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: 07/01/2021 - 06/30/2022
Cabot Growth ETF
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AKOUSTIS TECHNOLOGIES, INC. Agenda Number: 935494550
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Security: 00973N102
Meeting Type: Annual
Meeting Date: 28-Oct-2021
Ticker: AKTS
ISIN: US00973N1028
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Steven P. DenBaars Mgmt For For
Arthur E. Geiss Mgmt For For
J. Michael McGuire Mgmt For For
Jeffrey K. McMahon Mgmt For For
Jerry D. Neal Mgmt For For
Suzanne B. Rudy Mgmt For For
Jeffrey B. Shealy Mgmt For For
2. Proposal to approve, on a non-binding, Mgmt For For
advisory basis, the compensation paid to
the Company's named executive officers.
3. Proposal to ratify the appointment of Mgmt For For
Marcum LLP as the Company's independent
registered public accounting firm for the
fiscal year ending June 30, 2022.
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ALIBABA GROUP HOLDING LIMITED Agenda Number: 935484321
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Security: 01609W102
Meeting Type: Annual
Meeting Date: 17-Sep-2021
Ticker: BABA
ISIN: US01609W1027
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Director: JOSEPH C. TSAI (To Mgmt Against Against
serve for a three year term or until such
director's successor is elected or
appointed and duly qualified.)
1.2 Election of Director: J. MICHAEL EVANS (To Mgmt Against Against
serve for a three year term or until such
director's successor is elected or
appointed and duly qualified.)
1.3 Election of Director: E. BoRJE EKHOLM (To Mgmt For For
serve for a three year term or until such
director's successor is elected or
appointed and duly qualified.)
2. Ratify the appointment of Mgmt For For
PricewaterhouseCoopers as the independent
registered public accounting firm of the
Company for the fiscal year ending March
31, 2022.
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CLEANSPARK INC. Agenda Number: 935545890
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Security: 18452B209
Meeting Type: Annual
Meeting Date: 15-Mar-2022
Ticker: CLSK
ISIN: US18452B2097
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Zachary Bradford Mgmt For For
S. Matthew Schultz Mgmt For For
Larry McNeill Mgmt Withheld Against
Dr. Thomas Wood Mgmt Withheld Against
Roger Beynon Mgmt Withheld Against
2. Ratification of Selection of MaloneBailey, Mgmt For For
LLP as our Independent Registered Public
Accounting Firm for the Fiscal Year Ending
September 30, 2022.
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INSEEGO CORP. Agenda Number: 935463896
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Security: 45782B104
Meeting Type: Annual
Meeting Date: 28-Jul-2021
Ticker: INSG
ISIN: US45782B1044
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Christopher Harland Mgmt For For
Christopher Lytle Mgmt For For
2. Ratify the appointment of Marcum LLP as the Mgmt For For
Company's independent registered public
accounting firm for the fiscal year ending
December 31, 2021.
3. Approve, in an advisory vote, the Mgmt For For
compensation paid to the Company's named
executive officers, as presented in the
proxy statement.
4. Approve an amendment of the Company's 2018 Mgmt For For
Omnibus Incentive Compensation Plan to
increase the number of shares issuable
under the plan by 3,000,000 shares.
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MARATHON DIGITAL HOLDINGS INC. Agenda Number: 935466537
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Security: 565788106
Meeting Type: Annual
Meeting Date: 06-Aug-2021
Ticker: MARA
ISIN: US5657881067
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve an increase in the number of Mgmt For For
shares available in the Company's 2018
Equity Incentive Plan by 7,500,000 shares.
2. DIRECTOR
Fred Thiel Mgmt For For
Kevin DeNuccio Mgmt For For
Said Ouissal Mgmt For For
Sarita James Mgmt For For
3. The ratification of the appointment of Mgmt For For
RBSM, LLP, as the Company's independent
registered certified public accountant for
the fiscal year ended December 31, 2021.
4. To transact such other business as may be Mgmt Abstain Against
properly brought before the 2021 Annual
Meeting and any adjournments thereof.
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NANO-X IMAGING LTD. Agenda Number: 935508094
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Security: M70700105
Meeting Type: Annual
Meeting Date: 04-Nov-2021
Ticker: NNOX
ISIN: IL0011681371
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Proposal to approve Kesselman & Kesselman Mgmt For For
(PWC Israel) as independent auditors of the
Company for the fiscal year ending December
31, 2021 and for such additional period
until the next Annual General Meeting of
shareholders and to the authorize the Board
of Directors of the Company to approve
their compensation.
1A. I HAVE A PERSONAL INTEREST: If you do not Mgmt Against
vote YES=FOR or NO=AGAINST the vote on the
corresponding proposal will not count.
2. Proposal to approve the re-election of Mr. Mgmt Against Against
Erez Meltzer as a Class I director to the
Board of Directors of the Company, to hold
office until the Annual General Meeting of
Shareholders of the Company to be held in
2024 or until a successor has been duly
elected, and to approve his compensation as
set out in the Proxy Statement.
2A. I HAVE A PERSONAL INTEREST: If you do not Mgmt Against
vote YES=FOR or NO=AGAINST the vote on the
corresponding proposal will not count.
3. Proposal to approve the re-election of Mgmt For For
Prof. Richard Stone as a Class I director
to the Board of Directors of the Company,
to hold office until the Annual General
Meeting of Shareholders of the Company to
be held in 2024 or until a successor has
been duly elected, and to approve his
compensation as set out in the Proxy
Statement.
3A. I HAVE A PERSONAL INTEREST: If you do not Mgmt Against
vote YES=FOR or NO=AGAINST the vote on the
corresponding proposal will not count.
4. Proposal to approve the employment and Mgmt Against Against
remuneration terms of Mr. Erez Meltzer as
the Company's Chief Executive Officer
effective as set out in the Proxy
Statement.
4A. I HAVE A PERSONAL INTEREST: If you do not Mgmt Against
vote YES=FOR or NO=AGAINST the vote on the
corresponding proposal will not count.
5. With respect to proposals 2 through 4, Mgmt Against
please indicate if you are a Controlling
shareholder, otherwise your votes will not
be counted. YES=FOR or NO=AGAINST
6. With respect to proposals 2 through 4, Mgmt Against
please indicate if you are a Senior office
holder, otherwise your votes will not be
counted. YES=FOR or NO=AGAINST
7. With respect to proposals 2 through 4, Mgmt For
please indicate if you are a Israeli
Institutional Investor, otherwise your
votes will not be counted. YES=FOR or
NO=AGAINST
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POWER & DIGITAL INFRASTRUCTURE ACQ. CORP Agenda Number: 935540509
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Security: 739190106
Meeting Type: Special
Meeting Date: 19-Jan-2022
Ticker: XPDI
ISIN: US7391901060
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Business Combination Proposal - To Mgmt Against Against
consider and vote upon a proposal to
approve the Agreement and Plan of Merger
and Reorganization, dated as of July 20,
2021 (as amended by the First Amendment
thereto, dated as of October 1, 2021, as
further amended by the Second Amendment
thereto, dated as of December 29, 2021, and
as it may be further amended and/or
restated from time to time, the "merger
agreement"), by and among Power & Digital
Infrastructure Acquisition Corp., a
Delaware corporation ...(due to space
limits, see proxy statement for full
proposal).
2. The Charter Proposal - To consider and vote Mgmt Against Against
upon a proposal to adopt the proposed
second amended and restated certificate of
incorporation (the "Proposed Charter") and
the proposed second amended and restated
bylaws (the "Proposed Bylaws") of XPDI
after the merger (referred to herein as
"New Core").
3A. To increase the total number of shares of Mgmt Against Against
all classes of authorized capital stock
from (i) 551,000,000, consisting of (a)
550,000,000 shares of common stock,
including (1) 500,000,000 shares of Class A
common stock, par value $0.0001 per share,
and (2) 50,000,000 shares of Class B common
stock, par value $0.0001 per share, and (b)
1,000,000 shares of preferred stock, par
value $0.0001 per share, to (ii)
12,000,000,000, consisting of (A)
10,000,000,000 shares of common stock, par
value $0.0001 per ...(due to space limits,
see proxy statement for full proposal).
3B. To provide that any amendment to the Mgmt Against Against
Proposed Bylaws will require the approval
of either New Core's board of directors or
the holders of at least 66 2/3% of the
voting power of New Core's then-outstanding
shares of capital stock entitled to vote
generally in an election of directors,
voting together as a single class.
3C. To provide that any amendment to certain Mgmt Against Against
provisions of the Proposed Charter will
require the approval of the holders of at
least 66 2/3% of the voting power of New
Core's then-outstanding shares of capital
stock entitled to vote generally in an
election of directors, voting together as a
single class.
4. The Nasdaq Proposal - To consider and vote Mgmt Against Against
upon a proposal to approve, for purposes of
complying with applicable listing rules of
the Nasdaq: (i) the issuance of shares of
New Core common stock pursuant to the
merger agreement and (ii) the related
change of control of XPDI that will occur
in connection with consummation of the
merger and the other transactions
contemplated by the merger agreement.
5. The Incentive Plan Proposal - To consider Mgmt Against Against
and vote upon a proposal to approve and
adopt the Core Scientific, Inc. 2021 Equity
Incentive Plan.
6. The ESPP Proposal - To consider and vote Mgmt Against Against
upon a proposal to approve and adopt the
Core Scientific, Inc. 2021 Employee Stock
Purchase Plan.
7. The Adjournment Proposal - To consider and Mgmt Against Against
vote upon a proposal to adjourn the Special
Meeting to a later date or dates, if
necessary, to permit further solicitation
and vote of proxies if, based upon the
tabulated vote at the time of the Special
Meeting, there are not sufficient votes to
approve the Business Combination Proposal,
the Charter Proposal, the Governance
Proposals, the Nasdaq Proposal, the
Incentive Plan Proposal or the ESPP
Proposal.
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QORVO, INC. Agenda Number: 935466258
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Security: 74736K101
Meeting Type: Annual
Meeting Date: 10-Aug-2021
Ticker: QRVO
ISIN: US74736K1016
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ralph G. Quinsey Mgmt For For
Robert A. Bruggeworth Mgmt For For
Judy Bruner Mgmt For For
Jeffery R. Gardner Mgmt For For
John R. Harding Mgmt For For
David H. Y. Ho Mgmt For For
Roderick D. Nelson Mgmt For For
Dr. Walden C. Rhines Mgmt For For
Susan L. Spradley Mgmt For For
2. To approve, on an advisory basis, the Mgmt For For
compensation of our Named Executive
Officers (as defined in the proxy
statement).
3. To vote, on an advisory basis, on the Mgmt 1 Year For
frequency of future advisory votes on the
compensation of our Named Executive
Officers.
4. To ratify the appointment of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for the fiscal year ending
April 2, 2022.
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QUANTUMSCAPE CORPORATION Agenda Number: 935521698
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Security: 74767V109
Meeting Type: Annual
Meeting Date: 15-Dec-2021
Ticker: QS
ISIN: US74767V1098
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Jagdeep Singh Mgmt Withheld Against
Frank Blome Mgmt Withheld Against
Brad Buss Mgmt Withheld Against
John Doerr Mgmt Withheld Against
Prof. Dr Jurgen Leohold Mgmt Withheld Against
Justin Mirro Mgmt Withheld Against
Prof. Fritz Prinz Mgmt Withheld Against
Dipender Saluja Mgmt Withheld Against
J.B. Straubel Mgmt Withheld Against
Jens Wiese Mgmt Withheld Against
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for our fiscal year ending
December 31, 2021.
3. Approval of the Extraordinary Performance Mgmt Against Against
Award Program.
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QUOTIENT LIMITED Agenda Number: 935494764
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Security: G73268107
Meeting Type: Annual
Meeting Date: 29-Oct-2021
Ticker: QTNT
ISIN: JE00BLG2ZQ72
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Manuel O. Mendez Mgmt For For
Isabelle Buckle Mgmt For For
Frederick Hallsworth Mgmt For For
Catherine Larue Mgmt For For
Brian McDonough Mgmt For For
Heino von Prondzynski Mgmt For For
Zubeen Shroff Mgmt For For
John Wilkerson Mgmt For For
9. A non-binding, advisory vote on the Mgmt For For
compensation paid to the Company's named
executive officers, as described in the
"Compensation Discussion and Analysis"
section of the Company's proxy statement
and the related compensation tables, notes
and narrative discussion.
10. Proposal to re-appoint Ernst & Young LLP as Mgmt For For
the Company's auditors from the conclusion
of this meeting until the next Annual
General Meeting of the Company to be held
in 2022, to ratify the appointment of Ernst
& Young LLP as the Company's independent
registered public accounting firm and to
authorize the directors to determine the
fees to be paid to the auditors.
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RAFAEL HOLDINGS, INC. Agenda Number: 935530356
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Security: 75062E106
Meeting Type: Annual
Meeting Date: 19-Jan-2022
Ticker: RFL
ISIN: US75062E1064
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Stephen Greenberg Mgmt Against Against
1B. Election of Director: Howard S. Jonas Mgmt Against Against
1C. Election of Director: Rachel Jonas Mgmt Against Against
1D. Election of Director: Shannon Klinger Mgmt For For
1E. Election of Director: Ameet Mallik Mgmt For For
1F. Election of Director: Mark McCamish Mgmt For For
1G. Election of Director: Boris C. Pasche Mgmt Against Against
1H. Election of Director: Michael J. Weiss Mgmt Against Against
2. To ratify the appointment of CohnReznick Mgmt For For
LLP as the Company's independent registered
public accounting firm for the Fiscal Year
ending July 31, 2022.
3. To adopt the Rafael Holdings, Inc. 2021 Mgmt Against Against
Equity Incentive Plan.
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VYNE THERAPEUTICS INC. Agenda Number: 935457475
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Security: 92941V209
Meeting Type: Annual
Meeting Date: 19-Jul-2021
Ticker: VYNE
ISIN: US92941V2097
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
David Domzalski Mgmt Withheld Against
Patrick LePore Mgmt For For
2. To ratify the selection by the Audit Mgmt For For
Committee of the Company's Board of
Directors of PricewaterhouseCoopers LLP as
the independent registered public
accounting firm of the Company for its
fiscal year ending December 31, 2021.
3. To approve and adopt an amendment to the Mgmt For For
Company's Amended and Restated Certificate
of Incorporation to increase the number of
authorized shares of common stock from
75,000,000 to 150,000,000.
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WILDBRAIN LTD. Agenda Number: 935527688
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Security: 96810C101
Meeting Type: Annual and Special
Meeting Date: 16-Dec-2021
Ticker: WLDBF
ISIN: CA96810C1014
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
Karine Courtemanche Mgmt For For
Amanda Cupples Mgmt For For
Deborah Drisdell Mgmt For For
Eric Ellenbogen Mgmt For For
Erin Elofson Mgmt For For
Alan Hibben Mgmt For For
Steven Landry Mgmt For For
Geoffrey Machum Mgmt For For
Thomas McGrath Mgmt For For
Jonathan Whitcher Mgmt For For
Donald Wright Mgmt For For
2 To re-appoint PricewaterhouseCoopers LLP as Mgmt For For
Auditor of the Company for the ensuing year
and authorize the board of directors to fix
the Auditor's remuneration.
3 To affirm, ratify, and approve the Mgmt Against Against
Company's Amended and Restated Omnibus
Equity Incentive Plan (the full text of
which is set out in Appendix "B" of the
management information circular).
4 The undersigned certifies that it has made Mgmt Abstain Against
reasonable inquiries as to the Canadian(1)
status of the registered holder and/or the
beneficial owner of the shares represented
by this form of proxy/VIF and has read the
management information circular enclosed
with this form of proxy/VIF and the
definitions set forth below so as to make
an accurate Declaration of Status. NOTE:
"FOR" = YES, "ABSTAIN" = NO, "AGAINST" WILL
BE TREATED AS NOT MARKED.
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ZIM INTEGRATED SHIPPING SERVICES LTD. Agenda Number: 935523161
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Security: M9T951109
Meeting Type: Special
Meeting Date: 13-Dec-2021
Ticker: ZIM
ISIN: IL0065100930
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Approval of the shortening of the vesting Mgmt For For
period of options granted to the Company's
CEO, Mr. Eli Glickman, pursuant to the
Company's 2018 Share Option Plan.
1A. Do you have a personal interest in the Mgmt Against
approval of Proposal No. 1 or are you a
controlling shareholder of the Company
(please note: if you do not mark either Yes
or No, your shares will not be voted for
Proposal No. 1)? Mark For=yes, No=Against
* 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 08/25/2022