The Gabelli Convertible & Income Securities Fund Inc.
Bruce N. Alpert
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.
| Investment Company Report |
| | REMY COINTREAU SA | | |
| | Security | F7725A100 | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | Meeting Date | 23-Jul-2020 | |
| | ISIN | FR0000130395 | | | | Agenda | 712845948 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | 03 JUL 2020: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202006172002625-73
AND-https://www.journal-
officiel.gouv.fr/balo/document/202007032003017-80;
PLEASE-NOTE THAT THIS IS A REVISION DUE TO
ADDITION OF URL LINK. IF YOU HAVE ALREADY-
SENT IN YOUR VOTES, PLEASE DO NOT VOTE
AGAIN UNLESS YOU DECIDE TO AMEND YOUR-
ORIGINAL INSTRUCTIONS. THANK YOU. | Non-Voting | | | | | | |
| | O.1 | APPROVAL OF THE CORPORATE FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR 2019/2020 | Management | | No Action | | | | |
| | O.2 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR 2019/2020 | Management | | No Action | | | | |
| | O.3 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR
ENDED 31 MARCH 2020 AND SETTING OF THE
DIVIDEND | Management | | No Action | | | | |
| | O.4 | OPTION FOR THE PAYMENT OF THE DIVIDEND IN
SHARES | Management | | No Action | | | | |
| | O.5 | AGREEMENTS REFERRED TO IN ARTICLES L. 225-38
AND FOLLOWING OF THE FRENCH COMMERCIAL
CODE AUTHORIZED DURING THE PREVIOUS
FINANCIAL YEARS AND THE EXECUTION OF WHICH
CONTINUED DURING THE FINANCIAL YEAR
2019/2020 | Management | | No Action | | | | |
| | O.6 | APPROVAL OF THE REGULATED COMMITMENTS "
SEVERANCE PAY ", " NON-COMPETITION
INDEMNITY ", " DEFINED CONTRIBUTION PENSION
COMMITMENTS, DEFINED BENEFIT PENSION
COMMITMENTS AND DEATH, INCAPACITY FOR
WORK, DISABILITY AND HEALTH INSURANCE
COMMITMENTS " IN FAVOUR OF MR. ERIC VALLAT,
CHIEF EXECUTIVE OFFICER OF THE COMPANY,
PURSUANT TO ARTICLES L.225-42-1 AND L.225-38
AND FOLLOWING OF THE FRENCH COMMERCIAL
CODE AND THE CONDITIONS OF ALLOCATION | Management | | No Action | | | | |
| | O.7 | RENEWAL OF THE TERM OF OFFICE OF MRS.
DOMINIQUE HERIARD DUBREUIL AS DIRECTOR | Management | | No Action | | | | |
| | O.8 | RENEWAL OF THE TERM OF OFFICE OF MRS.
LAURE HERIARD DUBREUIL AS DIRECTOR | Management | | No Action | | | | |
| | O.9 | RENEWAL OF THE TERM OF OFFICE OF MR.
EMMANUEL DE GEUSER AS DIRECTOR | Management | | No Action | | | | |
| | O.10 | APPOINTMENT OF MAZARS FIRM, REPRESENTED
BY MR. JEROME DE PASTORS, AS PRINCIPAL
STATUTORY AUDITOR AS A REPLACEMENT FOR
AUDITEURS ET CONSEILS ASSOCIES FIRM AND
NON-RENEWAL AND NON-REPLACEMENT OF
PIMPANEAU ET ASSOCIES COMPANY AS DEPUTY
STATUTORY AUDITOR | Management | | No Action | | | | |
| | O.11 | APPROVAL OF THE PRINCIPLES AND CRITERIA FOR
DETERMINING, DISTRIBUTING AND ALLOCATING
THE ELEMENTS MAKING UP THE TOTAL
COMPENSATION AND BENEFITS OF ANY KIND
ATTRIBUTABLE TO THE CHAIRMAN OF THE BOARD
OF DIRECTORS, PURSUANT TO ARTICLE L.225-37-2
OF THE FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | O.12 | APPROVAL OF THE PRINCIPLES AND CRITERIA FOR
DETERMINING, DISTRIBUTING AND ALLOCATING
THE ELEMENTS MAKING UP THE TOTAL
COMPENSATION AND BENEFITS OF ANY KIND
ATTRIBUTABLE TO THE CHEF EXECUTIVE OFFICER,
PURSUANT TO ARTICLE L.225-37-2 OF THE FRENCH
COMMERCIAL CODE | Management | | No Action | | | | |
| | O.13 | APPROVAL OF THE COMPENSATION POLICY OF
DIRECTORS FOR THE FINANCIAL YEAR 2020/2021 | Management | | No Action | | | | |
| | O.14 | APPROVAL OF THE INFORMATION RELATING TO
THE COMPENSATION FOR THE FINANCIAL YEAR
2019/2020 OF THE CORPORATE OFFICERS
MENTIONED IN ARTICLE L.225-37-3 I OF THE
FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | O.15 | APPROVAL OF THE ELEMENTS MAKING UP THE
TOTAL COMPENSATION AND BENEFITS OF ANY
KIND PAID DURING OR AWARDED, FOR THE
FINANCIAL YEAR ENDED 31 MARCH 2020, TO MR.
MARC HERIARD DUBREUIL, CHAIRMAN OF THE
BOARD OF DIRECTORS, PURSUANT TO ARTICLE L.
225-100 OF THE FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | O.16 | APPROVAL OF THE ELEMENTS MAKING UP THE
TOTAL COMPENSATION AND BENEFITS OF ANY
KIND PAID DURING OR AWARDED TO MRS. VALERIE
CHAPOULAUD-FLOQUET, CHIEF EXECUTIVE
OFFICER, IN RESPECT OF THE FINANCIAL YEAR
ENDED 31 MARCH 2020, PURSUANT TO ARTICLE
L.225-100 OF THE FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | O.17 | APPROVAL OF THE ELEMENTS MAKING UP THE
TOTAL COMPENSATION AND BENEFITS OF ANY
KIND PAID DURING OR AWARDED TO MR. ERIC
VALLAT, CHIEF EXECUTIVE OFFICER, IN RESPECT
OF THE FINANCIAL YEAR ENDED 31 MARCH 2020,
PURSUANT TO ARTICLE L.225-100 OF THE FRENCH
COMMERCIAL CODE | Management | | No Action | | | | |
| | O.18 | COMPENSATION OF DIRECTORS | Management | | No Action | | | | |
| | O.19 | AUTHORIZATION FOR THE BOARD OF DIRECTORS
TO TRADE IN THE COMPANY'S SHARES UNDER THE
PROVISIONS OF ARTICLES L. 225-209 AND
FOLLOWING OF THE FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | E.20 | AUTHORIZATION FOR THE BOARD OF DIRECTORS
TO REDUCE THE SHARE CAPITAL BY CANCELLING
TREASURY SHARES HELD BY THE COMPANY | Management | | No Action | | | | |
| | E.21 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO ISSUE COMMON SHARES AND/OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE COMPANY'S CAPITAL AND/OR
TRANSFERABLE SECURITIES GRANTING
ENTITLEMENT TO THE ALLOCATION OF DEBT
SECURITIES, WITH RETENTION OF THE
SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION
RIGHT | Management | | No Action | | | | |
| | E.22 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO ISSUE COMMON SHARES AND/OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE COMPANY'S CAPITAL AND/OR
TRANSFERABLE SECURITIES GRANTING
ENTITLEMENT TO THE ALLOCATION OF DEBT
SECURITIES, WITH CANCELLATION OF THE
SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION
RIGHT, BY WAY OF A PUBLIC OFFERING | Management | | No Action | | | | |
| | E.23 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO ISSUE COMMON SHARES AND/OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE CAPITAL AND/OR TRANSFERABLE
SECURITIES GRANTING ENTITLEMENT TO THE
ALLOCATION OF DEBT SECURITIES, WITH
CANCELLATION OF THE SHAREHOLDERS' PRE-
EMPTIVE SUBSCRIPTION RIGHT, BY WAY OF
PRIVATE PLACEMENTS AS REFERRED TO IN
SECTION 1DECREE OF ARTICLE L.411-2 OF THE
FRENCH MONETARY AND FINANCIAL CODE | Management | | No Action | | | | |
| | E.24 | AUTHORIZATION TO THE BOARD OF DIRECTORS TO
INCREASE THE NUMBER OF SECURITIES TO BE
ISSUED IN THE EVENT OF OVERSUBSCRIPTION,
WITHIN THE LIMIT OF 15% OF THE INITIAL ISSUE,
WITH RETENTION OR CANCELLATION OF THE
SHAREHOLDERS' PRE-EMPTIVE SUBSCRIPTION
RIGHT | Management | | No Action | | | | |
| | E.25 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO SET THE ISSUE PRICE OF
SECURITIES TO BE ISSUED, WITH CANCELLATION
OF THE SHAREHOLDERS' PRE-EMPTIVE
SUBSCRIPTION RIGHT, BY PUBLIC OFFERING OR
PRIVATE PLACEMENT, WITHIN THE LIMIT OF 10% OF
THE CAPITAL PER YEAR | Management | | No Action | | | | |
| | E.26 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO ISSUE COMMON SHARES AND/OR
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE CAPITAL AND/OR TRANSFERABLE
SECURITIES GRANTING ENTITLEMENT TO THE
ALLOCATION OF DEBT SECURITIES, WITH
CANCELLATION OF THE SHAREHOLDERS' PRE-
EMPTIVE SUBSCRIPTION RIGHT, IN THE EVENT OF
A PUBLIC EXCHANGE OFFER INITIATED BY THE
COMPANY | Management | | No Action | | | | |
| | E.27 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO ISSUE COMMON SHARES AND
TRANSFERABLE SECURITIES GRANTING ACCESS
TO THE CAPITAL IN ORDER TO REMUNERATE
CONTRIBUTIONS IN KIND GRANTED TO THE
COMPANY, WITHIN THE LIMIT OF 10% OF THE
CAPITAL | Management | | No Action | | | | |
| | E.28 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO INCREASE THE CAPITAL BY
CAPITALIZATION OF RESERVES, PROFITS OR
PREMIUMS | Management | | No Action | | | | |
| | E.29 | DELEGATION OF AUTHORITY TO THE BOARD OF
DIRECTORS TO PROCEED WITH A CAPITAL
INCREASE RESERVED FOR EMPLOYEES OF THE
COMPANY OR ITS RELATED COMPANIES, WITH
CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT | Management | | No Action | | | | |
| | E.30 | POWERS TO CARRY OUT FORMALITIES | Management | | No Action | | | | |
| | CINCINNATI BELL INC. | | |
| | Security | 171871403 | | | | Meeting Type | Annual |
| | Ticker Symbol | CBBPRB | | | | Meeting Date | 24-Sep-2020 | |
| | ISIN | US1718714033 | | | | Agenda | 935257217 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for one-year term expiring in 2021:
Meredith J. Ching | Management | | For | | For | | |
| | 1B. | Election of Director for one-year term expiring in 2021:
Walter A. Dods, Jr. | Management | | For | | For | | |
| | 1C. | Election of Director for one-year term expiring in 2021:
John W. Eck | Management | | For | | For | | |
| | 1D. | Election of Director for one-year term expiring in 2021:
Leigh R. Fox | Management | | For | | For | | |
| | 1E. | Election of Director for one-year term expiring in 2021:
Jakki L. Haussler | Management | | For | | For | | |
| | 1F. | Election of Director for one-year term expiring in 2021:
Craig F. Maier | Management | | For | | For | | |
| | 1G. | Election of Director for one-year term expiring in 2021:
Russel P. Mayer | Management | | For | | For | | |
| | 1H. | Election of Director for one-year term expiring in 2021:
Theodore H. Torbeck | Management | | For | | For | | |
| | 1I. | Election of Director for one-year term expiring in 2021:
Lynn A. Wentworth | Management | | For | | For | �� | |
| | 1J. | Election of Director for one-year term expiring in 2021:
Martin J. Yudkovitz | Management | | For | | For | | |
| | 2. | Approval, by a non-binding advisory vote, of our
executive officers' compensation. | Management | | For | | For | | |
| | 3. | Ratification of our Audit and Finance Committee's
appointment of our independent registered public
accounting firm for 2020. | Management | | For | | For | | |
| | ALIBABA GROUP HOLDING LIMITED | | |
| | Security | 01609W102 | | | | Meeting Type | Annual |
| | Ticker Symbol | BABA | | | | Meeting Date | 30-Sep-2020 | |
| | ISIN | US01609W1027 | | | | Agenda | 935265086 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | Amend and restate the Company's Memorandum and
Articles of Association to expressly permit completely
virtual shareholders' meetings and reflect such updates
as are detailed in the proxy statement and set forth in
Exhibit A thereto. | Management | | For | | For | | |
| | 2.1 | Election of Director: MAGGIE WEI WU (To serve for a
three year term or until such director's successor is
elected or appointed and duly qualified). | Management | | For | | For | | |
| | 2.2 | Election of Director: KABIR MISRA (To serve for a three
year term or until such director's successor is elected or
appointed and duly qualified). | Management | | For | | For | | |
| | 2.3 | Election of Director: WALTER TEH MING KWAUK (To
serve for a three year term or until such director's
successor is elected or appointed and duly qualified). | Management | | For | | For | | |
| | 3. | Ratify the appointment of PricewaterhouseCoopers as
the independent registered public accounting firm of the
Company for the fiscal year ending March 31, 2021. | Management | | For | | For | | |
| | NATIONAL GENERAL HOLDINGS CORP. | | |
| | Security | 636220303 | | | | Meeting Type | Special |
| | Ticker Symbol | NGHC | | | | Meeting Date | 30-Sep-2020 | |
| | ISIN | US6362203035 | | | | Agenda | 935267434 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | To adopt the Agreement and Plan of Merger, dated as of
July 7, 2020 (as it may be amended from time to time, the
"Merger Agreement"), by and among National General
Holdings Corp., a Delaware corporation (the "Company"),
The Allstate Corporation, a Delaware corporation
("Parent"), and Bluebird Acquisition Corp., a Delaware
corporation and an indirect wholly owned subsidiary of
Parent ("Merger Sub"), pursuant to which, subject to the
satisfaction of customary closing conditions, Merger Sub
will be merged with and into the Company (the "Merger"). | Management | | For | | For | | |
| | 2. | To approve, on a non-binding, advisory basis, the
compensation payments that will or may be paid or
become payable to the Company's named executive
officers and that are based on or otherwise relate to the
Merger and the agreements and understandings
pursuant to which such compensation will or may be paid
or become payable. | Management | | For | | For | | |
| | 3. | To approve the adjournment of the special meeting, if
necessary or appropriate, including to solicit additional
proxies if there are insufficient votes at the time of the
special meeting to approve the proposal to adopt the
Merger Agreement or in the absence of a quorum. | Management | | For | | For | | |
| | JULIUS BAER GRUPPE AG | | |
| | Security | H4414N103 | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | Meeting Date | 02-Nov-2020 | |
| | ISIN | CH0102484968 | | | | Agenda | 713180331 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1 | APPROVE ALLOCATION OF INCOME AND DIVIDENDS
OF CHF 0.75 PER SHARE | Management | | No Action | | | | |
| | SUNRISE COMMUNICATIONS GROUP AG | | |
| | Security | H8365C107 | | | | Meeting Type | ExtraOrdinary General Meeting |
| | Ticker Symbol | | | | | Meeting Date | 09-Nov-2020 | |
| | ISIN | CH0565630669 | | | | Agenda | 713247648 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1.1.1 | ELECT MIKE FRIES AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.2 | ELECT BAPTIEST COOPMANS AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.3 | ELECT MIRANDA CURTIS AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.4 | ELECT MANUEL KOHNSTAMM AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.5 | ELECT ANDREA SALVATO AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.6 | ELECT MARISA DREW AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.7 | ELECT THOMAS MEYER AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.8 | ELECT JOSEPH DEISS AS DIRECTOR | Management | | No Action | | | | |
| | 1.1.9 | ELECT MIKE FRIES AS BOARD CHAIRMAN | Management | | No Action | | | | |
| | 1.2.1 | APPOINT MIRANDA CURTIS AS MEMBER OF THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 1.2.2 | APPOINT MANUEL KOHNSTAMM AS MEMBER OF
THE COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 1.2.3 | APPOINT ANDREA SALVATO AS MEMBER OF THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 1.2.4 | APPOINT MIRANDA CURTIS AS CHAIRMAN OF THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 2 | APPROVE DELISTING OF SHARES FROM SIX SWISS
EXCHANGE | Management | | No Action | | | | |
| | PERNOD RICARD SA | | |
| | Security | F72027109 | | | | Meeting Type | MIX |
| | Ticker Symbol | | | | | Meeting Date | 27-Nov-2020 | |
| | ISIN | FR0000120693 | | | | Agenda | 713260583 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | THE FOLLOWING APPLIES TO SHAREHOLDERS
THAT DO NOT HOLD SHARES DIRECTLY WITH A-
FRENCH CUSTODIAN: PROXY CARDS: VOTING
INSTRUCTIONS WILL BE FORWARDED TO THE-
GLOBAL CUSTODIANS ON THE VOTE DEADLINE
DATE. IN CAPACITY AS REGISTERED-
INTERMEDIARY, THE GLOBAL CUSTODIANS WILL
SIGN THE PROXY CARDS AND FORWARD-THEM TO
THE LOCAL CUSTODIAN. IF YOU REQUEST MORE
INFORMATION, PLEASE CONTACT-YOUR CLIENT
REPRESENTATIVE. | Non-Voting | | | | | | |
| | CMMT | FOLLOWING CHANGES IN THE FORMAT OF PROXY
CARDS FOR FRENCH MEETINGS, ABSTAIN-IS NOW
A VALID VOTING OPTION. FOR ANY ADDITIONAL
ITEMS RAISED AT THE MEETING-THE VOTING
OPTION WILL DEFAULT TO 'AGAINST', OR FOR
POSITIONS WHERE THE PROXY-CARD IS NOT
COMPLETED BY BROADRIDGE, TO THE
PREFERENCE OF YOUR CUSTODIAN. | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | CMMT | 09 NOV 2020: PLEASE NOTE THAT IMPORTANT
ADDITIONAL MEETING INFORMATION IS-AVAILABLE
BY CLICKING ON THE MATERIAL URL LINK:-
https://www.journal-
officiel.gouv.fr/balo/document/202010232004301-128
AND-https://www.journal-
officiel.gouv.fr/balo/document/202011092004473-135;-
PLEASE NOTE THAT THIS IS A REVISION DUE TO
ADDITION OF URL LINK IN COMMENT.-IF YOU HAVE
ALREADY SENT IN YOUR VOTES, PLEASE DO NOT
VOTE AGAIN UNLESS YOU-DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU | Non-Voting | | | | | | |
| | 1 | MODIFICATION OF ARTICLES 35 AND 36 OF THE
BYLAWS ON THE INCLUSION OF ABSTENTION,
BLANK AND NULL VOTES FOR THE CALCULATION
OF THE MAJORITY AT GENERAL MEETINGS IN
ACCORDANCE WITH THE SOILIHI LAW | Management | | No Action | | | | |
| | 2 | APPROVAL OF THE CORPORATE FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 30
JUNE 2020 - ACKNOWLEDGEMENT OF THE TOTAL
AMOUNT OF EXPENSES AND CHARGES REFERRED
TO IN PARAGRAPH 4 OF ARTICLE 39 OF THE
FRENCH GENERAL TAX CODE | Management | | No Action | | | | |
| | 3 | APPROVAL OF THE CONSOLIDATED FINANCIAL
STATEMENTS FOR THE FINANCIAL YEAR ENDED 30
JUNE 2020 | Management | | No Action | | | | |
| | 4 | ALLOCATION OF INCOME FOR THE FINANCIAL YEAR
ENDED 30 JUNE 2020 AND SETTING OF THE
DIVIDEND | Management | | No Action | | | | |
| | 5 | RENEWAL OF THE TERM OF OFFICE OF MR.
ALEXANDRE RICARD AS DIRECTOR | Management | | No Action | | | | |
| | 6 | RENEWAL OF THE TERM OF OFFICE OF MR. CESAR
GIRON AS DIRECTOR | Management | | No Action | | | | |
| | 7 | RENEWAL OF THE TERM OF OFFICE OF MR.
WOLFGANG COLBERG AS DIRECTOR | Management | | No Action | | | | |
| | 8 | APPOINTMENT OF MRS. VIRGINIE FAUVEL AS
DIRECTOR | Management | | No Action | | | | |
| | 9 | SETTING OF THE ANNUAL AMOUNT OF
COMPENSATION ALLOCATED TO MEMBERS OF THE
BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 10 | APPROVAL OF THE COMPENSATION ELEMENTS
PAID OR ALLOCATED DURING THE FINANCIAL YEAR
2019/20 TO MR. ALEXANDRE RICARD, CHAIRMAN
AND CHIEF EXECUTIVE OFFICER | Management | | No Action | | | | |
| | 11 | APPROVAL OF THE COMPENSATION ELEMENTS
PAID OR ALLOCATED DURING THE FINANCIAL YEAR
2019/20 TO THE CORPORATE OFFICERS | Management | | No Action | | | | |
| | 12 | APPROVAL OF THE ELEMENTS OF THE
COMPENSATION POLICY APPLICABLE TO MR.
ALEXANDRE RICARD, CHAIRMAN AND CHIEF
EXECUTIVE OFFICER | Management | | No Action | | | | |
| | 13 | APPROVAL OF THE ELEMENTS OF THE
COMPENSATION POLICY APPLICABLE TO
CORPORATE OFFICERS | Management | | No Action | | | | |
| | 14 | APPROVAL OF THE REGULATED AGREEMENTS
REFERRED TO IN ARTICLES L. 225-38 AND
FOLLOWING OF THE FRENCH COMMERCIAL CODE | Management | | No Action | | | | |
| | 15 | AUTHORIZATION TO BE GRANTED TO THE BOARD
OF DIRECTORS IN ORDER TO TRADE IN THE
COMPANY'S SHARES | Management | | No Action | | | | |
| | 16 | RATIFICATION OF THE DECISION OF THE BOARD OF
DIRECTORS TO TRANSFER THE REGISTERED
OFFICE OF THE COMPANY AND OF THE
AMENDMENT TO ARTICLE 4 "REGISTERED OFFICE"
OF THE BYLAWS RELATING THERETO | Management | | No Action | | | | |
| | 17 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO DECIDE TO
INCREASE THE SHARE CAPITAL WITHIN THE LIMIT
OF 2% OF THE SHARE CAPITAL BY ISSUING
SHARES OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL, RESERVED
FOR MEMBERS OF COMPANY SAVINGS PLANS
WITH CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT IN FAVOUR OF THE LATTER | Management | | No Action | | | | |
| | 18 | DELEGATION OF AUTHORITY TO BE GRANTED TO
THE BOARD OF DIRECTORS TO DECIDE TO
INCREASE THE SHARE CAPITAL WITHIN THE LIMIT
OF 2% OF THE SHARE CAPITAL BY ISSUING
SHARES OR TRANSFERABLE SECURITIES
GRANTING ACCESS TO THE CAPITAL IN FAVOUR OF
CATEGORY S OF DESIGNATED BENEFICIARIES
WITH CANCELLATION OF THE PRE-EMPTIVE
SUBSCRIPTION RIGHT FOR THE BENEFIT OF THE
LATTER | Management | | No Action | | | | |
| | 19 | AMENDMENT TO ARTICLE 21 OF THE BYLAWS
"MEETINGS" IN ORDER TO INTRODUCE THE
POSSIBILITY FOR THE BOARD OF DIRECTORS TO
TAKE DECISIONS BY WRITTEN CONSULTATION
UNDER THE CONDITIONS SET BY LAW SOILIHI LAW | Management | | No Action | | | | |
| | 20 | MODIFICATION OF ARTICLES 25 "REMUNERATION
OF BOARD MEMBERS", 28 "CENSORS" AND 35
"ORDINARY GENERAL MEETINGS" OF THE BYLAWS
IN ORDER TO REPLACE THE TERM "ATTENDANCE
FEES" BY THAT OF "REMUNERATION" IN
ACCORDANCE WITH THE PACTE LAW | Management | | No Action | | | | |
| | 21 | POWERS TO CARRY OUT ALL LEGAL FORMALITIES | Management | | No Action | | | | |
| | CMMT | 29 OCT 2020: PLEASE NOTE THAT IF YOU HOLD
CREST DEPOSITORY INTERESTS ("CDIs")-AND
PARTICIPATE AT THIS MEETING, YOU (OR YOUR
CREST SPONSORED-MEMBER/CUSTODIAN) WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT-CDIs TO THE ESCROW ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE-CREST SYSTEM. THIS TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST-SYSTEM DEADLINE. ONCE THIS TRANSFER
HAS SETTLED, THE CDIs WILL BE BLOCKED IN-THE
CREST SYSTEM. THE CDIs WILL BE RELEASED
FROM ESCROW AS SOON AS-PRACTICABLE ON THE
BUSINESS DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE-SPECIFIED. IN ORDER FOR A VOTE TO
BE ACCEPTED, THE VOTED POSITION MUST BE-
BLOCKED IN THE REQUIRED ESCROW ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS-
MEETING, YOUR CREST SPONSORED
MEMBER/CUSTODIAN MAY USE YOUR VOTE
INSTRUCTION-AS THE AUTHORIZATION TO TAKE
THE NECESSARY ACTION WHICH WILL INCLUDE- | Non-Voting | | | | | | |
| | | TRANSFERRING YOUR INSTRUCTED POSITION TO
ESCROW. PLEASE CONTACT YOUR CREST-
SPONSORED MEMBER/CUSTODIAN DIRECTLY FOR
FURTHER INFORMATION ON THE CUSTODY-
PROCESS AND WHETHER OR NOT THEY REQUIRE
SEPARATE INSTRUCTIONS FROM YOU. | | | | | | | | | |
| | COSTCO WHOLESALE CORPORATION | | |
| | Security | 22160K105 | | | | Meeting Type | Annual |
| | Ticker Symbol | COST | | | | Meeting Date | 21-Jan-2021 | |
| | ISIN | US22160K1051 | | | | Agenda | 935312796 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Susan L. Decker | | | | For | | For | | |
| | | 2 | Kenneth D. Denman | | | | For | | For | | |
| | | 3 | Richard A. Galanti | | | | For | | For | | |
| | | 4 | W. Craig Jelinek | | | | For | | For | | |
| | | 5 | Sally Jewell | | | | For | | For | | |
| | | 6 | Charles T. Munger | | | | For | | For | | |
| | | 7 | Jeffrey S. Raikes | | | | For | | For | | |
| | 2. | Ratification of selection of independent auditors. | Management | | For | | For | | |
| | 3. | Approval, on an advisory basis, of executive
compensation. | Management | | For | | For | | |
| | SWISSCOM AG | | |
| | Security | H8398N104 | | | | Meeting Type | Ordinary General Meeting |
| | Ticker Symbol | | | | | Meeting Date | 31-Mar-2021 | |
| | ISIN | CH0008742519 | | | | Agenda | 713621969 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1.1 | APPROVAL OF THE MANAGEMENT REPORT, THE
CONSOLIDATED FINANCIAL STATEMENTS AND THE
FINANCIAL STATEMENTS OF SWISSCOM LTD FOR
THE FINANCIAL YEAR 2020 | Management | | No Action | | | | |
| | 1.2 | CONSULTATIVE VOTE ON THE REMUNERATION
REPORT 2020 | Management | | No Action | | | | |
| | 2 | APPROPRIATION OF THE RETAINED EARNINGS 2020
AND DECLARATION OF DIVIDEND: THE BOARD OF
DIRECTORS PROPOSES TO THE SHAREHOLDERS'
MEETING A DIVIDEND OF CHF 22 GROSS PER
SHARE (PRIOR YEAR: CHF 22). THE TOTAL
DIVIDEND OF APPROX. CHF 1,140 MILLION IS BASED
ON A PORTFOLIO OF 51,800,516 SHARES WITH A
DIVIDEND ENTITLEMENT (AS OF 31 DECEMBER
2020). SUBJECT TO THE APPROVAL OF THE
PROPOSAL BY THE SHAREHOLDERS' MEETING, | Management | | No Action | | | | |
| | | AFTER DEDUCTING FEDERAL WITHHOLDING TAX
OF 35%, A NET DIVIDEND OF CHF 14.30 PER SHARE
WILL BE PAID OUT ON 8 APRIL 2021. THE LAST
TRADING DAY WITH ENTITLEMENT TO RECEIVE A
DIVIDEND IS 1 APRIL 2021. AS OF 6 APRIL 2021, THE
SHARES WILL BE TRADED EX DIVIDEND | | | | | | | | | |
| | 3 | DISCHARGE OF THE MEMBERS OF THE BOARD OF
DIRECTORS AND THE GROUP EXECUTIVE BOARD | Management | | No Action | | | | |
| | 4.1 | RE-ELECTION OF ROLAND ABT TO THE BOARD OF
DIRECTORS | Management | | No Action | | | | |
| | 4.2 | RE-ELECTION OF ALAIN CARRUPT TO THE BOARD
OF DIRECTORS | Management | | No Action | | | | |
| | 4.3 | ELECTION OF GUUS DEKKERS TO THE BOARD OF
DIRECTORS | Management | | No Action | | | | |
| | 4.4 | RE-ELECTION OF FRANK ESSER TO THE BOARD OF
DIRECTORS | Management | | No Action | | | | |
| | 4.5 | RE-ELECTION OF BARBARA FREI TO THE BOARD OF
DIRECTORS | Management | | No Action | | | | |
| | 4.6 | RE-ELECTION OF SANDRA LATHION-ZWEIFEL TO
THE BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 4.7 | RE-ELECTION OF ANNA MOSSBERG TO THE BOARD
OF DIRECTORS | Management | | No Action | | | | |
| | 4.8 | RE-ELECTION OF MICHAEL RECHSTEINER TO THE
BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 4.9 | ELECTION OF MICHAEL RECHSTEINER AS
CHAIRMAN TO THE BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 5.1 | RE-ELECTION OF ROLAND ABT TO THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 5.2 | RE-ELECTION OF FRANK ESSER TO THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 5.3 | RE-ELECTION OF BARBARA FREI TO THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 5.4 | ELECTION OF MICHAEL RECHSTEINER TO THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 5.5 | RE-ELECTION OF RENZO SIMONI TO THE
COMPENSATION COMMITTEE | Management | | No Action | | | | |
| | 6.1 | APPROVAL OF THE TOTAL REMUNERATION OF THE
MEMBERS OF THE BOARD OF DIRECTORS FOR
2022 | Management | | No Action | | | | |
| | 6.2 | APPROVAL OF THE TOTAL REMUNERATION OF THE
MEMBERS OF THE GROUP EXECUTIVE BOARD FOR
2022 | Management | | No Action | | | | |
| | 7 | RE-ELECTION OF THE INDEPENDENT PROXY: THE
BOARD OF DIRECTORS PROPOSES THAT THE LAW
FIRM REBER RECHTSANWALTE, ZURICH, BE RE-
ELECTED AS INDEPENDENT PROXY FOR THE
PERIOD OF TIME UNTIL THE CONCLUSION OF THE
NEXT ORDINARY SHAREHOLDERS' MEETING | Management | | No Action | | | | |
| | 8 | RE-ELECTION OF THE STATUTORY AUDITORS: THE
BOARD OF DIRECTORS PROPOSES THAT
PRICEWATERHOUSECOOPERS AG, ZURICH, BE RE-
ELECTED AS STATUTORY AUDITORS FOR THE 2021
FINANCIAL YEAR | Management | | No Action | | | | |
| | SWEDISH MATCH AB | | |
| | Security | W92277115 | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | Meeting Date | 13-Apr-2021 | |
| | ISIN | SE0000310336 | | | | Agenda | 713666242 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT THIS IS AN AMENDMENT TO
MEETING ID 526921 DUE TO CHANGE IN-VOTING
STATUS FOR RESOLUTION 6. ALL VOTES RECEIVED
ON THE PREVIOUS MEETING-WILL BE
DISREGARDED AND YOU WILL NEED TO
REINSTRUCT ON THIS MEETING NOTICE.-THANK
YOU | Non-Voting | | | | | | |
| | CMMT | INTERMEDIARY CLIENTS ONLY - PLEASE NOTE
THAT IF YOU ARE CLASSIFIED AS AN-
INTERMEDIARY CLIENT UNDER THE SHAREHOLDER
RIGHTS DIRECTIVE II, YOU SHOULD BE-PROVIDING
THE UNDERLYING SHAREHOLDER INFORMATION
AT THE VOTE INSTRUCTION-LEVEL. IF YOU ARE
UNSURE ON HOW TO PROVIDE THIS LEVEL OF
DATA TO BROADRIDGE-OUTSIDE OF PROXYEDGE,
PLEASE SPEAK TO YOUR DEDICATED CLIENT
SERVICE-REPRESENTATIVE FOR ASSISTANCE | Non-Voting | | | | | | |
| | CMMT | AN ABSTAIN VOTE CAN HAVE THE SAME EFFECT AS
AN AGAINST VOTE IF THE MEETING-REQUIRES
APPROVAL FROM THE MAJORITY OF PARTICIPANTS
TO PASS A RESOLUTION | Non-Voting | | | | | | |
| | CMMT | MARKET RULES REQUIRE DISCLOSURE OF
BENEFICIAL OWNER INFORMATION FOR ALL
VOTED-ACCOUNTS. IF AN ACCOUNT HAS MULTIPLE
BENEFICIAL OWNERS, YOU WILL NEED TO-PROVIDE
THE BREAKDOWN OF EACH BENEFICIAL OWNER
NAME, ADDRESS AND SHARE-POSITION TO YOUR
CLIENT SERVICE REPRESENTATIVE. THIS
INFORMATION IS REQUIRED-IN ORDER FOR YOUR
VOTE TO BE LODGED | Non-Voting | | | | | | |
| | CMMT | IMPORTANT MARKET PROCESSING REQUIREMENT:
A BENEFICIAL OWNER SIGNED POWER OF-
ATTORNEY (POA) IS REQUIRED IN ORDER TO
LODGE AND EXECUTE YOUR VOTING-
INSTRUCTIONS IN THIS MARKET. ABSENCE OF A
POA, MAY CAUSE YOUR INSTRUCTIONS TO-BE
REJECTED. IF YOU HAVE ANY QUESTIONS, PLEASE
CONTACT YOUR CLIENT SERVICE-
REPRESENTATIVE | Non-Voting | | | | | | |
| | CMMT | PLEASE NOTE THAT SHAREHOLDER DETAILS ARE
REQUIRED TO VOTE AT THIS MEETING. IF-NO
SHAREHOLDER DETAILS ARE PROVIDED, YOUR
INSTRUCTION MAY CARRY A HEIGHTENED-RISK OF
BEING REJECTED. THANK YOU | Non-Voting | | | | | | |
| | 1 | ELECTION OF THE CHAIRMAN OF THE MEETING | Non-Voting | | | | | | |
| | 2 | PREPARATION AND APPROVAL OF THE VOTING
LIST | Non-Voting | | | | | | |
| | 3 | ELECTION OF TWO PERSONS TO VERIFY THE
MINUTES: PETER LUNDKVIST AND FILIPPA-
GERSTADT | Non-Voting | | | | | | |
| | 4 | DETERMINATION OF WHETHER THE MEETING HAS
BEEN DULY CONVENED | Non-Voting | | | | | | |
| | 5 | APPROVAL OF THE AGENDA | Non-Voting | | | | | | |
| | 6 | RESOLUTION ON THE REMUNERATION REPORT | Management | | No Action | | | | |
| | 7 | RESOLUTION ON ADOPTION OF THE INCOME
STATEMENT AND BALANCE SHEET AND OF THE
CONSOLIDATED INCOME STATEMENT AND
CONSOLIDATED BALANCE SHEET | Management | | No Action | | | | |
| | 8 | RESOLUTION REGARDING ALLOCATION OF THE
COMPANY'S PROFIT IN ACCORDANCE WITH THE
ADOPTED BALANCE SHEET AND RESOLUTION ON A
RECORD DAY FOR DIVIDEND | Management | | No Action | | | | |
| | 9.A | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: CHARLES A. BLIXT | Management | | No Action | | | | |
| | 9.B | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: ANDREW CRIPPS | Management | | No Action | | | | |
| | 9.C | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: JACQUELINE HOOGERBRUGGE | Management | | No Action | | | | |
| | 9.D | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: CONNY CARLSSON | Management | | No Action | | | | |
| | 9.E | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: ALEXANDER LACIK | Management | | No Action | | | | |
| | 9.F | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: PAULINE LINDWALL | Management | | No Action | | | | |
| | 9.G | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: WENCHE ROLFSEN | Management | | No Action | | | | |
| | 9.H | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: JOAKIM WESTH | Management | | No Action | | | | |
| | 9.I | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: PATRIK ENGELBREKTSSON | Management | | No Action | | | | |
| | 9.J | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: PAR-OLA OLAUSSON | Management | | No Action | | | | |
| | 9.K | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE BOARD MEMBER
FOR 2020: DRAGAN POPOVIC | Management | | No Action | | | | |
| | 9.L | RESOLUTION REGARDING DISCHARGE FROM
LIABILITY IN RESPECT OF THE PRESIDENT FOR
2020: LARS DAHLGREN (AS THE PRESIDENT) | Management | | No Action | | | | |
| | 10 | RESOLUTION REGARDING THE NUMBER OF
MEMBERS OF THE BOARD OF DIRECTORS TO BE
ELECTED BY THE MEETING: EIGHT | Management | | No Action | | | | |
| | CMMT | PLEASE NOTE THAT RESOLUTIONS 11 TO 14 ARE
PROPOSED BY NOMINATING COMMITTEE-AND
BOARD DOES NOT MAKE ANY RECOMMENDATION
ON THESE PROPOSALS. THE STANDING-
INSTRUCTIONS ARE DISABLED FOR THIS MEETING | Non-Voting | | | | | | |
| | 11 | RESOLUTION REGARDING REMUNERATION TO THE
MEMBERS OF THE BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 12.A | RE- ELECTION OF BOARD MEMBER: CHARLES A.
BLIXT | Management | | No Action | | | | |
| | 12.B | RE- ELECTION OF BOARD MEMBER: ANDREW
CRIPPS | Management | | No Action | | | | |
| | 12.C | RE- ELECTION OF BOARD MEMBER: JACQUELINE
HOOGERBRUGGE | Management | | No Action | | | | |
| | 12.D | RE- ELECTION OF BOARD MEMBER: CONNY
CARLSSON | Management | | No Action | | | | |
| | 12.E | RE- ELECTION OF BOARD MEMBER: ALEXANDER
LACIK | Management | | No Action | | | | |
| | 12.F | RE- ELECTION OF BOARD MEMBER: PAULINE
LINDWALL | Management | | No Action | | | | |
| | 12.G | RE- ELECTION OF BOARD MEMBER: WENCHE
ROLFSEN | Management | | No Action | | | | |
| | 12.H | RE- ELECTION OF BOARD MEMBER: JOAKIM WESTH | Management | | No Action | | | | |
| | 12.I | RE-ELECTION OF THE CHAIRMAN OF THE BOARD:
CONNY KARLSSON | Management | | No Action | | | | |
| | 12.J | RE-ELECTION OF THE DEPUTY CHAIRMAN OF THE
BOARD: ANDREW CRIPPS | Management | | No Action | | | | |
| | 13 | RESOLUTION REGARDING THE NUMBER OF
AUDITORS | Management | | No Action | | | | |
| | 14 | RESOLUTION REGARDING REMUNERATION TO THE
AUDITOR | Management | | No Action | | | | |
| | 15 | ELECTION OF AUDITOR: THE NOMINATING
COMMITTEE PROPOSES THAT THE NUMBER OF
AUDITORS SHALL BE ONE WITH NO DEPUTY
AUDITOR AND THAT THE AUDITOR COMPANY
DELOITTE AB SHALL BE ELECTED AS AUDITOR FOR
THE PERIOD AS OF THE END OF THE ANNUAL
GENERAL MEETING 2021 UNTIL THE END OF THE
ANNUAL GENERAL MEETING 2022 | Management | | No Action | | | | |
| | 16.A | RESOLUTION REGARDING: THE REDUCTION OF
THE SHARE CAPITAL BY MEANS OF WITHDRAWAL
OF REPURCHASED SHARES | Management | | No Action | | | | |
| | 16.B | RESOLUTION REGARDING: BONUS ISSUE | Management | | No Action | | | | |
| | 17 | RESOLUTION REGARDING AUTHORIZATION OF THE
BOARD OF DIRECTORS TO RESOLVE ON
ACQUISITIONS OF SHARES IN THE COMPANY | Management | | No Action | | | | |
| | 18 | RESOLUTION REGARDING AUTHORIZATION OF THE
BOARD OF DIRECTORS TO RESOLVE ON TRANSFER
OF SHARES IN THE COMPANY | Management | | No Action | | | | |
| | 19 | RESOLUTION REGARDING AUTHORIZATION OF THE
BOARD OF DIRECTORS TO ISSUE NEW SHARES | Management | | No Action | | | | |
| | 20.A | RESOLUTION ON: AMENDMENT OF THE ARTICLES
OF ASSOCIATION | Management | | No Action | | | | |
| | 20.B | RESOLUTION ON: A SPLIT OF THE COMPANY'S
SHARES (SHARE SPLIT) | Management | | No Action | | | | |
| | 21 | RESOLUTION ON AMENDMENT OF THE ARTICLES
OF ASSOCIATION | Management | | No Action | | | | |
| | CMMT | PLEASE NOTE THAT IF YOU HOLD CREST
DEPOSITORY INTERESTS (CDIS) AND-PARTICIPATE
AT THIS MEETING, YOU (OR YOUR CREST
SPONSORED MEMBER/CUSTODIAN)-WILL BE
REQUIRED TO INSTRUCT A TRANSFER OF THE
RELEVANT CDIS TO THE ESCROW-ACCOUNT
SPECIFIED IN THE ASSOCIATED CORPORATE
EVENT IN THE CREST SYSTEM. THIS-TRANSFER
WILL NEED TO BE COMPLETED BY THE SPECIFIED
CREST SYSTEM DEADLINE.-ONCE THIS TRANSFER
HAS SETTLED, THE CDIS WILL BE BLOCKED IN THE
CREST SYSTEM.-THE CDIS WILL BE RELEASED
FROM ESCROW AS SOON AS PRACTICABLE ON THE
BUSINESS-DAY PRIOR TO MEETING DATE UNLESS
OTHERWISE SPECIFIED. IN ORDER FOR A VOTE TO-
BE ACCEPTED, THE VOTED POSITION MUST BE
BLOCKED IN THE REQUIRED ESCROW-ACCOUNT IN
THE CREST SYSTEM. BY VOTING ON THIS MEETING,
YOUR CREST SPONSORED-MEMBER/CUSTODIAN
MAY USE YOUR VOTE INSTRUCTION AS THE
AUTHORIZATION TO TAKE-THE NECESSARY
ACTION WHICH WILL INCLUDE TRANSFERRING
YOUR INSTRUCTED POSITION-TO ESCROW.
PLEASE CONTACT YOUR CREST SPONSORED
MEMBER/CUSTODIAN DIRECTLY FOR-FURTHER
INFORMATION ON THE CUSTODY PROCESS AND
WHETHER OR NOT THEY REQUIRE-SEPARATE
INSTRUCTIONS FROM YOU | Non-Voting | | | | | | |
| | THE BANK OF NEW YORK MELLON CORPORATION | | |
| | Security | 064058100 | | | | Meeting Type | Annual |
| | Ticker Symbol | BK | | | | Meeting Date | 13-Apr-2021 | |
| | ISIN | US0640581007 | | | | Agenda | 935338132 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Linda Z. Cook | Management | | For | | For | | |
| | 1B. | Election of Director: Joseph J. Echevarria | Management | | For | | For | | |
| | 1C. | Election of Director: Thomas P. "Todd" Gibbons | Management | | For | | For | | |
| | 1D. | Election of Director: M. Amy Gilliland | Management | | For | | For | | |
| | 1E. | Election of Director: Jeffrey A. Goldstein | Management | | For | | For | | |
| | 1F. | Election of Director: K. Guru Gowrappan | Management | | For | | For | | |
| | 1G. | Election of Director: Ralph Izzo | Management | | For | | For | | |
| | 1H. | Election of Director: Edmund F. "Ted" Kelly | Management | | For | | For | | |
| | 1I. | Election of Director: Elizabeth E. Robinson | Management | | For | | For | | |
| | 1J. | Election of Director: Samuel C. Scott III | Management | | For | | For | | |
| | 1K. | Election of Director: Frederick O. Terrell | Management | | For | | For | | |
| | 1L. | Election of Director: Alfred W. "Al" Zollar | Management | | For | | For | | |
| | 2. | Advisory resolution to approve the 2020 compensation of
our named executive officers. | Management | | For | | For | | |
| | 3. | Ratification of KPMG LLP as our independent auditor for
2021. | Management | | For | | For | | |
| | 4. | Stockholder proposal regarding stockholder requests for
a record date to initiate written consent. | Shareholder | | Against | | For | | |
| | CUBIC CORPORATION | | |
| | Security | 229669106 | | | | Meeting Type | Annual |
| | Ticker Symbol | CUB | | | | Meeting Date | 13-Apr-2021 | |
| | ISIN | US2296691064 | | | | Agenda | 935394558 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Prithviraj Banerjee | | | | For | | For | | |
| | | 2 | Bruce G. Blakley | | | | For | | For | | |
| | | 3 | Maureen Breakiron-Evans | | | | For | | For | | |
| | | 4 | Denise L. Devine | | | | For | | For | | |
| | | 5 | Bradley H. Feldmann | | | | For | | For | | |
| | | 6 | Carolyn A. Flowers | | | | For | | For | | |
| | | 7 | Janice M. Hamby | | | | For | | For | | |
| | | 8 | David F. Melcher | | | | For | | For | | |
| | | 9 | Steven J. Norris | | | | For | | For | | |
| | 2. | Approval, on an advisory, non-binding basis, of the
Company's named executive office compensation. | Management | | For | | For | | |
| | 3. | Ratification of Ernst & Young LLP as the Company's
independent registered public accounting firm for the
fiscal year ending September 30, 2021. | Management | | For | | For | | |
| | JULIUS BAER GRUPPE AG | | |
| | Security | H4414N103 | | | | Meeting Type | Annual General Meeting |
| | Ticker Symbol | | | | | Meeting Date | 14-Apr-2021 | |
| | ISIN | CH0102484968 | | | | Agenda | 713719891 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | CMMT | PLEASE NOTE THAT BENEFICIAL OWNER DETAILS
ARE REQUIRED FOR THIS MEETING. IF-NO
BENEFICIAL OWNER DETAILS ARE PROVIDED,
YOUR INSTRUCTION MAY BE REJECTED.-THANK
YOU. | Non-Voting | | | | | | |
| | CMMT | PART 2 OF THIS MEETING IS FOR VOTING ON
AGENDA AND MEETING ATTENDANCE-REQUESTS
ONLY. PLEASE ENSURE THAT YOU HAVE FIRST
VOTED IN FAVOUR OF THE-REGISTRATION OF
SHARES IN PART 1 OF THE MEETING. IT IS A
MARKET REQUIREMENT-FOR MEETINGS OF THIS
TYPE THAT THE SHARES ARE REGISTERED AND
MOVED TO A-REGISTERED LOCATION AT THE CSD,
AND SPECIFIC POLICIES AT THE INDIVIDUAL-SUB-
CUSTODIANS MAY VARY. UPON RECEIPT OF THE
VOTE INSTRUCTION, IT IS POSSIBLE-THAT A
MARKER MAY BE PLACED ON YOUR SHARES TO
ALLOW FOR RECONCILIATION AND-RE-
REGISTRATION FOLLOWING A TRADE. THEREFORE
WHILST THIS DOES NOT PREVENT THE-TRADING
OF SHARES, ANY THAT ARE REGISTERED MUST BE
FIRST DEREGISTERED IF-REQUIRED FOR
SETTLEMENT. DEREGISTRATION CAN AFFECT THE
VOTING RIGHTS OF THOSE-SHARES. IF YOU HAVE
CONCERNS REGARDING YOUR ACCOUNTS,
PLEASE CONTACT YOUR-CLIENT REPRESENTATIVE | Non-Voting | | | | | | |
| | 1.1 | FINANCIAL STATEMENTS AND CONSOLIDATED
FINANCIAL STATEMENTS FOR THE YEAR 2020 | Management | | No Action | | | | |
| | 1.2 | CONSULTATIVE VOTE ON THE REMUNERATION
REPORT 2020 | Management | | No Action | | | | |
| | 2 | APPROPRIATION OF DISPOSABLE PROFIT:
DISSOLUTION AND DISTRIBUTION OF STATUTORY
CAPITAL RESERVE | Management | | No Action | | | | |
| | 3 | DISCHARGE OF THE MEMBERS OF THE BOARD OF
DIRECTORS AND OF THE EXECUTIVE BOARD | Management | | No Action | | | | |
| | 4.1 | APPROVAL OF THE COMPENSATION OF THE BOARD
OF DIRECTORS: MAXIMUM AGGREGATE AMOUNT
OF COMPENSATION FOR THE COMING TERM OF
OFFICE (AGM 2021 TO AGM 2022) | Management | | No Action | | | | |
| | 4.2.1 | APPROVAL OF THE COMPENSATION OF THE
EXECUTIVE BOARD: AGGREGATE AMOUNT OF
VARIABLE CASH-BASED COMPENSATION
ELEMENTS FOR THE COMPLETED FINANCIAL YEAR
2020 | Management | | No Action | | | | |
| | 4.2.2 | APPROVAL OF THE COMPENSATION OF THE
EXECUTIVE BOARD: AGGREGATE AMOUNT OF
VARIABLE SHARE-BASED COMPENSATION
ELEMENTS THAT ARE ALLOCATED IN THE
CURRENT FINANCIAL YEAR 2021 | Management | | No Action | | | | |
| | 4.2.3 | APPROVAL OF THE COMPENSATION OF THE
EXECUTIVE BOARD: MAXIMUM AGGREGATE
AMOUNT OF FIXED COMPENSATION FOR THE NEXT
FINANCIAL YEAR 2022 | Management | | No Action | | | | |
| | 5.1.1 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MR.
ROMEO LACHER | Management | | No Action | | | | |
| | 5.1.2 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MR.
GILBERT ACHERMANN | Management | | No Action | | | | |
| | 5.1.3 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MR.
HEINRICH BAUMANN | Management | | No Action | | | | |
| | 5.1.4 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MR.
RICHARD CAMPBELL-BREEDEN | Management | | No Action | | | | |
| | 5.1.5 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MR.
IVO FURRER | Management | | No Action | | | | |
| | 5.1.6 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MRS.
CLAIRE GIRAUT | Management | | No Action | | | | |
| | 5.1.7 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MRS.
KATHRYN SHIH | Management | | No Action | | | | |
| | 5.1.8 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MS.
EUNICE ZEHNDER-LAI | Management | | No Action | | | | |
| | 5.1.9 | RE-ELECTIONS TO THE BOARD OF DIRECTOR: MS.
OLGA ZOUTENDIJK | Management | | No Action | | | | |
| | 5.2.1 | NEW ELECTIONS TO THE BOARD OF DIRECTOR:
MR. DAVID NICOL | Management | | No Action | | | | |
| | 5.3 | RE-ELECTION OF MR. ROMEO LACHER AS
CHAIRMAN OF THE BOARD OF DIRECTORS | Management | | No Action | | | | |
| | 5.4.1 | RE-ELECTIONS TO THE COMPENSATION
COMMITTEE: MR. GILBERT ACHERMANN | Management | | No Action | | | | |
| | 5.4.2 | RE-ELECTIONS TO THE COMPENSATION
COMMITTEE: MR. RICHARD CAMPBELL-BREEDEN | Management | | No Action | | | | |
| | 5.4.3 | RE-ELECTIONS TO THE COMPENSATION
COMMITTEE: MRS. KATHRYN SHIH | Management | | No Action | | | | |
| | 5.4.4 | RE-ELECTIONS TO THE COMPENSATION
COMMITTEE: MRS. EUNICE ZEHNDER-LAI | Management | | No Action | | | | |
| | 6 | ELECTION OF THE STATUTORY AUDITOR: KPMG
AG, ZURICH | Management | | No Action | | | | |
| | 7 | ELECTION OF THE INDEPENDENT
REPRESENTATIVE: MR. MARC NATER | Management | | No Action | | | | |
| | 8 | CAPITAL REDUCTION (WITH AMENDMENTS OF THE
ARTICLES OF INCORPORATION) | Management | | No Action | | | | |
| | 9 | AMENDMENTS OF THE ARTICLES OF
INCORPORATION | Management | | No Action | | | | |
| | BANK OF AMERICA CORPORATION | | |
| | Security | 060505104 | | | | Meeting Type | Annual |
| | Ticker Symbol | BAC | | | | Meeting Date | 20-Apr-2021 | |
| | ISIN | US0605051046 | | | | Agenda | 935345670 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Sharon L. Allen | Management | | For | | For | | |
| | 1B. | Election of Director: Susan S. Bies | Management | | For | | For | | |
| | 1C. | Election of Director: Frank P. Bramble, Sr. | Management | | For | | For | | |
| | 1D. | Election of Director: Pierre J.P. de Weck | Management | | For | | For | | |
| | 1E. | Election of Director: Arnold W. Donald | Management | | For | | For | | |
| | 1F. | Election of Director: Linda P. Hudson | Management | | For | | For | | |
| | 1G. | Election of Director: Monica C. Lozano | Management | | For | | For | | |
| | 1H. | Election of Director: Thomas J. May | Management | | For | | For | | |
| | 1I. | Election of Director: Brian T. Moynihan | Management | | For | | For | | |
| | 1J. | Election of Director: Lionel L. Nowell III | Management | | For | | For | | |
| | 1K. | Election of Director: Denise L. Ramos | Management | | For | | For | | |
| | 1L. | Election of Director: Clayton S. Rose | Management | | For | | For | | |
| | 1M. | Election of Director: Michael D. White | Management | | For | | For | | |
| | 1N. | Election of Director: Thomas D. Woods | Management | | For | | For | | |
| | 1O. | Election of Director: R. David Yost | Management | | For | | For | | |
| | 1P. | Election of Director: Maria T. Zuber | Management | | For | | For | | |
| | 2. | Approving our executive compensation (an advisory,
nonbinding "Say on Pay" resolution). | Management | | For | | For | | |
| | 3. | Ratifying the appointment of our independent registered
public accounting firm for 2021. | Management | | For | | For | | |
| | 4. | Amending and restating the Bank of America Corporation
Key Employee Equity Plan. | Management | | For | | For | | |
| | 5. | Shareholder proposal requesting amendments to our
proxy access by law. | Shareholder | | Abstain | | Against | | |
| | 6. | Shareholder proposal requesting amendments to allow
shareholders to act by written consent. | Shareholder | | Against | | For | | |
| | 7. | Shareholder proposal requesting a change in
organizational form. | Shareholder | | Abstain | | Against | | |
| | 8. | Shareholder proposal requesting a racial equity audit. | Shareholder | | Abstain | | Against | | |
| | JOHNSON & JOHNSON | | |
| | Security | 478160104 | | | | Meeting Type | Annual |
| | Ticker Symbol | JNJ | | | | Meeting Date | 22-Apr-2021 | |
| | ISIN | US4781601046 | | | | Agenda | 935345214 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Mary C. Beckerle | Management | | For | | For | | |
| | 1B. | Election of Director: D. Scott Davis | Management | | For | | For | | |
| | 1C. | Election of Director: Ian E. L. Davis | Management | | For | | For | | |
| | 1D. | Election of Director: Jennifer A. Doudna | Management | | For | | For | | |
| | 1E. | Election of Director: Alex Gorsky | Management | | For | | For | | |
| | 1F. | Election of Director: Marillyn A. Hewson | Management | | For | | For | | |
| | 1G. | Election of Director: Hubert Joly | Management | | For | | For | | |
| | 1H. | Election of Director: Mark B. McClellan | Management | | For | | For | | |
| | 1I. | Election of Director: Anne M. Mulcahy | Management | | For | | For | | |
| | 1J. | Election of Director: Charles Prince | Management | | For | | For | | |
| | 1K. | Election of Director: A. Eugene Washington | Management | | For | | For | | |
| | 1L. | Election of Director: Mark A. Weinberger | Management | | For | | For | | |
| | 1M. | Election of Director: Nadja Y. West | Management | | For | | For | | |
| | 1N. | Election of Director: Ronald A. Williams | Management | | For | | For | | |
| | 2. | Advisory Vote to Approve Named Executive Officer
Compensation. | Management | | For | | For | | |
| | 3. | Ratification of Appointment of PricewaterhouseCoopers
LLP as the Independent Registered Public Accounting
Firm for 2021. | Management | | For | | For | | |
| | 4. | Report on Government Financial Support and Access to
COVID-19 Vaccines and Therapeutics. | Shareholder | | Abstain | | Against | | |
| | 5. | Independent Board Chair. | Shareholder | | Against | | For | | |
| | 6. | Civil Rights Audit. | Shareholder | | Abstain | | Against | | |
| | 7. | Executive Compensation Bonus Deferral. | Shareholder | | Abstain | | Against | | |
| | GATX CORPORATION | | |
| | Security | 361448103 | | | | Meeting Type | Annual |
| | Ticker Symbol | GATX | | | | Meeting Date | 23-Apr-2021 | |
| | ISIN | US3614481030 | | | | Agenda | 935348397 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1.1 | Election of Director: Diane M. Aigotti | Management | | For | | For | | |
| | 1.2 | Election of Director: Anne L. Arvia | Management | | For | | For | | |
| | 1.3 | Election of Director: Brian A. Kenney | Management | | For | | For | | |
| | 1.4 | Election of Director: James B. Ream | Management | | For | | For | | |
| | 1.5 | Election of Director: Adam L. Stanley | Management | | For | | For | | |
| | 1.6 | Election of Director: David S. Sutherland | Management | | For | | For | | |
| | 1.7 | Election of Director: Stephen R. Wilson | Management | | For | | For | | |
| | 1.8 | Election of Director: Paul G. Yovovich | Management | | For | | For | | |
| | 2. | ADVISORY RESOLUTION TO APPROVE EXECUTIVE
COMPENSATION. | Management | | For | | For | | |
| | 3. | RATIFICATION OF APPOINTMENT OF INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR
FISCAL YEAR ENDING DECEMBER 31, 2021. | Management | | For | | For | | |
| | THE PNC FINANCIAL SERVICES GROUP, INC. | | |
| | Security | 693475105 | | | | Meeting Type | Annual |
| | Ticker Symbol | PNC | | | | Meeting Date | 27-Apr-2021 | |
| | ISIN | US6934751057 | | | | Agenda | 935343208 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Joseph Alvarado | Management | | For | | For | | |
| | 1B. | Election of Director: Charles E. Bunch | Management | | For | | For | | |
| | 1C. | Election of Director: Debra A. Cafaro | Management | | For | | For | | |
| | 1D. | Election of Director: Marjorie Rodgers Cheshire | Management | | For | | For | | |
| | 1E. | Election of Director: David L. Cohen | Management | | For | | For | | |
| | 1F. | Election of Director: William S. Demchak | Management | | For | | For | | |
| | 1G. | Election of Director: Andrew T. Feldstein | Management | | For | | For | | |
| | 1H. | Election of Director: Richard J. Harshman | Management | | For | | For | | |
| | 1I. | Election of Director: Daniel R. Hesse | Management | | For | | For | | |
| | 1J. | Election of Director: Linda R. Medler | Management | | For | | For | | |
| | 1K. | Election of Director: Martin Pfinsgraff | Management | | For | | For | | |
| | 1L. | Election of Director: Toni Townes-Whitley | Management | | For | | For | | |
| | 1M. | Election of Director: Michael J. Ward | Management | | For | | For | | |
| | 2. | Ratification of the Audit Committee's selection of
PricewaterhouseCoopers LLP as PNC's independent
registered public accounting firm for 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve named executive officer
compensation. | Management | | For | | For | | |
| | 4. | Shareholder proposal regarding report on risk
management and the nuclear weapons industry. | Shareholder | | Abstain | | Against | | |
| | International Business Machines Corporation | | |
| | Security | 459200101 | | | | Meeting Type | Annual |
| | Ticker Symbol | IBM | | | | Meeting Date | 27-Apr-2021 | |
| | ISIN | US4592001014 | | | | Agenda | 935346949 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for one year term: Thomas Buberl | Management | | For | | For | | |
| | 1B. | Election of Director for one year term: Michael L. Eskew | Management | | For | | For | | |
| | 1C. | Election of Director for one year term: David N. Farr | Management | | For | | For | | |
| | 1D. | Election of Director for one year term: Alex Gorsky | Management | | For | | For | | |
| | 1E. | Election of Director for one year term: Michelle J. Howard | Management | | For | | For | | |
| | 1F. | Election of Director for one year term: Arvind Krishna | Management | | For | | For | | |
| | 1G. | Election of Director for one year term: Andrew N. Liveris | Management | | For | | For | | |
| | 1H. | Election of Director for one year term: F. William McNabb
III | Management | | For | | For | | |
| | 1I. | Election of Director for one year term: Martha E. Pollack | Management | | For | | For | | |
| | 1J. | Election of Director for one year term: Joseph R. Swedish | Management | | For | | For | | |
| | 1K. | Election of Director for one year term: Peter R. Voser | Management | | For | | For | | |
| | 1L. | Election of Director for one year term: Frederick H.
Waddell | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Independent Registered
Public Accounting Firm. | Management | | For | | For | | |
| | 3. | Advisory Vote on Executive Compensation. | Management | | For | | For | | |
| | 4. | Stockholder Proposal to Have an Independent Board
Chairman. | Shareholder | | Against | | For | | |
| | 5. | Stockholder Proposal on the Right to Act by Written
Consent. | Shareholder | | Against | | For | | |
| | 6. | Stockholder Proposal Requesting the Company Publish
Annually a Report Assessing its Diversity, Equity and
Inclusion Efforts. | Shareholder | | For | | For | | |
| | CITIGROUP INC. | | |
| | Security | 172967424 | | | | Meeting Type | Annual |
| | Ticker Symbol | C | | | | Meeting Date | 27-Apr-2021 | |
| | ISIN | US1729674242 | | | | Agenda | 935349515 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Ellen M. Costello | Management | | For | | For | | |
| | 1B. | Election of Director: Grace E. Dailey | Management | | For | | For | | |
| | 1C. | Election of Director: Barbara J. Desoer | Management | | For | | For | | |
| | 1D. | Election of Director: John C. Dugan | Management | | For | | For | | |
| | 1E. | Election of Director: Jane N. Fraser | 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 2021. | Management | | For | | For | | |
| | 3. | Advisory vote to approve Citi's 2020 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 | | Abstain | | Against | | |
| | 6. | Stockholder proposal requesting an Independent Board
Chairman. | Shareholder | | Against | | For | | |
| | 7. | Stockholder proposal requesting non-management
employees on director nominee candidate lists. | Shareholder | | Against | | For | | |
| | 8. | Stockholder proposal requesting a report disclosing
information regarding Citi's lobbying payments, policies
and activities. | Shareholder | | Abstain | | Against | | |
| | 9. | Stockholder proposal requesting a racial equity audit
analyzing Citi's adverse impacts on nonwhite
stakeholders and communities of color. | Shareholder | | Abstain | | Against | | |
| | 10. | Stockholder proposal requesting that the Board approve
an amendment to Citi's Certificate of Incorporation to
become a Public Benefit Corporation and to submit the
proposed amendment to stockholders for approval. | Shareholder | | Against | | For | | |
| | GENUINE PARTS COMPANY | | |
| | Security | 372460105 | | | | Meeting Type | Annual |
| | Ticker Symbol | GPC | | | | Meeting Date | 29-Apr-2021 | |
| | ISIN | US3724601055 | | | | Agenda | 935340478 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1. | DIRECTOR | Management | | | | | | |
| | | 1 | Elizabeth W. Camp | | | | For | | For | | |
| | | 2 | Richard Cox, Jr. | | | | For | | For | | |
| | | 3 | Paul D. Donahue | | | | For | | For | | |
| | | 4 | Gary P. Fayard | | | | For | | For | | |
| | | 5 | P. Russell Hardin | | | | For | | For | | |
| | | 6 | John R. Holder | | | | For | | For | | |
| | | 7 | Donna W. Hyland | | | | For | | For | | |
| | | 8 | John D. Johns | | | | For | | For | | |
| | | 9 | Jean-Jacques Lafont | | | | For | | For | | |
| | | 10 | Robert C Loudermilk Jr. | | | | For | | For | | |
| | | 11 | Wendy B. Needham | | | | For | | For | | |
| | | 12 | Juliette W. Pryor | | | | For | | For | | |
| | | 13 | E. Jenner Wood III | | | | For | | For | | |
| | 2. | Advisory Vote on Executive Compensation. | Management | | For | | For | | |
| | 3. | Ratification of the Selection of Ernst & Young LLP as the
Company's Independent Auditor for the Fiscal Year
Ending December 31, 2021. | Management | | For | | For | | |
| | AMERICAN EXPRESS COMPANY | | |
| | Security | 025816109 | | | | Meeting Type | Annual |
| | Ticker Symbol | AXP | | | | Meeting Date | 04-May-2021 | |
| | ISIN | US0258161092 | | | | Agenda | 935357358 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director for a term of one year: Thomas J.
Baltimore | Management | | For | | For | | |
| | 1B. | Election of Director for a term of one year: Charlene
Barshefsky | Management | | For | | For | | |
| | 1C. | Election of Director for a term of one year: John J.
Brennan | Management | | For | | For | | |
| | 1D. | Election of Director for a term of one year: Peter Chernin | Management | | For | | For | | |
| | 1E. | Election of Director for a term of one year: Ralph de la
Vega | Management | | For | | For | | |
| | 1F. | Election of Director for a term of one year: Michael O.
Leavitt | Management | | For | | For | | |
| | 1G. | Election of Director for a term of one year: Theodore J.
Leonsis | Management | | For | | For | | |
| | 1H. | Election of Director for a term of one year: Karen L.
Parkhill | Management | | For | | For | | |
| | 1I. | Election of Director for a term of one year: Charles E.
Phillips | Management | | For | | For | | |
| | 1J. | Election of Director for a term of one year: Lynn A. Pike | Management | | For | | For | | |
| | 1K. | Election of Director for a term of one year: Stephen J.
Squeri | Management | | For | | For | | |
| | 1L. | Election of Director for a term of one year: Daniel L.
Vasella | Management | | For | | For | | |
| | 1M. | Election of Director for a term of one year: Lisa W.
Wardell | Management | | For | | For | | |
| | 1N. | Election of Director for a term of one year: Ronald A.
Williams | Management | | For | | For | | |
| | 1O. | Election of Director for a term of one year: Christopher D.
Young | Management | | For | | For | | |
| | 2. | Ratification of appointment of PricewaterhouseCoopers
LLP as independent registered public accounting firm for
2021. | Management | | For | | For | | |
| | 3. | Approval, on an advisory basis, of the Company's
executive compensation. | Management | | For | | For | | |
| | 4. | Shareholder proposal relating to action by written
consent. | Shareholder | | Against | | For | | |
| | 5. | Shareholder proposal relating to annual report on
diversity. | Shareholder | | Abstain | | Against | | |
| | STANLEY BLACK & DECKER, INC. | | |
| | Security | 854502846 | | | | Meeting Type | Annual |
| | Ticker Symbol | SWT | | | | Meeting Date | 10-May-2021 | |
| | ISIN | US8545028461 | | | | Agenda | 935369137 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 6. | To consider a management proposal to amend the
Certificate of Incorporation to eliminate supermajority
vote provisions of capital stock related to approval of
business combinations with interested shareholders and
clarify when no shareholder vote is required. | Management | | For | | For | | |
| | VERIZON COMMUNICATIONS INC. | | |
| | Security | 92343V104 | | | | Meeting Type | Annual |
| | Ticker Symbol | VZ | | | | Meeting Date | 13-May-2021 | |
| | ISIN | US92343V1044 | | | | Agenda | 935364846 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1a. | Election of Director: Shellye L. Archambeau | Management | | For | | For | | |
| | 1b. | Election of Director: Roxanne S. Austin | Management | | For | | For | | |
| | 1c. | Election of Director: Mark T. Bertolini | 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 | Shareholder Action by Written Consent | Shareholder | | Against | | For | | |
| | 5 | Amend Clawback Policy | Shareholder | | Abstain | | Against | | |
| | 6 | Shareholder Ratification of Annual Equity Awards | Shareholder | | Abstain | | Against | | |
| | SEMPRA ENERGY | | |
| | Security | 816851109 | | | | Meeting Type | Annual |
| | Ticker Symbol | SRE | | | | Meeting Date | 14-May-2021 | |
| | ISIN | US8168511090 | | | | Agenda | 935366460 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Alan L. Boeckmann | Management | | For | | For | | |
| | 1B. | Election of Director: Andrés Conesa | Management | | For | | For | | |
| | 1C. | Election of Director: Maria Contreras-Sweet | Management | | For | | For | | |
| | 1D. | Election of Director: Pablo A. Ferrero | Management | | For | | For | | |
| | 1E. | Election of Director: William D. Jones | Management | | For | | For | | |
| | 1F. | Election of Director: Jeffrey W. Martin | Management | | For | | For | | |
| | 1G. | Election of Director: Bethany J. Mayer | Management | | For | | For | | |
| | 1H. | Election of Director: Michael N. Mears | Management | | For | | For | | |
| | 1I. | Election of Director: Jack T. Taylor | Management | | For | | For | | |
| | 1J. | Election of Director: Cynthia L. Walker | Management | | For | | For | | |
| | 1K. | Election of Director: Cynthia J. Warner | Management | | For | | For | | |
| | 1L. | Election of Director: James C. Yardley | Management | | For | | For | | |
| | 2. | Ratification of Appointment of Independent Registered
Public Accounting Firm. | Management | | For | | For | | |
| | 3. | Advisory Approval of Our Executive Compensation. | Management | | For | | For | | |
| | 4. | Shareholder Proposal Requesting an Amendment to Our
Proxy Access Bylaw to Eliminate the Shareholder
Nominating Group Limit. | Shareholder | | Abstain | | Against | | |
| | 5. | Shareholder Proposal Requesting a Report on Alignment
of Our Lobbying Activities with the Paris Agreement. | Shareholder | | Abstain | | Against | | |
| | JPMORGAN CHASE & CO. | | |
| | Security | 46625H100 | | | | Meeting Type | Annual |
| | Ticker Symbol | JPM | | | | Meeting Date | 18-May-2021 | |
| | ISIN | US46625H1005 | | | | Agenda | 935372285 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Linda B. Bammann | Management | | For | | For | | |
| | 1B. | Election of Director: Stephen B. Burke | Management | | For | | For | | |
| | 1C. | Election of Director: Todd A. Combs | Management | | For | | For | | |
| | 1D. | Election of Director: James S. Crown | Management | | For | | For | | |
| | 1E. | Election of Director: James Dimon | Management | | For | | For | | |
| | 1F. | Election of Director: Timothy P. Flynn | Management | | For | | For | | |
| | 1G. | Election of Director: Mellody Hobson | Management | | For | | For | | |
| | 1H. | Election of Director: Michael A. Neal | Management | | For | | For | | |
| | 1I. | Election of Director: Phebe N. Novakovic | Management | | For | | For | | |
| | 1J. | Election of Director: Virginia M. Rometty | Management | | For | | For | | |
| | 2. | Advisory resolution to approve executive compensation. | Management | | For | | For | | |
| | 3. | Approval of Amended and Restated Long-Term Incentive
Plan effective May 18, 2021. | Management | | For | | For | | |
| | 4. | Ratification of independent registered public accounting
firm. | Management | | For | | For | | |
| | 5. | Improve shareholder written consent. | Shareholder | | Against | | For | | |
| | 6. | Racial equity audit and report. | Shareholder | | Abstain | | Against | | |
| | 7. | Independent board chairman. | Shareholder | | Against | | For | | |
| | 8. | Political and electioneering expenditure congruency
report. | Shareholder | | Abstain | | Against | | |
| | STATE STREET CORPORATION | | |
| | Security | 857477103 | | | | Meeting Type | Annual |
| | Ticker Symbol | STT | | | | Meeting Date | 19-May-2021 | |
| | ISIN | US8574771031 | | | | Agenda | 935380408 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: P. de Saint-Aignan | Management | | For | | For | | |
| | 1B. | Election of Director: M. Chandoha | Management | | For | | For | | |
| | 1C. | Election of Director: A. Fawcett | Management | | For | | For | | |
| | 1D. | Election of Director: W. Freda | Management | | For | | For | | |
| | 1E. | Election of Director: S. Mathew | Management | | For | | For | | |
| | 1F. | Election of Director: W. Meaney | Management | | For | | For | | |
| | 1G. | Election of Director: R. O'Hanley | Management | | For | | For | | |
| | 1H. | Election of Director: S. O'Sullivan | Management | | For | | For | | |
| | 1I. | Election of Director: J. Portalatin | Management | | For | | For | | |
| | 1J. | Election of Director: J. Rhea | Management | | For | | For | | |
| | 1K. | Election of Director: R. Sergel | Management | | For | | For | | |
| | 1L. | Election of Director: G. Summe | Management | | For | | For | | |
| | 2. | To approve an advisory proposal on executive
compensation. | Management | | For | | For | | |
| | 3. | To ratify the selection of Ernst & Young LLP as State
Street's independent registered public accounting firm for
the year ending December 31, 2021. | Management | | For | | For | | |
| | 4. | Shareholder proposal requesting that the board oversee
a racial equity audit. | Shareholder | | Abstain | | Against | | |
| | MORGAN STANLEY | | |
| | Security | 617446448 | | | | Meeting Type | Annual |
| | Ticker Symbol | MS | | | | Meeting Date | 20-May-2021 | |
| | ISIN | US6174464486 | | | | Agenda | 935372312 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Elizabeth Corley | Management | | For | | For | | |
| | 1B. | Election of Director: Alistair Darling | Management | | For | | For | | |
| | 1C. | Election of Director: Thomas H. Glocer | Management | | For | | For | | |
| | 1D. | Election of Director: James P. Gorman | Management | | For | | For | | |
| | 1E. | Election of Director: Robert H. Herz | Management | | For | | For | | |
| | 1F. | Election of Director: Nobuyuki Hirano | Management | | For | | For | | |
| | 1G. | Election of Director: Hironori Kamezawa | Management | | For | | For | | |
| | 1H. | Election of Director: Shelley B. Leibowitz | Management | | For | | For | | |
| | 1I. | Election of Director: Stephen J. Luczo | Management | | For | | For | | |
| | 1J. | Election of Director: Jami Miscik | Management | | For | | For | | |
| | 1K. | Election of Director: Dennis M. Nally | Management | | For | | For | | |
| | 1L. | Election of Director: Mary L. Schapiro | Management | | For | | For | | |
| | 1M. | Election of Director: Perry M. Traquina | Management | | For | | For | | |
| | 1N. | Election of Director: Rayford Wilkins, Jr. | Management | | For | | For | | |
| | 2. | To ratify the appointment of Deloitte & Touche LLP as
independent auditor. | Management | | For | | For | | |
| | 3. | To approve the compensation of executives as disclosed
in the proxy statement (non-binding advisory vote). | Management | | For | | For | | |
| | 4. | To approve the amended and restated Equity Incentive
Compensation Plan. | Management | | Against | | Against | | |
| | CROWN CASTLE INTERNATIONAL CORP | | |
| | Security | 22822V101 | | | | Meeting Type | Annual |
| | Ticker Symbol | CCI | | | | Meeting Date | 21-May-2021 | |
| | ISIN | US22822V1017 | | | | Agenda | 935372588 - 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: Andrea J. Goldsmith | Management | | For | | For | | |
| | 1F. | Election of Director: Lee W. Hogan | Management | | For | | For | | |
| | 1G. | Election of Director: Tammy K. Jones | Management | | For | | For | | |
| | 1H. | Election of Director: J. Landis Martin | Management | | For | | For | | |
| | 1I. | Election of Director: Anthony J. Melone | Management | | For | | For | | |
| | 1J. | Election of Director: W. Benjamin Moreland | Management | | For | | For | | |
| | 1K. | Election of Director: Kevin A. Stephens | Management | | For | | For | | |
| | 1L. | Election of Director: Matthew Thornton, III | Management | | For | | For | | |
| | 2. | The ratification of the appointment of
PricewaterhouseCoopers LLP as the Company's
independent registered public accountants for fiscal year
2021. | Management | | For | | For | | |
| | 3. | The non-binding, advisory vote to approve the
compensation of the Company's named executive
officers. | Management | | For | | For | | |
| | 4. | The non-binding, advisory vote regarding the frequency
of voting on the compensation of the Company's named
executive officers. | Management | | 1 Year | | For | | |
| | GRUPO TELEVISA, S.A.B. | | |
| | Security | 40049J206 | | | | Meeting Type | Annual |
| | Ticker Symbol | TV | | | | Meeting Date | 24-May-2021 | |
| | ISIN | US40049J2069 | | | | Agenda | 935431027 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | I | Presentation and, in its case, approval for the Company
and its controlled entities to carry out certain actions to
combine its content segment with Univision Holdings, Inc.
or its successors, including the other related acts that
may be necessary or convenient in connection with the
above. | Management | | For | | | | |
| | II | Appointment of special delegates to formalize the
resolutions adopted at the meeting. | Management | | For | | | | |
| | MERCK & CO., INC. | | |
| | Security | 58933Y105 | | | | Meeting Type | Annual |
| | Ticker Symbol | MRK | | | | Meeting Date | 25-May-2021 | |
| | ISIN | US58933Y1055 | | | | Agenda | 935381044 - Management |
| | | | | | | | | | | | | |
| | Item | Proposal | Proposed
by | | Vote | For/Against
Management | | |
| | 1A. | Election of Director: Leslie A. Brun | Management | | For | | For | | |
| | 1B. | Election of Director: Mary Ellen Coe | Management | | For | | For | | |
| | 1C. | Election of Director: Pamela J. Craig | Management | | For | | For | | |
| | 1D. | Election of Director: Kenneth C. Frazier | Management | | For | | For | | |
| | 1E. | Election of Director: Thomas H. Glocer | Management | | For | | For | | |
| | 1F. | Election of Director: Risa J. Lavizzo-Mourey | Management | | For | | For | | |
| | 1G. | Election of Director: Stephen L. Mayo | 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 2021. | Management | | For | | For | | |
| | 4. | Shareholder proposal concerning a shareholder right to
act by written consent. | Shareholder | | Against | | For | | |
| | 5. | Shareholder proposal regarding access to COVID-19
products. | Shareholder | | Abstain | | Against | | |
| | AMERICAN TOWER CORPORATION | | |
| | Security | 03027X100 | | | | Meeting Type | Annual |
| | Ticker Symbol | AMT | | | | Meeting Date | 26-May-2021 | |
| | ISIN | US03027X1000 | | | | Agenda | 935387755 - 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: Kenneth R. Frank | Management | | For | | For | | |
| | 1D. | Election of Director: Robert D. Hormats | Management | | For | | For | | |
| | 1E. | Election of Director: Gustavo Lara Cantu | Management | | For | | For | | |
| | 1F. | Election of Director: Grace D. Lieblein | Management | | For | | For | | |
| | 1G. | Election of Director: Craig Macnab | Management | | For | | For | | |
| | 1H. | Election of Director: JoAnn A. Reed | Management | | For | | For | | |
| | 1I. | Election of Director: Pamela D.A. Reeve | Management | | For | | For | | |
| | 1J. | Election of Director: David E. Sharbutt | Management | | For | | For | | |
| | 1K. | Election of Director: Bruce L. Tanner | Management | | For | | For | | |
| | 1L. | 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 2021. | Management | | For | | For | | |
| | 3. | To approve, on an advisory basis, the Company's
executive compensation. | Management | | For | | For | | |
| | 4. | Stockholder proposal to amend the appropriate governing
documents to reduce the ownership threshold required to
call a special meeting of the stockholders. | Shareholder | | Against | | For | | |
| | 5. | Stockholder proposal to require the Board of Directors to
create a standing committee to oversee human rights
issues. | Shareholder | | Abstain | | Against | | |
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.
*Print the name and title of each signing officer under his or her signature.
