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
Listed Funds Trust c/o U.S.
Bank Global Fund Services
777 East Wisconsin Ave
Milwaukee, WI 53202
REGISTRANT'S TELEPHONE NUMBER: 414-516-3097
DATE OF FISCAL YEAR END: 06/30
DATE OF REPORTING PERIOD: 07/01/2022 - 06/30/2023
Spear Alpha ETF
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ADVANCED MICRO DEVICES, INC. Agenda Number: 935797728
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Security: 007903107
Meeting Type: Annual
Meeting Date: 18-May-2023
Ticker: AMD
ISIN: US0079031078
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Nora M. Denzel Mgmt For For
1b. Election of Director: Mark Durcan Mgmt For For
1c. Election of Director: Michael P. Gregoire Mgmt For For
1d. Election of Director: Joseph A. Householder Mgmt For For
1e. Election of Director: John W. Marren Mgmt For For
1f. Election of Director: Jon A. Olson Mgmt For For
1g. Election of Director: Lisa T. Su Mgmt For For
1h. Election of Director: Abhi Y. Talwalkar Mgmt For For
1i. Election of Director: Elizabeth W. Mgmt For For
Vanderslice
2. Approve of the Advanced Micro Devices, Inc. Mgmt For For
2023 Equity Incentive Plan.
3. Ratify the appointment of Ernst & Young LLP Mgmt For For
as our independent registered public
accounting firm for the current fiscal
year.
4. Advisory vote to approve the executive Mgmt For For
compensation of our named executive
officers.
5. Advisory vote on the frequency of future Mgmt 1 Year For
advisory votes on executive compensation.
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AMAZON.COM, INC. Agenda Number: 935825452
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Security: 023135106
Meeting Type: Annual
Meeting Date: 24-May-2023
Ticker: AMZN
ISIN: US0231351067
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Jeffrey P. Bezos Mgmt For For
1b. Election of Director: Andrew R. Jassy Mgmt For For
1c. Election of Director: Keith B. Alexander Mgmt For For
1d. Election of Director: Edith W. Cooper Mgmt For For
1e. Election of Director: Jamie S. Gorelick Mgmt For For
1f. Election of Director: Daniel P. Mgmt For For
Huttenlocher
1g. Election of Director: Judith A. McGrath Mgmt For For
1h. Election of Director: Indra K. Nooyi Mgmt For For
1i. Election of Director: Jonathan J. Mgmt For For
Rubinstein
1j. Election of Director: Patricia Q. Mgmt For For
Stonesifer
1k. Election of Director: Wendell P. Weeks Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS INDEPENDENT AUDITORS
3. ADVISORY VOTE TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. ADVISORY VOTE ON THE FREQUENCY OF FUTURE Mgmt 1 Year For
ADVISORY VOTES ON EXECUTIVE COMPENSATION
5. REAPPROVAL OF OUR 1997 STOCK INCENTIVE Mgmt For For
PLAN, AS AMENDED AND RESTATED, FOR PURPOSES
OF FRENCH TAX LAW
6. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
RETIREMENT PLAN OPTIONS
7. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
CUSTOMER DUE DILIGENCE
8. SHAREHOLDER PROPOSAL REQUESTING REPORTING Shr Against For
ON CONTENT AND PRODUCT REMOVAL/RESTRICTIONS
9. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
CONTENT REMOVAL REQUESTS
10. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For
REPORTING ON STAKEHOLDER IMPACTS
11. SHAREHOLDER PROPOSAL REQUESTING ALTERNATIVE Shr Against For
TAX REPORTING
12. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For
REPORTING ON CLIMATE LOBBYING
13. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For
REPORTING ON GENDER/RACIAL PAY
14. SHAREHOLDER PROPOSAL REQUESTING AN ANALYSIS Shr Against For
OF COSTS ASSOCIATED WITH DIVERSITY, EQUITY,
AND INCLUSION PROGRAMS
15. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For
AMENDMENT TO OUR BYLAWS TO REQUIRE
SHAREHOLDER APPROVAL FOR CERTAIN FUTURE
AMENDMENTS
16. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For
REPORTING ON FREEDOM OF ASSOCIATION
17. SHAREHOLDER PROPOSAL REQUESTING A NEW Shr Against For
POLICY REGARDING OUR EXECUTIVE COMPENSATION
PROCESS
18. SHAREHOLDER PROPOSAL REQUESTING ADDITIONAL Shr Against For
REPORTING ON ANIMAL WELFARE STANDARDS
19. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For
ADDITIONAL BOARD COMMITTEE
20. SHAREHOLDER PROPOSAL REQUESTING AN Shr Against For
ALTERNATIVE DIRECTOR CANDIDATE POLICY
21. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
WAREHOUSE WORKING CONDITIONS
22. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
PACKAGING MATERIALS
23. SHAREHOLDER PROPOSAL REQUESTING A REPORT ON Shr Against For
CUSTOMER USE OF CERTAIN TECHNOLOGIES
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ANSYS, INC. Agenda Number: 935799621
--------------------------------------------------------------------------------------------------------------------------
Security: 03662Q105
Meeting Type: Annual
Meeting Date: 12-May-2023
Ticker: ANSS
ISIN: US03662Q1058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class III Director for Mgmt For For
Three-Year Terms: Robert M. Calderoni
1b. Election of Class III Director for Mgmt For For
Three-Year Terms: Glenda M. Dorchak
1c. Election of Class III Director for Mgmt For For
Three-Year Terms: Ajei S. Gopal
2. Ratification of the Selection of Deloitte & Mgmt For For
Touche LLP as the Company's Independent
Registered Public Accounting Firm for
Fiscal Year 2023.
3. Advisory Approval of the Compensation of Mgmt For For
Our Named Executive Officers.
4. Advisory Approval of the Frequency of the Mgmt 1 Year For
Advisory Approval of the Compensation of
Our Named Executive Officers.
5. Approval of the Amendment of Article VI of Mgmt For For
the Charter to Declassify the Board.
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CLOUDFLARE, INC. Agenda Number: 935831859
--------------------------------------------------------------------------------------------------------------------------
Security: 18915M107
Meeting Type: Annual
Meeting Date: 01-Jun-2023
Ticker: NET
ISIN: US18915M1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Scott Sandell Mgmt For For
Michelle Zatlyn Mgmt For For
2. Ratification of the appointment of KPMG LLP Mgmt For For
as our independent registered public
accounting firm for our fiscal year ending
December 31, 2023.
3. Approval, on an advisory basis, of the Mgmt For For
compensation of our named executive
officers.
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CROWDSTRIKE HOLDINGS, INC. Agenda Number: 935859112
--------------------------------------------------------------------------------------------------------------------------
Security: 22788C105
Meeting Type: Annual
Meeting Date: 21-Jun-2023
Ticker: CRWD
ISIN: US22788C1053
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Johanna Flower Mgmt For For
Denis J. O'Leary Mgmt For For
Godfrey R. Sullivan Mgmt For For
2. To ratify the selection of Mgmt For For
PricewaterhouseCoopers LLP as CrowdStrike's
independent registered public accounting
firm for its fiscal year ending January 31,
2024.
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DATADOG, INC. Agenda Number: 935835415
--------------------------------------------------------------------------------------------------------------------------
Security: 23804L103
Meeting Type: Annual
Meeting Date: 08-Jun-2023
Ticker: DDOG
ISIN: US23804L1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class I Director, each to hold Mgmt For For
office until our Annual Meeting of
Stockholders in 2026: Olivier Pomel
1b. Election of Class I Director, each to hold Mgmt For For
office until our Annual Meeting of
Stockholders in 2026: Dev Ittycheria
1c. Election of Class I Director, each to hold Mgmt For For
office until our Annual Meeting of
Stockholders in 2026: Shardul Shah
2. Advisory vote to approve the compensation Mgmt For For
of our named executive officers.
3. To ratify the selection by the Audit Mgmt For For
Committee of our Board of Directors of
Deloitte & Touche LLP as our independent
registered public accounting firm for the
fiscal year ending December 31, 2023.
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FORTIVE CORPORATION Agenda Number: 935830958
--------------------------------------------------------------------------------------------------------------------------
Security: 34959J108
Meeting Type: Annual
Meeting Date: 06-Jun-2023
Ticker: FTV
ISIN: US34959J1088
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Eric Branderiz
1b. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Daniel L. Comas
1c. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Sharmistha Dubey
1d. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Rejji P. Hayes
1e. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Wright Lassiter III
1f. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: James A. Lico
1g. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Kate D. Mitchell
1h. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Jeannine P. Sargent
1i. Election of Director to serve for a Mgmt For For
one-year term expiring at the 2024 Annual
Meeting: Alan G. Spoon
2. To approve on an advisory basis Fortive's Mgmt For For
named executive officer compensation.
3. To hold an advisory vote relating to the Mgmt 1 Year For
frequency of future shareholder advisory
votes on Fortive's named executive officer
compensation.
4. To ratify the appointment of Ernst & Young Mgmt For For
LLP as Fortive's independent registered
public accounting firm for the year ending
December 31, 2023.
5. To consider and act upon a shareholder Shr For Against
proposal seeking shareholder ratification
of termination pay.
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FREEPORT-MCMORAN INC. Agenda Number: 935831493
--------------------------------------------------------------------------------------------------------------------------
Security: 35671D857
Meeting Type: Annual
Meeting Date: 06-Jun-2023
Ticker: FCX
ISIN: US35671D8570
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: David P. Abney Mgmt For For
1b. Election of Director: Richard C. Adkerson Mgmt For For
1c. Election of Director: Marcela E. Donadio Mgmt For For
1d. Election of Director: Robert W. Dudley Mgmt For For
1e. Election of Director: Hugh Grant Mgmt For For
1f. Election of Director: Lydia H. Kennard Mgmt For For
1g. Election of Director: Ryan M. Lance Mgmt For For
1h. Election of Director: Sara Grootwassink Mgmt For For
Lewis
1i. Election of Director: Dustan E. McCoy Mgmt For For
1j. Election of Director: Kathleen L. Quirk Mgmt For For
1k. Election of Director: John J. Stephens Mgmt For For
1l. Election of Director: Frances Fragos Mgmt For For
Townsend
2. Approval, on an advisory basis, of the Mgmt For For
compensation of our named executive
officers.
3. Approval, on an advisory basis, of the Mgmt 1 Year For
frequency of future advisory votes on the
compensation of our named executive
officers.
4. Ratification of the appointment of Ernst & Mgmt For For
Young LLP as our independent registered
public accounting firm for 2023.
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GITLAB INC. Agenda Number: 935866927
--------------------------------------------------------------------------------------------------------------------------
Security: 37637K108
Meeting Type: Annual
Meeting Date: 29-Jun-2023
Ticker: GTLB
ISIN: US37637K1088
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Karen Blasing Mgmt For For
Merline Saintil Mgmt For For
Godfrey Sullivan Mgmt For For
2. Ratify the appointment of KPMG LLP as Mgmt For For
GitLab Inc.'s independent registered public
accounting firm for the fiscal year ending
January 31, 2024.
3. Approve, on a non-binding advisory basis, Mgmt For For
the compensation paid by GitLab Inc. to its
named executive officers.
4. Approve, on a non-binding advisory basis, Mgmt 1 Year For
whether future advisory votes on the
compensation paid by GitLab Inc. to its
named executive officers should be held
every one, two, or three years.
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HUBSPOT, INC. Agenda Number: 935837469
--------------------------------------------------------------------------------------------------------------------------
Security: 443573100
Meeting Type: Annual
Meeting Date: 06-Jun-2023
Ticker: HUBS
ISIN: US4435731009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class III Director to hold Mgmt For For
office until the 2026 annual meeting of
stockholders: Nick Caldwell
1b. Election of Class III Director to hold Mgmt For For
office until the 2026 annual meeting of
stockholders: Claire Hughes Johnson
1c. Election of Class III Director to hold Mgmt For For
office until the 2026 annual meeting of
stockholders: Jay Simons
1d. Election of Class III Director to hold Mgmt For For
office until the 2026 annual meeting of
stockholders: Yamini Rangan
2. Ratify the appointment of Mgmt For For
PricewaterhouseCoopers LLP as the Company's
independent registered public accounting
firm for the fiscal year ending December
31, 2023.
3. Non-binding advisory vote to approve the Mgmt For For
compensation of the Company's named
executive officers.
4. Non-binding advisory vote on the frequency Mgmt 1 Year For
of future advisory votes to approve the
compensation of the Company's named
executive officers.
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JD.COM, INC. Agenda Number: 935878605
--------------------------------------------------------------------------------------------------------------------------
Security: 47215P106
Meeting Type: Annual
Meeting Date: 21-Jun-2023
Ticker: JD
ISIN: US47215P1066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. As a special resolution: THAT the Company's Mgmt For
Second Amended and Restated Memorandum of
Association and Articles of Association be
amended and restated by their deletion in
their entirety and by the substitution in
their place of the Third Amended and
Restated Memorandum of Association and
Articles of Association in the form as
attached to the AGM Notice as Exhibit B.
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MARVELL TECHNOLOGY, INC. Agenda Number: 935858463
--------------------------------------------------------------------------------------------------------------------------
Security: 573874104
Meeting Type: Annual
Meeting Date: 16-Jun-2023
Ticker: MRVL
ISIN: US5738741041
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Sara Andrews Mgmt For For
1b. Election of Director: W. Tudor Brown Mgmt For For
1c. Election of Director: Brad W. Buss Mgmt For For
1d. Election of Director: Rebecca W. House Mgmt For For
1e. Election of Director: Marachel L. Knight Mgmt For For
1f. Election of Director: Matthew J. Murphy Mgmt For For
1g. Election of Director: Michael G. Strachan Mgmt For For
1h. Election of Director: Robert E. Switz Mgmt For For
1i. Election of Director: Ford Tamer Mgmt For For
2. An advisory (non-binding) vote to approve Mgmt For For
compensation of our named executive
officers.
3. To conduct an advisory (non-binding) vote Mgmt 1 Year For
on the frequency of holding an advisory
shareholder vote on executive compensation.
4. To ratify the appointment of Deloitte and Mgmt For For
Touche LLP as our independent registered
public accounting firm for the fiscal year
ending February 3, 2024.
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NIO INC Agenda Number: 935694960
--------------------------------------------------------------------------------------------------------------------------
Security: 62914V106
Meeting Type: Annual
Meeting Date: 25-Aug-2022
Ticker: NIO
ISIN: US62914V1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A1. As a special resolution: THAT subject to Mgmt For For
the passing of the Class-based Resolution
(as defined in the Meeting Notice) at each
of the class meeting of holders of the
Class C ordinary shares with a par value of
US$0.00025 each and the annual general
meeting of the Company, each convened on
the same date and at the same place as the
Class A Meeting, the Company's Twelfth
Amended and Restated Memorandum of
Association and Articles of Association in
effect be amended and restated by the
...(due to space limits, see proxy material
for full proposal).
1. As an ordinary resolution: THAT the Mgmt For For
authorised but unissued 132,030,222 Class B
ordinary shares of a par value of
US$0.00025 each of the Company be
redesignated as 132,030,222 Class A
ordinary shares of a par value of
US$0.00025 each of the Company, such that
the authorised share capital of the Company
is US$1,000,000 divided into 4,000,000,000
shares comprising of (i) 2,632,030,222
Class A ordinary shares of a par value of
US$0.00025 each, (ii) 148,500,000 Class C
ordinary shares of a ...(due to space
limits, see proxy material for full
proposal).
2. As an ordinary resolution: to re-appoint Mgmt For For
PricewaterhouseCoopers as the auditor of
the Company to hold office until the
conclusion of the next annual general
meeting of the Company and to authorise the
Board to fix their remuneration for the
year ending December 31, 2022.
3. As a special resolution: THAT subject to Mgmt For For
the passing of the Class-based Resolution
(as defined in the Meeting Notice) at each
of the class meeting of holders of the
Class C ordinary shares with a par value of
US$0.00025 each, each and the class meeting
of holders of Class A ordinary shares with
a par value of US$0.00025 each convened on
the same date and at the same place as the
AGM, the Company's Twelfth Amended and
Restated Memorandum of Association and
Articles of Association in effect ...(due
to space limits, see proxy material for
full proposal).
4. As a special resolution: THAT the Company's Mgmt For For
Twelfth Amended and Restated Memorandum of
Association and Articles of Association in
effect be amended and restated by the
deletion in their entirety and the
substitution in their place of the
Thirteenth Amended and Restated Memorandum
and Articles of Association annexed
Thirteenth Amended and Restated Memorandum
and Articles of Association annexed to this
notice, as more particularly disclosed on
pages 141 to 152 of the Listing Document,
by (a) ...(due to space limits, see proxy
material for full proposal).
5. As a special resolution: THAT the Chinese Mgmt For For
name of the Company be adopted as the dual
foreign name of the Company.
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NVIDIA CORPORATION Agenda Number: 935863224
--------------------------------------------------------------------------------------------------------------------------
Security: 67066G104
Meeting Type: Annual
Meeting Date: 22-Jun-2023
Ticker: NVDA
ISIN: US67066G1040
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Robert K. Burgess Mgmt For For
1b. Election of Director: Tench Coxe Mgmt For For
1c. Election of Director: John O. Dabiri Mgmt For For
1d. Election of Director: Persis S. Drell Mgmt For For
1e. Election of Director: Jen-Hsun Huang Mgmt For For
1f. Election of Director: Dawn Hudson Mgmt For For
1g. Election of Director: Harvey C. Jones Mgmt For For
1h. Election of Director: Michael G. McCaffery Mgmt For For
1i. Election of Director: Stephen C. Neal Mgmt For For
1j. Election of Director: Mark L. Perry Mgmt For For
1k. Election of Director: A. Brooke Seawell Mgmt For For
1l. Election of Director: Aarti Shah Mgmt For For
1m. Election of Director: Mark A. Stevens Mgmt For For
2. Advisory approval of our executive Mgmt For For
compensation.
3. Advisory approval of the frequency of Mgmt 1 Year For
holding an advisory vote on our executive
compensation.
4. Ratification of the selection of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for fiscal year 2024.
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PALO ALTO NETWORKS, INC. Agenda Number: 935732140
--------------------------------------------------------------------------------------------------------------------------
Security: 697435105
Meeting Type: Annual
Meeting Date: 13-Dec-2022
Ticker: PANW
ISIN: US6974351057
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class II Director: Dr. Helene Mgmt For For
D. Gayle
1b. Election of Class II Director: James J. Mgmt For For
Goetz
2. To ratify the appointment of Ernst & Young Mgmt For For
LLP as our independent registered public
accounting firm for our fiscal year ending
July 31, 2023.
3. To approve, on an advisory basis, the Mgmt For For
compensation of our named executive
officers.
4. To approve an amendment to the 2021 Palo Mgmt For For
Alto Networks, Inc. Equity Incentive Plan.
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RIO TINTO PLC Agenda Number: 935782892
--------------------------------------------------------------------------------------------------------------------------
Security: 767204100
Meeting Type: Annual
Meeting Date: 06-Apr-2023
Ticker: RIO
ISIN: US7672041008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 Receipt of the 2022 Annual Report Mgmt For For
2 Approval of the Directors' Remuneration Mgmt For For
Report: Implementation Report
3 Approval of the Directors' Remuneration Mgmt For For
Report
4 Approval of potential termination benefits Mgmt For For
5 To elect Kaisa Hietala as a Director Mgmt For For
6 To re-elect Dominic Barton BBM as a Mgmt For For
Director
7 To re-elect Megan Clark AC as a Director Mgmt For For
8 To re-elect Peter Cunningham as a Director Mgmt For For
9 To re-elect Simon Henry as a Director Mgmt For For
10 To re-elect Sam Laidlaw as a Director Mgmt For For
11 To re-elect Simon McKeon AO as a Director Mgmt For For
12 To re-elect Jennifer Nason as a Director Mgmt For For
13 To re-elect Jakob Stausholm as a Director Mgmt For For
14 To re-elect Ngaire Woods CBE as a Director Mgmt For For
15 To re-elect Ben Wyatt as a Director Mgmt For For
16 Re-appointment of auditors of Rio Tinto plc Mgmt For For
17 Remuneration of auditors Mgmt For For
18 Authority to make political donations Mgmt For For
19 General authority to allot shares Mgmt For For
20 Disapplication of pre-emption rights Mgmt For For
21 Authority to purchase Rio Tinto plc shares Mgmt For For
22 Notice period for general meetings other Mgmt For For
than annual general meetings
--------------------------------------------------------------------------------------------------------------------------
ROCKWELL AUTOMATION, INC. Agenda Number: 935750504
--------------------------------------------------------------------------------------------------------------------------
Security: 773903109
Meeting Type: Annual
Meeting Date: 07-Feb-2023
Ticker: ROK
ISIN: US7739031091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A. DIRECTOR
William P. Gipson Mgmt For For
Pam Murphy Mgmt For For
Donald R. Parfet Mgmt For For
Robert W. Soderbery Mgmt For For
B. To approve, on an advisory basis, the Mgmt For For
compensation of the Corporation's named
executive officers.
C. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of the shareowner vote on the
compensation of the Corporation's named
executive officers.
D. To approve the selection of Deloitte & Mgmt For For
Touche LLP as the Corporation's independent
registered public accounting firm for
fiscal 2023.
--------------------------------------------------------------------------------------------------------------------------
SENTINELONE, INC. Agenda Number: 935869492
--------------------------------------------------------------------------------------------------------------------------
Security: 81730H109
Meeting Type: Annual
Meeting Date: 29-Jun-2023
Ticker: S
ISIN: US81730H1095
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Director: Ana G. Pinczuk Mgmt For For
2. Ratification of the appointment of Deloitte Mgmt For For
& Touche LLP as SentinelOne, Inc.'s
independent registered public accounting
firm for the fiscal year ending January 31,
2024.
3. Approval, on a non-binding advisory basis, Mgmt For For
of the compensation of our named executive
officers.
4. Selection, on a non-binding advisory basis, Mgmt 1 Year For
of whether future advisory votes on the
compensation of our named executive
officers should be every one, two or three
years.
--------------------------------------------------------------------------------------------------------------------------
SHOPIFY INC. Agenda Number: 935878453
--------------------------------------------------------------------------------------------------------------------------
Security: 82509L107
Meeting Type: Annual
Meeting Date: 27-Jun-2023
Ticker: SHOP
ISIN: CA82509L1076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A Election of Director: Tobias Lutke Mgmt For For
1B Election of Director: Robert Ashe Mgmt For For
1C Election of Director: Gail Goodman Mgmt For For
1D Election of Director: Colleen Johnston Mgmt For For
1E Election of Director: Jeremy Levine Mgmt For For
1F Election of Director: Toby Shannan Mgmt For For
1G Election of Director: Fidji Simo Mgmt For For
1H Election of Director: Bret Taylor Mgmt For For
2 Auditor Proposal Resolution approving the Mgmt For For
re-appointment of PricewaterhouseCoopers
LLP as auditors of Shopify Inc. and
authorizing the Board of Directors to fix
their remuneration.
3 Advisory Vote on Executive Compensation Mgmt For For
Proposal Non-binding advisory resolution
that the shareholders accept Shopify Inc.'s
approach to executive compensation as
disclosed in the Management Information
Circular for the Meeting.
--------------------------------------------------------------------------------------------------------------------------
SNOWFLAKE INC. Agenda Number: 935660705
--------------------------------------------------------------------------------------------------------------------------
Security: 833445109
Meeting Type: Annual
Meeting Date: 07-Jul-2022
Ticker: SNOW
ISIN: US8334451098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class II Director: Kelly A. Mgmt For For
Kramer
1b. Election of Class II Director: Frank Mgmt For For
Slootman
1c. Election of Class II Director: Michael L. Mgmt For For
Speiser
2. To approve, on an advisory basis, the Mgmt 1 Year For
frequency of future stockholder advisory
votes on the compensation of our named
executive officers.
3. To ratify the selection of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for the fiscal year ending January 31,
2023.
--------------------------------------------------------------------------------------------------------------------------
TRANSDIGM GROUP INCORPORATED Agenda Number: 935666101
--------------------------------------------------------------------------------------------------------------------------
Security: 893641100
Meeting Type: Annual
Meeting Date: 12-Jul-2022
Ticker: TDG
ISIN: US8936411003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
David Barr Mgmt No vote
Jane M. Cronin Mgmt No vote
Mervin Dunn Mgmt No vote
Michael Graff Mgmt No vote
Sean Hennessy Mgmt No vote
W. Nicholas Howley Mgmt No vote
Gary E. McCullough Mgmt No vote
Michele Santana Mgmt No vote
Robert Small Mgmt No vote
John Staer Mgmt No vote
Kevin Stein Mgmt No vote
2. To ratify the selection of Ernst & Young Mgmt No vote
LLP as the Company's independent
accountants for the fiscal year ending
September 30, 2022.
3. To approve (in an advisory vote) Mgmt No vote
compensation paid to the Company's named
executive officers.
--------------------------------------------------------------------------------------------------------------------------
UNITY SOFTWARE INC Agenda Number: 935711134
--------------------------------------------------------------------------------------------------------------------------
Security: 91332U101
Meeting Type: Special
Meeting Date: 07-Oct-2022
Ticker: U
ISIN: US91332U1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The issuance of shares of Unity Software Mgmt No vote
Inc. ("Unity") common stock in connection
with the merger contemplated by the
Agreement and Plan of Merger, dated July
13, 2022, by and among Unity, ironSource
Ltd. and Ursa Aroma Merger Subsidiary Ltd.,
a direct wholly owned subsidiary of Unity
(the "Unity issuance proposal").
2. The adjournment of the special meeting, if Mgmt No vote
necessary, to solicit additional proxies if
there are not sufficient votes to approve
the Unity issuance proposal at the time of
the special meeting.
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ZOOM VIDEO COMMUNICATIONS, INC. Agenda Number: 935854996
--------------------------------------------------------------------------------------------------------------------------
Security: 98980L101
Meeting Type: Annual
Meeting Date: 15-Jun-2023
Ticker: ZM
ISIN: US98980L1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Eric S. Yuan Mgmt For For
Peter Gassner Mgmt For For
Lieut. Gen. HR McMaster Mgmt For For
2. Ratify the appointment of KPMG LLP as our Mgmt For For
independent registered public accounting
firm for our fiscal year ending January 31,
2024.
3. Approve, on an advisory non-binding basis, Mgmt For For
the compensation of our named executive
officers as disclosed in our proxy
statement.
--------------------------------------------------------------------------------------------------------------------------
ZSCALER, INC. Agenda Number: 935743434
--------------------------------------------------------------------------------------------------------------------------
Security: 98980G102
Meeting Type: Annual
Meeting Date: 13-Jan-2023
Ticker: ZS
ISIN: US98980G1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Andrew Brown Mgmt For For
Scott Darling Mgmt For For
David Schneider Mgmt For For
2. To ratify the selection of Mgmt For For
PricewaterhouseCoopers LLP as our
independent registered public accounting
firm for fiscal year 2023.
3. To approve on a non-binding, advisory Mgmt For For
basis, the compensation of our named
executive officers.
* 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
Date 08/30/2023