISCHARGE MEMBERS OF THE BOARD OF MANAGEMENT AND THE SUPERVISORY BOARD | Non-Voting | ||||||||||||
6a | Management Proposal | Management | For | For | For | |||||||||
6b. | Management Proposal | Management | For | For | For | |||||||||
7. | Management Proposal | Management | For | For | For | |||||||||
8. | AUTHORIZATIONS OF THE BOARD OF MANAGEMENT TO (A) ISSUE SHARES OR GRANT RIGHTS-TO ACQUIRE SHARES, AND (B) RESTRICT OR EXCLUDE PRE-EMPTIVE RIGHTS | Non-Voting | ||||||||||||
8a. | Management Proposal | Management | For | For | For | |||||||||
8b. | Management Proposal | Management | For | For | For | |||||||||
9. | Management Proposal | Management | For | For | For | |||||||||
10. | Management Proposal | Management | For | For | For | |||||||||
11. | ANY OTHER BUSINESS | Non-Voting |
Page 36 of 52 | 29-Jul-2021 |
Investment Company Report
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 | 03 MAY 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO CHANGE IN NUMBERING.-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 |
Page 37 of 52 | 29-Jul-2021 |
Investment Company Report
TRANSALTA RENEWABLES INC | ||||||
Security | 893463109 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 18-May-2021 | ||||
ISIN | CA8934631091 | Agenda | 713901040 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘ABSTAIN’-ONLY FOR RESOLUTION NUMBERS 1.1 TO 1.8 AND 2. THANK YOU | Non-Voting | ||||||||||||
1.1 | Management Proposal | Management | For | For | For | |||||||||
1.2 | Management Proposal | Management | For | For | For | |||||||||
1.3 | Management Proposal | Management | For | For | For | |||||||||
1.4 | Management Proposal | Management | For | For | For | |||||||||
1.5 | Management Proposal | Management | For | For | For | |||||||||
1.6 | Management Proposal | Management | For | For | For | |||||||||
1.7 | Management Proposal | Management | For | For | For | |||||||||
1.8 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For |
Page 38 of 52 | 29-Jul-2021 |
Investment Company Report
NORTHLAND POWER INC | ||||||
Security | 666511100 | Meeting Type | MIX | |||
Ticker Symbol | Meeting Date | 19-May-2021 | ||||
ISIN | CA6665111002 | Agenda | 713953974 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR RESOLUTIONS 11 AND 12 AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR-RESOLUTION NUMBERS 1 TO 10. THANK YOU | Non-Voting | ||||||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For | |||||||||
12 | Management Proposal | Management | For | For | For |
Page 39 of 52 | 29-Jul-2021 |
Investment Company Report
ENEL S.P.A. | ||||||
Security | T3679P115 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 20-May-2021 | ||||
ISIN | IT0003128367 | Agenda | 713943529 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
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 | ||||||||||||
O.1 | Management Proposal | Management | For | For | For | |||||||||
O.2 | Management Proposal | Management | For | For | For | |||||||||
O.3 | Management Proposal | Management | For | For | For | |||||||||
O.4 | Management Proposal | Management | For | For | For | |||||||||
O.5.1 | Management Proposal | Management | For | For | For | |||||||||
O.5.2 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 21 APR 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 | ||||||||||||
CMMT | 22 APR 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENT-AND MEETING TYPE WAS CHANGED FROM AGM 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 | Non-Voting |
Page 40 of 52 | 29-Jul-2021 |
Investment Company Report
HYDRO ONE LTD | ||||||
Security | 448811208 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 26-May-2021 | ||||
ISIN | CA4488112083 | Agenda | 713900872 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
CMMT | PLEASE NOTE THAT SHAREHOLDERS ARE ALLOWED TO VOTE ‘IN FAVOR’ OR ‘AGAINST’-ONLY FOR RESOLUTION 3 AND ‘IN FAVOR’ OR ‘ABSTAIN’ ONLY FOR RESOLUTION NUMBERS-1.A TO 1.K AND 2. THANK YOU | Non-Voting | ||||||||||||
1.A | Management Proposal | Management | For | For | For | |||||||||
1.B | Management Proposal | Management | For | For | For | |||||||||
1.C | Management Proposal | Management | For | For | For | |||||||||
1.D | Management Proposal | Management | For | For | For | |||||||||
1.E | Management Proposal | Management | For | For | For | |||||||||
1.F | Management Proposal | Management | For | For | For | |||||||||
1.G | Management Proposal | Management | For | For | For | |||||||||
1.H | Management Proposal | Management | For | For | For | |||||||||
1.I | Management Proposal | Management | For | For | For | |||||||||
1.J | Management Proposal | Management | For | For | For | |||||||||
1.K | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For |
Page 41 of 52 | 29-Jul-2021 |
Investment Company Report
AVANGRID, INC. | ||||||
Security | 05351W103 | Meeting Type | Annual | |||
Ticker Symbol | AGR | Meeting Date | 01-Jun-2021 | |||
ISIN | US05351W1036 | Agenda | 935402355 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Election of Directors | Management | ||||||||||||
1 Ignacio S. Galán | For | For | For | |||||||||||
2 John Baldacci | For | For | For | |||||||||||
3 Daniel Alcain Lopéz | For | For | For | |||||||||||
4 Dennis V. Arriola | For | For | For | |||||||||||
5 Pedro Azagra Blázquez | For | For | For | |||||||||||
6 Robert Duffy | For | For | For | |||||||||||
7 Teresa Herbert | For | For | For | |||||||||||
8 Patricia Jacobs | For | For | For | |||||||||||
9 John Lahey | For | For | For | |||||||||||
10 José Á. Marra Rodríguez | For | For | For | |||||||||||
11 Santiago M. Garrido | For | For | For | |||||||||||
12 José Sáinz Armada | For | For | For | |||||||||||
13 Alan Solomont | For | For | For | |||||||||||
14 Elizabeth Timm | For | For | For | |||||||||||
2. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
3. | 14A Executive Compensation | Management | For | For | For | |||||||||
4. | Amend Stock Compensation Plan | Management | For | For | For |
Page 42 of 52 | 29-Jul-2021 |
Investment Company Report
HANNON ARMSTRONG SUSTAINABLE INFRA CAPTL | ||||||
Security | 41068X100 | Meeting Type | Annual | |||
Ticker Symbol | HASI | Meeting Date | 03-Jun-2021 | |||
ISIN | US41068X1000 | Agenda | 935400363 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Election of Directors | Management | ||||||||||||
1 Jeffrey W. Eckel | For | For | For | |||||||||||
2 Clarence D. Armbrister | For | For | For | |||||||||||
3 Teresa M. Brenner | For | For | For | |||||||||||
4 Michael T. Eckhart | For | For | For | |||||||||||
5 Nancy C. Floyd | For | For | For | |||||||||||
6 Simone F. Lagomarsino | For | For | For | |||||||||||
7 Charles M. O’Neil | For | For | For | |||||||||||
8 Richard J. Osborne | For | For | For | |||||||||||
9 Steven G. Osgood | For | For | For | |||||||||||
2. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
3. | 14A Executive Compensation | Management | For | For | For |
Page 43 of 52 | 29-Jul-2021 |
Investment Company Report
TRANE TECHNOLOGIES PLC | ||||||
Security | G8994E103 | Meeting Type | Annual | |||
Ticker Symbol | TT | Meeting Date | 03-Jun-2021 | |||
ISIN | IE00BK9ZQ967 | Agenda | 935408927 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1A. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1B. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1C. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1D. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1E. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1F. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1G. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1H. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1I. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1J. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1K. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
1L. | Election of Directors (Majority Voting) | Management | For | For | For | |||||||||
2. | 14A Executive Compensation | Management | For | For | For | |||||||||
3. | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
4. | Stock Issuance | Management | For | For | For | |||||||||
5. | Stock Issuance | Management | For | For | For | |||||||||
6. | Miscellaneous Corporate Actions | Management | For | For | For |
Page 44 of 52 | 29-Jul-2021 |
Investment Company Report
ALGONQUIN POWER & UTILITIES CORP. | ||||||
Security | 015857105 | Meeting Type | Annual | |||
Ticker Symbol | AQN | Meeting Date | 03-Jun-2021 | |||
ISIN | CA0158571053 | Agenda | 935426747 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Ratify Appointment of Independent Auditors | Management | For | For | For | |||||||||
2 | Election of Directors (Majority Voting) | Management | ||||||||||||
1 Christopher Ball | For | For | For | |||||||||||
2 Arun Banskota | For | For | For | |||||||||||
3 Melissa S. Barnes | For | For | For | |||||||||||
4 Christopher Huskilson | For | For | For | |||||||||||
5 D. Randy Laney | For | For | For | |||||||||||
6 Carol Leaman | For | For | For | |||||||||||
7 Kenneth Moore | For | For | For | |||||||||||
8 Masheed Saidi | For | For | For | |||||||||||
9 Dilek Samil | For | For | For | |||||||||||
3 | 14A Executive Compensation | Management | For | For | For |
Page 45 of 52 | 29-Jul-2021 |
Investment Company Report
IBERDROLA SA | ||||||
Security | E6165F166 | Meeting Type | Ordinary General Meeting | |||
Ticker Symbol | Meeting Date | 18-Jun-2021 | ||||
ISIN | ES0144580Y14 | Agenda | 714171030 - Management |
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 | ||||||||||||
CMMT | DELETION OF COMMENT | Non-Voting | ||||||||||||
1 | Management Proposal | Management | For | For | For | |||||||||
2 | Management Proposal | Management | For | For | For | |||||||||
3 | Management Proposal | Management | For | For | For | |||||||||
4 | Management Proposal | Management | For | For | For | |||||||||
5 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7 | Management Proposal | Management | For | For | For | |||||||||
8 | Management Proposal | Management | For | For | For | |||||||||
9 | Management Proposal | Management | For | For | For | |||||||||
10 | Management Proposal | Management | For | For | For | |||||||||
11 | Management Proposal | Management | For | For | For | |||||||||
12 | Management Proposal | Management | For | For | For | |||||||||
13 | Management Proposal | Management | For | For | For | |||||||||
14 | Management Proposal | Management | For | For | For | |||||||||
15 | Management Proposal | Management | For | For | For | |||||||||
16 | Management Proposal | Management | For | For | For | |||||||||
17 | Management Proposal | Management | For | For | For | |||||||||
18 | Management Proposal | Management | For | For | For | |||||||||
19 | Management Proposal | Management | For | For | For | |||||||||
20 | Management Proposal | Management | For | For | For | |||||||||
21 | Management Proposal | Management | For | For | For | |||||||||
22 | Management Proposal | Management | For | For | For | |||||||||
23 | Management Proposal | Management | For | For | For | |||||||||
24 | Management Proposal | Management | For | For | For | |||||||||
25 | Management Proposal | Management | For | For | For | |||||||||
26 | Management Proposal | Management | For | For | For | |||||||||
27 | Management Proposal | Management | For | For | For |
Page 46 of 52 | 29-Jul-2021 |
Investment Company Report
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 |
Page 47 of 52 | 29-Jul-2021 |
Investment Company Report
BROOKFIELD RENEWABLE CORPORATION | ||||||
Security | 11284V105 | Meeting Type | Annual | |||
Ticker Symbol | BEPC | Meeting Date | 22-Jun-2021 | |||
ISIN | CA11284V1058 | Agenda | 935439275 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Election of Directors | Management | ||||||||||||
1 Jeffrey Blidner | For | For | For | |||||||||||
2 Scott Cutler | For | For | For | |||||||||||
3 E. de Carvalho Filho | For | For | For | |||||||||||
4 Nancy Dorn | For | For | For | |||||||||||
5 David Mann | For | For | For | |||||||||||
6 Lou Maroun | For | For | For | |||||||||||
7 Sachin Shah | For | For | For | |||||||||||
8 Stephen Westwell | For | For | For | |||||||||||
9 Patricia Zuccotti | For | For | For | |||||||||||
2 | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 48 of 52 | 29-Jul-2021 |
Investment Company Report
CANADIAN SOLAR INC. | ||||||
Security | 136635109 | Meeting Type | Annual and Special Meeting | |||
Ticker Symbol | CSIQ | Meeting Date | 23-Jun-2021 | |||
ISIN | CA1366351098 | Agenda | 935446143 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1 | Fix Number of Directors | Management | For | For | For | |||||||||
2 | Election of Directors (Majority Voting) | Management | ||||||||||||
1 Shawn (Xiaohua) Qu | For | For | For | |||||||||||
2 Karl E. Olsoni | For | For | For | |||||||||||
3 Harry E. Ruda | For | For | For | |||||||||||
4 Lauren C. Templeton | For | For | For | |||||||||||
5 A. (Luen Cheung) Wong | For | For | For | |||||||||||
6 Arthur (Lap Tat) Wong | For | For | For | |||||||||||
7 Leslie Li Hsien Chang | For | For | For | |||||||||||
8 Yan Zhuang | For | For | For | |||||||||||
9 Huifeng Chang | For | For | For | |||||||||||
3 | Ratify Appointment of Independent Auditors | Management | For | For | For |
Page 49 of 52 | 29-Jul-2021 |
Investment Company Report
PANASONIC CORPORATION | ||||||
Security | 69832A205 | Meeting Type | Annual | |||
Ticker Symbol | PCRFY | Meeting Date | 24-Jun-2021 | |||
ISIN | US69832A2050 | Agenda | 935453833 - Management |
Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||
1. | Miscellaneous Corporate Actions | Management | Against | For | Against | |||||||||
2. | Approve Charter Amendment | Management | Against | For | Against | |||||||||
3A. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3B. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3C. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3D. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3E. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3F. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3G. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3H. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3I. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3J. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3K. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3L. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
3M. | Election of Directors (Majority Voting) | Management | Against | For | Against | |||||||||
4. | Miscellaneous Corporate Actions | Management | Against | For | Against |
Page 50 of 52 | 29-Jul-2021 |
Investment Company Report
ACCIONA SA | ||||||
Security | E0008Z109 | Meeting Type | Annual General Meeting | |||
Ticker Symbol | Meeting Date | 29-Jun-2021 | ||||
ISIN | ES0125220311 | Agenda | 714240568 - Management |
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 | ||||||||||||
1.1 | Management Proposal | Management | For | For | For | |||||||||
1.2 | Management Proposal | Management | For | For | For | |||||||||
1.3 | Management Proposal | Management | For | For | For | |||||||||
1.4 | Management Proposal | Management | For | For | For | |||||||||
1.5 | Management Proposal | Management | For | For | For | |||||||||
1.6 | Management Proposal | Management | For | For | For | |||||||||
1.7 | Management Proposal | Management | For | For | For | |||||||||
2.1 | Management Proposal | Management | For | For | For | |||||||||
2.2 | Management Proposal | Management | For | For | For | |||||||||
2.3 | Management Proposal | Management | For | For | For | |||||||||
2.4 | Management Proposal | Management | For | For | For | |||||||||
2.5 | Management Proposal | Management | For | For | For | |||||||||
2.6 | Management Proposal | Management | For | For | For | |||||||||
2.7 | Management Proposal | Management | For | For | For | |||||||||
2.8 | Management Proposal | Management | For | For | For | |||||||||
3.1 | Management Proposal | Management | For | For | For | |||||||||
3.2 | Management Proposal | Management | For | For | For | |||||||||
4.1 | Management Proposal | Management | For | For | For | |||||||||
4.2 | Management Proposal | Management | For | For | For | |||||||||
4.3 | Management Proposal | Management | For | For | For | |||||||||
4.4 | Management Proposal | Management | For | For | For | |||||||||
4.5 | Management Proposal | Management | For | For | For | |||||||||
4.6 | Management Proposal | Management | For | For | For | |||||||||
5.1 | Management Proposal | Management | For | For | For | |||||||||
5.2 | Management Proposal | Management | For | For | For | |||||||||
6 | Management Proposal | Management | For | For | For | |||||||||
7 | RECEIVE AMENDMENTS TO BOARD OF DIRECTORS REGULATIONS | Non-Voting |
Page 51 of 52 | 29-Jul-2021 |
Investment Company Report
8 | Management Proposal | Management | For | For | For | |||||||||
CMMT | 31 MAY 2021: PLEASE NOTE IN THE EVENT THE MEETING DOES NOT REACH QUORUM,-THERE WILL BE A SECOND CALL ON 30 JUN 2021. CONSEQUENTLY, YOUR VOTING-INSTRUCTIONS WILL REMAIN VALID FOR ALL CALLS UNLESS THE AGENDA IS AMENDED.-THANK YOU. | Non-Voting | ||||||||||||
CMMT | 10 JUN 2021: PLEASE NOTE THAT THIS IS A REVISION DUE TO ADDITION OF COMMENTS.-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 | ||||||||||||
CMMT | 10 JUN 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 |
Page 52 of 52 | 29-Jul-2021 |
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 New Alternatives Fund
By (Signature and Title)* /s/ David J. Schoenwald
David J. Schoenwald, President and Treasurer
(principal executive officer)
Date August 5, 2021
*Print the name and title of each signing officer under his or her signature.