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 C. Bakken, President
Listed Funds Trust c/o U.S.
Bank Global Fund Services
811 E. Wisconsin Ave, 8th
Floor
Milwaukee, WI 53202
REGISTRANT'S TELEPHONE NUMBER: 414-765-4711
DATE OF FISCAL YEAR END: 11/30
DATE OF REPORTING PERIOD: 07/01/2020 - 06/30/2021
Cabot Growth ETF
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ABCELLERA BIOLOGICS, INC. Agenda Number: 935419879
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Security: 00288U106
Meeting Type: Annual
Meeting Date: 15-Jun-2021
Ticker: ABCL
ISIN: CA00288U1066
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of class I Director to serve until Mgmt No vote
the 2024 annual meeting: Veronique Lecault,
Ph.D.
1B. Election of class I Director to serve until Mgmt No vote
the 2024 annual meeting: John Edward Hamer,
Ph.D.
2. To ratify the appointment of KPMG LLP as Mgmt No vote
our independent registered public
accounting firm for the fiscal year ending
December 31, 2021.
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ADAPTIMMUNE THERAPEUTICS PLC Agenda Number: 935403561
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Security: 00653A107
Meeting Type: Annual
Meeting Date: 14-May-2021
Ticker: ADAP
ISIN: US00653A1079
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
O1 To re-elect as a director, Lawrence Alleva, Mgmt No vote
who retires by rotation in accordance with
the Articles of Association.
O2 To re-elect as a director, David Mott, who Mgmt No vote
retires by rotation in accordance with the
Articles of Association.
O3 To re-elect as a director, Elliott Sigal, Mgmt No vote
who retires by rotation in accordance with
the Articles of Association.
O4 To re-appoint KPMG LLP as auditors of the Mgmt No vote
Company, to hold office until the
conclusion of the next annual general
meeting of shareholders.
O5 To authorize the Audit Committee to Mgmt No vote
determine our auditors' remuneration for
the fiscal year ending December 31, 2021.
O6 To adopt the U.K. statutory annual accounts Mgmt No vote
and reports for the fiscal year ended
December 31, 2020 and to note that the
Directors do not recommend the payment of
any dividend for the year ended December
31, 2020.
O7 To approve, on a non-binding, advisory Mgmt No vote
basis, the compensation of the Company's
named executive officers for the year ended
December 31, 2020.
O8 To approve our U.K. statutory directors' Mgmt No vote
remuneration report for the year ended
December 31, 2020 (excluding our directors'
remuneration policy).
O9 To approve our directors' remuneration Mgmt No vote
policy, which, if approved, will take
effect upon conclusion of the Annual
General Meeting.
O10 To authorize the Directors under Section Mgmt No vote
551 of the U.K. Companies Act 2006 (the
"2006 Act") to allot shares or to grant
rights to subscribe for or to convert any
security into shares.
S11 To empower the Directors to allot equity Mgmt No vote
securities for cash pursuant to Section
570(1) of the 2006 Act as if Section 561(1)
of the 2006 Act did not apply to that
allotment.
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BIOMARIN PHARMACEUTICAL INC. Agenda Number: 935385357
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Security: 09061G101
Meeting Type: Annual
Meeting Date: 25-May-2021
Ticker: BMRN
ISIN: US09061G1013
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Jean-Jacques Bienaime Mgmt No vote
Elizabeth M. Anderson Mgmt No vote
Willard Dere Mgmt No vote
Michael Grey Mgmt No vote
Elaine J. Heron Mgmt No vote
Maykin Ho Mgmt No vote
Robert J. Hombach Mgmt No vote
V. Bryan Lawlis Mgmt No vote
Richard A. Meier Mgmt No vote
David E.I. Pyott Mgmt No vote
Dennis J. Slamon Mgmt No vote
2. To ratify the selection of KPMG LLP as the Mgmt No vote
independent registered public accounting
firm for BioMarin for the fiscal year
ending December 31, 2021.
3. To approve, on an advisory basis, the Mgmt No vote
compensation of the Company's Named
Executive Officers as disclosed in the
Proxy Statement.
4. To approve an amendment to the 2017 Equity Mgmt No vote
Incentive Plan, as amended.
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BOMBARDIER INC. Agenda Number: 935375700
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Security: 097751200
Meeting Type: Annual
Meeting Date: 06-May-2021
Ticker: BDRBF
ISIN: CA0977512007
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
Pierre Beaudoin Mgmt No vote
Joanne Bissonnette Mgmt No vote
Charles Bombardier Mgmt No vote
Diane Fontaine Mgmt No vote
Diane Giard Mgmt No vote
Anthony R. Graham Mgmt No vote
August W. Henningsen Mgmt No vote
Melinda Rogers-Hixon Mgmt No vote
Eric Martel Mgmt No vote
Douglas R. Oberhelman Mgmt No vote
Eric Sprunk Mgmt No vote
Antony N. Tyler Mgmt No vote
2 Appointment of Ernst & Young LLP, chartered Mgmt No vote
professional accountants, as independent
auditors.
3 Advisory Vote on the Remuneration of the Mgmt No vote
Executive Officers of Bombardier Inc. The
Board of Directors recommends that
shareholders VOTE FOR the approach to
executive compensation disclosed in the
Management Proxy Circular.
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EQT CORPORATION Agenda Number: 935339033
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Security: 26884L109
Meeting Type: Annual
Meeting Date: 21-Apr-2021
Ticker: EQT
ISIN: US26884L1098
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director for a Term Expiring in Mgmt No vote
2022: Lydia I. Beebe
1B. Election of Director for a Term Expiring in Mgmt No vote
2022: Philip G. Behrman, Ph.D.
1C. Election of Director for a Term Expiring in Mgmt No vote
2022: Lee M. Canaan
1D. Election of Director for a Term Expiring in Mgmt No vote
2022: Janet L. Carrig
1E. Election of Director for a Term Expiring in Mgmt No vote
2022: Kathryn J. Jackson, Ph.D.
1F. Election of Director for a Term Expiring in Mgmt No vote
2022: John F. McCartney
1G. Election of Director for a Term Expiring in Mgmt No vote
2022: James T. McManus II
1H. Election of Director for a Term Expiring in Mgmt No vote
2022: Anita M. Powers
1I. Election of Director for a Term Expiring in Mgmt No vote
2022: Daniel J. Rice IV
1J. Election of Director for a Term Expiring in Mgmt No vote
2022: Toby Z. Rice
1K. Election of Director for a Term Expiring in Mgmt No vote
2022: Stephen A. Thorington
1L. Election of Director for a Term Expiring in Mgmt No vote
2022: Hallie A. Vanderhider
2. Approve a non-binding resolution regarding Mgmt No vote
the compensation of EQT Corporation's named
executive officers for 2020 (say-on-pay).
3. Ratify the appointment of Ernst & Young LLP Mgmt No vote
as EQT Corporation's independent registered
public accounting firm for 2021.
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FORD MOTOR COMPANY Agenda Number: 935364783
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Security: 345370860
Meeting Type: Annual
Meeting Date: 13-May-2021
Ticker: F
ISIN: US3453708600
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Kimberly A. Casiano Mgmt No vote
1B. Election of Director: Anthony F. Earley, Mgmt No vote
Jr.
1C. Election of Director: Alexandra Ford Mgmt No vote
English
1D. Election of Director: James D. Farley, Jr. Mgmt No vote
1E. Election of Director: Henry Ford III Mgmt No vote
1F. Election of Director: William Clay Ford, Mgmt No vote
Jr.
1G. Election of Director: William W. Helman IV Mgmt No vote
1H. Election of Director: Jon M. Huntsman, Jr. Mgmt No vote
1I. Election of Director: William E. Kennard Mgmt No vote
1J. Election of Director: Beth E. Mooney Mgmt No vote
1K. Election of Director: John L. Thornton Mgmt No vote
1L. Election of Director: John B. Veihmeyer Mgmt No vote
1M. Election of Director: Lynn M. Vojvodich Mgmt No vote
1N. Election of Director: John S. Weinberg Mgmt No vote
2. Ratification of Independent Registered Mgmt No vote
Public Accounting Firm.
3. Say-on-Pay - An Advisory Vote to Approve Mgmt No vote
the Compensation of the Named Executives.
4. Relating to Consideration of a Shr No vote
Recapitalization Plan to Provide That All
of the Company's Outstanding Stock Have One
Vote Per Share.
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GRITSTONE ONCOLOGY, INC. Agenda Number: 935416772
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Security: 39868T105
Meeting Type: Annual
Meeting Date: 18-Jun-2021
Ticker: GRTS
ISIN: US39868T1051
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Steve Krognes Mgmt No vote
Elaine Jones, Ph.D. Mgmt No vote
2. The ratification of the selection, by the Mgmt No vote
audit committee of our board of directors,
of Ernst & Young LLP, as our independent
registered public accounting firm for the
year ending December 31, 2021.
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HUBSPOT, INC. Agenda Number: 935406341
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Security: 443573100
Meeting Type: Annual
Meeting Date: 03-Jun-2021
Ticker: HUBS
ISIN: US4435731009
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class I Director to hold office Mgmt No vote
until the 2024 Annual Meeting: Brian
Halligan
1B. Election of Class I Director to hold office Mgmt No vote
until the 2024 Annual Meeting: Ron Gill
1C. Election of Class I Director to hold office Mgmt No vote
until the 2024 Annual Meeting: Jill Ward
2. Ratify the appointment of Mgmt No vote
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2021.
3. Non-binding advisory vote to approve the Mgmt No vote
compensation of the Company's Named
Executive Officers.
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KURA ONCOLOGY, INC. Agenda Number: 935421191
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Security: 50127T109
Meeting Type: Annual
Meeting Date: 22-Jun-2021
Ticker: KURA
ISIN: US50127T1097
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Troy E. Wilson, PhD JD Mgmt No vote
Faheem Hasnain Mgmt No vote
2. To ratify selection of Ernst & Young LLP as Mgmt No vote
our independent registered public
accounting firm for our fiscal year ending
December 31, 2021.
3. Approval, on an advisory basis, of the Mgmt No vote
compensation of our Named Executive
Officers during the year ended December 31,
2020.
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PUBMATIC, INC. Agenda Number: 935407761
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Security: 74467Q103
Meeting Type: Annual
Meeting Date: 01-Jun-2021
Ticker: PUBM
ISIN: US74467Q1031
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Cathleen Black Mgmt No vote
W. Eric Carlborg Mgmt No vote
Susan Daimler Mgmt No vote
Amar K. Goel Mgmt No vote
Rajeev K. Goel Mgmt No vote
Narendra Gupta Mgmt No vote
2. To ratify the appointment of Deloitte & Mgmt No vote
Touche LLP as our independent registered
accounting firm for the fiscal year ending
December 31, 2021.
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RINGCENTRAL, INC. Agenda Number: 935432207
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Security: 76680R206
Meeting Type: Annual
Meeting Date: 04-Jun-2021
Ticker: RNG
ISIN: US76680R2067
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Vladimir Shmunis Mgmt No vote
Kenneth Goldman Mgmt No vote
Michelle McKenna Mgmt No vote
Robert Theis Mgmt No vote
Allan Thygesen Mgmt No vote
Neil Williams Mgmt No vote
Mignon Clyburn Mgmt No vote
Arne Duncan Mgmt No vote
2. Ratification of the appointment of KPMG LLP Mgmt No vote
as our independent registered public
accounting firm for the year ending
December 31, 2021.
3. To approve, on an advisory (non-binding) Mgmt No vote
basis, the named executive officers'
compensation, as disclosed in the Proxy
Statement.
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TENABLE HOLDINGS, INC. Agenda Number: 935387844
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Security: 88025T102
Meeting Type: Annual
Meeting Date: 25-May-2021
Ticker: TENB
ISIN: US88025T1025
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Arthur W. Coviello, Jr. Mgmt No vote
Kimberly L. Hammonds Mgmt No vote
Jerry M. Kennelly Mgmt No vote
2. To ratify the selection by the Audit Mgmt No vote
Committee of the Board of Directors of
Ernst & Young LLP as the independent
registered public accounting firm of the
Company for the year ending December 31,
2021.
3. To approve, on a non-binding advisory Mgmt No vote
basis, the compensation of the Company's
named executive officers as disclosed in
the proxy statement.
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THE TRADE DESK, INC. Agenda Number: 935395271
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Security: 88339J105
Meeting Type: Annual
Meeting Date: 27-May-2021
Ticker: TTD
ISIN: US88339J1051
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
David R. Pickles Mgmt No vote
Gokul Rajaram Mgmt No vote
2. The ratification of the appointment of Mgmt No vote
PricewaterhouseCoopers LLP ("PwC") as our
independent registered public accounting
firm for the fiscal year ending December
31, 2021.
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VARONIS SYSTEMS, INC. Agenda Number: 935385345
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Security: 922280102
Meeting Type: Annual
Meeting Date: 25-May-2021
Ticker: VRNS
ISIN: US9222801022
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Gili Iohan Mgmt No vote
Rachel Prishkolnik Mgmt No vote
Ofer Segev Mgmt No vote
2. To approve, on a non-binding basis, the Mgmt No vote
executive compensation of our named
executive officers.
3. To ratify the appointment of Kost Forer Mgmt No vote
Gabbay & Kasierer, a member of Ernst &
Young Global Limited, as the independent
registered public accounting firm of the
Company for 2021.
* 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 C. Bakken
Name Gregory C. Bakken
Title President
Date 08/27/2021