******************************* FORM N-PX REPORT *******************************
ICA File Number: 811-22668
Reporting Period: 07/01/2019 - 06/30/2020
ETF Series Solutions
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-22668
ETF Series Solutions
(Exact name of registrant as specified in charter)
615 East Michigan Street
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)
Kristina Nelson
ETF Series Solutions
615 E. Michigan Street
Milwaukee, WI 53202
(Name and address of agent for service)
Registrant's telephone number, including area code: (414) 765-6076
Fund
1. AlphaClone Alternative Alpha ETF
2. Roundhill Aquirers Deep Value ETF
3. NetLease Corporate Real Estate ETF
4. Loncar Cancer Immunotherapy ETF
5. Loncar China Biopharma ETF
Date of fiscal year end
1. March 31
2. August 31
3. February 28
4. August 31
5. August 31
Date of reporting period
1. July 1, 2019 to June 30, 2020
2. July 1, 2019 to June 30, 2020
2. July 1, 2019 to June 30, 2020
3. July 1, 2019 to June 30, 2020
4. July 1, 2019 to June 30, 2020
5. July 1, 2019 to June 30, 2020
Item 1. Proxy Voting Record.
======================= AlphaClone Alternative Alpha ETF =======================
ALPHABET INC.
Ticker: GOOGL Security ID: 02079K305
Meeting Date: JUN 03, 2020 Meeting Type: Annual
Record Date: APR 07, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Larry Page For For Management
1.2 Elect Director Sergey Brin For For Management
1.3 Elect Director Sundar Pichai For For Management
1.4 Elect Director John L. Hennessy For For Management
1.5 Elect Director Frances H. Arnold For For Management
1.6 Elect Director L. John Doerr For Withhold Management
1.7 Elect Director Roger W. Ferguson Jr. For For Management
1.8 Elect Director Ann Mather For For Management
1.9 Elect Director Alan R. Mulally For Withhold Management
1.10 Elect Director K. Ram Shiram For Withhold Management
1.11 Elect Director Robin L. Washington For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Amend Omnibus Stock Plan For Against Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
5 Approve Recapitalization Plan for all Against For Shareholder
Stock to Have One-vote per Share
6 Report on Arbitration of Against For Shareholder
Employment-Related Claims
7 Establish Human Rights Risk Oversight Against For Shareholder
Committee
8 Require Shareholder Approval of Bylaw Against Against Shareholder
Amendments Adopted by the Board of
Directors
9 Assess Feasibility of Including Against For Shareholder
Sustainability as a Performance
Measure for Senior Executive
Compensation
10 Report on Takedown Requests Against For Shareholder
11 Require a Majority Vote for the Against For Shareholder
Election of Directors
12 Report on Gender/Racial Pay Gap Against Against Shareholder
13 Require Independent Director Nominee Against For Shareholder
with Human and/or Civil Rights
Experience
14 Report on Whistleblower Policies and Against Against Shareholder
Practices
--------------------------------------------------------------------------------
AMAZON.COM, INC.
Ticker: AMZN Security ID: 023135106
Meeting Date: MAY 27, 2020 Meeting Type: Annual
Record Date: APR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jeffrey P. Bezos For For Management
1b Elect Director Rosalind G. Brewer For For Management
1c Elect Director Jamie S. Gorelick For For Management
1d Elect Director Daniel P. Huttenlocher For For Management
1e Elect Director Judith A. McGrath For For Management
1f Elect Director Indra K. Nooyi For For Management
1g Elect Director Jonathan J. Rubinstein For For Management
1h Elect Director Thomas O. Ryder For For Management
1i Elect Director Patricia Q. Stonesifer For For Management
1j Elect Director Wendell P. Weeks For For Management
2 Ratify Ernst & Young LLP as Auditor For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Reduce Ownership Threshold for For For Management
Shareholders to Call Special Meeting
5 Report on Management of Food Waste Against For Shareholder
6 Report on Customers' Use of its Against For Shareholder
Surveillance and Computer Vision
Products or Cloud-Based Services
7 Report on Potential Human Rights Against For Shareholder
Impacts of Customers' Use of
Rekognition
8 Report on Products Promoting Hate Against For Shareholder
Speech and Sales of Offensive Products
9 Require Independent Board Chairman Against Against Shareholder
10 Report on Global Median Gender/Racial Against Against Shareholder
Pay Gap
11 Report on Reducing Environmental and Against Against Shareholder
Health Harms to Communities of Color
12 Report on Viewpoint Discrimination Against Against Shareholder
13 Report on Promotion Velocity Against Against Shareholder
14 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
15 Human Rights Risk Assessment Against For Shareholder
16 Report on Lobbying Payments and Policy Against For Shareholder
--------------------------------------------------------------------------------
AMERICAN TOWER CORPORATION
Ticker: AMT Security ID: 03027X100
Meeting Date: MAY 18, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Thomas A. Bartlett For For Management
1b Elect Director Raymond P. Dolan For For Management
1c Elect Director Robert D. Hormats For For Management
1d Elect Director Gustavo Lara Cantu For For Management
1e Elect Director Grace D. Lieblein For For Management
1f Elect Director Craig Macnab For For Management
1g Elect Director JoAnn A. Reed For For Management
1h Elect Director Pamela D.A. Reeve For For Management
1i Elect Director David E. Sharbutt For For Management
1j Elect Director Bruce L. Tanner For For Management
1k Elect Director Samme L. Thompson For For Management
2 Ratify Deloitte & Touche LLP as Auditor For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Report on Political Contributions and Against For Shareholder
Expenditures
5 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
--------------------------------------------------------------------------------
ARCH CAPITAL GROUP LTD.
Ticker: ACGL Security ID: G0450A105
Meeting Date: MAY 08, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Louis J. Paglia For For Management
1b Elect Director Brian S. Posner For For Management
1c Elect Director John D. Vollaro For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4a Elect Director Robert Appleby as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4b Elect Director Dennis R. Brand as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4c Elect Director Graham B.R. Collis as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4d Elect Director Matthew Dragonetti as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4e Elect Director Seamus Fearon as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4f Elect Director Beau H. Franklin as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4g Elect Director Jerome Halgan as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4h Elect Director James Haney as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4i Elect Director W. Preston Hutchings as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4j Elect Director Pierre Jal as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4k Elect Director Francois Morin as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4l Elect Director David J. Mulholland as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4m Elect Director Tim Peckett as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4n Elect Director Maamoun Rajeh as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
4o Elect Director Roderick Romeo as For For Management
Designated Company Director of Non-U.S.
Subsidiaries
--------------------------------------------------------------------------------
BANK OF AMERICA CORPORATION
Ticker: BAC Security ID: 060505104
Meeting Date: APR 22, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Sharon L. Allen For For Management
1b Elect Director Susan S. Bies For For Management
1c Elect Director Jack O. Bovender, Jr. For For Management
1d Elect Director Frank P. Bramble, Sr. For For Management
1e Elect Director Pierre J.P. de Weck For For Management
1f Elect Director Arnold W. Donald For For Management
1g Elect Director Linda P. Hudson For For Management
1h Elect Director Monica C. Lozano For For Management
1i Elect Director Thomas J. May For For Management
1j Elect Director Brian T. Moynihan For For Management
1k Elect Director Lionel L. Nowell, III For For Management
1l Elect Director Denise L. Ramos For For Management
1m Elect Director Clayton S. Rose For For Management
1n Elect Director Michael D. White For For Management
1o Elect Director Thomas D. Woods For For Management
1p Elect Director R. David Yost For For Management
1q Elect Director Maria T. Zuber For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4 Amend Proxy Access Right Against For Shareholder
5 Provide Right to Act by Written Consent Against For Shareholder
6 Report on Gender Pay Gap Against Against Shareholder
7 Review of Statement of the Purpose of Against Against Shareholder
a Corporation and Report on
Recommended Changes to Governance
Documents, Policies, and Practices
--------------------------------------------------------------------------------
BROOKFIELD ASSET MANAGEMENT INC.
Ticker: BAM.A Security ID: 112585104
Meeting Date: JUN 12, 2020 Meeting Type: Annual
Record Date: APR 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director M. Elyse Allan For For Management
1.2 Elect Director Angela F. Braly For For Management
1.3 Elect Director Murilo Ferreira For For Management
1.4 Elect Director Janice Fukakusa For For Management
1.5 Elect Director Frank J. McKenna For For Management
1.6 Elect Director Rafael Miranda For For Management
1.7 Elect Director Seek Ngee Huat For For Management
1.8 Elect Director Diana L. Taylor For For Management
2 Approve Deloitte LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
3 Advisory Vote on Executive For For Management
Compensation Approach
4 SP 1: Assign an Oversight Against Against Shareholder
Responsibility for Human Capital
Management to a Board Committee
5 SP 2: Amend Clawback Policy to Seek Against Against Shareholder
Recoupment of Incentive or
Equity-Based Compensation
--------------------------------------------------------------------------------
BROWN & BROWN, INC.
Ticker: BRO Security ID: 115236101
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director J. Hyatt Brown For For Management
1.2 Elect Director Samuel P. Bell, III For For Management
1.3 Elect Director Hugh M. Brown For For Management
1.4 Elect Director J. Powell Brown For For Management
1.5 Elect Director Lawrence L. For For Management
Gellerstedt, III
1.6 Elect Director James C. Hays For For Management
1.7 Elect Director Theodore J. Hoepner For For Management
1.8 Elect Director James S. Hunt For For Management
1.9 Elect Director Toni Jennings For For Management
1.10 Elect Director Timothy R.M. Main For For Management
1.11 Elect Director H. Palmer Proctor, Jr. For For Management
1.12 Elect Director Wendell S. Reilly For For Management
1.13 Elect Director Chilton D. Varner For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CARMAX, INC.
Ticker: KMX Security ID: 143130102
Meeting Date: JUN 23, 2020 Meeting Type: Annual
Record Date: APR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Peter J. Bensen For For Management
1b Elect Director Ronald E. Blaylock For For Management
1c Elect Director Sona Chawla For For Management
1d Elect Director Thomas J. Folliard For For Management
1e Elect Director Shira Goodman For For Management
1f Elect Director Robert J. Hombach For For Management
1g Elect Director David W. McCreight For For Management
1h Elect Director William D. Nash For For Management
1i Elect Director Mark F. O'Neil For For Management
1j Elect Director Pietro Satriano For For Management
1k Elect Director Marcella Shinder For For Management
1l Elect Director Mitchell D. Steenrod For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
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CARVANA CO.
Ticker: CVNA Security ID: 146869102
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michael Maroone For Withhold Management
1.2 Elect Director Neha Parikh For Withhold Management
2 Ratify Grant Thornton LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
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CDW CORPORATION
Ticker: CDW Security ID: 12514G108
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Steven W. Alesio For For Management
1b Elect Director Barry K. Allen For For Management
1c Elect Director Lynda M. Clarizio For For Management
1d Elect Director Christine A. Leahy For For Management
1e Elect Director David W. Nelms For For Management
1f Elect Director Joseph R. Swedish For For Management
1g Elect Director Donna F. Zarcone For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditor For For Management
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CHARTER COMMUNICATIONS, INC.
Ticker: CHTR Security ID: 16119P108
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: FEB 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director W. Lance Conn For For Management
1b Elect Director Kim C. Goodman For For Management
1c Elect Director Craig A. Jacobson For For Management
1d Elect Director Gregory B. Maffei For Against Management
1e Elect Director John D. Markley, Jr. For For Management
1f Elect Director David C. Merritt For For Management
1g Elect Director James E. Meyer For For Management
1h Elect Director Steven A. Miron For Against Management
1i Elect Director Balan Nair For For Management
1j Elect Director Michael A. Newhouse For For Management
1k Elect Director Mauricio Ramos For For Management
1l Elect Director Thomas M. Rutledge For For Management
1m Elect Director Eric L. Zinterhofer For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
4 Require Independent Board Chairman Against For Shareholder
--------------------------------------------------------------------------------
CITIGROUP INC.
Ticker: C Security ID: 172967424
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Michael L. Corbat For For Management
1b Elect Director Ellen M. Costello For For Management
1c Elect Director Grace E. Dailey For For Management
1d Elect Director Barbara J. Desoer For For Management
1e Elect Director John C. Dugan For For Management
1f Elect Director Duncan P. Hennes For For Management
1g Elect Director Peter B. Henry For For Management
1h Elect Director S. Leslie Ireland For For Management
1i Elect Director Lew W. (Jay) Jacobs, IV For For Management
1j Elect Director Renee J. James For For Management
1k Elect Director Gary M. Reiner For For Management
1l Elect Director Diana L. Taylor For For Management
1m Elect Director James S. Turley For For Management
1n Elect Director Deborah C. Wright For For Management
1o Elect Director Alexander R. Wynaendts For For Management
1p Elect Director Ernesto Zedillo Ponce For For Management
de Leon
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
5 Amend Proxy Access Right Against For Shareholder
6 Review on Governance Documents Against Against Shareholder
7 Report on Lobbying Payments and Policy Against Against Shareholder
--------------------------------------------------------------------------------
DENNY'S CORPORATION
Ticker: DENN Security ID: 24869P104
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Bernadette S. Aulestia For For Management
1b Elect Director Gregg R. Dedrick For For Management
1c Elect Director Jose M. Gutierrez For For Management
1d Elect Director Brenda J. Lauderback For For Management
1e Elect Director Robert E. Marks For For Management
1f Elect Director John C. Miller For For Management
1g Elect Director Donald C. Robinson For For Management
1h Elect Director Laysha Ward For For Management
1i Elect Director F. Mark Wolfinger For For Management
2 Ratify KPMG LLP as Auditor For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
ETSY, INC.
Ticker: ETSY Security ID: 29786A106
Meeting Date: JUN 02, 2020 Meeting Type: Annual
Record Date: APR 07, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director M. Michele Burns For Withhold Management
1b Elect Director Josh Silverman For Withhold Management
1c Elect Director Fred Wilson For Withhold Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
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FIDELITY NATIONAL INFORMATION SERVICES, INC.
Ticker: FIS Security ID: 31620M106
Meeting Date: MAY 28, 2020 Meeting Type: Annual
Record Date: APR 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Lee Adrean For For Management
1b Elect Director Ellen R. Alemany For For Management
1c Elect Director Lisa A. Hook For For Management
1d Elect Director Keith W. Hughes For For Management
1e Elect Director Gary L. Lauer For For Management
1f Elect Director Gary A. Norcross For For Management
1g Elect Director Louise M. Parent For For Management
1h Elect Director Brian T. Shea For For Management
1i Elect Director James B. Stallings, Jr. For For Management
1j Elect Director Jeffrey E. Stiefler For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
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FIRST AMERICAN FUNDS, INC.
Ticker: Security ID: 31846V336
Meeting Date: AUG 29, 2019 Meeting Type: Special
Record Date: JUL 12, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David K. Baumgardner For For Management
1.2 Elect Director Mark E. Gaumond For For Management
1.3 Elect Director Roger A. Gibson For For Management
1.4 Elect Director Jennifer J. McPeek For For Management
1.5 Elect Director C. David Myers For For Management
1.6 Elect Director Richard K. Riederer For For Management
1.7 Elect Director P. Kelly Tompkins For For Management
--------------------------------------------------------------------------------
GENESEE & WYOMING INC.
Ticker: GWR Security ID: 371559105
Meeting Date: OCT 03, 2019 Meeting Type: Special
Record Date: AUG 19, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Merger Agreement For For Management
2 Advisory Vote on Golden Parachutes For Against Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
GUIDEWIRE SOFTWARE, INC.
Ticker: GWRE Security ID: 40171V100
Meeting Date: DEC 17, 2019 Meeting Type: Annual
Record Date: OCT 21, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Margaret Dillon For For Management
1.2 Elect Director Michael Keller For For Management
1.3 Elect Director Michael (Mike) Rosenbaum For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Declassify the Board of Directors For For Management
5 Require a Majority Vote for the Against For Shareholder
Election of Directors
--------------------------------------------------------------------------------
H.B. FULLER COMPANY
Ticker: FUL Security ID: 359694106
Meeting Date: APR 02, 2020 Meeting Type: Annual
Record Date: FEB 05, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Daniel L. Florness For For Management
1.2 Elect Director Lee R. Mitau For For Management
1.3 Elect Director R. William Van Sant For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
IDEX CORPORATION
Ticker: IEX Security ID: 45167R104
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Andrew K. Silvernail For For Management
1.2 Elect Director Katrina L. Helmkamp For For Management
1.3 Elect Director Mark A. Beck For For Management
1.4 Elect Director Carl R. Christenson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Report on Employee Representation on Against Against Shareholder
the Board of Directors
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MARKEL CORPORATION
Ticker: MKL Security ID: 570535104
Meeting Date: MAY 11, 2020 Meeting Type: Annual
Record Date: MAR 03, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director K. Bruce Connell For For Management
1.2 Elect Director Thomas S. Gayner For For Management
1.3 Elect Director Stewart M. Kasen For For Management
1.4 Elect Director Diane Leopold For For Management
1.5 Elect Director Lemuel E. Lewis For For Management
1.6 Elect Director Anthony F. Markel For For Management
1.7 Elect Director Steven A. Markel For For Management
1.8 Elect Director Darrell D. Martin For For Management
1.9 Elect Director Harold L. Morrison, Jr. For For Management
1.10 Elect Director Michael O'Reilly For For Management
1.11 Elect Director Richard R. Whitt, III For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Nonqualified Employee Stock For For Management
Purchase Plan and Qualified Employee
Stock Purchase Plan
4 Ratify KPMG LLP as Auditors For For Management
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MASTERCARD INCORPORATED
Ticker: MA Security ID: 57636Q104
Meeting Date: JUN 16, 2020 Meeting Type: Annual
Record Date: APR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Richard Haythornthwaite For For Management
1b Elect Director Ajay Banga For For Management
1c Elect Director Richard K. Davis For For Management
1d Elect Director Steven J. Freiberg For For Management
1e Elect Director Julius Genachowski For For Management
1f Elect Director Choon Phong Goh For For Management
1g Elect Director Merit E. Janow For For Management
1h Elect Director Oki Matsumoto For For Management
1i Elect Director Youngme Moon For For Management
1j Elect Director Rima Qureshi For For Management
1k Elect Director Jose Octavio Reyes For For Management
Lagunes
1l Elect Director Gabrielle Sulzberger For For Management
1m Elect Director Jackson Tai For For Management
1n Elect Director Lance Uggla For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
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MAXIMUS, INC.
Ticker: MMS Security ID: 577933104
Meeting Date: MAR 17, 2020 Meeting Type: Annual
Record Date: JAN 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Gayathri Rajan For For Management
1b Elect Director Michael J. Warren For For Management
2 Declassify the Board of Directors For For Management
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Report on Lobbying Payments and Policy Against For Shareholder
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MICROSOFT CORPORATION
Ticker: MSFT Security ID: 594918104
Meeting Date: DEC 04, 2019 Meeting Type: Annual
Record Date: OCT 08, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director William H. Gates, III For For Management
1.2 Elect Director Reid G. Hoffman For For Management
1.3 Elect Director Hugh F. Johnston For For Management
1.4 Elect Director Teri L. List-Stoll For For Management
1.5 Elect Director Satya Nadella For For Management
1.6 Elect Director Sandra E. Peterson For For Management
1.7 Elect Director Penny S. Pritzker For For Management
1.8 Elect Director Charles W. Scharf For For Management
1.9 Elect Director Arne M. Sorenson For For Management
1.10 Elect Director John W. Stanton For For Management
1.11 Elect Director John W. Thompson For For Management
1.12 Elect Director Emma N. Walmsley For For Management
1.13 Elect Director Padmasree Warrior For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Report on Employee Representation on Against Against Shareholder
the Board of Directors
5 Report on Gender Pay Gap Against For Shareholder
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MOODY'S CORPORATION
Ticker: MCO Security ID: 615369105
Meeting Date: APR 21, 2020 Meeting Type: Annual
Record Date: FEB 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Basil L. Anderson For For Management
1b Elect Director Jorge A. Bermudez For For Management
1c Elect Director Therese Esperdy For For Management
1d Elect Director Vincent A. Forlenza For For Management
1e Elect Director Kathryn M. Hill For For Management
1f Elect Director Raymond W. McDaniel, Jr. For For Management
1g Elect Director Henry A. McKinnell, Jr. For For Management
1h Elect Director Leslie F. Seidman For For Management
1i Elect Director Bruce Van Saun For For Management
2a Eliminate Supermajority Vote For For Management
Requirements to Amend Charter and
Bylaws
2b Eliminate Supermajority Vote For For Management
Requirement to Remove Directors
2c Eliminate Supermajority Vote For For Management
Requirement for Filling Open Board
Seats
3 Ratify KPMG LLP as Auditors For For Management
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
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NXP SEMICONDUCTORS N.V.
Ticker: NXPI Security ID: N6596X109
Meeting Date: MAY 27, 2020 Meeting Type: Annual
Record Date: APR 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Adopt Financial Statements and For For Management
Statutory Reports
2 Approve Discharge of Board Members For For Management
3a Elect Kurt Sievers as Executive For For Management
Director
3b Reelect Peter Bonfield as For For Management
Non-Executive Director
3c Reelect Kenneth A. Goldman as For For Management
Non-Executive Director
3d Reelect Josef Kaeser as Non-Executive For For Management
Director
3e Reelect Lena Olving as Non-Executive For For Management
Director
3f Reelect Peter Smitham as Non-Executive For For Management
Director
3g Reelect Julie Southern as For For Management
Non-Executive Director
3h Reelect Jasmin Staiblin as For For Management
Non-Executive Director
3i Reelect Gregory Summe as Non-Executive For For Management
Director
3j Reelect Karl-Henrik Sundstrom as For For Management
Non-Executive Director
4 Grant Board Authority to Issue Shares For For Management
Up To 10 Percent of Issued Capital
5 Authorize Board to Exclude Preemptive For For Management
Rights from Share Issuances
6 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
7 Approve Cancellation of Ordinary Shares For For Management
8 Ratify Ernst & Young Accountants LLP For For Management
as Auditors
9 Approve Remuneration of the Members For For Management
and Chairs of the Audit Committee,
Compensation Committee, and the
Nominating and Governance Committee of
the Board
10 Amend Articles to Establish Quorum For For Management
Requirement
11 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
12 Advisory Vote on Say on Pay Frequency One Year One Year Management
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O'REILLY AUTOMOTIVE, INC.
Ticker: ORLY Security ID: 67103H107
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director David O'Reilly For For Management
1b Elect Director Larry O'Reilly For For Management
1c Elect Director Greg Henslee For For Management
1d Elect Director Jay D. Burchfield For For Management
1e Elect Director Thomas T. Hendrickson For For Management
1f Elect Director John R. Murphy For For Management
1g Elect Director Dana M. Perlman For For Management
1h Elect Director Maria A. Sastre For For Management
1i Elect Director Andrea M. Weiss For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Reduce Ownership Threshold for For For Management
Shareholders to Call Special Meeting
5 Amend Articles of Incorporation For For Management
6 Report on Material Human Capital Risks Against For Shareholder
7 Require Independent Board Chairman Against For Shareholder
--------------------------------------------------------------------------------
OPEN TEXT CORPORATION
Ticker: OTEX Security ID: 683715106
Meeting Date: SEP 04, 2019 Meeting Type: Annual/Special
Record Date: AUG 02, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director P. Thomas Jenkins For For Management
1.2 Elect Director Mark J. Barrenechea For For Management
1.3 Elect Director Randy Fowlie For For Management
1.4 Elect Director David Fraser For For Management
1.5 Elect Director Gail E. Hamilton For For Management
1.6 Elect Director Stephen J. Sadler For For Management
1.7 Elect Director Harmit Singh For For Management
1.8 Elect Director Michael Slaunwhite For For Management
1.9 Elect Director Katharine B. Stevenson For For Management
1.10 Elect Director Carl Jurgen Tinggren For For Management
1.11 Elect Director Deborah Weinstein For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote on Executive For For Management
Compensation Approach
4 Approve Shareholder Rights Plan For For Management
--------------------------------------------------------------------------------
PEPSICO, INC.
Ticker: PEP Security ID: 713448108
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Shona L. Brown For For Management
1b Elect Director Cesar Conde For For Management
1c Elect Director Ian Cook For For Management
1d Elect Director Dina Dublon For For Management
1e Elect Director Richard W. Fisher For For Management
1f Elect Director Michelle Gass For For Management
1g Elect Director Ramon L. Laguarta For For Management
1h Elect Director David C. Page For For Management
1i Elect Director Robert C. Pohlad For For Management
1j Elect Director Daniel Vasella For For Management
1k Elect Director Darren Walker For For Management
1l Elect Director Alberto Weisser For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
5 Report on Sugar and Public Health Against Against Shareholder
--------------------------------------------------------------------------------
REALPAGE, INC.
Ticker: RP Security ID: 75606N109
Meeting Date: JUN 03, 2020 Meeting Type: Annual
Record Date: APR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alfred R. Berkeley, III For For Management
1.2 Elect Director Peter Gyenes For For Management
1.3 Elect Director Charles F. Kane For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For Against Management
--------------------------------------------------------------------------------
ROSS STORES, INC.
Ticker: ROST Security ID: 778296103
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Michael Balmuth For For Management
1b Elect Director K. Gunnar Bjorklund For For Management
1c Elect Director Michael J. Bush For For Management
1d Elect Director Norman A. Ferber For For Management
1e Elect Director Sharon D. Garrett For For Management
1f Elect Director Stephen D. Milligan For For Management
1g Elect Director Patricia H. Mueller For For Management
1h Elect Director George P. Orban For For Management
1i Elect Director Gregory L. Quesnel For For Management
1j Elect Director Larree M. Renda For For Management
1k Elect Director Barbara Rentler For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
THE BOEING COMPANY
Ticker: BA Security ID: 097023105
Meeting Date: APR 27, 2020 Meeting Type: Annual
Record Date: FEB 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Robert A. Bradway For For Management
1b Elect Director David L. Calhoun For For Management
1c Elect Director Arthur D. Collins, Jr. For Against Management
1d Elect Director Edmund P. Giambastiani, For Against Management
Jr.
1e Elect Director Lynn J. Good For For Management
1f Elect Director Nikki R. Haley - None None Management
Withdrawn Resolution
1g Elect Director Akhil Johri For For Management
1h Elect Director Lawrence W. Kellner For For Management
1i Elect Director Caroline B. Kennedy For For Management
1j Elect Director Steven M. Mollenkopf For For Management
1k Elect Director John M. Richardson For For Management
1l Elect Director Susan C. Schwab For Against Management
1m Elect Director Ronald A. Williams For Against Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Require Director Nominee Qualifications Against Against Shareholder
5 Report on Lobbying Payments and Policy Against For Shareholder
6 Require Independent Board Chairman Against For Shareholder
7 Provide Right to Act by Written Consent Against For Shareholder
8 Adopt Share Retention Policy For Against For Shareholder
Senior Executives
9 Increase Disclosure of Compensation Against For Shareholder
Adjustments
--------------------------------------------------------------------------------
THE PROCTER & GAMBLE COMPANY
Ticker: PG Security ID: 742718109
Meeting Date: OCT 08, 2019 Meeting Type: Annual
Record Date: AUG 09, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Francis S. Blake For For Management
1b Elect Director Angela F. Braly For For Management
1c Elect Director Amy L. Chang For For Management
1d Elect Director Scott D. Cook For For Management
1e Elect Director Joseph Jimenez For For Management
1f Elect Director Terry J. Lundgren For For Management
1g Elect Director Christine M. McCarthy For For Management
1h Elect Director W. James McNerney, Jr. For For Management
1i Elect Director Nelson Peltz For For Management
1j Elect Director David S. Taylor For For Management
1k Elect Director Margaret C. Whitman For For Management
1l Elect Director Patricia A. Woertz For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
THE SHERWIN-WILLIAMS COMPANY
Ticker: SHW Security ID: 824348106
Meeting Date: APR 22, 2020 Meeting Type: Annual
Record Date: FEB 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kerrii B. Anderson For For Management
1.2 Elect Director Arthur F. Anton For For Management
1.3 Elect Director Jeff M. Fettig For For Management
1.4 Elect Director Richard J. Kramer For For Management
1.5 Elect Director Susan J. Kropf For For Management
1.6 Elect Director John G. Morikis For For Management
1.7 Elect Director Christine A. Poon For For Management
1.8 Elect Director Michael H. Thaman For For Management
1.9 Elect Director Matthew Thornton, III For For Management
1.10 Elect Director Steven H. Wunning For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
TRANSDIGM GROUP INCORPORATED
Ticker: TDG Security ID: 893641100
Meeting Date: OCT 03, 2019 Meeting Type: Special
Record Date: AUG 16, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Stock Option Plan For Against Management
--------------------------------------------------------------------------------
TRANSDIGM GROUP INCORPORATED
Ticker: TDG Security ID: 893641100
Meeting Date: JUN 29, 2020 Meeting Type: Annual
Record Date: MAY 04, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David Barr For For Management
1.2 Elect Director William Dries None None Management
*Withdrawn Resolution*
1.3 Elect Director Mervin Dunn For Withhold Management
1.4 Elect Director Michael S. Graff For Withhold Management
1.5 Elect Director Sean P. Hennessy For Withhold Management
1.6 Elect Director W. Nicholas Howley For For Management
1.7 Elect Director Raymond F. Laubenthal For For Management
1.8 Elect Director Gary E. McCullough For For Management
1.9 Elect Director Michele Santana For For Management
1.10 Elect Director Robert J. Small For Withhold Management
1.11 Elect Director John Staer For For Management
1.12 Elect Director Kevin Stein For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Adopt Quantitative Company-wide GHG Against For Shareholder
Goals
--------------------------------------------------------------------------------
VISA INC.
Ticker: V Security ID: 92826C839
Meeting Date: JAN 28, 2020 Meeting Type: Annual
Record Date: NOV 29, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Lloyd A. Carney For Against Management
1b Elect Director Mary B. Cranston For For Management
1c Elect Director Francisco Javier For For Management
Fernandez-Carbajal
1d Elect Director Alfred F. Kelly, Jr. For For Management
1e Elect Director Ramon L. Laguarta For For Management
1f Elect Director John F. Lundgren For For Management
1g Elect Director Robert W. Matschullat For For Management
1h Elect Director Denise M. Morrison For For Management
1i Elect Director Suzanne Nora Johnson For For Management
1j Elect Director John A. C. Swainson For For Management
1k Elect Director Maynard G. Webb, Jr. For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
ZEBRA TECHNOLOGIES CORPORATION
Ticker: ZBRA Security ID: 989207105
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Anders Gustafsson For For Management
1.2 Elect Director Janice M. Roberts For For Management
1.3 Elect Director Linda M. Connly For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Qualified Employee Stock For For Management
Purchase Plan
4 Ratify Ernst & Young LLP as Auditor For For Management
==== Roundhill Acquirers Deep Value ETF (formerly known as Deep Value ETF) =====
AMERIPRISE FINANCIAL, INC.
Ticker: AMP Security ID: 03076C106
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director James M. Cracchiolo For For Management
1b Elect Director Dianne Neal Blixt For For Management
1c Elect Director Amy DiGeso For For Management
1d Elect Director Lon R. Greenberg For For Management
1e Elect Director Jeffrey Noddle For For Management
1f Elect Director Robert F. Sharpe, Jr. For For Management
1g Elect Director Brian T. Shea For For Management
1h Elect Director W. Edward Walter, III For For Management
1i Elect Director Christopher J. Williams For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
BORGWARNER INC.
Ticker: BWA Security ID: 099724106
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Dennis C. Cuneo For For Management
1b Elect Director Michael S. Hanley For For Management
1c Elect Director Frederic B. Lissalde For For Management
1d Elect Director Paul A. Mascarenas For For Management
1e Elect Director John R. McKernan, Jr. For For Management
1f Elect Director Deborah D. McWhinney For For Management
1g Elect Director Alexis P. Michas For For Management
1h Elect Director Vicki L. Sato For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4 Require Shareholder Approval of Bylaw Against Against Shareholder
Amendments Adopted by the Board of
Directors
--------------------------------------------------------------------------------
CARDINAL HEALTH, INC.
Ticker: CAH Security ID: 14149Y108
Meeting Date: NOV 06, 2019 Meeting Type: Annual
Record Date: SEP 09, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Colleen F. Arnold For For Management
1.2 Elect Director Carrie S. Cox For For Management
1.3 Elect Director Calvin Darden For For Management
1.4 Elect Director Bruce L. Downey For For Management
1.5 Elect Director Patricia A. Hemingway For For Management
Hall
1.6 Elect Director Akhil Johri For For Management
1.7 Elect Director Michael C. Kaufmann For For Management
1.8 Elect Director Gregory B. Kenny For For Management
1.9 Elect Director Nancy Killefer For For Management
1.10 Elect Director J. Michael Losh For For Management
1.11 Elect Director Dean A. Scarborough For For Management
1.12 Elect Director John H. Weiland For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CENTURYLINK, INC.
Ticker: CTL Security ID: 156700106
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 26, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Martha H. Bejar For For Management
1b Elect Director Virginia Boulet For For Management
1c Elect Director Peter C. Brown For For Management
1d Elect Director Kevin P. Chilton For For Management
1e Elect Director Steven "Terry" Clontz For For Management
1f Elect Director T. Michael Glenn For For Management
1g Elect Director W. Bruce Hanks For For Management
1h Elect Director Hal S. Jones For For Management
1i Elect Director Michael J. Roberts For For Management
1j Elect Director Laurie A. Siegel For For Management
1k Elect Director Jeffrey K. Storey For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Amend Omnibus Stock Plan For For Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
DELTA AIR LINES, INC.
Ticker: DAL Security ID: 247361702
Meeting Date: JUN 18, 2020 Meeting Type: Annual
Record Date: APR 30, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Edward H. Bastian For For Management
1b Elect Director Francis S. Blake For For Management
1c Elect Director Ashton B. Carter For For Management
1d Elect Director David G. DeWalt For For Management
1e Elect Director William H. Easter, III For For Management
1f Elect Director Christopher A. Hazleton For For Management
1g Elect Director Michael P. Huerta For For Management
1h Elect Director Jeanne P. Jackson For For Management
1i Elect Director George N. Mattson For For Management
1j Elect Director Sergio A. L. Rial For For Management
1k Elect Director David S. Taylor For For Management
1l Elect Director Kathy N. Waller For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Provide Right to Act by Written Consent Against For Shareholder
5 Report on Climate Lobbying Against For Shareholder
6 Report on Political Contributions Against For Shareholder
7 Report on Sexual Harassment Policy Against For Shareholder
--------------------------------------------------------------------------------
FRANKLIN RESOURCES, INC.
Ticker: BEN Security ID: 354613101
Meeting Date: FEB 11, 2020 Meeting Type: Annual
Record Date: DEC 13, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Peter K. Barker For For Management
1b Elect Director Mariann Byerwalter For For Management
1c Elect Director Gregory E. Johnson For For Management
1d Elect Director Jennifer M. Johnson For For Management
1e Elect Director Rupert H. Johnson, Jr. For For Management
1f Elect Director Anthony J. Noto For For Management
1g Elect Director Mark C. Pigott For For Management
1h Elect Director Laura Stein For For Management
1i Elect Director Seth H. Waugh For For Management
1j Elect Director Geoffrey Y. Yang For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GILEAD SCIENCES, INC.
Ticker: GILD Security ID: 375558103
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jacqueline K. Barton For For Management
1b Elect Director Sandra J. Horning For For Management
1c Elect Director Kelly A. Kramer For For Management
1d Elect Director Kevin E. Lofton For For Management
1e Elect Director Harish Manwani For For Management
1f Elect Director Daniel P. O'Day For For Management
1g Elect Director Richard J. Whitley For For Management
1h Elect Director Per Wold-Olsen For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chair Against Against Shareholder
5 Eliminate the Ownership Threshold for Against Against Shareholder
Stockholders to Request a Record Date
to Take Action by Written Consent
--------------------------------------------------------------------------------
H&R BLOCK, INC.
Ticker: HRB Security ID: 093671105
Meeting Date: SEP 12, 2019 Meeting Type: Annual
Record Date: JUL 12, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Angela N. Archon For For Management
1b Elect Director Paul J. Brown For For Management
1c Elect Director Robert A. Gerard For For Management
1d Elect Director Richard A. Johnson For For Management
1e Elect Director Jeffrey J. Jones, II For For Management
1f Elect Director David Baker Lewis For For Management
1g Elect Director Victoria J. Reich For For Management
1h Elect Director Bruce C. Rohde For For Management
1i Elect Director Matthew E. Winter For For Management
1j Elect Director Christianna Wood For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
HALLIBURTON COMPANY
Ticker: HAL Security ID: 406216101
Meeting Date: MAY 19, 2020 Meeting Type: Annual
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Abdulaziz F. Al Khayyal For For Management
1b Elect Director William E. Albrecht For For Management
1c Elect Director M. Katherine Banks For For Management
1d Elect Director Alan M. Bennett For For Management
1e Elect Director Milton Carroll For For Management
1f Elect Director Nance K. Dicciani For For Management
1g Elect Director Murry S. Gerber For For Management
1h Elect Director Patricia Hemingway Hall For For Management
1i Elect Director Robert A. Malone For For Management
1j Elect Director Jeffrey A. Miller For For Management
2 Ratify KPMG LLP as Auditor For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
HOLLYFRONTIER CORPORATION
Ticker: HFC Security ID: 436106108
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Anne-Marie N. Ainsworth For For Management
1b Elect Director Douglas Y. Bech For For Management
1c Elect Director Anna C. Catalano For For Management
1d Elect Director Leldon E. Echols For For Management
1e Elect Director Michael C. Jennings For For Management
1f Elect Director R. Craig Knocke For For Management
1g Elect Director Robert J. Kostelnik For For Management
1h Elect Director James H. Lee For For Management
1i Elect Director Franklin Myers For For Management
1j Elect Director Michael E. Rose For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
HP INC.
Ticker: HPQ Security ID: 40434L105
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Aida M. Alvarez For For Management
1.2 Elect Director Shumeet Banerji For For Management
1.3 Elect Director Robert R. Bennett For For Management
1.4 Elect Director Charles "Chip" V. Bergh For For Management
1.5 Elect Director Stacy Brown-Philpot For For Management
1.6 Elect Director Stephanie A. Burns For For Management
1.7 Elect Director Mary Anne Citrino For For Management
1.8 Elect Director Richard L. Clemmer For For Management
1.9 Elect Director Enrique Lores For For Management
1.10 Elect Director Yoky Matsuoka For For Management
1.11 Elect Director Stacey Mobley For For Management
1.12 Elect Director Subra Suresh For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Qualified Employee Stock For For Management
Purchase Plan
5 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
INTERNATIONAL PAPER COMPANY
Ticker: IP Security ID: 460146103
Meeting Date: MAY 11, 2020 Meeting Type: Annual
Record Date: MAR 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director William J. Burns For For Management
1b Elect Director Christopher M. Connor For For Management
1c Elect Director Ahmet C. Dorduncu For For Management
1d Elect Director Ilene S. Gordon For For Management
1e Elect Director Anders Gustafsson For For Management
1f Elect Director Jacqueline C. Hinman For For Management
1g Elect Director Clinton A. Lewis, Jr. For For Management
1h Elect Director Kathryn D. Sullivan For For Management
1i Elect Director Mark S. Sutton For For Management
1j Elect Director J. Steven Whisler For For Management
1k Elect Director Ray G. Young For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Reduce Ownership Threshold for Against For Shareholder
Shareholders to Call Special Meeting
--------------------------------------------------------------------------------
KOHL'S CORPORATION
Ticker: KSS Security ID: 500255104
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Michael J. Bender For For Management
1b Elect Director Peter Boneparth For For Management
1c Elect Director Steven A. Burd For For Management
1d Elect Director Yael Cosset For For Management
1e Elect Director H. Charles Floyd For For Management
1f Elect Director Michelle Gass For For Management
1g Elect Director Jonas Prising For For Management
1h Elect Director John E. Schlifske For For Management
1i Elect Director Adrianne Shapira For For Management
1j Elect Director Frank V. Sica For For Management
1k Elect Director Stephanie A. Streeter For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Provide Right to Act by Written Consent Against Against Shareholder
5 Adopt Vendor Policy Regarding Against Against Shareholder
Oversight on Animal Welfare Throughout
the Supply Chain
--------------------------------------------------------------------------------
L BRANDS, INC.
Ticker: LB Security ID: 501797104
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Eliminate Supermajority Vote For For Management
Requirement
2 Declassify the Board of Directors For For Management
3.1 Elect Director Donna A. James For For Management
3.2 Elect Director Michael G. Morris For For Management
3.3 Elect Director Robert H. Schottenstein For For Management
4 Ratify Ernst & Young LLP as Auditors For For Management
5 Approve Omnibus Stock Plan For For Management
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
LYONDELLBASELL INDUSTRIES N.V.
Ticker: LYB Security ID: N53745100
Meeting Date: SEP 12, 2019 Meeting Type: Special
Record Date: AUG 15, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
2 Approve the Cancellation of Shares For For Management
--------------------------------------------------------------------------------
LYONDELLBASELL INDUSTRIES N.V.
Ticker: LYB Security ID: N53745100
Meeting Date: MAY 29, 2020 Meeting Type: Annual
Record Date: MAY 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jacques Aigrain For For Management
1b Elect Director Lincoln Benet For For Management
1c Elect Director Jagjeet (Jeet) Bindra For For Management
1d Elect Director Robin Buchanan For For Management
1e Elect Director Stephen Cooper For For Management
1f Elect Director Nance Dicciani For For Management
1g Elect Director Claire Farley For For Management
1h Elect Director Isabella (Bella) Goren For For Management
1i Elect Director Michael Hanley For For Management
1j Elect Director Albert Manifold For For Management
1k Elect Director Bhavesh (Bob) Patel For For Management
2 Approve Discharge of the Members of For For Management
the Board of Directors
3 Adopt Financial Statements and For For Management
Statutory Reports
4 Ratify PricewaterhouseCoopers For For Management
Accountants N.V. as Auditors
5 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
6 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
7 Approve Dividends of USD 4.20 Per Share For For Management
8 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
9 Approve Cancellation of Shares For For Management
--------------------------------------------------------------------------------
MACY'S, INC.
Ticker: M Security ID: 55616P104
Meeting Date: MAY 15, 2020 Meeting Type: Annual
Record Date: MAR 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director David P. Abney For For Management
1b Elect Director Francis S. Blake For For Management
1c Elect Director Torrence N. Boone For For Management
1d Elect Director John A. Bryant For For Management
1e Elect Director Deirdre P. Connelly For For Management
1f Elect Director Jeff Gennette For For Management
1g Elect Director Leslie D. Hale For For Management
1h Elect Director William H. Lenehan For For Management
1i Elect Director Sara Levinson For For Management
1j Elect Director Joyce M. Roche For For Management
1k Elect Director Paul C. Varga For For Management
1l Elect Director Marna C. Whittington For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
NORDSTROM, INC.
Ticker: JWN Security ID: 655664100
Meeting Date: MAY 20, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Shellye L. Archambeau For For Management
1b Elect Director Stacy Brown-Philpot For For Management
1c Elect Director Tanya L. Domier For For Management
1d Elect Director James L. Donald For For Management
1e Elect Director Kirsten A. Green For For Management
1f Elect Director Glenda G. McNeal For For Management
1g Elect Director Erik B. Nordstrom For For Management
1h Elect Director Peter E. Nordstrom For For Management
1i Elect Director Brad D. Smith For For Management
1j Elect Director Bradley D. Tilden For For Management
1k Elect Director Mark J. Tritton For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For Against Management
5 Amend Qualified Employee Stock For For Management
Purchase Plan
--------------------------------------------------------------------------------
NUCOR CORPORATION
Ticker: NUE Security ID: 670346105
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Lloyd J. Austin, III For For Management
1.2 Elect Director Patrick J. Dempsey For For Management
1.3 Elect Director Christopher J. Kearney For For Management
1.4 Elect Director Laurette T. Koellner For For Management
1.5 Elect Director Joseph D. Rupp For For Management
1.6 Elect Director Leon J. Topalian For For Management
1.7 Elect Director John H. Walker For For Management
1.8 Elect Director Nadja Y. West For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditor
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Amend Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
SEAGATE TECHNOLOGY PLC
Ticker: STX Security ID: G7945M107
Meeting Date: OCT 29, 2019 Meeting Type: Annual
Record Date: SEP 03, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director William D. Mosley For For Management
1b Elect Director Stephen J. Luczo For For Management
1c Elect Director Mark W. Adams For For Management
1d Elect Director Judy Bruner For For Management
1e Elect Director Michael R. Cannon For For Management
1f Elect Director William T. Coleman For For Management
1g Elect Director Jay L. Geldmacher For For Management
1h Elect Director Dylan G. Haggart For For Management
1i Elect Director Stephanie Tilenius For For Management
1j Elect Director Edward J. Zander For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Approve Ernst & Young LLP as Auditors For For Management
and Authorize Board to Fix Their
Remuneration
4 Amend Omnibus Stock Plan For For Management
5 Authorize Board to Allot and Issue For For Management
Shares
6 Authorize Board to Opt-Out of For For Management
Statutory Pre-Emption Rights
7 Determine Price Range for Reissuance For For Management
of Treasury Shares
--------------------------------------------------------------------------------
SOUTHWEST AIRLINES CO.
Ticker: LUV Security ID: 844741108
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 25, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director David W. Biegler For For Management
1b Elect Director J. Veronica Biggins For For Management
1c Elect Director Douglas H. Brooks For For Management
1d Elect Director William H. Cunningham For For Management
1e Elect Director John G. Denison For For Management
1f Elect Director Thomas W. Gilligan For For Management
1g Elect Director Gary C. Kelly For For Management
1h Elect Director Grace D. Lieblein For For Management
1i Elect Director Nancy B. Loeffler For For Management
1j Elect Director John T. Montford For For Management
1k Elect Director Ron Ricks For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditor For For Management
4 Require Independent Board Chair Against Against Shareholder
5 Provide Right to Act by Written Consent Against Against Shareholder
6 Report on Lobbying Payments and Policy Against For Shareholder
--------------------------------------------------------------------------------
WESTERN DIGITAL CORPORATION
Ticker: WDC Security ID: 958102105
Meeting Date: NOV 14, 2019 Meeting Type: Annual
Record Date: SEP 16, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kimberly E. Alexy For For Management
1b Elect Director Martin I. Cole For For Management
1c Elect Director Kathleen A. Cote For For Management
1d Elect Director Tunc Doluca For For Management
1e Elect Director Len J. Lauer For For Management
1f Elect Director Matthew E. Massengill For For Management
1g Elect Director Stephen D. Milligan For For Management
1h Elect Director Stephanie A. Streeter For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Omnibus Stock Plan For For Management
4 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
WESTROCK COMPANY
Ticker: WRK Security ID: 96145D105
Meeting Date: JAN 31, 2020 Meeting Type: Annual
Record Date: DEC 06, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Colleen F. Arnold For For Management
1b Elect Director Timothy J. Bernlohr For For Management
1c Elect Director J. Powell Brown For For Management
1d Elect Director Terrell K. Crews For For Management
1e Elect Director Russell M. Currey For For Management
1f Elect Director Suzan F. Harrison For For Management
1g Elect Director John A. Luke, Jr. For For Management
1h Elect Director Gracia C. Martore For For Management
1i Elect Director James E. Nevels For For Management
1j Elect Director Timothy H. Powers For For Management
1k Elect Director Steven C. Voorhees For For Management
1l Elect Director Bettina M. Whyte For For Management
1m Elect Director Alan D. Wilson For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
XEROX HOLDINGS CORPORATION
Ticker: XRX Security ID: 98421M106
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Keith Cozza For For Management
1.2 Elect Director Jonathan Christodoro For Against Management
1.3 Elect Director Joseph J. Echevarria For For Management
1.4 Elect Director Nicholas Graziano For For Management
1.5 Elect Director Cheryl Gordon Krongard For Against Management
1.6 Elect Director Scott Letier For Against Management
1.7 Elect Director Giovanni ('John') For For Management
Visentin
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
================= NetLease Corporate Real Estate ETF =================
AGREE REALTY CORPORATION
Ticker: ADC Security ID: 008492100
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Merrie S. Frankel For For Management
1.2 Elect Director Farris G. Kalil For For Management
1.3 Elect Director Simon Leopold For For Management
1.4 Elect Director William S. Rubenfaer For For Management
2 Ratify Grant Thornton LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
--------------------------------------------------------------------------------
EPR PROPERTIES
Ticker: EPR Security ID: 26884U109
Meeting Date: MAY 29, 2020 Meeting Type: Annual
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Barrett Brady For For Management
1.2 Elect Director Peter C. Brown For For Management
1.3 Elect Director James B. Connor For For Management
1.4 Elect Director Robert J. Druten For For Management
1.5 Elect Director Gregory K. Silvers For For Management
1.6 Elect Director Robin P. Sterneck For For Management
1.7 Elect Director Virginia E. Shanks For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Amend Declaration of Trust to Permit For For Management
the Company to Redeem Securities Held
by an Unsuitable Shareholder
4 Ratify KPMG LLP as Auditors For For Management
--------------------------------------------------------------------------------
ESSENTIAL PROPERTIES REALTY TRUST, INC.
Ticker: EPRT Security ID: 29670E107
Meeting Date: APR 30, 2020 Meeting Type: Annual
Record Date: MAR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Paul T. Bossidy For For Management
1.2 Elect Director Joyce DeLucca For For Management
1.3 Elect Director Anthony K. Dobkin For For Management
1.4 Elect Director Scott A. Estes For For Management
1.5 Elect Director Peter M. Mavoides For For Management
1.6 Elect Director Lawrence J. Minich For For Management
1.7 Elect Director Heather L. Neary For For Management
1.8 Elect Director Stephen D. Sautel For Withhold Management
1.9 Elect Director Janaki Sivanesan For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
FIRST AMERICAN FUNDS, INC.
Ticker: Security ID: 31846V336
Meeting Date: AUG 29, 2019 Meeting Type: Special
Record Date: JUL 12, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David K. Baumgardner For For Management
1.2 Elect Director Mark E. Gaumond For For Management
1.3 Elect Director Roger A. Gibson For For Management
1.4 Elect Director Jennifer J. McPeek For For Management
1.5 Elect Director C. David Myers For For Management
1.6 Elect Director Richard K. Riederer For For Management
1.7 Elect Director P. Kelly Tompkins For For Management
--------------------------------------------------------------------------------
FOUR CORNERS PROPERTY TRUST, INC.
Ticker: FCPT Security ID: 35086T109
Meeting Date: JUN 12, 2020 Meeting Type: Annual
Record Date: APR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director William H. Lenehan For For Management
1b Elect Director Douglas B. Hansen For For Management
1c Elect Director John S. Moody For For Management
1d Elect Director Marran H. Ogilvie For For Management
1e Elect Director Paul E. Szurek For For Management
1f Elect Director Charles L. Jemley For For Management
1g Elect Director Eric S. Hirschhorn For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GAMING AND LEISURE PROPERTIES, INC.
Ticker: GLPI Security ID: 36467J108
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Peter M. Carlino For For Management
1.2 Elect Director Carol ("Lili") Lynton For For Management
1.3 Elect Director Joseph W. Marshall, III For For Management
1.4 Elect Director James B. Perry For For Management
1.5 Elect Director Barry F. Schwartz For For Management
1.6 Elect Director Earl C. Shanks For For Management
1.7 Elect Director E. Scott Urdang For For Management
2 Amend Omnibus Stock Plan For For Management
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
GETTY REALTY CORP.
Ticker: GTY Security ID: 374297109
Meeting Date: APR 28, 2020 Meeting Type: Annual
Record Date: MAR 03, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Christopher J. Constant For For Management
1b Elect Director Milton Cooper For Withhold Management
1c Elect Director Philip E. Coviello For Withhold Management
1d Elect Director Leo Liebowitz For For Management
1e Elect Director Mary Lou Malanoski For For Management
1f Elect Director Richard E. Montag For For Management
1g Elect Director Howard B. Safenowitz For Withhold Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
GLADSTONE COMMERCIAL CORPORATION
Ticker: GOOD Security ID: 376536108
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Michela A. English For Withhold Management
1.2 Elect Director Anthony W. Parker For Withhold Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
GLOBAL NET LEASE, INC.
Ticker: GNL Security ID: 379378201
Meeting Date: MAR 25, 2020 Meeting Type: Annual
Record Date: FEB 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director James L. Nelson For Against Management
1b Elect Director Edward M. Weil, Jr. For Against Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
INDUSTRIAL LOGISTICS PROPERTIES TRUST
Ticker: ILPT Security ID: 456237106
Meeting Date: MAY 28, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Bruce M. Gans For Withhold Management
1.2 Elect Director Adam D. Portnoy For Withhold Management
2 Declassify the Board of Directors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
5 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
INNOVATIVE INDUSTRIAL PROPERTIES, INC.
Ticker: IIPR Security ID: 45781V101
Meeting Date: JUN 02, 2020 Meeting Type: Annual
Record Date: APR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Alan Gold For For Management
1.2 Elect Director Gary Kreitzer For For Management
1.3 Elect Director Mary Curran For For Management
1.4 Elect Director Scott Shoemaker For For Management
1.5 Elect Director Paul Smithers For For Management
1.6 Elect Director David Stecher For For Management
2 Ratify BDO USA, LLP as Auditors For For Management
3 Amend Charter to Allow Shareholders to For For Management
Amend Bylaws
4 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
5 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
--------------------------------------------------------------------------------
LEXINGTON REALTY TRUST
Ticker: LXP Security ID: 529043101
Meeting Date: MAY 19, 2020 Meeting Type: Annual
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director T. Wilson Eglin For For Management
1.2 Elect Director Richard S. Frary For For Management
1.3 Elect Director Lawrence L. Gray For For Management
1.4 Elect Director Jamie Handwerker For For Management
1.5 Elect Director Claire A. Koeneman For For Management
1.6 Elect Director Howard Roth For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
MGM GROWTH PROPERTIES LLC
Ticker: MGP Security ID: 55303A105
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Paul Salem For Against Management
1b Elect Director Michael J. Rietbrock For Against Management
1c Elect Director Thomas A. Roberts For Against Management
1d Elect Director Daniel J. Taylor For Against Management
1e Elect Director Corey I. Sanders For Against Management
1f Elect Director John M. McManus For Against Management
1g Elect Director Robert Smith For Against Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
MONMOUTH REAL ESTATE INVESTMENT CORPORATION
Ticker: MNR Security ID: 609720107
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Kiernan Conway For For Management
1.2 Elect Director Brian H. Haimm For For Management
1.3 Elect Director Neal Herstik For For Management
1.4 Elect Director Matthew I. Hirsch For Withhold Management
1.5 Elect Director Stephen B. Wolgin For For Management
2 Ratify PKF O'Connor Davies, LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
NATIONAL RETAIL PROPERTIES, INC.
Ticker: NNN Security ID: 637417106
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pamela K. Beall For For Management
1.2 Elect Director Steven D. Cosler For For Management
1.3 Elect Director Don DeFosset For For Management
1.4 Elect Director David M. Fick For For Management
1.5 Elect Director Edward J. Fritsch For For Management
1.6 Elect Director Kevin B. Habicht For For Management
1.7 Elect Director Betsy D. Holden For For Management
1.8 Elect Director Julian E. Whitehurst For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
ONE LIBERTY PROPERTIES, INC.
Ticker: OLP Security ID: 682406103
Meeting Date: JUN 30, 2020 Meeting Type: Annual
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Charles L. Biederman For For Management
1.2 Elect Director Patrick J. Callan, Jr. For For Management
1.3 Elect Director Karen A. Till For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
4A Increase Authorized Common Stock For For Management
4B Amend Charter Regarding For For Management
Indemnification of Directors and
Officers
4C Amend Charter For For Management
5A Amend Bylaws to Eliminate Investment For For Management
Policies Restrictions
5B Amend Bylaws to Eliminate Provisions For For Management
Regarding Management Arrangements
--------------------------------------------------------------------------------
REALTY INCOME CORPORATION
Ticker: O Security ID: 756109104
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: MAR 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Kathleen R. Allen For For Management
1b Elect Director A. Larry Chapman For For Management
1c Elect Director Reginald H. Gilyard For For Management
1d Elect Director Priya Cherian Huskins For For Management
1e Elect Director Christie B. Kelly For For Management
1f Elect Director Gerardo I. Lopez For For Management
1g Elect Director Michael D. McKee For For Management
1h Elect Director Gregory T. McLaughlin For For Management
1i Elect Director Ronald L. Merriman For For Management
1j Elect Director Sumit Roy For For Management
2 Ratify KPMG LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
SAFEHOLD INC.
Ticker: SAFE Security ID: 78645L100
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: MAR 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Dean S. Adler For Withhold Management
1.2 Elect Director Robin Josephs For For Management
1.3 Elect Director Jay S. Nydick For Withhold Management
1.4 Elect Director Stefan M. Selig For Withhold Management
1.5 Elect Director Jay Sugarman For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
SPIRIT MTA REIT
Ticker: SMTA Security ID: 84861U105
Meeting Date: SEP 04, 2019 Meeting Type: Special
Record Date: JUL 29, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Sale of Company Assets For For Management
2 Approve Plan of Liquidation For For Management
3 Adjourn Meeting For For Management
--------------------------------------------------------------------------------
SPIRIT REALTY CAPITAL, INC.
Ticker: SRC Security ID: 84860W300
Meeting Date: JUN 08, 2020 Meeting Type: Annual
Record Date: APR 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Jackson Hsieh For For Management
1.2 Elect Director Kevin M. Charlton For For Management
1.3 Elect Director Todd A. Dunn For For Management
1.4 Elect Director Elizabeth F. Frank For For Management
1.5 Elect Director Richard I. Gilchrist For For Management
1.6 Elect Director Diana M. Laing For For Management
1.7 Elect Director Sheli Z. Rosenberg For For Management
1.8 Elect Director Thomas D. Senkbeil For For Management
1.9 Elect Director Nicholas P. Shepherd For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
STAG INDUSTRIAL, INC.
Ticker: STAG Security ID: 85254J102
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: MAR 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Benjamin S. Butcher For For Management
1b Elect Director Jit Kee Chin For For Management
1c Elect Director Virgis W. Colbert For For Management
1d Elect Director Michelle S. Dilley For For Management
1e Elect Director Jeffrey D. Furber For For Management
1f Elect Director Larry T. Guillemette For For Management
1g Elect Director Francis X. Jacoby, III For For Management
1h Elect Director Christopher P. Marr For For Management
1i Elect Director Hans S. Weger For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
STORE CAPITAL CORPORATION
Ticker: STOR Security ID: 862121100
Meeting Date: MAY 28, 2020 Meeting Type: Annual
Record Date: MAR 31, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Joseph M. Donovan For For Management
1.2 Elect Director Mary Fedewa For For Management
1.3 Elect Director Morton H. Fleischer For For Management
1.4 Elect Director William F. Hipp For For Management
1.5 Elect Director Tawn Kelley For For Management
1.6 Elect Director Catherine D. Rice For For Management
1.7 Elect Director Einar A. Seadler For For Management
1.8 Elect Director Quentin P. Smith, Jr. For For Management
1.9 Elect Director Christopher H. Volk For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
VEREIT, INC.
Ticker: VER Security ID: 92339V100
Meeting Date: MAY 21, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Glenn J. Rufrano For For Management
1b Elect Director Hugh R. Frater For For Management
1c Elect Director David B. Henry For For Management
1d Elect Director Mary Hogan Preusse For For Management
1e Elect Director Richard J. Lieb For For Management
1f Elect Director Mark S. Ordan For For Management
1g Elect Director Eugene A. Pinover For For Management
1h Elect Director Julie G. Richardson For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
VICI PROPERTIES INC.
Ticker: VICI Security ID: 925652109
Meeting Date: APR 30, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director James R. Abrahamson For For Management
1b Elect Director Diana F. Cantor For For Management
1c Elect Director Monica H. Douglas For For Management
1d Elect Director Elizabeth I. Holland For For Management
1e Elect Director Craig Macnab For For Management
1f Elect Director Edward B. Pitoniak For For Management
1g Elect Director Michael D. Rumbolz For For Management
2 Ratify Deloitte & Touche LLP as For For Management
Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Eliminate Supermajority Vote For For Management
Requirement
--------------------------------------------------------------------------------
W. P. CAREY INC.
Ticker: WPC Security ID: 92936U109
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Mark A. Alexander For For Management
1b Elect Director Peter J. Farrell For For Management
1c Elect Director Robert J. Flanagan For For Management
1d Elect Director Jason E. Fox For For Management
1e Elect Director Axel K.A. Hansing For For Management
1f Elect Director Jean Hoysradt For For Management
1g Elect Director Margaret G. Lewis For For Management
1h Elect Director Christopher J. Niehaus For For Management
1i Elect Director Nick J.M. van Ommen For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
======================= Loncar Cancer Immunotherapy ETF ========================
ALLOGENE THERAPEUTICS, INC.
Ticker: ALLO Security ID: 019770106
Meeting Date: JUN 05, 2020 Meeting Type: Annual
Record Date: APR 21, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Deborah Messemer For Withhold Management
1b Elect Director Todd Sisitsky For Withhold Management
1c Elect Director Owen Witte For Withhold Management
2 Advisory Vote on Say on Pay Frequency One Year One Year Management
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
ARGENX SE
Ticker: ARGX Security ID: 04016X101
Meeting Date: NOV 25, 2019 Meeting Type: Special
Record Date: OCT 28, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Amend Articles to Reflect Changes in For For Management
Capital
3 Amend Argenx Option Plan For Against Management
4 Approve Stock Option Grants up to a For Against Management
Maximum of 4 Percent of the
Outstanding Capital
5 Other Business (Non-Voting) None None Management
6 Close Meeting None None Management
--------------------------------------------------------------------------------
ARGENX SE
Ticker: ARGX Security ID: 04016X101
Meeting Date: MAY 12, 2020 Meeting Type: Annual
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Open Meeting None None Management
2 Receive Report of Management Board None None Management
(Non-Voting)
3 Adopt Remuneration Policy For Against Management
4 Approve Remuneration Report For Against Management
5.a Discuss Annual Report for FY 2019 None None Management
5.b Adopt Financial Statements and For For Management
Statutory Reports
5.c Discussion on Company's Corporate None None Management
Governance Structure
5.d Approve Allocation of Losses to the For For Management
Retained Earnings of the Company
5.e Approve Discharge of Directors For For Management
6 Reelect Pamela Klein as Non-Executive For For Management
Director
7 Grant Board Authority to Issue Shares For Against Management
Up To 4 Percent of Outstanding Capital
within the Limits of the Argenx Option
Plan and Exclude Pre-emptive Rights
8 Grant Board Authority to Issue Shares For For Management
Up To 10 Percent of Issued Capital and
Exclude Pre-emptive Rights
9 Grant Board Authority to Issue For Against Management
Additional Shares Up To 10 Percent of
Issued Capital and Exclude Pre-emptive
Rights
10 Ratify Deloitte as Auditors For For Management
11 Other Business (Non-Voting) None None Management
12 Close Meeting None None Management
--------------------------------------------------------------------------------
ASTRAZENECA PLC
Ticker: AZN Security ID: 046353108
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: FEB 26, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Dividends For For Management
3 Reappoint PricewaterhouseCoopers LLP For For Management
as Auditors
4 Authorise Board to Fix Remuneration of For For Management
Auditors
5a Re-elect Leif Johansson as Director For For Management
5b Re-elect Pascal Soriot as Director For For Management
5c Re-elect Marc Dunoyer as Director For For Management
5d Re-elect Genevieve Berger as Director For For Management
5e Re-elect Philip Broadley as Director For For Management
5f Re-elect Graham Chipchase as Director For For Management
5g Elect Michel Demare as Director For For Management
5h Re-elect Deborah DiSanzo as Director For For Management
5i Re-elect Sheri McCoy as Director For For Management
5j Re-elect Tony Mok as Director For For Management
5k Re-elect Nazneen Rahman as Director For For Management
5l Re-elect Marcus Wallenberg as Director For For Management
6 Approve Remuneration Report For For Management
7 Approve Remuneration Policy For For Management
8 Authorise EU Political Donations and For For Management
Expenditure
9 Authorise Issue of Equity For For Management
10 Authorise Issue of Equity without For For Management
Pre-emptive Rights
11 Authorise Issue of Equity without For For Management
Pre-emptive Rights in Connection with
an Acquisition or Other Capital
Investment
12 Authorise Market Purchase of Ordinary For For Management
Shares
13 Authorise the Company to Call General For For Management
Meeting with Two Weeks' Notice
14 Approve Performance Share Plan For For Management
--------------------------------------------------------------------------------
ATARA BIOTHERAPEUTICS, INC.
Ticker: ATRA Security ID: 046513107
Meeting Date: JUN 16, 2020 Meeting Type: Annual
Record Date: APR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Pascal Touchon For Withhold Management
1.2 Elect Director Carol S. Gallagher For Withhold Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
AUTOLUS THERAPEUTICS PLC
Ticker: AUTL Security ID: 05280R100
Meeting Date: JUN 18, 2020 Meeting Type: Annual
Record Date: MAY 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Remuneration Report For Against Management
3 Reappoint Ernst & Young LLP as For For Management
Auditors and Authorise Their
Remuneration
4 Elect Director John Berriman For For Management
5 Elect Director Kapil Dhingra For For Management
--------------------------------------------------------------------------------
BEIGENE, LTD.
Ticker: 6160 Security ID: 07725L102
Meeting Date: DEC 27, 2019 Meeting Type: Special
Record Date: NOV 27, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Issuance of Shares Pursuant to For For Management
the Share Purchase Agreement
2 Approve Collaboration Agreement with For For Management
Amgen Inc.
3 Approve the Annual Caps in Relation to For For Management
the Collaboration Agreement
4 Elect Director Anthony C. Hooper For For Management
--------------------------------------------------------------------------------
BEIGENE, LTD.
Ticker: 6160 Security ID: 07725L102
Meeting Date: JUN 17, 2020 Meeting Type: Annual
Record Date: APR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director John V. Oyler For For Management
2 Elect Director Timothy Chen For For Management
3 Elect Director Jing-Shyh (Sam) Su For For Management
4 Ratify Ernst & Young Hua Ming LLP and For For Management
Ernst & Young as Auditors
5 Authorize the Board of Directors to For For Management
Issue, Allot, or Deal with Unissued
Ordinary Shares and/or American
Depositary Shares
6 Approve Connected Person Placing For For Management
Authorization I
7 Approve Connected Person Placing For For Management
Authorization II
8 Amend Omnibus Stock Plan For Against Management
9 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
BIONTECH SE
Ticker: BNTX Security ID: 09075V102
Meeting Date: JUN 26, 2020 Meeting Type: Annual
Record Date: MAY 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2019
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2019
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2019
4 Ratify Ernst & Young GmbH as Auditors For For Management
for Fiscal 2020
5 Amend Stock Option Plan For For Management
6 Amend Articles Re: Exclusion of For For Management
Preemptive Rights for Authorized
Capital
7 Amend Articles Re: Absentee Vote, For For Management
Online Participation, Virtual General
Meetings
8a Approve Affiliation Agreement with For For Management
BioNTech Small Molecules GmbH
8b Approve Affiliation Agreement with For For Management
BioNTech IVAC GmbH
8c Approve Affiliation Agreement with For For Management
BioNTech Real Estate Holding GmbH
8d Approve Affiliation Agreement with JPT For For Management
Peptide Technologies GmbH
8e Approve Affiliation Agreement with For For Management
BioNTech Cell & Gene Therapies GmbH
--------------------------------------------------------------------------------
BLUEBIRD BIO, INC.
Ticker: BLUE Security ID: 09609G100
Meeting Date: JUN 18, 2020 Meeting Type: Annual
Record Date: APR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Nick Leschly For For Management
1b Elect Director Douglas A. Melton For For Management
1c Elect Director Mark Vachon For For Management
2 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
3 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
BRISTOL-MYERS SQUIBB COMPANY
Ticker: BMY Security ID: 110122108
Meeting Date: MAY 05, 2020 Meeting Type: Annual
Record Date: MAR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1A Elect Director Peter J. Arduini For For Management
1B Elect Director Robert Bertolini For For Management
1C Elect Director Michael W. Bonney For For Management
1D Elect Director Giovanni Caforio For For Management
1E Elect Director Matthew W. Emmens For For Management
1F Elect Director Julia A. Haller For For Management
1G Elect Director Dinesh C. Paliwal For For Management
1H Elect Director Theodore R. Samuels For For Management
1I Elect Director Vicki L. Sato For For Management
1J Elect Director Gerald L. Storch For For Management
1K Elect Director Karen H. Vousden For For Management
1L Elect Director Phyllis R. Yale For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify Deloitte & Touche LLP as For For Management
Auditors
4 Require Independent Board Chairman Against For Shareholder
5 Provide Right to Act by Written Consent Against For Shareholder
--------------------------------------------------------------------------------
CELLECTIS SA
Ticker: ALCLS Security ID: 15117K103
Meeting Date: JUN 29, 2020 Meeting Type: Annual/Special
Record Date: MAY 22, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Financial Statements and For For Management
Statutory Reports
2 Approve Consolidated Financial For For Management
Statements and Statutory Reports
3 Approve Treatment of Losses For For Management
4 Approve Auditors' Special Report on For Against Management
Related-Party Transactions Mentioning
the Absence of New Transactions
5 Approve Remuneration of Directors in For For Management
the Aggregate Amount of EUR 600,000
6 Reelect Annick Schwebig as Director For Against Management
7 Reelect Laurent Arthaud as Director For Against Management
8 Reelect Pierre Bastid as Director For Against Management
9 Reelect Rainer Boehm as Director For Against Management
10 Reelect Herve Hoppenot as Director For Against Management
11 Authorize Repurchase of Up to 10 For For Management
Percent of Issued Share Capital
12 Authorize Decrease in Share Capital For For Management
via Cancellation of Repurchased Shares
13 Approve Issuance of Equity or For Against Management
Equity-Linked Securities Reserved for
Specific Beneficiaries up to Aggregate
Nominal Amount of EUR 639,985
14 Approve Issuance of Equity or For Against Management
Equity-Linked Securities Reserved for
First Group of Specific Beneficiaries,
up to Aggregate Nominal Amount of EUR
639,985
15 Approve Issuance of Equity or For Against Management
Equity-Linked Securities Reserved for
Second Group of Specific
Beneficiaries, up to Aggregate Nominal
Amount of EUR 639,985
16 Approve Issuance of Equity or For Against Management
Equity-Linked Securities Reserved for
Specific Beneficiaries in the
Framework of an Equity Line up to
Aggregate Nominal Amount of EUR 639,985
17 Authorize Issuance of Equity or For For Management
Equity-Linked Securities with
Preemptive Rights up to Aggregate
Nominal Amount of EUR 1,061,642
18 Authorize Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights up to Aggregate
Nominal Amount of EUR 639,985
19 Approve Issuance of Equity or For Against Management
Equity-Linked Securities for Private
Placements, up to Aggregate Nominal
Amount of EUR 639,985
20 Authorize Board to Increase Capital in For Against Management
the Event of Additional Demand Related
to Delegation Submitted to Shareholder
Vote Above
21 Set Total Limit for Capital Increase For For Management
to Result from Issuance Requests Under
Items 13 and 15-20 at EUR 1,061,642
22 Authorize Capitalization of Reserves For For Management
of Up to EUR 2 Million for Bonus Issue
or Increase in Par Value
23 Authorize up to 2,972,596 Shares for For Against Management
Use in Stock Option Plans
24 Authorize up to 2,972,596 Shares for For Against Management
Use in Restricted Stock Plans
25 Authorize Issuance of 850,000 Warrants For Against Management
(BSA) Reserved for Non-executive
Directors, Censors, Members of Board
committees, Employees of Subsidiaries
and Consultants
26 Set Total Limit for Capital Increase For For Management
to Result from Issuance Requests Under
Items 23-25 at 3,822,596 Shares
27 Amend Article 12 of Bylaws Re: Board For For Management
Members Deliberation via Written
Consultation
28 Amend Article 18 of Bylaws Re: For For Management
Meetings Quorum, Votes and Majority
29 Authorize Capital Issuances for Use in For For Management
Employee Stock Purchase Plans
--------------------------------------------------------------------------------
CRISPR THERAPEUTICS AG
Ticker: CRSP Security ID: H17182108
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Consolidated Financial For For Management
Statements and Statutory Reports
2 Approve Treatment of Net Loss For For Management
3 Approve Discharge of Board and Senior For For Management
Management
4a Reelect Rodger Novak as Director and For For Management
Board Chairman
4b Reelect Director Samarth Kulkarni For For Management
4c Reelect Director Ali Behbahani For Against Management
4d Reelect Director Bradley Bolzon For Against Management
4e Reelect Director Simeon J. George For For Management
4f Reelect Director John T. Greene For For Management
4g Reelect Director Katherine A. High For Against Management
4h Elect Director Douglas A. Treco For For Management
5a Elect Ali Behbahan as Member of the For For Management
Compensation Committee
5b Reelect Simeon J. George as Member of For For Management
the Compensation Committee
5c Reelect John T. Greene as Member of For For Management
the Compensation Committee
6a Approve Remuneration of Directors in For For Management
the Amount of USD 320,000
6b Approve Remuneration of Directors in For Against Management
the Amount of USD 5,911,650
6c Approve Remuneration of Executive For Against Management
Committee in the Amount of USD
3,393,795
6d Approve Remuneration of Executive For Against Management
Committee in the Amount of USD
2,379,619
6e Approve Remuneration of Executive For Against Management
Committee in the Amount of USD
53,069,700
7 Amend Pool of Conditional Capital for For Against Management
Employee Benefit Plans
8 Amend Omnibus Stock Plan For Against Management
9 Approve CHF 915,548 Increase in For Against Management
Authorized Capital
10 Designate Marius Meier as Independent For For Management
Proxy
11 Ratify Ernst & Young LLP as Auditor For For Management
and Ernst & Young AG as Statutory
Auditor
12 Transact Other Business (Voting) For Against Management
--------------------------------------------------------------------------------
FATE THERAPEUTICS, INC.
Ticker: FATE Security ID: 31189P102
Meeting Date: MAY 01, 2020 Meeting Type: Annual
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Robert S. Epstein For For Management
1.2 Elect Director John D. Mendlein For Withhold Management
1.3 Elect Director Karin Jooss For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
FIRST AMERICAN FUNDS, INC.
Ticker: Security ID: 31846V336
Meeting Date: AUG 29, 2019 Meeting Type: Special
Record Date: JUL 12, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David K. Baumgardner For For Management
1.2 Elect Director Mark E. Gaumond For For Management
1.3 Elect Director Roger A. Gibson For For Management
1.4 Elect Director Jennifer J. McPeek For For Management
1.5 Elect Director C. David Myers For For Management
1.6 Elect Director Richard K. Riederer For For Management
1.7 Elect Director P. Kelly Tompkins For For Management
--------------------------------------------------------------------------------
GILEAD SCIENCES, INC.
Ticker: GILD Security ID: 375558103
Meeting Date: MAY 06, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Jacqueline K. Barton For For Management
1b Elect Director Sandra J. Horning For For Management
1c Elect Director Kelly A. Kramer For For Management
1d Elect Director Kevin E. Lofton For For Management
1e Elect Director Harish Manwani For For Management
1f Elect Director Daniel P. O'Day For For Management
1g Elect Director Richard J. Whitley For For Management
1h Elect Director Per Wold-Olsen For For Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Require Independent Board Chair Against Against Shareholder
5 Eliminate the Ownership Threshold for Against Against Shareholder
Stockholders to Request a Record Date
to Take Action by Written Consent
--------------------------------------------------------------------------------
IOVANCE BIOTHERAPEUTICS, INC.
Ticker: IOVA Security ID: 462260100
Meeting Date: JUN 08, 2020 Meeting Type: Annual
Record Date: APR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Iain Dukes For For Management
1.2 Elect Director Maria Fardis For For Management
1.3 Elect Director Athena Countouriotis For For Management
1.4 Elect Director Ryan Maynard For For Management
1.5 Elect Director Merrill A. McPeak For For Management
1.6 Elect Director Wayne P. Rothbaum For For Management
1.7 Elect Director Michael Weiser For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency For For Management
Every Year
4 Amend Omnibus Stock Plan For For Management
5 Approve Qualified Employee Stock For For Management
Purchase Plan
6 Ratify Marcum LLP as Auditors For For Management
--------------------------------------------------------------------------------
MERCK & CO., INC.
Ticker: MRK Security ID: 58933Y105
Meeting Date: MAY 26, 2020 Meeting Type: Annual
Record Date: MAR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Leslie A. Brun For For Management
1b Elect Director Thomas R. Cech For For Management
1c Elect Director Mary Ellen Coe For For Management
1d Elect Director Pamela J. Craig For For Management
1e Elect Director Kenneth C. Frazier For For Management
1f Elect Director Thomas H. Glocer For For Management
1g Elect Director Risa J. Lavizzo-Mourey For For Management
1h Elect Director Paul B. Rothman For For Management
1i Elect Director Patricia F. Russo For For Management
1j Elect Director Christine E. Seidman For For Management
1k Elect Director Inge G. Thulin For For Management
1l Elect Director Kathy J. Warden For For Management
1m Elect Director Peter C. Wendell For For Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
4 Provide Right to Act by Written Consent Against For Shareholder
5 Report on Corporate Tax Savings Against Against Shareholder
Allocation
--------------------------------------------------------------------------------
MODERNA, INC.
Ticker: MRNA Security ID: 60770K107
Meeting Date: APR 29, 2020 Meeting Type: Annual
Record Date: MAR 02, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Stephen Berenson For Withhold Management
1.2 Elect Director Sandra Horning For For Management
1.3 Elect Director Paul Sagan For Withhold Management
2 Ratify Ernst & Young LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency One Year One Year Management
--------------------------------------------------------------------------------
MORPHOSYS AG
Ticker: MOR Security ID: 617760202
Meeting Date: MAY 27, 2020 Meeting Type: Annual
Record Date: APR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Receive Financial Statements and None None Management
Statutory Reports for Fiscal 2019
(Non-Voting)
2 Approve Discharge of Management Board For For Management
for Fiscal 2019
3 Approve Discharge of Supervisory Board For For Management
for Fiscal 2019
4 Ratify PricewaterhouseCoopers GmbH as For For Management
Auditors for Fiscal 2020
5 Approve Decrease in Size of For For Management
Supervisory Board to Six Members
6a Elect Wendy Johnson to the Supervisory For For Management
Board
6b Elect George Golumbeski to the For For Management
Supervisory Board
6c Elect Michael Brosnan to the For For Management
Supervisory Board
7 Amend Articles Re: Proof of Entitlement For For Management
8 Amend Articles Re: Supervisory Board For For Management
Attendance at General Meetings
9 Approve Remuneration of Supervisory For For Management
Board
10 Approve Creation of EUR 3.3 Million For For Management
Pool of Capital without Preemptive
Rights
11 Approve Stock Option Plan for Key For For Management
Employees; Approve Creation of EUR 1.3
Million Pool of Conditional Capital to
Guarantee Conversion Rights
--------------------------------------------------------------------------------
NEKTAR THERAPEUTICS
Ticker: NKTR Security ID: 640268108
Meeting Date: JUN 17, 2020 Meeting Type: Annual
Record Date: APR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Karin Eastham For For Management
1b Elect Director Myriam J. Curet For For Management
1c Elect Director Howard W. Robin For For Management
2 Amend Omnibus Stock Plan For For Management
3 Amend Qualified Employee Stock For For Management
Purchase Plan
4 Ratify Ernst & Young LLP as Auditors For For Management
5 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
NEXTCURE, INC.
Ticker: NXTC Security ID: 65343E108
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director Judith J. Li For Against Management
1b Elect Director Garry A. Nicholson For For Management
1c Elect Director Stella Xu For Against Management
2 Ratify Ernst & Young LLP as Auditors For For Management
--------------------------------------------------------------------------------
PRECISION BIOSCIENCES, INC.
Ticker: DTIL Security ID: 74019P108
Meeting Date: MAY 13, 2020 Meeting Type: Annual
Record Date: MAR 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Geno Germano For For Management
2 Elect Director Matthew Kane For Withhold Management
3 Elect Director Raymond Schinazi For Withhold Management
4 Ratify Deloitte & Touche LLP as For For Management
Auditors
--------------------------------------------------------------------------------
REGENERON PHARMACEUTICALS, INC.
Ticker: REGN Security ID: 75886F107
Meeting Date: JUN 12, 2020 Meeting Type: Annual
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Elect Director N. Anthony Coles For For Management
1b Elect Director Joseph L. Goldstein For For Management
1c Elect Director Christine A. Poon For For Management
1d Elect Director P. Roy Vagelos For For Management
1e Elect Director Huda Y. Zoghbi For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
3 Amend Omnibus Stock Plan For Against Management
4 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
XENCOR, INC.
Ticker: XNCR Security ID: 98401F105
Meeting Date: JUN 25, 2020 Meeting Type: Annual
Record Date: APR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Bassil I. Dahiyat For For Management
1.2 Elect Director Ellen G. Feigal For For Management
1.3 Elect Director Kevin C. Gorman For For Management
1.4 Elect Director Kurt A. Gustafson For For Management
1.5 Elect Director Yujiro S. Hata For For Management
1.6 Elect Director A. Bruce Montgomery For For Management
1.7 Elect Director Richard J. Ranieri For For Management
1.8 Elect Director Dagmar Rosa-Bjorkeson For For Management
2 Ratify RSM US LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
Y-MABS THERAPEUTICS, INC.
Ticker: YMAB Security ID: 984241109
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: APR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James I. Healy For Withhold Management
1.2 Elect Director Ashutosh Tyagi For Withhold Management
1.3 Elect Director Laura Jean Hamill For For Management
2 Ratify PricewaterhouseCoopers LLP as For For Management
Auditors
--------------------------------------------------------------------------------
ZIOPHARM ONCOLOGY, INC.
Ticker: ZIOP Security ID: 98973P101
Meeting Date: JUN 29, 2020 Meeting Type: Annual
Record Date: MAY 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Christopher Bowden For For Management
1.2 Elect Director Scott Braunstein For Withhold Management
1.3 Elect Director Laurence James Neil For For Management
Cooper
1.4 Elect Director Elan Z. Ezickson For For Management
1.5 Elect Director Heidi Hagen For For Management
1.6 Elect Director Douglas W. Pagan For For Management
1.7 Elect Director Scott Tarriff For For Management
2 Ratify RSM US LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Approve Omnibus Stock Plan For For Management
5 Increase Authorized Common Stock For For Management
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ZYMEWORKS INC.
Ticker: ZYME Security ID: 98985W102
Meeting Date: MAY 07, 2020 Meeting Type: Annual
Record Date: MAR 13, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Hollings C. Renton For Withhold Management
1.2 Elect Director Lota Zoth For Withhold Management
2 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
3 Advisory Vote on Say on Pay Frequency One Year One Year Management
4 Approve KPMG LLP as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
========================== Loncar China BoPharma ETF ===========================
3SBIO, INC.
Ticker: 1530 Security ID: G8875G102
Meeting Date: JUN 19, 2020 Meeting Type: Annual
Record Date: JUN 15, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2A Elect Su Dongmei as Director For For Management
2B Elect Huang Bin as Director For Against Management
2C Elect Tang Ke as Director For For Management
2D Elect Wong Lap Yan as Director For For Management
2E Authorize Board to Fix Remuneration of For For Management
Directors
3 Approve Ernst & Young as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
4A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
4B Authorize Repurchase of Issued Share For For Management
Capital
4C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
ALPHAMAB ONCOLOGY
Ticker: 9966 Security ID: G0330A101
Meeting Date: MAY 25, 2020 Meeting Type: Annual
Record Date: MAY 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Authorize Repurchase of Issued Share For For Management
Capital
3 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
4 Authorize Reissuance of Repurchased For Against Management
Shares
5 Adopt Post-IPO Share Option Scheme For Against Management
6.1 Elect Xu Ting as Director For For Management
6.2 Elect Xu Zhan Kevin as Director For For Management
6.3 Elect Qiu Yu Min as Director For For Management
7 Authorize Board to Fix Remuneration of For For Management
Directors
8 Approve Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
--------------------------------------------------------------------------------
ASCLETIS PHARMA, INC.
Ticker: 1672 Security ID: G0520K109
Meeting Date: JUN 15, 2020 Meeting Type: Annual
Record Date: JUN 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2.1 Elect Yizhen Wei as Director For For Management
2.2 Elect Lin Hua as Director For For Management
2.3 Authorize Board to Fix Remuneration of For For Management
Directors
3 Approve Ernst & Young as Auditor and For For Management
Authorize Board to Fix Their
Remuneration
4 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5 Authorize Repurchase of Issued Share For For Management
Capital
6 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
BEIGENE, LTD.
Ticker: 6160 Security ID: 07725L102
Meeting Date: DEC 27, 2019 Meeting Type: Special
Record Date: NOV 27, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Issuance of Shares Pursuant to For For Management
the Share Purchase Agreement
2 Approve Collaboration Agreement with For For Management
Amgen Inc.
3 Approve the Annual Caps in Relation to For For Management
the Collaboration Agreement
4 Elect Director Anthony C. Hooper For For Management
--------------------------------------------------------------------------------
BEIGENE, LTD.
Ticker: 6160 Security ID: 07725L102
Meeting Date: JUN 17, 2020 Meeting Type: Annual
Record Date: APR 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director John V. Oyler For For Management
2 Elect Director Timothy Chen For For Management
3 Elect Director Jing-Shyh (Sam) Su For For Management
4 Ratify Ernst & Young Hua Ming LLP and For For Management
Ernst & Young as Auditors
5 Authorize the Board of Directors to For For Management
Issue, Allot, or Deal with Unissued
Ordinary Shares and/or American
Depositary Shares
6 Approve Connected Person Placing For For Management
Authorization I
7 Approve Connected Person Placing For For Management
Authorization II
8 Amend Omnibus Stock Plan For Against Management
9 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CANSINO BIOLOGICS INC.
Ticker: 6185 Security ID: Y1099N102
Meeting Date: NOV 29, 2019 Meeting Type: Special
Record Date: OCT 28, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Fulfillment by the Company of For For Management
the Requirements for Initial Public
Offering of A Shares and Listing on
the SSE STAR Market
2.1 Approve Class of New Shares to be For For Management
Issued
2.2 Approve Nominal Value of New Shares to For For Management
be Issued
2.3 Approve Issue Size For For Management
2.4 Approve Method and Schedule of Issuance For For Management
2.5 Approve Target Subscribers For For Management
2.6 Approve Pricing Methodology For For Management
2.7 Approve Issuance Expenses For For Management
2.8 Approve Method of Underwriting For For Management
2.9 Approve Subscription by the Company's For For Management
Senior Management and Core Employees
2.10 Approve Place of listing For For Management
2.11 Approve Validity Period of the For For Management
Resolutions
3 Approve Investment Projects to be For For Management
Funded by the Proceeds Raised from the
Issuance of A Shares and Feasibility
Analysis
4 Authorize Board to Handle All Matters For For Management
in Relation to the Proposed Issuance
of A Shares and the Listing on the SSE
STAR Market
5 Approve Proposal for Accumulated For For Management
Profit Distribution and the Plan for
Undertaking Unrecovered Losses Prior
to the Issuance of A Shares
6 Approve Three-Year Dividend For For Management
Distribution Plan for Shareholders
After Initial Public Offering of A
Shares and Listing on the SSE STAR
Market
7 Approve Share Price Stabilization Plan For For Management
and Restraining Measures Within Three
Years After Initial Public Offering of
A Shares and Listing on the SSE STAR
Market
8 Approve Undertakings and Restraining For For Management
Measures Relating to the Issuance of A
Shares and Listing on the SSE STAR
Market and Authorize Board to Make
Appropriate Undertakings for the
Purpose of the Issuance of A Shares
9 Approve Impact of Dilution on For For Management
Immediate Return by the Initial Public
Offering of A Shares and Adoption of
Recovery Measures
10 Amend Articles of Association in For For Management
Respect of the Issuance of A Share
11 Amend Articles of Association For For Shareholder
12 Approve Amendments to the Company's For For Management
Internal Management Policies
13 Approve Engagement of Professional For For Management
Intermediaries for the Proposed
Issuance of A Shares and Listing and
Authorize Board to Determine the
Relevant Remuneration of the
Aforementioned Intermediaries
14 Approve Uncovered Deficit of the For For Management
Company Amounting to One-Third of the
Total Share Capital
15 Approve Report on the Use of Proceeds For For Shareholder
Raised in Previous Offering
16 Elect Shuifa Gui as Director For For Shareholder
17 Elect Jianzhong Liu as Director For For Shareholder
18 Elect Jiangfeng Li as Supervisor For For Shareholder
--------------------------------------------------------------------------------
CANSINO BIOLOGICS INC.
Ticker: 6185 Security ID: Y1099N102
Meeting Date: NOV 29, 2019 Meeting Type: Special
Record Date: OCT 28, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Fulfillment by the Company of For For Management
the Requirements for Initial Public
Offering of A Shares and Listing on
the SSE STAR Market
2.1 Approve Class of New Shares to be For For Management
Issued
2.2 Approve Nominal Value of New Shares to For For Management
be Issued
2.3 Approve Issue Size For For Management
2.4 Approve Method and Schedule of Issuance For For Management
2.5 Approve Target Subscribers For For Management
2.6 Approve Pricing Methodology For For Management
2.7 Approve Issuance Expenses For For Management
2.8 Approve Method of Underwriting For For Management
2.9 Approve Subscription by the Company's For For Management
Senior Management and Core Employees
2.10 Approve Place of listing For For Management
2.11 Approve Validity Period of the For For Management
Resolutions
3 Approve Investment Projects to be For For Management
Funded by the Proceeds Raised from the
Issuance of A Shares and Feasibility
Analysis
4 Authorize Board to Handle All Matters For For Management
in Relation to the Proposed Issuance
of A Shares and the Listing on the SSE
STAR Market
5 Approve Proposal for Accumulated For For Management
Profit Distribution and the Plan for
Undertaking Unrecovered Losses Prior
to the Issuance of A Shares
6 Approve Three-Year Dividend For For Management
Distribution Plan for Shareholders
After Initial Public Offering of A
Shares and Listing on the SSE STAR
Market
7 Approve Share Price Stabilization Plan For For Management
and Restraining Measures Within Three
Years After Initial Public Offering of
A Shares and Listing on the SSE STAR
Market
8 Approve Undertakings and Restraining For For Management
Measures Relating to the Issuance of A
Shares and Listing on the SSE STAR
Market and Authorize Board to Make
Appropriate Undertakings for the
Purpose of the Issuance of A Shares
9 Approve Impact of Dilution on For For Management
Immediate Return by the Initial Public
Offering of A Shares and Adoption of
Recovery Measures
--------------------------------------------------------------------------------
CANSINO BIOLOGICS INC.
Ticker: 6185 Security ID: Y1099N102
Meeting Date: MAY 15, 2020 Meeting Type: Annual
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Report of the Board of For For Management
Directors
2 Approve 2019 Report of the Board of For For Management
Supervisors
3 Approve 2019 Annual Report For For Management
4 Approve 2019 Financial Accounts Report For For Management
5 Approve 2020 Financial Budget For For Management
6 Approve 2019 Annual Profit For For Management
Distribution Plan
7 Approve PricewaterhouseCoopers Zhong For For Management
Tian LLP as PRC Financial Report
Auditors and PricewaterhouseCoopers as
International Financial Report
Auditors and Authorize Board to Fix
Their Remuneration
8.1 Elect Xuefeng Yu as Director For For Management
8.2 Elect Shou Bai Chao as Director For For Management
8.3 Elect Tao Zhu as Director For For Management
8.4 Elect Dongxu Qiu as Director For For Management
8.5 Elect Qiang Xu as Director For For Management
8.6 Elect Liang Lin as Director For For Management
8.7 Elect Nisa Bernice Wing-Yu Leung as For For Management
Director
8.8 Elect Zhi Xiao as Director For For Management
8.9 Elect Shiu Kwan Danny Wai as Director For For Management
8.10 Elect Zhu Xin as Director For For Management
8.11 Elect Shuifa Gui as Director For For Management
8.12 Elect Jianzhong Liu as Director For For Management
9.1 Elect Jiangfeng Li as Supervisor For For Management
9.2 Elect Jieyu Zou as Supervisor For For Management
10 Approve Remuneration Plan for For For Management
Executive Directors and Non-Executive
Directors
11 Approve Remuneration Plan for For For Management
Independent Non-Executive Directors
12 Approve Remuneration Plan for For For Management
Supervisors
13 Approve New Credit Applications For For Management
14 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights for Domestic Shares,
Unlisted Foreign Shares and H Shares
--------------------------------------------------------------------------------
CASI PHARMACEUTICALS, INC.
Ticker: CASI Security ID: 14757U109
Meeting Date: JUN 16, 2020 Meeting Type: Annual
Record Date: APR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Franklin Salisbury, Jr. For Withhold Management
1.2 Elect Director Y. Alexander Wu For Withhold Management
2 Ratify KPMG Huazhen LLP as Auditors For For Management
3 Advisory Vote to Ratify Named For Against Management
Executive Officers' Compensation
--------------------------------------------------------------------------------
CELLULAR BIOMEDICINE GROUP, INC.
Ticker: CBMG Security ID: 15117P102
Meeting Date: JUN 26, 2020 Meeting Type: Annual
Record Date: APR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director Chun Kwok Alan Au For Withhold Management
1.2 Elect Director Jacky (Gang) Ji For For Management
1.3 Elect Director Tony (Bizuo) Liu For For Management
2 Ratify BDO China Shu Lun Pan Certified For For Management
Public Accountants LLP as Auditors
3 Advisory Vote to Ratify Named For For Management
Executive Officers' Compensation
4 Advisory Vote on Say on Pay Frequency Three One Year Management
Years
--------------------------------------------------------------------------------
CHINA GRAND PHARMACEUTICAL & HEALTHCARE HOLDINGS LTD.
Ticker: 512 Security ID: G210A7101
Meeting Date: JUN 19, 2020 Meeting Type: Annual
Record Date: JUN 15, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a Elect Liu Chengwei as Director For For Management
3b Elect Hu Bo as Director For For Management
3c Elect Pei Geng as Director For For Management
3d Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve HLB Hodgson Impey Cheng For For Management
Limited as Auditors and Authorize
Board to Fix Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Issued Share For For Management
Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CHINA MEDICAL SYSTEM HOLDINGS LTD.
Ticker: 867 Security ID: G21108124
Meeting Date: JUN 04, 2020 Meeting Type: Annual
Record Date: MAY 28, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a Elect Lam Kong as Director For For Management
3b Elect Chen Hongbing as Director For For Management
3c Elect Wu Chi Keung as Director For For Management
3d Elect Luo, Laura Ying as Director For For Management
3e Authorize Board to Fix Remuneration of For For Management
Directors
4 Appoint Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Repurchase of Issued Share For For Management
Capital
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CHINA RESOURCES PHARMACEUTICAL GROUP LIMITED
Ticker: 3320 Security ID: Y1511B108
Meeting Date: JUN 22, 2020 Meeting Type: Annual
Record Date: JUN 15, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3.1 Elect Han Yuewei as Director For For Management
3.2 Elect Li Xiangming as Director For For Management
3.3 Elect Weng Jingwen as Director For For Management
3.4 Elect Yu Zhongliang as Director For Against Management
3.5 Elect Guo Wei as Director For For Management
3.6 Elect Shing Mo Han Yvonne as Director For For Management
3.7 Elect Kwok Kin Fun as Director For For Management
3.8 Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Ernst & Young as Auditor and For For Management
Authorize Board to Fix Their
Remuneration
5 Authorize Repurchase of Issued Share For For Management
Capital
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
CK LIFE SCIENCES INT'L., (HOLDINGS), INC.
Ticker: 775 Security ID: G2176J105
Meeting Date: MAY 14, 2020 Meeting Type: Annual
Record Date: MAY 08, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3.1 Elect Kam Hing Lam as Director For For Management
3.2 Elect Yu Ying Choi, Alan Abel as For Against Management
Director
3.3 Elect Peter Peace Tulloch as Director For For Management
3.4 Elect Paul Joseph Tighe as Director For For Management
4 Approve Deloitte Touche Tohmatsu as For For Management
Auditor and Authorize Board to Fix
Their Remuneration
5.1 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5.2 Authorize Repurchase of Issued Share For For Management
Capital
5.3 Authorize Reissuance of Repurchased For Against Management
Shares
6 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
CSPC PHARMACEUTICAL GROUP LIMITED
Ticker: 1093 Security ID: Y1837N109
Meeting Date: JUN 15, 2020 Meeting Type: Annual
Record Date: JUN 08, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a1 Elect Wang Zhenguo as Director For For Management
3a2 Elect Wang Huaiyu as Director For For Management
3a3 Elect Lu Hua as Director For For Management
3a4 Elect Lee Ka Sze, Carmelo as Director For Against Management
3a5 Elect Chen Chuan as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Deloitte Touche Tohmatsu as For For Management
Auditor and Authorize Board to Fix
Their Remuneration
5 Approve Issuance of Bonus Shares For For Management
6 Authorize Repurchase of Issued Share For For Management
Capital
7 Approve Issuance of Equity or For For Management
Equity-Linked Securities without
Preemptive Rights
8 Approve Grant of Options Under the For Against Management
Share Option Scheme
--------------------------------------------------------------------------------
CSTONE PHARMACEUTICALS CO. LTD.
Ticker: 2616 Security ID: G2588M100
Meeting Date: JUN 23, 2020 Meeting Type: Annual
Record Date: JUN 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2.1 Elect Guobin Zhang as Director For For Management
2.2 Elect Lian Yong Chen as Director For For Management
2.3 Elect Ting Yuk Anthony as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Approve Grant of Options to Frank For Against Management
Ningjun Jiang under the Post-IPO ESOP
6 Approve Grant of Specific Mandate for For Against Management
Issuance of Shares to Frank Ningjun
Jiang
7 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
8 Authorize Repurchase of Issued Share For For Management
Capital
9 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
FIRST AMERICAN FUNDS, INC.
Ticker: Security ID: 31846V336
Meeting Date: AUG 29, 2019 Meeting Type: Special
Record Date: JUL 12, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director David K. Baumgardner For For Management
1.2 Elect Director Mark E. Gaumond For For Management
1.3 Elect Director Roger A. Gibson For For Management
1.4 Elect Director Jennifer J. McPeek For For Management
1.5 Elect Director C. David Myers For For Management
1.6 Elect Director Richard K. Riederer For For Management
1.7 Elect Director P. Kelly Tompkins For For Management
--------------------------------------------------------------------------------
GENSCRIPT BIOTECH CORP.
Ticker: 1548 Security ID: G3825B105
Meeting Date: JUN 01, 2020 Meeting Type: Annual
Record Date: MAY 26, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2A1 Elect Wang Luquan as Director For For Management
2A2 Elect Pan Yuexin as Director For For Management
2A3 Elect Dai Zumian as Director For For Management
2B Authorize Board to Fix Remuneration of For For Management
Directors
3 Approve Ernst & Young as Auditor and For For Management
Authorize Board to Fix Their
Remuneration
4A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
4B Authorize Repurchase of Issued Share For For Management
Capital
4C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
GUANGZHOU BAIYUNSHAN PHARMACEUTICAL HOLDINGS CO., LTD.
Ticker: 874 Security ID: Y2932P106
Meeting Date: NOV 12, 2019 Meeting Type: Special
Record Date: OCT 11, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Guangzhou Pharmaceuticals For For Management
Corporation, a Subsidiary of the
Company, to Conduct Asset-Backed
Securitization of Accounts Receivable
2 Approve Guangzhou Pharmaceuticals For For Management
Corporation, a Subsidiary of the
Company, to Apply for Additional
General Banking Facilities
3 Approve Emoluments to be Paid to Cai For For Shareholder
Ruiyu for Year 2019
--------------------------------------------------------------------------------
GUANGZHOU BAIYUNSHAN PHARMACEUTICAL HOLDINGS CO., LTD.
Ticker: 874 Security ID: Y2932P106
Meeting Date: JAN 13, 2020 Meeting Type: Special
Record Date: DEC 13, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Rules and Procedures Regarding For For Management
Meetings of Board of Directors
2 Approve to Appoint Auditor For For Management
3 Approve to Appoint Internal Auditor For For Management
4 Approve Amendments to Articles of For For Management
Association
5 Elect Yang Jun as Director and For For Management
Authorize Board to Fix His Remuneration
6 Elect Cheng Jinyuan as Supervisor and For For Management
Authorize Board to Fix His Remuneration
--------------------------------------------------------------------------------
GUANGZHOU BAIYUNSHAN PHARMACEUTICAL HOLDINGS CO., LTD.
Ticker: 874 Security ID: Y2932P106
Meeting Date: JUN 29, 2020 Meeting Type: Annual
Record Date: MAY 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association For For Management
2 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
3 Approve 2019 Annual Report and Its For For Management
Summary
4 Approve 2019 Report of the Board of For For Management
Directors
5 Approve 2019 Report of the Supervisory For For Management
Committee
6 Approve 2019 Financial Report For For Management
7 Approve 2019 Auditors' Report For For Management
8 Approve 2019 Profit Distribution and For For Management
Dividend Payment
9.1 Approve Emoluments of Li Chuyuan For For Management
9.2 Approve Emoluments of Cheng Ning For For Management
9.3 Approve Emoluments of Yang Jun For For Management
9.4 Approve Emoluments of Liu Juyan For For Management
9.5 Approve Emoluments of Li Hong For For Management
9.6 Approve Emoluments of Wu Changhai For For Management
9.7 Approve Emoluments of Zhang Chunbo For For Management
9.8 Approve Emoluments of Chu Xiaoping For For Management
9.9 Approve Emoluments of Jiang Wenqi For For Management
9.10 Approve Emoluments of Wong Hin Wing For For Management
9.11 Approve Emoluments of Wang Weihong For For Management
10.1 Approve Emoluments of Cai Ruiyu as For For Management
Chairperson of the Supervisory
Committee
10.2 Approve Emoluments of Gao Yanzhu For For Management
10.3 Approve Emoluments of Cheng Jinyuan For For Management
11 Approve Amounts of Guarantees to For For Management
Secure Bank Loans for Subsidiaries
12 Approve Application for General For For Management
Banking Facilities
13 Approve Entrusted Borrowing and Loans For Against Management
Business Between the Company and its
Subsidiaries
14 Approve Amounts of Bank Borrowing by For For Management
Guangzhou Pharmaceutical Corporation
15 Approve Cash Management of Part of the For For Management
Temporary Internal Idle Funds of the
Company and its Subsidiaries
16 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
17 Approve Emoluments of Cai Ruiyu as For For Shareholder
Supervisor
18.1 Elect Li Chuyuan as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
18.2 Elect Yang Jun as Director and Approve For For Shareholder
the Emoluments to be Paid to him
18.3 Elect Cheng Ning as Director and For For Shareholder
Approve the Emoluments to be Paid to
her
18.4 Elect Liu Juyan as Director and For For Shareholder
Approve the Emoluments to be Paid to
her
18.5 Elect Li Hong as Director and Approve For For Shareholder
the Emoluments to be Paid to him
18.6 Elect Wu Changhai as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
18.7 Elect Zhang Chunbo as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
19.1 Elect Wong Hin Wing as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
19.2 Elect Wang Weihong as Director and For For Shareholder
Approve the Emoluments to be Paid to
her
19.3 Elect Chen Yajin as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
19.4 Elect Huang Min as Director and For For Shareholder
Approve the Emoluments to be Paid to
him
20.1 Elect Gao Yanzhu as Supervisor and For For Shareholder
Approve the Emoluments to be Paid to
her
20.2 Elect Cheng Jinyuan as Supervisor and For For Shareholder
Approve the Emoluments to be Paid to
him
--------------------------------------------------------------------------------
GUANGZHOU BAIYUNSHAN PHARMACEUTICAL HOLDINGS CO., LTD.
Ticker: 874 Security ID: Y2932P106
Meeting Date: JUN 29, 2020 Meeting Type: Special
Record Date: MAY 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association For For Management
2 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
--------------------------------------------------------------------------------
HANSOH PHARMACEUTICAL GROUP CO., LTD.
Ticker: 3692 Security ID: G54958106
Meeting Date: JUN 05, 2020 Meeting Type: Annual
Record Date: JUN 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2a Elect Zhong Huijuan as Director For For Management
2b Elect Lyu Aifeng as Director For Against Management
2c Elect Sun Yuan as Director For Against Management
2d Elect Ma Cuifang as Director For For Management
2e Elect Lin Guoqiang as Director For For Management
2f Elect Chan Charles Sheung Wai as For For Management
Director
2g Elect Yang Dongtao as Director For For Management
2h Authorize Board to Fix Remuneration of For For Management
Directors
3 Approve Ernst & Young as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
4 Authorize Repurchase of Issued Share For For Management
Capital
5 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
HUTCHISON CHINA MEDITECH LTD.
Ticker: HCM Security ID: 44842L103
Meeting Date: APR 27, 2020 Meeting Type: Annual
Record Date: MAR 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2A Re-elect Simon To as Director For Abstain Management
2B Re-elect Christian Hogg as Director For For Management
2C Re-elect Johnny Cheng as Director For For Management
2D Re-elect Dr Weiguo Su as Director For For Management
2E Re-elect Dr Dan Eldar as Director For For Management
2F Re-elect Edith Shih as Director For For Management
2G Re-elect Paul Carter as Director For For Management
2H Re-elect Dr Karen Ferrante as Director For For Management
2I Re-elect Graeme Jack as Director For For Management
2J Re-elect Tony Mok as Director For For Management
3 Reappoint PricewaterhouseCoopers as For For Management
Auditors and Authorise Their
Remuneration
4A Authorise Issue of Equity For For Management
4B Authorise Issue of Equity without For For Management
Pre-emptive Rights
4C Authorise Issue of Equity without For Against Management
Pre-emptive Rights in Connection with
an Equity Raise
4D Authorise Market Purchase of Ordinary For For Management
Shares
5 Amend 2015 Share Option Scheme For Against Management
6 Adopt New Memorandum of Association For For Management
and Articles of Association
--------------------------------------------------------------------------------
INNOVENT BIOLOGICS, INC.
Ticker: 1801 Security ID: G4818G101
Meeting Date: JUN 12, 2020 Meeting Type: Annual
Record Date: JUN 08, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2.1 Elect Ronnie Hao Xi Ede as Director For For Management
2.2 Elect Charles Leland Cooney as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
5 Authorize Repurchase of Issued Share For For Management
Capital
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
INNOVENT BIOLOGICS, INC.
Ticker: 1801 Security ID: G4818G101
Meeting Date: JUN 12, 2020 Meeting Type: Special
Record Date: JUN 08, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1a Approve Grant of Restricted Shares to For Against Management
De-Chao Michael Yu under the RS Plan
1b Authorize Board to Deal with All For Against Management
Matters in Relation to the Grant of
Restricted Shares to De-Chao Michael
Yu under the RS Plan
2a Approve Grant of Restricted Shares to For Against Management
Ronald Hao Xi Ede under the RS Plan
2b Authorize Board to Deal with All For Against Management
Matters in Relation to the Grant of
Restricted Shares to Ronald Hao Xi Ede
under the RS Plan
3a Approve Grant of Restricted Shares to For Against Management
Charles Leland Cooney under the RS Plan
3b Authorize Board to Deal with All For Against Management
Matters in Relation to the Grant of
Restricted Shares to Charles Leland
Cooney under the RS Plan
4a Approve Grant of Restricted Shares to For Against Management
Joyce I-Yin Hsu under the RS Plan
4b Authorize Board to Deal with All For Against Management
Matters in Relation to the Grant of
Restricted Shares to Joyce I-Yin Hsu
under the RS Plan
5a Approve Grant of Restricted Shares to For Against Management
Kaixian Chen under the RS Plan
5b Authorize Board to Deal with All For Against Management
Matters in Relation to the Grant of
Restricted Shares to Kaixian Chen
under the RS Plan
6a Approve Adoption of 2020 RS Plan For Against Management
Limit, 2020 RS Plan Listing Approval,
2020 RS Plan and Related Transactions
6b Approve Grant of Specific Mandate to For Against Management
Issue Shares under the 2020 RS Plan
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: OCT 15, 2019 Meeting Type: Special
Record Date: SEP 13, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Three-Year Continuing For For Management
Connected Transactions Framework
Agreement for 2020-2022, Related
Annual Caps and Related Transactions
2.1 Elect Tian Qiusheng as Director For For Management
2.2 Elect Wong Kam Wa as Director For For Management
3 Approve Increase in Registered Capital For For Management
4 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: DEC 09, 2019 Meeting Type: Special
Record Date: NOV 08, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Grant Thornton (Special For For Management
General Partnership) as Auditor and
Authorize Board to Fix Their
Remuneration
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: FEB 11, 2020 Meeting Type: Special
Record Date: JAN 10, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Medium to Long-Term Business For Against Management
Partner Share Ownership Scheme (Draft)
of the Company and Its Summary
2 Approve Granting Mandate to the Board For Against Management
of Directors to Deal with Matters
Regarding the Medium to Long-Term
Business Partner Share Ownership
Scheme of the Company
3 Approve Shareholders' Return Plan for For For Management
the Three Years (2019-2021)
4 Amend Articles of Association For For Management
5 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: MAR 26, 2020 Meeting Type: Special
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1A Approve Purpose of the Share Repurchase For For Management
1B Approve Price Range of Shares to be For For Management
Repurchased
1C Approve Type, Number and Percentage of For For Management
Shares to be Repurchased
1D Approve Aggregate Amount of Funds Used For For Management
for the Repurchase and the Source of
Funds
1E Approve Share Repurchase Period For For Management
1F Approve Validity Period of the For For Management
Resolution on the Share Repurchase
1G Authorize Board to Deal with All For For Management
Matters in Relation to the Share
Repurchase
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: MAR 26, 2020 Meeting Type: Special
Record Date: MAR 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1A Approve Purpose of the Share Repurchase For For Management
1B Approve Price Range of Shares to be For For Management
Repurchased
1C Approve Type, Number and Percentage of For For Management
Shares to be Repurchased
1D Approve Aggregate Amount of Funds Used For For Management
for the Repurchase and the Source of
Funds
1E Approve Share Repurchase Period For For Management
1F Approve Validity Period of the For For Management
Resolution on the Share Repurchase
1G Authorize Board to Deal with All For For Management
Matters in Relation to the Share
Repurchase
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: MAY 25, 2020 Meeting Type: Annual
Record Date: MAY 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Work Report of the Board For For Management
2 Approve 2019 Work Report of the For For Management
Supervisory Committee
3 Approve 2019 Financial Accounts Report For For Management
4 Approve 2019 Annual Report For For Management
5 Approve Grant Thornton (Special For For Management
General Partnership) as Auditor and
Authorize Board to Fix Their
Remuneration
6 Approve Alteration to Certain Projects For For Management
Invested with Proceeds and Adjustment
to Investment Plan and Utilization of
Part of Proceeds for Permanent
Replenishment of Working Capital
7 Approve 2019 Annual Profit For For Management
Distribution Plan
8 Approve Facility Financing and For For Management
Provision of Financing Guarantees to
Its Subsidiaries
9 Approve Provision of Financing For For Management
Guarantees to Livzon MAB
10 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
11A Approve the Purpose of the Share For For Management
Repurchase
11B Approve the Price Range of Shares to For For Management
be Repurchased
11C Approve the Type, Number and For For Management
Percentage of Shares to be Repurchased
11D Approve the Aggregate Amount of Funds For For Management
Used for the Repurchase and the Source
of Funds
11E Approve the Share Repurchase Period For For Management
11F Approve the Validity Period of the For For Management
Resolution on the Share Repurchase
11G Approve Specific Authorization for the For For Management
Board of Directors to Handle Matters
Relating to the Share Repurchase
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: MAY 25, 2020 Meeting Type: Special
Record Date: MAY 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1A Approve the Purpose of the Share For For Management
Repurchase
1B Approve the Price Range of Shares to For For Management
be Repurchased
1C Approve the Type, Number and For For Management
Percentage of Shares to be Repurchased
1D Approve the Aggregate Amount of Funds For For Management
Used for the Repurchase and the Source
of Funds
1E Approve the Share Repurchase Period For For Management
1F Approve the Validity Period of the For For Management
Resolution on the Share Repurchase
1G Approve Specific Authorization for the For For Management
Board of Directors to Handle Matters
Relating to the Share Repurchase
--------------------------------------------------------------------------------
LIVZON PHARMACEUTICAL GROUP INC.
Ticker: 1513 Security ID: Y52889105
Meeting Date: JUN 30, 2020 Meeting Type: Special
Record Date: JUN 23, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Zhu Baoguo as Director For For Management
1.2 Elect Tao Desheng as Director For For Management
1.3 Elect Qiu Qingfeng as Director For For Management
1.4 Elect Yu Xiong as Director For For Management
1.5 Elect Tang Yanggang as Director For For Management
1.6 Elect Xu Guoxiang as Director For For Management
2.1 Elect Bai Hua as Director For For Management
2.2 Elect Zheng Zhihua as Director For For Management
2.3 Elect Xie Yun as Director For For Management
2.4 Elect Tian Qiusheng as Director For For Management
2.5 Elect Wong Kam Wa as Director For For Management
3.1 Elect Huang Huamin as Supervisor For For Management
3.2 Elect Tang Yin as Supervisor For For Management
4 Approve the Director's Fee For For Management
5 Approve the Supervisor's Fee For For Management
--------------------------------------------------------------------------------
LUYE PHARMA GROUP LTD.
Ticker: 2186 Security ID: G57007109
Meeting Date: JAN 22, 2020 Meeting Type: Special
Record Date: JAN 16, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Sale and Purchase Agreement For For Management
and Related Transactions
--------------------------------------------------------------------------------
LUYE PHARMA GROUP LTD.
Ticker: 2186 Security ID: G57007109
Meeting Date: JUN 23, 2020 Meeting Type: Annual
Record Date: JUN 17, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a Elect Yuan Hui Xian as Director For For Management
3b Elect Zhu Yuan Yuan as Director For For Management
3c Elect Song Rui Lin as Director For For Management
3d Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Ernst & Young as Auditor and For For Management
Authorize Board to Fix Their
Remuneration
5A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5B Authorize Repurchase of Issued Share For For Management
Capital
5C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
PHARMARON BEIJING CO., LTD.
Ticker: 3759 Security ID: Y989K6119
Meeting Date: APR 08, 2020 Meeting Type: Special
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Increase in Registered Capital For For Management
2 Approve Amendments to Articles of For For Management
Association
3 Authorize Board to Deal with All For For Management
Matters in Relation to the Increase in
Registered Capital and Amendments to
Articles of Association
4 Approve Investment Products Quota For For Management
5 Approve Foreign Exchange Hedging Quota For For Management
--------------------------------------------------------------------------------
PHARMARON BEIJING CO., LTD.
Ticker: 3759 Security ID: Y989K6119
Meeting Date: APR 08, 2020 Meeting Type: Special
Record Date: MAR 06, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Increase in Registered Capital For For Management
--------------------------------------------------------------------------------
PHARMARON BEIJING CO., LTD.
Ticker: 3759 Security ID: Y989K6119
Meeting Date: MAY 28, 2020 Meeting Type: Annual
Record Date: APR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Work Report of the Board For For Management
of Directors
2 Approve 2019 Work Report of the For For Management
Supervisory Committee
3 Approve 2019 Financial Statements For For Management
4 Approve 2019 Profit Distribution Plan For For Management
5 Approve 2019 Annual Report and Annual For For Management
Results Announcement
6 Approve 2020 Remuneration of the For For Management
Directors
7 Approve 2020 Remuneration of the For For Management
Supervisors
8 Approve Engagement of Domestic Auditor For For Management
9 Approve Engagement of International For For Management
Auditor
10 Approve 2020 Guarantees Quota For For Management
11 Approve 2020 Investment Products Quota For Against Management
12 Approve 2020 Foreign Exchange Hedging For For Management
Quota
13 Approve Subscription of Liability For For Management
Insurance for Directors, Supervisors
and Senior Management
--------------------------------------------------------------------------------
SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD.
Ticker: 2196 Security ID: Y7687D109
Meeting Date: OCT 21, 2019 Meeting Type: Special
Record Date: SEP 20, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Transaction Agreement, For For Management
Rollover Agreement and Related
Transactions
2 Approve Renewal of Continuing For Against Management
Connected Transactions
--------------------------------------------------------------------------------
SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD.
Ticker: 2196 Security ID: Y7687D109
Meeting Date: DEC 30, 2019 Meeting Type: Special
Record Date: NOV 29, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Compliance of the Overseas For For Management
Listing of Gland Pharma with the
Circular on Issues in Relation to
Regulating Overseas Listing of
Subsidiaries of Domestic Listed
Companies
2.1 Approve Issuing Entity For For Management
2.2 Approve Placing of Listing For For Management
2.3 Approve Type of Securities to be Listed For For Management
2.4 Approve Nominal Value For For Management
2.5 Approve Target Subscribers For For Management
2.6 Approve Listing Date For For Management
2.7 Approve Method of Issuance For For Management
2.8 Approve Size of Issuance For For Management
2.9 Approve Pricing Method For For Management
2.10 Approve Underwriting For For Management
2.11 Approve Use of Proceeds For For Management
2.12 Approve Public Offering Arrangement of For For Management
the Shares of Gland Pharma Held by the
Company
3 Approve Undertaking of Maintaining For For Management
Independent Listing Status
4 Approve Description of the Sustainable For For Management
Profitability and Prospects
5 Authorize Board and its Authorized For For Management
Persons to Deal with Full Discretion
with the Overseas Listing of Gland
Pharma and Related Matters
--------------------------------------------------------------------------------
SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD.
Ticker: 2196 Security ID: Y7687D109
Meeting Date: MAY 28, 2020 Meeting Type: Special
Record Date: APR 27, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association For For Management
2 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
3.1 Approve Issuing Entity For For Management
3.2 Approve Type of Securities to be Issued For For Management
3.3 Approve Par Value of Shares For For Management
3.4 Approve Size of Issuance For For Management
3.5 Approve Target Subscribers For For Management
3.6 Approve Issuance Price and Pricing For For Management
Methodology
3.7 Approve Method of Issuance For For Management
3.8 Approve Place of Listing For For Management
3.9 Approve Time of Issuance and Listing For For Management
3.10 Approve Use of Proceeds of the Issuance For For Management
4 Authorize Board to Deal with All For For Management
Matters in Relation to the Proposed
Shanghai Henlius Listing
5 Approve Mutual Supply Framework For For Management
Agreement and Related Transactions
6 Approve Estimates of Ongoing Related For Against Management
Party Transactions for 2020
--------------------------------------------------------------------------------
SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD.
Ticker: 2196 Security ID: Y7687D109
Meeting Date: JUN 30, 2020 Meeting Type: Annual
Record Date: JUN 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Annual Report For For Management
2 Approve 2019 Work Report of the Board For For Management
3 Approve 2019 Work Report of the For For Management
Supervisory Committee
4 Approve 2019 Final Accounts Report For For Management
5 Approve 2019 Profit Distribution For For Management
Proposal
6 Approve Ernst & Young Hua Ming LLP as For For Management
PRC Financial Report and Internal
Control Report Auditors and Ernst &
Young as International Financial
Report Auditors and Authorize Board to
Fix Their Remuneration
7 Approve 2019 Appraisal Results and For For Management
Remuneration of Directors
8 Approve 2020 Appraisal Program of For For Management
Directors
9 Approve Renewed and Additional For For Management
Entrusted Loan/Borrowing Quota of the
Group
10 Approve Additional Bank Credit For For Management
Applications
11 Approve Mandate to Issue Interbank For For Management
Market Debt Financing Instruments
12 Authorize Management to Dispose of the For For Management
Shares of the Listed Companies Held by
the Group
13 Approve Renewed and Additional For For Management
Guarantee Quota of the Group
14 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights for A Shares and/or
H Shares
15 Authorize Repurchase of Issued H Share For For Management
Capital
16 Authorize Repurchase of Issued A Share For For Management
Capital
17.1 Elect Gong Ping as Director For For Management
17.2 Elect Pan Donghui as Director For For Management
--------------------------------------------------------------------------------
SHANGHAI FOSUN PHARMACEUTICAL (GROUP) CO., LTD.
Ticker: 2196 Security ID: Y7687D109
Meeting Date: JUN 30, 2020 Meeting Type: Special
Record Date: JUN 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Repurchase of Issued H Share For For Management
Capital
2 Authorize Repurchase of Issued A Share For For Management
Capital
--------------------------------------------------------------------------------
SHANGHAI HAOHAI BIOLOGICAL TECHNOLOGY CO., LTD.
Ticker: 6826 Security ID: Y7690W102
Meeting Date: FEB 14, 2020 Meeting Type: Special
Record Date: JAN 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Utilization of Part of the For For Management
Over Subscription Proceeds for
Permanent Replenishment of Working
Capital
2 Approve Purchase of Liability For For Management
Insurance for Directors, Supervisors
and Senior Management of the Company
3 Approve Grant of General Mandate to For For Management
Repurchase H Shares of the Company
--------------------------------------------------------------------------------
SHANGHAI HAOHAI BIOLOGICAL TECHNOLOGY CO., LTD.
Ticker: 6826 Security ID: Y7690W102
Meeting Date: FEB 14, 2020 Meeting Type: Special
Record Date: JAN 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Grant of General Mandate to For For Management
Repurchase H Shares of the Company
--------------------------------------------------------------------------------
SHANGHAI HAOHAI BIOLOGICAL TECHNOLOGY CO., LTD.
Ticker: 6826 Security ID: Y7690W102
Meeting Date: JUN 29, 2020 Meeting Type: Annual
Record Date: MAY 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Work Report of the Board For For Management
of Directors
2 Approve 2019 Work Report of the For For Management
Supervisory Committee
3 Approve 2019 Financial Reports For For Management
4 Approve 2019 Profit Distribution Plan For For Management
5 Approve Appointment of Auditors and For For Management
Internal Control Auditor
6 Approve Remuneration of Directors and For For Management
Supervisors
7.1 Elect Su Zhi as Director For For Management
7.2 Elect Jiang Zhihong as Director For For Management
7.3 Elect Zhao Lei as Director For For Management
7.4 Elect Li Yingqi as Director For For Management
7.5 Elect Yang Yushe as Director For For Management
8 Approve Change in Use of the Over For For Management
Subscription Proceeds and the
Utilization of the Surplus Over
Subscription Proceeds for Investing in
Jianhua Biological Fengxian-Base
Project
9 Amend Articles of Association For For Management
10 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
11 Authorize Repurchase of Issued H Share For For Management
Capital
--------------------------------------------------------------------------------
SHANGHAI HAOHAI BIOLOGICAL TECHNOLOGY CO., LTD.
Ticker: 6826 Security ID: Y7690W102
Meeting Date: JUN 29, 2020 Meeting Type: Special
Record Date: MAY 29, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Authorize Repurchase of Issued H Share For For Management
Capital
--------------------------------------------------------------------------------
SHANGHAI JUNSHI BIOSCIENCES CO., LTD.
Ticker: 1877 Security ID: Y768ER100
Meeting Date: SEP 23, 2019 Meeting Type: Special
Record Date: AUG 16, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Resolutions in Relation to For For Management
Each Related Party Transaction of the
Company in the Reporting Period (2016,
2017, 2018 and January-March 2019)
1.1 Approve Related Party Transactions for For For Management
the Purchase and Sale of Goods,
Provision and Acceptance of Labour
Services
1.2 Approve Condition of Related Leases For For Management
1.3 Approve Key Management Personnel For For Management
Compensation
1.4 Approve Incidental Related Party For For Management
Transactions
2 Approve Uncovered Deficit of the For For Management
Company Amounting to One Third of the
Total Share Capital
3 Approve External Investment in Respect For Against Management
of the Subscription of Registered
Capital of Shanghai Ruotuo
Biotechnology Co., Ltd, Agreement with
Anwita Biosciences, Inc. and Related
Party Transaction
4 Approve Drug Combination Clinical For For Management
Research Cooperation Agreement with an
Associate, Suzhou Sinovent
Pharmaceuticals Co., Ltd
5 Approve Resolutions in Relation to For For Management
Each Related Party Transaction
5.1 Approve Lending From a Related Party For For Management
Shenzhen Qianhai Hehong Investment Co.
, Ltd
5.2 Approve Cooperation Agreement on For For Management
Combination of PD-1 Antibody JS001
with JAB-3068 with a Related Party
Jacobio Pharmaceuticals Co., Ltd.
6 Approve Change of PRC Registered For For Management
Address and Contact Details of the
Company and Amend Articles of
Association
--------------------------------------------------------------------------------
SHANGHAI JUNSHI BIOSCIENCES CO., LTD.
Ticker: 1877 Security ID: Y768ER100
Meeting Date: FEB 03, 2020 Meeting Type: Special
Record Date: JAN 03, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Capital Injection For For Management
2 Amend Articles of Association and For For Management
Rules and Procedures Regarding General
Meetings of Shareholders
3 Approve Application for Delisting of For For Management
Domestic Shares of the Company
4 Authorize Board to Deal with All For For Management
Matters in Relation to the Application
for Delisting of Domestic Shares
5 Approve Protective Measures in For For Management
Relation to the Delisting of Domestic
Shares
6 Approve Ratification of Related Party For For Management
Transaction in 2018
--------------------------------------------------------------------------------
SHANGHAI JUNSHI BIOSCIENCES CO., LTD.
Ticker: 1877 Security ID: Y768ER100
Meeting Date: MAY 11, 2020 Meeting Type: Annual
Record Date: APR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Annual Report For For Management
2 Approve 2019 Report of the Board of For For Management
Directors
3 Approve 2019 Report of the Board of For For Management
Supervisors
4 Approve 2019 Financial Accounts Report For For Management
5 Approve 2020 Financial Budget Report For For Management
6 Approve 2019 Profit Distribution Plan For For Management
7 Approve RSM China as PRC Auditor and For For Management
Deloitte Touche Tohmatsu as Hong Kong
Auditor and Authorize Board to Fix
Their Remuneration
8 Approve Execution of 2019 Ordinary For For Management
Related Party Transactions
9 Approve 2020 Estimate of the Related For For Management
Party Transactions
10 Approve Uncovered Deficit of the For For Management
Company Amounting to One-Third of the
Total Share Capital
11 Approve New or Extended Bank Credit For For Management
Lines for 2020
12 Approve Adjustments to the For For Management
Remuneration of Directors and Senior
Management
13 Approve the Signing of the Drug For For Management
Combination Agreement with a Related
Party
14 Approve New or Renewal of External For Against Management
Guarantee Quota
15 Approve the Grant of the General For Against Management
Mandate of Issue of Domestic and/or
Overseas Debt Financing Instruments
16 Approve the Extension of the For For Management
Resolutions in Relation to the Initial
Public Offering and Listing of the
Renminbi Ordinary shares (A shares) of
the Company on the STAR Market
17 Approve the Extension of the Validity For For Management
Period of the Authorization to the
Board of Directors to Fully Handle
Matters in Connection with the Initial
Public Offering and Listing of the
Renminbi Ordinary Shares (A shares) of
the Company on the STAR Market
18 Approve Proposed Amendments to the For Against Management
Share Incentive Scheme
--------------------------------------------------------------------------------
SHANGHAI JUNSHI BIOSCIENCES CO., LTD.
Ticker: 1877 Security ID: Y768ER100
Meeting Date: MAY 11, 2020 Meeting Type: Special
Record Date: APR 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve the Extension of the For For Management
Resolutions in Relation to the Initial
Public Offering and Listing of the
Renminbi Ordinary Shares (A Shares) of
the Company on the STAR Market
2 Approve the Extension of the Validity For For Management
Period of the Authorization to the
Board of Directors to Fully Handle
Matters in Connection with the Initial
Public Offering and Listing of the
Renminbi Ordinary shares (A Shares) of
the Company on the STAR Market
3 Approve Proposed Amendments to the For Against Management
Share Incentive Scheme
--------------------------------------------------------------------------------
SHANGHAI JUNSHI BIOSCIENCES CO., LTD.
Ticker: 1877 Security ID: Y768ER100
Meeting Date: JUN 19, 2020 Meeting Type: Special
Record Date: MAY 19, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Zhang Chun as Director For For Management
2 Approve Strategic Allotment to the For For Management
Collective Management Plan
--------------------------------------------------------------------------------
SHANGHAI PHARMACEUTICALS HOLDING CO., LTD.
Ticker: 2607 Security ID: Y7685S108
Meeting Date: DEC 18, 2019 Meeting Type: Special
Record Date: DEC 09, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Share Option Scheme For For Management
2 Approve Assessment Measure for the For For Management
Implementation of the 2019 Share
Option Scheme
3 Authorize Board to Deal with All For For Management
Matters in Relation to the 2019 Share
Option Scheme
--------------------------------------------------------------------------------
SHANGHAI PHARMACEUTICALS HOLDING CO., LTD.
Ticker: 2607 Security ID: Y7685S108
Meeting Date: DEC 18, 2019 Meeting Type: Special
Record Date: DEC 09, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Share Option Scheme For For Management
2 Approve Assessment Management Measures For For Management
for the Implementation of the 2019
Share Option Scheme
3 Authorize Board to Deal with All For For Management
Matters in Relation to the 2019 Share
Option Scheme
--------------------------------------------------------------------------------
SHANGHAI PHARMACEUTICALS HOLDING CO., LTD.
Ticker: 2607 Security ID: Y7685S108
Meeting Date: JUN 23, 2020 Meeting Type: Annual
Record Date: JUN 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Annual Report For For Management
2 Approve 2019 Report of the Board of For For Management
Directors
3 Approve 2019 Report of the Board of For For Management
Supervisors
4 Approve 2019 Final Accounts Report and For For Management
2020 Financial Budget
5 Approve 2019 Profit Distribution Plan For For Management
6 Approve PricewaterhouseCoopers Zhong For For Management
Tian LLP as Domestic Auditor and
Authorize Board to Fix Their
Remuneration
7 Approve External Guarantees for 2020 For Against Management
8 Approve Issuance of Debt Financing For For Management
Products
9 Approve Satisfaction of Conditions for For For Management
Issuing Corporate Bonds
10.01 Approve Face Value of Bonds to be For For Management
Issued and Scale of Issuance
10.02 Approve Issuing Price of Bonds and the For For Management
Way to Determine Interest Rate
10.03 Approve Variety and Term of Bonds For For Management
10.04 Approve Way of Principal and Interest For For Management
Repayment
10.05 Approve Way of Issuance For For Management
10.06 Approve Target of Issuance and For For Management
Arrangement of Placement to
Shareholders of the Company
10.07 Approve Use of Proceeds For For Management
10.08 Approve Guarantees For For Management
10.09 Approve Credit Standing of the Company For For Management
and Measures to Guarantee Repayment
10.10 Approve Way of Underwriting For For Management
10.11 Approve Listing Arrangements For For Management
10.12 Approve Period of Validity of the For For Management
Resolution
10.13 Approve Issuance on Authorizations for For For Management
the Executive Committee of the Board
11 Approve Application for Centralized For Against Management
Registration of Different Types of
Debt Financing Instruments (DFI Model)
12 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
13 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
SHANGHAI PHARMACEUTICALS HOLDING CO., LTD.
Ticker: 2607 Security ID: Y7685S108
Meeting Date: JUN 23, 2020 Meeting Type: Special
Record Date: JUN 12, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
SIHUAN PHARMACEUTICAL HOLDINGS GROUP LTD.
Ticker: 460 Security ID: G8162K113
Meeting Date: JUN 15, 2020 Meeting Type: Annual
Record Date: JUN 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3a1 Elect Kim Jin Ha as Director For For Management
3a2 Elect Tsang Wah Kwong as Director For For Management
3a3 Elect Patrick Sun as Director For For Management
3b Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Ernst & Young as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
5A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
5B Authorize Repurchase of Issued Share For For Management
Capital
5C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
SIHUAN PHARMACEUTICAL HOLDINGS GROUP LTD.
Ticker: 460 Security ID: G8162K113
Meeting Date: JUN 15, 2020 Meeting Type: Special
Record Date: JUN 09, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Sale and Purchase Agreement A, For For Management
Sale and Purchase Agreement B and
Related Transactions
2 Approve Special Cash Dividend and For For Management
Related Transactions
--------------------------------------------------------------------------------
SINO BIOPHARMACEUTICAL LTD.
Ticker: 1177 Security ID: G8167W138
Meeting Date: MAY 26, 2020 Meeting Type: Annual
Record Date: MAY 20, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2 Approve Final Dividend For For Management
3 Elect Cheng Cheung Ling as Director For For Management
4 Elect Tse, Eric S Y as Director For For Management
5 Elect Wang Shanchun as Director For Against Management
6 Elect Tian Zhoushan as Director For For Management
7 Elect Lu Zhengfei as Director For For Management
8 Elect Li Dakui as Director For For Management
9 Authorize Board to Fix Remuneration of For For Management
Director
10 Approve Ernst & Young as Auditors and For For Management
Authorize Board to Fix Their
Remuneration
11A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
11B Authorize Repurchase of Issued Share For For Management
Capital
11C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
SINOPHARM GROUP CO., LTD.
Ticker: 1099 Security ID: Y8008N107
Meeting Date: JUN 11, 2020 Meeting Type: Annual
Record Date: MAY 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Report of the Board of For For Management
Directors
2 Approve 2019 Report of the Supervisory For For Management
Committee
3 Approve 2019 Audited Financial For For Management
Statements of the Company and Its
Subsidiaries and the Auditors' Report
4 Approve Profit Distribution Plan and For For Management
Payment of Final Dividend
5 Authorize Board to Fix Remuneration of For For Management
Directors
6 Authorize Supervisory Committee to Fix For For Management
Remuneration of Supervisors
7 Approve Ernst & Young Hua Ming LLP as For For Management
the Domestic Auditor and Ernst & Young
as the International Auditor and
Authorize Audit Committee of the Board
to Fix Their Remuneration
8 Approve Provision of Guarantees For Against Management
9 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
10 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights for Domestic Shares
and/or H Shares
11 Amend Articles of Association and For For Management
Related Transactions
12 Approve Issuance of Debt Financing For For Management
Instruments and Related Transactions
13 Approve Issuance of Corporate Bonds For For Management
and Related Transactions
14 Elect Feng Rongli as Director and For For Shareholder
Authorize the Chairman of the Board or
Any Executive Director to Enter Into
Service Contract with Her
--------------------------------------------------------------------------------
SINOPHARM GROUP CO., LTD.
Ticker: 1099 Security ID: Y8008N107
Meeting Date: JUN 11, 2020 Meeting Type: Special
Record Date: MAY 11, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
SSY GROUP LIMITED
Ticker: 2005 Security ID: G8406X103
Meeting Date: MAY 22, 2020 Meeting Type: Annual
Record Date: MAY 18, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2A Elect Wang Xianjun as Director For For Management
2B Elect Su Xuejun as Director For For Management
2C Elect Chow Kwok Wai as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve KPMG as Auditor and Authorize For For Management
Board to Fix Their Remuneration
5 Approve Final Dividend For For Management
6A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6B Authorize Repurchase of Issued Share For For Management
Capital
6C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
VIVA BIOTECH HOLDINGS
Ticker: 1873 Security ID: G9390W101
Meeting Date: JUN 10, 2020 Meeting Type: Annual
Record Date: JUN 04, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2a Elect Mao Chen Cheney as Director For For Management
2b Elect Wu Ying as Director For For Management
2c Elect Hua Fengmao as Director For For Management
2d Elect Ren Delin as Director For For Management
2e Elect Mao Jun as Director For For Management
2f Elect Sun Yanyan as Director For For Management
2g Elect Fu Lei as Director For For Management
2h Elect Li Xiangrong as Director For For Management
2i Elect Wang Haiguang as Director For For Management
3 Authorize Board to Fix Remuneration of For For Management
Directors
4 Approve Final Dividend For For Management
5 Approve Ernst & Young Auditors and For For Management
Authorize Board to Fix Their
Remuneration
6A Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
6B Authorize Repurchase of Issued Share For For Management
Capital
6C Authorize Reissuance of Repurchased For Against Management
Shares
--------------------------------------------------------------------------------
WUXI APPTEC CO., LTD.
Ticker: 2359 Security ID: Y971B1118
Meeting Date: SEP 20, 2019 Meeting Type: Special
Record Date: AUG 20, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Amendments to the Business For For Management
Scope
2 Approve 2019 A Share Incentive Plan For Against Management
3 Approve Grant of Restricted A Shares For Against Management
to the Connected Participants
4 Approve List of Grantees Under the For Against Management
Initial Grant of the 2019 A Share
Incentive Plan
5 Approve 2019 Share Appreciation Scheme For For Management
6 Approve Adoption of the Administrative For Against Management
Measures for Appraisal System of the
2019 Share Incentive Schemes
7 Authorize Board to Handle Matters For Against Management
Pertaining to the 2019 Share Incentive
Schemes
8 Approve Change of Registered Capital For For Management
9 Amend Articles of Association For For Management
--------------------------------------------------------------------------------
WUXI APPTEC CO., LTD.
Ticker: 2359 Security ID: Y971B1118
Meeting Date: SEP 20, 2019 Meeting Type: Special
Record Date: AUG 20, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 A Share Incentive Plan For Against Management
2 Approve Grant of Restricted A Shares For Against Management
to the Connected Participants
3 Approve List of Grantees Under the For Against Management
Initial Grant of the 2019 A Share
Incentive Plan
4 Approve Adoption of the Administrative For Against Management
Measures for Appraisal System of the
2019 Share Incentive Schemes
5 Authorize Board to Handle Matters For Against Management
Pertaining to the 2019 Share Incentive
Schemes
--------------------------------------------------------------------------------
WUXI APPTEC CO., LTD.
Ticker: 2359 Security ID: Y971B1118
Meeting Date: NOV 18, 2019 Meeting Type: Special
Record Date: OCT 18, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve List of Incentive Participants For Against Management
--------------------------------------------------------------------------------
WUXI APPTEC CO., LTD.
Ticker: 2359 Security ID: Y971B1118
Meeting Date: MAY 15, 2020 Meeting Type: Annual
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Report of the Board of For For Management
Directors
2 Approve 2019 Report of the Supervisory For For Management
Committee
3 Approve 2019 Annual Report, Annual For For Management
Report Summary and Annual Results
Announcements
4 Approve 2019 Financial Report For For Management
5 Approve Provision of External For Against Management
Guarantees for Subsidiaries
6 Approve Deloitte Touche Tohmatsu (a For For Management
Special General Partnership) as PRC
Financial Report and Internal Control
Report Auditors and Deloitte Touche
Tohmatsu as Offshore Financial Report
Auditors and Authorize Board to Fix
their Remuneration
7 Approve Foreign Exchange Hedging Limit For For Management
8 Approve Remuneration of Directors For For Management
9 Approve Remuneration of Supervisors For For Management
10 Approve the Proposal in Relation to For For Management
the Compliance with Conditions for the
Proposed Non-Public Issuance of A
Shares
11 Approve the Remedial Measures For For Management
Regarding Dilution on Returns for the
Current Period Due to the Proposed
Non-Public Issuance of A Shares
12 Approve the Shareholders' Dividend and For For Management
Return Plan (2020-2022)
13.1 Elect Ge Li as Director For For Management
13.2 Elect Edward Hu as Director For For Management
13.3 Elect Zhaohui Zhang as Director For For Management
13.4 Elect Ning Zhao as Director For For Management
13.5 Elect Xiaomeng Tong as Director For For Management
13.6 Elect Yibing Wu as Director For For Management
13.7 Elect Steve Qing Yang as Director For For Management
14.1 Elect Jiangnan Cai as Director For For Management
14.2 Elect Yan Liu as Director For For Management
14.3 Elect Dai Feng as Director For For Management
14.4 Elect Hetong Lou as Director For For Management
14.5 Elect Xiaotong Zhang as Director For For Management
15.1 Approve Harry Liang He as Supervisor For For Management
15.2 Approve Jichao Wang as Supervisor For For Management
16 Approve 2019 Profit Distribution Plan For For Management
17 Approve Increase in Registered Capital For For Management
18 Approve Amendments to Articles of For For Management
Association
19 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
20 Amend Rules and Procedures Regarding For For Management
Meetings of Board of Directors
21 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights for A Shares and/or
H Shares
22 Authorize Repurchase of Issued A and H For For Management
Share Capital
23.1 Approve Class and Par Value of Shares For For Management
to be Issued
23.2 Approve Method and Time of Issuance For For Management
23.3 Approve Target Subscribers and Method For For Management
of Subscription
23.4 Approve Issue Price and Pricing For For Management
Principles
23.5 Approve Number of A Shares to be Issued For For Management
23.6 Approve Lock-up Period For For Management
23.7 Approve Place of Listing For For Management
23.8 Approve Arrangement for the Retained For For Management
Undistributed Profits Prior to the
Proposed Non-Public Issuance of A
Shares
23.9 Approve Validity Period of the For For Management
Resolutions in Relation to the
Proposed Non-Public Issuance of A
Shares
23.10 Approve Amount and Use of Proceeds For For Management
24 Approve Feasibility Report For For Management
25 Approve the Report on the Use of For For Management
Proceeds from Previous Fund Raising
26 Approve the Authorization to the For For Management
Board, the Chairman and/or Authorized
Persons of the Chairman in Relation to
the Proposed Non-Public Issuance of A
Shares
27 Approve the Proposed Issuance of H For For Management
Shares Under Specific Mandate
--------------------------------------------------------------------------------
WUXI APPTEC CO., LTD.
Ticker: 2359 Security ID: Y971B1118
Meeting Date: MAY 15, 2020 Meeting Type: Special
Record Date: APR 14, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Profit Distribution Plan For For Management
2 Authorize Repurchase of Issued A and H For For Management
Share Capital
3 Approve the Proposed Issuance of H For For Management
Shares Under Specific Mandate
--------------------------------------------------------------------------------
WUXI BIOLOGICS (CAYMAN), INC.
Ticker: 2269 Security ID: G97008109
Meeting Date: JUN 09, 2020 Meeting Type: Annual
Record Date: JUN 03, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports
2a Elect Ge Li as Director For For Management
2b Elect Zhisheng Chen as Director For For Management
3 Elect Kenneth Walton Hitchner III as For For Management
Director
4 Authorize Board to Fix Remuneration of For For Management
Directors
5 Approve Deloitte Touche Tohmatsu as For For Management
Auditors and Authorize Board to Fix
Their Remuneration
6 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
7 Authorize Repurchase of Issued Share For For Management
Capital
8 Authorize Reissuance of Repurchased For Against Management
Shares
9a Approve Grant of Specific Mandate to For Against Management
the Directors to Issue and Allot the
Connected Restricted Shares
9b Authorize Board to Deal with All For Against Management
Matters in Relation to the Issue and
Allotment of the Connected Restricted
Shares Under the Specific Mandate and
Related Transactions
10 Approve Grant of Connected Restricted For Against Management
Shares Pursuant to the Scheme to
Zhisheng Chen
11 Approve Grant of Connected Restricted For Against Management
Shares Pursuant to the Scheme to
Weichang Zhou
12 Approve Grant of Connected Restricted For Against Management
Shares Pursuant to the Scheme to
Edward Hu
13 Approve Grant of Connected Restricted For Against Management
Shares Pursuant to the Scheme to
William Robert Keller
14 Approve Grant of Connected Restricted For Against Management
Shares Pursuant to the Scheme to
Teh-Ming Walter Kwauk
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: OCT 11, 2019 Meeting Type: Special
Record Date: SEP 10, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Distribution of Interim For For Management
Dividends for the Six Months Ended 30
June 2019
2 Elect Zhao Dayao as Director For For Shareholder
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: JAN 22, 2020 Meeting Type: Special
Record Date: NOV 28, 2019
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Sale and Purchase Agreement For For Management
2 Approve Supplemental Agreement between For For Shareholder
the Company and Sunshine Lake Pharma
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: MAR 06, 2020 Meeting Type: Special
Record Date: JAN 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Part Two of the Proposed For For Management
Amendments to the Articles of
Association
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: MAR 06, 2020 Meeting Type: Special
Record Date: JAN 24, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Part One of the Proposed For For Management
Amendments to the Articles of
Association
2 Approve Part Two of the Proposed For For Management
Amendments to the Articles of
Association
3 Amend Rules and Procedures Regarding For For Management
General Meetings of Shareholders
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: JUN 05, 2020 Meeting Type: Annual
Record Date: JUN 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve 2019 Report of the Board of For For Management
Directors
2 Approve 2019 Report of the Board of For For Management
Supervisors
3 Approve 2019 Consolidated Financial For For Management
Statements
4 Approve 2019 Annual Report For For Management
5 Approve KPMG as Auditor and Authorize For Against Management
Board to Fix Their Remuneration
6 Elect Xiang Ling as Director For For Management
7 Approve Proposed Bonus Issue and For For Management
Distribution of 2019 Final Dividend
8 Amend Articles of Association For For Management
9 Approve Issuance of Equity or For Against Management
Equity-Linked Securities without
Preemptive Rights
10 Authorize Repurchase of Issued H Share For For Management
Capital
--------------------------------------------------------------------------------
YICHANG HEC CHANGJIANG PHARMACEUTICAL CO., LTD.
Ticker: 1558 Security ID: Y9828F100
Meeting Date: JUN 05, 2020 Meeting Type: Special
Record Date: JUN 01, 2020
# Proposal Mgt Rec Vote Cast Sponsor
1 Approve Proposed Bonus Issue and For For Management
Distribution of 2019 Final Dividend
2 Authorize Repurchase of Issued H Share For For Management
Capital
========== END NPX REPORT
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) ETF Series Solutions
By (Signature and Title)* /s/ Kristina Nelson
Kristina Nelson, President (principal executive officer)
Date: 8/28/2020