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: 811-08268
______________________________________________
FIRSTHAND FUNDS
________________________________________________________________________
(Exact name of registrant as specified in charter)
150 ALMADEN BLVD., SUITE 1250
SAN JOSE, CALIFORNIA 95113
________________________________________________________________________
(Address of principal executive offices)(Zip code)
(Name and Address of Agent for Service) | ||
Kevin M. Landis Firsthand Capital Management, Incorporated 150 Almaden Blvd., Suite 1250 San Jose, California 95113 | ||
| With copy to: | ||
Kelvin K. Leung, Esq. Firsthand Capital Management, Incorporated 111 N. Market Street, Ste. 105 San Jose, California 95113 | Ellen Blanchard, Esq. BNY Mellon Asset Servicing One Boston Place 201 Washington Street, 34th floor Boston, MA 02108 | David Hearth, Esq. Paul Hastings LLP 55 Second Street Twenty-Fourth Floor San Francisco, CA 94105 |
Registrant’s telephone number, including area code: (408) 886-7096
Date of fiscal year end: December 31
Date of reporting period: July 1, 2016 – June 30, 2017
Item 1. Proxy Voting Record.
| Firsthand Alternative Energy Fund | ||||
Company Name: 3M CO Ticker: MMM CUSIP: 88579Y101 Meeting Date: 5/9/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR SONDRA L. BARBOUR | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR THOMAS "TONY" K. BROWN | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR VANCE D. COFFMAN | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR DAVID B. DILLON | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR MICHAEL L. ESKEW | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR HERBERT L. HENKEL | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR MUHTAR KENT | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR EDWARD M. LIDDY | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR GREGORY R. PAGE | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR INGE G. THULIN | For | Yes | For |
| 1K. | ELECTION OF DIRECTOR PATRICIA A. WOERTZ | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS 3M'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | For | Yes | For |
| 3 | ADVISORY APPROVAL OF EXECUTIVE COMPENSATION. | For | Yes | For |
| 4 | ADVISORY APPROVAL OF THE FREQUENCY OF ADVISORY VOTES ON EXECUTIVE COMPENSATION. | For | Yes | 1 Year |
| 5 | STOCKHOLDER PROPOSAL ON IMPLEMENTATION OF HOLY LAND PRINCIPLES. | For | Yes | Against |
Company Name: Amtech Systems, Inc. Ticker: ASYS CUSIP: 32332504 Meeting Date: 3/16/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR JONG S. WHANG | For | Yes | For |
| 1.2 | DIRECTOR FOKKO PENTINGA | For | Yes | For |
| 1.3 | DIRECTOR ROBERT M. AVERICK | For | Yes | For |
| 1.4 | DIRECTOR MICHAEL GARNREITER | For | Yes | For |
| 1.5 | DIRECTOR ROBERT F. KING | For | Yes | For |
| 1.6 | DIRECTOR SUKESH MOHAN | For | Yes | For |
| 1.7 | DIRECTOR PAUL J. VAN DER WANSEM | For | Yes | For |
| 2 | RATIFICATION OF THE APPOINTMENT OF MAYER HOFFMAN MCCANN P.C. AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017 | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | For | Yes | For |
Company Name: ASPEN AEROGELS, INC. Ticker: ASPN CUSIP: 04523Y105 Meeting Date: 6/14/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR STEVEN R. MITCHELL | Against | Yes | Withhold |
| 1.2 | DIRECTOR RICHARD F. REILLY | For | Yes | For |
| 1.3 | DIRECTOR DONALD R. YOUNG | For | Yes | For |
| 2 | THE RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS ASPEN AEROGELS, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
Company Name: Corning Inc. Ticker: GLW CUSIP: 219350105 Meeting Date: 4/27/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR DONALD W. BLAIR | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR STEPHANIE A. BURNS | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR JOHN A. CANNING, JR. | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR RICHARD T. CLARK | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR ROBERT F. CUMMINGS, JR. | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR DEBORAH A. HENRETTA | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR DANIEL P. HUTTENLOCHER | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR KURT M. LANDGRAF | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR KEVIN J. MARTIN | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR DEBORAH D. RIEMAN | For | Yes | For |
| 1K. | ELECTION OF DIRECTOR HANSEL E. TOOKES II | For | Yes | For |
| 1L. | ELECTION OF DIRECTOR WENDELL P. WEEKS | For | Yes | For |
| 1M. | ELECTION OF DIRECTOR MARK S. WRIGHTON | For | Yes | For |
| 2 | ADVISORY VOTE TO APPROVE THE COMPANY'S EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | ADVISORY VOTE ON THE FREQUENCY WITH WHICH WE HOLD ADVISORY VOTES ON OUR EXECUTIVE COMPENSATION. | For | Yes | 1 Year |
| 4 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 5 | RE-APPROVAL OF THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER OUR 2012 LONG-TERM INCENTIVE PLAN, AS REQUIRED BY SECTION 162(M) OF THE U.S. INTERNAL REVENUE CODE. | For | Yes | For |
Company Name: Cree, Inc. Ticker: CREE CUSIP: 225447101 Meeting Date: 10/25/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR CHARLES M. SWOBODA | For | Yes | For |
| 1.2 | DIRECTOR CLYDE R. HOSEIN | For | Yes | For |
| 1.3 | DIRECTOR ROBERT A. INGRAM | For | Yes | For |
| 1.4 | DIRECTOR DARREN R. JACKSON | For | Yes | For |
| 1.5 | DIRECTOR C. HOWARD NYE | For | Yes | For |
| 1.6 | DIRECTOR JOHN B. REPLOGLE | For | Yes | For |
| 1.7 | DIRECTOR THOMAS H. WERNER | For | Yes | For |
| 1.8 | DIRECTOR ANNE C. WHITAKER | For | Yes | For |
| 2 | APPROVAL OF AMENDMENTS TO THE 2013 LONG-TERM INCENTIVE COMPENSATION PLAN. | For | Yes | For |
| 3 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 25, 2017. | For | Yes | For |
| 4 | ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION. | Against | Yes | Against |
Company Name: EXAR CORPORATION Ticker: EXAR CUSIP: 300645108 Meeting Date: 9/8/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR BEHROOZ ABDI | For | Yes | For |
| 1.2 | DIRECTOR IZAK BENCUYA | For | Yes | For |
| 1.3 | DIRECTOR RYAN A. BENTON | For | Yes | For |
| 1.4 | DIRECTOR PIERRE GUILBAULT | For | Yes | For |
| 1.5 | DIRECTOR BRIAN HILTON | For | Yes | For |
| 1.6 | DIRECTOR GARY MEYERS | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING APRIL 2, 2017. | For | Yes | For |
| 3 | TO APPROVE BY STOCKHOLDER ADVISORY VOTE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT UNDER THE SECTION TITLED "EXECUTIVE COMPENSATION", INCLUDING THE COMPENSATION TABLES AND OTHER NARRATIVE EXECUTIVE COMPENSATION DISCLOSURES THEREIN, REQUIRED BY ITEM 402 OF ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | For | Yes | For |
Company Name: FIRST SOLAR, INC. Ticker: FSLR CUSIP: 336433107 Meeting Date: 5/17/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR MICHAEL J. AHEARN | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR SHARON L. ALLEN | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR RICHARD D. CHAPMAN | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR GEORGE A. HAMBRO | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR CRAIG KENNEDY | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR JAMES F. NOLAN | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR WILLIAM J. POST | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR J. THOMAS PRESBY | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR PAUL H. STEBBINS | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR MICHAEL SWEENEY | For | Yes | For |
| 1K. | ELECTION OF DIRECTOR MARK R. WIDMAR | For | Yes | For |
| 2 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For |
| 4 | ADVISORY VOTE ON THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION. | Against | Yes | 1 Year |
Company Name: GAMESA CORPORACION TECNOLOGICA SA Ticker: CUSIP: E54667113 Meeting Date: 10/24/2016 Meeting Type: ExtraOrdinary General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO INDIVIDUAL BALANCE APPROVAL | For | Yes | For |
| 1.2 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO APPROVAL OF MERGER COMMON TERMS | For | Yes | For |
| 1.3 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO APPROVAL OF MERGER RESOLUTIONS | For | Yes | For |
| 1.4 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO APPROVAL OF A CAPITAL INCREASE | For | Yes | For |
| 1.5 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO APPROVAL OF THE REQUEST FOR ADMISSION TO TRADING | For | Yes | For |
| 1.6 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO TAX NEUTRALITY REGIME | For | Yes | For |
| 1.7 | APPROVAL OF THE MERGER BY ABSORPTION OF SIEMENS WIND HOLDCO DELEGATION OF POWERS WITH REGARD TO THE MERGER RESOLUTIONS | For | Yes | For |
| 2.1 | AMENDMENT TO THE COMPANY'S BYLAW AMENDMENT OF ART. 2.2,35.2,37.2 & 37.4 | For | Yes | For |
| 2.2 | AMENDMENT TO THE COMPANY'S BYLAW APPROVAL OF THE RESTATED TEXT | For | Yes | For |
| 3 | EXTRAORDINARY CASH DIVIDEND EUR 3.6 PER SHARE | For | Yes | For |
| 4.1 | SETTING THE NUMBER OF DIRECTORS 13 | For | Yes | For |
| 4.2 | APPOINTMENT MS ROSA MARIA G AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.3 | APPOINTMENT MS MARIEL VON S AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.4 | APPOINTMENT MS LISA DAVIS AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.5 | APPOINTMENT MR KLAUS HELMRICH AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.6 | APPOINTMENT MR RALF THOMAS AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.7 | APPOINTMENT MR KLAUS ROSENFELD AS A BOARD OF DIRECTOR | For | Yes | For |
| 4.8 | APPOINTMENT MS SWANTJE CONRAD AS A BOARD OF DIRECTOR | For | Yes | For |
| 5 | COOPTION AND RE-ELECTION OF MR GERARDO CODES | For | Yes | For |
| 6 | DELEGATION OF POWERS | For | Yes | For |
Company Name: GAMESA CORPORACION TECNOLOGICA SA Ticker: CUSIP: E54667113 Meeting Date: 6/20/2017 Meeting Type: Ordinary General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS | For | Yes | For |
| 2 | APPROVAL OF INDIVIDUAL AND CONSOLIDATED MANAGEMENT REPORTS | For | Yes | For |
| 3 | APPROVAL OF THE MANAGEMENT OF THE BOARD OF DIRECTORS | For | Yes | For |
| 4 | ALLOCATION OF RESULTS | For | Yes | For |
| 5 | RE-ELECTION OF MR LUIS JAVIER CORTES DOMINGUEZ AS INDEPENDENT DIRECTOR | For | Yes | For |
| 6 | RE-ELECTION OF MR MARKUS TACKE AS EXECUTIVE DIRECTOR | For | Yes | For |
| 7 | RE-ELECTION OF MR MICHAEL SEN AS DOMINICAL DIRECTOR | For | Yes | For |
| 8 | RE-ELECTION OF MR CARLOS RODRIGUEZ QUIROGA MENENDEZ AS EXECUTIVE DIRECTOR | For | Yes | For |
| 9.1 | AMENDMENT OF THE BYLAWS ARTICLE 1 | For | Yes | For |
| 9.2 | ARTICLE 17 | For | Yes | For |
| 9.3 | ARTICLE 49 | For | Yes | For |
| 9.4 | APPROVAL OF THE NEW TEXT OF THE BYLAWS | For | Yes | For |
| 10.1 | AMENDMENT OF THE REGULATION OF THE GENERAL MEETING ARTICLES 1 AND 5 | For | Yes | For |
| 10.2 | ARTICLE 19 | For | Yes | For |
| 10.3 | APPROVAL OF THE NEW TEXT OF THE REGULATION OF THE GENERAL MEETING | For | Yes | For |
| 11 | RE-ELECITON OF AUDITORS ERNST YOUNG | For | Yes | For |
| 12 | APPROVAL OF THE NEW REMUNERATION POLICY FOR DIRECTORS | For | Yes | For |
| 13 | DELEGATION OF POWERS TO THE BOARD OF DIRECTORS TO IMPLEMENT AGREEMENTS ADOPTED BY SHAREHOLDERS AT THE GENERAL MEETING | For | Yes | For |
| 14 | CONSULTIVE VOTE REGARDING THE ANNUAL REMUNERATION REPORT OF THE BOARD OF DIRECTORS | For | Yes | For |
Company Name: Honeywell International, Inc. Ticker: HON CUSIP: 438516106 Meeting Date: 4/24/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR DARIUS ADAMCZYK | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR WILLIAM S. AYER | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR KEVIN BURKE | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR JAIME CHICO PARDO | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR DAVID M. COTE | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR D. SCOTT DAVIS | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR LINNET F. DEILY | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR JUDD GREGG | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR CLIVE HOLLICK | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR GRACE D. LIEBLEIN | For | Yes | For |
| 1K. | ELECTION OF DIRECTOR GEORGE PAZ | For | Yes | For |
| 1L. | ELECTION OF DIRECTOR BRADLEY T. SHEARES | For | Yes | For |
| 1M. | ELECTION OF DIRECTOR ROBIN L. WASHINGTON | For | Yes | For |
| 2 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | 1 Year |
| 3 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | For |
| 4 | APPROVAL OF INDEPENDENT ACCOUNTANTS. | For | Yes | For |
| 5 | INDEPENDENT BOARD CHAIRMAN. | For | Yes | Against |
| 6 | POLITICAL LOBBYING AND CONTRIBUTIONS. | For | Yes | Against |
Company Name: IBERDROLA SA, BILBAO Ticker: CUSIP: E6165F166 Meeting Date: 3/31/2017 Meeting Type: Ordinary General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | APPROVAL OF THE INDIVIDUAL AND CONSOLIDATED ANNUAL ACCOUNTS FOR FINANCIAL YEAR 2016 | For | Yes | For |
| 2 | APPROVAL OF THE INDIVIDUAL AND CONSOLIDATED MANAGEMENT REPORTS FOR FINANCIAL YEAR 2016 | For | Yes | For |
| 3 | APPROVAL OF THE MANAGEMENT AND ACTIVITIES OF THE BOARD OF DIRECTORS DURING FINANCIAL YEAR 2016 | For | Yes | For |
| 4 | APPOINTMENT OF KPMG AUDITORES, S.L. AS NEW AUDITOR OF THE COMPANY AND OF ITS CONSOLIDATED GROUP FOR FINANCIAL YEARS 2017, 2018, AND 2019 | For | Yes | For |
| 5 | APPROVAL OF THE PREAMBLE TO THE BY-LAWS | For | Yes | For |
| 6 | AMENDMENT OF ARTICLES 7 AND 8 OF THE BY-LAWS TO REFLECT THE COMPANY'S COMMITMENT TO MAXIMISATION OF THE SOCIAL DIVIDEND AND TO THE MISSION, VISION, AND VALUES OF THE IBERDROLA GROUP | For | Yes | For |
| 7 | AMENDMENT OF ARTICLE 14 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS' MEETING TO STRENGTHEN THE RIGHT TO RECEIVE INFORMATION AND TO MAKE TECHNICAL IMPROVEMENTS | For | Yes | For |
| 8 | AMENDMENT OF ARTICLES 19 AND 39 OF THE REGULATIONS FOR THE GENERAL SHAREHOLDERS' MEETING TO EXPAND THE CHANNELS FOR PARTICIPATION IN THE GENERAL SHAREHOLDERS' MEETING | For | Yes | For |
| 9 | APPOINTMENT OF MR JUAN MANUEL GONZALEZ SERNA AS INDEPENDENT DIRECTOR | For | Yes | For |
| 10 | APPOINTMENT OF MR FRANCISCO MARTINEZ CORCOLES AS EXECUTIVE DIRECTOR | For | Yes | For |
| 11 | APPROVAL OF THE PROPOSED ALLOCATION OF PROFITS/LOSSES AND DISTRIBUTION OF DIVIDENDS FOR FINANCIAL YEAR 2016 | For | Yes | For |
| 12 | APPROVAL OF AN INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,032 MILLION EUROS | For | Yes | For |
| 13 | APPROVAL OF AN INCREASE IN CAPITAL BY MEANS OF A SCRIP ISSUE AT A MAXIMUM REFERENCE MARKET VALUE OF 1,168 MILLION EUROS. AS REGARDS EACH OF THE INCREASES, WHICH IMPLEMENT THE "IBERDROLA FLEXIBLE DIVIDEND" SYSTEM, IT IS PROPOSED TO (I) OFFER THAT THE COMPANY ACQUIRE THE FREE-OF-CHARGE ALLOCATION RIGHTS OF THE SHAREHOLDERS AT A GUARANTEED FIXED PRICE; AND (II) DELEGATE POWERS FOR THE IMPLEMENTATION THEREOF | For | Yes | For |
| 14 | APPROVAL OF A REDUCTION IN SHARE CAPITAL BY MEANS OF THE RETIREMENT OF 219,990,000 OWN SHARES (3.41% OF THE SHARE CAPITAL). DELEGATION OF POWERS FOR THE IMPLEMENTATION THEREOF | For | Yes | For |
| 15 | APPROVAL OF A STRATEGIC BONUS FOR THE EXECUTIVE DIRECTORS AND MANAGEMENT PERSONNEL LINKED TO THE COMPANY'S PERFORMANCE FOR THE 2017-2019 PERIOD, TO BE PAID THROUGH THE DELIVERY OF SHARES. DELEGATION OF POWERS FOR THE FURTHER DEVELOPMENT AND IMPLEMENTATION THEREOF | For | Yes | For |
| 16 | CONSULTATIVE VOTE REGARDING THE ANNUAL DIRECTOR REMUNERATION REPORT FOR FINANCIAL YEAR 2016 | For | Yes | For |
| 17 | AUTHORISATION TO THE BOARD OF DIRECTORS TO ISSUE SIMPLE DEBENTURES AND OTHER FIXED-INCOME SECURITIES THAT ARE NEITHER EXCHANGEABLE FOR NOR CONVERTIBLE INTO SHARES, AS WELL AS TO GUARANTEE THE ISSUE OF SECURITIES BY THE COMPANY'S SUBSIDIARIES, WITH A LIMIT OF 6,000 MILLION EUROS FOR NOTES AND OF 20,000 MILLION EUROS FOR OTHER FIXED-INCOME SECURITIES | For | Yes | For |
| 18 | DELEGATION OF POWERS FOR THE FORMALISATION AND CONVERSION INTO A PUBLIC INSTRUMENT OF THE RESOLUTIONS ADOPTED | For | Yes | For |
Company Name: Intevac, Inc. Ticker: IVAC CUSIP: 461148108 Meeting Date: 5/17/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR NORMAN H. POND | For | Yes | For |
| 1.2 | DIRECTOR WENDELL T. BLONIGAN | For | Yes | For |
| 1.3 | DIRECTOR MATTHEW A. DRAPKIN | For | Yes | For |
| 1.4 | DIRECTOR DAVID S. DURY | For | Yes | For |
| 1.5 | DIRECTOR THOMAS M. ROHRS | For | Yes | For |
| 1.6 | DIRECTOR JOHN F. SCHAEFER | For | Yes | For |
| 2 | PROPOSAL TO APPROVE AN AMENDMENT TO INCREASE THE MAXIMUM NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE COMPANY'S 2003 EMPLOYEE STOCK PURCHASE PLAN BY 500,000 SHARES. | For | Yes | For |
| 3 | PROPOSAL TO APPROVE AN AMENDMENT TO INCREASE THE MAXIMUM NUMBER OF SHARES OF COMMON STOCK AUTHORIZED FOR ISSUANCE UNDER THE COMPANY'S 2012 EQUITY INCENTIVE PLAN BY 1,000,000 SHARES AND MAKE CERTAIN OTHER CHANGES TO THE PLAN, AND TO APPROVE THE MATERIAL TERMS OF THE PLAN. | Against | Yes | Against |
| 4 | PROPOSAL TO RATIFY THE APPOINTMENT OF BPM LLP AS INDEPENDENT PUBLIC ACCOUNTANTS OF INTEVAC FOR THE FISCAL YEAR ENDING DECEMBER 30, 2017. | For | Yes | For |
| 5 | TO RECOMMEND, BY ADVISORY VOTE, EXECUTIVE COMPENSATION. | For | Yes | For |
| 6 | TO RECOMMEND, BY ADVISORY VOTE, THE FREQUENCY OF HOLDING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Against | Yes | 1 Year |
Company Name: Itron, Inc. Ticker: ITRI CUSIP: 465741106 Meeting Date: 9/14/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | ELECTION OF DIRECTOR LYNDA L. ZIEGLER | For | Yes | For |
| 1.2 | ELECTION OF DIRECTOR THOMAS S. GLANVILLE | For | Yes | For |
| 1.3 | ELECTION OF DIRECTOR DIANA D. TREMBLAY | For | Yes | For |
| 1.4 | ELECTION OF DIRECTOR PETER MAINZ | For | Yes | For |
| 1.5 | ELECTION OF DIRECTOR JEROME J. LANDE | For | Yes | For |
| 1.6 | ELECTION OF DIRECTOR FRANK M. JAEHNERT | For | Yes | For |
| 2 | PROPOSAL TO APPROVE THE ADVISORY (NON-BINDING) RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT FOR 2016. | For | Yes | For |
Company Name: Itron, Inc. Ticker: ITRI CUSIP: 465741106 Meeting Date: 5/12/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | ELECTION OF DIRECTOR FRANK M. JAEHNERT | For | Yes | For |
| 1.2 | ELECTION OF DIRECTOR JEROME J. LANDE | For | Yes | For |
| 1.3 | ELECTION OF DIRECTOR TIMOTHY M. LEYDEN | For | Yes | For |
| 1.4 | ELECTION OF DIRECTOR GARY E. PRUITT | For | Yes | For |
| 2 | PROPOSAL TO APPROVE THE ADVISORY (NON-BINDING) RESOLUTION RELATING TO EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | PROPOSAL TO DETERMINE (NON-BINDING) FREQUENCY OF FUTURE VOTES ON EXECUTIVE COMPENSATION. | For | Yes | 1 Year |
| 4 | APPROVE THE ITRON, INC. SECOND AMENDED AND RESTATED 2010 STOCK INCENTIVE PLAN, INCLUDING TO INCREASE THE SHARES AUTHORIZED FOR ISSUANCE THEREUNDER AND APPROVAL OF THE MATERIAL TERMS REQUIRED UNDER INTERNAL REVENUE CODE SECTION 162(M). | For | Yes | For |
| 5 | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTANT FOR 2017. | For | Yes | For |
Company Name: JA SOLAR HOLDINGS CO., LTD. Ticker: JASO CUSIP: 466090206 Meeting Date: 6/30/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS AND THE REPORTS OF THE CHAIRMAN AND CHIEF EXECUTIVE OFFICER FOR THE YEAR ENDED DECEMBER 31, 2016. | For | Yes | For |
| 2 | TO RE-ELECT ERYING JIA, THE RETIRING DIRECTOR, AND AUTHORIZE THE BOARD OF DIRECTORS TO FIX HIS REMUNERATION. | Against | Yes | Against |
| 3 | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENT OR POSTPONEMENT THEREOF. | Against | Yes | Against |
Company Name: JINKO SOLAR HOLDINGS COMPANY Ticker: JKS CUSIP: 47759T100 Meeting Date: 12/26/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | THAT MR. KANGPING CHEN BE RE-ELECTED AS A DIRECTOR OF THE COMPANY. | Against | Yes | Against |
| 2 | THAT MR. XIANHUA LI BE RE-ELECTED AS A DIRECTOR OF THE COMPANY. | Against | Yes | Against |
| 3 | THAT THE APPOINTMENT OF PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS AUDITORS OF THE COMPANY FOR THE FISCAL YEAR OF 2016 BE RATIFIED. | For | Yes | For |
| 4 | THAT THE DIRECTORS OF THE COMPANY BE AUTHORIZED TO DETERMINE THE REMUNERATION OF THE AUDITORS. | For | Yes | For |
| 5 | THAT EACH OF THE DIRECTORS OF THE COMPANY BE AUTHORIZED TO TAKE ANY AND ALL ACTION THAT MIGHT BE NECESSARY TO EFFECT THE FOREGOING RESOLUTIONS 1 TO 4 AS SUCH DIRECTOR, IN HIS OR HER ABSOLUTE DISCRETION, THINKS FIT. | For | Yes | For |
Company Name: Johnson Controls, Inc. Ticker: JCI CUSIP: 478366107 Meeting Date: 8/17/2016 Meeting Type: Special | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | PROPOSAL TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JANUARY 24, 2016, AS AMENDED, BY AND AMONG JOHNSON CONTROLS, INC., TYCO INTERNATIONAL PLC AND CERTAIN OTHER PARTIES NAMED THEREIN, INCLUDING JAGARA MERGER SUB LLC (THE "MERGER PROPOSAL") | For | Yes | For |
| 2 | PROPOSAL TO APPROVE THE ADJOURNMENT OF THE JOHNSON CONTROLS SPECIAL MEETING TO ANOTHER DATE AND PLACE IF NECESSARY OR APPROPRIATE TO SOLICIT ADDITIONAL VOTES IN FAVOR OF THE MERGER PROPOSAL (THE "ADJOURNMENT PROPOSAL") | For | Yes | For |
| 3 | PROPOSAL TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE COMPENSATION THAT MAY BECOME PAYABLE TO JOHNSON CONTROLS' NAMED EXECUTIVE OFFICERS THAT IS BASED ON OR OTHERWISE RELATES TO THE MERGER (THE "ADVISORY COMPENSATION PROPOSAL") | Against | Yes | Against |
Company Name: MOTECH INDUSTRIES CO LTD Ticker: 6244.TWO CUSIP: Y61397108 Meeting Date: 5/26/2017 Meeting Type: Annual General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | 2016 ANNUAL BUSINESS REPORT AND FINANCIAL STATEMENTS | For | Yes | For |
| 2 | APPROPRIATION FOR OFFSETTING DEFICIT OF YEAR 2016 | For | Yes | For |
| 3 | REVISION TO THE PROCEDURES OF ASSET ACQUISITION AND DISPOSAL | For | Yes | For |
| 4 | THE REVISION TO THE PROCEDURES OF TRADING DERIVATIVES | For | Yes | For |
| 5 | THE ISSUANCE OF 2017 RESTRICTED NEW SHARES FOR EMPLOYEE | For | Yes | For |
Company Name: Orion Energy Systems, Inc. Ticker: OESX CUSIP: 686275108 Meeting Date: 8/3/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR JOHN H. SCRIBANTE | For | Yes | For |
| 1.2 | DIRECTOR JAMES R. KACKLEY | For | Yes | For |
| 2 | ADVISORY VOTE ON THE APPROVAL OF THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. | For | Yes | For |
| 3 | APPROVAL OF THE ORION ENERGY SYSTEMS, INC. 2016 OMNIBUS INCENTIVE PLAN. | For | Yes | For |
| 4 | RATIFICATION OF BDO USA, LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017. | For | Yes | For |
Company Name: Power Integrations, Inc. Ticker: POWI CUSIP: 739276103 Meeting Date: 5/19/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR WENDY ARIENZO | For | Yes | For |
| 1.2 | DIRECTOR BALU BALAKRISHNAN | For | Yes | For |
| 1.3 | DIRECTOR ALAN D. BICKELL | For | Yes | For |
| 1.4 | DIRECTOR NICHOLAS E. BRATHWAITE | For | Yes | For |
| 1.5 | DIRECTOR WILLIAM GEORGE | For | Yes | For |
| 1.6 | DIRECTOR BALAKRISHNAN S. IYER | For | Yes | For |
| 1.7 | DIRECTOR E. FLOYD KVAMME | For | Yes | For |
| 1.8 | DIRECTOR STEVEN J. SHARP | For | Yes | For |
| 2 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF POWER INTEGRATIONS' NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THIS PROXY STATEMENT | For | Yes | For |
| 3 | TO INDICATE, ON AN ADVISORY BASIS, THE PREFERRED FREQUENCY OF STOCKHOLDER ADVISORY VOTES ON THE COMPENSATION OF POWER INTEGRATIONS' NAMED EXECUTIVE OFFICERS. | Yes | 1 Year | |
| 4 | TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF POWER INTEGRATIONS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
Company Name: Praxair, Inc. Ticker: PX CUSIP: 74005P104 Meeting Date: 4/25/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR STEPHEN F. ANGEL | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR OSCAR BERNARDES | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR NANCE K. DICCIANI | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR EDWARD G. GALANTE | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR RAYMOND W. LEBOEUF | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR LARRY D. MCVAY | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR MARTIN H. RICHENHAGEN | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR WAYNE T. SMITH | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR ROBERT L. WOOD | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF THE INDEPENDENT AUDITOR | For | Yes | For |
| 3 | TO APPROVE, ON AN ADVISORY AND NON-BINDING BASIS, THE COMPENSATION OF PRAXAIR'S NAMED EXECUTIVE OFFICERS AS DISCLOSED IN THE 2017 PROXY STATEMENT. | For | Yes | For |
| 4 | TO RECOMMEND, ON AN ADVISORY AND NON-BINDING BASIS, THE FREQUENCY OF HOLDING FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | 1 Year |
| 5 | TO APPROVE AMENDMENTS TO THE AMENDED AND RESTATED 2009 PRAXAIR, INC. LONG TERM INCENTIVE PLAN AND TO APPROVE SECTION 162(M) PERFORMANCE MEASURES UNDER THE PLAN | For | Yes | For |
Company Name: SHARP CORPORATION Ticker: CUSIP: J71434112 Meeting Date: 6/20/2017 Meeting Type: Annual General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| PLEASE NOTE THIS IS THE ANNUAL GENERAL SHAREHOLDERS MEETING AND THE CLASS SHAREHOLDERS MEETING OF ORDINARY SHAREHOLDERS | ||||
| 1 | Amend Articles to Consolidate Trading Unit under Regulatory Requirements, Expand Business Lines, Increase the Board of Directors Size to 25, Transition to a Company with Supervisory Committee, Eliminate the Articles Related to Class B Shares, Revise Convenors and Chairpersons of a Shareholders Meeting, Allow the Board of Directors to Authorize Appropriation of Surplus | For | Yes | For |
| 2 | Approve Share Consolidation | For | Yes | For |
| 3.1 | Appoint a Director except as Supervisory Committee Members Tai Jeng-Wu | For | Yes | For |
| 3.2 | Appoint a Director except as Supervisory Committee Members Nomura, Katsuaki | For | Yes | For |
| 3.3 | Appoint a Director except as Supervisory Committee Members Takayama, Toshiaki | For | Yes | For |
| 3.4 | Appoint a Director except as Supervisory Committee Members Young Liu | For | Yes | For |
| 3.5 | Appoint a Director except as Supervisory Committee Members Nishiyama, Hirokazu | For | Yes | For |
| 3.6 | Appoint a Director except as Supervisory Committee Members Chien-Erh Wang | For | Yes | For |
| 4.1 | Appoint a Director as Supervisory Committee Members Hse-Tung Lu | For | Yes | For |
| 4.2 | Appoint a Director as Supervisory Committee Members Kurumatani, Nobuaki | For | Yes | For |
| 4.3 | Appoint a Director as Supervisory Committee Members Himeiwa, Yasuo | For | Yes | For |
| 5 | Amend the Compensation to be received by Directors except as Supervisory Committee Members | For | Yes | For |
| 6 | Amend the Compensation to be received by Directors as Supervisory Committee Members | For | Yes | For |
| 7 | Approve Issuance of Share Acquisition Rights as Stock Options for Directors and Employees of the Company, the Company's Subsidiaries and the Affiliated Companies | For | Yes | For |
| 8 | Approve Share Consolidation (PLEASE NOTE THIS IS THE AGENDA ITEM FOR THE CLASS SHAREHOLDERS MEETING OF ORDINARY SHAREHOLDERS.) | For | Yes | For |
Company Name: SOLARCITY CORPORATION Ticker: SCTY CUSIP: 83416T100 Meeting Date: 11/17/2016 Meeting Type: Special | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JULY 31, 2016 (AS IT MAY BE AMENDED FROM TIME TO TIME, THE "MERGER AGREEMENT"), AMONG TESLA MOTORS, INC. ("TESLA"), SOLARCITY CORPORATION ("SOLARCITY"), AND D SUBSIDIARY, INC., A WHOLLY OWNED SUBSIDIARY OF TESLA ("MERGER SUB"), PURSUANT TO ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | For | Yes | For |
| 2 | A PROPOSAL TO ADJOURN THE SPECIAL MEETING OF SOLARCITY STOCKHOLDERS, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES TO APPROVE THE SOLARCITY MERGER PROPOSAL (THE "SOLARCITY ADJOURNMENT PROPOSAL"). | For | Yes | For |
Company Name: SUNPOWER CORPORATION Ticker: SPWR CUSIP: 867652406 Meeting Date: 4/27/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR HELLE KRISTOFFERSEN | For | Yes | For |
| 1.2 | DIRECTOR THOMAS R. MCDANIEL | For | Yes | For |
| 1.3 | DIRECTOR THOMAS H. WERNER | For | Yes | For |
| 2 | THE APPROVAL, IN AN ADVISORY VOTE, OF OUR NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For |
| 3 | THE PROPOSAL TO APPROVE, IN AN ADVISORY VOTE, WHETHER A STOCKHOLDER ADVISORY VOTE ON OUR NAMED EXECUTIVE OFFICER COMPENSATION SHOULD BE HELD EVERY (A) ONE YEAR, (B) TWO YEARS, OR (C) THREE YEARS. | For | Yes | 1 Year |
| 4 | THE RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017. | For | Yes | For |
Company Name: TESLA MOTORS, INC. Ticker: TSLA CUSIP: 88160R101 Meeting Date: 6/6/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | ELECTION OF CLASS I DIRECTOR ELON MUSK | Against | Yes | Against |
| 1.2 | ELECTION OF CLASS I DIRECTOR ROBYN M. DENHOLM | For | Yes | For |
| 1.3 | ELECTION OF CLASS I DIRECTOR STEPHEN T. JURVETSON | For | Yes | For |
| 2 | A NON-BINDING ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | A NON-BINDING ADVISORY VOTE ON THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | Against | Yes | 1 Year |
| 4 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS TESLA'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 5 | A STOCKHOLDER PROPOSAL REGARDING DECLASSIFICATION OF THE BOARD OF DIRECTORS. | Against | Yes | For |
Company Name: ULVAC INC. Ticker: 6728 CUSIP: J94048105 Meeting Date: 9/29/2016 Meeting Type: Annual General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Please reference meeting materials. | ||||
| 1 | Approve Appropriation of Surplus | For | Yes | For |
| 2 | Amend Articles to Reduce the Board of Directors Size to 12, Reduce Term of Office of Directors to One Year | For | Yes | For |
| 3.1 | Appoint a Director Obinata, Hisaharu | For | Yes | For |
| 3.2 | Appoint a Director Iwashita, Setsuo | For | Yes | For |
| 3.3 | Appoint a Director Fujiyama, Junki | For | Yes | For |
| 3.4 | Appoint a Director Odagi, Hideyuki | For | Yes | For |
| 3.5 | Appoint a Director Mihayashi, Akira | For | Yes | For |
| 3.6 | Appoint a Director Ishida, Kozo | For | Yes | For |
| 4 | Appoint a Substitute Corporate Auditor Nonaka, Takao | For | Yes | For |
| 5 | Amend the Compensation to be received by Directors | Against | Yes | Against |
| 6 | Approve Details of Stock Compensation to be received by Directors and Executive Officers | For | Yes | For |
Company Name: United Technologies Corporation Ticker: UTX CUSIP: 913017109 Meeting Date: 4/24/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR LLOYD J. AUSTIN III | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR DIANE M. BRYANT | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR JOHN V. FARACI | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR JEAN-PIERRE GARNIER | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR GREGORY J. HAYES | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR EDWARD A. KANGAS | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR ELLEN J. KULLMAN | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR MARSHALL O. LARSEN | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR HAROLD MCGRAW III | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR FREDRIC G. REYNOLDS | For | Yes | For |
| 1K. | ELECTION OF DIRECTOR BRIAN C. ROGERS | For | Yes | For |
| 1L. | ELECTION OF DIRECTOR CHRISTINE TODD WHITMAN | For | Yes | For |
| 2 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS INDEPENDENT AUDITOR FOR 2017. | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For |
| 4 | ADVISORY VOTE ON THE FREQUENCY OF SHAREOWNER VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | 1 Year |
Company Name: VESTAS WIND SYSTEMS A/S, RANDERS Ticker: CUSIP: K9773J128 Meeting Date: 4/6/2017 Meeting Type: Annual General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | THE BOARD OF DIRECTORS' REPORT | For | Yes | M |
| 2 | PRESENTATION AND ADOPTION OF THE ANNUAL REPORT | For | Yes | For |
| 3 | RESOLUTION FOR THE ALLOCATION OF THE RESULT OF THE YEAR DKK 9.71 PER SHARE | For | Yes | For |
| 4.A | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR BERT NORDBERG | For | Yes | For |
| 4.B | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR CARSTEN BJERG | For | Yes | For |
| 4.C | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR EIJA PITKANEN | For | Yes | For |
| 4.D | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR HENRIK ANDERSEN | For | Yes | For |
| 4.E | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR HENRY STENSON | For | Yes | For |
| 4.F | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR LARS JOSEFSSON | For | Yes | For |
| 4.G | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR LYKKE FRIIS | For | Yes | For |
| 4.H | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTOR TORBEN BALLEGAARD SORENSEN | For | Yes | For |
| 5.1 | ADOPTION OF THE REMUNERATION OF THE BOARD OF DIRECTORS FINAL APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2016 | For | Yes | For |
| 5.2 | ADOPTION OF THE REMUNERATION OF THE BOARD OF DIRECTORS APPROVAL OF THE LEVEL OF REMUNERATION OF THE BOARD OF DIRECTORS FOR 2017 | For | Yes | For |
| 6 | RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB AS AUDITOR | For | Yes | For |
| 7.1 | PROPOSALS FROM THE BOARD OF DIRECTORS REDUCTION OF THE COMPANY'S SHARE CAPITAL - AMENDMENT OF ARTICLE 2(1) OF THE ARTICLES OF ASSOCIATION-THE COMPANY'S SHARE CAPITAL IS REDUCED FROM NOMINALLY DKK 221,544,727 TO NOMINALLY DKK 215,496,947 THROUGH CANCELLATION OF TREASURY SHARES | For | Yes | For |
| 7.2 | PROPOSALS FROM THE BOARD OF DIRECTORS RENEWAL OF THE AUTHORISATION TO ACQUIRE TREASURY SHARES- AUTHORISATION TO ACQUIRE TREASURY SHARES ON AN ONGOING BASIS UNTIL 31 DECEMBER 2018 | For | Yes | For |
| 7.3 | PROPOSALS FROM THE BOARD OF DIRECTORS NOTIFICATION OF ATTENDANCE AT A GENERAL MEETING - AMENDMENT OF ARTICLES 6(3) AND 6(4) OF THE ARTICLES OF ASSOCIATION- THE COMPANY'S ARTICLES OF ASSOCIATION ARE AMENDED TO THE EFFECT THAT SHAREHOLDERS ARE NOT REQUIRED TO REQUEST AN ADMISSION CARD IN ORDER TO ATTEND A GENERAL MEETING. INSTEAD SHAREHOLDERS MUST NOTIFY THE COMPANY OF THEIR ATTENDANCE | For | Yes | For |
| 8 | AUTHORISATION OF THE CHAIRMAN OF THE GENERAL MEETING | For | Yes | For |
Company Name: VIVINT SOLAR INC Ticker: VSLR CUSIP: 92854Q106 Meeting Date: 6/20/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR DAVID BYWATER | For | Yes | For |
| 1.2 | DIRECTOR ALEX J. DUNN | For | Yes | For |
| 1.3 | DIRECTOR PETER F. WALLACE | For | Yes | For |
| 2 | RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017 | For | Yes | For |
| Firsthand Technology Opportunities Fund | ||||
Company Name: Adobe Systems Inc. Ticker: ADBE CUSIP: 00724F101 Meeting Date: 4/12/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR AMY BANSE | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR EDWARD BARNHOLT | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR ROBERT BURGESS | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR FRANK CALDERONI | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR JAMES DALEY | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR LAURA DESMOND | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR CHARLES GESCHKE | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR SHANTANU NARAYEN | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR DANIEL ROSENSWEIG | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR JOHN WARNOCK | For | Yes | For |
| 2 | APPROVAL OF THE 2003 EQUITY INCENTIVE PLAN AS AMENDED TO INCREASE THE AVAILABLE SHARE RESERVE BY 10 MILLION SHARES. | For | Yes | For |
| 3 | RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | For | Yes | For |
| 4 | APPROVAL ON AN ADVISORY BASIS OF THE COMPENSATION OF THE NAMED EXECUTIVE OFFICERS. | For | Yes | For |
| 5 | APPROVAL ON AN ADVISORY BASIS OF THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | For | Yes | 1 Year |
Company Name: Amazon.com, Inc. Ticker: AMZN CUSIP: 23135106 Meeting Date: 5/23/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR JEFFREY P. BEZOS | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR TOM A. ALBERG | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR JOHN SEELY BROWN | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR JAMIE S. GORELICK | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR DANIEL P. HUTTENLOCHER | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR JUDITH A. MCGRATH | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR JONATHAN J. RUBINSTEIN | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR THOMAS O. RYDER | For | Yes | For |
| 1I. | ELECTION OF DIRECTOR PATRICIA Q. STONESIFER | For | Yes | For |
| 1J. | ELECTION OF DIRECTOR WENDELL P. WEEKS | For | Yes | For |
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT AUDITORS | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | For | Yes | For |
| 4 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION | Against | Yes | 1 Year |
| 5 | APPROVAL OF THE COMPANY'S 1997 STOCK INCENTIVE PLAN, AS AMENDED AND RESTATED | Against | Yes | Against |
| 6 | SHAREHOLDER PROPOSAL REGARDING A REPORT ON USE OF CRIMINAL BACKGROUND CHECKS IN HIRING DECISIONS | Against | Yes | For |
| 7 | SHAREHOLDER PROPOSAL REGARDING SUSTAINABILITY AS AN EXECUTIVE COMPENSATION PERFORMANCE MEASURE | For | Yes | Against |
| 8 | SHAREHOLDER PROPOSAL REGARDING VOTE-COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS | For | Yes | Against |
Company Name: AMBARELLA, INC. Ticker: AMBA CUSIP: G037AX101 Meeting Date: 6/7/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR LESLIE KOHN | For | Yes | For |
| 1.2 | DIRECTOR D. JEFFREY RICHARDSON | For | Yes | For |
| 2 | PROPOSAL TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS AMBARELLA, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING ON JANUARY 31, 2018. | For | Yes | For |
| 3 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF AMBARELLA, INC.'S NAMED EXECUTIVE OFFICERS. | For | Yes | For |
Company Name: Apple Inc. Ticker: AAPL CUSIP: 37833100 Meeting Date: 2/28/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR JAMES BELL | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR TIM COOK | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR AL GORE | For | Yes | For |
| 1D. | ELECTION OF DIRECTOR BOB IGER | For | Yes | For |
| 1E. | ELECTION OF DIRECTOR ANDREA JUNG | For | Yes | For |
| 1F. | ELECTION OF DIRECTOR ART LEVINSON | For | Yes | For |
| 1G. | ELECTION OF DIRECTOR RON SUGAR | For | Yes | For |
| 1H. | ELECTION OF DIRECTOR SUE WAGNER | For | Yes | For |
| 2 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS APPLE'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017 | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION | For | Yes | For |
| 4 | ADVISORY VOTE ON THE FREQUENCY OF SHAREHOLDER VOTES ON EXECUTIVE COMPENSATION | For | Yes | 1 Year |
| 5 | A SHAREHOLDER PROPOSAL ENTITLED "CHARITABLE GIVING - RECIPIENTS, INTENTS AND BENEFITS" | For | Yes | Against |
| 6 | A SHAREHOLDER PROPOSAL REGARDING DIVERSITY AMONG OUR SENIOR MANAGEMENT AND BOARD OF DIRECTORS | For | Yes | Against |
| 7 | A SHAREHOLDER PROPOSAL ENTITLED "SHAREHOLDER PROXY ACCESS AMENDMENTS" | For | Yes | Against |
| 8 | A SHAREHOLDER PROPOSAL ENTITLED "EXECUTIVE COMPENSATION REFORM" | For | Yes | Against |
| 9 | A SHAREHOLDER PROPOSAL ENTITLED "EXECUTIVES TO RETAIN SIGNIFICANT STOCK" | For | Yes | Against |
Company Name: EQUINIX, INC. Ticker: EQIX CUSIP: 29444U700 Meeting Date: 5/31/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR THOMAS BARTLETT | For | Yes | For |
| 1.2 | DIRECTOR NANCI CALDWELL | For | Yes | For |
| 1.3 | DIRECTOR GARY HROMADKO | For | Yes | For |
| 1.4 | DIRECTOR JOHN HUGHES | For | Yes | For |
| 1.5 | DIRECTOR SCOTT KRIENS | For | Yes | For |
| 1.6 | DIRECTOR WILLIAM LUBY | For | Yes | For |
| 1.7 | DIRECTOR IRVING LYONS, III | For | Yes | For |
| 1.8 | DIRECTOR CHRISTOPHER PAISLEY | For | Yes | For |
| 1.9 | DIRECTOR STEPHEN SMITH | For | Yes | For |
| 1.10 | DIRECTOR PETER VAN CAMP | For | Yes | For |
| 2 | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | For | Yes | For |
| 3 | TO APPROVE BY A NON-BINDING ADVISORY VOTE THE FREQUENCY OF STOCKHOLDER NON-BINDING ADVISORY VOTES ON THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | 1 Year |
| 4 | TO APPROVE LONG-TERM INCENTIVE PERFORMANCE TERMS FOR CERTAIN OF OUR EXECUTIVES, PURSUANT TO SECTION 162(M) OF THE INTERNAL REVENUE CODE. | For | Yes | For |
| 5 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
Company Name: EXAR CORPORATION Ticker: EXAR CUSIP: 300645108 Meeting Date: 9/8/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR BEHROOZ ABDI | For | Yes | For |
| 1.2 | DIRECTOR IZAK BENCUYA | For | Yes | For |
| 1.3 | DIRECTOR RYAN A. BENTON | For | Yes | For |
| 1.4 | DIRECTOR PIERRE GUILBAULT | For | Yes | For |
| 1.5 | DIRECTOR BRIAN HILTON | For | Yes | For |
| 1.6 | DIRECTOR GARY MEYERS | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING APRIL 2, 2017. | For | Yes | For |
| 3 | TO APPROVE BY STOCKHOLDER ADVISORY VOTE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS DISCLOSED IN THE ACCOMPANYING PROXY STATEMENT UNDER THE SECTION TITLED "EXECUTIVE COMPENSATION", INCLUDING THE COMPENSATION TABLES AND OTHER NARRATIVE EXECUTIVE COMPENSATION DISCLOSURES THEREIN, REQUIRED BY ITEM 402 OF ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | For | Yes | For |
Company Name: Facebook, Inc. Ticker: FB CUSIP: 30303M102 Meeting Date: 6/1/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR MARC L. ANDREESSEN | For | Yes | For |
| 1.2 | DIRECTOR ERSKINE B. BOWLES | For | Yes | For |
| 1.3 | DIRECTOR S.D.DESMOND-HELLMANN | For | Yes | For |
| 1.4 | DIRECTOR REED HASTINGS | For | Yes | For |
| 1.5 | DIRECTOR JAN KOUM | For | Yes | For |
| 1.6 | DIRECTOR SHERYL K. SANDBERG | For | Yes | For |
| 1.7 | DIRECTOR PETER A. THIEL | For | Yes | For |
| 1.8 | DIRECTOR MARK ZUCKERBERG | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS FACEBOOK, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 3 | A STOCKHOLDER PROPOSAL REGARDING CHANGE IN STOCKHOLDER VOTING. | Against | Yes | For |
| 4 | A STOCKHOLDER PROPOSAL REGARDING A LOBBYING REPORT. | For | Yes | Against |
| 5 | A STOCKHOLDER PROPOSAL REGARDING FALSE NEWS. | For | Yes | Against |
| 6 | A STOCKHOLDER PROPOSAL REGARDING A GENDER PAY EQUITY REPORT. | For | Yes | Against |
| 7 | A STOCKHOLDER PROPOSAL REGARDING AN INDEPENDENT CHAIR. | For | Yes | Against |
Company Name: GOGO INC. Ticker: GOGO CUSIP: 38046C109 Meeting Date: 6/7/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR HUGH W. JONES | For | Yes | For |
| 1.2 | DIRECTOR MICHAEL J. SMALL | For | Yes | For |
| 1.3 | DIRECTOR OAKLEIGH THORNE | For | Yes | For |
| 2 | ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | APPROVAL OF THE AMENDMENTS TO THE GOGO INC. EMPLOYEE STOCK PURCHASE PLAN. | For | Yes | For |
| 4 | TO RATIFY THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
Company Name: LinkedIn Ticker: LNKD CUSIP: 53578A108 Meeting Date: 8/19/2016 Meeting Type: Special | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JUNE 11, 2016, AS IT MAY BE AMENDED FROM TIME TO TIME, BY AND AMONG LINKEDIN CORPORATION, MICROSOFT CORPORATION AND LIBERTY MERGER SUB INC. (THE "MERGER AGREEMENT"). | For | Yes | For |
| 2 | TO APPROVE ANY PROPOSAL TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES TO ADOPT THE MERGER AGREEMENT AT THE TIME OF THE SPECIAL MEETING. | For | Yes | For |
| 3 | TO APPROVE, BY NON-BINDING, ADVISORY VOTE, COMPENSATION THAT WILL OR MAY BECOME PAYABLE BY LINKEDIN CORPORATION TO ITS NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE MERGER. | Against | Yes | Against |
Company Name: Netflix. Inc Ticker: NFLX CUSIP: 64110L106 Meeting Date: 6/6/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR REED HASTINGS | For | Yes | For |
| 1.2 | DIRECTOR JAY HOAG | For | Yes | For |
| 1.3 | DIRECTOR A. GEORGE (SKIP) BATTLE | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 3 | ADVISORY APPROVAL OF THE COMPANY'S EXECUTIVE OFFICER COMPENSATION. | For | Yes | For |
| 4 | ADVISORY APPROVAL OF THE FREQUENCY OF VOTES ON THE COMPANY'S EXECUTIVE OFFICER COMPENSATION. | For | Yes | 1 Year |
| 5 | STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For |
| 6 | STOCKHOLDER PROPOSAL REGARDING AN ANNUAL SUSTAINABILITY REPORT, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For |
| 7 | STOCKHOLDER PROPOSAL REGARDING AN EMISSIONS REPORT, IF PROPERLY PRESENTED AT THE MEETING. | For | Yes | Against |
| 8 | STOCKHOLDER PROPOSAL REGARDING ELECTING EACH DIRECTOR ANNUALLY, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For |
| 9 | STOCKHOLDER PROPOSAL REGARDING SIMPLE MAJORITY VOTING, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For |
| 10 | STOCKHOLDER PROPOSAL TO AMEND SECTION 3.3 OF THE BYLAWS TO MAJORITY VOTE, IF PROPERLY PRESENTED AT THE MEETING. | Against | Yes | For |
Company Name: PALO ALTO NETWORKS, INC. Ticker: PANW CUSIP: 697435105 Meeting Date: 12/8/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR MARK D. MCLAUGHLIN | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR ASHEEM CHANDNA | For | Yes | For |
| 1C. | ELECTION OF DIRECTOR JAMES J. GOETZ | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS PALO ALTO NETWORKS, INC.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ITS FISCAL YEAR ENDING JULY 31, 2017. | For | Yes | For |
| 3 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF PALO ALTO NETWORKS, INC.'S NAMED EXECUTIVE OFFICERS. | Against | Yes | Against |
Company Name: RACKSPACE HOSTING, INC. Ticker: RAX CUSIP: 750086100 Meeting Date: 11/2/2016 Meeting Type: Special | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF AUGUST 26, 2016, AS IT MAY BE AMENDED FROM TIME TO TIME, BY AND AMONG RACKSPACE, INCEPTION PARENT, INC., AND INCEPTION MERGER SUB, INC. (THE "MERGER AGREEMENT"). | For | Yes | For |
| 2 | TO APPROVE ANY PROPOSAL TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE INSUFFICIENT VOTES TO ADOPT THE MERGER AGREEMENT AT THE TIME OF THE SPECIAL MEETING. | For | Yes | For |
| 3 | TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, COMPENSATION THAT WILL OR MAY BECOME PAYABLE BY RACKSPACE TO ITS NAMED EXECUTIVE OFFICERS IN CONNECTION WITH THE MERGER. | For | Yes | For |
| 4 | TO APPROVE THE ACCELERATION OF VESTING OF CERTAIN EQUITY AWARDS HELD BY RACKSPACE'S NON-EMPLOYEE DIRECTORS. | For | Yes | For |
Company Name: ROCKET FUEL, INC. Ticker: FUEL CUSIP: 773111109 Meeting Date: 6/13/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1A. | ELECTION OF DIRECTOR JOHN J. LEWIS | For | Yes | For |
| 1B. | ELECTION OF DIRECTOR MONTE ZWEBEN | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
Company Name: SINA CORPORATION Ticker: SINA CUSIP: G81477104 Meeting Date: 11/4/2016 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | ELECTION OF DIRECTOR TER FUNG TSAO | For | Yes | For |
| 2 | RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS THE INDEPENDENT AUDITORS OF THE COMPANY. | For | Yes | For |
Company Name: TENCENT HOLDINGS LTD, GEORGE TOWN Ticker: CUSIP: G87572163 Meeting Date: 5/17/2017 Meeting Type: ExtraOrdinary General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | TO ADOPT THE SHARE OPTION PLAN OF TENCENT MUSIC ENTERTAINMENT GROUP | For | Yes | For |
Company Name: TENCENT HOLDINGS LTD, GEORGE TOWN Ticker: CUSIP: G87572163 Meeting Date: 5/17/2017 Meeting Type: Annual General Meeting | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | TO RECEIVE AND CONSIDER THE AUDITED FINANCIAL STATEMENTS, THE DIRECTORS' REPORT AND THE INDEPENDENT AUDITOR'S REPORT FOR THE YEAR ENDED 31 DECEMBER 2016 | For | Yes | For |
| 2 | TO DECLARE A FINAL DIVIDEND | For | Yes | For |
| 3.A | TO RE-ELECT MR LAU CHI PING MARTIN AS DIRECTOR | For | Yes | For |
| 3.B | TO RE-ELECT MR CHARLES ST LEGER SEARLE AS DIRECTOR | For | Yes | For |
| 3.C | TO RE-ELECT MR YANG SIU SHUN AS DIRECTOR | For | Yes | For |
| 3.D | TO AUTHORISE THE BOARD OF DIRECTORS TO FIX THE DIRECTORS' REMUNERATION | For | Yes | For |
| 4 | TO RE-APPOINT AUDITOR AND AUTHORISE THE BOARD OF DIRECTORS TO FIX THEIR REMUNERATION PRICEWATERHOUSECOOPERS | For | Yes | For |
| 5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES | Against | Yes | Against |
| 6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES | For | Yes | For |
| 7 | TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED | Against | Yes | Against |
| 8 | TO ADOPT THE 2017 SHARE OPTION SCHEME | For | Yes | For |
Company Name: TESLA MOTORS, INC. Ticker: TSLA CUSIP: 88160R101 Meeting Date: 11/17/2016 Meeting Type: Special | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | A PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JULY 31, 2016 (AS IT MAY BE AMENDED FROM TIME TO TIME, THE "MERGER AGREEMENT"), AMONG TESLA MOTORS, INC. ("TESLA"), SOLARCITY CORPORATION ("SOLARCITY"), AND D SUBSIDIARY, INC., A WHOLLY OWNED SUBSIDIARY OF TESLA ("MERGER SUB"), PURSUANT TO WHICH MERGER SUB WILL MERGE WITH AND INTO SOLARCITY (THE "MERGER"), WITH SOLARCITY SURVIVING THE MERGER AS A WHOLLY OWNED SUBSIDIARY OF TESLA, AND TO APPROVE THE TRANSACTIONS .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Against | Yes | Against |
| 2 | A PROPOSAL TO ADJOURN THE SPECIAL MEETING OF TESLA STOCKHOLDERS (THE "SPECIAL MEETING"), IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES TO APPROVE THE TESLA MERGER AND SHARE ISSUANCE PROPOSAL. | Against | Yes | Against |
Company Name: TESLA MOTORS, INC. Ticker: TSLA CUSIP: 88160R101 Meeting Date: 6/6/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | ELECTION OF CLASS I DIRECTOR ELON MUSK | Against | Yes | Against |
| 1.2 | ELECTION OF CLASS I DIRECTOR ROBYN M. DENHOLM | For | Yes | For |
| 1.3 | ELECTION OF CLASS I DIRECTOR STEPHEN T. JURVETSON | For | Yes | For |
| 2 | A NON-BINDING ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION. | For | Yes | For |
| 3 | A NON-BINDING ADVISORY VOTE ON THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. | Against | Yes | 1 Year |
| 4 | TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS TESLA'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 5 | A STOCKHOLDER PROPOSAL REGARDING DECLASSIFICATION OF THE BOARD OF DIRECTORS. | Against | Yes | For |
Company Name: TWITTER, INC. Ticker: TWTR CUSIP: 90184L102 Meeting Date: 5/22/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | ELECTION OF DIRECTOR OMID R. KORDESTANI | For | Yes | For |
| 1.2 | ELECTION OF DIRECTOR MARJORIE SCARDINO | For | Yes | For |
| 1.3 | ELECTION OF DIRECTOR BRET TAYLOR | For | Yes | For |
| 2 | TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | For | Yes | For |
| 3 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2017. | For | Yes | For |
| 4 | A STOCKHOLDER PROPOSAL REGARDING A REPORT ON USERS OWNING THE TWITTER PLATFORM. | For | Yes | Against |
Company Name: VMWARE INC Ticker: VMW CUSIP: 928563402 Meeting Date: 6/8/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1 | ELECTION OF DIRECTOR ANTHONY BATES | For | Yes | For |
| 2 | AN ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION, AS DESCRIBED IN VMWARE'S PROXY STATEMENT. | Against | Yes | Against |
| 3 | ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | 1 Year |
| 4 | TO APPROVE THE AMENDED AND RESTATED 2007 EQUITY AND INCENTIVE PLAN. | For | Yes | For |
| 5 | TO APPROVE THE AMENDED AND RESTATED 2007 EMPLOYEE STOCK PURCHASE PLAN. | For | Yes | For |
| 6 | TO APPROVE THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION. | For | Yes | For |
| 7 | TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF VMWARE'S BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS VMWARE'S INDEPENDENT AUDITOR FOR THE FISCAL YEAR ENDING FEBRUARY 2, 2018. | For | Yes | For |
Company Name: WORKDAY, INC. Ticker: WDAY CUSIP: 98138H101 Meeting Date: 6/20/2017 Meeting Type: Annual | ||||
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal | ||||
| 1.1 | DIRECTOR CHRISTA DAVIES | For | Yes | For |
| 1.2 | DIRECTOR MICHAEL A. STANKEY | For | Yes | For |
| 1.3 | DIRECTOR GEORGE J. STILL, JR. | For | Yes | For |
| 2 | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS WORKDAY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JANUARY 31, 2018. | For | Yes | For |
| 3 | ADVISORY VOTE ON NAMED EXECUTIVE OFFICER COMPENSATION. | For | Yes | For |
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) | FIRSTHAND FUNDS | |
| By (Signature and Title) | /s/ Kevin M. Landis | |
| Kevin M. Landis | ||
| President | ||
| Date | August 30, 2017 |