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: 811-10401
NAME OF REGISTRANT: Trust for Professional Managers
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street
Milwaukee, WI 53202
NAME AND ADDRESS OF AGENT FOR SERVICE: Jay Fitton
615 East Michigan Street
Milwaukee, WI 53202
REGISTRANT'S TELEPHONE NUMBER: 513-629-8104
DATE OF FISCAL YEAR END: 12/31
DATE OF REPORTING PERIOD: 07/01/2019 - 06/30/2020
Marketfield Fund
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BARRICK GOLD CORPORATION Agenda Number: 935171897
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Security: 067901108
Meeting Type: Annual
Meeting Date: 05-May-2020
Ticker: GOLD
ISIN: CA0679011084
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
D. M. Bristow Mgmt For For
G. A. Cisneros Mgmt For For
C. L. Coleman Mgmt For For
J. M. Evans Mgmt For For
B. L. Greenspun Mgmt For For
J. B. Harvey Mgmt For For
A. J. Quinn Mgmt For For
M. L. Silva Mgmt For For
J. L. Thornton Mgmt For For
2 RESOLUTION APPROVING THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP as the auditor
of Barrick and authorizing the directors to
fix its remuneration.
3 ADVISORY RESOLUTION ON APPROACH TO Mgmt For For
EXECUTIVE COMPENSATION.
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CATERPILLAR INC. Agenda Number: 935192980
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Security: 149123101
Meeting Type: Annual
Meeting Date: 10-Jun-2020
Ticker: CAT
ISIN: US1491231015
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Kelly A. Ayotte Mgmt For For
1B. Election of Director: David L. Calhoun Mgmt For For
1C. Election of Director: Daniel M. Dickinson Mgmt For For
1D. Election of Director: Juan Gallardo Mgmt For For
1E. Election of Director: William A. Osborn Mgmt For For
1F. Election of Director: Debra L. Reed-Klages Mgmt For For
1G. Election of Director: Edward B. Rust, Jr. Mgmt For For
1H. Election of Director: Susan C. Schwab Mgmt For For
1I. Election of Director: D. James Umpleby III Mgmt For For
1J. Election of Director: Miles D. White Mgmt For For
1K. Election of Director: Rayford Wilkins, Jr. Mgmt For For
2. Ratification of our Independent Registered Mgmt For For
Public Accounting Firm
3. Advisory Vote to Approve Executive Mgmt For For
Compensation
4. Shareholder Proposal - Provide a Report of Shr For Against
Lobbying Activities
5. Shareholder Proposal - Independent Board Shr For Against
Chairman
6. Shareholder Proposal - Shareholder Action Shr For Against
by Written Consent
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CIENA CORPORATION Agenda Number: 935130358
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Security: 171779309
Meeting Type: Annual
Meeting Date: 02-Apr-2020
Ticker: CIEN
ISIN: US1717793095
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class II Director: Judith M. Mgmt For For
O'Brien
1B. Election of Class II Director: Joanne B. Mgmt For For
Olsen
1C. Election of Class II Director: Gary B. Mgmt For For
Smith
1D. Election of Class I Director: Devinder Mgmt For For
Kumar
2. Approve the amendment of the 2017 Omnibus Mgmt For For
Incentive Plan to increase the number of
shares available for issuance thereunder by
12.2 million shares.
3. Ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending October 31,
2020.
4. Advisory vote on our named executive Mgmt For For
officer compensation, as described in these
proxy materials.
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COMPANIA DE MINAS BUENAVENTURA S.A.A Agenda Number: 935141212
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Security: 204448104
Meeting Type: Annual
Meeting Date: 31-Mar-2020
Ticker: BVN
ISIN: US2044481040
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the 2019 Annual Report Mgmt For
2. Approval of the financial statements for Mgmt For
the fiscal year ended December 31, 2019
3. Distribution of dividends Mgmt For
4. Directors' remuneration Mgmt For
5. Modification of the Directors' remuneration Mgmt For
policy
6. Appointment of external auditors for fiscal Mgmt For
year 2020.
7.1 Appointment of Director for the 2020-2022 Mgmt For
period: Roque Benavides
7.2 Appointment of Director for the 2020-2022 Mgmt For
period: Felipe Ortiz de Zevallos
7.3 Appointment of Director for the 2020-2022 Mgmt For
period: Nicole Bernex
7.4 Appointment of Director for the 2020-2022 Mgmt For
period: William Champion
7.5 Appointment of Director for the 2020-2022 Mgmt For
period: Diego de La Torre
7.6 Appointment of Director for the 2020-2022 Mgmt For
period: Jose Miguel Morales
7.7 Appointment of Director for the 2020-2022 Mgmt For
period: Marco Antonio Zaldivar
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COSTCO WHOLESALE CORPORATION Agenda Number: 935114087
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Security: 22160K105
Meeting Type: Annual
Meeting Date: 22-Jan-2020
Ticker: COST
ISIN: US22160K1051
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Susan L. Decker Mgmt For For
Richard A. Galanti Mgmt For For
Sally Jewell Mgmt For For
Charles T. Munger Mgmt For For
2. Ratification of selection of independent Mgmt For For
auditors.
3. Approval, on an advisory basis, of Mgmt For For
executive compensation.
4. Approval to amend Articles of Incorporation Mgmt For For
to permit removal of directors without
cause.
5. Shareholder proposal regarding a director Shr For Against
skills matrix and disclosure of director
ideological perspectives.
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CUMMINS INC. Agenda Number: 935149028
--------------------------------------------------------------------------------------------------------------------------
Security: 231021106
Meeting Type: Annual
Meeting Date: 12-May-2020
Ticker: CMI
ISIN: US2310211063
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) Election of Director: N. Thomas Linebarger Mgmt For For
2) Election of Director: Robert J. Bernhard Mgmt For For
3) Election of Director: Dr. Franklin R. Chang Mgmt For For
Diaz
4) Election of Director: Bruno V. Di Leo Allen Mgmt For For
5) Election of Director: Stephen B. Dobbs Mgmt For For
6) Election of Director: Robert K. Herdman Mgmt For For
7) Election of Director: Alexis M. Herman Mgmt For For
8) Election of Director: Thomas J. Lynch Mgmt For For
9) Election of Director: William I. Miller Mgmt For For
10) Election of Director: Georgia R. Nelson Mgmt For For
11) Election of Director: Karen H. Quintos Mgmt For For
12) Advisory vote to approve the compensation Mgmt For For
of our named executive officers as
disclosed in the proxy statement.
13) Proposal to ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our auditors
for 2020.
14) The shareholder proposal regarding by-law Shr For Against
amendments.
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D.R. HORTON, INC. Agenda Number: 935119188
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Security: 23331A109
Meeting Type: Annual
Meeting Date: 22-Jan-2020
Ticker: DHI
ISIN: US23331A1097
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Donald R. Horton Mgmt For For
1B. Election of director: Barbara K. Allen Mgmt For For
1C. Election of director: Brad S. Anderson Mgmt For For
1D. Election of Director: Michael R. Buchanan Mgmt For For
1E. Election of Director: Michael W. Hewatt Mgmt For For
1F. Election of Director: Maribess L. Miller Mgmt For For
2. Proposal Two: Approval of the advisory Mgmt For For
resolution on executive compensation.
3. Proposal Three: Ratify the appointment of Mgmt For For
Ernst & Young LLP as our independent
registered public accounting firm.
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DALATA HOTEL GROUP PLC Agenda Number: 712314044
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Security: G2630L100
Meeting Type: AGM
Meeting Date: 29-Apr-2020
Ticker:
ISIN: IE00BJMZDW83
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 TO RECEIVE AND CONSIDER THE ANNUAL REPORT Mgmt For For
AND FINANCIAL STATEMENTS OF THE COMPANY FOR
THE YEAR ENDED 31 DECEMBER 2019 TOGETHER
WITH THE DIRECTORS AND AUDITORS REPORTS AND
A REVIEW OF THE AFFAIRS OF THE COMPANY
2 TO RECEIVE AND CONSIDER THE DIRECTORS' Mgmt For For
REPORT ON REMUNERATION FOR THE YEAR ENDED
31 DECEMBER 2019
3 TO RECEIVE AND CONSIDER THE DIRECTORS Mgmt For For
REMUNERATION POLICY
4.A TO RE-APPOINT THE FOLLOWING DIRECTOR: JOHN Mgmt For For
HENNESSY
4.B TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
PATRICK MCCANN
4.C TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
STEPHEN MCNALLY
4.D TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
DERMOT CROWLEY
4.E TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
ROBERT DIX
4.F TO RE-APPOINT THE FOLLOWING DIRECTOR: ALF Mgmt For For
SMIDDY
4.G TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
MARGARET SWEENEY
4.H TO RE-APPOINT THE FOLLOWING DIRECTOR: Mgmt For For
ELIZABETH MCMEIKAN
4.I TO RE-APPOINT THE FOLLOWING DIRECTOR: SHANE Mgmt For For
CASSERLY
5 TO AUTHORISE THE DIRECTORS TO DETERMINE THE Mgmt For For
REMUNERATION OF THE AUDITORS
6 AUTHORITY TO ALLOT RELEVANT SECURITIES UP Mgmt For For
TO CUSTOMARY LIMITS
7 DISAPPLICATION OF STATUTORY PRE-EMPTION Mgmt For For
RIGHTS IN SPECIFIED CIRCUMSTANCES
8 DISAPPLICATION OF STATUTORY PRE-EMPTION Mgmt For For
RIGHTS IN ADDITIONAL CIRCUMSTANCES FOR
FINANCING AN ACQUISITION OR CAPITAL
INVESTMENT BY THE COMPANY
9 AUTHORISATION OF MARKET PURCHASES OF THE Mgmt For For
COMPANY'S SHARES
10 AUTHORISATION FOR THE RE-ALLOTMENT OF Mgmt For For
TREASURY SHARES
11 TO AUTHORISE THE DIRECTORS TO HOLD CERTAIN Mgmt For For
GENERAL MEETINGS ON 14 DAYS NOTICE
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DEERE & COMPANY Agenda Number: 935120876
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Security: 244199105
Meeting Type: Annual
Meeting Date: 26-Feb-2020
Ticker: DE
ISIN: US2441991054
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Samuel R. Allen Mgmt For For
1B. Election of Director: Alan C. Heuberger Mgmt For For
1C. Election of Director: Charles O. Holliday, Mgmt For For
Jr.
1D. Election of Director: Dipak C. Jain Mgmt For For
1E. Election of Director: Michael O. Johanns Mgmt For For
1F. Election of Director: Clayton M. Jones Mgmt For For
1G. Election of Director: John C. May Mgmt For For
1H. Election of Director: Gregory R. Page Mgmt For For
1I. Election of Director: Sherry M. Smith Mgmt For For
1J. Election of Director: Dmitri L. Stockton Mgmt For For
1K. Election of Director: Sheila G. Talton Mgmt For For
2. Amendment to Deere's ByLaws to provide that Mgmt For For
courts located in Delaware will be the
exclusive forum for certain legal disputes
3. Advisory vote on executive compensation Mgmt For For
4. Approval of the John Deere 2020 Equity and Mgmt For For
Incentive Plan
5. Ratification of the appointment of Deloitte Mgmt For For
& Touche LLP as Deere's independent
registered public accounting firm for
fiscal 2020
6. Shareholder Proposal - Adopt a Board Shr For Against
Ideology Disclosure Policy
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DEVON ENERGY CORPORATION Agenda Number: 935190366
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Security: 25179M103
Meeting Type: Annual
Meeting Date: 03-Jun-2020
Ticker: DVN
ISIN: US25179M1036
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Barbara M. Baumann Mgmt For For
John E. Bethancourt Mgmt For For
Ann G. Fox Mgmt For For
David A. Hager Mgmt For For
Robert H. Henry Mgmt For For
Michael M. Kanovsky Mgmt For For
John Krenicki Jr. Mgmt For For
Robert A. Mosbacher Jr. Mgmt For For
Duane C. Radtke Mgmt For For
Keith O. Rattie Mgmt For For
Mary P. Ricciardello Mgmt For For
2. Ratify the appointment of the Company's Mgmt For For
Independent Auditors for 2020.
3. Advisory Vote to Approve Executive Mgmt For For
Compensation.
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EATON CORPORATION PLC Agenda Number: 935138619
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Security: G29183103
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: ETN
ISIN: IE00B8KQN827
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Craig Arnold Mgmt For For
1B. Election of Director: Christopher M. Connor Mgmt For For
1C. Election of Director: Michael J. Critelli Mgmt For For
1D. Election of Director: Richard H. Fearon Mgmt For For
1E. Election of Director: Olivier Leonetti Mgmt For For
1F. Election of Director: Deborah L. McCoy Mgmt For For
1G. Election of Director: Silvio Napoli Mgmt For For
1H. Election of Director: Gregory R. Page Mgmt For For
1I. Election of Director: Sandra Pianalto Mgmt For For
1J. Election of Director: Lori J. Ryerkerk Mgmt For For
1K. Election of Director: Gerald B. Smith Mgmt For For
1L. Election of Director: Dorothy C. Thompson Mgmt For For
2. Approving a proposed 2020 Stock Plan. Mgmt For For
3. Approving the appointment of Ernst & Young Mgmt For For
as independent auditor for 2020 and
authorizing the Audit Committee of the
Board of Directors to set its remuneration.
4. Advisory approval of the Company's Mgmt For For
executive compensation.
5. Approving a proposal to grant the Board Mgmt For For
authority to issue shares.
6. Approving a proposal to grant the Board Mgmt For For
authority to opt out of pre-emption rights.
7. Authorizing the Company and any subsidiary Mgmt For For
of the Company to make overseas market
purchases of Company shares.
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FIRST AMERICAN FUNDS, INC. Agenda Number: 935065246
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Security: 31846V336
Meeting Type: Special
Meeting Date: 29-Aug-2019
Ticker: FGXXX
ISIN: US31846V3362
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
David K. Baumgardner Mgmt For For
Mark E. Gaumond Mgmt For For
Roger A. Gibson Mgmt For For
Jennifer J. McPeek Mgmt For For
C. David Myers Mgmt For For
Richard K. Riederer Mgmt For For
P. Kelly Tompkins Mgmt For For
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HONEYWELL INTERNATIONAL INC. Agenda Number: 935137794
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Security: 438516106
Meeting Type: Annual
Meeting Date: 27-Apr-2020
Ticker: HON
ISIN: US4385161066
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Darius Adamczyk Mgmt For For
1B. Election of Director: Duncan B. Angove Mgmt For For
1C. Election of Director: William S. Ayer Mgmt For For
1D. Election of Director: Kevin Burke Mgmt For For
1E. Election of Director: D. Scott Davis Mgmt For For
1F. Election of Director: Linnet F. Deily Mgmt For For
1G. Election of Director: Deborah Flint Mgmt For For
1H. Election of Director: Judd Gregg Mgmt For For
1I. Election of Director: Clive Hollick Mgmt For For
1J. Election of Director: Grace D. Lieblein Mgmt For For
1K. Election of Director: Raymond T. Odierno Mgmt For For
1L. Election of Director: George Paz Mgmt For For
1M. Election of Director: Robin L. Washington Mgmt For For
2. Advisory Vote to Approve Executive Mgmt For For
Compensation.
3. Approval of Independent Accountants. Mgmt For For
4. Let Shareholders Vote on Bylaw Amendments. Shr For Against
5. Report on Lobbying Activities and Shr For Against
Expenditures.
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INTEL CORPORATION Agenda Number: 935158635
--------------------------------------------------------------------------------------------------------------------------
Security: 458140100
Meeting Type: Annual
Meeting Date: 14-May-2020
Ticker: INTC
ISIN: US4581401001
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: James J. Goetz Mgmt For For
1B. Election of Director: Alyssa Henry Mgmt For For
1C. Election of Director: Omar Ishrak Mgmt For For
1D. Election of Director: Risa Lavizzo-Mourey Mgmt For For
1E. Election of Director: Tsu-Jae King Liu Mgmt For For
1F. Election of Director: Gregory D. Smith Mgmt For For
1G. Election of Director: Robert ("Bob") H. Mgmt For For
Swan
1H. Election of Director: Andrew Wilson Mgmt For For
1I. Election of Director: Frank D. Yeary Mgmt For For
2. Ratification of selection of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for 2020
3. Advisory vote to approve executive Mgmt For For
compensation of our listed officers
4. Approval of amendment and restatement of Mgmt For For
the 2006 Employee Stock Purchase Plan
5. Stockholder proposal on whether to allow Shr For Against
stockholders to act by written consent, if
properly presented at the meeting
6. Stockholder proposal requesting a report on Shr For Against
the global median gender/racial pay gap, if
properly presented at the meeting
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INTUITIVE SURGICAL, INC. Agenda Number: 935141717
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Security: 46120E602
Meeting Type: Annual
Meeting Date: 23-Apr-2020
Ticker: ISRG
ISIN: US46120E6023
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Craig H. Barratt, Mgmt For For
Ph.D.
1B. Election of Director: Joseph C. Beery Mgmt For For
1C. Election of Director: Gary S. Guthart, Mgmt For For
Ph.D.
1D. Election of Director: Amal M. Johnson Mgmt For For
1E. Election of Director: Don R. Kania, Ph.D. Mgmt For For
1F. Election of Director: Amy L. Ladd, M.D. Mgmt For For
1G. Election of Director: Keith R. Leonard, Jr. Mgmt For For
1H. Election of Director: Alan J. Levy, Ph.D. Mgmt For For
1I. Election of Director: Jami Dover Nachtsheim Mgmt For For
1J. Election of Director: Mark J. Rubash Mgmt For For
2. To approve, by advisory vote, the Mgmt For For
compensation of the Company's Named
Executive Officers.
3. The ratification of appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2020.
4. To approve the Company's Amended and Mgmt For For
Restated 2010 Incentive Award Plan.
5. To approve the amendment of the Certificate Mgmt For For
of Incorporation to adopt simple majority
voting provisions.
6. To approve the amendment of the Certificate Mgmt For For
of Incorporation to permit stockholders to
call a special meeting.
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KEYENCE CORPORATION Agenda Number: 712704255
--------------------------------------------------------------------------------------------------------------------------
Security: J32491102
Meeting Type: AGM
Meeting Date: 12-Jun-2020
Ticker:
ISIN: JP3236200006
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
Please reference meeting materials. Non-Voting
1 Approve Appropriation of Surplus Mgmt For For
2.1 Appoint a Director Takizaki, Takemitsu Mgmt For For
2.2 Appoint a Director Nakata, Yu Mgmt For For
2.3 Appoint a Director Kimura, Keiichi Mgmt For For
2.4 Appoint a Director Yamaguchi, Akiji Mgmt For For
2.5 Appoint a Director Miki, Masayuki Mgmt For For
2.6 Appoint a Director Yamamoto, Akinori Mgmt For For
2.7 Appoint a Director Kanzawa, Akira Mgmt For For
2.8 Appoint a Director Tanabe, Yoichi Mgmt For For
2.9 Appoint a Director Taniguchi, Seiichi Mgmt For For
3.1 Appoint a Corporate Auditor Takeda, Mgmt For For
Hidehiko
3.2 Appoint a Corporate Auditor Indo, Hiroji Mgmt For For
4 Appoint a Substitute Corporate Auditor Mgmt For For
Yamamoto, Masaharu
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LENNAR CORPORATION Agenda Number: 935133001
--------------------------------------------------------------------------------------------------------------------------
Security: 526057104
Meeting Type: Annual
Meeting Date: 07-Apr-2020
Ticker: LEN
ISIN: US5260571048
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Rick Beckwitt Mgmt For For
1B. Election of Director: Irving Bolotin Mgmt For For
1C. Election of Director: Steven L. Gerard Mgmt For For
1D. Election of Director: Tig Gilliam Mgmt For For
1E. Election of Director: Sherrill W. Hudson Mgmt For For
1F. Election of Director: Jonathan M. Jaffe Mgmt For For
1G. Election of Director: Sidney Lapidus Mgmt For For
1H. Election of Director: Teri P. McClure Mgmt For For
1I. Election of Director: Stuart Miller Mgmt For For
1J. Election of Director: Armando Olivera Mgmt For For
1K. Election of Director: Jeffrey Sonnenfeld Mgmt For For
1L. Election of Director: Scott Stowell Mgmt For For
2. Approve, on an advisory basis, the Mgmt For For
compensation of our named executive
officers.
3. Ratify the appointment of Deloitte & Touche Mgmt For For
LLP as our independent registered public
accounting firm for our fiscal year ending
November 30, 2020.
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MICROSOFT CORPORATION Agenda Number: 935092849
--------------------------------------------------------------------------------------------------------------------------
Security: 594918104
Meeting Type: Annual
Meeting Date: 04-Dec-2019
Ticker: MSFT
ISIN: US5949181045
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: William H. Gates III Mgmt For For
1B. Election of Director: Reid G. Hoffman Mgmt For For
1C. Election of Director: Hugh F. Johnston Mgmt For For
1D. Election of Director: Teri L. List-Stoll Mgmt For For
1E. Election of Director: Satya Nadella Mgmt For For
1F. Election of Director: Sandra E. Peterson Mgmt For For
1G. Election of Director: Penny S. Pritzker Mgmt For For
1H. Election of Director: Charles W. Scharf Mgmt For For
1I. Election of Director: Arne M. Sorenson Mgmt For For
1J. Election of Director: John W. Stanton Mgmt For For
1K. Election of Director: John W. Thompson Mgmt For For
1L. Election of Director: Emma Walmsley Mgmt For For
1M. Election of Director: Padmasree Warrior Mgmt For For
2. Advisory vote to approve named executive Mgmt For For
officer compensation
3. Ratification of Deloitte & Touche LLP as Mgmt For For
our independent auditor for fiscal year
2020
4. Shareholder Proposal - Report on Employee Shr Against For
Representation on Board of Directors
5. Shareholder Proposal - Report on Gender Pay Shr Against For
Gap
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MINING AND METALLURGICAL COMPANY NORILSK NICKEL PJ Agenda Number: 711563949
--------------------------------------------------------------------------------------------------------------------------
Security: 55315J102
Meeting Type: EGM
Meeting Date: 26-Sep-2019
Ticker:
ISIN: US55315J1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 PAYMENT (DECLARATION) OF DIVIDENDS ON Mgmt No vote
SHARES OF PJSC MMC NORILSK NICKEL FOR THE
FIRST HALF OF 2019. 1) PAY DIVIDENDS ON
ORDINARY SHARES OF PJSC MMC NORILSK NICKEL
FOR THE FIRST HALF OF 2019 IN CASH IN THE
AMOUNT OF RUB 883,93 PER ORDINARY SHARE. 2)
SET OCTOBER 7, 2019 AS THE RECORD DATE FOR
DETERMINING PERSONS ELIGIBLE TO RECEIVE THE
DIVIDENDS
CMMT 10 SEP 2019: IN ACCORDANCE WITH NEW RUSSIAN Non-Voting
FEDERATION LEGISLATION REGARDING FOREIGN
OWNERSHIP DISCLOSURE REQUIREMENTS FOR ADR
SECURITIES, ALL SHAREHOLDERS WHO WISH TO
PARTICIPATE IN THIS EVENT MUST DISCLOSE
THEIR BENEFICIAL OWNER COMPANY REGISTRATION
NUMBER AND DATE OF COMPANY REGISTRATION.
BROADRIDGE WILL INTEGRATE THE RELEVANT
DISCLOSURE INFORMATION WITH THE VOTE
INSTRUCTION WHEN IT IS ISSUED TO THE LOCAL
MARKET AS LONG AS THE DISCLOSURE
INFORMATION HAS BEEN PROVIDED BY YOUR
GLOBAL CUSTODIAN. IF THIS INFORMATION HAS
NOT BEEN PROVIDED BY YOUR GLOBAL CUSTODIAN,
THEN YOUR VOTE MAY BE REJECTED
CMMT 10 SEP 2019: PLEASE NOTE THAT THIS IS A Non-Voting
REVISION DUE TO ADDITION OF COMMENT. IF YOU
HAVE ALREADY SENT IN YOUR VOTES, PLEASE DO
NOT VOTE AGAIN UNLESS YOU DECIDE TO AMEND
YOUR ORIGINAL INSTRUCTIONS. THANK YOU.
--------------------------------------------------------------------------------------------------------------------------
MINING AND METALLURGICAL COMPANY NORILSK NICKEL PJ Agenda Number: 711827684
--------------------------------------------------------------------------------------------------------------------------
Security: 55315J102
Meeting Type: EGM
Meeting Date: 16-Dec-2019
Ticker:
ISIN: US55315J1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
CMMT IN ACCORDANCE WITH NEW RUSSIAN FEDERATION Non-Voting
LEGISLATION REGARDING FOREIGN OWNERSHIP
DISCLOSURE REQUIREMENTS FOR ADR SECURITIES,
ALL SHAREHOLDERS WHO WISH TO PARTICIPATE IN
THIS EVENT MUST DISCLOSE THEIR BENEFICIAL
OWNER COMPANY REGISTRATION NUMBER AND DATE
OF COMPANY REGISTRATION. BROADRIDGE WILL
INTEGRATE THE RELEVANT DISCLOSURE
INFORMATION WITH THE VOTE INSTRUCTION WHEN
IT IS ISSUED TO THE LOCAL MARKET AS LONG AS
THE DISCLOSURE INFORMATION HAS BEEN
PROVIDED BY YOUR GLOBAL CUSTODIAN. IF THIS
INFORMATION HAS NOT BEEN PROVIDED BY YOUR
GLOBAL CUSTODIAN, THEN YOUR VOTE MAY BE
REJECTED
1 PAYMENT (DECLARATION) OF DIVIDENDS ON Mgmt For For
SHARES OF MMC NORILSK NICKEL PJSC FOR NINE
MONTHS OF 2019. 1) PAY OUT DIVIDENDS ON
ORDINARY NOMINAL SHARES OF MMC NORILSK
NICKEL PJSC FOR THE NINE MONTHS OF 2019 IN
CASH AT RUB 604,09 PER ORDINARY SHARE. 2)
TO SET DECEMBER 27TH, 2019 AS THE DATE FOR
DETERMINING WHICH PERSONS ARE ENTITLED TO
RECEIVE THE DIVIDENDS
--------------------------------------------------------------------------------------------------------------------------
MINING AND METALLURGICAL COMPANY NORILSK NICKEL PJ Agenda Number: 712481693
--------------------------------------------------------------------------------------------------------------------------
Security: 55315J102
Meeting Type: AGM
Meeting Date: 13-May-2020
Ticker:
ISIN: US55315J1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
CMMT IN ACCORDANCE WITH NEW RUSSIAN FEDERATION Non-Voting
LEGISLATION REGARDING FOREIGN OWNERSHIP
DISCLOSURE REQUIREMENTS FOR ADR SECURITIES,
ALL SHAREHOLDERS WHO WISH TO PARTICIPATE IN
THIS EVENT MUST DISCLOSE THEIR BENEFICIAL
OWNER COMPANY REGISTRATION NUMBER AND DATE
OF COMPANY REGISTRATION. BROADRIDGE WILL
INTEGRATE THE RELEVANT DISCLOSURE
INFORMATION WITH THE VOTE INSTRUCTION WHEN
IT IS ISSUED TO THE LOCAL MARKET AS LONG AS
THE DISCLOSURE INFORMATION HAS BEEN
PROVIDED BY YOUR GLOBAL CUSTODIAN. IF THIS
INFORMATION HAS NOT BEEN PROVIDED BY YOUR
GLOBAL CUSTODIAN, THEN YOUR VOTE MAY BE
REJECTED
1 RATIFYING THE 2019 ANNUAL REPORT FROM PJSC Mgmt For For
MMC NORILSK NICKEL
2 RATIFYING THE 2019 ANNUAL ACCOUNTING Mgmt For For
(FINANCIAL) STATEMENTS FROM PJSC MMC
NORILSK NICKEL
3 APPROVAL OF THE 2019 PJSC MMC NORILSK Mgmt For For
NICKEL CONSOLIDATED FINANCIAL STATEMENTS
4 DISTRIBUTION OF PROFIT OF PJSC MMC NORILSK Mgmt For For
NICKEL FOR 2019, INCLUDING PAYMENT
(DECLARATION) OF DIVIDENDS, BASED ON THE
RESULTS OF 2019: 1. APPROVE THE
DISTRIBUTION OF PROFIT OF PJSC MMC NORILSK
NICKEL IN 2019 IN ACCORDANCE WITH THE
RECOMMENDATION OF THE BOARD OF DIRECTORS OF
PJSC MMC NORILSK NICKEL, INCLUDED IN THE
REPORT OF THE BOARD OF DIRECTORS OF PJSC
MMC NORILSK NICKEL WITH THE MOTIVATED
POSITION OF THE BOARD OF DIRECTORS OF PJSC
MMC NORILSK NICKEL ON THE ITEMS OF THE
AGENDA OF ANNUAL GENERAL MEETING OF
SHAREHOLDERS OF PJSC MMC NORILSK NICKEL,
PAY MONETARY DIVIDENDS ON ORDINARY SHARES
OF PJSC MMC NORILSK NICKEL FOR 2019 IN CASH
IN THE AMOUNT OF RUB 557.20 PER ORDINARY
SHARE, SET MAY 25, 2020 AS THE RECORD DATE
FOR DETERMINING PERSONS ELIGIBLE TO RECEIVE
THE DIVIDENDS
CMMT PLEASE NOTE CUMULATIVE VOTING APPLIES TO Non-Voting
THIS RESOLUTION REGARDING THE ELECTION OF
DIRECTORS. OUT OF THE 13 DIRECTORS
PRESENTED FOR ELECTION, A MAXIMUM OF 13
DIRECTORS ARE TO BE ELECTED. THE LOCAL
AGENT IN THE MARKET WILL APPLY CUMULATIVE
VOTING EVENLY AMONG ONLY DIRECTORS FOR WHOM
YOU VOTE "FOR". CUMULATIVE VOTES CANNOT BE
APPLIED UNEVENLY AMONG DIRECTORS VIA
PROXYEDGE. HOWEVER IF YOU WISH TO DO SO,
PLEASE CONTACT YOUR CLIENT SERVICE
REPRESENTATIVE. STANDING INSTRUCTIONS HAVE
BEEN REMOVED FOR THIS MEETING. IF YOU HAVE
FURTHER QUESTIONS PLEASE CONTACT YOUR
CLIENT SERVICE REPRESENTATIVE
5.1 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
NIKOLAI PAVLOVICH ABRAMOV
5.2 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
SERGEY VALENTINOVICH BARBASHEV
5.3 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
SERGEY LEONIDOVICH BATEKHIN
5.4 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
ALEXEY VLADIMIROVICH BASHKIROV
5.5 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
SERGEY BORISOVICH BRATUKHIN
5.6 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
SERGEY NIKOLAEVICH VOLK
5.7 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
MARIANNA ALEXANDROVNA ZAKHAROVA
5.8 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL: ROGER
LLEWELYN MUNNINGS
5.9 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
GARETH PETER PENNY
5.10 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL: MAXIM
VLADIMIROVICH POLETAEV
5.11 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
VYACHESLAV ALEXEEVICH SOLOMIN
5.12 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
EVGENY ARKADIEVICH SCHWARTZ
5.13 ELECTION OF MEMBER OF THE BOARD OF Mgmt For For
DIRECTORS OF PJSC MMC NORILSK NICKEL:
ROBERT WILLEM JOHN EDWARDS
6.1 ELECTING MEMBER TO THE INTERNAL AUDIT Mgmt For For
COMMISSION AT PJSC MMC NORILSK NICKEL:
ALEXEY SERGEEVICH DZYBALOV
6.2 ELECTING MEMBER TO THE INTERNAL AUDIT Mgmt For For
COMMISSION AT PJSC MMC NORILSK NICKEL: ANNA
VIKTOROVNA MASALOVA
6.3 ELECTING MEMBER TO THE INTERNAL AUDIT Mgmt For For
COMMISSION AT PJSC MMC NORILSK NICKEL:
GEORGIY EDUARDOVICH SVANIDZE
6.4 ELECTING MEMBER TO THE INTERNAL AUDIT Mgmt For For
COMMISSION AT PJSC MMC NORILSK NICKEL:
VLADIMIR NIKOLAEVICH SHILKOV
6.5 ELECTING MEMBER TO THE INTERNAL AUDIT Mgmt For For
COMMISSION AT PJSC MMC NORILSK NICKEL:
ELENA ALEXANDROVNA YANEVICH
7 TO APPROVE JSC KPMG AS THE AUDITOR OF Mgmt For For
RUSSIAN ACCOUNTING STANDARDS FINANCIAL
STATEMENTS FOR PJSC MMC NORILSK NICKEL FOR
2020
8 TO APPROVE JSC KPMG AS THE AUDITOR OF Mgmt For For
CONSOLIDATED FINANCIAL STATEMENTS FOR PJSC
MMC NORILSK NICKEL FOR 2020 AND INTERIM
CONSOLIDATED FINANCIAL STATEMENTS FOR THE
FIRST HALF OF 2020
9 REMUNERATION FOR AND REIMBURSEMENT OF Mgmt For For
EXPENSES INCURRED BY MEMBERS OF THE BOARD
OF DIRECTORS AT PJSC MMC NORILSK NICKEL
10 TO SET THE REMUNERATION FOR ANY AUDIT Mgmt For For
COMMISSION MEMBER AT PJSC MMC NORILSK
NICKEL WHO IS NOT EMPLOYED BY THE COMPANY
AT THE AMOUNT OF RUB 1,800,000 (ONE MILLION
EIGHT HUNDRED THOUSAND) PER ANNUM BEFORE
TAXES, PAYABLE IN EQUAL AMOUNTS TWICE PER
YEAR. THE AMOUNT ABOVE IS BEFORE TAXES, IN
ACCORDANCE WITH APPLICABLE RUSSIAN
FEDERATION LEGISLATION
11 TO AUTHORIZE ASSOCIATED TRANSACTIONS THAT Mgmt For For
REPRESENT RELATED PARTY TRANSACTIONS FOR
ALL MEMBERS OF THE BOARD OF DIRECTORS AND
THE MANAGEMENT BOARD OF PJSC MMC NORILSK
NICKEL, THE SUBJECT MATTER OF WHICH IMPLIES
THE OBLIGATION OF PJSC MMC NORILSK NICKEL
TO INDEMNIFY THE MEMBERS OF THE BOARD OF
DIRECTORS AND THE MANAGEMENT BOARD OF PJSC
MMC NORILSK NICKEL FOR ANY AND ALL LOSSES
WHICH THE ABOVE-MENTIONED PERSONS MAY INCUR
AS A RESULT OF THEIR ELECTION TO THE
ABOVE-MENTIONED POSITIONS TO THE AMOUNT OF
NO MORE THAN USD 115,000,000 (ONE HUNDRED
FIFTEEN MILLION) PER TRANSACTION
12 TO APPROVE AN INTERESTED PARTY TRANSACTION Mgmt For For
FOR ALL MEMBERS OF THE BOARD OF DIRECTORS
AND THE MANAGEMENT BOARD AT PJSC MMC
NORILSK NICKEL AND THAT CONCERNS
INDEMNIFICATION INSURANCE FOR MEMBERS OF
THE BOARD OF DIRECTORS AND THE MANAGEMENT
BOARD AT PJSC MMC NORILSK NICKEL, AND FOR
OFFICIALS AT THE COMPANY ITSELF AND ITS
SUBSIDIARIES WHO ARE THE BENEFICIARIES
UNDER THE TRANSACTION, AND THAT IS PROVIDED
BY A RUSSIAN INSURANCE COMPANY; THE
EFFECTIVE PERIOD OF THE INDEMNIFICATION
INSURANCE IS ONE YEAR, AND THE TOTAL
LIABILITY LIMIT (INSURANCE AMOUNT), WITH
ALL THE COVERAGE AND EXTENSIONS, WITH THE
EXCEPTION OF THOSE CASES SPELLED OUT
DIRECTLY IN THE INSURANCE AGREEMENT, IS NOT
LESS THAN USD 150,000,000 (ONE HUNDRED
FIFTY MILLION), AND HAS AN INSURANCE
PREMIUM PAYMENT FOR THE COMPANY NOT TO
EXCEED USD 1,500,000 (ONE MILLION FIVE
HUNDRED THOUSAND). IF, BASED ON MARKET
CONDITIONS, THE INSURANCE AVAILABLE TO THE
COMPANY AT THE TIME THE TRANSACTION IS
ENTERED INTO CANNOT HAVE AN ESTABLISHED SUM
IN THE INSURANCE AGREEMENT OF USD
150,000,000 (ONE HUNDRED FIFTY MILLION),
THEN AN INSURANCE AGREEMENT WILL BE SIGNED
THAT HAS THE GREATEST POSSIBLE SCOPE OF
INSURANCE THAT IS AVAILABLE TO THE COMPANY
AT REASONABLE COMMERCIAL TERMS
--------------------------------------------------------------------------------------------------------------------------
NEWMONT CORPORATION Agenda Number: 935139522
--------------------------------------------------------------------------------------------------------------------------
Security: 651639106
Meeting Type: Annual
Meeting Date: 21-Apr-2020
Ticker: NEM
ISIN: US6516391066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Gregory Boyce Mgmt For For
1B. Election of Director: Bruce Brook Mgmt For For
1C. Election of Director: J. Kofi Bucknor Mgmt For For
1D. Election of Director: Maura Clark Mgmt For For
1E. Election of Director: Matthew Coon Come Mgmt For For
1F. Election of Director: Noreen Doyle Mgmt For For
1G. Election of Director: Veronica Hagen Mgmt For For
1H. Election of Director: Rene Medori Mgmt For For
1I. Election of Director: Jane Nelson Mgmt For For
1J. Election of Director: Thomas Palmer Mgmt For For
1K. Election of Director: Julio Quintana Mgmt For For
2. Approve, on an Advisory Basis, Named Mgmt For For
Executive Officer Compensation.
3. Approve the 2020 Stock Incentive Plan. Mgmt For For
4. Ratify Appointment of Independent Mgmt For For
Registered Public Accounting Firm for 2020.
--------------------------------------------------------------------------------------------------------------------------
NORFOLK SOUTHERN CORPORATION Agenda Number: 935152025
--------------------------------------------------------------------------------------------------------------------------
Security: 655844108
Meeting Type: Annual
Meeting Date: 14-May-2020
Ticker: NSC
ISIN: US6558441084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Thomas D. Bell, Jr. Mgmt For For
1B. Election of Director: Mitchell E. Daniels, Mgmt For For
Jr.
1C. Election of Director: Marcela E. Donadio Mgmt For For
1D. Election of Director: John C. Huffard, Jr. Mgmt For For
1E. Election of Director: Christopher T. Jones Mgmt For For
1F. Election of Director: Thomas C. Kelleher Mgmt For For
1G. Election of Director: Steven F. Leer Mgmt For For
1H. Election of Director: Michael D. Lockhart Mgmt For For
1I. Election of Director: Amy E. Miles Mgmt For For
1J. Election of Director: Claude Mongeau Mgmt For For
1K. Election of Director: Jennifer F. Scanlon Mgmt For For
1L. Election of Director: James A. Squires Mgmt For For
1M. Election of Director: John R. Thompson Mgmt For For
2A. Approval of proposed amendments to the Mgmt For For
Corporation's Amended and Restated Articles
of Incorporation ("Articles"): Amendment of
voting standard to amend the Articles.
2B. Approval of proposed amendments to the Mgmt For For
Corporation's Amended and Restated Articles
of Incorporation ("Articles"): Approval of
simple majority voting standard to approve
a merger, share exchange, conversion, sale,
or dissolution of the Corporation.
2C. Approval of proposed amendments to the Mgmt For For
Corporation's Amended and Restated Articles
of Incorporation ("Articles"): Approval of
majority voting standard to approve
re-domestication of the Corporation and
affiliated transactions.
3. Ratification of the appointment of KPMG Mgmt For For
LLP, independent registered public
accounting firm, as Norfolk Southern's
independent auditors for the year ending
December 31, 2020.
4. Approval of the advisory resolution on Mgmt For For
executive compensation, as disclosed in the
proxy statement for the 2020 Annual Meeting
of Shareholders.
5. A shareholder proposal regarding the right Shr For Against
to act by written consent, if properly
presented at the meeting.
--------------------------------------------------------------------------------------------------------------------------
PULTEGROUP, INC. Agenda Number: 935155665
--------------------------------------------------------------------------------------------------------------------------
Security: 745867101
Meeting Type: Annual
Meeting Date: 07-May-2020
Ticker: PHM
ISIN: US7458671010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Brian P. Anderson Mgmt For For
1B. Election of Director: Bryce Blair Mgmt For For
1C. Election of Director: Richard W. Dreiling Mgmt For For
1D. Election of Director: Thomas J. Folliard Mgmt For For
1E. Election of Director: Cheryl W. Grise Mgmt For For
1F. Election of Director: Andre J. Hawaux Mgmt For For
1G. Election of Director: Ryan R. Marshall Mgmt For For
1H. Election of Director: John R. Peshkin Mgmt For For
1I. Election of Director: Scott F. Powers Mgmt For For
1J. Election of Director: Lila Snyder Mgmt For For
2. Ratification of appointment of Ernst & Mgmt For For
Young LLP as our independent registered
public accounting firm for 2020.
3. Say-on-pay: Advisory vote to approve Mgmt For For
executive compensation.
--------------------------------------------------------------------------------------------------------------------------
ROCKWELL AUTOMATION, INC. Agenda Number: 935116120
--------------------------------------------------------------------------------------------------------------------------
Security: 773903109
Meeting Type: Annual
Meeting Date: 04-Feb-2020
Ticker: ROK
ISIN: US7739031091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A. DIRECTOR
Steven R. Kalmanson Mgmt For For
James P. Keane Mgmt For For
Pam Murphy Mgmt For For
Donald R. Parfet Mgmt For For
B. To approve, on an advisory basis, the Mgmt For For
compensation of the Corporation's named
executive officers.
C. To approve the selection of Deloitte & Mgmt For For
Touche LLP as the Corporation's independent
registered public accounting firm.
D. To approve the Rockwell Automation, Inc. Mgmt For For
2020 Long-Term Incentives Plan.
--------------------------------------------------------------------------------------------------------------------------
ROSS STORES, INC. Agenda Number: 935168915
--------------------------------------------------------------------------------------------------------------------------
Security: 778296103
Meeting Type: Annual
Meeting Date: 20-May-2020
Ticker: ROST
ISIN: US7782961038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Michael Balmuth Mgmt For For
1B. Election of Director: K. Gunnar Bjorklund Mgmt For For
1C. Election of Director: Michael J. Bush Mgmt For For
1D. Election of Director: Norman A. Ferber Mgmt For For
1E. Election of Director: Sharon D. Garrett Mgmt For For
1F. Election of Director: Stephen D. Milligan Mgmt For For
1G. Election of Director: Patricia H. Mueller Mgmt For For
1H. Election of Director: George P. Orban Mgmt For For
1I. Election of Director: Gregory L. Quesnel Mgmt For For
1J. Election of Director: Larree M. Renda Mgmt For For
1K. Election of Director: Barbara Rentler Mgmt For For
2. Advisory vote to approve the resolution on Mgmt For For
the compensation of the named executive
officers.
3. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as the Company's independent
registered public accounting firm for the
fiscal year ending January 30, 2021.
--------------------------------------------------------------------------------------------------------------------------
SCHLUMBERGER LIMITED (SCHLUMBERGER N.V.) Agenda Number: 935131021
--------------------------------------------------------------------------------------------------------------------------
Security: 806857108
Meeting Type: Annual
Meeting Date: 01-Apr-2020
Ticker: SLB
ISIN: AN8068571086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Patrick de La Mgmt For For
Chevardiere
1B. Election of Director: Miguel M. Galuccio Mgmt For For
1C. Election of Director: Olivier Le Peuch Mgmt For For
1D. Election of Director: Tatiana A. Mitrova Mgmt For For
1E. Election of Director: Lubna S. Olayan Mgmt For For
1F. Election of Director: Mark G. Papa Mgmt For For
1G. Election of Director: Leo Rafael Reif Mgmt For For
1H. Election of Director: Henri Seydoux Mgmt For For
1I. Election of Director: Jeff W. Sheets Mgmt For For
2. Approval of the advisory resolution to Mgmt For For
approve our executive compensation.
3. Approval of our consolidated balance sheet Mgmt For For
as of December 31, 2019; our consolidated
statement of income for the year ended
December 31, 2019; and our Board of
Directors' declarations of dividends in
2019, as reflected in our 2019 Annual
Report to Stockholders.
4. Ratification of the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent auditors for 2020.
--------------------------------------------------------------------------------------------------------------------------
SIEMENS AG Agenda Number: 711883517
--------------------------------------------------------------------------------------------------------------------------
Security: D69671218
Meeting Type: AGM
Meeting Date: 05-Feb-2020
Ticker:
ISIN: DE0007236101
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
CMMT PLEASE NOTE THAT FOLLOWING THE AMENDMENT TO Non-Voting
PARAGRAPH 21 OF THE SECURITIES TRADE ACT ON
9TH JULY 2015 AND THE OVER-RULING OF THE
DISTRICT COURT IN COLOGNE JUDGMENT FROM 6TH
JUNE 2012 THE VOTING PROCESS HAS NOW
CHANGED WITH REGARD TO THE GERMAN
REGISTERED SHARES. AS A RESULT, IT IS NOW
THE RESPONSIBILITY OF THE END-INVESTOR
(I.E. FINAL BENEFICIARY) AND NOT THE
INTERMEDIARY TO DISCLOSE RESPECTIVE FINAL
BENEFICIARY VOTING RIGHTS THEREFORE THE
CUSTODIAN BANK / AGENT IN THE MARKET WILL
BE SENDING THE VOTING DIRECTLY TO MARKET
AND IT IS THE END INVESTORS RESPONSIBILITY
TO ENSURE THE REGISTRATION ELEMENT IS
COMPLETE WITH THE ISSUER DIRECTLY, SHOULD
THEY HOLD MORE THAN 3 % OF THE TOTAL SHARE
CAPITAL.
CMMT THE VOTE/REGISTRATION DEADLINE AS DISPLAYED Non-Voting
ON PROXYEDGE IS SUBJECT TO CHANGE AND WILL
BE UPDATED AS SOON AS BROADRIDGE RECEIVES
CONFIRMATION FROM THE SUB CUSTODIANS
REGARDING THEIR INSTRUCTION DEADLINE. FOR
ANY QUERIES PLEASE CONTACT YOUR CLIENT
SERVICES REPRESENTATIVE
CMMT ACCORDING TO GERMAN LAW, IN CASE OF Non-Voting
SPECIFIC CONFLICTS OF INTEREST IN
CONNECTION WITH SPECIFIC ITEMS OF THE
AGENDA FOR THE GENERAL MEETING YOU ARE NOT
ENTITLED TO EXERCISE YOUR VOTING RIGHTS.
FURTHER, YOUR VOTING RIGHT MIGHT BE
EXCLUDED WHEN YOUR SHARE IN VOTING RIGHTS
HAS REACHED CERTAIN THRESHOLDS AND YOU HAVE
NOT COMPLIED WITH ANY OF YOUR MANDATORY
VOTING RIGHTS NOTIFICATIONS PURSUANT TO THE
GERMAN SECURITIES TRADING ACT (WPHG). FOR
QUESTIONS IN THIS REGARD PLEASE CONTACT
YOUR CLIENT SERVICE REPRESENTATIVE FOR
CLARIFICATION. IF YOU DO NOT HAVE ANY
INDICATION REGARDING SUCH CONFLICT OF
INTEREST, OR ANOTHER EXCLUSION FROM VOTING,
PLEASE SUBMIT YOUR VOTE AS USUAL. THANK YOU
CMMT COUNTER PROPOSALS MAY BE SUBMITTED UNTIL Non-Voting
21.01.2020. FURTHER INFORMATION ON COUNTER
PROPOSALS CAN BE FOUND DIRECTLY ON THE
ISSUER'S WEBSITE (PLEASE REFER TO THE
MATERIAL URL SECTION OF THE APPLICATION).
IF YOU WISH TO ACT ON THESE ITEMS, YOU WILL
NEED TO REQUEST A MEETING ATTEND AND VOTE
YOUR SHARES DIRECTLY AT THE COMPANY'S
MEETING. COUNTER PROPOSALS CANNOT BE
REFLECTED IN THE BALLOT ON PROXYEDGE
1 PRESENTATION OF THE FINANCIAL STATEMENTS Non-Voting
AND ANNUAL REPORT FOR THE 2018/2019
FINANCIAL YEAR WITH THE REPORT OF THE
SUPERVISORY BOARD, THE GROUP FINANCIAL
STATEMENTS AND GROUP ANNUAL REPORT AS WELL
AS THE CORPORATE GOVERNANCE REPORT
2 RESOLUTION ON THE APPROPRIATION OF THE Mgmt For For
DISTRIBUTABLE PROFIT: THE DISTRIBUTABLE
PROFIT OF EUR 5,384,000,000 SHALL BE
APPROPRIATED AS FOLLOWS: PAYMENT OF A
DIVIDEND OF EUR 3.90 PER DIVIDEND-ENTITLED
NO-PAR SHARE EUR 2,069,000,000 SHALL BE
ALLOCATED TO THE REVENUE RESERVES EUR
139,318,058.10 SHALL BE CARRIED FORWARD
EX-DIVIDEND DATE: FEBRUARY 6, 2020 PAYABLE
DATE: FEBRUARY 10, 2020
3.A RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: J. KAESER
3.B RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: R. BUSCH
3.C RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: L. DAVIS
3.D RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: K. HELMRICH
3.E RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: J. KUGEL
3.F RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: C. NEIKE
3.G RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: M. SEN
3.H RATIFICATION OF THE ACTS OF THE BOARD OF Mgmt For For
MDS: R. P. THOMAS
4.A RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: J. H. SNABE
4.B RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: B. STEINBORN
4.C RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: W. WENNING
4.D RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: W. BRANDT
4.E RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: M. DIEKMANN
4.F RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: A. FEHRMANN
4.G RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: R. HAHN
4.H RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: B. HALLER
4.I RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: R. KENSBOCK
4.J RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: H. KERN
4.K RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: J. KERNER
4.L RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: N. LEIBINGER-KAMMUELLER
4.M RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: B. POTIER
4.N RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: H. REIMER
4.O RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: N. REITHOFER
4.P RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: D. N. SHAFIK
4.Q RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: N. VON SIEMENS
4.R RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: M. SIGMUND
4.S RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: D. SIMON
4.T RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: M. ZACHERT
4.U RATIFICATION OF THE ACTS OF THE SUPERVISORY Mgmt For For
BOARD: G. ZUKUNFT
5 APPOINTMENT OF AUDITORS: THE FOLLOWING Mgmt For For
ACCOUNTANTS SHALL BE APPOINTED AS AUDITORS
AND GROUP AUDITORS FOR THE 2019/2020
FINANCIAL YEAR: ERNST & YOUNG GMBH,
STUTTGART
6 RESOLUTION ON THE APPROVAL OF THE Mgmt For For
REMUNERATION SYSTEM FOR THE MEMBERS OF THE
BOARD OF MDS: THE REMUNERATION SYSTEM FOR
THE MEMBERS OF THE BOARD OF MDS SHALL BE
APPROVED. FURTHER DETAILS CAN BE FOUND ON
THE COMPANY'S WEBSITE
7 RESOLUTION ON THE AUTHORIZATION TO ACQUIRE Mgmt For For
OWN SHARES: THE COMPANY SHALL BE AUTHORIZED
TO ACQUIRE OWN SHARES OF UP TO 10 PERCENT
OF ITS SHARE CAPITAL, AT PRICES NEITHER
MORE THAN 10 PERCENT ABOVE, NOR MORE THAN
20 PERCENT BELOW, THE MARKET PRICE OF THE
SHARES, ON OR BEFORE FEBRUARY 4, 2025. THE
BOARD OF MDS SHALL BE AUTHORIZED TO USE THE
SHARES FOR ALL LEGALLY PERMISSIBLE
PURPOSES, ESPECIALLY TO SELL THE SHARES ON
THE STOCK EXCHANGE OR OFFER THEM TO ALL
SHAREHOLDERS, TO RETIRE THE SHARES, TO
ISSUE THE SHARES TO EMPLOYEES AND
EXECUTIVES OF THE COMPANY AND ITS
AFFILIATES, TO USE THE SHARES FOR MERGERS
AND ACQUISITIONS, TO SELL THE SHARES AT A
PRICE NOT MATERIALLY BELOW THEIR MARKET
PRICE, AND TO USE THE SHARES FOR SATISFYING
CONVERSION AND/OR OPTION RIGHTS
8 RESOLUTION ON THE AUTHORIZATION TO ACQUIRE Mgmt For For
OWN SHARES USING DERIVATIVES: IN CONNECTION
WITH ITEM 7, THE COMPANY MAY ALSO ACQUIRE
OWN SHARES USING CALL AND PUT OPTIONS
9 RESOLUTION ON THE AUTHORIZATION TO ISSUE Mgmt For For
CONVERTIBLE BONDS AND/OR WARRANT BONDS, THE
CREATION OF A CONTINGENT CAPITAL 2020, THE
REVOCATION OF THE CONTINGENT CAPITAL 2010
AND 2015, AND THE CORRESPONDING AMENDMENT
TO THE ARTICLES OF ASSOCIATION. THE BOARD
OF MDS SHALL BE AUTHORIZED TO ISSUE
CONVERTIBLE BONDS AND/OR WARRANT BONDS
(COLLECTIVELY REFERRED TO IN THE FOLLOWING
AS 'BONDS') OF UP TO EUR 15,000,000,000,
CONFERRING CONVERSION AND/OR OPTION RIGHTS
FOR SHARES OF THE COMPANY, ON OR BEFORE
FEBRUARY 4, 2025. SHAREHOLDERS SHALL BE
GRANTED SUBSCRIPTION RIGHTS EXCEPT FOR IN
THE FOLLOWING CASES: - BONDS HAVE BEEN
ISSUED AGAINST CONTRIBUTIONS IN CASH AT A
PRICE NOT MATERIALLY BELOW THEIR
THEORETICAL MARKET VALUE AND CONFER
CONVERSION AND/OR OPTION RIGHTS FOR SHARES
OF THE COMPANY OF UP TO 10 PERCENT OF THE
SHARE CAPITAL, - BONDS HAVE BEEN ISSUED
AGAINST CONTRIBUTIONS IN KIND FOR
ACQUISITION PURPOSES, - RESIDUAL AMOUNTS
HAVE BEEN EXCLUDED FROM SUBSCRIPTION
RIGHTS, HOLDERS OF CONVERSION AND/OR OPTION
RIGHTS HAVE BEEN GRANTED SUBSCRIPTION
RIGHTS. THE EXISTING CONTINGENT CAPITAL
2010 SHALL BE REVOKED. THE EXISTING
CONTINGENT CAPITAL 2015 SHALL BE REVOKED.
THE COMPANY'S SHARE CAPITAL SHALL BE
INCREASED ACCORDINGLY BY UP TO EUR
180,000,000 THROUGH THE ISSUE OF UP TO
60,000,000 REGISTERED NO-PAR SHARES,
INSOFAR AS CONVERSION AND/OR OPTION RIGHTS
ARE EXERCISED (CONTINGENT CAPITAL 2020)
10 RESOLUTION ON THE APPROVAL OF A CONTROL AND Mgmt For For
PROFIT TRANSFER AGREEMENT: THE CONTROL AND
PROFIT TRANSFER AGREEMENT WITH THE
COMPANY'S WHOLLY OWNED SUBSIDIARY SIEMENS
MOBILITY GMBH, EFFECTIVE UPON ITS ENTRY
INTO THE COMMERCIAL REGISTER, SHALL BE
APPROVED
--------------------------------------------------------------------------------------------------------------------------
SONY CORPORATION Agenda Number: 935221717
--------------------------------------------------------------------------------------------------------------------------
Security: 835699307
Meeting Type: Annual
Meeting Date: 26-Jun-2020
Ticker: SNE
ISIN: US8356993076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To amend a part of the Articles of Mgmt For For
Incorporation.
2A. Election of Director: Kenichiro Yoshida Mgmt For For
2B. Election of Director: Hiroki Totoki Mgmt For For
2C. Election of Director: Shuzo Sumi Mgmt For For
2D. Election of Director: Tim Schaaff Mgmt For For
2E. Election of Director: Kazuo Matsunaga Mgmt For For
2F. Election of Director: Toshiko Oka Mgmt For For
2G. Election of Director: Sakie Akiyama Mgmt For For
2H. Election of Director: Wendy Becker Mgmt For For
2I. Election of Director: Yoshihiko Hatanaka Mgmt For For
2J. Election of Director: Adam Crozier Mgmt For For
2K. Election of Director: Keiko Kishigami Mgmt For For
2L. Election of Director: Joseph A. Kraft Jr. Mgmt For For
3. To issue Stock Acquisition Rights for the Mgmt For For
purpose of granting stock options.
--------------------------------------------------------------------------------------------------------------------------
SPLUNK INC. Agenda Number: 935196837
--------------------------------------------------------------------------------------------------------------------------
Security: 848637104
Meeting Type: Annual
Meeting Date: 11-Jun-2020
Ticker: SPLK
ISIN: US8486371045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class II Director: John Connors Mgmt For For
1B. Election of Class II Director: Patricia Mgmt For For
Morrison
1C. Election of Class II Director: Stephen Mgmt For For
Newberry
2. To ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for our fiscal year ending January 31,
2021.
3. To approve, on an advisory basis, the Mgmt For For
compensation of our named executive
officers, as described in the proxy
statement.
--------------------------------------------------------------------------------------------------------------------------
THE SHERWIN-WILLIAMS COMPANY Agenda Number: 935137352
--------------------------------------------------------------------------------------------------------------------------
Security: 824348106
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: SHW
ISIN: US8243481061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: K.B. Anderson Mgmt For For
1B. Election of Director: A.F. Anton Mgmt For For
1C. Election of Director: J.M. Fettig Mgmt For For
1D. Election of Director: R.J. Kramer Mgmt For For
1E. Election of Director: S.J. Kropf Mgmt For For
1F. Election of Director: J.G. Morikis Mgmt For For
1G. Election of Director: C.A. Poon Mgmt For For
1H. Election of Director: M.H. Thaman Mgmt For For
1I. Election of Director: M. Thornton III Mgmt For For
1J. Election of Director: S.H. Wunning Mgmt For For
2. Advisory approval of the compensation of Mgmt For For
the named executives.
3. Ratification of Ernst & Young LLP as our Mgmt For For
independent registered public accounting
firm for 2020.
--------------------------------------------------------------------------------------------------------------------------
THE ST. JOE COMPANY Agenda Number: 935172798
--------------------------------------------------------------------------------------------------------------------------
Security: 790148100
Meeting Type: Annual
Meeting Date: 19-May-2020
Ticker: JOE
ISIN: US7901481009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Cesar L. Alvarez Mgmt For For
1b. Election of Director: Bruce R. Berkowitz Mgmt For For
1c. Election of Director: Howard S. Frank Mgmt For For
1d. Election of Director: Jorge L. Gonzalez Mgmt For For
1e. Election of Director: Thomas P. Murphy, Jr. Mgmt For For
2. Ratification of the appointment of Grant Mgmt For For
Thornton LLP as our independent registered
public accounting firm for our fiscal year
ending December 31, 2020.
3. Approval, on an advisory basis, of the Mgmt For For
compensation of our named executive
officers.
--------------------------------------------------------------------------------------------------------------------------
TOTO LTD. Agenda Number: 712712050
--------------------------------------------------------------------------------------------------------------------------
Security: J90268103
Meeting Type: AGM
Meeting Date: 24-Jun-2020
Ticker:
ISIN: JP3596200000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
Please reference meeting materials. Non-Voting
1.1 Appoint a Director Kitamura, Madoka Mgmt For For
1.2 Appoint a Director Kiyota, Noriaki Mgmt For For
1.3 Appoint a Director Shirakawa, Satoshi Mgmt For For
1.4 Appoint a Director Abe, Soichi Mgmt For For
1.5 Appoint a Director Hayashi, Ryosuke Mgmt For For
1.6 Appoint a Director Taguchi, Tomoyuki Mgmt For For
1.7 Appoint a Director Tamura, Shinya Mgmt For For
1.8 Appoint a Director Kuga, Toshiya Mgmt For For
1.9 Appoint a Director Shimizu, Takayuki Mgmt For For
1.10 Appoint a Director Shimono, Masatsugu Mgmt For For
1.11 Appoint a Director Tsuda, Junji Mgmt For For
1.12 Appoint a Director Yamauchi, Shigenori Mgmt For For
2 Appoint a Corporate Auditor Inoue, Shigeki Mgmt For For
--------------------------------------------------------------------------------------------------------------------------
UNION PACIFIC CORPORATION Agenda Number: 935158407
--------------------------------------------------------------------------------------------------------------------------
Security: 907818108
Meeting Type: Annual
Meeting Date: 14-May-2020
Ticker: UNP
ISIN: US9078181081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Andrew H. Card Jr. Mgmt For For
1B. Election of Director: William J. DeLaney Mgmt For For
1C. Election of Director: David B. Dillon Mgmt For For
1D. Election of Director: Lance M. Fritz Mgmt For For
1E. Election of Director: Deborah C. Hopkins Mgmt For For
1F. Election of Director: Jane H. Lute Mgmt For For
1G. Election of Director: Michael R. McCarthy Mgmt For For
1H. Election of Director: Thomas F. McLarty III Mgmt For For
1I. Election of Director: Bhavesh V. Patel Mgmt For For
1J. Election of Director: Jose H. Villarreal Mgmt For For
1K. Election of Director: Christopher J. Mgmt For For
Williams
2. Ratification of the appointment of Deloitte Mgmt For For
& Touche LLP as the independent registered
public accounting firm of the Company for
2020.
3. An advisory vote to approve executive Mgmt For For
compensation ("Say on Pay").
4. Shareholder proposal regarding Independent Shr For Against
Chairman if properly presented at the
Annual Meeting.
5. Shareholder proposal regarding Climate Shr For Against
Assessment Report if properly presented at
the Annual Meeting.
--------------------------------------------------------------------------------------------------------------------------
VALE S.A. Agenda Number: 935187143
--------------------------------------------------------------------------------------------------------------------------
Security: 91912E105
Meeting Type: Annual
Meeting Date: 30-Apr-2020
Ticker: VALE
ISIN: US91912E1055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Resolution 1 Mgmt For For
2. Resolution 2 Mgmt For For
3. Resolution 3 Mgmt For For
4. Resolution 4 Mgmt For For
6. DIRECTOR
Jose Mauricio/Arthur Mgmt For For
Fernando/Johan Albino Mgmt For For
Oscar/Ken Yasuhara Mgmt For For
Jose Luciano/VACANT Mgmt For For
Eduardo/VACANT Mgmt For For
Marcel/Marcia Mgmt For For
Toshiya/Hugo Serrado Mgmt For For
Roger/Ivan Luiz Mgmt For For
Murilo/Joao Mgmt For For
Isabella/Adriano Mgmt For For
Sandra Maria/VACANT Mgmt For For
Marcelo/Nuno Maria Mgmt For For
7. Resolution 7 Mgmt For For
8. Resolution 8 Mgmt For For
9. Resolution 9 Mgmt For For
10. Resolution 10 Mgmt For For
E1. Resolution 1 Mgmt For For
E2. Resolution 2 Mgmt For For
E3. Resolution 3 Mgmt For For
E4. Resolution 4 Mgmt For For
E5. Resolution 5 Mgmt For For
E6. Resolution 6 Mgmt For For
E7. Resolution 7 Mgmt For For
E8. Resolution 8 Mgmt For For
E9. Resolution 9 Mgmt For For
* Management position unknown
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) Trust for Professional Managers
By (Signature) /s/ John Buckel
Name John Buckel
Title President
Date 08/19/2020