UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-04656
Ellsworth Growth and Income Fund Ltd.
(Exact name of registrant as specified in charter)
One Corporate Center
Rye, New York 10580-1422
(Address of principal executive offices) (Zip code)
James A. Dinsmore
Gabelli Funds, LLC
One Corporate Center
Rye, New York 10580-1422
(Name and address of agent for service)
Registrant’s telephone number, including area code: 1-800-422-3554
Date of fiscal year end: September 30
Date of reporting period: July 1, 2019 – June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2019 TO JUNE 30, 2020
ProxyEdge | Report Date: 07/01/2020 |
Meeting Date Range: 07/01/2019 - 06/30/2020 | 1 |
Ellsworth Growth and Income Fund Ltd. |
Investment Company Report
ALIBABA GROUP HOLDING LIMITED | ||||||||||||||
Security | 01609W102 | Meeting Type | Annual | |||||||||||
Ticker Symbol | BABA | Meeting Date | 15-Jul-2019 | |||||||||||
ISIN | US01609W1027 | Agenda | 935052302 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1. | Effect an increase in the number of authorized Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares. | Management | For | For | ||||||||||
2.1 | Election of Director for a three year term: DANIEL ZHANG | Management | For | For | ||||||||||
2.2 | Election of Director for a three year term: CHEE HWA TUNG | Management | For | For | ||||||||||
2.3 | Election of Director for a three year term: JERRY YANG | Management | For | For | ||||||||||
2.4 | Election of Director for a three year term: WAN LING MARTELLO | Management | For | For | ||||||||||
3. | Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company. | Management | For | For | ||||||||||
GOODRICH PETROLEUM CORPORATION | ||||||||||||||
Security | 382410843 | Meeting Type | Annual | |||||||||||
Ticker Symbol | GDP | Meeting Date | 20-Aug-2019 | |||||||||||
ISIN | US3824108431 | Agenda | 935065070 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1. | DIRECTOR | Management | ||||||||||||
1 | Walter G. Goodrich | For | For | |||||||||||
2 | Robert C. Turnham, Jr | For | For | |||||||||||
3 | Timothy D. Leuliette | For | For | |||||||||||
4 | Ronald F. Coleman | For | For | |||||||||||
5 | K. Adam Leight | For | For | |||||||||||
6 | Thomas M. Souers | For | For | |||||||||||
7 | Jeffrey S. Serota | For | For | |||||||||||
8 | Edward J. Sondey | For | For | |||||||||||
2. | Ratify the selection of Moss Adams LLP as the Companys independent registered public accounting firm for the fiscal year ended December 31, 2019. | Management | For | For | ||||||||||
3. | Approve, on an advisory basis, the compensation of our Named Executive Officers. | Management | For | For | ||||||||||
CONAGRA BRANDS, INC. | ||||||||||||||
Security | 205887102 | Meeting Type | Annual | |||||||||||
Ticker Symbol | CAG | Meeting Date | 19-Sep-2019 | |||||||||||
ISIN | US2058871029 | Agenda | 935067694 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Anil Arora | Management | For | For | ||||||||||
1B. | Election of Director: Thomas K. Brown | Management | For | For | ||||||||||
1C. | Election of Director: Stephen G. Butler | Management | For | For | ||||||||||
1D. | Election of Director: Sean M. Connolly | Management | For | For | ||||||||||
1E. | Election of Director: Joie A. Gregor | Management | For | For | ||||||||||
1F. | Election of Director: Rajive Johri | Management | For | For | ||||||||||
1G. | Election of Director: Richard H. Lenny | Management | For | For | ||||||||||
1H. | Election of Director: Melissa Lora | Management | For | For | ||||||||||
1I. | Election of Director: Ruth Ann Marshall | Management | For | For | ||||||||||
1J. | Election of Director: Craig P. Omtvedt | Management | For | For | ||||||||||
1K. | Election of Director: Scott Ostfeld | Management | For | For | ||||||||||
2. | Ratification of the appointment of KPMG LLP as our independent auditor for fiscal 2020. | Management | For | For | ||||||||||
3. | Advisory approval of our named executive officer compensation. | Management | For | For | ||||||||||
MICROSOFT CORPORATION | ||||||||||||||
Security | 594918104 | Meeting Type | Annual | |||||||||||
Ticker Symbol | MSFT | Meeting Date | 04-Dec-2019 | |||||||||||
ISIN | US5949181045 | Agenda | 935092849 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: William H. Gates III | Management | For | For | ||||||||||
1B. | Election of Director: Reid G. Hoffman | Management | For | For | ||||||||||
1C. | Election of Director: Hugh F. Johnston | Management | For | For | ||||||||||
1D. | Election of Director: Teri L. List-Stoll | Management | For | For | ||||||||||
1E. | Election of Director: Satya Nadella | Management | For | For | ||||||||||
1F. | Election of Director: Sandra E. Peterson | Management | For | For | ||||||||||
1G. | Election of Director: Penny S. Pritzker | Management | For | For | ||||||||||
1H. | Election of Director: Charles W. Scharf | Management | For | For | ||||||||||
1I. | Election of Director: Arne M. Sorenson | Management | For | For | ||||||||||
1J. | Election of Director: John W. Stanton | Management | For | For | ||||||||||
1K. | Election of Director: John W. Thompson | Management | For | For | ||||||||||
1L. | Election of Director: Emma Walmsley | Management | For | For | ||||||||||
1M. | Election of Director: Padmasree Warrior | Management | For | For | ||||||||||
2. | Advisory vote to approve named executive officer compensation | Management | For | For | ||||||||||
3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | Management | For | For | ||||||||||
4. | Shareholder Proposal - Report on Employee Representation on Board of Directors | Shareholder | Against | For | ||||||||||
5. | Shareholder Proposal - Report on Gender Pay Gap | Shareholder | Abstain | Against | ||||||||||
THE WALT DISNEY COMPANY | ||||||||||||||
Security | 254687106 | Meeting Type | Annual | |||||||||||
Ticker Symbol | DIS | Meeting Date | 11-Mar-2020 | |||||||||||
ISIN | US2546871060 | Agenda | 935125648 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Susan E. Arnold | Management | For | For | ||||||||||
1B. | Election of Director: Mary T. Barra | Management | For | For | ||||||||||
1C. | Election of Director: Safra A. Catz | Management | For | For | ||||||||||
1D. | Election of Director: Francis A. deSouza | Management | For | For | ||||||||||
1E. | Election of Director: Michael B.G. Froman | Management | For | For | ||||||||||
1F. | Election of Director: Robert A. Iger | Management | For | For | ||||||||||
1G. | Election of Director: Maria Elena Lagomasino | Management | For | For | ||||||||||
1H. | Election of Director: Mark G. Parker | Management | For | For | ||||||||||
1I. | Election of Director: Derica W. Rice | Management | For | For | ||||||||||
2. | To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2020. | Management | For | For | ||||||||||
3. | To approve the advisory resolution on executive compensation. | Management | For | For | ||||||||||
4. | To approve an amendment to the Company's Amended and Restated 2011 Stock Incentive Plan. | Management | Against | Against | ||||||||||
5. | Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. | Shareholder | Against | For | ||||||||||
CITIGROUP INC. | ||||||||||||||
Security | 172967424 | Meeting Type | Annual | |||||||||||
Ticker Symbol | C | Meeting Date | 21-Apr-2020 | |||||||||||
ISIN | US1729674242 | Agenda | 935139849 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Michael L. Corbat | Management | For | For | ||||||||||
1B. | Election of Director: Ellen M. Costello | Management | For | For | ||||||||||
1C. | Election of Director: Grace E. Dailey | Management | For | For | ||||||||||
1D. | Election of Director: Barbara J. Desoer | Management | For | For | ||||||||||
1E. | Election of Director: John C. Dugan | Management | For | For | ||||||||||
1F. | Election of Director: Duncan P. Hennes | Management | For | For | ||||||||||
1G. | Election of Director: Peter B. Henry | Management | For | For | ||||||||||
1H. | Election of Director: S. Leslie Ireland | Management | For | For | ||||||||||
1I. | Election of Director: Lew W. (Jay) Jacobs, IV | Management | For | For | ||||||||||
1J. | Election of Director: Renée J. James | Management | For | For | ||||||||||
1K. | Election of Director: Gary M. Reiner | Management | For | For | ||||||||||
1L. | Election of Director: Diana L. Taylor | Management | For | For | ||||||||||
1M. | Election of Director: James S. Turley | Management | For | For | ||||||||||
1N. | Election of Director: Deborah C. Wright | Management | For | For | ||||||||||
1O. | Election of Director: Alexander R. Wynaendts | Management | For | For | ||||||||||
1P. | Election of Director: Ernesto Zedillo Ponce de Leon | Management | For | For | ||||||||||
2. | Proposal to ratify the selection of KPMG LLP as Citi's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||
3. | Advisory vote to approve Citi's 2019 Executive Compensation. | Management | For | For | ||||||||||
4. | Approval of Additional Authorized Shares Under the Citigroup 2019 Stock Incentive Plan. | Management | For | For | ||||||||||
5. | Stockholder proposal requesting an amendment to Citi's proxy access by-law provisions pertaining to the aggregation limit. | Shareholder | Against | For | ||||||||||
6. | Stockholder proposal requesting that the Board review Citi's governance documents and make recommendations to shareholders on how the "Purpose of a Corporation" signed by Citi's CEO can be fully implemented. | Shareholder | Against | For | ||||||||||
7. | Stockholder proposal requesting a report disclosing information regarding Citi's lobbying policies and activities. | Shareholder | Abstain | Against | ||||||||||
PFIZER INC. | ||||||||||||||
Security | 717081103 | Meeting Type | Annual | |||||||||||
Ticker Symbol | PFE | Meeting Date | 23-Apr-2020 | |||||||||||
ISIN | US7170811035 | Agenda | 935138998 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Ronald E. Blaylock | Management | For | For | ||||||||||
1B. | Election of Director: Albert Bourla | Management | For | For | ||||||||||
1C. | Election of Director: W. Don Cornwell | Management | For | For | ||||||||||
1D. | Election of Director: Joseph J. Echevarria | Management | For | For | ||||||||||
1E. | Election of Director: Scott Gottlieb | Management | For | For | ||||||||||
1F. | Election of Director: Helen H. Hobbs | Management | For | For | ||||||||||
1G. | Election of Director: Susan Hockfield | Management | For | For | ||||||||||
1H. | Election of Director: James M. Kilts | Management | For | For | ||||||||||
1I. | Election of Director: Dan R. Littman | Management | For | For | ||||||||||
1J. | Election of Director: Shantanu Narayen | Management | For | For | ||||||||||
1K. | Election of Director: Suzanne Nora Johnson | Management | For | For | ||||||||||
1L. | Election of Director: James Quincey | Management | For | For | ||||||||||
1M. | Election of Director: James C. Smith | Management | For | For | ||||||||||
2. | Ratify the selection of KPMG LLP as independent registered public accounting firm for 2020 | Management | For | For | ||||||||||
3. | 2020 advisory approval of executive compensation | Management | For | For | ||||||||||
4. | Shareholder proposal regarding right to act by written consent | Shareholder | Against | For | ||||||||||
5. | Shareholder proposal regarding enhancing proxy access | Shareholder | Against | For | ||||||||||
6. | Shareholder proposal regarding report on lobbying activities | Shareholder | Abstain | Against | ||||||||||
7. | Shareholder proposal regarding independent chair policy | Shareholder | Against | For | ||||||||||
8. | Shareholder proposal regarding gender pay gap | Shareholder | Abstain | Against | ||||||||||
9. | Election of Director: Susan Desmond-Hellmann | Management | For | For | ||||||||||
AT&T INC. | ||||||||||||||
Security | 00206R102 | Meeting Type | Annual | |||||||||||
Ticker Symbol | T | Meeting Date | 24-Apr-2020 | |||||||||||
ISIN | US00206R1023 | Agenda | 935138140 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Randall L. Stephenson | Management | For | For | ||||||||||
1B. | Election of Director: Samuel A. Di Piazza, Jr. | Management | For | For | ||||||||||
1C. | Election of Director: Richard W. Fisher | Management | For | For | ||||||||||
1D. | Election of Director: Scott T. Ford | Management | For | For | ||||||||||
1E. | Election of Director: Glenn H. Hutchins | Management | For | For | ||||||||||
1F. | Election of Director: William E. Kennard | Management | For | For | ||||||||||
1G. | Election of Director: Debra L. Lee | Management | For | For | ||||||||||
1H. | Election of Director: Stephen J. Luczo | Management | For | For | ||||||||||
1I. | Election of Director: Michael B. McCallister | Management | For | For | ||||||||||
1J. | Election of Director: Beth E. Mooney | Management | For | For | ||||||||||
1K. | Election of Director: Matthew K. Rose | Management | For | For | ||||||||||
1L. | Election of Director: Cynthia B. Taylor | Management | For | For | ||||||||||
1M. | Election of Director: Geoffrey Y. Yang | Management | For | For | ||||||||||
2. | Ratification of appointment of independent auditors. | Management | For | For | ||||||||||
3. | Advisory approval of executive compensation. | Management | For | For | ||||||||||
4. | Independent Board Chairman. | Shareholder | Against | For | ||||||||||
5. | Employee Representative Director. | Shareholder | Against | For | ||||||||||
6. | Improve Guiding Principles of Executive Compensation. | Shareholder | Against | For | ||||||||||
UNILEVER N.V. | ||||||||||||||
Security | 904784709 | Meeting Type | Annual | |||||||||||
Ticker Symbol | UN | Meeting Date | 30-Apr-2020 | |||||||||||
ISIN | US9047847093 | Agenda | 935149686 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
2. | To adopt the Annual Accounts and appropriation of the profit for the 2019 financial year. | Management | For | For | ||||||||||
3. | To consider, and if thought fit, approve the Directors' Remuneration Report. | Management | For | For | ||||||||||
4. | To discharge the Executive Directors. | Management | For | For | ||||||||||
5. | To discharge the Non-Executive Directors. | Management | For | For | ||||||||||
6. | To reappoint Mr N Andersen as a Non-Executive Director. | Management | For | For | ||||||||||
7. | To reappoint Mrs L Cha as a Non-Executive Director. | Management | For | For | ||||||||||
8. | To reappoint Mr V Colao as a Non-Executive Director. | Management | For | For | ||||||||||
9. | To reappoint Dr J Hartmann as a Non-Executive Director. | Management | For | For | ||||||||||
10. | To reappoint Mr A Jope as an Executive Director. | Management | For | For | ||||||||||
11. | To reappoint Ms A Jung as a Non-Executive Director. | Management | For | For | ||||||||||
12. | To reappoint Ms S Kilsby as a Non-Executive Director. | Management | For | For | ||||||||||
13. | To reappoint Mr S Masiyiwa as a Non-Executive Director. | Management | For | For | ||||||||||
14. | To reappoint Professor Y Moon as a Non-Executive Director. | Management | For | For | ||||||||||
15. | To reappoint Mr G Pitkethly as an Executive Director. | Management | For | For | ||||||||||
16. | To reappoint Mr J Rishton as a Non-Executive Director. | Management | For | For | ||||||||||
17. | To reappoint Mr F Sijbesma as a Non-Executive Director. | Management | For | For | ||||||||||
18. | To appoint the Auditor charged with the auditing of the Annual Accounts for the 2020 financial year. | Management | For | For | ||||||||||
19. | To designate the Board of Directors as the company body authorised in respect of the issue of shares in the share capital of the Company. | Management | For | For | ||||||||||
20. | To designate the Board of Directors as the company body authorised to restrict or exclude the statutory pre- emption rights that accrue to shareholders upon issue of shares for general corporate purposes. | Management | For | For | ||||||||||
21. | To designate the Board of Directors as the company body authorised to restrict or exclude the statutory pre- emption rights that accrue to shareholders upon issue of shares for acquisition or specified capital investment purposes. | Management | For | For | ||||||||||
22. | To authorise the Board of Directors to purchase ordinary shares in the share capital of the Company. | Management | For | For | ||||||||||
23. | To reduce the capital with respect to ordinary shares held by the Company in its own share capital. | Management | For | For | ||||||||||
UNILEVER N.V. | ||||||||||||||
Security | 904784709 | Meeting Type | Annual | |||||||||||
Ticker Symbol | UN | Meeting Date | 30-Apr-2020 | |||||||||||
ISIN | US9047847093 | Agenda | 935175720 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
2. | To adopt the Annual Accounts and appropriation of the profit for the 2019 financial year. | Management | For | For | ||||||||||
3. | To consider, and if thought fit, approve the Directors' Remuneration Report. | Management | For | For | ||||||||||
4. | To discharge the Executive Directors. | Management | For | For | ||||||||||
5. | To discharge the Non-Executive Directors. | Management | For | For | ||||||||||
6. | To reappoint Mr N Andersen as a Non-Executive Director. | Management | For | For | ||||||||||
7. | To reappoint Mrs L Cha as a Non-Executive Director. | Management | For | For | ||||||||||
8. | To reappoint Mr V Colao as a Non-Executive Director. | Management | For | For | ||||||||||
9. | To reappoint Dr J Hartmann as a Non-Executive Director. | Management | For | For | ||||||||||
10. | To reappoint Mr A Jope as an Executive Director. | Management | For | For | ||||||||||
11. | To reappoint Ms A Jung as a Non-Executive Director. | Management | For | For | ||||||||||
12. | To reappoint Ms S Kilsby as a Non-Executive Director. | Management | For | For | ||||||||||
13. | To reappoint Mr S Masiyiwa as a Non-Executive Director. | Management | For | For | ||||||||||
14. | To reappoint Professor Y Moon as a Non-Executive Director. | Management | For | For | ||||||||||
15. | To reappoint Mr G Pitkethly as an Executive Director. | Management | For | For | ||||||||||
16. | To reappoint Mr J Rishton as a Non-Executive Director. | Management | For | For | ||||||||||
17. | To reappoint Mr F Sijbesma as a Non-Executive Director. | Management | For | For | ||||||||||
18. | To appoint the Auditor charged with the auditing of the Annual Accounts for the 2020 financial year. | Management | For | For | ||||||||||
19. | To designate the Board of Directors as the company body authorised in respect of the issue of shares in the share capital of the Company. | Management | For | For | ||||||||||
20. | To designate the Board of Directors as the company body authorised to restrict or exclude the statutory pre- emption rights that accrue to shareholders upon issue of shares for general corporate purposes. | Management | For | For | ||||||||||
21. | To designate the Board of Directors as the company body authorised to restrict or exclude the statutory pre- emption rights that accrue to shareholders upon issue of shares for acquisition or specified capital investment purposes. | Management | For | For | ||||||||||
22. | To authorise the Board of Directors to purchase ordinary shares in the share capital of the Company. | Management | For | For | ||||||||||
23. | To reduce the capital with respect to ordinary shares held by the Company in its own share capital. | Management | For | For | ||||||||||
ELI LILLY AND COMPANY | ||||||||||||||
Security | 532457108 | Meeting Type | Annual | |||||||||||
Ticker Symbol | LLY | Meeting Date | 04-May-2020 | |||||||||||
ISIN | US5324571083 | Agenda | 935148937 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: M. L. Eskew | Management | For | For | ||||||||||
1B. | Election of Director: W. G. Kaelin, Jr. | Management | For | For | ||||||||||
1C. | Election of Director: D. A. Ricks | Management | For | For | ||||||||||
1D. | Election of Director: M. S. Runge | Management | For | For | ||||||||||
1E. | Election of Director: K. Walker | Management | For | For | ||||||||||
2. | Approval, by non-binding vote, of the compensation paid to the company's named executive officers. | Management | For | For | ||||||||||
3. | Ratification of Ernst & Young LLP as the independent auditor for 2020. | Management | For | For | ||||||||||
4. | Approve amendments to the Articles of Incorporation to eliminate the classified board structure. | Management | For | For | ||||||||||
5. | Approve amendments to the Articles of Incorporation to eliminate supermajority voting provisions. | Management | For | For | ||||||||||
6. | Shareholder proposal to disclose direct and indirect lobbying activities and expenditures. | Shareholder | Abstain | Against | ||||||||||
7. | Shareholder proposal to publish a report on the effectiveness of the forced swim test. | Shareholder | Against | For | ||||||||||
8. | Shareholder proposal to amend the bylaws to require an independent board chair. | Shareholder | Against | For | ||||||||||
9. | Shareholder proposal on board diversity requesting disclosures of specific minimum qualifications and board nominee skills, experience, and ideological perspective. | Shareholder | Abstain | Against | ||||||||||
10. | Shareholder proposal to publish feasibility report on incorporating public concern over drug prices into senior executive compensation arrangements. | Shareholder | Abstain | Against | ||||||||||
11. | Shareholder proposal to implement a bonus deferral policy. | Shareholder | Against | For | ||||||||||
12. | Shareholder proposal to disclose clawbacks on executive incentive compensation due to misconduct. | Shareholder | Abstain | Against | ||||||||||
INVESCO MORTGAGE CAPITAL INC. | ||||||||||||||
Security | 46131B100 | Meeting Type | Annual | |||||||||||
Ticker Symbol | IVR | Meeting Date | 05-May-2020 | |||||||||||
ISIN | US46131B1008 | Agenda | 935141109 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1.1 | Election of Director: John S. Day | Management | For | For | ||||||||||
1.2 | Election of Director: Carolyn B. Handlon | Management | For | For | ||||||||||
1.3 | Election of Director: Edward J. Hardin | Management | For | For | ||||||||||
1.4 | Election of Director: James R. Lientz, Jr. | Management | For | For | ||||||||||
1.5 | Election of Director: Dennis P. Lockhart | Management | For | For | ||||||||||
1.6 | Election of Director: Gregory G. McGreevey | Management | For | For | ||||||||||
1.7 | Election of Director: Loren M. Starr | Management | For | For | ||||||||||
2. | Advisory vote to approve Company's 2019 executive compensation | Management | For | For | ||||||||||
3. | Appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2020 | Management | For | For | ||||||||||
VERIZON COMMUNICATIONS INC. | ||||||||||||||
Security | 92343V104 | Meeting Type | Annual | |||||||||||
Ticker Symbol | VZ | Meeting Date | 07-May-2020 | |||||||||||
ISIN | US92343V1044 | Agenda | 935148406 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1a. | Election of Director: Shellye L. Archambeau | Management | For | For | ||||||||||
1b. | Election of Director: Mark T. Bertolini | Management | For | For | ||||||||||
1c. | Election of Director: Vittorio Colao | Management | For | For | ||||||||||
1d. | Election of Director: Melanie L. Healey | Management | For | For | ||||||||||
1e. | Election of Director: Clarence Otis, Jr. | Management | For | For | ||||||||||
1f. | Election of Director: Daniel H. Schulman | Management | For | For | ||||||||||
1g. | Election of Director: Rodney E. Slater | Management | For | For | ||||||||||
1h. | Election of Director: Hans E. Vestberg | Management | For | For | ||||||||||
1i. | Election of Director: Gregory G. Weaver | Management | For | For | ||||||||||
2. | Advisory Vote to Approve Executive Compensation | Management | For | For | ||||||||||
3. | Ratification of Appointment of Independent Registered Public Accounting Firm | Management | For | For | ||||||||||
4. | Nonqualified Savings Plan Earnings | Shareholder | Against | For | ||||||||||
5. | Special Shareholder Meetings | Shareholder | Against | For | ||||||||||
6. | Lobbying Activities Report | Shareholder | Abstain | Against | ||||||||||
7. | User Privacy Metric | Shareholder | Against | For | ||||||||||
8. | Amend Severance Approval Policy | Shareholder | Against | For | ||||||||||
GOODRICH PETROLEUM CORPORATION | ||||||||||||||
Security | 382410843 | Meeting Type | Annual | |||||||||||
Ticker Symbol | GDP | Meeting Date | 12-May-2020 | |||||||||||
ISIN | US3824108431 | Agenda | 935186329 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1. | DIRECTOR | Management | ||||||||||||
1 | Walter G. Goodrich | For | For | |||||||||||
2 | Robert C. Turnham, Jr. | For | For | |||||||||||
3 | Timothy D. Leuliette | For | For | |||||||||||
4 | Ronald F. Coleman | For | For | |||||||||||
5 | K. Adam Leight | For | For | |||||||||||
6 | Thomas M. Souers | For | For | |||||||||||
7 | Jeffrey S. Serota | For | For | |||||||||||
8 | Edward J. Sondey | For | For | |||||||||||
2. | Ratify the selection of Moss Adams LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||
3. | Approve, on an advisory basis, the compensation of our Named Executive Officers. | Management | For | For | ||||||||||
CROWN CASTLE INTERNATIONAL CORP | ||||||||||||||
Security | 22822V101 | Meeting Type | Annual | |||||||||||
Ticker Symbol | CCI | Meeting Date | 14-May-2020 | |||||||||||
ISIN | US22822V1017 | Agenda | 935157823 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: P. Robert Bartolo | Management | For | For | ||||||||||
1B. | Election of Director: Jay A. Brown | Management | For | For | ||||||||||
1C. | Election of Director: Cindy Christy | Management | For | For | ||||||||||
1D. | Election of Director: Ari Q. Fitzgerald | Management | For | For | ||||||||||
1E. | Election of Director: Robert E. Garrison II | Management | For | For | ||||||||||
1F. | Election of Director: Andrea J. Goldsmith | Management | For | For | ||||||||||
1G. | Election of Director: Lee W. Hogan | Management | For | For | ||||||||||
1H. | Election of Director: Edward C. Hutcheson, Jr. | Management | For | For | ||||||||||
1I. | Election of Director: J. Landis Martin | Management | For | For | ||||||||||
1J. | Election of Director: Robert F. McKenzie | Management | For | For | ||||||||||
1K. | Election of Director: Anthony J. Melone | Management | For | For | ||||||||||
1L. | Election of Director: W. Benjamin Moreland | Management | For | For | ||||||||||
2. | The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accountants for fiscal year 2020. | Management | For | For | ||||||||||
3. | The non-binding, advisory vote to approve the compensation of the Company's named executive officers. | Management | For | For | ||||||||||
INTEL CORPORATION | ||||||||||||||
Security | 458140100 | Meeting Type | Annual | |||||||||||
Ticker Symbol | INTC | Meeting Date | 14-May-2020 | |||||||||||
ISIN | US4581401001 | Agenda | 935158635 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: James J. Goetz | Management | For | For | ||||||||||
1B. | Election of Director: Alyssa Henry | Management | For | For | ||||||||||
1C. | Election of Director: Omar Ishrak | Management | For | For | ||||||||||
1D. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | ||||||||||
1E. | Election of Director: Tsu-Jae King Liu | Management | For | For | ||||||||||
1F. | Election of Director: Gregory D. Smith | Management | For | For | ||||||||||
1G. | Election of Director: Robert ("Bob") H. Swan | Management | For | For | ||||||||||
1H. | Election of Director: Andrew Wilson | Management | For | For | ||||||||||
1I. | Election of Director: Frank D. Yeary | Management | For | For | ||||||||||
2. | Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2020 | Management | For | For | ||||||||||
3. | Advisory vote to approve executive compensation of our listed officers | Management | For | For | ||||||||||
4. | Approval of amendment and restatement of the 2006 Employee Stock Purchase Plan | Management | For | For | ||||||||||
5. | Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting | Shareholder | Against | For | ||||||||||
6. | Stockholder proposal requesting a report on the global median gender/racial pay gap, if properly presented at the meeting | Shareholder | Abstain | Against | ||||||||||
SBA COMMUNICATIONS CORPORATION | ||||||||||||||
Security | 78410G104 | Meeting Type | Annual | |||||||||||
Ticker Symbol | SBAC | Meeting Date | 14-May-2020 | |||||||||||
ISIN | US78410G1040 | Agenda | 935159221 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1.1 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Steven E. Bernstein | Management | For | For | ||||||||||
1.2 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Duncan H. Cocroft | Management | For | For | ||||||||||
1.3 | Election of Director For a three-year term expiring at the 2023 Annual Meeting: Fidelma Russo | Management | For | For | ||||||||||
2. | Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2020 fiscal year. | Management | For | For | ||||||||||
3. | Approval, on an advisory basis, of the compensation of SBA's named executive officers. | Management | For | For | ||||||||||
4. | Approval of the 2020 Performance and Equity Incentive Plan. | Management | Against | Against | ||||||||||
AMERICAN TOWER CORPORATION | ||||||||||||||
Security | 03027X100 | Meeting Type | Annual | |||||||||||
Ticker Symbol | AMT | Meeting Date | 18-May-2020 | |||||||||||
ISIN | US03027X1000 | Agenda | 935169450 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Thomas A. Bartlett | Management | For | For | ||||||||||
1B. | Election of Director: Raymond P. Dolan | Management | For | For | ||||||||||
1C. | Election of Director: Robert D. Hormats | Management | For | For | ||||||||||
1D. | Election of Director: Gustavo Lara Cantu | Management | For | For | ||||||||||
1E. | Election of Director: Grace D. Lieblein | Management | For | For | ||||||||||
1F. | Election of Director: Craig Macnab | Management | For | For | ||||||||||
1G. | Election of Director: JoAnn A. Reed | Management | For | For | ||||||||||
1H. | Election of Director: Pamela D.A. Reeve | Management | For | For | ||||||||||
1I. | Election of Director: David E. Sharbutt | Management | For | For | ||||||||||
1J. | Election of Director: Bruce L. Tanner | Management | For | For | ||||||||||
1K. | Election of Director: Samme L. Thompson | Management | For | For | ||||||||||
2. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||
3. | To approve, on an advisory basis, the Company's executive compensation. | Management | For | For | ||||||||||
4. | To require periodic reports on political contributions and expenditures. | Shareholder | Abstain | Against | ||||||||||
5. | To amend the bylaws to reduce the ownership threshold required to call a special meeting of the stockholders. | Shareholder | Against | For | ||||||||||
PAYPAL HOLDINGS, INC. | ||||||||||||||
Security | 70450Y103 | Meeting Type | Annual | |||||||||||
Ticker Symbol | PYPL | Meeting Date | 21-May-2020 | |||||||||||
ISIN | US70450Y1038 | Agenda | 935170869 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Rodney C. Adkins | Management | For | For | ||||||||||
1B. | Election of Director: Jonathan Christodoro | Management | For | For | ||||||||||
1C. | Election of Director: John J. Donahoe | Management | For | For | ||||||||||
1D. | Election of Director: David W. Dorman | Management | For | For | ||||||||||
1E. | Election of Director: Belinda J. Johnson | Management | For | For | ||||||||||
1F. | Election of Director: Gail J. McGovern | Management | For | For | ||||||||||
1G. | Election of Director: Deborah M. Messemer | Management | For | For | ||||||||||
1H. | Election of Director: David M. Moffett | Management | For | For | ||||||||||
1I. | Election of Director: Ann M. Sarnoff | Management | For | For | ||||||||||
1J. | Election of Director: Daniel H. Schulman | Management | For | For | ||||||||||
1K. | Election of Director: Frank D. Yeary | Management | For | For | ||||||||||
2. | Advisory vote to approve named executive officer compensation. | Management | For | For | ||||||||||
3. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2020. | Management | For | For | ||||||||||
4. | Stockholder Proposal - Stockholder right to act by written consent. | Shareholder | Against | For | ||||||||||
5. | Stockholder Proposal - Human and indigenous peoples' rights. | Shareholder | Abstain | Against | ||||||||||
SYNCHRONY FINANCIAL | ||||||||||||||
Security | 87165B103 | Meeting Type | Annual | |||||||||||
Ticker Symbol | SYF | Meeting Date | 21-May-2020 | |||||||||||
ISIN | US87165B1035 | Agenda | 935174095 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1a. | Election of Director: Margaret M. Keane | Management | For | For | ||||||||||
1b. | Election of Director: Fernando Aguirre | Management | For | For | ||||||||||
1c. | Election of Director: Paget L. Alves | Management | For | For | ||||||||||
1d. | Election of Director: Arthur W. Coviello, Jr. | Management | For | For | ||||||||||
1e. | Election of Director: William W. Graylin | Management | For | For | ||||||||||
1f. | Election of Director: Roy A. Guthrie | Management | For | For | ||||||||||
1g. | Election of Director: Richard C. Hartnack | Management | For | For | ||||||||||
1h. | Election of Director: Jeffrey G. Naylor | Management | For | For | ||||||||||
1i. | Election of Director: Laurel J. Richie | Management | For | For | ||||||||||
1j. | Election of Director: Olympia J. Snowe | Management | For | For | ||||||||||
1k. | Election of Director: Ellen M. Zane | Management | For | For | ||||||||||
2. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | ||||||||||
3. | Ratification of Selection of KPMG LLP as Independent Registered Public Accounting firm of the Company for 2020 | Management | For | For | ||||||||||
MERCK & CO., INC. | ||||||||||||||
Security | 58933Y105 | Meeting Type | Annual | |||||||||||
Ticker Symbol | MRK | Meeting Date | 26-May-2020 | |||||||||||
ISIN | US58933Y1055 | Agenda | 935176431 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: Leslie A. Brun | Management | For | For | ||||||||||
1B. | Election of Director: Thomas R. Cech | Management | For | For | ||||||||||
1C. | Election of Director: Mary Ellen Coe | Management | For | For | ||||||||||
1D. | Election of Director: Pamela J. Craig | Management | For | For | ||||||||||
1E. | Election of Director: Kenneth C. Frazier | Management | For | For | ||||||||||
1F. | Election of Director: Thomas H. Glocer | Management | For | For | ||||||||||
1G. | Election of Director: Risa Lavizzo-Mourey | Management | For | For | ||||||||||
1H. | Election of Director: Paul B. Rothman | Management | For | For | ||||||||||
1I. | Election of Director: Patricia F. Russo | Management | For | For | ||||||||||
1J. | Election of Director: Christine E. Seidman | Management | For | For | ||||||||||
1K. | Election of Director: Inge G. Thulin | Management | For | For | ||||||||||
1L. | Election of Director: Kathy J. Warden | Management | For | For | ||||||||||
1M. | Election of Director: Peter C. Wendell | Management | For | For | ||||||||||
2. | Non-binding advisory vote to approve the compensation of our named executive officers. | Management | For | For | ||||||||||
3. | Ratification of the appointment of the Company's independent registered public accounting firm for 2020. | Management | For | For | ||||||||||
4. | Shareholder proposal concerning shareholder right to act by written consent. | Shareholder | Against | For | ||||||||||
5. | Shareholder proposal regarding allocation of corporate tax savings. | Shareholder | Against | For | ||||||||||
CHEVRON CORPORATION | ||||||||||||||
Security | 166764100 | Meeting Type | Annual | |||||||||||
Ticker Symbol | CVX | Meeting Date | 27-May-2020 | |||||||||||
ISIN | US1667641005 | Agenda | 935183979 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1A. | Election of Director: W. M. Austin | Management | For | For | ||||||||||
1B. | Election of Director: J. B. Frank | Management | For | For | ||||||||||
1C. | Election of Director: A. P. Gast | Management | For | For | ||||||||||
1D. | Election of Director: E. Hernandez, Jr. | Management | For | For | ||||||||||
1E. | Election of Director: C. W. Moorman IV | Management | For | For | ||||||||||
1F. | Election of Director: D. F. Moyo | Management | For | For | ||||||||||
1G. | Election of Director: D. Reed-Klages | Management | For | For | ||||||||||
1H. | Election of Director: R. D. Sugar | Management | For | For | ||||||||||
1I. | Election of Director: D. J. Umpleby III | Management | For | For | ||||||||||
1J. | Election of Director: M. K. Wirth | Management | For | For | ||||||||||
2. | Ratification of Appointment of PwC as Independent Registered Public Accounting Firm | Management | For | For | ||||||||||
3. | Advisory Vote to Approve Named Executive Officer Compensation | Management | For | For | ||||||||||
4. | Report on Lobbying | Shareholder | Abstain | Against | ||||||||||
5. | Create a Board Committee on Climate Risk | Shareholder | Against | For | ||||||||||
6. | Report on Climate Lobbying | Shareholder | Abstain | Against | ||||||||||
7. | Report on Petrochemical Risk | Shareholder | Abstain | Against | ||||||||||
8. | Report on Human Rights Practices | Shareholder | Abstain | Against | ||||||||||
9. | Set Special Meeting Threshold at 10% | Shareholder | Against | For | ||||||||||
10. | Adopt Policy for an Independent Chairman | Shareholder | Against | For | ||||||||||
T-MOBILE US, INC. | ||||||||||||||
Security | 872590104 | Meeting Type | Annual | |||||||||||
Ticker Symbol | TMUS | Meeting Date | 04-Jun-2020 | |||||||||||
ISIN | US8725901040 | Agenda | 935192524 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1. | DIRECTOR | Management | ||||||||||||
1 | Marcelo Claure | For | For | |||||||||||
2 | Srikant M. Datar | For | For | |||||||||||
3 | Ronald D. Fisher | For | For | |||||||||||
4 | Srini Gopalan | For | For | |||||||||||
5 | Lawrence H. Guffey | For | For | |||||||||||
6 | Timotheus Höttges | For | For | |||||||||||
7 | Christian P. Illek | For | For | |||||||||||
8 | Stephen R. Kappes | For | For | |||||||||||
9 | Raphael Kübler | For | For | |||||||||||
10 | Thorsten Langheim | For | For | |||||||||||
11 | G. Michael Sievert | For | For | |||||||||||
12 | Teresa A. Taylor | For | For | |||||||||||
13 | Kelvin R. Westbrook | For | For | |||||||||||
2. | Ratification of the Appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2020. | Management | For | For | ||||||||||
3. | Advisory Vote to Approve the Compensation Provided to the Company's Named Executive Officers for 2019. | Management | For | For | ||||||||||
4. | Stockholder Proposal for Limitations on Accelerated Vesting of Equity Awards in the Event of a Change of Control. | Shareholder | Against | For | ||||||||||
EQUINIX, INC. | ||||||||||||||
Security | 29444U700 | Meeting Type | Annual | |||||||||||
Ticker Symbol | EQIX | Meeting Date | 18-Jun-2020 | |||||||||||
ISIN | US29444U7000 | Agenda | 935209014 - Management | |||||||||||
Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||
1. | DIRECTOR | Management | ||||||||||||
1 | Thomas Bartlett | For | For | |||||||||||
2 | Nanci Caldwell | For | For | |||||||||||
3 | Adaire Fox-Martin | For | For | |||||||||||
4 | Gary Hromadko | For | For | |||||||||||
5 | William Luby | For | For | |||||||||||
6 | Irving Lyons III | For | For | |||||||||||
7 | Charles Meyers | For | For | |||||||||||
8 | Christopher Paisley | For | For | |||||||||||
9 | Sandra Rivera | For | For | |||||||||||
10 | Peter Van Camp | For | For | |||||||||||
2. | To approve, by a non-binding advisory vote, the compensation of Equinix's named executive officers. | Management | For | For | ||||||||||
3. | To approve the Equinix, Inc. 2020 Equity Incentive Plan. | Management | For | For | ||||||||||
4. | To ratify the appointment of PricewaterhouseCoopers LLP as Equinix's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | ||||||||||
5. | Stockholder proposal related to political contributions disclosure and oversight. | Shareholder | Abstain | Against |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Registrant | Ellsworth Growth and Income Fund Ltd. |
By (Signature and Title)* | /s/ James A. Dinsmore |
James A. Dinsmore, Principal Executive Officer |
Date | August 21, 2020 |
*Print the name and title of each signing officer under his or her signature.