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 | Dimitris Spiliakos BNY Mellon Asset Servicing One Boston Place 201 Washington Street, 34th floor Boston, MA 02108 | David Hearth, Esq. Paul Hastings LLP 101 California St. Forty-Eighth Floor San Francisco, CA 94111 |
Registrant’s telephone number, including area code:(408) 886-7096
Date of fiscal year end: December 31
Date of reporting period: July 1, 2018 – June 30, 2019
Item 1. Proxy Voting Record.
Firsthand Alternative Energy Fund
| Company Name: | 3M CO |
| Ticker: | MMM | CUSIP: | 88579Y101 |
| Meeting Date: | 5/14/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Director: Thomas "Tony" K. Brown | For | Yes | For |
| 1b. | Election of Director: Pamela J. Craig | For | Yes | For |
| 1c. | Election of Director: David B. Dillon | For | Yes | For |
| 1d. | Election of Director: Michael L. Eskew | For | Yes | For |
| 1e. | Election of Director: Herbert L. Henkel | For | Yes | For |
| 1f. | Election of Director: Amy E. Hood | 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: Dambisa F. Moyo | For | Yes | For |
| 1j. | Election of Director: Gregory R. Page | For | Yes | For |
| 1k. | Election of Director: Michael F. Roman | For | Yes | For |
| 1l. | 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 | Stockholder proposal on setting target amounts for CEO compensation. | Against | Yes | For |
| Company Name: | Amtech Systems, Inc. |
| Ticker: | ASYS | CUSIP: | 32332504 |
| Meeting Date: | 3/6/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Jong S. Whang | For | Yes | For |
| 1.2 | DIRECTOR Robert M. Averick | For | Yes | For |
| 1.3 | DIRECTOR Michael Garnreiter | For | Yes | For |
| 1.4 | DIRECTOR Robert F. King | For | Yes | For |
| 1.5 | DIRECTOR Sukesh Mohan | 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 2019 | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | For | Yes | For |
| 4 | APPROVE THE AMENDMENT TO THE COMPANY'S 2007 EMPLOYEE STOCK INCENTIVE PLAN | For | Yes | For |
| Company Name: | ASPEN AEROGELS, INC. |
| Ticker: | ASPN | CUSIP: | 04523Y105 |
| Meeting Date: | 6/19/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Mark L. Noetzel | For | Yes | For |
| 1.2 | DIRECTOR William P. Noglows | 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, 2019. | For | Yes | For |
| Company Name: | Corning Inc. |
| Ticker: | GLW | CUSIP: | 219350105 |
| Meeting Date: | 5/2/2019 | 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: Leslie A. Brun | For | Yes | For |
| 1c. | Election of Director: Stephanie A. Burns | For | Yes | For |
| 1d. | Election of Director: John A. Canning, Jr. | For | Yes | For |
| 1e. | Election of Director: Richard T. Clark | For | Yes | For |
| 1f. | Election of Director: Robert F. Cummings, Jr. | For | Yes | For |
| 1g. | Election of Director: Deborah A. Henretta | For | Yes | For |
| 1h. | Election of Director: Daniel P. Huttenlocher | For | Yes | For |
| 1i. | Election of Director: Kurt M. Landgraf | For | Yes | For |
| 1j. | Election of Director: Kevin J. Martin | For | Yes | For |
| 1k. | Election of Director: Deborah D. Rieman | For | Yes | For |
| 1l. | Election of Director: Hansel E. Tookes II | For | Yes | For |
| 1m. | Election of Director: Wendell P. Weeks | For | Yes | For |
| 1n. | Election of Director: Mark S. Wrighton | For | Yes | For |
| 2 | Advisory approval of the Company's executive compensation (Say on Pay). | For | Yes | For |
| 3 | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. | For | Yes | For |
| 4 | Approval of the 2019 Equity Plan for Non-Employee Directors. | For | Yes | For |
| Company Name: | Cree, Inc. |
| Ticker: | CREE | CUSIP: | 225447101 |
| Meeting Date: | 10/22/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR John C. Hodge | For | Yes | For |
| 1.2 | DIRECTOR Clyde R. Hosein | For | Yes | For |
| 1.3 | DIRECTOR Darren R. Jackson | For | Yes | For |
| 1.4 | DIRECTOR Duy-Loan T. Le | For | Yes | For |
| 1.5 | DIRECTOR Gregg A. Lowe | 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 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 30, 2019. | For | Yes | For |
| 3 | ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | For |
| Company Name: | FIRST SOLAR, INC. |
| Ticker: | FSLR | CUSIP: | 336433107 |
| Meeting Date: | 5/15/2019 | 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: Molly E. Joseph | For | Yes | For |
| 1f. | Election of Director: Craig Kennedy | For | Yes | For |
| 1g. | Election of Director: William J. Post | For | Yes | For |
| 1h. | Election of Director: Paul H. Stebbins | For | Yes | For |
| 1i. | Election of Director: Michael Sweeney | For | Yes | For |
| 1j. | Election of Director: Mark R. Widmar | For | Yes | For |
| 2 | Ratification of the appointment of PricewaterhouseCoopers LLP as the Independent Registered Public Accounting Firm for the year ending December 31, 2019. | For | Yes | For |
| Company Name: | Honeywell International, Inc. |
| Ticker: | HON | CUSIP: | 438516106 |
| Meeting Date: | 4/29/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Darius Adamczyk | For | Yes | For |
| 1B. | Election of Director: Duncan B. Angove | For | Yes | For |
| 1C. | Election of Director: William S. Ayer | For | Yes | For |
| 1D. | Election of Director: Kevin Burke | For | Yes | For |
| 1E. | Election of Director: Jaime Chico Pardo | 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: Robin L. Washington | For | Yes | For |
| 2 | Advisory Vote to Approve Executive Compensation. | For | Yes | For |
| 3 | Approval of Independent Accountants. | For | Yes | For |
| 4 | Right To Act By Written Consent. | Against | Yes | For |
| 5 | Report on Lobbying Payments and Policy. | Against | Yes | For |
| Company Name: | IBERDROLA SA, BILBAO |
| Ticker: | | CUSIP: | E6165F166 |
| Meeting Date: | 3/29/2019 | Meeting Type: | Ordinary General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | APPROVAL OF THE ANNUAL ACCOUNTS FOR THE 2018 FISCAL YEAR | For | Yes | For |
| 2 | APPROVAL OF THE MANAGEMENT REPORTS FOR THE YEAR 2018 | For | Yes | For |
| 3 | APPROVAL OF THE STATUS OF NON-FINANCIAL INFORMATION FOR THE YEAR 2018 | For | Yes | For |
| 4 | APPROVAL OF THE SOCIAL MANAGEMENT AND PERFORMANCE OF THE BOARD OF DIRECTORS DURING THE FINANCIAL YEAR 2018 | For | Yes | For |
| 5 | MODIFICATION OF THE PREAMBLE AND ARTICLES 4, 6, 7, 8, 22, 32, 33, 34 AND 49 OF THE BYLAWS IN ORDER TO REFLECT THE PURPOSE AND VALUES OF THE IBERDROLA GROUP, FORMALIZE ITS COMMITMENT TO THE OBJECTIVES OF SUSTAINABLE DEVELOPMENT (ODS) APPROVED BY THE ORGANIZATION OF THE UNITED NATIONS AND IMPROVE DRAFTING USING INCLUSIVE LANGUAGE | For | Yes | For |
| 6 | MODIFICATION OF ARTICLES 37 AND 41 OF THE BYLAWS TO REFLECT THE CHANGE OF NAME OF THE COMMISSION OF CORPORATE SOCIAL RESPONSIBILITY, WHICH IS CURRENTLY CALLED THE COMMISSION FOR SUSTAINABLE DEVELOPMENT | For | Yes | For |
| 7 | APPROVAL OF THE PROPOSAL FOR THE APPLICATION OF THE RESULT AND DISTRIBUTION OF THE DIVIDEND CORRESPONDING TO THE YEAR 2018, WHOSE COMPLEMENTARY PAYMENT WILL BE CARRIED OUT WITHIN THE FRAMEWORK OF THE OPTIONAL DIVIDEND SYSTEM "IBERDROLA FLEXIBLE RETRIBUTION" | For | Yes | For |
| 8 | APPROVAL OF A FIRST CAPITAL INCREASE RELEASED FOR A MAXIMUM REFERENCE MARKET VALUE OF 1,520 MILLION EUROS IN ORDER TO IMPLEMENT THE OPTIONAL DIVIDEND SYSTEM "IBERDROLA FLEXIBLE RETRIBUTION" | For | Yes | For |
| 9 | APPROVAL OF A SECOND CAPITAL INCREASE RELEASED FOR A MAXIMUM REFERENCE MARKET VALUE OF 1,235 MILLION EUROS IN ORDER TO IMPLEMENT THE OPTIONAL DIVIDEND SYSTEM "IBERDROLA FLEXIBLE RETRIBUTION" | For | Yes | For |
| 10 | APPROVAL OF A CAPITAL REDUCTION THROUGH THE AMORTIZATION OF A MAXIMUM OF 280,457,000 OWN SHARES (4.30% OF THE SHARE CAPITAL) | For | Yes | For |
| 11 | ADVISORY VOTE ON THE ANNUAL REPORT ON DIRECTORS' REMUNERATION FOR THE YEAR 2018 | For | Yes | For |
| 12 | APPOINTMENT OF DONA SARA DE LA RICA GOIRICELAYA AS INDEPENDENT COUNSELOR | For | Yes | For |
| 13 | RATIFICATION OF THE APPOINTMENT BY COOPTION AND REELECTION OF MR. XABIER SAGREDO ORMAZA AS INDEPENDENT DIRECTOR | For | Yes | For |
| 14 | RE-ELECTION OF DONA MARIA HELENA ANTOLIN RAYBAUD AS INDEPENDENT COUNSELOR | For | Yes | For |
| 15 | RE-ELECTION OF MR. JOSE W. FERNANDEZ AS INDEPENDENT DIRECTOR | For | Yes | For |
| 16 | RE-ELECTION OF DONA DENISE HOLT AS INDEPENDENT COUNSELOR | For | Yes | For |
| 17 | RE-ELECTION OF MR. MANUEL MOREU MUNAIZ AS INDEPENDENT DIRECTOR | For | Yes | For |
| 18 | RE-ELECTION OF MR. IGNACIO SANCHEZ GALAN AS EXECUTIVE DIRECTOR | For | Yes | For |
| 19 | DETERMINATION OF THE NUMBER OF MEMBERS OF THE BOARD OF DIRECTORS IN FOURTEEN | For | Yes | For |
| 20 | DELEGATION OF POWERS FOR THE FORMALIZATION AND ELEVATION TO PUBLIC OF THE AGREEMENTS THAT ARE ADOPTED | For | Yes | For |
| CMMT | 26 FEB 2019:PLEASE NOTE THAT SHAREHOLDERS PARTICIPATING IN THE GENERAL MEETING, WHETHER DIRECTLY, BY PROXY, OR BY LONG-DISTANCE VOTING, SHALL BE ENTITLED TO RECEIVE AN ATTENDANCE PREMIUM OF 0.005 EUROS GROSS PER SHARE. THANK YOU | M | Yes | For |
| Company Name: | Intevac, Inc. |
| Ticker: | IVAC | CUSIP: | 461148108 |
| Meeting Date: | 5/15/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR David S. Dury | For | Yes | For |
| 1.2 | DIRECTOR Wendell T. Blonigan | For | Yes | For |
| 1.3 | DIRECTOR Kevin D. Barber | For | Yes | For |
| 1.4 | DIRECTOR Stephen A. Jamison | For | Yes | For |
| 1.5 | DIRECTOR Mark P. Popovich | For | Yes | For |
| 1.6 | DIRECTOR Thomas M. Rohrs | For | Yes | For |
| 1.7 | 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 ratify the appointment of BPM LLP as independent public accountants of Intevac for the fiscal year ending December 28, 2019. | For | Yes | For |
| 4 | To approve on a non-binding advisory basis the executive compensation of the Company's named executive officers. | For | Yes | For |
| Company Name: | Itron, Inc. |
| Ticker: | ITRI | CUSIP: | 465741106 |
| Meeting Date: | 5/9/2019 | 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 |
| 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 2019. | For | Yes | For |
| Company Name: | Koninklijke Philips Electronics |
| Ticker: | PHG | CUSIP: | 500472303 |
| Meeting Date: | 5/9/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 2c. | Proposal to adopt the financial statements | None | Yes | Abstain |
| 2d. | Proposal to adopt dividend | None | Yes | Abstain |
| 2e. | Proposal to discharge the members of the Board of Management | None | Yes | Abstain |
| 2f. | Proposal to discharge the members of the Supervisory Board | None | Yes | Abstain |
| 3a. | Composition of the Board of Management: Proposal to re-appoint Mr F.A. van Houten as President/Chief Executive Officer and member of the Board of Management | None | Yes | Abstain |
| 3b. | Composition of the Board of Management: Proposal to re-appoint Mr A. Bhattacharya as member of the Board of Management | None | Yes | Abstain |
| 4a. | Composition of the Supervisory Board: Proposal to re-appoint Mr D.E.I. Pyott as member of the Supervisory Board | None | Yes | Abstain |
| 4b. | Composition of the Supervisory Board: Proposal to appoint Ms E. Doherty as member of the Supervisory Board | None | Yes | Abstain |
| 5 | Proposal to re-appoint Ernst & Young Accountants LLP as the external auditor of the company | None | Yes | Abstain |
| 6a. | Proposal to authorize the Board of Management to: issue shares or grant rights to acquire shares | None | Yes | Abstain |
| 6b. | Proposal to authorize the Board of Management to: restrict or exclude preemption rights | None | Yes | Abstain |
| 7 | Proposal to authorize the Board of Management to acquire shares in the company | None | Yes | Abstain |
| 8 | Proposal to cancel shares | None | Yes | Abstain |
| Company Name: | MOTECH INDUSTRIES CO LTD |
| Ticker: | 6244.TWO | CUSIP: | Y61397108 |
| Meeting Date: | 6/17/2019 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | TO ACCEPT THE 2018 OPERATION REPORT AND FINANCIAL STATEMENTS. | For | Yes | For |
| 2 | TO APPROVE THE PROPOSAL FOR 2018 DEFICIT COMPENSATION. | For | Yes | For |
| 3 | TO AMEND THE COMPANY'S ARTICLES OF INCORPORATION. | For | Yes | For |
| 4 | TO AMEND THE COMPANY'S PROCEDURES FOR ACQUISITION OR DISPOSAL OF ASSETS. | For | Yes | For |
| 5 | TO AMEND THE COMPANY'S PROCEDURES FOR FINANCIAL DERIVATIVE TRANSACTIONS. | For | Yes | For |
| 6 | TO AMEND THE COMPANY'S PROCEDURES LENDING FUNDS TO OTHER PARTIES. | For | Yes | For |
| 7 | TO AMEND THE COMPANY'S PROCEDURES FOR ENDORSEMENT AND GUARANTEE. | For | Yes | For |
| 8.1 | THE ELECTION OF DIRECTOR.:TSENG YUNG-HUI,SHAREHOLDER NO.2 | For | Yes | Against |
| 8.2 | THE ELECTION OF DIRECTOR.:LEE CHIH-KAOU,SHAREHOLDER NO.6 | For | Yes | Against |
| 8.3 | THE ELECTION OF DIRECTOR.:HUANG SHAO-HUA,SHAREHOLDER NO.A101313XXX | For | Yes | Against |
| 8.4 | THE ELECTION OF DIRECTOR.:LU MING-HSIAO,SHAREHOLDER NO.3 | For | Yes | Against |
| 8.5 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:WU CHENG-CHING,SHAREHOLDER NO.A102732XXX | For | Yes | For |
| 8.6 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LEE SAN-BOH,SHAREHOLDER NO.52 | For | Yes | For |
| 8.7 | THE ELECTION OF THE INDEPENDENT DIRECTOR.:LEE CHING-CHAO,SHAREHOLDER NO.Q100052XXX | For | Yes | For |
| 9 | TO RELEASE DIRECTORS FROM NON-COMPETE RESTRICTIONS. | For | Yes | Against |
| Company Name: | Orion Energy Systems, Inc. |
| Ticker: | OESX | CUSIP: | 686275108 |
| Meeting Date: | 9/6/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Michael W. Altschaefl | For | Yes | For |
| 1.2 | DIRECTOR Mark C. Williamson | 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 | Ratification of BDO USA, LLP to serve as the Company's independent registered public accounting firm for fiscal year 2019. | For | Yes | For |
| Company Name: | Power Integrations, Inc. |
| Ticker: | POWI | CUSIP: | 739276103 |
| Meeting Date: | 5/22/2019 | 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 Nicholas E. Brathwaite | For | Yes | For |
| 1.4 | DIRECTOR William George | For | Yes | For |
| 1.5 | DIRECTOR Balakrishnan S. Iyer | For | Yes | For |
| 1.6 | DIRECTOR Necip Sayiner | For | Yes | For |
| 1.7 | 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 the proxy statement. | For | Yes | For |
| 3 | To approve the amendment and restatement of the Power Integrations, Inc. 2016 Incentive Award Plan, as described in the proxy statement. | For | Yes | For |
| 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, 2019. | For | Yes | For |
| Company Name: | SHARP CORPORATION |
| Ticker: | | CUSIP: | J71434112 |
| Meeting Date: | 6/25/2019 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Please reference meeting materials. |
| 1.1 | Appoint a Director who is not Audit and Supervisory Committee Member Jeng-Wu Tai | For | Yes | For |
| 1.2 | Appoint a Director who is not Audit and Supervisory Committee Member Nomura, Katsuaki | For | Yes | For |
| 1.3 | Appoint a Director who is not Audit and Supervisory Committee Member Ishida, Yoshihisa | For | Yes | For |
| 1.4 | Appoint a Director who is not Audit and Supervisory Committee Member Woo Kwok Fai | For | Yes | For |
| 1.5 | Appoint a Director who is not Audit and Supervisory Committee Member Chung-Cheng Lin | For | Yes | For |
| 1.6 | Appoint a Director who is not Audit and Supervisory Committee Member Wei-Ming Chen | For | Yes | For |
| 2.1 | Appoint a Director who is Audit and Supervisory Committee Member Hse-Tung Lu | For | Yes | For |
| 2.2 | Appoint a Director who is Audit and Supervisory Committee Member Himeiwa, Yasuo | For | Yes | For |
| 2.3 | Appoint a Director who is Audit and Supervisory Committee Member Tsusue, Yoichi | For | Yes | For |
| 3 | Approve Details of the Compensation to be received by Directors (Excluding Directors who are Audit and Supervisory Committee Members) | For | Yes | For |
| 4 | Approve Details of the Compensation to be received by Directors who are Audit and Supervisory Committee Members | For | Yes | For |
| 5 | Approve Issuance of Share Acquisition Rights as Stock Options | For | Yes | For |
| Company Name: | SUNPOWER CORPORATION |
| Ticker: | SPWR | CUSIP: | 867652406 |
| Meeting Date: | 5/16/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Catherine Lesjak | For | Yes | For |
| 1.2 | DIRECTOR Ladislas Paszkiewicz | For | Yes | For |
| 1.3 | DIRECTOR Julien Pouget | For | Yes | For |
| 2 | The approval, in an advisory vote, of the compensation of our named executive officers. | For | Yes | For |
| 3 | The ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal year 2019. | For | Yes | For |
| Company Name: | ULVAC INC. |
| Ticker: | 6728 | CUSIP: | J94048105 |
| Meeting Date: | 9/27/2018 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Please reference meeting materials. |
| 1 | Approve Appropriation of Surplus | For | Yes | For |
| 2.1 | Appoint a Director Iwashita, Setsuo | For | Yes | For |
| 2.2 | Appoint a Director Obinata, Hisaharu | For | Yes | For |
| 2.3 | Appoint a Director Motoyoshi, Mitsuru | For | Yes | For |
| 2.4 | Appoint a Director Choong Ryul Paik | For | Yes | For |
| 2.5 | Appoint a Director Sato, Shigemitsu | For | Yes | For |
| 2.6 | Appoint a Director Ishiguro, Masahiko | For | Yes | For |
| 2.7 | Appoint a Director Mihayashi, Akira | For | Yes | For |
| 2.8 | Appoint a Director Uchida, Norio | For | Yes | For |
| 2.9 | Appoint a Director Ishida, Kozo | For | Yes | For |
| 2.10 | Appoint a Director Nakajima, Yoshimi | For | Yes | For |
| 3 | Appoint a Corporate Auditor Yahagi, Mitsuru | For | Yes | Against |
| 4 | Appoint a Substitute Corporate Auditor Nonaka, Takao | For | Yes | For |
| 5 | Amend the Compensation to be received by Directors | For | Yes | For |
| Company Name: | United Technologies Corporation |
| Ticker: | UTX | CUSIP: | 913017109 |
| Meeting Date: | 4/29/2019 | 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: Christopher J. Kearney | 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 W. McGraw III | For | Yes | For |
| 1j. | Election of Director: Margaret L. O'Sullivan | For | Yes | For |
| 1k. | Election of Director: Denise L. Ramos | For | Yes | For |
| 1l. | Election of Director: Fredric G. Reynolds | For | Yes | For |
| 1m. | Election of Director: Brian C. Rogers | For | Yes | For |
| 2 | Advisory Vote to Approve Executive Compensation. | For | Yes | For |
| 3 | Appoint PricewaterhouseCoopers LLP to Serve as Independent Auditor for 2019. | For | Yes | For |
| 4 | Approve an Amendment to the Restated Certificate of Incorporation to Eliminate Supermajority Voting for Certain Business Combinations. | For | Yes | For |
| 5 | Ratify the 15% Special Meeting Ownership Threshold in the Company's Bylaws. | For | Yes | For |
| Company Name: | VESTAS WIND SYSTEMS A/S, RANDERS |
| Ticker: | | CUSIP: | K9773J128 |
| Meeting Date: | 4/3/2019 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | THE BOARD OF DIRECTORS' REPORT | M | Yes | For |
| 2 | PRESENTATION AND ADOPTION OF THE ANNUAL REPORT | For | Yes | For |
| 3 | RESOLUTION FOR THE ALLOCATION OF THE RESULT OF THE YEAR: DIVIDEND OF DKK 7.44 PER SHARE | For | Yes | For |
| 4.1 | THE BOARD OF DIRECTORS PROPOSES THAT EIGHT MEMBERS ARE ELECTED TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.2.A | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: BERT NORDBERG | For | Yes | For |
| 4.2.B | ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: BRUCE GRANT | For | Yes | For |
| 4.2.C | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: CARSTEN BJERG | For | Yes | For |
| 4.2.D | ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: EVA MERETE SOFELDE BERNEKE | For | Yes | For |
| 4.2.E | ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: HELLE THORNING-SCHMIDT | For | Yes | For |
| 4.2.F | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: HENRIK ANDERSEN | For | Yes | For |
| 4.2.G | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: JENS HESSELBERG LUND | For | Yes | For |
| 4.2.H | RE-ELECTION OF MEMBER TO THE BOARD OF DIRECTORS: LARS JOSEFSSON | For | Yes | For |
| 5.1 | FINAL APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2018 | For | Yes | For |
| 5.2 | APPROVAL OF THE LEVEL OF REMUNERATION OF THE BOARD OF DIRECTORS FOR 2019 | For | Yes | For |
| 6 | RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB AS AUDITOR | For | Yes | For |
| 7.1 | PROPOSAL 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 205,696,003 TO NOMINALLY DKK 198,901,963 THROUGH CANCELLATION OF TREASURY SHARES | For | Yes | For |
| 7.2 | PROPOSAL 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 2020 | 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: | 6/27/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR David F. D'Alessandro | For | Yes | For |
| 1.2 | DIRECTOR Bruce McEvoy | For | Yes | For |
| 1.3 | DIRECTOR Jay D. Pauley | For | Yes | For |
| 2 | Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for the fiscal year ending December 31, 2019 | For | Yes | For |
Firsthand Technology Opportunities Fund
| Company Name: | Adobe Systems Inc. |
| Ticker: | ADBE | CUSIP: | 00724F101 |
| Meeting Date: | 4/11/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Director: Amy Banse | For | Yes | For |
| 1b. | Election of Director: Frank Calderoni | For | Yes | For |
| 1c. | Election of Director: James Daley | For | Yes | For |
| 1d. | Election of Director: Laura Desmond | For | Yes | For |
| 1e. | Election of Director: Charles Geschke | For | Yes | For |
| 1f. | Election of Director: Shantanu Narayen | For | Yes | For |
| 1g. | Election of Director: Kathleen Oberg | For | Yes | For |
| 1h. | Election of Director: Dheeraj Pandey | For | Yes | For |
| 1i. | Election of Director: David Ricks | For | Yes | For |
| 1j. | Election of Director: Daniel Rosensweig | For | Yes | For |
| 1k. | Election of Director: John Warnock | For | Yes | For |
| 2 | Approve the 2019 Equity Incentive Plan to replace our 2003 Equity Incentive Plan. | For | Yes | For |
| 3 | Ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending on November 29, 2019. | For | Yes | For |
| 4 | Approve, on an advisory basis, the compensation of our named executive officers. | For | Yes | For |
| 5 | Consider and vote upon one stockholder proposal. | Against | Yes | For |
| Company Name: | Amazon.com, Inc. |
| Ticker: | AMZN | CUSIP: | 23135106 |
| Meeting Date: | 5/22/2019 | 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: Rosalind G. Brewer | For | Yes | For |
| 1c. | Election of Director: Jamie S. Gorelick | For | Yes | For |
| 1d. | Election of Director: Daniel P. Huttenlocher | For | Yes | For |
| 1e. | Election of Director: Judith A. McGrath | For | Yes | For |
| 1f. | Election of Director: Indra K. Nooyi | 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 | SHAREHOLDER PROPOSAL REQUESTING AN ANNUAL REPORT ON MANAGEMENT OF FOOD WASTE. | Against | Yes | For |
| 5 | SHAREHOLDER PROPOSAL REQUESTING A REDUCTION IN THE OWNERSHIP THRESHOLD FOR CALLING SPECIAL SHAREHOLDER MEETINGS. | Against | Yes | Against |
| 6 | SHAREHOLDER PROPOSAL REQUESTING A BAN ON GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Against | Yes | For |
| 7 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON THE IMPACT OF GOVERNMENT USE OF CERTAIN TECHNOLOGIES. | Against | Yes | Against |
| 8 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN PRODUCTS. | Against | Yes | Against |
| 9 | SHAREHOLDER PROPOSAL REQUESTING AN INDEPENDENT BOARD CHAIR POLICY. | Against | Yes | For |
| 10 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CERTAIN EMPLOYMENT POLICIES. | Against | Yes | Against |
| 11 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON CLIMATE CHANGE TOPICS. | Against | Yes | Against |
| 12 | SHAREHOLDER PROPOSAL REQUESTING A BOARD IDEOLOGY DISCLOSURE POLICY. | Against | Yes | For |
| 13 | SHAREHOLDER PROPOSAL REQUESTING CHANGES TO THE COMPANY'S GENDER PAY REPORTING. | Against | Yes | For |
| 14 | SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INTEGRATING CERTAIN METRICS INTO EXECUTIVE COMPENSATION. | Against | Yes | For |
| 15 | SHAREHOLDER PROPOSAL REGARDING VOTE-COUNTING PRACTICES FOR SHAREHOLDER PROPOSALS. | Against | Yes | For |
| Company Name: | Apple Inc. |
| Ticker: | AAPL | CUSIP: | 37833100 |
| Meeting Date: | 3/1/2019 | 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 2019 | For | Yes | For |
| 3 | Advisory vote to approve executive compensation | For | Yes | For |
| 4 | A shareholder proposal entitled "Shareholder Proxy Access Amendments" | Against | Yes | For |
| 5 | A shareholder proposal entitled "True Diversity Board Policy" | Against | Yes | For |
| Company Name: | Cree, Inc. |
| Ticker: | CREE | CUSIP: | 225447101 |
| Meeting Date: | 10/22/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR John C. Hodge | For | Yes | For |
| 1.2 | DIRECTOR Clyde R. Hosein | For | Yes | For |
| 1.3 | DIRECTOR Darren R. Jackson | For | Yes | For |
| 1.4 | DIRECTOR Duy-Loan T. Le | For | Yes | For |
| 1.5 | DIRECTOR Gregg A. Lowe | 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 | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 30, 2019. | For | Yes | For |
| 3 | ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | For |
| Company Name: | Facebook, Inc. |
| Ticker: | FB | CUSIP: | 30303M102 |
| Meeting Date: | 5/30/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Peggy Alford | For | Yes | For |
| 1.2 | DIRECTOR Marc L. Andreessen | For | Yes | For |
| 1.3 | DIRECTOR Kenneth I. Chenault | For | Yes | For |
| 1.4 | DIRECTOR S. D. Desmond-Hellmann | For | Yes | For |
| 1.5 | DIRECTOR Sheryl K. Sandberg | For | Yes | For |
| 1.6 | DIRECTOR Peter A. Thiel | For | Yes | For |
| 1.7 | DIRECTOR Jeffrey D. Zients | 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, 2019. | For | Yes | For |
| 3 | To approve, on a non-binding advisory basis, the compensation program for Facebook, Inc.'s named executive officers as disclosed in Facebook, Inc.'s proxy statement. | For | Yes | For |
| 4 | To vote, on a non-binding advisory basis, whether a non-binding advisory vote on the compensation program for Facebook, Inc.'s named executive officers should be held every one, two or three years. | 3 | Yes | Against |
| 5 | A stockholder proposal regarding change in stockholder voting. | Against | Yes | Against |
| 6 | A stockholder proposal regarding an independent chair. | Against | Yes | For |
| 7 | A stockholder proposal regarding majority voting for directors. | Against | Yes | Against |
| 8 | A stockholder proposal regarding true diversity board policy. | Against | Yes | For |
| 9 | A stockholder proposal regarding a content governance report. | Against | Yes | Against |
| 10 | A stockholder proposal regarding median gender pay gap. | Against | Yes | For |
| 11 | A stockholder proposal regarding workforce diversity. | Against | Yes | For |
| 12 | A stockholder proposal regarding strategic alternatives. | Against | Yes | For |
| Company Name: | NET 1 UEPS TECHNOLOGIES INC |
| Ticker: | UEPS | CUSIP: | 64107N206 |
| Meeting Date: | 11/14/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Herman G. Kotze | For | Yes | For |
| 1.2 | DIRECTOR Alex M.R. Smith | For | Yes | For |
| 1.3 | DIRECTOR Christopher S Seabrooke | For | Yes | For |
| 1.4 | DIRECTOR Alasdair J.K. Pein | For | Yes | For |
| 1.5 | DIRECTOR Paul Edwards | For | Yes | For |
| 1.6 | DIRECTOR Alfred T. Mockett | For | Yes | For |
| 1.7 | DIRECTOR Ekta Singh-Bushell | For | Yes | For |
| 2 | RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE (SOUTH AFRICA) AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING JUNE 30, 2019. | For | Yes | For |
| 3 | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | For |
| Company Name: | Netflix. Inc |
| Ticker: | NFLX | CUSIP: | 64110L106 |
| Meeting Date: | 6/6/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Class II Director: Timothy M. Haley | For | Yes | For |
| 1b. | Election of Class II Director: Leslie Kilgore | For | Yes | For |
| 1c. | Election of Class II Director: Ann Mather | For | Yes | For |
| 1d. | Election of Class II Director: Susan Rice | 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, 2019. | For | Yes | For |
| 3 | Advisory approval of the Company's executive officer compensation. | For | Yes | Against |
| 4 | Stockholder proposal regarding political disclosure, if properly presented at the meeting. | Against | Yes | For |
| 5 | Stockholder proposal regarding simple majority vote, if properly presented at the meeting. | Against | Yes | Against |
| Company Name: | Nvidia Corporation |
| Ticker: | NVDA | CUSIP: | 67066G104 |
| Meeting Date: | 5/22/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a | Election of Director: Robert K. Burgess | For | Yes | For |
| 1b. | Election of Director: Tench Coxe | For | Yes | For |
| 1c. | Election of Director: Persis S. Drell | For | Yes | For |
| 1d. | Election of Director: James C. Gaither | For | Yes | For |
| 1e. | Election of Director: Jen-Hsun Huang | For | Yes | For |
| 1f. | Election of Director: Dawn Hudson | For | Yes | For |
| 1g. | Election of Director: Harvey C. Jones | For | Yes | For |
| 1h. | Election of Director: Michael G. McCaffery | For | Yes | For |
| 1i. | Election of Director: Stephen C. Neal | For | Yes | For |
| 1j. | Election of Director: Mark L. Perry | For | Yes | For |
| 1k. | Election of Director: A. Brooke Seawell | For | Yes | For |
| 1l. | Election of Director: Mark A. Stevens | For | Yes | For |
| 2 | Approval of our executive compensation. | For | Yes | For |
| 3 | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | For | Yes | For |
| 4 | Approval of an amendment and restatement of our Certificate of Incorporation to eliminate supermajority voting to remove a director without cause. | For | Yes | For |
| Company Name: | PALO ALTO NETWORKS, INC. |
| Ticker: | PANW | CUSIP: | 697435105 |
| Meeting Date: | 12/7/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Class I Director: John M. Donovan | For | Yes | For |
| 1b. | Election of Class I Director: Mary Pat McCarthy | For | Yes | For |
| 1c. | Election of Class I Director: Nir Zuk | For | Yes | For |
| 2 | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2019. | For | Yes | For |
| 3 | To approve, on an advisory basis, the compensation of our named executive officers. | For | Yes | Against |
| 4 | To approve, on an advisory basis, the frequency of holding future advisory votes on executive compensation. | 1 | Yes | For |
| Company Name: | PANDORA MEDIA, INC. |
| Ticker: | P | CUSIP: | 698354107 |
| Meeting Date: | 1/29/2019 | Meeting Type: | Special |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | To adopt the Agreement and Plan of Merger and Reorganization (the "merger agreement"), dated as of September 23, 2018 (as such agreement may be amended from time to time), by and among Pandora, Sirius XM Holdings Inc., White Oaks Acquisition Corp., Sirius XM Radio Inc., Billboard Holding Company, Inc., and Billboard Acquisition Sub, Inc., pursuant to which through a series of transactions Sirius XM will acquire Pandora (the "merger agreement proposal"). | For | Yes | For |
| 2 | To approve, on a non-binding advisory basis, certain compensation that may be paid or become payable to Pandora's named executive officers that is based on or otherwise relates to the transactions contemplated by the merger agreement. | For | Yes | Against |
| 3 | To approve one or more adjournments or postponements of the Pandora special meeting, if necessary or appropriate, including to solicit additional proxies in the event there are not sufficient votes at the time of the Pandora special meeting to approve the merger agreement proposal. | For | Yes | For |
| Company Name: | Taiwan Semiconductor Manufacturing Co. |
| Ticker: | TSM | CUSIP: | 874039100 |
| Meeting Date: | 6/5/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1) | To accept 2018 Business Report and Financial Statements | For | Yes | For |
| 2) | To approve the proposal for distribution of 2018 earnings | For | Yes | For |
| 3) | To revise the Articles of Incorporation | For | Yes | For |
| 4) | To revise the following TSMC policies: (i) Procedures for Acquisition or Disposal of Assets; (ii) Procedures for Financial Derivatives Transactions | For | Yes | For |
| 5) | DIRECTOR Moshe N. Gavrielov | For | Yes | For |
| Company Name: | TENCENT HOLDINGS LTD, GEORGE TOWN |
| Ticker: | TCEHY:US | CUSIP: | G87572163 |
| Meeting Date: | 5/15/2019 | Meeting Type: | 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 2018 | For | Yes | For |
| 2 | TO DECLARE A FINAL DIVIDEND: HKD1.00 PER SHARE | For | Yes | For |
| 3.A | TO RE-ELECT MR JACOBUS PETRUS (KOOS) BEKKER AS DIRECTOR | For | Yes | For |
| 3.B | TO RE-ELECT MR IAN CHARLES STONE AS DIRECTOR | For | Yes | For |
| 3.C | 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 | For | Yes | For |
| 5 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO ISSUE NEW SHARES (ORDINARY RESOLUTION 5 AS SET OUT IN THE NOTICE OF THE AGM) | For | Yes | Against |
| 6 | TO GRANT A GENERAL MANDATE TO THE DIRECTORS TO REPURCHASE SHARES (ORDINARY RESOLUTION 6 AS SET OUT IN THE NOTICE OF THE AGM) | For | Yes | For |
| 7 | TO EXTEND THE GENERAL MANDATE TO ISSUE NEW SHARES BY ADDING THE NUMBER OF SHARES REPURCHASED (ORDINARY RESOLUTION 7 AS SET OUT IN THE NOTICE OF THE AGM) | For | Yes | Against |
| Company Name: | TENCENT HOLDINGS LTD, GEORGE TOWN |
| Ticker: | TCEHY:US | CUSIP: | G87572163 |
| Meeting Date: | 5/15/2019 | Meeting Type: | ExtraOrdinary Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | TO APPROVE THE REFRESHMENT OF SCHEME MANDATE LIMIT UNDER THE SHARE OPTION PLAN OF TENCENT MUSIC ENTERTAINMENT GROUP | For | Yes | For |
| Company Name: | ViaSat, Inc. |
| Ticker: | VSAT | CUSIP: | 92552V100 |
| Meeting Date: | 9/6/2018 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Frank J. Biondi, Jr. | For | Yes | For |
| 1.2 | DIRECTOR Robert Johnson | For | Yes | For |
| 1.3 | DIRECTOR John Stenbit | For | Yes | For |
| 2 | Ratification of Appointment of PricewaterhouseCoopers LLP as Viasat's Independent Registered Public Accounting Firm for fiscal year 2019 | For | Yes | For |
| 3 | Advisory Vote on Executive Compensation | For | Yes | Against |
| 4 | Amendment and Restatement of the 1996 Equity Participation Plan | For | Yes | For |
| Company Name: | WORKDAY, INC. |
| Ticker: | WDAY | CUSIP: | 98138H101 |
| Meeting Date: | 6/18/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | DIRECTOR Carl M. Eschenbach | For | Yes | For |
| 1.2 | DIRECTOR Michael M. McNamara | For | Yes | For |
| 1.3 | DIRECTOR Jerry Yang | For | Yes | For |
| 2 | To ratify the appointment of Ernst & Young LLP as Workday, Inc.'s independent registered public accounting firm for the fiscal year ending January 31, 2020. | 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 TECHNOLOGY VALUE FUND, INC. | |
| | | |
| By (Signature and Title) | /s/ Kevin M. Landis | |
| | Kevin M. Landis | |
| | President | |
| | | |
| Date | August 26, 2019 | |
