UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT
COMPANY
INVESTMENT COMPANY ACT FILE NUMBER: 811-23226
NAME OF REGISTRANT: Listed Funds Trust
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street
Milwaukee, WI 53202
NAME AND ADDRESS OF AGENT FOR SERVICE: Gregory Bakken, President/Principal
Executive Officer
Listed Funds Trust
c/o U.S. Bancorp Fund Services, LLC
811 East Wisconsin Avenue
Milwaukee, WI 53202
REGISTRANT'S TELEPHONE NUMBER: 414-765-4711
DATE OF FISCAL YEAR END: 08/31
DATE OF REPORTING PERIOD: 07/01/2020 - 08/28/2020
EventShares U.S. Legislative Opportunities ETF
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BOOZ ALLEN HAMILTON HOLDING CORPORATION Agenda Number: 935238508
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Security: 099502106
Meeting Type: Annual
Meeting Date: 29-Jul-2020
Ticker: BAH
ISIN: US0995021062
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Ralph W. Shrader Mgmt For For
1B. Election of Director: Joan Lordi C. Amble Mgmt For For
1C. Election of Director: Michele A. Flournoy Mgmt For For
2. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as the Company's registered
independent public accountants for fiscal
year 2021.
3. Advisory vote to approve the compensation Mgmt For For
of the Company's named executive officers.
4. Approval of the adoption of the Fifth Mgmt For For
Amended and Restated Certificate of
Incorporation to, among other things,
eliminate classification of the Board of
Directors.
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CHECK POINT SOFTWARE TECHNOLOGIES LTD. Agenda Number: 935245729
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Security: M22465104
Meeting Type: Annual
Meeting Date: 03-Aug-2020
Ticker: CHKP
ISIN: IL0010824113
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Gil Shwed Mgmt For For
1b. Election of Director: Jerry Ungerman Mgmt For For
1c. Election of Director: Dan Propper Mgmt For For
1d. Election of Director: Dr. Tal Shavit Mgmt For For
1e. Election of Director: Eyal Waldman Mgmt For For
1f. Election of Director: Shai Weiss Mgmt For For
2a. To elect Irwin Federman as outside director Mgmt For For
for an additional three-year term.
2b. To elect Ray Rothrock as outside director Mgmt For For
for an additional three-year term
3. To ratify the appointment and compensation Mgmt For For
of Kost, Forer, Gabbay & Kasierer, a member
of Ernst & Young Global, as our independent
registered public accounting firm for 2020.
4. To approve compensation to Check Point's Mgmt For For
Chief Executive Officer.
5. To amend the Company's non-executive Mgmt For For
director compensation arrangement.
6a. The undersigned is not a controlling Mgmt For
shareholder and does not have a personal
interest in item 2.
6b. The undersigned is not a controlling Mgmt For
shareholder and does not have a personal
interest in item 4.
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CROWDSTRIKE HOLDINGS, INC. Agenda Number: 935223735
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Security: 22788C105
Meeting Type: Annual
Meeting Date: 06-Jul-2020
Ticker: CRWD
ISIN: US22788C1053
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Denis J. O'Leary Mgmt Withheld Against
Joseph E. Sexton Mgmt Withheld Against
Godfrey R. Sullivan Mgmt Withheld Against
2. To ratify the selection of Mgmt For For
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm of the Company for its fiscal year
ending January 31, 2021.
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NV5 GLOBAL, INC. Agenda Number: 935243206
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Security: 62945V109
Meeting Type: Annual
Meeting Date: 22-Aug-2020
Ticker: NVEE
ISIN: US62945V1098
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Dickerson Wright Mgmt For For
Alexander A. Hockman Mgmt For For
MaryJo E. O'Brien Mgmt For For
William D. Pruitt Mgmt For For
Gerald J. Salontai Mgmt For For
Francois Tardan Mgmt For For
Laurie Conner Mgmt For For
2. To ratify the appointment of Deloitte & Mgmt For For
Touche LLP as our independent registered
public accounting firm for the fiscal year
ending January 2, 2021.
3. To conduct a non-binding advisory vote to Mgmt For For
approve the compensation paid to the
Company's named executive officers.
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TERRAFORM POWER INC. Agenda Number: 935245844
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Security: 88104R209
Meeting Type: Annual
Meeting Date: 29-Jul-2020
Ticker: TERP
ISIN: US88104R2094
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To adopt the Plan of Merger set forth as Mgmt For For
Exhibit B to the Reorganization Agreement
referred to below and to approve (i) the
Agreement and Plan of Reorganization, dated
as of March 16, 2020 (as amended from time
to time, the "Reorganization Agreement"),
by and among Brookfield Renewable Partners
L.P., Brookfield Renewable Corporation,
2252876 Alberta ULC, TerraForm Power, Inc.
and TerraForm Power NY Holdings, Inc. and
(ii) the Reincorporation Merger and the
Share Exchange contemplated by the
Reorganization Agreement ("Merger
Proposal")
2a. Election of Director: Brian Lawson Mgmt Against Against
2b. Election of Director: Carolyn Burke Mgmt For For
2c. Election of Director: Christian S. Fong Mgmt For For
2d. Election of Director: Harry Goldgut Mgmt Against Against
2e. Election of Director: Richard Legault Mgmt Against Against
2f. Election of Director: Mark McFarland Mgmt For For
2g. Election of Director: Sachin Shah Mgmt Against Against
3. To ratify the appointment of Ernst & Young Mgmt For For
LLP as TerraForm Power Inc.'s independent
registered public accounting firm for 2020.
4. To ratify, on a non-binding, advisory Mgmt Against Against
basis, the compensation paid to TerraForm
Power Inc.'s named executive officers.
5. To approve the adjournment of the Annual Mgmt For For
Meeting of Stockholders, if necessary, to
solicit additional proxies if there are not
sufficient votes to approve the Merger
Proposal.
* Management position unknown
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) Listed Funds Trust
By (Signature) /s/ Gregory Bakken
Name Gregory Bakken
Title President/Principal Executive Officer
Date 11/11/2020