UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 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, CA 95113
(Address of principal executive offices) (Zip code)
SiVest Group, Incorporated
150 Almaden Blvd., Suite 1250
San Jose, CA 95113
(Name and address of agent for service)
Copies of Communications to:
Kelvin K. Leung, Esq. Firsthand Capital Management, Incorporated 111 N. Market Street, Ste. 105 San Jose, California 95113 | David Hearth, Esq. Paul Hastings LLP 55 Second Street, Twenty-Fourth Floor San Francisco, CA 94105 |
Registrant's telephone number, including area code: (408) 624-9527
Date of fiscal year end: December 31
Date of reporting period: July 1, 2019 – June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2019 TO JUNE 30, 2020
Firsthand Alternative Energy Fund
| Company Name: | 3M CO |
| Ticker: | MMM | CUSIP: | 88579Y101 |
| Meeting Date: | 5/12/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director for a term of one year: Thomas "Tony" K. Brown | For | Yes | For |
| 1B. | Election of Director for a term of one year: Pamela J. Craig | For | Yes | For |
| 1C. | Election of Director for a term of one year: David B. Dillon | For | Yes | For |
| 1D. | Election of Director for a term of one year: Michael L. Eskew | For | Yes | For |
| 1E. | Election of Director for a term of one year: Herbert L. Henkel | For | Yes | For |
| 1F. | Election of Director for a term of one year: Amy E. Hood | For | Yes | For |
| 1G. | Election of Director for a term of one year: Muhtar Kent | For | Yes | For |
| 1H. | Election of Director for a term of one year: Dambisa F. Moyo | For | Yes | For |
| 1I. | Election of Director for a term of one year: Gregory R. Page | For | Yes | For |
| 1J. | Election of Director for a term of one year: Michael F. Roman | For | Yes | For |
| 1K. | Election of Director for a term of one year: 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. | Shareholder proposal on setting target amounts for CEO compensation. | For | Yes | Against |
| Company Name: | ABB LTD |
| Ticker: | ABB | CUSIP: | 000375204 |
| Meeting Date: | 3/26/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | Approval of the management report, the consolidated financial statements and the annual financial statements for 2019. | For | Yes | For |
| 2. | Consultative vote on the 2019 Compensation Report. | For | Yes | For |
| 3. | Discharge of the Board of Directors and the persons entrusted with management. | For | Yes | For |
| 4. | Appropriation of earnings. | For | Yes | For |
| 5. | Amendment to the Articles of Incorporation. | For | Yes | For |
| 6.1 | Binding vote on the maximum aggregate amount of compensation of the Board of Directors for the next term of office, i.e. from the 2020 Annual General Meeting to the 2021 Annual General Meeting. | For | Yes | For |
| 6.2 | Binding vote on the maximum aggregate amount of compensation of the Executive Committee for the following financial year, i.e. 2021. | For | Yes | For |
| 7A. | Election of Matti Alahuhta as Director. | For | Yes | For |
| 7B. | Election of Gunnar Brock as Director. | For | Yes | For |
| 7C. | Election of David Constable as Director. | For | Yes | For |
| 7D. | Election of Frederico Fleury Curado as Director. | For | Yes | For |
| 7E. | Election of Lars Förberg as Director. | For | Yes | For |
| 7F. | Election of Jennifer Xin-Zhe Li as Director. | For | Yes | For |
| 7G. | Election of Geraldine Matchett as Director. | For | Yes | For |
| 7H. | Election of David Meline as Director. | For | Yes | For |
| 7I. | Election of Satish Pai as Director. | For | Yes | For |
| 7J. | Election of Jacob Wallenberg as Director. | For | Yes | For |
| 7K. | Election of Peter Voser as Director and Chairman. | For | Yes | For |
| 8.1 | Election of Member to the Compensation Committee: David Constable | For | Yes | For |
| 8.2 | Election of Member to the Compensation Committee: Frederico Fleury Curado | For | Yes | For |
| 8.3 | Election of Member to the Compensation Committee: Jennifer Xin-Zhe Li | For | Yes | For |
| 9. | Election of the independent proxy, Dr. Hans Zehnder | For | Yes | For |
| 10. | Election of the auditors, KPMG AG. | For | Yes | For |
| 11. | In case of additional or alternative proposals to the published agenda items during the Annual General Meeting or of new agenda items, I authorize the independent proxy to act. | Against | Yes | Against |
| Company Name: | ADVANCED EMISSIONS SOLUTIONS, INC. |
| Ticker: | ADES | CUSIP: | 00770C101 |
| Meeting Date: | 6/16/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Carol Eicher | For | Yes | For |
| 1B. | DIRECTOR Brian Leen | For | Yes | For |
| 1C. | DIRECTOR Gilbert Li | For | Yes | For |
| 1D. | DIRECTOR R. Carter Pate | For | Yes | For |
| 1E. | DIRECTOR J. Taylor Simonton | For | Yes | For |
| 1F. | DIRECTOR L. Spencer Wells | For | Yes | For |
| 2. | To approve, on an advisory basis, the compensation of the Company's named executive officers, as disclosed pursuant to Item 402 of Regulation S-K, including the Compensation Discussion and Analysis, compensation tables and narrative discussion as set forth under the Executive Compensation section of the proxy statement for the 2020 Annual Meeting of Stockholders. | For | Yes | For |
| 3. | To ratify the Audit Committee's selection of Moss Adams LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| 4. | To approve the Third Amendment to the Company's Tax Asset Protection Plan. | For | Yes | For |
| Company Name: | Amtech Systems, Inc. |
| Ticker: | ASYS | CUSIP: | 032332504 |
| Meeting Date: | 3/4/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Jong S. Whang | For | Yes | For |
| 1B. | DIRECTOR Robert M. Averick | For | Yes | For |
| 1C. | DIRECTOR Michael Garnreiter | For | Yes | For |
| 1D. | DIRECTOR Robert F. King | For | Yes | For |
| 1E. | 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 2020 | For | Yes | For |
| 3. | ADVISORY (NON-BINDING) VOTE TO APPROVE NAMED EXECUTIVE OFFICER COMPENSATION | For | Yes | For |
| 4. | VOTE TO APPROVE AN AMENDMENT TO THE COMPANY'S NON-EMPLOYEE DIRECTOR STOCK OPTION PLAN | For | Yes | For |
| Company Name: | ASPEN AEROGELS, INC. |
| Ticker: | ASPN | CUSIP: | 04523Y105 |
| Meeting Date: | 6/18/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Steven R. Mitchell | For | Yes | For |
| 1B. | DIRECTOR Richard F. Reilly | For | Yes | For |
| 1C. | 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, 2020. | For | Yes | For |
| 3. | Approval of the compensation of our named executive officers, as disclosed in our Proxy Statement for the 2020 Annual Meeting. | For | Yes | For |
| 4. | The frequency of holding an advisory vote on the compensation of our named executive officers. | For | Yes | 1 Year |
| Company Name: | Corning Inc. |
| Ticker: | GLW | CUSIP: | 219350105 |
| Meeting Date: | 4/30/2020 | 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: 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 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, 2020. | For | Yes | For |
| Company Name: | COVANTA HOLDING CORPORATION |
| Ticker: | CVA | CUSIP: | 22282E102 |
| Meeting Date: | 5/14/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR David M. Barse | For | Yes | For |
| 1B. | DIRECTOR Ronald J. Broglio | For | Yes | For |
| 1C. | DIRECTOR Peter C.B. Bynoe | For | Yes | For |
| 1D. | DIRECTOR Linda J. Fisher | For | Yes | For |
| 1E. | DIRECTOR Joseph M. Holsten | For | Yes | For |
| 1F. | DIRECTOR Stephen J. Jones | For | Yes | For |
| 1G. | DIRECTOR Owen Michaelson | For | Yes | For |
| 1H. | DIRECTOR Danielle Pletka | For | Yes | For |
| 1I. | DIRECTOR Michael W. Ranger | For | Yes | For |
| 1J. | DIRECTOR Robert S. Silberman | For | Yes | For |
| 1K. | DIRECTOR Jean Smith | For | Yes | For |
| 1L. | DIRECTOR Samuel Zell | For | Yes | For |
| 2. | To ratify the appointment of Ernst & Young LLP as Covanta Holding Corporation's independent registered public accountants for the 2020 fiscal year. | For | Yes | For |
| 3. | An advisory vote on executive compensation. | For | Yes | For |
| Company Name: | Cree, Inc. |
| Ticker: | CREE | CUSIP: | 225447101 |
| Meeting Date: | 10/28/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1b. | DIRECTOR John C. Hodge | For | Yes | For |
| 1c. | DIRECTOR Clyde R. Hosein | For | Yes | For |
| 1d. | DIRECTOR Darren R. Jackson | For | Yes | For |
| 1e. | DIRECTOR Duy-Loan T. Le | For | Yes | For |
| 1f. | DIRECTOR Gregg A. Lowe | For | Yes | For |
| 1g. | DIRECTOR John B. Replogle | For | Yes | For |
| 1h. | DIRECTOR Thomas H. Werner | For | Yes | For |
| 1i. | DIRECTOR Anne C. Whitaker | For | Yes | For |
| 2. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 28, 2020. | For | Yes | For |
| 3. | ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION. | Against | Yes | Against |
| Company Name: | CURALEAF HOLDINGS INC |
| Ticker: | CURLY | CUSIP: | 23126M102 |
| Meeting Date: | 11/21/2019 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | TO SET THE NUMBER OF DIRECTORS TO BE ELECTED AT THE ANNUAL MEETING TO A NUMBER BETWEEN FIVE AND SEVEN, TO BE DETERMINED AT THE DISCRETION OF THE BOARD OF DIRECTORS OF THE COMPANY | For | Yes | For |
| 2.A | ELECTION OF DIRECTOR: BORIS JORDAN | For | Yes | For |
| 2.B | ELECTION OF DIRECTOR: JOSEPH LUSARDI | For | Yes | For |
| 2.C | ELECTION OF DIRECTOR: DR. STEVEN PATIERNO | For | Yes | For |
| 2.D | ELECTION OF DIRECTOR: KARL JOHANSSON | For | Yes | For |
| 2.E | ELECTION OF DIRECTOR: PETER DERBY | For | Yes | For |
| 3 | TO RE-APPOINT PERSONAL FINANCE CONSULTING PROFESSIONAL COMPANY, CHARTERED PROFESSIONAL ACCOUNTANTS, AS AUDITORS OF THE COMPANY TO HOLD OFFICE UNTIL THE NEXT ANNUAL MEETING OF SHAREHOLDERS, AND TO AUTHORIZE THE DIRECTORS OF THE COMPANY TO FIX THE AUDITORS' REMUNERATION AND THE TERMS OF THEIR ENGAGEMENT | For | Yes | For |
| Company Name: | Enphase |
| Ticker: | ENPH | CUSIP: | 29355A107 |
| Meeting Date: | 5/20/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Benjamin Kortlang | For | Yes | For |
| 1B. | DIRECTOR Richard S. Mora | For | Yes | For |
| 2. | To approve, on advisory basis, the compensation of the Company's named executive officers, as disclosed in this proxy statement. | For | Yes | For |
| 3. | To approve an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of Common Stock from 150,000,000 to 200,000,000. | For | Yes | For |
| 4. | A stockholder proposal requesting that the Company issue a sustainability report describing its environmental, social and governance performance, if properly presented at the meeting. | Against | Yes | For |
| 5. | 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 the Company for the fiscal year ending December 31, 2020. | For | Yes | For |
| Company Name: | FIRST SOLAR, INC. |
| Ticker: | FSLR | CUSIP: | 336433107 |
| Meeting Date: | 5/13/2020 | 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 First Solar's Independent Registered Public Accounting Firm for the year ending December 31, 2020. | For | Yes | For |
| 3. | The approval of the adoption of the First Solar, Inc. 2020 Omnibus Incentive Compensation Plan. | For | Yes | For |
| 4. | The approval, on an advisory basis, of the compensation of our named executive officers. | For | Yes | For |
| Company Name: | GARRETT MOTION INC. |
| Ticker: | GTX | CUSIP: | 366505105 |
| Meeting Date: | 5/28/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class II director for a two-year term ending at the 2022 Annual Meeting of Stockholders: Courtney M. Enghauser | For | Yes | For |
| 1B. | Election of Class II director for a two-year term ending at the 2022 Annual Meeting of Stockholders: Carsten J. Reinhardt | For | Yes | For |
| 1C. | Election of Class II director for a two-year term ending at the 2022 Annual Meeting of Stockholders: Jérôme Stoll | For | Yes | For |
| 2. | The ratification of the appointment of Deloitte SA as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| 3. | The approval, on an advisory (non-binding) basis, of the compensation of the Company's named executive officers. | For | Yes | For |
| Company Name: | GW PHARMACEUTICALS PLC |
| Ticker: | GWPH | CUSIP: | 36197T103 |
| Meeting Date: | 5/26/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | To re-elect Dr. Geoffrey W. Guy as a Director | For | Yes | For |
| 2. | To re-elect Cabot Brown as a Director | For | Yes | For |
| 3. | To approve the 2020 Long Term Incentive Plan | Against | Yes | Against |
| 4. | To approve the Directors' Remuneration Report | For | Yes | For |
| 5. | To approve the compensation of the Company's named executive officers | For | Yes | For |
| 6. | To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm | For | Yes | For |
| 7. | To re-appoint Deloitte LLP as the UK Auditor | For | Yes | For |
| 8. | To authorise the Directors to determine the Auditors' remuneration | For | Yes | For |
| 9. | To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 12-month period ended 31 December 2019 and note that the Directors do not recommend the payment of a dividend | For | Yes | For |
| 10. | To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 26 May 2021 | For | Yes | For |
| 11. | Subject to the passing of Resolution 10, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment | For | Yes | For |
| Company Name: | Honeywell International, Inc. |
| Ticker: | HON | CUSIP: | 438516106 |
| Meeting Date: | 4/27/2020 | 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: D. Scott Davis | For | Yes | For |
| 1F. | Election of Director: Linnet F. Deily | For | Yes | For |
| 1G. | Election of Director: Deborah Flint | 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: Raymond T. Odierno | For | Yes | For |
| 1L. | Election of Director: George Paz | For | Yes | For |
| 1M. | 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. | Let Shareholders Vote on Bylaw Amendments. | For | Yes | Against |
| 5. | Report on Lobbying Activities and Expenditures. | For | Yes | Against |
| Company Name: | IBERDROLA SA, BILBAO |
| Ticker: | IBDRY | CUSIP: | E6165F166 |
| Meeting Date: | 4/2/2020 | Meeting Type: | Ordinary General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | ANNUAL ACCOUNTS 2019 | For | Yes | For |
| 2 | MANAGEMENT REPORTS 2019 | For | Yes | For |
| 3 | STATEMENT OF NON FINANCIAL INFORMATION 2019 | For | Yes | For |
| 4 | CORPORATE MANAGEMENT AND ACTIVITIES OF BOARD OF DIRECTORS IN 2019 | For | Yes | For |
| 5 | RE-ELECTION OF KPMG AS STATUTORY AUDITOR | For | Yes | For |
| 6 | AMENDMENT OF ART 6, 7 AND 17 OF BYLAWS TO REDEFINE CORPORATE INTEREST AND SOCIAL DIVIDEND | For | Yes | For |
| 7 | AMENDMENT OF ART 8 OF BYLAWS ABOUT COMPLIANCE SYSTEM AND UNIT | For | Yes | For |
| 8 | AMENDMENT OF ART 10 OF BYLAWS TO REFLECT SHARE CAPITAL AFTER RETIREMENT OF MAX 213,592,000 SHARES | For | Yes | For |
| 9 | AMENDMENT OF ART 9 OF REGULATIONS FOR THE GENERAL MEETINGS | For | Yes | For |
| 10 | AMENDMENT OF ART 14,19 AND 39 OF REGULATIONS FOR GENERAL MEETINGS | For | Yes | For |
| 11 | AMENDMENT OF ART 6,7,15,16,17,22, 33 AND 44 OF REGULATIONS FOR GENERAL MEETINGS | For | Yes | For |
| 12 | ALLOCATION OF PROFITS 2019 | For | Yes | For |
| 13 | FIRST INCREASE OF CAPITAL | For | Yes | For |
| 14 | SECOND INCREASE OF CAPITAL | For | Yes | For |
| 15 | CONSULTATIVE VOTE ON ANNUAL DIRECTORS REMUNERATIONS REPORT 2019 | For | Yes | For |
| 16 | STRATEGIC BONUS FOR 2020-2021 | For | Yes | For |
| 17 | APPOINTMENT OF MS NICOLA MARY BREWER AS INDEPENDENT DIRECTOR | For | Yes | For |
| 18 | APPOINTMENT OF MS REGINA HELENA JORGE NUES AS INDEPENDENT DIRECTOR | For | Yes | For |
| 19 | REELECTION OF MR INIGO VICTOR DE ORIOL IBARRA AS OTHER EXTERNAL DIRECTOR | For | Yes | For |
| 20 | REELECTION OF MS SAMANTHA BARBER AS INDEPENDENT DIRECTOR | For | Yes | For |
| 21 | SETTING OF THE NUMBER OF BOARD MEMBERS AT FOURTEEN | For | Yes | For |
| 22 | AUTHORISATION TO INCREASE CAPITAL LIMITED TO A MAXIMUM OF 10 PCT OF SHARE CAPITAL | For | Yes | For |
| 23 | AUTHORISATION TO ISSUE DEBENTURES EXCHANGEABLE FOR AND OR CONVERTIBLE INTO SHARES AND WARRANTS UP TO 5,000M EURO LIMITED TO A MAX OF 10PCT OF SHARE CAPITAL | For | Yes | For |
| 24 | DELEGATION OF POWERS | For | Yes | For |
| Company Name: | Intevac, Inc. |
| Ticker: | IVAC | CUSIP: | 461148108 |
| Meeting Date: | 5/13/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR David S. Dury | For | Yes | For |
| 1B. | DIRECTOR Wendell T. Blonigan | For | Yes | For |
| 1C. | DIRECTOR Kevin D. Barber | For | Yes | For |
| 1D. | DIRECTOR Dorothy D. Hayes | For | Yes | For |
| 1E. | DIRECTOR Stephen A. Jamison | For | Yes | For |
| 1F. | DIRECTOR Michele F. Klein | For | Yes | For |
| 1G. | DIRECTOR Mark P. Popovich | For | Yes | For |
| 1H. | DIRECTOR Thomas M. Rohrs | 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 the Company's 2020 Equity Incentive Plan and the reservation of shares thereunder. | Against | Yes | Against |
| 4. | Proposal to ratify the appointment of BPM LLP as independent public accountants of Intevac for the fiscal year ending January 2, 2021. | For | Yes | For |
| 5. | Proposal 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: | 5/7/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Jerome J. Lande | For | Yes | For |
| 1B. | Election of Director: Frank M. Jaehnert | For | Yes | For |
| 1C. | 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. | Ratification of the appointment of Deloitte & Touche LLP as the Company's independent registered public accountant for 2020. | For | Yes | For |
| Company Name: | Koninklijke Philips Electronics |
| Ticker: | PHG | CUSIP: | 500472303 |
| Meeting Date: | 4/30/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 2B. | Proposal to adopt the financial statements | None | Yes | For |
| 2C. | Proposal to adopt dividend | None | Yes | For |
| 2D. | Remuneration Report 2019 (advisory vote) | None | Yes | For |
| 2E. | Proposal to discharge the members of the Board of Management | None | Yes | For |
| 2F. | Proposal to discharge the members of the Supervisory Board | None | Yes | For |
| 3A. | Proposal to adopt a Remuneration Policy for the Board of Management | None | Yes | For |
| 3B. | Proposal to approve a Long-Term Incentive Plan for the Board of Management | None | Yes | For |
| 3C. | Proposal to adopt a Remuneration Policy for the Supervisory Board | None | Yes | For |
| 4A. | Proposal to re-appoint Ms N. Dhawan as member of the Supervisory Board | None | Yes | For |
| 4B. | Proposal to appoint Mr F. Sijbesma as member of the Supervisory Board | None | Yes | For |
| 4C. | Proposal to appoint Mr P. Löscher as member of the Supervisory Board | None | Yes | For |
| 5A. | Proposals to authorize the Board of Management to: issue shares or grant rights to acquire shares | None | Yes | For |
| 5B. | Proposals to authorize the Board of Management to: restrict or exclude preemption rights | None | Yes | For |
| 6. | Proposal to authorize the Board of Management to acquire shares in the company | None | Yes | For |
| 7. | Proposal to cancel shares | None | Yes | For |
| Company Name: | Koninklijke Philips Electronics |
| Ticker: | PHG | CUSIP: | 500472303 |
| Meeting Date: | 6/26/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | Proposal to adopt a dividend of EUR 0.85 per common share, in shares only, against the net income for 2019. | None | Yes | For |
| Company Name: | LINDE PLC |
| Ticker: | LIN | CUSIP: | G5494J103 |
| Meeting Date: | 7/26/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Director: Prof. Dr. Wolfgang Reitzle | For | Yes | For |
| 1b. | Election of Director: Stephen F. Angel | For | Yes | For |
| 1c. | Election of Director: Prof. DDr. Ann-Kristin Achleitner | For | Yes | For |
| 1d. | Election of Director: Prof. Dr. Clemens Börsig | For | Yes | For |
| 1e. | Election of Director: Dr. Nance K. Dicciani | For | Yes | For |
| 1f. | Election of Director: Dr. Thomas Enders | For | Yes | For |
| 1g. | Election of Director: Franz Fehrenbach | For | Yes | For |
| 1h. | Election of Director: Edward G. Galante | For | Yes | For |
| 1i. | Election of Director: Larry D. McVay | For | Yes | For |
| 1j. | Election of Director: Dr. Victoria Ossadnik | For | Yes | For |
| 1k. | Election of Director: Prof. Dr. Martin H. Richenhagen | For | Yes | For |
| 1l. | Election of Director: Robert L. Wood | For | Yes | For |
| 2a. | To ratify, on an advisory and non-binding basis, the appointment of PricewaterhouseCoopers ("PWC") as the independent auditor. | For | Yes | For |
| 2b. | To authorize the Board, acting through the Audit Committee, to determine PWC's remuneration. | For | Yes | For |
| 3. | To determine the price range at which Linde plc can re-allot shares that it acquires as treasury shares under Irish law. | For | Yes | For |
| 4. | To approve, on an advisory and non-binding basis, the compensation of Linde plc's Named Executive Officers, as disclosed in the 2019 Proxy Statement. | For | Yes | For |
| 5. | To recommend, on an advisory and non-binding basis, the frequency of holding future advisory shareholder votes on the compensation of Linde plc's Named Executive Officers. | For | Yes | 1 Year |
| Company Name: | MOTECH INDUSTRIES CO LTD |
| Ticker: | 6244.TWO | CUSIP: | Y61397108 |
| Meeting Date: | 6/18/2020 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | 2019 OPERATION REPORT AND FINANCIAL STATEMENTS. | For | Yes | For |
| 2 | 2019 DEFICIT COMPENSATION. | For | Yes | For |
| 3 | AMENDMENTS TO RULES AND PROCEDURES OF SHAREHOLDERS' MEETING. | For | Yes | For |
| 4 | CAPITAL REDUCTION FOR DEFICIT COMPENSATION. | For | Yes | For |
| Company Name: | Orion Energy Systems, Inc. |
| Ticker: | OESX | CUSIP: | 686275108 |
| Meeting Date: | 8/7/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR Alan B. Howe | For | Yes | For |
| 1b. | DIRECTOR Anthony L. Otten | For | Yes | For |
| 1c. | DIRECTOR Michael J. Potts | 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 2016 Orion Energy Systems, Inc. Omnibus Incentive Plan, as amended and restated. | For | Yes | For |
| 4. | Ratification of BDO USA, LLP to serve as the Company's independent registered public accounting firm for fiscal year 2020. | For | Yes | For |
| Company Name: | Power Integrations, Inc. |
| Ticker: | POWI | CUSIP: | 739276103 |
| Meeting Date: | 5/8/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Wendy Arienzo | For | Yes | For |
| 1B. | DIRECTOR Balu Balakrishnan | For | Yes | For |
| 1C. | DIRECTOR Nicholas E. Brathwaite | For | Yes | For |
| 1D. | DIRECTOR Anita Ganti | For | Yes | For |
| 1E. | DIRECTOR William George | For | Yes | For |
| 1F. | DIRECTOR Balakrishnan S. Iyer | For | Yes | For |
| 1G. | DIRECTOR Necip Sayiner | For | Yes | For |
| 1H. | 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 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, 2020. | For | Yes | For |
| Company Name: | QUANTA SERVICES, INC. |
| Ticker: | PWR | CUSIP: | 74762E102 |
| Meeting Date: | 5/28/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Earl C. (Duke) Austin, Jr. | For | Yes | For |
| 1B. | Election of Director: Doyle N. Beneby | For | Yes | For |
| 1C. | Election of Director: J. Michal Conaway | For | Yes | For |
| 1D. | Election of Director: Vincent D. Foster | For | Yes | For |
| 1E. | Election of Director: Bernard Fried | For | Yes | For |
| 1F. | Election of Director: Worthing F. Jackman | For | Yes | For |
| 1G. | Election of Director: David M. McClanahan | For | Yes | For |
| 1H. | Election of Director: Margaret B. Shannon | For | Yes | For |
| 1I. | Election of Director: Pat Wood, III | For | Yes | For |
| 1J. | Election of Director: Martha B. Wyrsch | For | Yes | For |
| 2. | Approval, by non-binding advisory vote, of Quanta's executive compensation | For | Yes | For |
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as Quanta's independent registered public accounting firm for fiscal year 2020 | For | Yes | For |
| Company Name: | RESIDEO TECHNOLOGIES, INC. |
| Ticker: | REZI | CUSIP: | 76118Y104 |
| Meeting Date: | 6/8/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class II Director: Cynthia Hostetler | For | Yes | For |
| 1B. | Election of Class II Director: Brian Kushner | For | Yes | For |
| 1C. | Election of Class II Director: Jack Lazar | For | Yes | For |
| 2. | Advisory Vote to Approve Executive Compensation | For | Yes | For |
| 3. | Ratification of the Appointment of Independent Registered Public Accounting Firm | For | Yes | For |
| 4. | Approval of the Resideo Employee Stock Purchase Plan | For | Yes | For |
| Company Name: | SHARP CORPORATION |
| Ticker: | SHCAY | CUSIP: | J71434112 |
| Meeting Date: | 6/29/2020 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.1 | Appoint a Director who is not Audit and Supervisory Committee Member Jeng-Wu Tai | Against | Yes | Against |
| 1.2 | Appoint a Director who is not Audit and Supervisory Committee Member Nomura, Katsuaki | Against | Yes | Against |
| 1.3 | Appoint a Director who is not Audit and Supervisory Committee Member Chung-Cheng Lin | Against | Yes | Against |
| 1.4 | Appoint a Director who is not Audit and Supervisory Committee Member Wei-Ming Chen | Against | Yes | Against |
| 2 | Appoint a Director who is Audit and Supervisory Committee Member Nakagawa, Yutaka | For | Yes | For |
| 3 | Approve Issuance of Share Acquisition Rights as Stock Options | For | Yes | For |
| 4 | Amend Articles to: Update the Articles Related to Class Share, Approve Minor Revisions | For | Yes | For |
| Please reference meeting materials. |
| Company Name: | SOLAREDGE TECHNOLOGIES, INC. |
| Ticker: | SEDG | CUSIP: | 83417M104 |
| Meeting Date: | 5/18/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Tal Payne | For | Yes | For |
| 1B. | Election of Director: Marcel Gani | For | Yes | For |
| 2. | Ratification of appointment of EY as independent registered public accounting firm for the year ending December 31, 2020. | For | Yes | For |
| 3. | Approval of, on an advisory and non-binding basis, the compensation of our named executive officers (the "Say-on-Pay Proposal"). | For | Yes | For |
| Company Name: | SUNPOWER CORPORATION |
| Ticker: | SPWR | CUSIP: | 867652406 |
| Meeting Date: | 5/14/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Thomas McDaniel | For | Yes | For |
| 1B. | DIRECTOR Thomas Rebeyrol | For | Yes | For |
| 1C. | DIRECTOR Thomas Werner | 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 2020. | For | Yes | For |
| Company Name: | SUNRUN INC. |
| Ticker: | RUN | CUSIP: | 86771W105 |
| Meeting Date: | 6/2/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Leslie Dach | For | Yes | For |
| 1B. | DIRECTOR Edward Fenster | For | Yes | For |
| 1C. | DIRECTOR Mary Powell | Against | Yes | W |
| 2. | To ratify the appointment of Ernst & Young LLP as Sunrun Inc.'s independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| 3. | To approve, on an advisory basis, the compensation of Sunrun Inc.'s named executive officers ("Say-on-Pay"), as disclosed in the proxy statement. | For | Yes | For |
| Company Name: | ULVAC INC. |
| Ticker: | 6728 | CUSIP: | J94048105 |
| Meeting Date: | 9/27/2019 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | Approve Appropriation of Surplus | For | Yes | For |
| 2.1 | Appoint a Director Iwashita, Setsuo | Against | Yes | Against |
| 2.2 | Appoint a Director Motoyoshi, Mitsuru | Against | Yes | Against |
| 2.3 | Appoint a Director Matsudai, Masasuke | Against | Yes | Against |
| 2.4 | Appoint a Director Choong Ryul Paik | Against | Yes | Against |
| 2.5 | Appoint a Director Aoki, Sadao | Against | Yes | Against |
| 2.6 | Appoint a Director Mihayashi, Akira | Against | Yes | Against |
| 2.7 | Appoint a Director Uchida, Norio | For | Yes | For |
| 2.8 | Appoint a Director Ishida, Kozo | For | Yes | For |
| 2.9 | Appoint a Director Nakajima, Yoshimi | For | Yes | For |
| 3.1 | Appoint a Corporate Auditor Ito, Makoto | Against | Yes | Against |
| 3.2 | Appoint a Corporate Auditor Asada, Senshu | For | Yes | For |
| 4 | Appoint a Substitute Corporate Auditor Nonaka, Takao | For | Yes | For |
| Company Name: | United Technologies Corporation |
| Ticker: | UTX | CUSIP: | 913017109 |
| Meeting Date: | 10/11/2019 | Meeting Type: | Special |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | Approve the issuance of UTC common stock, par value $1.00 per share, to Raytheon stockholders in connection with the merger contemplated by the Agreement and Plan of Merger, dated as of June 9, 2019, by and among United Technologies Corporation, Light Merger Sub Corp. and Raytheon Company (the "UTC share issuance proposal"). | For | Yes | For |
| 2. | Approve the adjournment of the UTC special meeting to a later date or dates, if necessary or appropriate, to solicit additional proxies in the event there are not sufficient votes at the time of the UTC special meeting to approve the UTC share issuance proposal. | For | Yes | For |
| Company Name: | United Technologies Corporation |
| Ticker: | UTX | CUSIP: | 913017109 |
| Meeting Date: | 4/27/2020 | 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: Gregory J. Hayes | For | Yes | For |
| 1C. | Election of Director: Marshall O. Larsen | For | Yes | For |
| 1D. | Election of Director: Robert K. (Kelly) Ortberg | For | Yes | For |
| 1E. | Election of Director: Margaret L. O'Sullivan | For | Yes | For |
| 1F. | Election of Director: Denise L. Ramos | For | Yes | For |
| 1G. | Election of Director: Fredric G. Reynolds | For | Yes | For |
| 1H. | 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 2020. | For | Yes | For |
| 4. | Shareowner Proposal regarding a Simple Majority Vote Requirement. | | Yes | For |
| 5. | Shareowner Proposal to Create a Committee to Prepare a Report regarding the Impact of Plant Closure on Communities and Alternatives to Help Mitigate the Effects. | For | Yes | Against |
| Company Name: | VESTAS WIND SYSTEMS A/S, RANDERS |
| Ticker: | VWDRY | CUSIP: | K9773J128 |
| Meeting Date: | 4/7/2020 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 2 | PRESENTATION AND ADOPTION OF THE ANNUAL REPORT | For | Yes | For |
| 3 | RESOLUTION FOR THE ALLOCATION OF THE RESULT OF THE YEAR: DKK 7.93 PER SHARE | For | Yes | For |
| 4.A | ELECTION OF MEMBER ANDERS RUNEVAD TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.B | RE-ELECTION OF MEMBER BERT NORDBERG TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.C | RE-ELECTION OF MEMBER BRUCE GRANT TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.D | RE-ELECTION OF MEMBER CARSTEN BJERG TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.E | RE-ELECTION OF MEMBER EVA MERETE SOFELDE BERNEKE TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.F | RE-ELECTION OF MEMBER HELLE THORNING-SCHMIDT TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.G | ELECTION OF MEMBER KARL-HENRIK SUNDSTROM TO THE BOARD OF DIRECTORS | For | Yes | For |
| 4.H | RE-ELECTION OF MEMBER LARS JOSEFSSON TO THE BOARD OF DIRECTORS | For | Yes | For |
| 5.1 | FINAL APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2019 | For | Yes | For |
| 5.2 | APPROVAL OF THE REMUNERATION OF THE BOARD OF DIRECTORS FOR 2020 | For | Yes | For |
| 6 | RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS STATSAUTORISERET REVISIONSPARTNERSELSKAB AS AUDITOR | For | Yes | For |
| 7.1 | PROPOSAL FROM THE BOARD OF DIRECTORS: UPDATE OF THE COMPANY'S REMUNERATION POLICY - THE REMUNERATION POLICY HAS BEEN UPDATED TO ENSURE COMPLIANCE WITH THE REVISED SECTION 139 AND THE NEW SECTION 139A OF THE DANISH COMPANIES ACT | For | Yes | For |
| 7.2 | PROPOSAL FROM THE BOARD OF DIRECTORS: UPDATE OF STANDARD AGENDA OF ANNUAL GENERAL MEETINGS - AMENDMENT OF ARTICLE 5(2) OF THE ARTICLES OF ASSOCIATION - THE STANDARD AGENDA OF ANNUAL GENERAL MEETINGS HAS BEEN AMENDED TO ENSURE COMPLIANCE WITH THE NEW SECTION 139B IN THE DANISH COMPANIES ACT | For | Yes | For |
| 7.3 | 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 198,901,963 TO NOMINALLY DKK 196,924,115 THROUGH CANCELLATION OF TREASURY SHARES | For | Yes | For |
| 7.4 | 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 2021 | 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: | 6/10/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR David Bywater | For | Yes | For |
| 1B. | DIRECTOR Ellen S. Smith | For | Yes | For |
| 1C. | 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, 2020. | For | Yes | For |
| 3. | To vote, on a non-binding advisory basis, to approve executive compensation. | Against | Yes | Against |
| 4. | To vote, on a non-binding advisory basis, on the frequency of future advisory votes on executive compensation. | For | Yes | 1 Year |
Firsthand Technology Opportunities Fund
| Company Name: | 2U, INC. |
| Ticker: | TWOU | CUSIP: | 90214J101 |
| Meeting Date: | 6/23/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Sallie L. Krawcheck | For | Yes | For |
| 1B. | DIRECTOR John M. Larson | For | Yes | For |
| 1C. | DIRECTOR Edward S. Macias | For | Yes | For |
| 1D. | DIRECTOR Alexis Maybank | For | Yes | For |
| 2. | Ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the 2020 fiscal year. | For | Yes | For |
| 3. | Approval, on a non-binding advisory basis, of the compensation of the Company's Named Executive Officers. | For | Yes | For |
| Company Name: | Adobe Systems Inc. |
| Ticker: | ADBE | CUSIP: | 00724F101 |
| Meeting Date: | 4/9/2020 | 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 2020 Employee Stock Purchase Plan, which amends and restates the 1997 Employee Stock Purchase 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 27, 2020. | 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. | For | Yes | Against |
| Company Name: | ALIBABA GROUP HOLDING LIMITED |
| Ticker: | BABA | CUSIP: | 01609W102 |
| Meeting Date: | 7/15/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | Effect an increase in the number of authorized Ordinary Shares to 32,000,000,000 and effect a one-to-eight share subdivision of the Company's Ordinary Shares. | For | Yes | For |
| 2.1 | Election of Director for a three year term: DANIEL ZHANG | For | Yes | For |
| 2.2 | Election of Director for a three year term: CHEE HWA TUNG | For | Yes | For |
| 2.3 | Election of Director for a three year term: JERRY YANG | For | Yes | For |
| 2.4 | Election of Director for a three year term: WAN LING MARTELLO | For | Yes | For |
| 3. | Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company. | For | Yes | For |
| Company Name: | ARISTA NETWORKS, INC. |
| Ticker: | ANET | CUSIP: | 040413106 |
| Meeting Date: | 5/27/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1.A | DIRECTOR Mark Templeton | For | Yes | For |
| 1.B | DIRECTOR Nikos Theodosopoulos | For | Yes | For |
| 2. | Approval on an advisory basis of the compensation of the named executive officers. | For | Yes | For |
| 3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020. | For | Yes | For |
| Company Name: | CHEGG, INC. |
| Ticker: | CHGG | CUSIP: | 163092109 |
| Meeting Date: | 6/3/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Reneé Budig | For | Yes | For |
| 1B. | DIRECTOR Dan Rosensweig | For | Yes | For |
| 1C. | DIRECTOR Ted Schlein | For | Yes | For |
| 2. | To approve the non-binding advisory vote on executive compensation for the year ended December 31, 2019. | For | Yes | For |
| 3. | To ratify the appointment of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| Company Name: | COUPA SOFTWARE INCORPORATED |
| Ticker: | COUP | CUSIP: | 22266L106 |
| Meeting Date: | 5/27/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | DIRECTOR Scott Thompson | For | Yes | For |
| 2. | Ratify the appointment of Ernst & Young LLP as independent registered public accounting firm for fiscal year ending January 31, 2021. | For | Yes | For |
| 3. | Advisory (non-binding) vote to approve named executive officer compensation. | For | Yes | For |
| Company Name: | Cree, Inc. |
| Ticker: | CREE | CUSIP: | 225447101 |
| Meeting Date: | 10/28/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR John C. Hodge | For | Yes | For |
| 1b. | DIRECTOR Clyde R. Hosein | For | Yes | For |
| 1c. | DIRECTOR Darren R. Jackson | For | Yes | For |
| 1d. | DIRECTOR Duy-Loan T. Le | For | Yes | For |
| 1e. | DIRECTOR Gregg A. Lowe | For | Yes | For |
| 1f. | DIRECTOR John B. Replogle | For | Yes | For |
| 1g. | DIRECTOR Thomas H. Werner | For | Yes | For |
| 1h. | DIRECTOR Anne C. Whitaker | For | Yes | For |
| 2. | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING JUNE 28, 2020. | For | Yes | For |
| 3. | ADVISORY (NONBINDING) VOTE TO APPROVE EXECUTIVE COMPENSATION. | Against | Yes | Against |
| Company Name: | DOCUSIGN, INC. |
| Ticker: | DOCU | CUSIP: | 256163106 |
| Meeting Date: | 5/29/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR CYNTHIA GAYLOR | For | Yes | For |
| 1B. | DIRECTOR S. STEVEN SINGH | For | Yes | For |
| 2. | Approval, on an advisory basis, of frequency of future non- binding votes on our named executive officers' compensation. | For | Yes | 1 Year |
| 3. | Ratification of selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year ending January 31, 2021. | For | Yes | For |
| Company Name: | DOMO,INC. |
| Ticker: | DOMO | CUSIP: | 257554105 |
| Meeting Date: | 6/2/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Joshua G. James | For | Yes | For |
| 1B. | DIRECTOR Carine S. Clark | For | Yes | For |
| 1C. | DIRECTOR Daniel Daniel | For | Yes | For |
| 1D. | DIRECTOR Joy Driscoll Durling | For | Yes | For |
| 1E. | DIRECTOR Dana Evan | For | Yes | For |
| 1F. | DIRECTOR Mark Gorenberg | For | Yes | For |
| 1G. | DIRECTOR Jeff Kearl | For | Yes | For |
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | For | Yes | For |
| Company Name: | Enphase |
| Ticker: | ENPH | CUSIP: | 29355A107 |
| Meeting Date: | 5/20/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Benjamin Kortlang | For | Yes | For |
| 1B. | DIRECTOR Richard S. Mora | For | Yes | For |
| 2. | To approve, on advisory basis, the compensation of the Company's named executive officers, as disclosed in this proxy statement. | For | Yes | For |
| 3. | To approve an amendment to the Company's Amended and Restated Certificate of Incorporation to increase the number of authorized shares of Common Stock from 150,000,000 to 200,000,000. | For | Yes | For |
| 4. | A stockholder proposal requesting that the Company issue a sustainability report describing its environmental, social and governance performance, if properly presented at the meeting. | Against | Yes | For |
| 5. | 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 the Company for the fiscal year ending December 31, 2020. | For | Yes | For |
| Company Name: | GUIDEWIRE SOFTWARE INC |
| Ticker: | GWRE | CUSIP: | 40171V100 |
| Meeting Date: | 12/17/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR Margaret Dillon | For | Yes | For |
| 1b. | DIRECTOR Michael Keller | For | Yes | For |
| 1c. | DIRECTOR Mike Rosenbaum | For | Yes | For |
| 2. | To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending July 31, 2020. | For | Yes | For |
| 3. | To approve, on an advisory basis, the compensation of the Company's named executive officers as disclosed in the Proxy Statement. | For | Yes | For |
| 4. | To approve the amendment and restatement of the Company's restated certificate of incorporation to eliminate the classified structure of the Company's Board of Directors. | For | Yes | For |
| 5. | To consider a stockholder proposal regarding majority voting for the election of directors, if properly presented at the annual meeting. | Against | Yes | For |
| Company Name: | GW PHARMACEUTICALS PLC |
| Ticker: | GWPH | CUSIP: | 36197T103 |
| Meeting Date: | 5/26/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1. | To re-elect Dr. Geoffrey W. Guy as a Director | For | Yes | For |
| 2. | To re-elect Cabot Brown as a Director | For | Yes | For |
| 3. | To approve the 2020 Long Term Incentive Plan | Against | Yes | Against |
| 4. | To approve the Directors' Remuneration Report | For | Yes | For |
| 5. | To approve the compensation of the Company's named executive officers | For | Yes | For |
| 6. | To ratify the appointment of Deloitte and Touche LLP as the Company's US public accounting firm | For | Yes | For |
| 7. | To re-appoint Deloitte LLP as the UK Auditor | For | Yes | For |
| 8. | To authorise the Directors to determine the Auditors' remuneration | For | Yes | For |
| 9. | To receive, consider and adopt the Directors' and Auditors' Reports and Statement of Accounts for the 12-month period ended 31 December 2019 and note that the Directors do not recommend the payment of a dividend | For | Yes | For |
| 10. | To authorise the Directors to allot shares pursuant to Section 551 of the Companies Act 2006 (the "2006 Act") such authority to be valid up to 26 May 2021 | For | Yes | For |
| 11. | Subject to the passing of Resolution 10, to authorise the Directors to allot equity securities, under Section 570 of the 2006 Act as if Section 561(1) of the 2006 Act did not apply to such allotment | For | Yes | For |
| Company Name: | II-VI INCORPORATED |
| Ticker: | IIVI | CUSIP: | 902104108 |
| Meeting Date: | 11/12/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | Election of Class II Director: Francis J. Kramer | For | Yes | For |
| 1b. | Election of Class II Director: Shaker Sadasivam | For | Yes | For |
| 1c. | Election of Class II Director: Enrico Digirolamo | For | Yes | For |
| 2. | Non-binding advisory vote to approve the compensation of the Company's named executive officers for fiscal year 2019. | Against | Yes | Against |
| 3. | Ratification of the Audit Committee's selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending June 30, 2020. | For | Yes | For |
| Company Name: | KRATOS DEFENSE & SEC SOLUTIONS, INC. |
| Ticker: | KTOS | CUSIP: | 50077B207 |
| Meeting Date: | 6/4/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Scott Anderson | For | Yes | For |
| 1B. | DIRECTOR Eric DeMarco | For | Yes | For |
| 1C. | DIRECTOR William Hoglund | For | Yes | For |
| 1D. | DIRECTOR Scot Jarvis | For | Yes | For |
| 1E. | DIRECTOR Jane Judd | For | Yes | For |
| 1F. | DIRECTOR Samuel Liberatore | For | Yes | For |
| 1G. | DIRECTOR Amy Zegart | For | Yes | For |
| 2. | To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for the fiscal year ending December 27, 2020. | For | Yes | For |
| 3. | To approve an amendment to the Company's 2014 Equity Incentive Plan to increase the aggregate number of shares that may be issued under the Plan by 4,700,000 shares. | For | Yes | For |
| 4. | An advisory vote to approve the compensation of the Company's named executive officers, as presented in the proxy statement. | Against | Yes | Against |
| Company Name: | Microsoft Corp. |
| Ticker: | MSFT | CUSIP: | 594918104 |
| Meeting Date: | 12/4/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: William H. Gates III | For | Yes | For |
| 1B. | Election of Director: Reid G. Hoffman | For | Yes | For |
| 1C. | Election of Director: Hugh F. Johnston | For | Yes | For |
| 1D. | Election of Director: Teri L. List-Stoll | For | Yes | For |
| 1E. | Election of Director: Satya Nadella | For | Yes | For |
| 1F. | Election of Director: Sandra E. Peterson | For | Yes | For |
| 1G. | Election of Director: Penny S. Pritzker | For | Yes | For |
| 1H. | Election of Director: Charles W. Scharf | For | Yes | For |
| 1I. | Election of Director: Arne M. Sorenson | For | Yes | For |
| 1J. | Election of Director: John W. Stanton | For | Yes | For |
| 1K. | Election of Director: John W. Thompson | For | Yes | For |
| 1L. | Election of Director: Emma Walmsley | For | Yes | For |
| 1M. | Election of Director: Padmasree Warrior | For | Yes | For |
| 2. | Advisory vote to approve named executive officer compensation | For | Yes | For |
| 3. | Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2020 | For | Yes | For |
| 4. | Shareholder Proposal - Report on Employee Representation on Board of Directors | For | Yes | Against |
| 5. | Shareholder Proposal - Report on Gender Pay Gap | For | Yes | Against |
| Company Name: | MONGODB, INC. |
| Ticker: | MDB | CUSIP: | 60937P106 |
| Meeting Date: | 7/10/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR Charles M. Hazard, Jr. | For | Yes | For |
| 1b. | DIRECTOR Tom Killalea | For | Yes | For |
| 2. | Advisory vote to approve the compensation of our named executive officers. | For | Yes | For |
| 3. | Advisory vote to recommend the frequency of future advisory votes to approve the compensation of our named executive officers. | For | Yes | 1 Year |
| 4. | Ratification of the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2020. | For | Yes | For |
| Company Name: | NET 1 UEPS TECHNOLOGIES INC |
| Ticker: | UEPS | CUSIP: | 64107N206 |
| Meeting Date: | 11/20/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR Herman G. Kotzé | For | Yes | For |
| 1b. | DIRECTOR Alex M.R. Smith | For | Yes | For |
| 1c. | DIRECTOR Christopher S Seabrooke | For | Yes | For |
| 1d. | DIRECTOR Alasdair J.K. Pein | For | Yes | For |
| 1e. | DIRECTOR Paul Edwards | For | Yes | For |
| 1f. | DIRECTOR Alfred T. Mockett | For | Yes | For |
| 1g. | 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, 2020. | For | Yes | For |
| 3. | ADVISORY VOTE TO APPROVE EXECUTIVE COMPENSATION. | For | Yes | For |
| Company Name: | Netflix. Inc |
| Ticker: | NFLX | CUSIP: | 64110L106 |
| Meeting Date: | 6/4/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class III Director: Reed Hastings | For | Yes | For |
| 1B. | Election of Class III Director: Jay C. Hoag | For | Yes | For |
| 1C. | Election of Class III Director: Mathias Döpfner | 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, 2020. | For | Yes | For |
| 3. | Advisory approval of the Company's executive officer compensation. | Against | Yes | Against |
| 4. | Approval of the Netflix, Inc. 2020 Stock Plan. | For | Yes | For |
| 5. | Stockholder proposal regarding political disclosures, if properly presented at the meeting. | For | Yes | Against |
| 6. | Stockholder proposal for simple majority vote, if properly presented at the meeting. | Against | Yes | For |
| 7. | Stockholder proposal for EEO policy risk report, if properly presented at the meeting. | For | Yes | Against |
| Company Name: | NUTANIX, INC. |
| Ticker: | NTNX | CUSIP: | 67059N108 |
| Meeting Date: | 12/13/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class III Director: Ravi Mhatre | For | Yes | For |
| 1B. | Election of Class III Director: Dheeraj Pandey | For | Yes | For |
| 2. | To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending July 31, 2020. | For | Yes | For |
| 3. | To approve, on a non-binding advisory basis, the compensation of our Named Executive Officers. | For | Yes | For |
| 4. | To approve certain amendments to our 2016 Employee Stock Purchase Plan, including an amendment to increase the maximum number of shares of our Class A common stock authorized for sale thereunder by 9,200,000 shares. | For | Yes | For |
| Company Name: | Nvidia Corporation |
| Ticker: | NVDA | CUSIP: | 67066G104 |
| Meeting Date: | 6/9/2020 | 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: Jen-Hsun Huang | For | Yes | For |
| 1E. | Election of Director: Dawn Hudson | For | Yes | For |
| 1F. | Election of Director: Harvey C. Jones | For | Yes | For |
| 1G. | Election of Director: Michael G. McCaffery | For | Yes | For |
| 1H. | Election of Director: Stephen C. Neal | For | Yes | For |
| 1I. | Election of Director: Mark L. Perry | For | Yes | For |
| 1J. | Election of Director: A. Brooke Seawell | For | Yes | For |
| 1K. | 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 2021. | For | Yes | For |
| 4. | Approval of an amendment and restatement of our Amended and Restated 2007 Equity Incentive Plan. | For | Yes | For |
| 5. | Approval of an amendment and restatement of our Amended and Restated 2012 Employee Stock Purchase Plan. | For | Yes | For |
| Company Name: | OKTA, INC. |
| Ticker: | OKTA | CUSIP: | 679295105 |
| Meeting Date: | 6/16/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Shellye Archambeau | For | Yes | For |
| 1B. | DIRECTOR Robert L. Dixon, Jr. | For | Yes | For |
| 1C. | DIRECTOR Patrick Grady | For | Yes | For |
| 1D. | DIRECTOR Ben Horowitz | For | Yes | For |
| 2. | A proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | For | Yes | For |
| 3. | To approve, on an advisory non-binding basis, the compensation of our named executive officers. | For | Yes | For |
| Company Name: | ON SEMICONDUCTOR CORPORATION |
| Ticker: | ON | CUSIP: | 682189105 |
| Meeting Date: | 5/20/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Atsushi Abe | For | Yes | For |
| 1B. | Election of Director: Alan Campbell | For | Yes | For |
| 1C. | Election of Director: Gilles Delfassy | For | Yes | For |
| 1D. | Election of Director: Emmanuel T. Hernandez | For | Yes | For |
| 1E. | Election of Director: Keith D. Jackson | For | Yes | For |
| 1F. | Election of Director: Paul A. Mascarenas | For | Yes | For |
| 1G. | Election of Director: Christine Y. Yan | For | Yes | For |
| 2. | Advisory (non-binding) resolution to approve executive compensation. | For | Yes | For |
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the current year. | For | Yes | For |
| Company Name: | PALO ALTO NETWORKS, INC. |
| Ticker: | PANW | CUSIP: | 697435105 |
| Meeting Date: | 12/9/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class II Director: Asheem Chandna | Against | Yes | Against |
| 1B. | Election of Class II Director: James J. Goetz | For | Yes | For |
| 1C. | Election of Class II Director: Mark D. McLaughlin | Against | Yes | Against |
| 2. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending July 31, 2020. | For | Yes | For |
| 3. | To approve, on an advisory basis, the compensation of our named executive officers. | Against | Yes | Against |
| Company Name: | PAYPAL HOLDINGS, INC. |
| Ticker: | PYPL | CUSIP: | 70450Y103 |
| Meeting Date: | 5/21/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Rodney C. Adkins | For | Yes | For |
| 1B. | Election of Director: Jonathan Christodoro | For | Yes | For |
| 1C. | Election of Director: John J. Donahoe | For | Yes | For |
| 1D. | Election of Director: David W. Dorman | For | Yes | For |
| 1E. | Election of Director: Belinda J. Johnson | For | Yes | For |
| 1F. | Election of Director: Gail J. McGovern | For | Yes | For |
| 1G. | Election of Director: Deborah M. Messemer | For | Yes | For |
| 1H. | Election of Director: David M. Moffett | For | Yes | For |
| 1I. | Election of Director: Ann M. Sarnoff | For | Yes | For |
| 1J. | Election of Director: Daniel H. Schulman | For | Yes | For |
| 1K. | Election of Director: Frank D. Yeary | For | Yes | For |
| 2. | Advisory vote to approve named executive officer compensation. | Against | Yes | Against |
| 3. | Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2020. | For | Yes | For |
| 4. | Stockholder Proposal - Stockholder right to act by written consent. | Against | Yes | For |
| 5. | Stockholder Proposal - Human and indigenous peoples' rights. | For | Yes | Against |
| Company Name: | PIVOTAL SYSTEMS CORP |
| Ticker: | PVS | CUSIP: | U7258A108 |
| Meeting Date: | 5/22/2020 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | RE-ELECTION OF RYAN BENTON AS A DIRECTOR | For | Yes | For |
| 2 | ISSUE OF OPTIONS TO DIRECTOR, JOHN HOFFMAN | For | Yes | For |
| 3 | ISSUE OF OPTIONS TO DIRECTOR, JOSEPH MONKOWSKI | For | Yes | For |
| 4 | APPROVAL OF 10% PLACEMENT FACILITY | Against | Yes | Against |
| 5 | APPROVAL TO ISSUE TRANCHE 2 RBI PREFERRED STOCK TO ANZU RBI USA LLC | For | Yes | For |
| 6 | APPOINTMENT OF BDO AUDIT PTY LTD AS AUDITOR | For | Yes | For |
| 7 | APPROVAL OF 2012 EQUITY INCENTIVE PLAN | For | Yes | For |
| Company Name: | PROOFPOINT, INC. |
| Ticker: | PFPT | CUSIP: | 743424103 |
| Meeting Date: | 6/12/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class II Director: Jonathan Feiber | For | Yes | For |
| 1B. | Election of Class II Director: Kevin Harvey | For | Yes | For |
| 1C. | Election of Class II Director: Leyla Seka | For | Yes | For |
| 2. | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | Against | Yes | Against |
| 3. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| Company Name: | REVASUM INC |
| Ticker: | RVS | CUSIP: | U7S95S106 |
| Meeting Date: | 5/27/2020 | Meeting Type: | Annual General Meeting |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1 | RE-ELECTION OF PAUL MIRABELLE AS A DIRECTOR | For | Yes | For |
| 2 | RE-ELECTION OF VIVEK RAO AS A DIRECTOR | For | Yes | For |
| 3 | APPOINTMENT OF BDO AUDIT PTY LTD AS AUDITOR | For | Yes | For |
| 4 | APPROVAL OF 10% PLACEMENT FACILITY | Against | Yes | Against |
| Company Name: | ROKU, INC. |
| Ticker: | ROKU | CUSIP: | 77543R102 |
| Meeting Date: | 6/10/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class I director to serve until the 2021 annual meeting of stockholders: Alan Henricks | For | Yes | For |
| 2A. | Election of Class III director to serve until the 2023 annual meeting of stockholders: Neil Hunt | For | Yes | For |
| 2B. | Election of Class III director to serve until the 2023 annual meeting of stockholders: Anthony Wood | For | Yes | For |
| 3. | Advisory vote to approve our named executive officer compensation. | Against | Yes | Against |
| 4. | To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2020. | For | Yes | For |
| Company Name: | SLACK TECHNOLOGIES, INC. |
| Ticker: | WORK | CUSIP: | 83088V102 |
| Meeting Date: | 6/19/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Stewart Butterfield | For | Yes | For |
| 1B. | DIRECTOR John O'Farrell | For | Yes | For |
| 2. | A proposal to ratify the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending January 31, 2021. | For | Yes | For |
| Company Name: | SOLAREDGE TECHNOLOGIES, INC. |
| Ticker: | SEDG | CUSIP: | 83417M104 |
| Meeting Date: | 5/18/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Director: Tal Payne | For | Yes | For |
| 1B. | Election of Director: Marcel Gani | For | Yes | For |
| 2. | Ratification of appointment of EY as independent registered public accounting firm for the year ending December 31, 2020. | For | Yes | For |
| 3. | Approval of, on an advisory and non-binding basis, the compensation of our named executive officers (the "Say-on-Pay Proposal"). | For | Yes | For |
| Company Name: | SPLUNK INC. |
| Ticker: | SPLK | CUSIP: | 848637104 |
| Meeting Date: | 6/11/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class II Director: John Connors | For | Yes | For |
| 1B. | Election of Class II Director: Patricia Morrison | For | Yes | For |
| 1C. | Election of Class II Director: Stephen Newberry | For | Yes | For |
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending January 31, 2021. | For | Yes | For |
| 3. | To approve, on an advisory basis, the compensation of our named executive officers, as described in the proxy statement. | Against | Yes | Against |
| Company Name: | SQUARE, INC. |
| Ticker: | SQ | CUSIP: | 852234103 |
| Meeting Date: | 6/16/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Roelof Botha | For | Yes | For |
| 1B. | DIRECTOR Amy Brooks | For | Yes | For |
| 1C. | DIRECTOR James McKelvey | For | Yes | For |
| 2. | ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. | For | Yes | For |
| 3. | RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2020. | For | Yes | For |
| 4. | STOCKHOLDER PROPOSAL, IF PROPERLY PRESENTED AT THE MEETING, TO PREPARE A REPORT ON EMPLOYEE REPRESENTATION ON THE BOARD OF DIRECTORS. | For | Yes | Against |
| Company Name: | TWILIO INC. |
| Ticker: | TWLO | CUSIP: | 90138F102 |
| Meeting Date: | 6/3/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Richard Dalzell | For | Yes | For |
| 1B. | DIRECTOR Jeffrey Immelt | For | Yes | For |
| 1C. | DIRECTOR Erika Rottenberg | For | Yes | For |
| 2. | To ratify the appointment of KPMG LLP as our independent registered public accounting firm for our fiscal year ending December 31, 2020. | For | Yes | For |
| 3. | To approve, on a non-binding advisory basis, the compensation of our named executive officers. | Against | Yes | Against |
| Company Name: | ViaSat, Inc. |
| Ticker: | VSAT | CUSIP: | 92552V100 |
| Meeting Date: | 9/4/2019 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1a. | DIRECTOR Richard Baldridge | For | Yes | For |
| 1b. | DIRECTOR Sean Pak | For | Yes | For |
| 2. | Ratification of Appointment of PricewaterhouseCoopers LLP as ViaSat's Independent Registered Public Accounting Firm for fiscal year 2020. | For | Yes | For |
| 3. | Advisory Vote on Executive Compensation. | Against | Yes | Against |
| 4. | Amendment and Restatement of the Employee Stock Purchase Plan. | For | Yes | For |
| 5. | Amendment and Restatement of the 1996 Equity Participation Plan. | For | Yes | For |
| Company Name: | WORKDAY, INC. |
| Ticker: | WDAY | CUSIP: | 98138H101 |
| Meeting Date: | 6/9/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Michael C. Bush | For | Yes | For |
| 1B. | DIRECTOR Christa Davies | For | Yes | For |
| 1C. | DIRECTOR Michael A. Stankey | For | Yes | For |
| 1D. | 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, 2021. | For | Yes | For |
| 3. | Advisory vote on named executive officer compensation. | Against | Yes | Against |
| Company Name: | ZENDESK, INC. |
| Ticker: | ZEN | CUSIP: | 98936J101 |
| Meeting Date: | 5/19/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | Election of Class III Director: Michael Curtis | For | Yes | For |
| 1B. | Election of Class III Director: Mikkel Svane | For | Yes | For |
| 2. | To ratify the appointment of Ernst & Young LLP as Zendesk's independent registered public accounting firm for the fiscal year ending December 31, 2020. | For | Yes | For |
| 3. | Non-binding advisory vote to approve the compensation of our Named Executive Officers. | For | Yes | For |
| Company Name: | ZSCALER, INC. |
| Ticker: | ZS | CUSIP: | 98980G102 |
| Meeting Date: | 1/10/2020 | Meeting Type: | Annual |
| # | Description | Mgmt Rec | Voted | Vote Cast |
| Management Proposal |
| 1A. | DIRECTOR Andrew Brown | For | Yes | For |
| 1B. | DIRECTOR Scott Darling | For | Yes | For |
| 1C. | DIRECTOR David Schneider | For | Yes | For |
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as our independent registered public accounting firm for fiscal year 2020. | For | Yes | For |
| 3. | To approve on a non-binding, advisory basis, the frequency of future stockholder advisory votes on the compensation of our named executive officers. | For | Yes | 1 Year |
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 Landis | |
| | Kevin M. Landis, President and Secretary | |
| | (principal executive officer) | |
| | | |
| Date | August 31, 2020 | |
| * | Print the name and title of each signing officer under his or her signature. |
