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| | OMB APPROVAL |
| | OMB Number: | 3235-0582 |
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| | Expires: | May 31, 2021 |
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
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| Investment Company Act file number | 811-00082 |
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| CGM TRUST |
| (Exact name of registrant as specified in charter) |
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| One International Place, Boston, MA | 02110 |
| (Address of principal executive offices) | (Zip code) |
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Barry N. Hurwitz, Esq. Morgan, Lewis & Bockius LLP, One Federal St., Boston, MA 02110 |
| (Name and address of agent for service) |
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| Registrant's telephone number, including area code: | 617-737-3225 |
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| Date of fiscal year end: | 12/31 |
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| Date of reporting period: | 7/1/2017 - 6/30/2018 |
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 (Sections 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. Section 3507.
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| SEC 2451 (4-03) | PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. |
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| CGM Trust - File No. 811-00082 | | | | | | |
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| CGM Mutual Fund | | | | | | | |
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| Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| AbbVie Inc. | ABBV | 00287Y109 | 5/4/2018 | 1. To elect four directors: 01. Roxanne S. Austin, 02. Richard A. Gonzalez, 03. Rebecca B. Roberts, 04. Glenn F. Tilton. | Issuer | No | | |
| | | | | 2. Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 3. An advisory vote on the approval of executive compensation. | Issuer | No | | |
| | | | | 4. An advisory vote on the frequency of the advisory vote to approve executive compensation. | Issuer | No | | |
| | | | | 5. Approval of a management proposal regarding amendment of the certificate of incorporation for the annual election of directors. | Issuer | No | | |
| | | | | 6. Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | Issuer | No | | |
| | | | | 7. Stockholder proposal regarding an annual report on lobbying. | Issuer | No | | |
| | | | | 8. Stockholder proposal to separate chair and CEO. | Issuer | No | | |
| | | | | 9. Stockholder proposal to issue an annual compensation committee report on drug pricing. | Issuer | No | | |
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| Banco Bradesco SA | BBD | 59460303 | 3/12/2018 | 5a. Election of the fiscal council: Luiz Carlos de Freitas (effective) and Joao Sabino (alternate). | Issuer | No | | |
| | | | | 5b. Election of the fiscal council: Walter Luis Bernardes Albertoni (effective) and Reginaldo Ferreira Alexandre (alternate). | Issuer | No | | |
| | | | | 5c. Election of the fiscal council: Luiz Alberto de Castro Fallerios (effective) and Eduardo Georges Chehab (alternate). | Issuer | No | | |
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| Bank of America | BAC | 60505104 | 4/25/2018 | 1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber. | Issuer | Yes | For | For |
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| | | | | 2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution. | Issuer | Yes | For | For |
| | | | | 3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 4. Stockholder proposal regarding independent board chairman. | Security Holder | Yes | Against | For |
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| Best Buy Co., Inc. | BBY | 86516101 | 6/12/2018 | 1. To elect ten directors: a. Lisa M. Caputo, b. J. Patrick Doyle, c. Russell P. Fradin, d. Kathy J. Higgins Victor, e. Hubert Joly, f. David W. Kenny, g. Karen A. McLoughlin, h. Thomas L. Milner, i. Claudia F. Munce, j. Richelle P. Parham. | Issuer | No | | |
| | | | | 2. Ratify the appointment of Deloitte & Touche LLP as Company's independent registered public accounting firm for the fiscal year ending February 2, 2019. | Issuer | No | | |
| | | | | 3. To approve in a non-binding advisory vote the named executive officer compensation. | Issuer | No | | |
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| Carnival Corporation | CCL | 143658300 | 4/11/2018 | 1. Re-elect Mickey Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 2. Re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 3. Elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 4. Re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 5. Re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 6. Re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 7. Re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 8. Re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 9. Re-elect Stuart Subonick as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 10. Re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 11. Re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
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| | | | | 12. Hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Issuer | Yes | For | For |
| | | | | 13. Approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 14. Re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered certified public accounting firm of Carnival Corporation. | Issuer | Yes | For | For |
| | | | | 15. Authorize the Audit Committee of Carnival plc to determine the renumeration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 16. Receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2017 (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 17. Approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Issuer | Yes | For | For |
| | | | | 18. Approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Issuer | Yes | For | For |
| | | | | 19. Approve a general authority for Carnvial plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). | Issuer | Yes | For | For |
| | | | | 20. Transact such other business as may properly come before the meeting. | Issuer | Yes | For | For |
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| The Charles Schwab Corporation | SCHW | 808513105 | 5/15/2018 | 1a. Election of director: Walter W. Bettinger II. | Issuer | No | | |
| | | | | 1b. Election of director: Joan T. Dea. | Issuer | No | | |
| | | | | 1c. Election of director: Christopher V. Dodds. | Issuer | No | | |
| | | | | 1d. Election of director: Mark A. Goldfarb. | Issuer | No | | |
| | | | | 1e. Election of director: Charles A. Ruffel. | Issuer | No | | |
| | | | | 2. Ratification of the selection of Deloitte & Touche LLP as independent auditors. | Issuer | No | | |
| | | | | 3. Advisory vote to approve named executive officer compensation. | Issuer | No | | |
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| | | | | 4. Approval of 2013 Stock Incentive Plan as amended and restated. | Issuer | No | | |
| | | | | 5. Approval of amended and restated bylaws to adopt a proxy access bylaw for director nominations by stockholders. | Issuer | No | | |
| | | | | 6. Stockholder proposal requesting annual disclosure of EEO-1 data. | Security Holder | No | | |
| | | | | 7. Stockholder proposal requesting disclosure of the Company's political contributions and expenditures, recipients, and related policies and procedures. | Security Holder | No | | |
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| Citigroup Inc. | C | 172967424 | 4/24/2018 | 1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon. | Issuer | Yes | For | For |
| | | | | 2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of Citi's 2017 executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares. | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy. | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting. | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal requesting an amendment to Citi's proxy access bylaw provisions pertaining to the aggregation limit and the number of candidates. | Security Holder | Yes | Against | For |
| | | | | 9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service. | Security Holder | Yes | Against | For |
| | | | | 10. Stockholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting. | Security Holder | Yes | Against | For |
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| Diamondback Energy, Inc. | FANG | 25278X109 | 6/7/2018 | 1. To elect seven directors: A. Steven E. West, B. Travis D. Slice, C. Michael L. Hollis, D. Michael P. Cross, E. David L. Houston, F. Mark L. Plaumann, G. Melanie M. Trent. | Issuer | Yes | For | For |
| | | | | 2. Approve, on an advisory basis, the compensation paid to the Company's named executive directors. | Issuer | Yes | For | For |
| | | | | 3. Proposal to ratify the appointment of Grant Thornton LLP as the Company's independent auditors for the fiscal year ending December 31, 2018. | Issuer | Yes | For | For |
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| D.R. Horton, Inc. | DHI | 23331A109 | 1/24/2018 | 1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt. | Issuer | No | | |
| | | | | 2. Approval of the advisory resolution on executive compensation. | Issuer | No | | |
| | | | | 3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation. | Issuer | No | | |
| | | | | 4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan. | Issuer | No | | |
| | | | | 5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm. | Issuer | No | | |
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| JP Morgan Chase & Co. | JPM | 46625H100 | 5/15/2018 | 1. To elect twelve directors: a. Linda B. Bammann, b. James A. Bell, c. Stephen B. Burke, d. Todd A. Combs, e. James S. Crown, f. James Dimon, g. Timothy P. Flynn, h. Mellody Hobson, i. Laban P. Jackson, Jr., j. Michael A. Neal, k. Lee R. Raymond, l. William C. Weldon. | Issuer | Yes | For | For |
| | | | | 2. Ratification of special meeting provisions in the Firm's By-Laws. | Issuer | Yes | For | For |
| | | | | 3. Advisory resolution to approve executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018 | Issuer | Yes | For | For |
| | | | | 5. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | | 6. Shareholder proposal requesting Board of Directors to adopt a policy, and amend governing documents as necessary, to require henceforth that the Chair of the Board of Directors, whenever possible, be an independent member of the board. | Security Holder | Yes | Against | For |
| | | | | 7. Shareholder proposal requesting the Board of Directors adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service. | Security Holder | Yes | Against | For |
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| | | | | 8. Shareholder proposal requesting the Board of Directors issue a report analyzing JPMorgan's published corporate values align with its policies regarding investments in companies tied to genocide or crimes against humanity, and specifically explain how its investments in CNPC/PetroChina are consistent with its published corporate values. | Security Holder | Yes | Against | For |
| | | | | 9. Shareholder proposal recommending the Board take the steps necessary to adopt cumulative voting. | Security Holder | Yes | Against | For |
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| Lam Research Corporation | LCRX | 512807108 | 11/8/2017 | 1. To elect ten directors: 01. Martin B. Anstice, 02. Eric K. Brandt, 03. Michael R. Cannon, 04. Youssef A. El-Mansy, 05. Christine A. Heckart, 06. Young Bum (YB) Koh, 07. Catherine P. Lego, 08. Stephen G. Newberry, 09. Abhijit Y. Talwalkar, 10. Lih Shyng Tsai. | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve the compensation of the named executive officers of Lam Research. | Issuer | Yes | For | For |
| | | | | 3. Advisory vote to approve the frequency of holding future stockholder advisory votes on Company's named executive officer compensation to 1 year. | Issuer | Yes | For | For |
| | | | | 4. Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2018. | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal regarding annual disclosure of EEO-1 Data. | Security Holder | Yes | Against | For |
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| LyondellBasell Industries N.V. | LYB | N53745100 | 6/1/2018 | 1. Adoption of the proposed amendments to Company's articles of association. | Issuer | No | | |
| | | | | 2. Election of directors to Company's unitary board and Company's supervisory board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 2a. Bhavesh (Bob) Patel (unitary board only), 2b. Robert Gwin, 2c. Jacques Aigrain, 2d. Lincoln Benet, 2e. Jagjeet Bindra, 2f. Robin Buchanan, 2g. Stephen Cooper, 2h. Nance Dicciani, 2i. Claire Farley, 2j. Isabella Goren, 2k. Bruce Smith, 2l. Rudy van der Meer. | Issuer | No | | |
| | | | | 3. Election of directors to Company's management board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 3a. Bhavesh (Bob) Patel, 3b. Thomas Aebischer, 3c. Daniel Coombs, 3d. Jeffrey Kaplan, 3e. James Guilfoyle. | Issuer | No | | |
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| | | | | 4. Adoption of Dutch Statutory annual accounts for 2017. | Issuer | No | | |
| | | | | 5. Discharge from liability of members of the management board. | Issuer | No | | |
| | | | | 6. Discharge from liability of members of the supervisory board. | Issuer | No | | |
| | | | | 7. Appointment of PricewaterhouseCoopers accountants N.V. as the auditor for Company's 2018 Dutch Statutory annual accounts. | Issuer | No | | |
| | | | | 8. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 9. Ratification and approval of dividends in respect of the 2017 Dutch Statutory annual account. | Issuer | No | | |
| | | | | 10. Advisory (non-binding) vote approving executive compensation. | Issuer | No | | |
| | | | | 11. Authorization to conduct shares repurchases. | Issuer | No | | |
| | | | | 12. Authorization of the cancellation of shares. | Issuer | No | | |
| | | | | 13. Amendment and extension of employee stock purchase plan. | Issuer | No | | |
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| Micron Technology, Inc. | MU | 595112103 | 1/17/2018 | 1. To elect seven directors: 1. Robert L. Bailey, 2. Richard M. Beyer, 3. Patrick J. Byrne, 4. Mercedes Johnson, 5. Sanjay Mehrotra, 6. Lawrence N. Mondry, 7. Robert E. Switz. | Issuer | Yes | For | For |
| | | | | 2. Approve Company's employee stock purchase plan with 33 million shares reserved for issuance thereunder. | Issuer | Yes | For | For |
| | | | | 3. Approve the material terms of the performance goals under Company's executive officer performance incentive plan. | Issuer | Yes | For | For |
| | | | | 4. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for the fiscal year ending August 30, 2018. | Issuer | Yes | For | For |
| | | | | 5. Approve a non-binding resolution to approve executive compensation | Issuer | Yes | For | For |
| | | | | 6. Approve, in a non-binding vote, the frequency with which shareholders will be entitled to have an advisory vote on executive compensation to 1 year. | Issuer | Yes | For | For |
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| Morgan Stanley | MS | 617446448 | 5/24/2018 | 1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr.. | Issuer | Yes | For | For |
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| | | | | 2. Ratification of appointment of Deloitte & Touche LLP as independent auditor. | Issuer | Yes | For | For |
| | | | | 3. Approval, on an advisory basis, of the Company's executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service. | Security Holder | Yes | Against | For |
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| Petroleo Brasileiro S.A. | PBR | 71654V408 | 4/26/2018 | E1. Proposal for the amendment of Petrobras' bylaw. | Issuer | No | | |
| | | | | E2. Consolidation of the bylaw to reflect the approved amendments. | Issuer | No | | |
| | | | | 1. To analyze manageents accounts, examination, discussion and voting of the integrated reporting and the Company's financial statements, accompanied by the report of the independent auditors and the fiscal council's report, for the fiscal year ended December 31, 2017. | Issuer | No | | |
| | | | | 2. Set the number of members of the Board of directors, as proposed. | Issuer | No | | |
| | | | | 3. Election of the members of the Board of directors. | Issuer | No | | |
| | | | | 3a1. Candidates nominated by the controlling shareholder: | Issuer | No | | |
| | | | | 1. Luiz Nelson Guedes de Carvalho. | Issuer | No | | |
| | | | | 2. Pedro Pullen Parente. | Issuer | No | | |
| | | | | 3. Francisco Petros Oliveira Lima Papathanasiadis. | Issuer | No | | |
| | | | | 4. Sergen Farid Estefen. | Issuer | No | | |
| | | | | 5. Jose Alberto de Paula Torres Lima. | Issuer | No | | |
| | | | | 6. Clarissa de Arauujo Lins. | Issuer | No | | |
| | | | | 7. Ana Lucia Pocas Zambelli. | Issuer | No | | |
| | | | | 8. Jeronimo Antunes. | Issuer | No | | |
| | | | | 3a2. If one of the candidates that compose the slate fails to integrate it, your vote will continue to be conferred to the chosen slate. | Issuer | No | | |
| | | | | 3a3. In case of adoption of the multiple vote process, to distribute your votes in equal percentages by the members of the controlling shareholder slate. | Issuer | No | | |
| | | | | 3b. Candidates nominated by minority shareholders for the separate election: | Issuer | No | | |
| | | | | 3b1. Marcelo Mesquita de Siqueira Filho. | Issuer | No | | |
| | | | | 3b2. Marcelo Gasparino da Silva. | Issuer | No | | |
| | | | | 4. Election of the chairman of the Board of directors: Luiz Nelson Guedes de Carvalho. | Issuer | No | | |
| | | | | 5. Election of the members of the Fiscal Council. | Issuer | No | | |
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| | | | | 5a. Candidates nominated by the controlling shareholder: Holder: Adriano Pereira de Paula, Substitute: Jose Franco Medeiros de Morais, Holder: Marisete Fatima Dadald Pereira, Substitute: Agnes Maria de Aragao Costa, Holder: Eduardo Cesar Pasa, Substitute: Mauricyo Jose Andrade Correia. | Issuer | No | | |
| | | | | 5b. Candidates nominated by minority shareholders for the separate election: Holder: Reginaldo Ferreira Alexandre, Substitute: Susan Hanna Stiphan Jabra. | Issuer | No | | |
| | | | | 6. Establishment of the financial compensation of directors, members of the Fiscal Council and members of the Statutory Advisory Committees to the Board of Directors. | Issuer | No | | |
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| Prudential Financial, Inc. | PRU | 744320102 | 5/8/2018 | 1. To elect twelve directors: a. Thomas J. Baltimore, Jr., b. Gilbert F. Casellas, c. Mark B. Grier, d. Martina Hund-Mejean, e. Karl J. Krapek, f. Peter R. Lighte, g. George Paz, h. Sandra Pianalto, i. Christine A. Poon, j. Douglas A. Scovanner, k. John R. Strangfeld, l. Michael A. Todman. | Issuer | Yes | For | For |
| | | | | 2. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. To approve, on an advisory basis, the compensation of the Company's named executive officers. | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding an independent Board Chairman. | Issuer | Yes | Against | For |
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| Royal Caribbean Cruises LTD. | RCL | V7780T103 | 5/21/2018 | 1. To elect twelve directors: A. John F. Brock, B. Richard D. Fain, C. William L. Kimsey, D. Maritza G. Montiel, E. Ann S. Moore, F. Eyal M. Ofer, G. Thomas J. Pritzker, H. William K. Reilly, I. Bernt Reitan, J. Vagn O. Sorensen, K. Donald Thompson, L. Arne Alexander Wilhelmsen. | Issuer | Yes | For | For |
| | | | | 2. Advisory approval of the Company's compensation of its named executive officers. | Issuer | Yes | For | For |
| | | | | 3. Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
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| Skyworks Solutions, Inc. | SWKS | 83088M102 | 5/9/2018 | 1.1 Election of director: David J. Aldrich. | Issuer | No | | |
| | | | | 1.2 Election of director: Kevin L. Beebe. | Issuer | No | | |
| | | | | 1.3 Election of director: Timothy R. Furey. | Issuer | No | | |
| | | | | 1.4 Election of director: Liam K. Griffin. | Issuer | No | | |
| | | | | 1.5 Election of director: Balakrishnan S. Iyer. | Issuer | No | | |
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| | | | | 1.6 Election of director: Christine King. | Issuer | No | | |
| | | | | 1.7 Election of director: David P. McGlade. | Issuer | No | | |
| | | | | 1.8 Election of director:David J. McLachlan. | Issuer | No | | |
| | | | | 1.9 Election of director: Robert A. Schriesheim. | Issuer | No | | |
| | | | | 2. To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm. | Issuer | No | | |
| | | | | 3. To approve, on an advisory basis, the compensation of the Company's named executive officers. | Issuer | No | | |
| | | | | 4. To approve the Company's amended and restated 2008 director long-term incentive plan, as amended. | Issuer | No | | |
| | | | | 5. To ratify an amendment to the Company's by-laws that provides the Company's stockholder the right to request a special meeting of stockholders. | Issuer | No | | |
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| Transocean Ltd. | RIG | H8817H100 | 5/18/2018 | 1. Approval of the 2017 annual report, including the audited consolidated financial statements and the audited statutory financial statements of Transocean Ltd. For fiscal year 2017. | Issuer | No | | |
| | | | | 2. Discharge of the members of the board of directors and executive management team from liability for activities during fiscal year 2017. | Issuer | No | | |
| | | | | 3. Appropriation of the accumulated loss for fiscal year 2017 and release of CHF 1,500,000,000 of statutory capital reserves from capital contribution and allocation to free capital reserves from capital contribution. | Issuer | No | | |
| | | | | 4. Renewal of authorized share capital. | Issuer | No | | |
| | | | | 5. Re-election of eleven directors, each for a term extending until completion of the next annual general meeting. | | | | |
| | | | | 5A. Glyn A. Barker. | Issuer | No | | |
| | | | | 5B. Vanessa C.L. Chang. | Issuer | No | | |
| | | | | 5C. Frederico F. Curado. | Issuer | No | | |
| | | | | 5D. Chadwick C. Deaton. | Issuer | No | | |
| | | | | 5E. Vincent J. Intrieri. | Issuer | No | | |
| | | | | 5F. Samuel J. Merksamer. | Issuer | No | | |
| | | | | 5G. Merrill A. "Pete" Miller, Jr.. | Issuer | No | | |
| | | | | 5H. Frederik W. Mohn. | Issuer | No | | |
| | | | | 5I. Edward R. Muller. | Issuer | No | | |
| | | | | 5J. Tan Ek Kia. | Issuer | No | | |
| | | | | 5K. Jeremy D. Thigpen. | Issuer | No | | |
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| | | | | 6. Election of Merrill A. "Pete" Miller, Jr. as the chairman of the board of directors for a term extending until completion of the next annual general meeting. | Issuer | No | | |
| | | | | 7. Election of the members of the compensation committee, each for a term extending until completion of the next annual general meeting. | | | | |
| | | | | 7A. Frederico F. Curado. | Issuer | No | | |
| | | | | 7B. Vincent J. Intrieri. | Issuer | No | | |
| | | | | 7C. Tan Ek Kia. | Issuer | No | | |
| | | | | 8. Re-election of Schweiger Advokatur / Notariat as the independent proxy for a term extending until completion of the next annual general meeting. | Issuer | No | | |
| | | | | 9. Appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2018 and re-election of Ernst & Young Ltd, Zurich, as the Company's auditor for a further one-year term. | Issuer | No | | |
| | | | | 10. Advisory vote to approve named executive officer compensation. | Issuer | No | | |
| | | | | 11. Prospective votes on the maximum compensation of the board of directors and executive management team, respectively. | | | | |
| | | | | 11A. Ratification of an amount of US $4,121,000 as the maximum aggregate amount of compensation of the board of directors for the period between 2018 and the 2019 annual general meetings. | Issuer | No | | |
| | | | | 11B. Ratification of an amount of US $24,000,000 as the maximum aggregate amount of compensation of the executive management team for fiscal year 2019. | Issuer | No | | |
| | | | | 12. Approval of amendment to Transocean Ltd. 2015 Long-Term incentive plan for additional reserves. | Issuer | No | | |
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| Turquoise Hill Resources Ltd. | TRQ | 900435108 | 5/8/2018 | 1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen. | Issuer | Yes | For | For |
| | | | | 2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors. | Issuer | Yes | For | For |
| | | | | 3. Non-binding advisory vote to accept the approach to executive compensation. | Issuer | Yes | For | For |
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| United Rental, Inc. | URI | 911363109 | 5/9/2018 | 1a. Election of director: Jose B. Alvarez. | Issuer | No | | |
| | | | | 1b. Election of director: Jenne K. Britell. | Issuer | No | | |
| | | | | 1c. Election of director: Marc A. Bruno. | Issuer | No | | |
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| | | | | 1d. Election of director: Bobby J. Griffin. | Issuer | No | | |
| | | | | 1e. Election of director: Terri L. Kelly. | Issuer | No | | |
| | | | | 1f. Election of director: Michael J. Kneeland. | Issuer | No | | |
| | | | | 1g. Election of director: Gracia C. Martore. | Issuer | No | | |
| | | | | 1h. Election of director: Jason D. Papastavrou. | Issuer | No | | |
| | | | | 1i. Election of director: Filippo Passerini. | Issuer | No | | |
| | | | | 1j. Election of director: Donald C. Roof. | Issuer | No | | |
| | | | | 1k. Election of director: Shiv Singh. | Issuer | No | | |
| | | | | 2. Ratification of appointment of Ernst & Young LLP as public accounting firm. | Issuer | No | | |
| | | | | 3. Advisory approval of executive compensation. | Issuer | No | | |
| | | | | 4. Stockholder proposal on shareholder right to act by written consent. | Security Holder | No | | |
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| Vale S.A. | VALE | 91912E105 | 10/18/2017 | 1. Amendment to Vale's by-laws. | Issuer | No | | |
| | | | | 2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share. | Issuer | No | | |
| | | | | 3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3. | | | | |
| | | | | 3.1. Candidate 1: Isabella Soboya, as effective member. | Issuer | No | | |
| | | | | 3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate. | Issuer | No | | |
| | | | | 4. Separate election process for one member of the board of directors by non-controlling holders of common shares. | | | | |
| | | | | 4.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate. | Issuer | No | | |
| | | | | 5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares. | | | | |
| | | | | 5.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate. | Issuer | No | | |
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| Vale S.A. | VALE | 91912E105 | 12/21/2017 | 1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3) | Issuer | No | | |
| | | | | 2. Amendment to Vale's by-laws. | Issuer | No | | |
| | | | | 3. Approval of the protocol and justification of merger of Balderton. | Issuer | No | | |
| | | | | 4. Approval of the protocol and justification of merger of Fortlee. | Issuer | No | | |
| | | | | 5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale. | Issuer | No | | |
| | | | | 6. Ratification of premiumbravo auditores independentes as auditors. | Issuer | No | | |
| | | | | 7. Approval of the appraisal report of Balderton, prepard by the specialized company. | Issuer | No | | |
| | | | | 8. Approval of the appraisal report of Fortlee, prepared by the specialized company. | Issuer | No | | |
| | | | | 9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company. | Issuer | No | | |
| | | | | 10. Approval of the merger of Balderton. | Issuer | No | | |
| | | | | 11. Approval of the merger of Fortlee. | Issuer | No | | |
| | | | | 12. Approval of the merger of the spun-off portion of EBM's equity. | Issuer | No | | |
| | | | | 13. Ratification of appointment of effective and alternate members of the board of directors. | Issuer | No | | |
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| Vale S.A. | VALE | 91912E105 | 4/13/2018 | 1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017. | Issuer | Yes | For | For |
| | | | | 2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget. | Issuer | Yes | For | For |
| | | | | 3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors. | Issuer | Yes | For | For |
| | | | | 4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate. | Issuer | Yes | For | For |
| | | | | 5. Setting the compensation of management and members of the Fiscal Council for the year 2018. | Issuer | Yes | For | For |
| | | | | 6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017. | Issuer | Yes | For | For |
| | | | | E1. Amendment to Vale's by-laws and its restatement. | Issuer | Yes | For | For |
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| Western Digital Corporation | WDC | 958102105 | 11/2/2017 | 1. To elect eight directors: | | | | |
| | | | | 1a. Martin I. Cole | Issuer | No | | |
| | | | | 1b. Kathleen A. Cote. | Issuer | No | | |
| | | | | 1c. Henry T. DeNero. | Issuer | No | | |
| | | | | 1d. Michael D. Lambert. | Issuer | No | | |
| | | | | 1e. Len J. Lauer. | Issuer | No | | |
| | | | | 1f. Matthew E. Massengill. | Issuer | No | | |
| | | | | 1g. Stephen D. Milligan. | Issuer | No | | |
| | | | | 1h. Paula A. Price. | Issuer | No | | |
| | | | | 2. To approve on an advisory basis the named executive officer compensation. | Issuer | No | | |
| | | | | 3. To approve on an advisory basis the frequency of future advisory votes on named executive officer compensation. | Issuer | No | | |
| | | | | 4. To approve an amendment and restatement of Company's 2004 performance incentive plan that would among other things, rename the plan as the "2017 performance incentive plan" and increase by fourteen million (14,000,000) the number of shares of common stock available for issuance under the plan. | Issuer | No | | |
| | | | | 5. To ratify the appointment of KPMG LLP as Company's independent registered public accounting firm for the fiscal year ending June 29, 2018. | Issuer | No | | |
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| CGM Trust - File No. 811-00082 | | | | | | |
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| CGM Realty Fund | | | | | | | |
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| Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| Bank of America | BAC | 60505104 | 4/25/2018 | 1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber. | Issuer | Yes | For | For |
| | | | | 2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution. | Issuer | Yes | For | For |
| | | | | 3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 4. Stockholder proposal regarding independent board chairman. | Security Holder | Yes | Against | For |
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| Citigroup Inc. | C | 172967424 | 4/24/2018 | 1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon. | Issuer | Yes | For | For |
| | | | | 2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of Citi's 2017 executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares. | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy. | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting. | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. | Security Holder | Yes | Against | For |
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| | | | | 8. Stockholder proposal requesting an amendment to Citi's proxy access bylaw provisions pertaining to the aggregation limit and the number of candidates. | Security Holder | Yes | Against | For |
| | | | | 9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service. | Security Holder | Yes | Against | For |
| | | | | 10. Stockholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting. | Security Holder | Yes | Against | For |
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| DDR Corp | DDR | 23117H102 | 5/8/2018 | 1. Election of eight directors: a. Terrance R. Ahern, b. Jane E. DeFlorio, c. Thomas Finne, d. David R. Lukes, e. Victor B. MacFarlane, f. Alexander Otto, g. Scott D. Roulston, h. Barry A. Sholem. | Issuer | No | | |
| | | | | 2. Adoption of an amendment to the Company's articles of incorporation to eliminate the ability of shareholders to exercise cumulative voting in the election of directors. | Issuer | No | | |
| | | | | 3. Adoption of an amendment to the Company's code of regulations to implement proxy access in connection with annual meetings of shareholders. | Issuer | No | | |
| | | | | 4. Authorization of the Company's board of directors to effect, in its discretion, a reverse stock split of the Company's common stock and the adoption of a corresponding amendment to the Company's articles of incorporation. | Issuer | No | | |
| | | | | 5. Approval, on an advisory basis, of the compensation of the Company's named executive officers. | Issuer | No | | |
| | | | | 6. Ratification of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm. | Issuer | No | | |
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| D.R. Horton, Inc. | DHI | 23331A109 | 1/24/2018 | 1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt. | Issuer | Yes | For | For |
| | | | | 2. Approval of the advisory resolution on executive compensation. | Issuer | Yes | For | For |
| | | | | 3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan. | Issuer | Yes | For | For |
| | | | | 5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm. | Issuer | Yes | For | For |
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| Equity LifeStyle Properties, Inc. | ELS | 29472R108 | 5/1/2018 | 1. To elect nine directors: 01. Phillip Calian, 02. David Contis,03. Constance Freedman, 04. Thomas Heneghan, 05. Tao Huang, 06. Marguerite Nader, 07. Sheli Rosenberg, 08. Howard Walker, 09. Samuel Zell. | Issuer | No | | |
| | | | | 2. Ratification of the selection of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 3. Approval on a non-binding, advisory basis of our executive compensation. | Issuer | No | | |
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| Freeport- McMoRan Inc. | FCX | 35671D857 | 6/5/2018 | 1. Election of seven directors: 1. Richard C. Adkerson, 2. Gerald J. Ford, 3. Lydia H. Kennard, 4. Jon C. Madonna, 5. Courtney Mather, 6. Dustan E. McCoy, 7. Frances Fragos Townsend. | Issuer | Yes | For | For |
| | | | | 2. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. Approval, on an advisory basis, of the compensation of our named executive officers. | Issuer | Yes | For | For |
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| Hitlon Grand Vacations Inc. | HGV | 43283X105 | 5/10/2018 | 1. To elect seven directors: 01. Mark D. Wang, 02. Leonard A. Potter, 03. Brenda J. Bacon, 04. David W. Johnson, 05. Mark H. Lazarus, 06. Pamela H. Patsley, 07. Paul W. Whetsell. | Issuer | No | | |
| | | | | 2. Ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 3. Approve, by non-binding vote, the compensation paid to the Company's named executive officers. | Issuer | No | | |
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| Hilton Worldwide Holdings Inc. | HLT | 43300A203 | 5/10/2018 | 1a. Election of director: Christopher J. Nassetta. | Issuer | No | | |
| | | | | 1b. Election of director: Jonathan D. Gray. | Issuer | No | | |
| | | | | 1c. Election of director: Charlene T. Begley. | Issuer | No | | |
| | | | | 1d. Election of director: Melanie L. Healey. | Issuer | No | | |
| | | | | 1e. Election of director: Raymond E. Mabus, Jr.. | Issuer | No | | |
| | | | | 1f. Election of director: Judith A. McHale. | Issuer | No | | |
| | | | | 1g. Election of director: John G. Schreiber. | Issuer | No | | |
| | | | | 1h. Election of director: Elizabeth A. Smith. | Issuer | No | | |
| | | | | 1i. Election of director: Douglas M. Steenland. | Issuer | No | | |
| | | | | 1j. Election of director: Zhang Ling. | Issuer | No | | |
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| | | | | 2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 3. Approval, in a non-binding advisory vote, of the compensation paid to the Company's named executive officers. | Issuer | No | | |
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| The Howard Hughes Corporation | HHC | 44267D107 | 5/17/2018 | 1. Election of ten directors: a. William Ackman, b. Adam Flatto, c. Jeffrey Furber, d. Beth Kaplan, e. Allen Model, f. R. Scot Sellers, g. Steven Shepsman, h. Burton M. Tansky, i. Mary Ann Tighe, j. David R. Weinreb. | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve named executive officer compensation. | Issuer | Yes | For | For |
| | | | | 3. The ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. | Issuer | Yes | For | For |
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| Jones Lang LaSalle Incorporated | JLL | 48020Q107 | 5/30/2018 | 1a. Election of Director: Hugo Bague. | Issuer | No | | |
| | | | | 1b. Election of Director: Samuel A. Di Piazza, Jr.. | Issuer | No | | |
| | | | | 1c. Election of Director: Dame DeAnne Julius. | Issuer | No | | |
| | | | | 1d. Election of Director: Shiela A. Penrose. | Issuer | No | | |
| | | | | 1e. Election of Director: Ming Lu. | Issuer | No | | |
| | | | | 1f. Election of Director: Bridget Macaskill. | Issuer | No | | |
| | | | | 1g. Election of Director: Martin H. Nesbitt. | Issuer | No | | |
| | | | | 1h. Election of Director: Ann Marie Petach. | Issuer | No | | |
| | | | | 1i. Election of Director: Shailesh Rao. | Issuer | No | | |
| | | | | 1j. Election of Director: Christian Ulbrich. | Issuer | No | | |
| | | | | 2. Non-binding, advisory vote approving executive compensation. | Issuer | No | | |
| | | | | 3. Ratification of appointment of KPMG LLP as independent registered public accounting firm. | Issuer | No | | |
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| Lennar Corporation | LEN | 526057104 | 2/12/2018 | 1. Approval of the issuance of shares of Lennar's Class A and Class B common stock in connection with the merger of CalAtlantic Group, Inc. with a newly formed wholly-owned subsidiary of Lennar, as contemplated by an Agreement and Plan of Merger, dated as of October 29, 2017, by and among CalAtlantic Group, Inc., Lennar and Cheetah Cub Group Corp. | Issuer | No | | |
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| | | | | 2. Approval of an amendment to Lennar's certificate of incorporation increasing the number of authorized shares of Lennar's Class A common stock from 300,000,000 shares to 400,000,000 shares. | Issuer | No | | |
| | | | | 3. Approval of an adjournment of the Special Meeting of Stockholders, if necessary, to enable Lennar to solicit additional votes, if at the time of such meeting there are not sufficient votes to approve proposal 1 and 2. | Issuer | No | | |
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| Marriot International, Inc. | MAR | 571903202 | 5/4/2018 | 1. To elect fourteen directors: 1a. J.W. Marriott, Jr., 1b. Mary K. Bush, 1c. Bruce W. Duncan, 1d. Deborah M. Harrison, 1e. Frederick A. Henderson, 1f. Eric Hippeau, 1g. Lawrence W. Kellner, 1h. Debra L. Lee, 1i. Aylwin B. Lewis, 1j. George Munoz, 1k. Steven S. Reinemund, 1l. W. Mitt Romney, 1m. Susan C. Schwab, 1n. Arne M. Sorenson. | Issuer | No | | |
| | | | | 2. Ratification of the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal 2018. | Issuer | No | | |
| | | | | 3. Advisory vote to approve executive compensation. | Issuer | No | | |
| | | | | 4. Amend the Company's certificate of incorporation to provide holders of 25% of Company stock the right to call special meetings. | Issuer | No | | |
| | | | | 5. Stockholder resolution to allow holders of 15% of Company stock to call special meetings. | Security Holder | No | | |
| | | | | 6. Stockholder resolution to implement simple majority voting in the Company's governance documents. | Security Holder | No | | |
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| Morgan Stanley | MS | 617446448 | 5/24/2018 | 1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr.. | Issuer | Yes | For | For |
| | | | | 2. Ratification of appointment of Deloitte & Touche LLP as independent auditor. | Issuer | Yes | For | For |
| | | | | 3. Approval, on an advisory basis, of the Company's executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service. | Security Holder | Yes | Against | For |
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| NVR, Inc. | NVR | 62944T105 | 5/2/2018 | 1. To elect twelve directors: A. C.E. Andrews, B. Timothy M. Donahue, C. Thomas D. Eckert, D. Alfred E. Festa, E. Ed Grier, F. Manuel H. Johnson, G. Mel Martinez, H. William A. Moran, I. David A. Preiser, J. W. Grady Rosier, K. Susan Williamson Ross, L. Dwight C. Schar. | Issuer | Yes | For | For |
| | | | | 2. Ratification of appointment of KPMG LLP as independent auditor for the year ending December 31, 2018. | Issuer | Yes | For | For |
| | | | | 3. Advisory vote to approve executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Adoption of the NVR, Inc. 2018 equity incentive plan. | Issuer | Yes | For | For |
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| PotlatchDeltic Corporation | PCH | 737630103 | 5/7/2018 | 1. To elect four directors: a. William L. Driscoll, b. Eric J. Cremers, c. D. Mark Leland, d. Lenore M. Sullivan. | Issuer | Yes | For | For |
| | | | | 2. Ratification of the appointment of KPMG LLP as Company's independent auditors for 2018. | Issuer | Yes | For | For |
| | | | | 3. Advisory vote to approve executive compensation. | Issuer | Yes | For | For |
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| Rio Tinto Plc | RIO | 767204100 | 4/11/2018 | 1. Receipt of the 2017 annual report. | Issuer | No | | |
| | | | | 2. Approval of the remuneration policy. | Issuer | No | | |
| | | | | 3. Approval of the directors' remuneration report: Implementation report. | Issuer | No | | |
| | | | | 4. Approval of the directors' remuneration report. | Issuer | No | | |
| | | | | 5A. Approval of the Rio Tinto 2018 equity incentive report. | Issuer | No | | |
| | | | | 5B. Approval of potential termination benefits payable under the Rio Tinto 2018 equity incentive plan. | Issuer | No | | |
| | | | | 6. To re-elect Megan Clark as a director. | Issuer | No | | |
| | | | | 7. To re-elect David Constable as a director. | Issuer | No | | |
| | | | | 8. To re-elect Ann Godbehere as a director. | Issuer | No | | |
| | | | | 9. To re-elect Simon Henry as a director. | Issuer | No | | |
| | | | | 10. To re-elect Jean-Sebastien Jacues as a director. | Issuer | No | | |
| | | | | 11. To re-elect Sam Laidlaw as a director. | Issuer | No | | |
| | | | | 12. To re-elect Michael L'Estrange as a director. | Issuer | No | | |
| | | | | 13. To re-elect Chris Lynch as a director. | Issuer | No | | |
| | | | | 14. To re-elect Simon Thompson as a director. | Issuer | No | | |
| | | | | 15. Re-appointment of auditors. | Issuer | No | | |
| | | | | 16. Remuneration of auditors. | Issuer | No | | |
| | | | | 17. Authority to make political donations. | Issuer | No | | |
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| | | | | 18. General authority to allot shares. | Issuer | No | | |
| | | | | 19. Disapplication of pre-emption rights. | Issuer | No | | |
| | | | | 20. Authority to purchase Rio Tinto plc shares. | Issuer | No | | |
| | | | | 21. Notice period for general meetings other than annual general meetings. | Issuer | No | | |
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| Teck Resources Limited | TECK | 878742204 | 4/25/2018 | 1. To elect fifteen directors: 01. M.M. Ashar, 02. Q. Chong, 03. L.L. Dottori-Attanasio, 04. E.C. Dowling, 05. E. Fukuda, 06. N.B. Keevil, 07. N.B. Keevil III, 08. T. Kubota, 09. D.R. Lindsay, 10. S.A. Murray, 11. T.L. McVicar, 12. K.W. Pickering, 13. U.M. Power, 14. W.S.R. Seyffert, 15. T.R. Snider. | Issuer | Yes | For | For |
| | | | | 2. To appoint PricewaterhouseCoopers LLP as auditors and to authorize the directors to fix the auditors' remuneration. | Issuer | Yes | For | For |
| | | | | 3. To approve the advisory resolution on the Corporation's approach to executive compensation. | Issuer | Yes | For | For |
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| Toll Brothers, Inc. | TOL | 889478103 | 3/13/2018 | 1A. Election of director: Robert I. Toll. | Issuer | No | | |
| | | | | 1B. Election of director: Douglas C. Yearley, Jr.. | Issuer | No | | |
| | | | | 1C. Election of director: Edward G. Boehne. | Issuer | No | | |
| | | | | 1D. Election of director: Richard J. Braemer. | Issuer | No | | |
| | | | | 1E. Election of director: Christine N. Garvey | Issuer | No | | |
| | | | | 1F. Election of director: Carl B. Marbach. | Issuer | No | | |
| | | | | 1G. Election of director: John A. McLean. | Issuer | No | | |
| | | | | 1H. Election of director: Stephen A. Novick. | Issuer | No | | |
| | | | | 1I. Election of director: Wendell E. Pritchett. | Issuer | No | | |
| | | | | 1J. Election of director: Paul E. Shapiro. | Issuer | No | | |
| | | | | 2. The Ratification of the re-appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the 2018 fiscal year. | Issuer | No | | |
| | | | | 3. The approval, in an advisory and non-binding vote, of the compensation of the Company's named executive officers. | Issuer | No | | |
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| Turquoise Hill Resources Ltd. | TRQ | 900435108 | 5/8/2018 | 1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen. | Issuer | Yes | For | For |
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| | | | | 2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors. | Issuer | Yes | For | For |
| | | | | 3. Non-binding advisory vote to accept the approach to executive compensation. | Issuer | Yes | For | For |
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| Vale S.A. | VALE | 91912E105 | 10/18/2017 | 1. Amendment to Vale's by-laws. | Issuer | No | | |
| | | | | 2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share. | Issuer | No | | |
| | | | | 3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3. | | | | |
| | | | | 3.1. Candidate 1: Isabella Soboya, as effective member. | Issuer | No | | |
| | | | | 3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate. | Issuer | No | | |
| | | | | 4. Separate election process for one member of the board of directors by non-controlling holders of common shares. | | | | |
| | | | | 4.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate. | Issuer | No | | |
| | | | | 5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares. | | | | |
| | | | | 5.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate. | Issuer | No | | |
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| Vale S.A. | VALE | 91912E105 | 12/21/2017 | 1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3) | Issuer | No | | |
| | | | | 2. Amendment to Vale's by-laws. | Issuer | No | | |
| | | | | 3. Approval of the protocol and justification of merger of Balderton. | Issuer | No | | |
| | | | | 4. Approval of the protocol and justification of merger of Fortlee. | Issuer | No | | |
| | | | | 5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale. | Issuer | No | | |
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| | | | | 6. Ratification of premiumbravo auditores independentes as auditors. | Issuer | No | | |
| | | | | 7. Approval of the appraisal report of Balderton, prepard by the specialized company. | Issuer | No | | |
| | | | | 8. Approval of the appraisal report of Fortlee, prepared by the specialized company. | Issuer | No | | |
| | | | | 9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company. | Issuer | No | | |
| | | | | 10. Approval of the merger of Balderton. | Issuer | No | | |
| | | | | 11. Approval of the merger of Fortlee. | Issuer | No | | |
| | | | | 12. Approval of the merger of the spun-off portion of EBM's equity. | Issuer | No | | |
| | | | | 13. Ratification of appointment of effective and alternate members of the board of directors. | Issuer | No | | |
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| Vale S.A | VALE | 91912E105 | 4/13/2018 | 1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017. | Issuer | Yes | For | For |
| | | | | 2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget. | Issuer | Yes | For | For |
| | | | | 3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors. | Issuer | Yes | For | For |
| | | | | 4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate. | Issuer | Yes | For | For |
| | | | | 5. Setting the compensation of management and members of the Fiscal Council for the year 2018. | Issuer | Yes | For | For |
| | | | | 6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017. | Issuer | Yes | For | For |
| | | | | E1. Amendment to Vale's by-laws and its restatement. | Issuer | Yes | For | For |
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| Weyerhaeuser Company | WY | 962166104 | 5/18/2018 | 1. To elect eleven directors: | | | | |
| | | | | 1a. Mark A. Emmert. | Issuer | No | | |
| | | | | 1b. Rick R. Holley. | Issuer | No | | |
| | | | | 1c. Sara Grootwassink Lewis. | Issuer | No | | |
| | | | | 1d. John F. Morgan Sr.. | Issuer | No | | |
| | | | | 1e. Nicole W. Piasecki. | Issuer | No | | |
| | | | | 1f. Marc F. Racicot. | Issuer | No | | |
| | | | | 1g. Lawrence A. Selzer. | Issuer | No | | |
| | | | | 1h. Doyle R. Simons. | Issuer | No | | |
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| | | | | 1i. D.Michael Steuert. | Issuer | No | | |
| | | | | 1j. Kim Williams. | Issuer | No | | |
| | | | | 1k. Charles R. Williamson. | Issuer | No | | |
| | | | | 2. Approval, on an advisory basis, of the compensation of the named executive officers. | Issuer | No | | |
| | | | | 3. Ratification of selection of KPMG LLP as the Company's independent registered public accounting firm for 2018. | Issuer | No | | |
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| Wyndham Worldwide Corporation | WYND | 98310W108 | 5/17/2018 | 1. To elect eight directors: 01. Myra J. Biblowit, 02. Louise F. Brady, 03. James E. Buckman, 04. George Herrera, 05. Stephen P. Holmes, 06. Brian M. Mulroney, 07. Pauline D.E. Richards, 08. Michael H. Wargotz. | Issuer | Yes | For | For |
| | | | | 2. To vote on an advisory resoultion to approve executive compensation. | Issuer | Yes | For | For |
| | | | | 3. To vote on a proposal to ratify the appointment of Deloitte & Touche LLP to serve as Company's independent registered public accounting firm for fiscal year 2018. | Issuer | Yes | For | For |
| | | | | 4. To vote on a proposal to approve the amendment and restatement of the Wyndham Worldwide 2006 Equity and Incentive Plan. | Issuer | Yes | Against | Against |
| | | | | 5. Shareholder proposal regarding political contributions disclosure. | Security Holder | Yes | Against | For |
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| CGM Trust - File No. 811-00082 | | | | | | |
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| CGM Focus Fund | | | | | | | | |
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| Issuer | Ticker | CUSIP | Meeting
Date | Matter
Voted On | Proposed
By Issuer or
Security Holder | Was
Vote
Cast | Actual
Vote | For or
Against
Mgt. |
| AbbVie Inc. | ABBV | 00287Y109 | 5/4/2018 | 1. To elect four directors: 01. Roxanne S. Austin, 02. Richard A. Gonzalez, 03. Rebecca B. Roberts, 04. Glenn F. Tilton. | Issuer | No | | |
| | | | | 2. Ratification of Ernst & Young LLP as AbbVie's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 3. An advisory vote on the approval of executive compensation. | Issuer | No | | |
| | | | | 4. An advisory vote on the frequency of the advisory vote to approve executive compensation. | Issuer | No | | |
| | | | | 5. Approval of a management proposal regarding amendment of the certificate of incorporation for the annual election of directors. | Issuer | No | | |
| | | | | 6. Approval of a management proposal regarding amendment of the certificate of incorporation to eliminate supermajority voting. | Issuer | No | | |
| | | | | 7. Stockholder proposal regarding an annual report on lobbying. | Issuer | No | | |
| | | | | 8. Stockholder proposal to separate chair and CEO. | Issuer | No | | |
| | | | | 9. Stockholder proposal to issue an annual compensation committee report on drug pricing. | Issuer | No | | |
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| Banco Bradesco SA | BBD | 59460303 | 3/12/2018 | 5a. Election of the fiscal council: Luiz Carlos de Freitas (effective) and Joao Sabino (alternate). | Issuer | No | | |
| | | | | 5b. Election of the fiscal council: Walter Luis Bernardes Albertoni (effective) and Reginaldo Ferreira Alexandre (alternate). | Issuer | No | | |
| | | | | 5c. Election of the fiscal council: Luiz Alberto de Castro Fallerios (effective) and Eduardo Georges Chehab (alternate). | Issuer | No | | |
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| Bank of America | BAC | 60505104 | 4/25/2018 | 1. Election of fifteen directors: A. Sharon L. Allen, B. Susan S. Bies, C. Jack O. Bovender, JR., D. Frank P. Bramble, SR., E. Pierre J.P. de Weck, F. Arnold W. Donald, G. Linda P. Hudson, H. Monica C. Lozano, I. Thomas J. May, J. Brian T. Moynihan, K. Lionel L. Nowell, III, L. Michael D. White M. Thomas D. Woods, N. R. David Yost, O. Maria T. Zuber. | Issuer | Yes | For | For |
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| | | | | 2. Approving Company's executive compensation, an advisory, non-binding "Say on Pay" resolution. | Issuer | Yes | For | For |
| | | | | 3. Ratifying the appointment of PricewaterhouseCooper LLP as Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 4. Stockholder proposal regarding independent board chairman. | Security Holder | Yes | Against | For |
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| Carnival Corporation | CCL | 143658300 | 4/11/2018 | 1. Re-elect Mickey Arison as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 2. Re-elect Sir Jonathon Band as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 3. Elect Jason Glen Cahilly as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 4. Re-elect Helen Deeble as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 5. Re-elect Arnold W. Donald as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 6. Re-elect Richard J. Glasier as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 7. Re-elect Debra Kelly-Ennis as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 8. Re-elect Sir John Parker as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 9. Re-elect Stuart Subonick as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 10. Re-elect Laura Weil as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 11. Re-elect Randall J. Weisenburger as a Director of Carnival Corporation and as a Director of Carnival plc. | Issuer | Yes | For | For |
| | | | | 12. Hold a (non-binding) advisory vote to approve executive compensation (in accordance with legal requirements applicable to U.S. companies). | Issuer | Yes | For | For |
| | | | | 13. Approve the Carnival plc Directors' Remuneration Report (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 14. Re-appoint the UK firm of PricewaterhouseCoopers LLP as independent auditors for Carnival plc and to ratify the selection of the U.S. firm of PricewaterhouseCoopers LLP as the independent registered certified public accounting firm of Carnival Corporation. | Issuer | Yes | For | For |
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| | | | | 15. Authorize the Audit Committee of Carnival plc to determine the renumeration of the independent auditors of Carnival plc (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 16. Receive the UK accounts and reports of the Directors and auditors of Carnival plc for the year ended November 30, 2017 (in accordance with legal requirements applicable to UK companies). | Issuer | Yes | For | For |
| | | | | 17. Approve the giving of authority for the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Issuer | Yes | For | For |
| | | | | 18. Approve the disapplication of pre-emption rights in relation to the allotment of new shares by Carnival plc (in accordance with customary practice for UK companies). | Issuer | Yes | For | For |
| | | | | 19. Approve a general authority for Carnvial plc to buy back Carnival plc ordinary shares in the open market (in accordance with legal requirements applicable to UK companies desiring to implement share buy back programs). | Issuer | Yes | For | For |
| | | | | 20. Transact such other business as may properly come before the meeting. | Issuer | Yes | For | For |
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| The Charles Schwab Corporation | SCHW | 808513105 | 5/15/2018 | 1a. Election of director: Walter W. Bettinger II. | Issuer | No | | |
| | | | | 1b. Election of director: Joan T. Dea. | Issuer | No | | |
| | | | | 1c. Election of director: Christopher V. Dodds. | Issuer | No | | |
| | | | | 1d. Election of director: Mark A. Goldfarb. | Issuer | No | | |
| | | | | 1e. Election of director: Charles A. Ruffel. | Issuer | No | | |
| | | | | 2. Ratification of the selection of Deloitte & Touche LLP as independent auditors. | Issuer | No | | |
| | | | | 3. Advisory vote to approve named executive officer compensation. | Issuer | No | | |
| | | | | 4. Approval of 2013 Stock Incentive Plan as amended and restated. | Issuer | No | | |
| | | | | 5. Approval of amended and restated bylaws to adopt a proxy access bylaw for director nominations by stockholders. | Issuer | No | | |
| | | | | 6. Stockholder proposal requesting annual disclosure of EEO-1 data. | Security Holder | No | | |
| | | | | 7. Stockholder proposal requesting disclosure of the Company's political contributions and expenditures, recipients, and related policies and procedures. | Security Holder | No | | |
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| Citigroup Inc. | C | 172967424 | 4/24/2018 | 1. Proposal to elect sixteen directors: A. Michael L. Corbat, B. Ellen M. Costello, C. John C. Dugan, D. Duncan P. Hennes, E. Peter B. Henry, F. Franz B. Humer, G. S. Leslie Ireland, H. Renee J. James, I. Eugene M. McQuade, J. Michael E. O'Neill, K. Gary M. Reiner, L. Anthony M. Santomero, M. Diana L. Taylor, N. James S. Turley, O. Deborah C. Wright, P.Ernesto Zedillo Ponce de Leon. | Issuer | Yes | For | For |
| | | | | 2. Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. Advisory approval of Citi's 2017 executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of an amendment to the Citigroup 2014 stock incentive plan authorizing additional shares. | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal requesting a Human and Indigenous Peoples' Rights Policy. | Security Holder | Yes | Against | For |
| | | | | 6. Stockholder proposal requesting that our Board take the steps necessary to adopt cumulative voting. | Security Holder | Yes | Against | For |
| | | | | 7. Stockholder proposal requesting a report on lobbying and grassroots lobbying contributions. | Security Holder | Yes | Against | For |
| | | | | 8. Stockholder proposal requesting an amendment to Citi's proxy access bylaw provisions pertaining to the aggregation limit and the number of candidates. | Security Holder | Yes | Against | For |
| | | | | 9. Stockholder proposal requesting that the Board adopt a policy prohibiting the vesting of equity-based awards for senior executives due to voluntary resignation to enter government service. | Security Holder | Yes | Against | For |
| | | | | 10. Stockholder proposal requesting that the Board amend Citi's bylaws to give holders in the aggregate of 15% of Citi's outstanding common stock the power to call a special meeting. | Security Holder | Yes | Against | For |
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| Diamondback Energy, Inc. | FANG | 25278X109 | 6/7/2018 | 1. To elect seven directors: A. Steven E. West, B. Travis D. Slice, C. Michael L. Hollis, D. Michael P. Cross, E. David L. Houston, F. Mark L. Plaumann, G. Melanie M. Trent. | Issuer | Yes | For | For |
| | | | | 2. Approve, on an advisory basis, the compensation paid to the Company's named executive directors. | Issuer | Yes | For | For |
| | | | | 3. Proposal to ratify the appointment of Grant Thornton LLP as the Company's independent auditors for the fiscal year ending December 31, 2018. | Issuer | Yes | For | For |
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| D.R. Horton, Inc. | DHI | 23331A109 | 1/24/2018 | 1. To elect five directors: A. Donald R. Horton, B. Barbara K. Allen, C. Brad S. Anderson, D. Michael R. Buchanan, E. Michael W. Hewatt. | Issuer | No | | |
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| | | | | 2. Approval of the advisory resolution on executive compensation. | Issuer | No | | |
| | | | | 3. Approval of the advisory vote as to the frequency of future advisory votes on executive compensation. | Issuer | No | | |
| | | | | 4. Approval of the material terms of the performance criteria under the Company's 2017 incentive bonus plan. | Issuer | No | | |
| | | | | 5. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm. | Issuer | No | | |
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| JP Morgan Chase & Co. | JPM | 46625H100 | 5/15/2018 | 1. To elect twelve directors: a. Linda B. Bammann, b. James A. Bell, c. Stephen B. Burke, d. Todd A. Combs, e. James S. Crown, f. James Dimon, g. Timothy P. Flynn, h. Mellody Hobson, i. Laban P. Jackson, Jr., j. Michael A. Neal, k. Lee R. Raymond, l. William C. Weldon. | Issuer | Yes | For | For |
| | | | | 2. Ratification of special meeting provisions in the Firm's By-Laws. | Issuer | Yes | For | For |
| | | | | 3. Advisory resolution to approve executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Approval of Amended and Restated Long-Term Incentive Plan effective May 15, 2018 | Issuer | Yes | For | For |
| | | | | 5. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm. | Issuer | Yes | For | For |
| | | | | 6. Shareholder proposal requesting Board of Directors to adopt a policy, and amend governing documents as necessary, to require henceforth that the Chair of the Board of Directors, whenever possible, be an independent member of the board. | Security Holder | Yes | Against | For |
| | | | | 7. Shareholder proposal requesting the Board of Directors adopt a policy prohibiting the vesting of equity-based awards for senior executives due to a voluntary resignation to enter government service. | Security Holder | Yes | Against | For |
| | | | | 8. Shareholder proposal requesting the Board of Directors issue a report analyzing JPMorgan's published corporate values align with its policies regarding investments in companies tied to genocide or crimes against humanity, and specifically explain how its investments in CNPC/PetroChina are consistent with its published corporate values. | Security Holder | Yes | Against | For |
| | | | | 9. Shareholder proposal recommending the Board take the steps necessary to adopt cumulative voting. | Security Holder | Yes | Against | For |
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| Lam Research Corporation | LCRX | 512807108 | 11/8/2017 | 1. To elect ten directors: 01. Martin B. Anstice, 02. Eric K. Brandt, 03. Michael R. Cannon, 04. Youssef A. El-Mansy, 05. Christine A. Heckart, 06. Young Bum (YB) Koh, 07. Catherine P. Lego, 08. Stephen G. Newberry, 09. Abhijit Y. Talwalkar, 10. Lih Shyng Tsai. | Issuer | Yes | For | For |
| | | | | 2. Advisory vote to approve the compensation of the named executive officers of Lam Research. | Issuer | Yes | For | For |
| | | | | 3. Advisory vote to approve the frequency of holding future stockholder advisory votes on Company's named executive officer compensation to 1 year. | Issuer | Yes | For | For |
| | | | | 4. Ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm for fiscal year 2018. | Issuer | Yes | For | For |
| | | | | 5. Stockholder proposal regarding annual disclosure of EEO-1 Data. | Security Holder | Yes | Against | For |
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| Lennar Corporation | LEN | 526057104 | 2/12/2018 | 1. Approval of the issuance of shares of Lennar's Class A and Class B common stock in connection with the merger of CalAtlantic Group, Inc. with a newly formed wholly-owned subsidiary of Lennar, as contemplated by an Agreement and Plan of Merger, dated as of October 29, 2017, by and among CalAtlantic Group, Inc., Lennar and Cheetah Cub Group Corp. | Issuer | No | | |
| | | | | 2. Approval of an amendment to Lennar's certificate of incorporation increasing the number of authorized shares of Lennar's Class A common stock from 300,000,000 shares to 400,000,000 shares. | Issuer | No | | |
| | | | | 3. Approval of an adjournment of the Special Meeting of Stockholders, if necessary, to enable Lennar to solicit additional votes, if at the time of such meeting there are not sufficient votes to approve proposal 1 and 2. | Issuer | No | | |
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| LyondellBasell Industries N.V. | LYB | N53745100 | 6/1/2018 | 1. Adoption of the proposed amendments to Company's articles of association. | Issuer | No | | |
| | | | | 2. Election of directors to Company's unitary board and Company's supervisory board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 2a. Bhavesh (Bob) Patel (unitary board only), 2b. Robert Gwin, 2c. Jacques Aigrain, 2d. Lincoln Benet, 2e. Jagjeet Bindra, 2f. Robin Buchanan, 2g. Stephen Cooper, 2h. Nance Dicciani, 2i. Claire Farley, 2j. Isabella Goren, 2k. Bruce Smith, 2l. Rudy van der Meer. | Issuer | No | | |
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| | | | | 3. Election of directors to Company's management board, for the period following the meeting until the unitary board is formally implemented or in the event the amendments to Company's articles of association are not adopted: 3a. Bhavesh (Bob) Patel, 3b. Thomas Aebischer, 3c. Daniel Coombs, 3d. Jeffrey Kaplan, 3e. James Guilfoyle. | Issuer | No | | |
| | | | | 4. Adoption of Dutch Statutory annual accounts for 2017. | Issuer | No | | |
| | | | | 5. Discharge from liability of members of the management board. | Issuer | No | | |
| | | | | 6. Discharge from liability of members of the supervisory board. | Issuer | No | | |
| | | | | 7. Appointment of PricewaterhouseCoopers accountants N.V. as the auditor for Company's 2018 Dutch Statutory annual accounts. | Issuer | No | | |
| | | | | 8. Ratification of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for 2018. | Issuer | No | | |
| | | | | 9. Ratification and approval of dividends in respect of the 2017 Dutch Statutory annual account. | Issuer | No | | |
| | | | | 10. Advisory (non-binding) vote approving executive compensation. | Issuer | No | | |
| | | | | 11. Authorization to conduct shares repurchases. | Issuer | No | | |
| | | | | 12. Authorization of the cancellation of shares. | Issuer | No | | |
| | | | | 13. Amendment and extension of employee stock purchase plan. | Issuer | No | | |
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| Micron Technology, Inc. | MU | 595112103 | 1/17/2018 | 1. To elect seven directors: 1. Robert L. Bailey, 2. Richard M. Beyer, 3. Patrick J. Byrne, 4. Mercedes Johnson, 5. Sanjay Mehrotra, 6. Lawrence N. Mondry, 7. Robert E. Switz. | Issuer | Yes | For | For |
| | | | | 2. Approve Company's employee stock purchase plan with 33 million shares reserved for issuance thereunder. | Issuer | Yes | For | For |
| | | | | 3. Approve the material terms of the performance goals under Company's executive officer performance incentive plan. | Issuer | Yes | For | For |
| | | | | 4. Ratify the appointment of PricewaterhouseCoopers LLP as Company's independent registered public accounting firm for the fiscal year ending August 30, 2018. | Issuer | Yes | For | For |
| | | | | 5. Approve a non-binding resolution to approve executive compensation | Issuer | Yes | For | For |
| | | | | 6. Approve, in a non-binding vote, the frequency with which shareholders will be entitled to have an advisory vote on executive compensation to 1 year. | Issuer | Yes | For | For |
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| Morgan Stanley | MS | 617446448 | 5/24/2018 | 1. To elect twelve directors: a. Elizabeth Corley, b. Alistair Darling, c. Thomas H. Glocer, d. James P. Gorman, e. Robert H. Herz, f. Nobuyuki Hirano, g. Jami Miscik, h. Dennis M. Nally, i. Hutham S. Olayan, j. Ryosuke Tamakoshi, k. Perry M. Traquina, l. Rayford Wilkins, Jr.. | Issuer | Yes | For | For |
| | | | | 2. Ratification of appointment of Deloitte & Touche LLP as independent auditor. | Issuer | Yes | For | For |
| | | | | 3. Approval, on an advisory basis, of the Company's executive compensation. | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding a policy to prohibit vesting of deferred equity awards for senior executives who resign to enter government service. | Security Holder | Yes | Against | For |
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| Netease, Inc. | NTES | 64110W102 | 9/8/2017 | 1A. Re-election of director: William Lei Ding. | Issuer | No | | |
| | | | | 1B. Re-election of director: Alice Cheng. | Issuer | No | | |
| | | | | 1C. Re-election of director: Denny Lee. | Issuer | No | | |
| | | | | 1D. Re-election of director: Joseph Tong. | Issuer | No | | |
| | | | | 1E. Re-election of director: Lun Feng. | Issuer | No | | |
| | | | | 1F. Re-election of director: Michael Leung. | Issuer | No | | |
| | | | | 1G. Re-election of director: Michael Tong. | Issuer | No | | |
| | | | | 2. Appoint PricewaterhouseCoopers Zhong Tian LLP as independent auditors of Netease, Inc. for the fiscal year ending December 31, 2017. | Issuer | No | | |
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| Petroleo Brasileiro S.A. | PBR | 71654V408 | 4/26/2018 | E1. Proposal for the amendment of Petrobras' bylaw. | Issuer | No | | |
| | | | | E2. Consolidation of the bylaw to reflect the approved amendments. | Issuer | No | | |
| | | | | 1. To analyze manageents accounts, examination, discussion and voting of the integrated reporting and the Company's financial statements, accompanied by the report of the independent auditors and the fiscal council's report, for the fiscal year ended December 31, 2017. | Issuer | No | | |
| | | | | 2. Set the number of members of the Board of directors, as proposed. | Issuer | No | | |
| | | | | 3. Election of the members of the Board of directors. | Issuer | No | | |
| | | | | 3a1. Candidates nominated by the controlling shareholder: | Issuer | No | | |
| | | | | 1. Luiz Nelson Guedes de Carvalho. | Issuer | No | | |
| | | | | 2. Pedro Pullen Parente. | Issuer | No | | |
| | | | | 3. Francisco Petros Oliveira Lima Papathanasiadis. | Issuer | No | | |
| | | | | 4. Sergen Farid Estefen. | Issuer | No | | |
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| | | | | 5. Jose Alberto de Paula Torres Lima. | Issuer | No | | |
| | | | | 6. Clarissa de Arauujo Lins. | Issuer | No | | |
| | | | | 7. Ana Lucia Pocas Zambelli. | Issuer | No | | |
| | | | | 8. Jeronimo Antunes. | Issuer | No | | |
| | | | | 3a2. If one of the candidates that compose the slate fails to integrate it, your vote will continue to be conferred to the chosen slate. | Issuer | No | | |
| | | | | 3a3. In case of adoption of the multiple vote process, to distribute your votes in equal percentages by the members of the controlling shareholder slate. | Issuer | No | | |
| | | | | 3b. Candidates nominated by minority shareholders for the separate election: | Issuer | No | | |
| | | | | 3b1. Marcelo Mesquita de Siqueira Filho. | Issuer | No | | |
| | | | | 3b2. Marcelo Gasparino da Silva. | Issuer | No | | |
| | | | | 4. Election of the chairman of the Board of directors: Luiz Nelson Guedes de Carvalho. | Issuer | No | | |
| | | | | 5. Election of the members of the Fiscal Council. | Issuer | No | | |
| | | | | 5a. Candidates nominated by the controlling shareholder: Holder: Adriano Pereira de Paula, Substitute: Jose Franco Medeiros de Morais, Holder: Marisete Fatima Dadald Pereira, Substitute: Agnes Maria de Aragao Costa, Holder: Eduardo Cesar Pasa, Substitute: Mauricyo Jose Andrade Correia. | Issuer | No | | |
| | | | | 5b. Candidates nominated by minority shareholders for the separate election: Holder: Reginaldo Ferreira Alexandre, Substitute: Susan Hanna Stiphan Jabra. | Issuer | No | | |
| | | | | 6. Establishment of the financial compensation of directors, members of the Fiscal Council and members of the Statutory Advisory Committees to the Board of Directors. | Issuer | No | | |
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| Posco | PKX | 693483109 | 3/9/2018 | 1. Approval of the 50th FY financial statements. | Issuer | Yes | For | For |
| | | | | 2.1. Partial amendments to Articles of Incorporation: Purpose of the Company business. | Issuer | Yes | For | For |
| | | | | 2.2. Partial amendments to Articles of Incorporation: Number of directors. | Issuer | Yes | For | For |
| | | | | 2.3. Partial amendments to Articles of Incorporation: Reorganization of Special Committees. | Issuer | Yes | For | For |
| | | | | 3. Election of four inside directors: 3.1. Oh, In-Hwan, 3.2. Chang, In-Hwa, 3.3. Yu, Seong, 3.4. Chon, Jung-son. | Issuer | Yes | For | For |
| | | | | 4. Election of four outside directors: 4.1. Kim, Sung-jin, 4.2. Kim, Joo-Hyun, 4.3. Park, Kyung-Suh, 4.4. Bahk, Byong-Won. | Issuer | Yes | For | For |
| | | | | 5. Election of Audit Committee member: Bahk, Byong-Won. | Issuer | Yes | For | For |
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| | | | | 6. Approval of limit of total remuneration for directors. | Issuer | Yes | For | For |
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| Prudential Financial, Inc. | PRU | 744320102 | 5/8/2018 | 1. To elect twelve directors: a. Thomas J. Baltimore, Jr., b. Gilbert F. Casellas, c. Mark B. Grier, d. Martina Hund-Mejean, e. Karl J. Krapek, f. Peter R. Lighte, g. George Paz, h. Sandra Pianalto, i. Christine A. Poon, j. Douglas A. Scovanner, k. John R. Strangfeld, l. Michael A. Todman. | Issuer | Yes | For | For |
| | | | | 2. To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018. | Issuer | Yes | For | For |
| | | | | 3. To approve, on an advisory basis, the compensation of the Company's named executive officers. | Issuer | Yes | For | For |
| | | | | 4. Shareholder proposal regarding an independent Board Chairman. | Issuer | Yes | Against | For |
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| Skyworks Solutions, Inc. | SWKS | 83088M102 | 5/9/2018 | 1.1 Election of director: David J. Aldrich. | Issuer | No | | |
| | | | | 1.2 Election of director: Kevin L. Beebe. | Issuer | No | | |
| | | | | 1.3 Election of director: Timothy R. Furey. | Issuer | No | | |
| | | | | 1.4 Election of director: Liam K. Griffin. | Issuer | No | | |
| | | | | 1.5 Election of director: Balakrishnan S. Iyer. | Issuer | No | | |
| | | | | 1.6 Election of director: Christine King. | Issuer | No | | |
| | | | | 1.7 Election of director: David P. McGlade. | Issuer | No | | |
| | | | | 1.8 Election of director:David J. McLachlan. | Issuer | No | | |
| | | | | 1.9 Election of director: Robert A. Schriesheim. | Issuer | No | | |
| | | | | 2. To ratify the selection by the Company's Audit Committee of KPMG LLP as the independent registered public accounting firm. | Issuer | No | | |
| | | | | 3. To approve, on an advisory basis, the compensation of the Company's named executive officers. | Issuer | No | | |
| | | | | 4. To approve the Company's amended and restated 2008 director long-term incentive plan, as amended. | Issuer | No | | |
| | | | | 5. To ratify an amendment to the Company's by-laws that provides the Company's stockholder the right to request a special meeting of stockholders. | Issuer | No | | |
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| Textron Inc. | TXT | 883203101 | 4/25/2018 | 1. Election of eleven directors: | | | | |
| | | | | 1a. Scott C. Donnelly. | Issuer | No | | |
| | | | | 1b. Kathleen M. Bader. | Issuer | No | | |
| | | | | 1c. R. Kerry Clark. | Issuer | No | | |
| | | | | 1d. James T. Conway. | Issuer | No | | |
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| | | | | 1e. Lawrence K. Fish. | Issuer | No | | |
| | | | | 1f. Paul E. Gagne. | Issuer | No | | |
| | | | | 1g. Ralph D. Heath. | Issuer | No | | |
| | | | | 1h. Deborah Lee James. | Issuer | No | | |
| | | | | 1i. Lloyd G. Trotter. | Issuer | No | | |
| | | | | 1j. James L. Ziemer. | Issuer | No | | |
| | | | | 1k. Maria T. Zuber. | Issuer | No | | |
| | | | | 2. Approval of the advisory (non-binding) resolution to approve executive compensation. | Issuer | No | | |
| | | | | 3. Ratification of appointment of Ernst & Young LLP as independent registered public accounting firm. | Issuer | No | | |
| | | | | 4. Shareholder proposal regarding shareholder action by written consent. | Security Holder | No | | |
| | | | | 5. Shareholder proposal regarding director tenure limit. | Security Holder | No | | |
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| Transocean Ltd. | RIG | H8817H100 | 5/18/2018 | 1. Approval of the 2017 annual report, including the audited consolidated financial statements and the audited statutory financial statements of Transocean Ltd. For fiscal year 2017. | Issuer | No | | |
| | | | | 2. Discharge of the members of the board of directors and executive management team from liability for activities during fiscal year 2017. | Issuer | No | | |
| | | | | 3. Appropriation of the accumulated loss for fiscal year 2017 and release of CHF 1,500,000,000 of statutory capital reserves from capital contribution and allocation to free capital reserves from capital contribution. | Issuer | No | | |
| | | | | 4. Renewal of authorized share capital. | Issuer | No | | |
| | | | | 5. Re-election of eleven directors, each for a term extending until completion of the next annual general meeting. | | | | |
| | | | | 5A. Glyn A. Barker. | Issuer | No | | |
| | | | | 5B. Vanessa C.L. Chang. | Issuer | No | | |
| | | | | 5C. Frederico F. Curado. | Issuer | No | | |
| | | | | 5D. Chadwick C. Deaton. | Issuer | No | | |
| | | | | 5E. Vincent J. Intrieri. | Issuer | No | | |
| | | | | 5F. Samuel J. Merksamer. | Issuer | No | | |
| | | | | 5G. Merrill A. "Pete" Miller, Jr.. | Issuer | No | | |
| | | | | 5H. Frederik W. Mohn. | Issuer | No | | |
| | | | | 5I. Edward R. Muller. | Issuer | No | | |
| | | | | 5J. Tan Ek Kia. | Issuer | No | | |
| | | | | 5K. Jeremy D. Thigpen. | Issuer | No | | |
| | | | | 6. Election of Merrill A. "Pete" Miller, Jr. as the chairman of the board of directors for a term extending until completion of the next annual general meeting. | Issuer | No | | |
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| | | | | 7. Election of the members of the compensation committee, each for a term extending until completion of the next annual general meeting. | | | | |
| | | | | 7A. Frederico F. Curado. | Issuer | No | | |
| | | | | 7B. Vincent J. Intrieri. | Issuer | No | | |
| | | | | 7C. Tan Ek Kia. | Issuer | No | | |
| | | | | 8. Re-election of Schweiger Advokatur / Notariat as the independent proxy for a term extending until completion of the next annual general meeting. | Issuer | No | | |
| | | | | 9. Appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for fiscal year 2018 and re-election of Ernst & Young Ltd, Zurich, as the Company's auditor for a further one-year term. | Issuer | No | | |
| | | | | 10. Advisory vote to approve named executive officer compensation. | Issuer | No | | |
| | | | | 11. Prospective votes on the maximum compensation of the board of directors and executive management team, respectively. | | | | |
| | | | | 11A. Ratification of an amount of US $4,121,000 as the maximum aggregate amount of compensation of the board of directors for the period between 2018 and the 2019 annual general meetings. | Issuer | No | | |
| | | | | 11B. Ratification of an amount of US $24,000,000 as the maximum aggregate amount of compensation of the executive management team for fiscal year 2019. | Issuer | No | | |
| | | | | 12. Approval of amendment to Transocean Ltd. 2015 Long-Term incentive plan for additional reserves. | Issuer | No | | |
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| Turquoise Hill Resources Ltd. | TRQ | 900435108 | 5/8/2018 | 1. To elect seven directors: 01. James W. Gill, 02. R. Peter Gillin, 03. Stephen Jones, 04. Ulf Quellmann, 05. Russel C. Robertson, 06. Maryse Saint-Laurent, 07. Jeff Tygesen. | Issuer | Yes | For | For |
| | | | | 2. To appoint PricewaterhouseCoopers LLP, Chartered professional accountants, as auditors of the Corporation at a remuneration to be fixed by the board of directors. | Issuer | Yes | For | For |
| | | | | 3. Non-binding advisory vote to accept the approach to executive compensation. | Issuer | Yes | For | For |
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| United Rental, Inc. | URI | 911363109 | 5/9/2018 | 1a. Election of director: Jose B. Alvarez. | Issuer | No | | |
| | | | | 1b. Election of director: Jenne K. Britell. | Issuer | No | | |
| | | | | 1c. Election of director: Marc A. Bruno. | Issuer | No | | |
| | | | | 1d. Election of director: Bobby J. Griffin. | Issuer | No | | |
| | | | | 1e. Election of director: Terri L. Kelly. | Issuer | No | | |
| | | | | 1f. Election of director: Michael J. Kneeland. | Issuer | No | | |
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| | | | | 1g. Election of director: Gracia C. Martore. | Issuer | No | | |
| | | | | 1h. Election of director: Jason D. Papastavrou. | Issuer | No | | |
| | | | | 1i. Election of director: Filippo Passerini. | Issuer | No | | |
| | | | | 1j. Election of director: Donald C. Roof. | Issuer | No | | |
| | | | | 1k. Election of director: Shiv Singh. | Issuer | No | | |
| | | | | 2. Ratification of appointment of Ernst & Young LLP as public accounting firm. | Issuer | No | | |
| | | | | 3. Advisory approval of executive compensation. | Issuer | No | | |
| | | | | 4. Stockholder proposal on shareholder right to act by written consent. | Security Holder | No | | |
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| Vale S.A. | VALE | 91912E105 | 10/18/2017 | 1. Amendment to Vale's by-laws. | Issuer | No | | |
| | | | | 2. Conversion of all class "A" preferred shares issued by Vale into common shares in the ratio of 0.9342 common share for each class "A" preferred share. | Issuer | No | | |
| | | | | 3. Election of two members of the board of directors. A holder may vote for up to two candidates. If the quorum for the separate election is achieved, only one member will be elected pursuant to this resolution 3. if the quorum for separate election is not achieved, two members will be elected pursuant to this resolution 3. | | | | |
| | | | | 3.1. Candidate 1: Isabella Soboya, as effective member. | Issuer | No | | |
| | | | | 3.2. Candidate 2: Ricardo Reisen de Pinho, as effective member and Marcio Guedes Pereira Junior, as alternate. | Issuer | No | | |
| | | | | 4. Separate election process for one member of the board of directors by non-controlling holders of common shares. | | | | |
| | | | | 4.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 4.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C. H. Bastit, as alternate. | Issuer | No | | |
| | | | | 5. Separate election process for one member of the board of directors by non-controlling holders of common shares aggregated with preferred shares. | | | | |
| | | | | 5.1. Candidate 1: Sandra Guerra, as effective member. | Issuer | No | | |
| | | | | 5.2. Candidate 2: Marcelo Gasparino da Silva, as effective member, and Bruno C.H. Bastit as alternate. | Issuer | No | | |
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| Vale S.A. | VALE | 91912E105 | 12/21/2017 | 1. Proposal to list Vale's shares on the "Novo Mercado" special segment of the B3 S.A. - Brasil, Bolsa, Balcao (B3) | Issuer | No | | |
| | | | | 2. Amendment to Vale's by-laws. | Issuer | No | | |
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| | | | | 3. Approval of the protocol and justification of merger of Balderton. | Issuer | No | | |
| | | | | 4. Approval of the protocol and justification of merger of Fortlee. | Issuer | No | | |
| | | | | 5. Approval of the protocol and justification of partial spin-off of EBM, with the merger of the spun-off portion into Vale. | Issuer | No | | |
| | | | | 6. Ratification of premiumbravo auditores independentes as auditors. | Issuer | No | | |
| | | | | 7. Approval of the appraisal report of Balderton, prepard by the specialized company. | Issuer | No | | |
| | | | | 8. Approval of the appraisal report of Fortlee, prepared by the specialized company. | Issuer | No | | |
| | | | | 9. Approval of the appraisal report of the spun-off portion of EBM's equity, prepared by the specialized company. | Issuer | No | | |
| | | | | 10. Approval of the merger of Balderton. | Issuer | No | | |
| | | | | 11. Approval of the merger of Fortlee. | Issuer | No | | |
| | | | | 12. Approval of the merger of the spun-off portion of EBM's equity. | Issuer | No | | |
| | | | | 13. Ratification of appointment of effective and alternate members of the board of directors. | Issuer | No | | |
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| Vale S.A | VALE | 91912E105 | 4/13/2018 | 1. Evaluation of the management's report and analysis, discussion and vote on the financial statements for the fiscal year ended December 31, 2017. | Issuer | Yes | For | For |
| | | | | 2. Proposal for the allocation of profits for the year 2017, and the consequent approval of Vale's capital budget. | Issuer | Yes | For | For |
| | | | | 3. Ratification of nomination of Mr. Ney Roberto Ottoni de Brito as principal member of the Board of Directors. | Issuer | Yes | For | For |
| | | | | 4. Election of the members of the Fiscal Council and respective alternates nominated by controlling shareholders: Marcelo Amaral Moraes = Effective, Marcus Vinicius Dias Severini = Effective, Eduardo Cesar Pasa = Effective, Sergio Mamede Rosa do Nascimento = Alternate. | Issuer | Yes | For | For |
| | | | | 5. Setting the compensation of management and members of the Fiscal Council for the year 2018. | Issuer | Yes | For | For |
| | | | | 6. Ratification of the annual compensation paid to management and members of the Fiscal Council in the year 2017. | Issuer | Yes | For | For |
| | | | | E1. Amendment to Vale's by-laws and its restatement. | Issuer | Yes | For | For |
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| Western Digital Corporation | WDC | 958102105 | 11/2/2017 | 1. To elect eight directors: | | | | |
| | | | | 1a. Martin I. Cole | Issuer | No | | |
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| | | | | 1b. Kathleen A. Cote. | Issuer | No | | |
| | | | | 1c. Henry T. DeNero. | Issuer | No | | |
| | | | | 1d. Michael D. Lambert. | Issuer | No | | |
| | | | | 1e. Len J. Lauer. | Issuer | No | | |
| | | | | 1f. Matthew E. Massengill. | Issuer | No | | |
| | | | | 1g. Stephen D. Milligan. | Issuer | No | | |
| | | | | 1h. Paula A. Price. | Issuer | No | | |
| | | | | 2. To approve on an advisory basis the named executive officer compensation. | Issuer | No | | |
| | | | | 3. To approve on an advisory basis the frequency of future advisory votes on named executive officer compensation. | Issuer | No | | |
| | | | | 4. To approve an amendment and restatement of Company's 2004 performance incentive plan that would among other things, rename the plan as the "2017 performance incentive plan" and increase by fourteen million (14,000,000) the number of shares of common stock available for issuance under the plan. | Issuer | No | | |
| | | | | 5. To ratify the appointment of KPMG LLP as Company's independent registered public accounting firm for the fiscal year ending June 29, 2018. | Issuer | No | | |
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| Westlake Chemical Corporation | WLK | 960413102 | 5/18/2018 | 1. To elect four directors: 01. James Chao, 02. Mark A. McCollum, 03. R. Bruce Northcutt, 04. H. John Riley, Jr.. | Issuer | No | | |
| | | | | 2. Ratify appointment of PricewaterhouseCoopers LLP to serve as Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. | Issuer | No | | |
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SIGNATURES
[See General Instruction F]
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.
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| (Registrant) | CGM TRUST |
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| By (Signature and Title)* | /s/ David C. Fietze |
| | David C. Fietze, President |
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| Date | August 30, 2018 |
* Print the name and title of each signing officer under his or her signature.
